.
A Commentary on the Preamble to the
Constitution of the United States |
Mortimer J. Adler and William Gorman |
| [Reprinted from The
Center Magazine, January-February 1976] |
(continued)
The first question concerned the placing of the authority for defense
as between the states and the to-be-newly-constituted federal
government. The federal side of that argument was, of course, vigorously
presented in the Federalist Papers, supporting the military
sections of the proposed Constitution. In Federalist #25,
Hamilton wrote:
"[The] transfer [of] the care of the common defense
from the federal head to the individual members [would be] a project
oppressive to some states, dangerous to all, and baneful to the
Confederacy. ...I expect we shall be told that the [states'] militia
of the country is its natural bulwark, and would be at all times equal
to the national defense. This doctrine, in substance, had like to have
lost us our independence."
That moment of Hamiltonian scorn was not the best that he and Madison
could do by way of persuasion. On behalf of the proposed Constitution's
denial to the states of the right to raise armies, they spelled out
again and again, in several of the Federalist Papers, the
debilitating confusion that would arise from the opposite course, and
the dire prospects of internecine warfare it could well bring. Indeed,
of all the arguments for firm federal union probably the strongest was
the argument that it was indispensable to providing for the common
defense. In Federalist #25, Hamilton wrote: "The
territories of Britain, Spain, and of the Indian nations in our
neighborhood do not border on particular states, but encircle the Union
from Maine to Georgia. The danger, though in different degrees, is
therefore common. And the means of guarding against it ought, in like
manner, to be the objects of the common councils and of a common
treasury."
However, once granted that "the war power," as it later came
to be called, should be predominantly placed in the national government
(predominantly, because the state "militias" were
constitutionally given a subordinative, counterbalancing role in
national defense), the questions arose: How shall it be defined? How
shall it be "limited," since, after all, constitutional
government is limited government?
The apprehension in such questions was not taken lightly. Indeed, in
Federalist #8, though he was there arguing for federal control
of the war power, Hamilton spoke generally:
"Safety from external danger is the most powerful
director of national conduct. Even the ardent love of liberty will,
after a time, give way to its dictates. The violent destruction of
life and property incident to war, the continual effort and alarm
attendant on a state of continual danger, will compel nations the most
attached to liberty to resort for repose and security to institutions
which have a tendency to destroy their civil and political rights. To
be more safe, they at length become willing to run the risk of being
less free."
Immediately following that paragraph, the next paragraph begins: "The
institutions chiefly alluded to are standing armies and the
correspondent appendages of military establishments. Standing armies, it
is said, are not provided against in the new Constitution; and it is
therefore inferred that they may exist under it."
In fact, standing armies are not safeguarded against in the new
Constitution. It is possible for them to exist under it. From six of the
ratifying conventions came, in one form or another, amendments designed
to keep faith with the national "prejudice" that standing
peacetime armies are "ever a menace to liberty."
In countering that "prejudice" and defending the proposed
Constitution, Madison and Hamilton did three things: first, they argued
generally and, it would seem, convincingly that no restrictions could be
rationally placed on the power to provide for the common defense;
second, by tracing the historical origins of the "prejudice"
against standing armies, they tried to show why it should not become
immoderate; third, they argued prospectively that there was little
likelihood that anything but a small standing army, no hazard to
liberty, would ever be needed.
Two texts will suffice to delineate the argument against the
irrationality of any restrictions on the power to provide for the common
defense. In Federalist #23, Hamilton wrote as follows:
"The authorities essential to the common defense are
these: to raise armies; to build and equip fleets; to prescribe rules
for the government of both; to direct their operations; to provide for
their support. These powers ought to exist without limitation, because
it is impossible to forsee or define the extent and variety of
national exigencies, or the correspondent extent and variety of the
means which may be necessary to satisfy them. The circumstances
that endanger the safety of nations are infinite, and for this reason
no constitutional shackles can wisely be imposed on the power to which
the care of it is committed. This power ought to be co-extensive with
all the possible combinations of such circumstances. . . .
"This is one of those truths which, to a correct and
unprejudiced mind, carries its own evidence along with it. ...It rests
upon [an] axiom as simple as [it is] universal; the means
ought to be proportioned to the end."
In Federalist #41, Madison, noting that the issue had been
confronted in earlier papers, nevertheless reiterated the argument:
"But was it necessary to give an indefinite power of
raising troops, as well, as providing fleets; and of maintaining both
in peace, as well as in war? . . .The answer indeed seems to be so
obvious and conclusive as scarcely to justify such a discussion in any
place. With what color of propriety could the force necessary for
defense be limited by those who cannot limit the force of offense? If
a federal Constitution could chain the ambition or set bounds to the
exertions of all other nations, then indeed might it prudently chain
the discretion of its own government, and set bounds to the exertions
for its own safety.
"How could a readiness for war in time of peace be safely
prohibited, unless we could prohibit, in like manner, the preparations
and establishments of every hostile nation? The means of security can
only be regulated by the means and the danger of attack. They will, in
fact, be ever determined by these rules, and by no others. It is in
vain to oppose constitutional barriers to the impulse of
self-preservation."
Against the nearly axiomatic, "obvious," "conclusive"
quality of such arguments for no restrictions, how could the "prejudice"
against standing armies so stubbornly persist? Hamilton, in Federalist
#26, proposed a genetic explanation. He wrote:
"The idea of restraining the legislative authority, in the means
of providing for the national defense, is one of those refinements which
owe their origin to a zeal for liberty more ardent than enlightened.
...It may not be amiss in this place concisely to remark the origin and
progress of the idea, which aims at the exclusion of military
establishments in time of peace. Though in speculative minds it may
arise from a contemplation of the nature and tendency of such
institutions, fortified by the events that have happened in other ages
and countries, yet as a national sentiment, it must be traced to those
habits of thinking which we derive from the nation from whom the
inhabitants of these states have in general sprung. [After a review of
English constitutional history up to the 1689 Bill of Rights], the
people of America may be said to have derived an hereditary impression
of danger to liberty, from standing armies in time of peace. The
circumstances of [the American] Revolution quickened the public
sensibility on every point connected with the security of popular
rights, and in some instances raised the warmth of our zeal beyond the
degree which consisted with the due temperature of the body politic. . .
. The principles which had taught us to be jealous of the power of an
hereditary monarch were by an injudicious excess extended to the
representatives of the people in their popular assemblies."
In the last sentence, Hamilton was adverting to two facts: (1) that the
article in the English Bill of Rights had read: "the raising or
keeping a standing army within the kingdom in time of peace, unless with
the consent of Parliament, was against law"; and (2) that in the
proposed Constitution for the United States the power regarding standing
armies resided in "the representatives of the people in their
popular assemblies."
In the latter half of Federalist #26, and in other papers,
Hamilton argued the extreme unlikelihood of "an army so large as
seriously to menace the liberties of a great community." "What
colorable reason could be assigned, in a country so situated, for such
vast augmentations of the military force? It is impossible that the
people would be long deceived; and the destruction of the project, and
of the projectors, would quickly follow the discovery. ...Upon what
pretense could he [the Executive] be put in possession of a force of
that magnitude in time of peace? ...It is not easy to conceive a
possibility that dangers so formidable can assail the whole Union as to
demand a force considerable enough to place our liberties in the least
jeopardy." Before leaving this point, it should be noted that in
tribute to the "prejudice" that regarded large standing armies
as a danger to liberty, the actual practice in the subsequent century
involved very small armies.
The direct address to the "prejudice" about standing armies
was, however, only a part of the answer that could be given to
expressions of dismay about the national government's being endowed with
unlimited power in military affairs. The framers, to restrain the
domestic effects of the exercise of that power, resorted here, as in
other dimensions of the Constitution, to the separation of powers and to
the device of checks and balances.
For the purposes here, a concise summary is given in Walter Millis'
1959 Fund for the Republic pamphlet, The Constitution and the Common
Defence:
"The President's exercise of his virtually absolute
powers in the military and foreign field was controlled in the first
instance by making him subject to impeachment and, quadrennially, to
retirement by the electorate. His treaties were to be supreme law (and
Jay in Federalist #64 recognized, long before Senator Bricker,
the possibility of "making law by treaty"), but this
executive invasion of the legislative field was checked by requiring a
two-thirds vote in the Senate for treaty ratification. There was no
restriction upon his powers as Commander-in-Chief; but it was Congress
which would raise, maintain, regulate, and provide the funds for the
forces available to him to command. It was required that military,
like other, appropriations must originate in the popular branch; and
by restricting Army appropriations to run no more than two years, each
new Congress was not only assured the opportunity but placed under the
necessity of reviewing afresh the military establishment. The
President's selection of military, as of other, officers was subject
to senatorial confirmation. Finally, the power to declare war was
vested in the Congress, not the President."
Here, then, the framers thought, was a powerful system of checks upon
the exercise, by the President or the national government, of the almost
absolute authority given them in the field of foreign and military
policy. The Federalist authors argued for the adequacy of such
checks as a protection to liberty. They adverted especially to the
separation of the purse and the sword; to the two-year restriction on
appropriations for the Army; and to the placing in Congress of the power
to declare war. (When Pierce Butler, in the Convention, had wished to
give that power to the President, Elbridge Gerry replied that he had "never
expected to hear in a republic a motion to empower the Executive alone
to declare war.")
However, the Constitution could not quite stop with such provisions for
the assignment and the restraint of the war power. It had further to
meet two of the deepest impulses of the times. Both were present in
Section 13 of the Virginia Declaration of Rights, previously quoted. One
was the reluctance of the states and state governments to surrender a
complete monopoly of military power to the federal union. The other was
the widespread conviction that only an armed people could remain a free
people; the common defense, in the last analysis, could never be
entrusted wholly to national armies but must remain in the hands of the
people themselves.
The first concern was met in the ingenious compromises set forth in the
clauses in Article I, Section VIII, that deal with the militia. The
second concern was met by Madison's inclusion in his proposed Bill of
Rights of what is now the Second Amendment.
Through the first seventy years of our history, the military
establishment that issued from such provisions, checks, and compromises,
in the opinion of Walter Millis, "operated with rather notable
success to realize the hopes which had been pinned upon it." Millis
goes on to say: "It averted interstate or inter-sectional war by
eliminating strategic and economic causes for one. Greatly aided, to be
sure, by geography and the international politics of the time, it
relieved the young nation of the burdens and political perils of large
standing armies. At the same time, it created a Union of sufficient
military strength, actual or potential, to repel whatever military
threats there were from the outside world." Neither the War of 1812
nor the Mexican War "led to any significant movement to revise the
military structure or the military provisions of the Constitution."
It will serve the purpose here to continue to make use of Walter
Millis' summary history of the fortunes of the military constitution.
His brief paragraph on the Civil War cannot help but produce a shudder
about the misfortunes of human history:
"The Civil War, however, represented a cataclysmic
failure of the military no less than of the political and economic
compromises of the Constitution. In a sense the war was made
possible only by that careful but, as it proved, unstable balance of
federal, state, and popular military power on which the founders had
insisted. It was Lincoln's call upon the militias of the border states
to assist in suppressing their rebellious sister which forced the
border to choose sides. It was the 'preponderating influence' of the
states over the militia, stressed by Hamilton, which had permitted the
continued existence of at least partially trained and equipped state
forces, owing their allegiance to the governors and legislatures
rather than to the President and Congress, and so enabled the Southern
states to rise. It was the absence of any large standing army which
permitted the rising to reach the heights it did. The military
guarantees which the Constitution had afforded the states proved to be
real ones. To Southerners, the war vindicated the military no less
than the political powers which had been left to the states precisely
in order that they might repudiate a national 'tyranny.'"
Millis continues: "But the South lost; and in the result the
military balances of 1789 were destroyed or rendered meaningless."
There is no need for any attempt here at even a brief tracing of the
steps from a military establishment comprising a small standing national
army, state militias, and an armed citizenry, to the present colossal
military establishment - huge in size and arsenal, globally stationed,
biting deep into the budget, symbiotically related to a substantial part
of the nation's industrial power and to scientific and technological
research, raising issues of secrecy and using agencies of secret
intelligence, and having immense impact not just on foreign policy but
on domestic politics. Of course, this present military establishment has
more than just the mission of "providing for the common defense,"
which was the only military mission for all but about the last thirty
years of our nation's history; it also is judged necessary to support
international commitments deemed to serve vital national interests and,
in some interpretations, international interests as well.
It is therefore relevant to ask whether certain ingredients in "the
American testament" survive such a radical transformation in
military size and missions. The question concerns not so much the
constitutional devices as the fundamental judgments that led to their
invention and adoption. In the last thirty years, during the era of
confrontation and of major international commitments, the framers'
device of dual political control over the military has not worked very
impressively. Before an increasing autocratic strain in the swollen
Presidency and the strong positioning of the General Staff and its huge
bureaucracy, Congress, perhaps, has appeared confused and more or less
impotent. Until just recently, the purse was passed quickly to the
sword. And Congress has acted as if it were embarrassed by its
constitutional power "to declare war."
But what of the early national presuppositions that are parts of our
testament? Do they hold as principles, however remote, on which to base
judgments?
The Virginia Declaration of Rights affirmed that "in all cases the
military should be under strict subordination to, and governed by, the
civil power." No doubt a record of violations of the spirit, if not
the letter, of that principle could be drawn up. A certain wariness on
the point has not been absent. Yet, with all sorts of examples before us
of military takeovers of governments and societies, it is often taken
for granted that "it can't happen here."
Another proposition from the Virginia Declaration read: "Standing
armies, in time of peace, are dangerous to liberty." In our time of
precarious peace, we have a large standing army and multifarious
military installations. Damages to liberty of the sort the founders had
in mind, from their memory of the Stuarts and of George III, have not
occurred. But there are, perhaps, some indications that liberty is in
jeopardy. Conscription and various kinds of job-dependencies in "defense
industries" have engendered inroads on individual freedom. Civil
liberties have not been firmly secure under recent governments that have
been anxious about subversive beliefs, aroused mass protests, and
collective actions of civil dissent. In general, political liberty is
diminished in degree by the existence of a huge military establishment,
because it is difficult for citizens to be constantly alert to its
implications and consequences.
The Supreme Court, however, has developed a tradition of concern about
threats to liberties from military establishments and aims. The Court's
deliverances in this area, as in others, can be judged, in hindsight, as
spotty. Certainly, one of the worst blemishes on its whole record was
its endorsement of the treatment of West Coast Japanese-American
citizens at the outbreak of World War II. Yet, on the level of
principle, there has been clarity. Two examples of judicial dicta are
worth setting down here.
In a famous and major case involving the jurisdiction of military
tribunals (Ex parte Milligan, 1866), Mr. Justice Davis, after
declaring that the case "involves the very framework of the
government and the fundamental principles of American liberty," and
after reviewing the constitutional provisions for liberties, wrote as
follows:
"The Constitution of the United States is a law for
rulers and people, equally in war and in peace, and covers with the
shield of its protection all classes of men, at all times, and under
all circumstances. No doctrine, involving more pernicious consequence:
was ever invented by the wit of man than that any of its provisions
can be suspended during any of the great exigencies of government."
In a 1948 case (Woods v. Miller Co.), Mr. Justice Jackson wrote
as follows:
"The government asserts no constitutional basis for
this legislation other than this vague, undefined, and undefinable,
'war power.' No one will question that this power is the most
dangerous one to free government in the whole catalogue of powers.
It usually is invoked in haste and excitement when calm legislative
consideration of constitutional limitation is difficult. It is
executed in time of patriotic fervor that makes moderation unpopular.
And, worst of all, it is interpreted by the judges under the influence
of the same passion and pressures. Always, as in this case, the
government urges hasty decision to forestall some emergency or serve
some purpose and pleads that paralysis will result if its claims to
power are denied or their confirmation delayed.
"Particularly when the war power is invoked to do things to the
liberties of people, or to their property or economy that only
indirectly affect conduct of the war and do not relate to the
management of the war itself, the constitutional basis should be
scrutinized with care."
By way of underlining a persistent continuity of thought on the
subject, one can put with those two judicial texts (and there are many
more) these words by Madison, "the father of the Constitution,"
who said in Federalist #41:
"A standing force, therefore, is a dangerous, at the
same time that it may be a necessary, provision. On the smallest scale
it has its inconveniences. On an extensive scale its consequences may
be fatal. On any scale it is an object of laudable circumspection and
precaution. A wise nation will combine all these considerations; and,
whilst it does not rashly preclude itself from any resource which may
become essential to its safety, will exert all its prudence in
diminishing both the necessity and the danger of resorting to one
which may be inauspicious to its liberties."
The phrase "general welfare" had been present in the third
article of the Articles of Confederation, which read: "The said
states hereby severally enter into a firm league of friendship with each
other, for their common defense, the security of their liberties, and
their mutual and general welfare." It is in no way clear what the
phrase there meant. If it was interpreted as equivalent to "the
common good," "the public good," "the commonweal,"
or "general happiness," it would then be designating the
all-embracing comprehensive end of government. With so broad a meaning,
it could not logically be placed in the Preamble to the Constitution as
one of six purposes that together constitute an articulation of the
complex structure of the common good, with which it was identical.
The phrase gained its specific meaning, not from any early elucidation
of the Preamble, but rather from discussion during the period of
ratification and from later constitutional developments occasioned by
the occurrence of the same phrase in the taxing clause of the
Constitution. The first paragraph of Article I, Section 8, reads: "The
Congress shall have power to lay and collect taxes, duties, imposts, and
excises, to pay the debts and provide for the common defense and general
welfare of the United States." There then follows an enumeration of
specific things that Congress is empowered to do, first an odd
assortment of fiscal and military things, and then an odd assortment of
things neither fiscal nor military. Section 8 ends with what came to be
called "the sweeping clause": "The Congress shall have
power ... to make all laws which shall be necessary and proper for
carrying into execution the foregoing powers and all other powers vested
by the Constitution in the government of the United States, or in any
department or officer thereof."
Power to tax and spend for "the general welfare," with the
additional provision of "power to make all laws which shall be
necessary and proper for carrying into execution the foregoing powers"
- that sounds like very great power, indeed! Madison, in Federalist
#41, took note of a fierce attack on the language of the first
paragraph of Article I, Section 8, on the ground that it would amount "to
an unlimited commission to exercise every power which may be alleged to
be necessary for the common defense or general welfare." He
undertook to ward off such an attack by saying that the first paragraph
did not announce a separate power to tax and spend for the general
welfare; that it was just an introductory heading for the powers
specified in the following paragraphs of Section 8; that the
taxing-and-spending power was limited to those specified powers. With
that interpretation, Madison was not merely pleading for ratification.
He fervently believed, and continued to believe, along with Jefferson in
their later opposition to Hamilton, that the major issue of limited
versus unlimited government was at stake in the interpretation placed on
the reference to general welfare in the first paragraph of Article I,
Section 8.
Madison may have been right about the original intentions behind the
phrase "general welfare" in that section. He was, after all, "the
father of the Constitution." But the matter was not put to rest by
his vehement words on the subject in Federalist #4l.
In December of 1791, Hamilton, the Secretary of the Treasury, presented
to Congress his bold and brilliant Report on Manufactures. He
worked into that document his own constitutional interpretation:
"A question has been made concerning the
constitutional right of the government of the United States to apply
this species of encouragement, but there is certainly no good
foundation for such a question. The National Legislature has express
authority 'to lay and collect taxes. . . and provide for the ...
general welfare.' . .. These three qualifications excepted, the power
to raise money is plenary and indefinite. . . .The phrase
[general welfare] is as comprehensive as any that could have been
used, because it was not fit that the constitutional authority of the
Union to appropriate its revenues should have been restricted within
narrower limits than the 'general welfare,' and because this
necessarily embraces a vast variety of particulars, which are
susceptible neither of specification nor of definition.
"It is, therefore, of necessity, left to the discretion of the
National Legislature to pronounce upon the objects, which concern the
general welfare, and for which, under that description, an
appropriation of money is requisite and proper."
Jefferson spoke of this privately to Washington, urging that Hamilton's
proposition seemed to go "far beyond every one ever yet advanced"
toward making the Constitution "a very different thing from what
the people thought they had submitted to," and had indeed forced
the people to consider "whether we live under a limited or an
unlimited government." Madison wrote to the governor of Virginia: "What
think you of the [Hamilton's] commentary... on the term 'general
welfare'? The federal government has been hitherto limited to the
specified powers, by the Greatest Champions for Latitude in expounding
those powers - If not only the means, but the objects are unlimited, the
parchment had better be thrown into the fire at once." On the floor
of the House, Madison repeated his view that the words "general
welfare" were simply "a sort of caption or general description
of the specific powers" that followed, and had "no further
meaning" and gave no "further power" than what could be "found
in that specification." "In short, sir," Madison
concluded, "I venture to declare it as my opinion that were the
power of Congress to be established in the latitude contended for, it
would subvert the very foundation and transmute the very nature of the
limited government established by the people of America; and what
inferences might be drawn, or what consequences ensue from such a step,
it is incumbent on us all well to consider."
Madison was persuasive in the House. Hamilton suffered a major defeat.
His important Report on Manufactures was pigeonholed.
The argument, however, was far from over. Although one or another sort
of welfare legislation did get passed, the constitutional issue was not
raised until well into the twentieth century. It was the Great
Depression that brought the Supreme Court, in a series of cases during
1936 and 1937, to resolve, in Hamilton's favor, his dispute with Madison
about the range of the power of Congress "to promote the general
welfare."
In the case of United States v. Butler (1936), in which, for a
side reason, the decision went against the Agricultural Adjustment Act
(involving subsidies for reduction of the farm surplus), Mr. Justice
Roberts' opinion for the court reviewed the doctrinal quarrel and
explicitly settled it in Hamilton's favor:
"The argument is that Congress may appropriate and
authorize the spending of moneys for the 'general welfare'; that the
phrase should be liberally construed to cover anything conducive to
national welfare. . . .
"Since the foundation of the nation sharp differences of opinion
have persisted as to the true interpretation of the phrase. Madison
asserted it amounted to no more than a reference to the other powers
enumerated in the subsequent clauses of the same section; that, as the
United States is a government of limited and enumerated powers, the
grant of the power to tax and spend for the general national welfare
must be confined to the enumerated legislative fields committed to the
Congress. ...Hamilton, on the other hand, maintained the clause
confers a power separate and distinct from those later enumerated, is
not restricted in meaning by the grant of them, and Congress
consequently has a substantive power to tax and to appropriate,
limited only by the requirement that it shall be exercised to provide
for the general [not local] welfare of the United States.
"Each contention has had the support of those whose views are
entitled to weight. This Court has noticed the question, but has never
found it necessary to decide which is the true construction. Mr.
Justice Story, in his Commentaries, espouses the Hamiltonian
position. We shall not review the writing of public men and
commentators or discuss the legislative practice. Study of all these
leads us to conclude that the reading advocated by Mr. Justice Story
is the correct one. While, therefore, the power to tax is not
unlimited, its confines are set in the clause which confers it, and
not in those of Section 8 which bestow and define the legislative
powers of the Congress. It results that the power of Congress to
authorize expenditure of public moneys for public purposes is not
limited by the direct grants of legislative power found in the
Constitution."
Two immediately ensuing cases in 1937 are also worth noting. They are
concerned with the constitutionality of different Titles in the Social
Security Act of 1935. In both cases, that act is upheld in the decision.
In both cases, the opinion for the Court was delivered by Mr. Justice
Cardozo. In both cases, he adverted to the doctrine in United States
v. Butler, set forth just above.
The first case, Steward Machine Co. v. Davis (1937), involved
Title III of the Social Security Act, which authorized appropriations
from the general revenue funds for the purpose of assisting the states
in the administration of their unemployment compensation laws.
Cardozo wrote:
"During the years 1929 to 1936, when the country was
passing through a cyclical depression, the number of the unemployed
mounted to unprecedented heights. Often the average was more than ten
million; at tunes a peak was attained of sixteen million or more.
Disaster to the breadwinner meant disaster to dependents. Accordingly
the roll of the unemployed, itself formidable enough, was only a
partial roll of the destitute or needy. The fact developed quickly
that the states were unable to give the requisite relief. The problem
had become national in area and dimensions. There was need of help
from the nation if the people were not to starve. It is too late today
for the argument to be heard with tolerance that in a crisis so
extreme the use of the moneys of the nation to relieve the unemployed
and their dependents is a use for any purpose narrower than the
promotion of the general welfare. See United States v. Butler;
and Helvering v. Davis decided herewith."
In a companion case to Steward, the case of Helvering v.
Davis (1937), the Court sustained the old-age-pensions provisions of
the Social Security Act (Titles II and VIII), which imposed taxes on
employers and employees and authorized appropriations to pay old-age
pensions to eligible previous employees in an exclusively federal
program. Cardozo wrote:
"The purge of nationwide calamity that began in 1929
has taught us many lessons. Not the least is the solidarity of
interests that may once have seemed to be divided.
Spreading
from state to state, unemployment is an ill not particular but
general, which may be checked, if Congress so determines, by the
resources of the nation. If this can have been doubtful until now, our
ruling today in the case of the Steward Machine Co., has set the doubt
at rest.
"But the ill is all one or at least not greatly different
whether men are thrown out of work because there is no longer work to
do or because the disabilities of age make them incapable of doing it.
Rescue becomes necessary irrespective of the cause. The hope behind
this statute is to save men and women from the rigors of the poor
house as well as from the haunting fear that such a lot awaits them
when journey's end is near."
Within seven years, the idea of "the general welfare"
implicit in such cases received an exuberant expansion. President
Franklin D. Roosevelt's State of the Union message on January 11, 1944,
first dealt with measures needed to continue the prosecution of the war
with vigor. He closed with a vision of how the peace should be
prosecuted:
"It is our duty now to begin to lay the plans and
determine the strategy for the winning of a lasting peace and the
establishing of an American standard of living higher than ever before
known. We cannot be content, no matter how high that general standard
of living may be, if some fraction of our people - whether it be
one-third or one-fifth or one-tenth - is ill-fed, ill-clothed,
ill-housed, and insecure.
"This Republic had its beginning, and grew to its present
strength, under the protection of certain inalienable political rights
- among them the right of free speech, free press, free worship, trial
by jury, freedom from unreasonable searches and seizures. They were
our rights to life and liberty. As our nation has grown in size and
stature, however - as our industrial economy expanded - these
political rights proved inadequate to assure us equality in the
pursuit of happiness.
"We have come to a clear realization of the fact that true
individual freedom cannot exist without economic security and
independence. 'Necessitous men are not freemen.' People who are hungry
and out of a job are the stuff of which dictatorships are made. In our
day these economic truths have become accepted as self-evident. We
have accepted, so to speak, a second Bill of Rights under which a new
basis of security and prosperity can be established for all -
regardless of station, race, or creed.
"Among these are:
"The right to a useful and remunerative job in the industries or
shops or farms or mines of the nation;
"The right to earn enough to provide adequate food and clothing
and recreation;
"The right of every farmer to raise and sell his products at a
return which will give him and his family a decent living;
"The right of every businessman, large and small, to trade in an
atmosphere of freedom from unfair competition and domination by
monopolies at home or abroad;
"The right of every family to a decent home;
"The right to adequate medical care and the opportunity to
achieve and enjoy good health;
"The right to adequate protection from the economic fears of old
age, sickness, accident, and unemployment;
"The right to a good education.
"All of these rights spell security. And after this war is won,
we must be prepared to move forward, in the implementation of these
rights, to new goals of human happiness and well-being. America's own
rightful place in the world depends in large part upon how fully these
and similar rights have been carried into practice for our citizens.
For unless there is security here at home there cannot be lasting
peace in the world. ...
"I ask the Congress to explore the means for implementing this
economic bill of rights - for it is definitely the responsibility of
the Congress so to do."
That 1944 State of the Union message was delivered at some considerable
temporal distance from the Declaration of Independence, from the
Preamble's statement of the promotion of the general welfare as one of
the objectives of government, and from the dispute between founding
fathers about the power of Congress to promote the general welfare.
However, it is clear that Roosevelt's impassioned proclamation draws
its inspiration, its terms of discourse, indeed its very diction, from
Jefferson's Declaration of Independence. It is likewise clear that
Roosevelt's boldness about what "it is definitely the
responsibility of the Congress so to do" derives from the
Depression Court's decisions that Hamilton was right about the plenary
power that Congress has, under the Constitution, to promote the general
welfare.
Roosevelt did not use the term "general welfare." He
mentioned "new goals of human happiness and well-being." He
clearly subsumed "the welfare power," to call it that by
analogy to "the war power," under the Declaration of
Independence's assertion that an overriding objective of government was
to secure -- that is, make secure - the natural right to the pursuit of
happiness.
He called his second Bill of Rights a bill of economic rights. The term
"economic" is used broadly. It is worth remembering that
Hamilton's interpretation of the Constitution, in his Report on
Manufactures, did not occur in a context of an emergency concern for
the desperate plight of unfortunate citizens suffering from a
depression. Hamilton wanted Congress to promote the general welfare by
assistance to the growth of businesses. All governmental actions in aid
of "the economy," to fight inflation or recession, would be as
much exercises of the welfare power as measures of assistance to the
seriously indigent, the debilitated old, the helplessly sick or
disabled, and those whom we have the habit of speaking of as "on
welfare." Roosevelt's very broad use of the term "economic"
includes such things as the right to a decent home, the right to
adequate medical care, the right to sufficient schooling, as well as the
rights of every farmer and every businessman. Used thus broadly, the
term encompasses all the external conditions which can be judged
indispensable to lead a decent human life.
Roosevelt explicitly declared that the promotion of the general
economic welfare and the implementation of specifically economic rights
were necessary if "true individual freedom" is to thrive. More
than that, measures are indispensable if the pursuit of happiness by
every human being is to be more than an ineffectual right. The
participation by every human being in the general economic welfare and
the recognition of his basic economic rights provide him with the
enabling means or facilitating conditions without which he must
inevitably be impeded if not totally frustrated in his effort to pursue
happiness - to make a good life for himself.
A government cannot guarantee to all the attainment of happiness; it
cannot even provide them all the conditions that they need for a modicum
of success in the effort to live humanly well, such as moral virtue and
the gifts of good fortune; but the one thing it can do, and do
effectively, is to provide human beings with the external conditions
they need in order to lead decent human lives - economic goods or
benefits of all sorts in addition to civil peace, political liberty, and
a just social order.
The whole of Roosevelt's State of the Union dress in 1944 charges
Congress with the task of d distributive justice. To assure to all "equality
in the pursuit of happiness" is a work of justice. All human
beings, equally in possession of the inherent human right to pursue
happiness, can rightfully expect from the political society of which
they are members and from the government of which they are together
constituents, proportionately equitable support in their exercise of
that right. Justice requires government to promote the general welfare,
understood as an equitable participation by all in the economic or other
external goods which are judged indispensable to the pursuit of
happiness. All human beings should have an equal opportunity to fare
well in that pursuit.
Closing his lectures (Constitutionalism: Ancient and Modern,
Cornell University Press), Charles H. McIlwain wrote: "The two
fundamental correlative elements of constitutionalism for which all
lovers of liberty must yet fight are the legal limits to arbitrary power
and a complete political responsibility of government to the governed."
That sentence, written in 1940, could have been uttered in an opening
address to the Constitutional Convention in Philadelphia in 1787.
Americans had proved themselves "lovers of liberty" in their
resistance to arbitrary British power and in their war for independence.
They were to consummate their revolution by "ordaining and
establishing a Constitution for the United States of America." On
the Fourth of July, 1788, James Wilson delivered an oration, at the
procession formed at Philadelphia, to celebrate the adoption of the
Constitution of the United States. In his proem (this and later
quotations are taken from The Works of James Wilson, Harvard
University Press), Wilson said:
"A people free and enlightened, establishing and
ratifying a system of government, which they have previously
considered, examined, and approved! This is the spectacle, which we
are assembled to celebrate; and it is the most dignified one that has
yet appeared on our globe. . . .What is the object exhibited to our
contemplation? A whole people exercising its first and greatest
power-performing an act of sovereignty, original and unlimited!"
In an only slightly less exclamatory way, Madison was to write in 1792:
"In Europe, charters of liberty have been granted by
power. America has set the example and France has followed it, of
charters of power granted by liberty. This revolution in the practice
of the world may, with an honest praise, be pronounced the most
triumphant epoch of its history and the most consoling presage of its
happiness."
A free and enlighted people performing an act of sovereignty, original
and unlimited! A charter of power granted by liberty!
These exclamations were after the fact. In the actual work of ordaining
a new Constitution, the framers were anything but naive about arbitrary
power. Indeed, when they had been British subjects, the Americans were
fervently proud of their British liberties. They had by no means
forgotten the victories over arbitrary power by which the liberties of
Englishmen had been secured. They knew and prized the documents that
recorded those victories, documents comprised by what the elder Pitt
called "the Bible of the English Constitution" - Magna Charta,
the Petition of Right, and the Bill of Rights after the Glorious
Revolution of 1688.
Indeed, it was precisely because they remembered those documents, as
well as recent royal and parliamentary acts of arbitrary power, that the
framers proceeded, as "lovers of liberty," to place legal
limits on the charter of power they were about to grant. In so doing,
they borrowed heavily, often in direct wording from "the Bible of
the English Constitution."
In Federalist #57, Madison stated the framers' concern for the
first element of constitutionalism:
"If men were angels, no government would be necessary.
If angels were to govern men, neither external nor internal controls
on government would be necessary. In framing a government which is to
be administered by men over men, the great difficulty lies in this:
you must first enable the government to control the governed; and in
the next place oblige it to control itself. A dependence on the people
is, no doubt, the primary control on the government; but experience
has taught mankind the necessity of auxiliary precautions."
In the context of Federalist #51, Madison was pondering the
task of laying "a due foundation for that separate and distinct
exercise of the different powers of government, which to a certain
extent is admitted on all hands to be essential to the preservation of
liberty."
However, in addition to the broad ideas about the precautions that
might be effected by the separation of powers and by checks and
balances, the Constitution of 1787 contains a composite of many mutually
reinforcing guarantees of individual rights, and of limitations on
federal and state governments. The Constitution in its main body forbids
suspension of the writ of habeas corpus except in cases of rebellion or
invasion; prohibits state or federal bills of attainder and ex post
facto laws; requires that all crimes against the United States be tried
by jury in the state where committed; limits the definition, trial, and
punishment of treason; prohibits titles of nobility and religious tests
for officeholding; guarantees a republican form of government in every
state; and assures each citizen of the privileges and immunities of the
citizens of the several states.
Popular dissatisfaction with the inadequacy of the guarantees in the
main body of the Constitution, which was repeatedly expressed in the
state ratifying conventions, led to firm demands and consequent
promises, which eventuated in the first ten amendments. These amendments
have always been regarded as a Bill of Rights. That term, however,
should be extended to include not only the limitations in the main body
of the Constitution, but also those in later amendments - those that
abolish slavery; declare all persons born or naturalized in the United
States and subject to its jurisdiction as citizens thereof; forbid the
states to abridge the privileges or immunities of citizens of the United
States, to deprive any person of life, liberty, or property without due
process of law, or to deny any person the equal protection of the laws;
prohibit the denial or abridgment of voting rights because of race,
sex, or failure to pay poll taxes.
By such an extended Bill of Rights, taken together with the results of
the separation of powers and of checks and balances, Americans placed
constitutional limits on arbitrary power. These constitutional
limitations intended to provide basic security for one freedom,
fundamental throughout the revolutionary era - freedom from
arbitrary power. The revolutionary Americans had freed themselves from
British arbitrary power. Their posterity should not be exposed to
arbitrary power exercised by the government the founding fathers were
here ordaining.
The second of McIlwain's "two fundamental correlative elements of
constitutionalism" is "a complete political responsibility of
government to the governed." Constitutional arrangements to satisfy
such an ideal would make the new nation a republic - self-ruling people.
Madison's definition of a "republic" in Federal #10
was succinct enough: "A republic, by which I mean a government in
which the scheme of representation takes place." Another, fuller,
and famous passage, in Federalist #f39, connects the term "republic"
with "self-government": "The first question that offers
itself is, whether the general form and aspect of the government be
strictly republican. It is evident that no other form would be
reconcilable with the genius of the people of America; with the
fundamental principles of the Revolution; or with that honorable
determination which animates every votary of freedom, to rest all our
political experiments on the capacity of mankind for self-government."
The people of a republic, with a government in which some systern of
representation is operative, is a self-governing people.
Such a high claim puts a heavy burden on what has certainly come to be
considered an elusive a complicated idea - the idea of representation.
Indeed, the revolutionary period had its beginning in dispute revolving
around that idea. Bernard Bailyn writes: "The question of
representation was the first serious intellectual problem to come
between England and the colonies, and while it was not the most
important issue involved in the Anglo-American controversy (the whole
matter of taxation and representation was 'a mere incident,' McIlwain
has observed, in a much more basic constitutional struggle), it received
the earliest and most exhaustive examination and underwent a most
revealing transformation." The history of that transformation is
complicated, but direction is clear.
Edmund Burke's idea of "virtual representation (by unelected
representatives) was ridiculed by Daniel Dulany in a powerful pamphlet,
Considerations on the Propriety of Imposing Taxes in the British
Colonies, for the Purpose of Raising a Revenue, by Act of Parliament.
Representation had stem from electoral power in the citizens, and that
would extend to measures for choosing the first elected Chief Executive
the world had ever seen.
More important, the leaders in the early revolutionary period rejected
Burke's theory of representation, which he had expressed in words now
famous: "Parliament is not a congress of ambassadors from different
and hostile interests; which interests ea must maintain, as an agent and
advocate, against other agents and advocates; but Parliament is a
deliberative assembly of one nation, with one interest, that of the
whole; where, not local purposes, not local prejudices ought to guide,
but the general good, resulting from the general reason of the whole."
The contrary doctrine, to which the Americans appealed, was precisely
one that declared "representatives" to be "agents and
advocates," to whom "instructions" could be given. In
1774, James Wilson, America's leading jurist, wrote, "The interest
of the representatives is the same with that of their constituents,"
and again, "representatives are reminded [by electoral acts] whose
creatures they are; and to whom they are accountable for the use of that
power, which is delegated unto them." Section 2 of the 1776
Virginia Declaration of Rights read: "That all power is vested in,
and consequently derived from, the people; that magistrates are their
trustees and servants and at all times amenable [accountable] to them."
The records of the Convention of 1787 show James Wilson as having said:
"The Legislature ought to be the most exact transcript of the whole
Society. Representation is made necessary only because it is impossible
for the people to act collectively." On a later occasion, he also
said that: "The Doctrine of Representation is this - first, the
representative ought to speak the Language of his Constituents, and
secondly, that his language or vote should have the same 'influence as
though the Constituents gave it." This tendency is summed up in a
letter written by Thomas Jefferson in 1816, altering Madison's
definition of a republic: "Were I to assign to this term a precise
and definite idea, I would say that, purely and simply, [the term
'republic'] means a government by its citizens in mass, acting directly
and personally according to rules established by the majority; and that
every other government is more or less republican, in proportion as it
has in its composition more or less of this ingredient of the direct
action of the citizens."
The conviction was so strong about the doctrine of instructions - the
doctrine that at any time a clear expression of the will of the majority
of constituents is binding on the action of their representative - that
some of the new state constitutions, after independence, provided for
it. However, in the first Congress, a proposal to include the right to
instruct representatives in the Bill of Rights was voted down by a large
majority. Questions had begun to arise about what a sound theory of
representation might entail.
The last word here, on representation and elections, can come from
James Wilson, lecturing on law in the College of Philadelphia after his
term as member of the first Supreme Court. His words steer clear of hard
questions about the idea of representation and emphasize the need for
more experience with elections and with the representative bodies they
select:
"Of the science of just and equal government, the
progress, as we have formerly seen, has been small and slow.
Peculiarly small and slow has it been, in the discovery and
improvement of the interesting doctrines of election and
representation. If, with regard to other subjects, government may be
said, as it has been said, to be still in its infancy; we may, with
regard to this subject, consider it as only in its childhood. And yet
this is the subject, which must form the basis of every government,
that is, at once, efficient, respectable, and free.
"The pyramid of government - and a republican government may
well receive that beautiful and solid form - should be raised to a
dignified altitude: but its foundations must, of consequence, be
broad, and strong, and deep. The authority, the interests, and the
affections of the people at large are the only foundation, on which a
superstructure, proposed to be at once durable and magnificent, can be
rationally erected.
"Representation is the chain of communication between the people
and those, to whom they have committed the exercise of the powers of
government. If the materials, which form this chain, are sound and
strong, it is unnecessary to be solicitous about the very high degree
to which they are polished. But in order to impart to them the true
republican luster, I know no means more effectual than to invite and
admit the freemen to the right of suffrage, and to enhance, as much as
possible, the value of that right. Its value cannot, in truth, be
enhanced too highly. It is a right of the greatest import, and of the
most improving efficacy. It is a right to choose those, who shall be
entrusted with the authority and with the confidence of the people:
and who may employ that authority and that confidence for the noblest
interests of the commonwealth, without the apprehension of
disappointment or control.
"This surely must have a powerful tendency to open, to
enlighten, to enlarge, and to exalt the mind. I cannot, with
sufficient energy, express my own conceptions of the value and the
dignity of this right. In real majesty, an independent and unbiased
elector stands superior to princes, addressed by the proudest titles,
attended by the most magnificent retinues, and decorated with the most
splendid regalia. Their sovereignty is only derivative, like the pale
light of the moon: his is original, like the beaming splendor of the
sun.
"The benign influences, flowing from the possession and exercise
of this right, deserve to be clearly and fully pointed out. I wish it
was in my power to do complete justice to the important subject.
Hitherto those benign influences have been little understood; they
have been less valued; they have been still less experienced. This
part of the knowledge and practice of government is yet, as has been
observed, in its childhood, Let us, however, nurse and nourish it. In
due time, it will repay our care and our labor; for, in due time, it
will grow to the strength and stature of a full and perfect man."
One further point remains to be made - the point that the "two
fundamental elements of constitutionalism" are, indeed, "correlative."
A whole range of civil liberties, involving legal limitations on the
powers of government, are precisely the liberties by which the people
are assured security for their development and exercise of electoral
judgment, and for holding their government at all times accountable.
The point is amply clear insofar as it touches the political meaning of
all the First Amendment rights. In addition to those rights are the
civil liberties indispensable to safeguarding the people's position as
the standing principal ruler, such as protection from arbitrary arrest
and imprisonment, from bills of attainder often used in the past to
silence political opposition, from unreasonable and arbitrary searches
and seizures.
There can be no doubt that the main preoccupation during the
revolutionary and the Constitution-making periods was with political
liberty - in its two dimensions, one involving a freedom from arbitrary
power, the other involving freedoms for the task of keeping government
accountable for its performance within the powers assigned to it.
The general criterion for judgments of governmental performance infra
vires involved another liberty, which can appropriately be
designated personal liberty. Indeed, personal liberty was more
fundamental than the two aforementioned political liberties, since they,
in effect, served to protect it. In significant measure, personal
liberty was grounded in law, in the sense of being "secured"
by law and government.
How would such personal liberty have been defined by the American
founding leaders? In the context of the Declaration of Independence,
personal liberty would consist in the capacity to exercise effectively
the natural right equally possessed by all men to the pursuit of
happiness. Was government necessary for conferring such liberty on
citizens and safeguarding it? The answer was firmly in the affirmative.
Are not laws antithetical to such liberty, so that the more law, the
less liberty? The answer was firmly in the negative.
All the leaders of the founding generation were well acquainted with
John Locke's Second Treatise on Civil Government. There is no
evidence anywhere that there was any fundamental disagreement with his "resolution"
of age-old questions about the relation between law and liberty.
In Chapter IV of his treatise, a chapter interestingly enough entitled "Of
Slavery," Locke wrote as follows:
"The natural liberty of man is to be free from any
superior power on earth, and not to be under the will or legislative
authority of man, but to have only the law of Nature for his rule. The
liberty of man in society is to be under no other legislative power
but that established by consent in the commonwealth, nor under the
dominion of any will, or restraint of any law, but what that
legislative shall enact according to the trust put in it. Freedom,
then, is not what Sir Robert Filmer tells us: 'A liberty for every one
to do what he lists, to live as he pleases, and not to be tied by any
laws'; but freedom of men under government is to have a standing rule
to live by, common to every one of that society, and made by the
legislative power erected in it. A liberty to follow my own will in
all things where that rule prescribes not, not to be subject to the
inconstant, uncertain, unknown, arbitrary will of another man, as
freedom of nature is to be under no other restraint but the law of
Nature.
"This freedom from absolute, arbitrary power is so necessary to,
and closely joined with, a man's preservation, that he cannot part
with it but by what forfeits his preservation and life together."
The same points are somewhat more amply stated in Locke's Chapter VI:
"For law, in its true notion, is not so much the
limitation as the direction of a free and intelligent agent to his
proper interest, and prescribes no farther than is for the general
good of those under that law. Could they be happier without it, the
law, as a useless thing, would of itself vanish; and that ill deserves
the name of confinement which hedges us in only from bogs and
precipices. So that however it may be mistaken, the end of law is not
to abolish or restrain, moon: his is original, like the beaming
splendor of the sun.
"The benign influences, flowing from the possession and exercise
of this right, deserve to be clearly and fully pointed out. I wish it
was in my power to do complete justice to the important subject.
Hitherto those benign influences have been little understood; they
have been less valued; they have been still less experienced. This
part of the knowledge and practice of government is yet, as has been
observed, in its childhood. Let us, however, nurse and nourish it. In
due time, it will repay our care and our labor; for, in due time, it
will grow to the strength and stature of a full and perfect man."
One further point remains to be made-the point that the "two
fundamental elements of constitutionalism" are, indeed, "correlative."
A whole range of civil liberties, involving legal limitations on the
powers of government, are precisely the liberties by which the people
are assured security for their development and exercise of electoral
judgment, and for holding their government at all times accountable.
The point is amply clear insofar as it touches the political meaning of
all the First Amendment rights. In addition to those rights are the
civil liberties indispensable to safeguarding the people's position as
the standing principal ruler, such as protection from arbitrary arrest
and imprisonment, from bills of attainder often used in the past to
silence political opposition, from unreasonable and arbitrary searches
and seizures.
There can be no doubt that the main preoccupation during the
revolutionary and the Constitution-making periods was with political
liberty - in its two dimensions, one involving a freedom from arbitrary
power, the other involving freedoms for the task of keeping government
accountable for its performance within the powers assigned to it.
The general criterion for judgments of governmental performance infra
vires involved another liberty, which can appropriately be
designated personal liberty. Indeed, personal liberty was more
fundamental than the two aforementioned political liberties, since they,
in effect, served to protect it. In significant measure, personal
liberty was grounded in law, in the sense of being "secured"
by law and government.
How would such personal liberty have been defined by the American
founding leaders? In the context of the Declaration of Independence,
personal liberty would consist in the capacity to exercise effectively
the natural right equally possessed by all men to the pursuit of
happiness. Was government necessary for conferring such liberty on
citizens am guarding it? The answer was firmly in the affirmative. Are
not laws antithetical to such liberty, so that the more law, the less
liberty? The answer was firmly in the negative.
All the leaders of the founding generation well acquainted with John
Locke's Second Treatise on Civil Government. There is no
evidence any that there was any fundamental disagreement with his "resolution"
of age-old questions about the relation between law and liberty.
In Chapter IV of his treatise, a chapter interestingly enough entitled "Of
Slavery," Locke wrote as follows:
"The natural liberty of man is to be free fro;
superior power on earth, and not to be under the will or legislative
authority of man, but to have only the law of Nature for his rule. The
liberty of man in society is to be under no other legislative power
but that established by consent in the commonwealth, nor under the
dominion of any will, or restraint of any law, but what that
legislative shall enact according to the trust put in it. Freedom,
then, is not what Sir Robert Filmer tells us: 'A liberty for every one
to do what he lists, to live as he pleases, and not to be tied by any
laws'; but freedom of men under government is to have a standing rule
to live by, common to every one of that society, and made by the
legislative power erected in it. A liberty to follow my own will in
all things where that rule prescribes not, not to be subject to the
inconstant, uncertain, unknown, arbitrary will of another man, as
freedom of nature is to be under no other restraint but the law of
Nature.
"This freedom from absolute, arbitrary power is so necessary to,
and closely joined with, a man's preservation, that he cannot part
with it but by what forfeits his preservation and life together."
The same points are somewhat more amply stated in Locke's Chapter VI:
"For law, in its true notion, is not so much the
limitation as the direction of a free and intelligent agent to his
proper interest, and prescribes no farther than is for the general
good of those under that law. Could they be happier without it, the
law, as a useless thing, would of itself vanish; and that ill deserves
the name of confinement which hedges us in from bogs and precipices.
So that however it may be mistaken, the end of law is not to abolish
or restrain but to preserve and enlarge freedom. For in all the states
of created beings, capable of laws, where there is no law there is no
freedom. For liberty is to be free from restraint and violence from
others, which cannot be where there is no law; and is not, as we are
told, 'a liberty for every man to do what he lists.' For who could be
free, when every other man's humor might domineer over him? But a
liberty to dispose and order freely as he lists his person, actions,
possessions, and his whole property within the allowance of those laws
under which he is, and therein not to be subject to the arbitrary will
of another, but freely follow his own."
It is important, perhaps, to look once more at that part of the first
text quoted from Locke where, after speaking of freedom under law, he
refers to a sphere of freedom in which every one has "a liberty to
follow [his] own will in all things where that rule prescribes not."
Whatever may have been Locke's views concerning the desirable scope of
that sphere in which laws do not regulate human conduct and individuals
are free to do as they please, it is worth recording that there is no
body of texts in the founding literature which urges that the sphere of
unregulated conduct should be very large, or as large as possible. That
literature, in other words, does not espouse the position later to be
called "minimalism" - the view that that government governs
best which governs least, because it thereby enlarges the sphere of
personal liberty. It was left open to future history to determine how
much legal regulation is needed to secure, indeed to preserve and
enlarge, personal liberty.
For final confirmation of the American consensus on Locke's theory of
the relation of law and liberty, a text from James Wilson serves best.
It not only confirms Locke's doctrine, but also argues, by implication
at least, that that government governs best which governs, not least or
most, but most justly; and that human beings have as much personal
liberty as they deserve, or can use justly, when their conduct is
regulated by just laws. The passage from James Wilson reads as follows:
"In a former part of these lectures, I had occasion
to describe what natural liberty is: let us recur to the description,
which was then given. 'Nature has implanted in man the desire of his
own happiness; she has inspired him with many tender affections
towards others, especially in the near relations of life; she has
endowed him with intellectual and with active powers; she has
furnished him with a natural impulse to exercise his powers for his
own happiness, and the happiness of those for whom he entertains such
tender affections. If all this be true, the undeniable consequence is,
that he has a right to exert those powers for the accomplishment of
those purposes, in such manner, and upon such objects, as his
inclination a judgment shall direct; provided he does no injury
others; and provided some public interests do r demand his labors.
This right is natural liberty.'
"If this description of national liberty is a just one, it will
teach us, that selfishness and injury are as little countenanced by
the law of nature as by the law of man. Positive penalties, indeed,
may, by human laws, be annexed to both. But these penalties are a
restraint only upon injustice and overweening self-love, not upon the
exercise of natural liberty.
"In a state of natural liberty, every one is allowed to act
according to his own inclination, provided he transgress not those
limits, which are assigned to him by the law of nature: in a state of
civil liberty, he is allowed to act according to his inclination,
provided he transgress not those limits, which are assigned to him by
the municipal law. True it is, that, by the municipal law, some things
may be prohibited, which are not prohibited by the law of nature: but
equal true it is, that, under a government which is wise and good,
every citizen will gain more liberty than he can lose by these
prohibitions. He will gain more by the limitation of other men's
freedom, than he can lose by the diminution of his own. He will gain
more by the enlarged and undisturbed exercise of his natural liberty
in innumerable instances, than he can lose by the restriction of it in
a few.
"Upon the whole, therefore, man's natural liberty, instead of
being abridged, may be increased and secured in a government, which is
good and wise. As it is with regard to his natural liberty, so it is
with regard to his other natural rights."
The title page of the first published edition of James Wilson's Works
contained a motto from Cicero: "Lex fundamentum est libertatis,
qua fruimu, Legum omnes servi sumus, ut liberi esse possimus. "Law
is the foundation of the liberty we enjoy. We are all servants of the
laws in order that we can be free."
NOTES
1. Students of the Western
constitutionalist tradition can construe this proposition from the
farmers of Sutton, as almost a translation of a maxim of medieval
constitutionalism. In his Lectures on Law, delivered at the
College of Philadelphia in 1790-1791, James Wilson, America's leading
jurist, adverted to this medieval maxim: "Let us next pay the
respect, which is due to the celebrated sentiment of the English
Justinian, Edward the First. Lex justissima, ut quod omnes tangit,
ab omnibus approbfiur. 'It is a most just law, that what affects all
should be approved by all.' This golden rule is, with great propriety,
inserted in his summons to this parliament." The farmers of Sutton
urged an application of this maxim in a context where the people, rather
than a king, was sovereign.
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