The Emerging Constitution Rexford G Tugwell-1974-671pgs-POL
Transcript of The Emerging Constitution Rexford G Tugwell-1974-671pgs-POL
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THE EMERGING CONSTITUTION
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THE EMERGINGCONSTITUTIONBy REXFORD G . T U G W E L L
HARPER'S MAGAZINE PRESSPublished in Ass ociation with Ha rp er & Row, New York
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" H a r p e r ' s " i s t h e r e g i s t e r e d t r a d e m a r k o f H a r p e r & R o w , P u b l i s h e r s , I n c .
THE EMERGING CONSTITUTION . Copy right 19 74 by The Fund for the Rep ublic, Inc .A l l r i g h t s r e s e r v e d . P r i n t e d i n t h e U n i t e d S t a t e s o f A m e r i c a . No part of this book
may be used or reproduced in any manner whatsoeve r without written permission ex-
c e p t i n t h e c a s e o f b r i e f q u o t a t i o n s e m b o d i e d i n c r i t i c a l a r t i c l e s a n d r e v i e w s. F o r
i n f o r m a t i o n a d d r e s s H a r p e r & R o w , P u b l i s h e r s , I n c . , 1 0 E a s t 5 3 r d S t r e e t , N e w Y o r k ,
N.Y. 100 22 . P u b l i s h e d s i m u l t a n e o u s l y i n C a n a d a b y F i t z h e n r y & W h i t e s i d e L i m i t e d ,Tor onto .
FIRST EDIT ION
Desig ned by Sidney Fe inber g
Library of Congres s Cataloging in Publication Data
Tugwell, Rexf ord Guy, 1891 -
The e me rg ing Constitution .
I n c l u d e s b i b l i o g r a p h i c a l r e f e r e n c e s .
1 . U n i t e d S t a t e s - C o n s t i t u t i o n a l h i s t o r y .
I . T i t l e .
JK39 .T84 3 4 2 ' . 7 3 ' 0 2 9 73-6316
ISBN 0-06 -1282 25-1
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CONTENTS
Pref atory Note, xi
Intr oduction, xiii
PART ONETHE REASONING (Or Part of It)
1 . GENERAL CRITERIA FOR CONSTITUTIONMAKING, 3A Weighted Compromise-The Loss in Compromise-A PluralistEconomy - Conflicts Not Contem p late d-Ps e udoconstitutionalism Will
Not Do-Economics a nd a "Liv ing" Constitution- Individualis m a nd
Organization-Constitutional, and Other, Law-The Argument for
Periodic Revision
2 . CRITERIA FURTHER CONSIDERED, 50Neces sa ry Neg otiation-I n Another Conve ntion-Def initions a nd Dire c-
tive s- Matter s of Procedure , Form, and Style-G en er al Structural
Cr iter ia-Accep tance
3 . PARTS AND THE WHOLE, 89A Federa l Arr angem ent Is Difficult-But, as a T em porar y Exp edient,
Not Im poss ible-I t Must B e Org anic-Anoma lies and Obstructions-T he
Te chnological Imp er ative -Unionism in Theory and Practice- The Future
for the United State s- The F uture f or the World
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V l l l CONTENTS4 . THE SEPARATION OF POWERS, 127
How the Doctrine Dev elope d-How It Was Adap ted to the Fr am er s'N eed s- Th eory and Fact-Depa rtures -A Monolith?-Disp uted Te rr ain-
Prese rv ing the Separ ation Principle- An Integ ra ted Whole
5 . THE DOCTRINE OF NECESSITY, 1 6 1The Doctrine-T he Contending Br anches -Pre sidential Pre dicame nts-
Ba ff ling Area s of Constitutional Silence- Ba lancing the Power s- A
Le ga cy of Ambiguity- Tilting the Balance-I nter ve ntion Makes App re -
hension-Undeclar ed War fa re -T he Doctrine and Military Nightma re s-
The Doctrine a nd Pre sidential Fa llibility
6 . THE RULE OF SELF-RESTRAINT, 204Checks and Balances -T he Undef inable Virtue of Res traint-Disr eg ar d of
the Rule-Ex tensions of Power Be come Pre cedents- Court Violations
of the Rule-Diminishing Voluntar y Res traint-"Admira ble B re vity" and
the Rule
PART TWOTHE STRUCTURE7 . THE ELECTORAL PROCESS, 2 4 3
The Illegitima te Par ty Sys tem- The Needed Changes -T he Decline of
Participation-The Renewal of Dialogue- How Fre e C an Decisions Be ?-
The Fa llible Majority-The Incompe tent Voter -T he Us es of Dialogue
8 . ASSESSMENT AND GUIDANCE, 284Constitutional Enmities - Gov e rnm enta l Estima tion and Guidance-
Wholes and Parts -T h e Putting T oge ther -Anter ior Concord-Accom-
modative Proces se s- Cost Effectiveness -Oper ative Estima tes-Par alegis-
lative Exam ination-The F uture in the Pres ent
9 . THE PRESIDENCY, 35 6The Concep tion and the Re ality- The Splendid Miser y- The Hazar d of
One- The Br itish Solution-Eff orts a t Reor ga nization-Eleme nts of the
Pres idential Assignment-Disp er sa l and Stre ngthening
1 0 . THE LEGISLATURE, 39 7Th e Congre s s ional Position-L aw ma king-Kinds of C ompl aint-L eg i s-
la tiv e I m p r ov e m e n ts - A C ong r e s s of Re p r e s e n ta tiv e s - A Body toRepr es ent the Nation
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Inde x , 6 23
CONTENTS i x1 1 . THE JUDICIARY, 433
The More Ambiguous Bra nch-The Costs of Interdep endence- Protect-
ing a People fr om Thems el ve s- Th e Court as a Constitutionma ker-
Th e Courts in Contex t-A Simp lified Sys tem- Administra tion of a
Constitution-The Rejection Syndrom e- Ines cap able Re sp onsibilities
1 2 . REGULATION, 496Emer ging Ser vices -Aff ected with a Public Intere st-One Reg ulatory
Device-Self-r egulation
13 . THE EMERGENT SITUATION : A SUMMARY, 528E m e r g e n ce - F e d e r a l is m - T h e I n te r d e p e n de n t Po we r s - T h e R i g ht s a n d
Duties -T he Le gislative B ra nch-The Exe cutive Bra nch-The Judicial
Br anch-Missing Br anches : Political, Planning, Re gulatory
1 4 . A PROPOSED CONSTITUTIONAL MODEL FOR THE NEWSTATESOF AMERICA, 592
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PREFATORY NOTE
T h e c h a p t e r s o f t h i s b o o k w e r e w r i t t e n a s p a p e r s t o b e d i s c u s s e d a t t h e
C e n t e r f or t h e S t u d y o f D e m o cr a t i c I n st i t u t io n s . T h i s w a s a c o n t in u i n g p r oj -
e c t a n d w a s c o n t r i b u t e d t o n o t o n l y b y t h e S e n i o r F e l l o w s o f t h e C e n t e r
b u t b y m a n y V i s i t i n g F e l l o w s d u r i n g s e v e r a l y e a r s . A f t e r d i s c u s s i o n t h e
p a p e r s w e r e r e v i s e d a n d g r a d u a l l y a s s u m e d t h e i r p r e s e n t f o r m .
The p ape rs were the background for a succes sion of constitutional
models . T h e s e s e r v e d t o f o c u s a n d t o m a k e m o r e p r e c i s e t h e c o n s t i t u t i o n a l
c h a n g es b e l i e v e d t o b e n e c es s a r y a ft e r n e a r ly t w o h u n d r ed y e a r s . T h e r e
w e r e f r e q u e n t m o d i f i c a t i o n s o f t h e m o d e l , a n d t h e n u m b e r o f r e v i s i o n s g r e w
t o f o r t y . S t i l l m o r e a r e i n p r o s p e c t t o m e e t t h e c r i t e r i a o f t h e p a p e r s .
N o n e o f t h e s e m o d e l s i s p r e s e n t e d h e r e b e c a u s e n o n e h a s s a t i s f i e d a l l
t h e c o n d i t i o n s o f a d e m o c r a t i c c o n s t i t u t i o n . F u r t h e r s t u d y a n d d i s c u s s i o n
s h o u l d r e s u l t i n i m p r o v e m e n t s , a n d g r a d u a l l y , i t i s h o p e d , o n e w i l l e m e r g e
t h a t m a y b e u s e f u l t o t h o s e w h o a r e c a l l e d o n i n t h e f u t u r e t o c o n s i d e r
a m e n d m e n t n o t m e r e l y o f s p e c i f i c p r o v i s i o n s b u t o f t h e w h o l e .
W h a t e v e r c h a n g e s m a y r e s u l t f r o m f u r t h e r d i s c u s s i o n s , i t i s b e l i e v e d t h a t
t h e t h e o r y a n d s t r u c t u r e h a v e b y n o w r e a c h e d s u f f i c i e n t s t a b i l i t y t o w a r r a n t
p u b l i c a t i o n . T h e p r o b l e m s h a v e g r a d u a l l y d i s c l o s e d t h e m s e l v e s a s e x p l o r a -
t i o n h a s p r o c e e d e d , a n d t h e i r s o l u t i o n , i f n o t s a t i s f a c t o r y , i s a t l e a s t f o r e c a s t
b y r e a l i s t i c s t a t e m e n t o f t h e i r e l e m e n t s .
T h e r e w i l l c e r t a i n l y b e m o r e i n g e n i o u s d e v i c e s , n e w p e r c e p t i o n s o f r e l a -
t i o n s h i p , n e w p r o t e c t i o n s f o r l i b e r t y , a n d n e w a l l o c a t i o n s o f d u t y . The fitting
o f a c o n s t i t u t i o n a l s c h e m e t o c h a r a c t e r i s t i c v a l u e s a n d p r e f e r e n c e s h a s
g u i d e d t h e w o r k t h r o u g h o u t , a n d a l t h o u g h i t h a s s o m e t i m e s s e e m e d a l m o s t
i m p o s s i b l e t o c r e a t e a n i n t e g r a t e d w h o l e , t h a t h a s b e e n t h e a t t e m p t . W h a t -
e v e r e l s e e m e r g e s o u g h t t o r e q u i r e a d d i t i o n s o r m o d i f i c a t i o n s r a t h e r t h a n
complete reworking .
x i
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x i i PREFATORY NOTET h i s i s s a i d w i t h d u e r e s p e c t f o r t i m e a n d i t s i n e v i t a b l e e f f e c t s . One
emerging conclusion has been that coming g ener ations ought not to be
p r e c l u d e d f r o m m a k i n g t h e i r o w n b a s i c l a w . T h i s o f f e r i n g i s f o r n o w a n d
f o r t h e i m m e d i a t e - n o t t h e f a r - f u t u r e .
R.G . T .
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INTRODUCTION
C o n c e r n i n g C o n s t i t u t i o n s
I t c o u l d b e d e n i e d t h a t a n a t i o n n e e d s a c o n s t i t u t i o n , b u t i f t h e d e c i s i o n
i s t h a t i t s h o u l d h a v e o n e , s o m e q u e s t i o n s a r e i n e v i t a b l e . W h a t s h o u l d t h a t
c o n s t i t u t i o n b e e x p e c t e d t o d o , o r c o u l d i t b e d o n e i n s o m e a l t e r n a t e w a y ?
The argument would not be conclusive, but it would be more convincing
t h a n t h e a r g u m e n t t h a t n o n e i s n e e d e d b e c a u s e n o n e h a s e x i s t e d . T h er e a r e
n a t i o n s w i t h , a n d n a t i o n s w i t h o u t , c o n s t i t u t i o n s .
I t i s m o r e i n t e r e s t i n g t o o b s e r v e w h a t s u c h a c h a r t e r d o e s - w h a t a l l
e x i s t i n g o n e s d o . T h e y e s t a b l i s h a g o v e r n m e n t , m a k e a m o r e o r l e s s c o m -
p l e t e s t a t e m e n t o f p u r p o s e s ( a p r e a m b l e ) a n d a b r i e f b u t s p e c i f i c i n d i c a t i o n
of its structure ; t h e y p r o v i d e a n i n d i c a t i o n o f p o w e r s a n d t h e i r d i s t r i b u t i o n
a m o n g o f f i c i a l s , t o g e t h e r w i t h a s t a t e m e n t o f r i g h t s g i v e n t o a n d d u t i e s e x -
p e c t e d o f c i t i z e n s . S o a c o n s t i t u t i o n i s n o t o n l y a p r o f e s s i o n o f i n t en t i o n b y i t s
p e o p l e b u t a l s o a g u i d e f o r t h e g o v e r n i n g a n d t h e g o v e r n e d . This last, in a
c o u n t r y w i t h p l u r a l i s t i c i n c l i n a t i o n s , m a y w e l l b e a s i m p o r t a n t a s a n y o t h e r
c h a r a c t e r i s t i c .
Evidently few nations-and always the ones with advanced economic
a n d s o p h i s t i c a t e d s o c i a l s y s t e m s - f e e l c a p a b l e o f m a i n t a i n i n g a s a t i s f a c t o r y ,
o r g a n i z e d e x i s t e n c e w i t h o u t a w r i t t e n c h a r t e r . Most nations have such a
d o c u m e n t e v e n w h e n i t i s e a s i l y a b r o g a t e d b y c o u p s o f v a r i o u s k i n d s . T h e r e
i s , o f c o u r s e , t h e m u c h a d m i r e d B r i t i s h e x c e p t i o n . B u t e v e n t h e B r i t i s h -
pr oud as they are of going on quite well without one (with pe rhaps an
i n f e r e n c e t h a t i t i s o n l y i n f e r i o r p e o p l e s w h o d o n e e d t h e m ) - c o n s t a n t l y
a n d c o n f i d e n t l y u s e t h e w o r d " c o n s t i t u t i o n . " I n f a c t , t h e i r p ri nc i pl e s a r e
r e f e r r e d t o a s o f t e n a s a n d i n t h e s a m e s e n s e t h a t A m e r i c a n s r e f e r t o t h e i r s .
T h e B r i t i s h i n s t a n c e i s o f t e n s a i d t o b e e s p e c i a l l y r e l e v a n t b e c a u s e s o
x i u
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Xlv INTRODUCTIONm a n y i n s t i t u t i o n s i n t h e U n i t e d S t a t e s a r e i n h e r i t e d f r o m t h e B r i t i s h , a n d
i t i s o f t e n s u g g e s t e d t h a t i t w o u l d b e w e l l t o f o l l o w t h e i r e x a m p l e i n t h i s a s
w e l l a s o t h e r m a t t e r s . T h e d i f f i c u l t y i s t h a t t r a n s a t l a n t i c a f f a i r s h a v e e v o l v e d
i n a q u i t e d i f f e r e n t w a y . The United Kingdom has re mained a relatively
sma ll and homoge neous nation with univer sally understood tra ditions
needing m inimal enforcem ent . I n f l u x e s o f p e o p l e f r o m d i f f e r e n t c u l t u r e s
h a v e b e e n l i m i t e d , a n d i t h a s t o b e r e c a l l e d t h a t e v e n w h e n t h e r e w a s a n
e m p i r e , B r i t i s h s u b j e c t s w e r e n o t a d m i t t e d t o t h e c i r c l e o f h o m e c i t i z e n s .
When immigr ants cam e to Ame rica they did indee d become pa rt of us .
B e c a u s e , i n t h e U n i t e d S t a t e s , g r o w t h h a s b e e n o f a m o r e e x t e n s i v e
a n d h e t e r o g e n e o u s n a t u r e , t h e B r i t i s h e x a m p l e h a s l e s s r e l e v a n c e t h a n i t
m i g h t h a v e h a d a c e n t u r y a g o . T h e U n i t e d S t a t e s i s s o m a n y t i m e s i t s o r i g i n a l
s i z e , a n d i t h a s t a k e n i n s o m a n y i m m i g r a n t s f r o m o t h e r c u l t u r e s , t h a t i t
m a y w e l l b e t h e l e a s t h o m o g e n e o u s b i g a r e a i n a l l h i s t o r y .
Another e lem ent in Ame rican dev elopment makes an enormous dif-
f e r e n c e . B y a c o m b i n a t i o n o f c i r c u m s t a n c e s , l e v e l s o f a f f l u e n c e h a v e r i s e n
b e y o n d t h o s e o f a n y o t h e r p e o p l e , a n d t h i s h a s g i v e n t h e n a t i o n a n i n -
v o l u n t a r y p o s i t i o n o f p o w e r i n t h e w o r l d t h a t m o s t A m e r i c a n s r e s e n t a n d
w o u l d i g n o r e i f t h e y c o u l d . T h e y n e v e r t h e l e s s a r e a l w a y s f i n d i n g t h e m -
s e l v e s i n v o l v e d i n a f f a i r s b e y o n d t h e i r s h o r e s . A l s o , t h i s a f f l u e n c e h a s p r e -
c i p i t a t e d t h e n e c e s s i t y o f a d j u s t m e n t s c o m p l e t e l y f o r e i g n t o h u m a n e x p e r i -
e n c e ; t h e m a n a g e m e n t o f w e a l t h a n d i t s c i v i l i z e d u s e p r e s e n t p r o b l e m s m o r e
d i f f i c u l t t h a n c o u l d h a v e b e e n a n t i c i p a t e d .
I n B r i t a i n , r e c e n t e v o l u t i o n o f i n s t i t u t i o n s h a s t a k e n p l a c e w i t h o u t
c o n v u l s i v e a r g u m e n t ; y e t i t h a s t o b e a d m i t t e d t h a t m a n y d e s i r a b l e a d j u s t -
m e n t s h a v e c o m e m o r e q u i c k l y t h e r e t h a n h e r e . T h i s i n s t a n c e , h o w e v e r , i s
a n o t h e r u n i q u e B r i t i s h c h a r a c t e r i s t i c . O t h e r s h a v e f o u n d i t n e c e s s a r y t o
h a v e a f o r m a l a g r e e m e n t a b o u t g o v e r n m e n t a l p o w e r s a n d a b o u t t h e r i g h t s
a n d d u t i e s o f g r o u p s a n d i n d i v i d u a l s . T h i s in p a r t is b e c a u s e p e o p l e pr o -
f o u n d l y f e e l t h a t g o v e r n m e n t s n e e d r e s t r a i n i n g , a s w e l l a s b e c a u s e s o m e
c i t i z e n s p r e f e r n o t t o r e c o g n i z e t h e i r d u t i e s o r t o r e s p e c t t h e r i g h t s o f o t h e r s .
S t a n d a r d s m u s t b e e s t a b l i s h e d a n d c o n s t a n t l y e n f o r c e d i f t h e s o r t o f r e l a -
t i o n s a r e t o b e m a i n t a i n e d t h a t o r i g i n a l l y w e r e a g r e e d u p o n w h e n c l o s e
a t t e n t i o n w a s b e i n g g i v e n t o t h e i r d e f i n i t i o n , a n d w h e n a c o n s e n s u s w a s
b e i n g r e a c h e d a n d e m b o d i e d i n a c o n s t i t u t i o n .
T h e d e m a n d f o r c o n s t i t u t i o n s a r i s e s f r o m e s s e n t i a l l y p r o t e c t i v e i m -
p u l s e s ; a n d i t i s t r u e t h a t m o s t o f t h e m a r e m o r e a t t e n t i v e t o r e s t r a i n t s t h a n
t o t h e n e c e s s a r y f u n c t i o n s o f a m o d e r n s t a t e o r t o t h e d u t i e s o f a l o y a l
c i t i z e n r y .
I t i s n o t i c e a b l e t h a t i n c o u n t r i e s w h e r e c o u p s d ' e t a t h a v e o c c u r r e d t h e
f i r s t s e r i o u s p r o b l e m c o n f r o n t i n g a d i c t a t o r , a f t e r s o m e r e l a x a t i o n o f
m i l i t a r y r u l e , i s t h e d e m a n d f o r a c o n s t i t u t i o n . I t a l m o s t a l w a y s h a p p e n s
a n d a l m o s t a l w a y s h a s t o b e s a t i s f i e d i n s o m e w a y . I t w a s t h e r e a s o n w h y
King John was forced to accept Magna Char ta in 12 15, and sove re igns
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INTRODUCTION XVev er since have been limited in some way-e ven democratic sover eigns
w h o s e i n s t i t u t i o n s e s c a p e t h e i n t e n d e d l i m i t a t i o n s o f t h e i r c h a r t e r .
P o p u l a r g o v e r n m e n t s o n c e a t t a i n e d , o f t e n b y r e v o l u t i o n b u t s o m e t i m e s
b y e v o l u t i o n , a r e n o t s u p p o s e d t o b e d i c t a t o r i a l ; u s u a l l y t h e y h a v e b e e n
e s t a b l i s h e d t o e s c a p e s o m e s o r t o f o p p r e s s i o n . S t i l l , t h e y c a n b e s o s h a p e d
o r s o m a n a g e d t h a t t h e y a r e u n f a i r t o c e r t a i n i n t e r e s t s o r g r o u p s , o f t e n
a m i n o r i t y i n n u m b e r s . T h e f r a m e r s i n 1 7 8 7 , b e l o n g i n g t o s u c h a m i n o r i t y ,
h a d t h e p r o b l e m o f k e e p i n g t h e m a j o r i t y o f t h e i r d a y w i t h i n b o u n d s . T h e y
were more afraid of unruly mass es than they had once been of royalty .
R e v o l u t i o n a r y ( a n d p o s t - R e v o l u t i o n a r y ) " m o b s " w e r e v e r y d i s r e s p e c t f u l t o
t h e i r b e t t e r s a n d n o t m u c h i n t e r e s t e d i n t h e p r o t e c t i o n o f p r o p e r t y . T h i s
f e a r i s r e f l e c t e d i n t h e o r i g i n a l C o n s t i t u t i o n - s o m e t h i n g o f t e n p o i n t e d o u t .
I n d e e d , t h e t e n d e r n e s s o f t h e f r a m e r s f o r p r o p e r t y r i g h t s s o a n n o y e d t h o s e
who were more interested in liberty that before the document could be
r a t i f i e d a s w r i t t e n i t h a d t o b e s u p p l e m e n t e d w i t h s p e c i f i c m e n t i o n o f t h e
inviolable liberties . S o t h e B i l l o f R i g h t s w a s a d d e d a s t h e f i r s t t e n a m e n d -
me nts .
2
A s e r i o u s d i f f i c u l t y w i t h a n y a g r e e m e n t e m b o d i e d i n a d o c u m e n t a n d
w i d e l y a c c e p t e d , a s t h e C o n s t i t u t i o n o f 17 8 7 e v e n t u a l l y c a m e t o b e , i s
t h a t i t s p r o v i s i o n s e v e n t u a l l y t e n d t o b e c o m e s c r i p t u r a l a n d t h a t t h o s e w h o
h a v e a n a d v a n t a g e u n d e r i t s p r o v i s i o n s , a n d s o h a v e a n i n t e r e s t i n i t s p e r -
p e t u a ti o n , a r e a b le t o o r g a n i ze a c t i v e p r o t ec t i o n f o r i ts p r o v i s i o ns . P r o p o s a l s
f o r c h a n g e h a v e i m m e n s e d e f e n s e s t o p e n e t r a t e . B e c a u s e t h i s c h a r t e r i s t h u s
m a s s i v e l y f o u n d e d i t m a y e a s i l y i f g r a d u a l l y b e c o m e o b s o l e t e a s e c o n o m i c
a n d s o c i a l c h a n g e s o c c u r .
The American instance of obsolesence is a ser ious one, strangely
i g n o r e d i n c o n s t i t u t i o n a l c o m m e n t a r i e s e v e n b y s t u d e n t s o f p u b l i c l a w . A s
w e s h a l l s e e , a t h e o r y h a d t o b e i n v e n t e d t o j u s t i f y a f r o z e n c h a r t e r i n a
c h a n g i n g s o c i e t y .
T h e f a c t i s , h o w e v e r , t h a t a f t e r t h e C o n s t i t u t i o n b e c a m e e f f e c t i v e a n d
t h e g o v e r n m e n t i t p r o v i d e d f o r w a s e s t a b l i s h e d , n e a r l y e v e r y c h a r a c t e r i s t i c
o f t h e s o c i e t y t h e f r a m e r s k n e w p r o c e e d e d t o d i s a p p e a r w i t h i n t w o g e n e r a -
t i o n s . D e f e n d e r s o f t h e C o n s t i t u t i o n a r e i n c l i n e d t o f o r g e t t h a t t h e n e w
A m e r i c a w o u l d s o o n h a v e b e e n u n r e c o g n i z a b l e t o l a t e e i g h t e e n t h - c e n t u r y
s t a t e s m e n . Their work had been done before the industrial rev olution,
before westward migra tion bega n, and before transp ortation and com-
munication had really begun to make the nation one . The fr am ework of
g o v e r n m e n t a n d i t s d i r e c t i v e s w e r e c o n g e a l e d i n t h e g l a c i a t i o n o f a s t a b l e
r u r a l c i v i l i z a t i o n e v e n w h i l e t h a t c i v i l i z a t i o n w a s d i s s o l v i n g i n t o c o m p l e x
r e a r r a n g e m e n ts w i t h a n u r b a n c a s t .
A n o t h e r d i f f i c u l t y , e q u a l l y s e r i o u s , w a s t h a t t h e i n s t i t u t i o n s o f t h e
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x v i INTRODUCTIONd e m o c r a c y t h a t e v o l v e d i n t h e U n i t e d S t a t e s d u r i n g t h e n i n e t e e n t h c e n t u r y
a s s u m e d t h e e x i s t e n c e o f a n e n l i g h t e n e d a n d s e l f - d i s c i p l i n e d c i t i z e nr y , n o t
j u s t t h e d o m i n a n t e l i t e t h e f r a m e r s h a d i n m i n d . E n l i g h t e n m e n t , h o w e v e r ,
s u c h a s w a s a s s u m e d t o e x i s t , c o u l d o n l y b e t h e p r o d u c t o f u n i v e r s a l e d u c a -
t i o n ; s e l f - d i s c i p l i n e c o u l d e x i s t o n l y w h e n t h e r e w e r e g e n e r a l l y a c c e p t e d
r u l e s o f c o n d u c t . A s A m e r i c a n s h a v e d i s c o v e r e d , a s y s t e m o f e d u c a t i o n i s
n o t q u i c k ly e s t a b l i sh e d , e v e n i n a w ea l t h y c o u nr t y ; a n d a s e t t l i ng d o w n t o
h o m o g e n e i t y i s s t i l l l o n g e r i n c o m i n g , e v e n w h e n m o s t c i t i z e n s h a v e a c c e s s
t o t h e a p p u r t e n a n c e s o f c i v i l i z a t i o n .
If we look ahead far enough it may be allowable to gues s that the
e v e n t u a l e n d o f A m e r i c a n e n d e a v o r s w i l l b e s u c h a s o c i e t y , c a p a b l e o f d i s -
p e n s i n g w i t h t h e g o v e r n i n g r u l e s ; i n i t a c o n s t i t u t i o n a f f e c t in g b o t h i n -
dividuals and gove rnment would be super fluous . W h i l e a c t i v e c h a n g e i s
g o i n g o n , h o w e v e r , w i t h c o n t i n u e d i r r i t a t i o n s f r o m i t s d i f f e r e n t i a l e f f e c t s , a
g o v e r n i n g a g r e e m e n t i s e v i d e n t l y c o n s i d e r e d t o b e u s e f u l , e v e n e s s e n t i a l ,
a s a g u i d e a n d s t a n d a r d .
I f i t i s a c c e p t e d , f o r t h e m o m e n t , t h a t a c o n s t i t u t i o n i s n e e d e d , i t o b -
v i o u s l y o u g h t t o b e r e l e v a n t t o c o n t e m p o r a r y c i r c u m s t a n c e s ; o t h e r w i s e , i t
c a n h a r d l y o c c u p y t h e p o s i t i o n i n t e n d e d f o r i t . T a k e t h a t o f 1 7 8 7 ; i t h a s n o t
b e e n , i n a n y e s s e n t i a l , a c c o m m o d a t ed t o m o d e r n c o n d i t i o n s . I t i s h a r d l y
a n e x a g g e r a t i o n t o s a y t h a t - d e s p i t e m u c h e x p r e s s e d r e v e r e n c e - i t i s , t a k e n
l i t e r a l l y , n o l o n g e r t h e c o n t a i n i n g i n s t r u m e n t f o r existing gover nment and no
l o n g e r a s u f f i c i e n t d e f i n i t i o n o f c i t i z e n s ' r i g h t s a n d d u t i e s . S o m e c o n s i d e r a b l e
n u m b e r o f i t s c l a u s e s a r e s o o b s o l e t e t h a t t h e y n o l o n g e r a r e h e e d e d a n d
c o u l d b e e l i m i n a te d w i t h o u t t h e i r a b s en c e b e i n g n o t i c e d . O t h e r s h a v e t a k e n
o n e n t i r e l y u n e x p e c t e d m e a n i n g s b y C o u r t i n t e r p r e t a t i o n .
H o w t h i s h a p p e n e d i s n o t a t a l l o b s c u r e . The nation in 1787 was new
and was surrounded by power ful and unfriendly neighbors ; i t w a s s t r u n g
a l o n g t h e A t l a n t i c s e a b o a r d ; a n d t h e f r o n ti e r , a f e w m i le s i n l a nd , w a s
i n t e r m i t t e n t l y b e s i e g e d . W h a t w a s f i r s t s e t u p w a s a m e a g e r e s t a b l i s h m e n t
i n a f r o n t i e r l a n d , r e f l e c t i n g t h e s i t u a t i o n o f a p e o p l e w i t h m a n y r e a s o n s f o r
b e i n g f e a r f u l o f a t t a c k , a n d m a n y r e a s o n s t o o f o r s u p p r e s s i n g t h e f o r c e s o f
d i s u n i t y w i t h i n t h e n a t i o n i t s e l f .
We do not often enough recall the des pe rate circumstances of 1787 .
The post-Revolutionary gover nment had all but disa pp ea re d in the few
y e a r s o f i t s e x i s t e n c e . T h e s e p a r a t e s t a t e s w e r e i m p o s i n g b a r r i e r s a g a i n s t
o n e a n o t h e r a s t h o u g h t h e y w e r e i n d e e d s o v e r e i g n ; t h e y r e f u s e d t o s u p p o r t
t h e c e n t r a l g o v e r n m e n t w i t h t a x e d f u n d s ; t h e a g g r e s s i o n s o f B r i t a i n , F r a n c e ,
a n d S p a i n w e r e a n i m m i n e n t d a n g e r , a n d t h e r e w e r e n o d e f e n s e f o r c e s . T h e
f r o n t i e r s w e r e a l m o s t e v e r y w h e r e o p e n a n d u n d e f e n d e d , a n d t h e c i t i e s o f
t h e s e a b o a r d w e r e p r i m i t i v e a n d d i s o r d e r l y . I t w a s o b v i o u s t h a t t h e n a t i o n ,
a c h i e v e d i n t h e e n t h u s i a s m o f r e v o l u t i o n , h a d a l l b u t d i s i n t e g r a t e d . U n l e s s
u n i o n c o u l d b e m o r e f i r m l y e s t a b l i s h e d a n d r e i n f o r c e d b y c e n t r a l ( f e d e r a l )
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XV111 INTRODUCTION
3
A s t o t h e U n i o n , i t w o u l d s e e m t o b e s e c u r e e n o u g h , a l t h o u g h i t h a s
t o b e s a i d t h a t t h i s w a s n o t t h e r e s u l t o f t h e c o m p a c t o f 1 7 8 7 . The Con-
s t i t ut i o n i n th i s r e sp e c t h ad a f a t a l fl a w . I t a t t e m p t e d s i m u l t a n e o u s l y t o
a c h i e v e u n i o n a n d t o m a k e t h e s t a t e s s o v e r e i g n . T h e s e w e r e t o t a l l y i n c o m -
p a t i b l e e n d s , a n d t h e t e n s i o n s s e t u p b y t h e a t t e m p t t o r e a c h b o t h h a d
f i n a l l y t o b e r e s o l v e d i n a c i v i l w a r .
T h e w a r d i d n o t a b o l i s h t h e s t a t e s ; i t o n l y s e t t l e d i n t h e n e g a t i ve t h e i r
c l a i m o f t h e r i g h t t o s e c e d e . T h e i r d e f e n d e r s r e m a i n e d u n w i l l i n g c o l l a b o r -
a t o r s e v e n i n d e f e a t ; t h e y s o o n c a m e b a c k i n t o t h e f e d e r a l e s t a b l i s h m e n t ;
a n d t o a d e g r e e t h e y s u c c e e d e d , a s l e g i s l a t o r s a n d o f f i c i a l s , i n c o n t i n u i n g
t h e c o m p r o m i s e a r r a n g e m e n t s t h e y h a d t r i e d t o t u r n i n t o t h e h a r d l i n e o f
t h e s e c e s s i o n i s t s .
T h e w a r d i d f u r n i s h t h e c o n d i t i o n s f o r a n e v o l u t i o n t o w a r d m o r e i n -
t e g r a t e d u n i o n , h o w e v e r , a n d t h a t e v o l u t i o n w e n t o n r e l e n t l e s s l y a g a i n s t
s u c h r es i s t a n c e a s o c c as i o n a l l y f l a r e d u p . W h a t e v e r a r e a o f a u t h o r i t y t h e
f e d e r a l g o v e r n m e n t p r e e m p t e d , t h e s t a t e s h a d t o s u r r e n d e r ; but in many
o f t h e m i t w a s d o n e r e l u c t a n t l y .
Looking back over the post-Civil War pe riod, it can do no harm to
r e c a l l , e v e n f o r t h e i n s t r u c t e d , s o m e o f t h e c u l t u r a l a n d t e c h n i c a l c h a n g e s .
F o r i n s t a n c e , e v e n t h e v i c t o r s ( t h e n o r t h e r n s t a t e s ) d i d n o t a c t u a l l y w a n t
t h e a b s o l u t e i n t e g r a t i o n o f p e r f e c t u n i o n . E v i d e n t l y t h e y h a d a l m o s t a s
m u c h f e e l i n g f o r s t a t e s ' r i g h t s a s d i d t h e s o u t h e r n e r s . Their new armies
h a d b e e n r a i s e d b y g o v e r n o r s o f t h e s t a t e s , a n d f o r t h e m o s t p a r t t h e y
h a d v o l u n t e e r e d a n d h a d f o u g h t a s t h e F i r s t O h i o , t h e N i n t h W i s c o n s i n ,
o r t h e S i x t h N e w Y o r k - n o t a s t h e F i f t h o r E i g h t h I n f a n t r y o f t h e U n i t e d
S t a t e s . W h e n t h e a r m y w a s d i s b a n d e d i t s s o l d i e r s r e t u r n e d t o s t a t e s v e r y
l i t t l e i m p a i r e d i n f u n c t i o n b e c a u s e o f t h e c o n f l i c t. B r e v e t g e n e r a l s b e c a m e
g o v e r n o r s , a n d a m a t e u r s o l d i e r s f o r m e d t h e G r a n d A r m y o f t h e R e p u b l i c .
T h i s o r g a n i z a t i o n w a s t h e m o s t p o t e n t p o l i t i c a l f o r c e i n t h e n a t i o n f o r t h e
n e x t g e n e r a t i o n . I t s p o s ts w e r e a s l oc a l a s i t s re g i m e n t s ha d b e e n . T h e
s t a t e s w e r e s t i l l v e r y m u c h i n b e i n g ; t h e i r d e c l i n e w a s s l o w .
If what had bee n won, and what was kept, was the pr inciple that
s e c e s s i o n w a s i n a d m i s s i b l e , t h e s t a t e s d i d n o t s e e m t o m e a n m u c h l e s s t o
t h e i r c i t i z e n s , a l t h o u g h t h e U n i o n , s e a l e d i n b l o o d , b e c a m e s o m e t h i n g e v e n
more pr ecious . T h e s o u t h e r n t h e o r i e s o f s t a t e s o v e r e i g n t y a n d o f i n t e r -
p o s i t i o n w e r e n e v e r a g a i n s u c c e s s f u l l y m a i n t a i n e d . T h e y w e r e o c c a s i o n a l l y
ap pe aled to by their own orators, but they were mostly addressed to a
l o c a l a u d i e n c e .
T h e e f f e c t o f v i c t o r y f o r u n i o n , t h e n , w a s n o t t o a b o l i s h s t a t e s ' r i g h t s
i m m e d i a t e l y , b u t t o f u r n i s h a d e p a r t u r e p o i n t a n d a f a i r l y s t e a d y s u p p o r t
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XX INTRODUCTIONwith much power . O n l y a f r a g m e n t o f t h e u n r e c o n s t r u c t e d S o u t h c o n t i n u e d
t o f l y t h e s e c e s s i o n i s t f l a g a n d t o a r g u e t h a t t h e C o n s t i t u t i o n c o u l d b e
i n t e r p r e t e d t o s u i t i t s g o v e r n i n g c l a s s .
T h e U n i o n , a h u n d r e d y e a r s a f t e r t h e C i v i l W a r , h a d b e c o m e t h e U n i o n
t h a t t h e w a r h a d b e e n f o u g h t t o e s t a b l i s h ; h o w e v e r , a s l a t e a s 1 9 6 0 t h e
R e p u b l i c a n p r e s i d e n t i a l c a n d i d a t e w a s h i n t i n g t h a t t h e D e m o c r a t i c p a r t y
w a s a t r e a s o n o u s o n e , a t h e m e t h a t h a d w o n s o m a n y v i c t o r i e s i n t h e p a s t .
But Nixon was the last aspirant who would dare make such an ap pe al . I t
h a d a f u r i o u s b a c k l a s h . H e h i m s e l f i n l a t e r c a m p a i g n s a v o i d e d a n y s u c h
a t t r i b u t i o n .
4
D o e s t h e u n d o u b t e d s e c u r i t y o f t h e U n i o n , o r t h e a d v a n c e d o r g a n i z a -
t i o n o f i n d u s t r y a n d f i n a n c e , m a k e i t p o s s i b l e o r d e s i r a b l e t o d i s p e n s e w i t h
a w r i t t e n c o n s t i t u t i o n ? T h e r e a r e s t i l l t h e s econd and t hi rd c on st it ut io na l
p u r p o s e s t o b e e x a m i n e d . W i t h r e f e r e n c e t o t h e second : I s t h e g o v e r n m e n t
f i r m l y e n o u g h e s t a b l i s h e d ? A n d t h e t h i r d : C a n t h e m a j o r i t y , t h r o u g h t h e
r e p r e s e n t a t i o n p r o v i d e d , n o w b e t r u s t e d t o d e c i d e m a t t e r s w i t h w i s d o m a n d
r e s t r a i n t ? T h a t i s , t o d a y , c a n t h a t m a j o r i t y b e t r u s t e d t o e x e r c i s e w i s d o m
i n s t r u c t u r i n g a n d i n o p e r a t i o n s ; w o u l d i t b e r e s t r a i n e d i n i t s r e l a t i o n s w i t h
g r o u p s a n d i n d i v i d u a l s w i t h o u t b e i n g b o u n d b y a c o n s t i t u t i o n , b u t o n l y
b y t h e c o m m o n l y u n d e r s t o o d p r i n c i p l e s , s a y , o f a p r e a m b l e ? O r w o u l d t h e
m a j o r i t y b e l i k e l y , i f n o t r e s t r a i n e d , t o l e t t h e g o v e r n m e n t d i s i n t e g r a t e a n d
a l l o w a r e a s o f e s s e n t i a l l i b e r t i e s t o b e i n v a d e d ?
I t c a n e a s i l y b e s e e n w h y t h e a n s w e r t o s u c h q u e s t i o n s w o u l d f r e q u e n t l y
b e t h a t t h e m a j o r i t y c a n n o t b e t r u s t e d - o r , t o p u t i t a n o t h e r w a y , t h a t t h e
d e m o c r a c y i s n o t y e t m a t u r e e n o u g h t o t r u s t i t s e l f w i t h o u t t h e d i r e c t i v e s
a n d p r o h i b i t i o n s o f a c o n s t i t u t i o n , e v e n a n a t t e n u a t e d o n e .
I t i s t r u e t h a t m a n y o f t h e r e s t r a i n t s p r o v i d e d b y t h e C o n s t i t u t i o n h a v e
a l r e a d y b e e n r e d e f i n e d b y t h e S u p r e m e C o u r t . T h i s h a s b e e n t h e r e s u l t o f
a t h e o r y - t h e t h e o r y o f t h e " l i v i n g " c o n s t i t u t i o n . I t i s s a i d t o " l i v e " w h e n
n e w i n t e r p r e t a t i o n s a r e m a d e ; it "awakens" when the Court recognizes
new nee ds ; novel me anings of old ter ms ar e put forward as "what the
f r a m e r s w o u l d h a v e s a i d " i f t h e y h a d b e e n d o i n g t h e i r w o r k t o d a y .
S o m e e m b a r r a s s i n g s p e c i f i c q u e s t i o n s c a n b e a s k e d a b o u t t h e " l i v i n g "
t h e o r y , o n e s i t s d e f e n d e r s d o n o t l i k e t o a n s w e r . D o e s t h e C o n s t i t u t i o n
" a w a k e n , " f o r i n s t a n c e , w h e n t h e p r e s i d e n t d i s p e n s e s w i t h t r e a t y m a k i n g
a n d i n v e n t s t h e E x e c u t i v e A g r e e m e n t , o r w h e n h e c a r r i e s o n w a r s w i t h o u t
a s k i n g t h e C o n g r e s s t o d e c l a r e t h e m ? O r , i n s t e a d o f a n a w a k e n i n g , i s t h i s
a s m o t h e r i n g ? D o e s t h e C o n s t i t u t i o n " l i v e " w h e n t h e C o n g r e s s , i n t e n d i n g
t o s u b d u e a n d d o m i n a t e t h e e x e c u t i v e , p a s s e s a T e n u r e o f O f f i c e A c t , w h e n
i t d e l e g a t e s p o w e r s t o r e g u l a t o r y b o d i e s , o r w h e n i t u s e s i n v e s t i g a t i v e p r o -
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X x i v INTRODUCTIONc o u r s e , s a y s o m e t h i n g a b o u t t h i s . I t s a y s , i n f a c t , t h a t " h e s h a l l t a k e c a r e
t h a t t h e l a w s a r e f a i t h f u l l y e x e c u t e d , " a n d t h i s h a s a l w a y s b e e n , f o r p r e s i -
d e n t s , s o m e t h i n g o f a p r o t e c t i o n f r o m a g g r e s s i o n s . C o n g r e s s i o n a l s u b v e r -
sions a re at leas t not legitima te, and he may re sist them with some
c o n s t i t u t i o n a l b a c k i n g .
O n t h e o t h e r h a n d , p r e s i d e n t s h a v e w i t h o u t d o u b t c h o s e n t o n e g l e c t
t h e i r a d m i n i s t r a t i v e d u t i e s i n f a v o r o f o t h e r s . T h i s i s n o t n e c e s s a r i l y a
c r i t i c i s m . They have had to . B u t i t i s a n e g l e c t t h a t m i g h t b e c o m e w o r s e
i f t h e r e w e r e n o c o n s t i t u t i o n . A s c h i e f o f s t a t e o f t h e m o s t p o w e r f u l o f
n a t i o n s , w i t h a l l t h e r e s p o n s i b i l i t i e s o f p o w e r t o b e c a r r i e d , t h e p r e s i d e n t
m u s t a l w a y s g i v e f i r s t t h o u g h t t o t h e n a t i o n ' s s e c u r i t y a n d i t s r e l a t i o n s w i t h
o t h e r n a t i o n s . I f t h i s r e l e g a t e s d o m e s t i c ad m i n i s t r a t i o n t o s e c o n d p l a c e ,
t h a t i s i n e v i t a b l e .
A m o r e s p e c i f i c d i s t r i b u t i o n o f p o w e r s i n a c o n s t i t u t i o n w o u l d r e c o g -
n i z e t h i s p r o b l e m , b u t i f l e f t t o t h e m a j o r i t y , f u n c t i o n i n g t h r o u g h r e p r e s e n -
t a t i v e s , p a t r o n a g e m i g h t b e g r e a t l y e x t e n d e d t h r o u g h t h e i n s t i t u t i o n s a
m a j o r i t y w o u l d f a v o r ; i t i s n o t l i k e l y t h a t a d m i n i s t r a t i o n w o u l d i m p r o v e .
A c o n s t i t u t i o n a l d i s t r i b u t i o n w o u l d b e b e t t e r t h a n o n e d o n e b y a n y s o r t
of Congres s .
Still this is certainly all speculation . A d i f f e r e n t s e t o f i n s t i t u t i o n s w o u l d
r e s u l t f r o m t h e a c c u m u l a t i o n o f l e g i s l a t i v e a c t s ; h o w d i f f e r e n t t h e y w o u l d
b e i t i s h a r d t o s a y . T h e p r e s e n t C o n s t it u t i o n , f o r i n s t an c e , a l t h o u g h d e -
p a r t e d f r o m i n i m p o r t a n t r e s p e c t s , s t i l l d o e s e x e r c i s e s o m e c o n t r o l . It
e n s u r e s t h a t t h e r e a r e t h r e e b r a n c h e s w i t h s e p a r a t e b u t i n t e r d e p e n d e n t
p o w e r s , t h e c h e c k s s t i l l o p e r a t e i n a m o d i f i e d w a y , a n d t h e a l l o c a t i o n o f
p o w e r s i s a t l e a s t r e c o g n i z a b l y t h a t i n t e n d e d b y t h e f r a m e r s .
T h e i m p r e s s i o n s e e m s j u s t i f i e d t h a t t h e p r o c e s s o f c o n s t i t u t i o n m a k i n g
i s q u i t e a d i f f e r e n t o n e f r o m t h a t o f l e g i s l a t i o n . C o n s t i t u t i o n s a r e c r e a t e d
i n e a r n e s t c o n c l a v e s w h o s e m e m b e r s a r e i m p r e s s e d w i t h t h e s e r i o u s n e s s o f
t h e i r t a s k . T h e n a t u r e o f t h a t t a s k d e m a n d s a s s i g n m e n t t o i t o f l e a r n e d a n d
e x p e r i e n c e d i n d i v i d u a l s ; there ensues a dialogue among them, and to it
ther e m ust be brought the full resources of scholarship and wisdom
p o s s e s s e d b y a g e n e r a t i o n . W h a t i s m o s t i m p o r t a n t , t h e r e f i n a l l y m u s t b e
a n i n s t r u m e n t t h a t t h e w h o l e n a t i o n w i l l r e c o g n i z e a s a n e x p r e s s i o n o f i t s
i n t e n t i o n s , a n d a s f u r n i s h i n g a m e a n s f o r t h e i r r e a l i z a t i o n . S o m e s o r t o f
r e f e r e n d u m w o u l d b e i n e v i t a b l e , a n d r e f e r r a l w o u l d b e t o t h e p e o p l e - n o t
t o t h e s t a t e l e g i s l a t u r e s .
L e g i s l a t i o n , i n c o n t r a s t , i s t h e a c t i o n o f a r e p r e s e n t a t i v e b o d y l a r g e l y
controlled by political leaders answerable (pre sumably) to local con-
s t i t u e n c i e s , o r s o m e t i m e s t o " s p e c i a l i n t e r e s t s . " I t a c t s t o s o l v e p r o b l e m s ,
u s u a l l y u n d e r p r e s s u r e , a n d i s d e v i l e d b y t h e h a r a s s m e n t s o f l o b b y i s t s .
W h a t i s s u e s t h e r e f r o m i s l a w , b u t o f a n e n t i r e l y d i f f e r e n t g e n r e f r o m t h a t
e m b o d i e d i n a c o n s t i t u t i o n .
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INTRODUCTION X x x ito additional-a nd pe rhap s more important-ones . I f r i g h t s c a n b e e n -
l a r g e d , i t s h o u l d b e r e c a l l e d , t h e y c a n a l s o b e d i m i n i s h e d . T h i s w o u l d s e e m
t o b e a n a r g u m e n t f o r a m o r e c a r e f u l l y d r a f t e d c o n s t i t u t i o n - b u t s t i l l f o r
a c o n s t i t u t i o n .
10
F i n a l l y , a r e m i n d e r m a y b e i n o r d e r t h a t c o n s i d e r a t i o n o f t h e n e e d f o r
a c o n s t i t u t i o n i s n o t t o b e c o n f u s e d w i t h a d e f e n s e o f t h e C o n s t i t u t i o n o f
1 7 8 7 ( a s a m e n d e d ) , h o w e v e r a d m i r a b l e i t s r e s u l t s h a v e b e e n , o r f o r a n y
o t h e r n e w v e r s i o n t h a t m a y b e s u g g e s t e d .
T h e a r g u m e n t m u s t c e n t e r , a s h a s b e e n s u g g e s t e d , o n t h e d e s i r a b i l i t y
o f a n i n s t r u m e n t f o r d e f i n i t i o n , l i m i t a t i o n , a n d g u i d a n c e . It must have
been adopted in circumstances ve ry differ ent from those surrounding a
legislative act ; t h a t i s t o s a y , n o t t o m e e t a n e x i g e n c y o f t h e m o m e n t . I t s
s t a t e m e n t o f d u t i e s a n d r i g h t s w o u l d n e e d t o b e t i m e - t e s t e d o n e s r u n n i n g
d e e p i n t o g e n e r a l a c c e p t a n c e s o t h a t w o u l d - b e v i o l a t o r s w o u l d b e c o n v i c t e d
o f s i n a n d r e c o g n i z e t h e j u s t n e s s o f p u n i s h m e n t , a n d u p h o l d e r s w o u l d h a v e
a s e n s e o f d e v o t i o n t o p r i n c i p l e . The government it provided should be
p l a n n e d t o m e e t t h e n e e d s o f a s o p h i s t i c a t e d s o c i e t y .
T h i s i s n ot a d e s c r i pt i o n o f t h e e x i s t i n g C o n s t i t u ti o n . B e c a u s e i t h a s ,
i n e s s e n t i a l s , n o t b e e n a m e n d e d a n d h a s f a l l e n , i n c e r t a i n r e s p e c t s , i n t o
i r r e l e v a n c e ; b e c a u s e i t h a s b e e n w a r p e d b y t h e a g g r e s s i o n s o f t h e b r a n c h e s ;
a n d b e c a u s e i t h a s b e e n e x t e n d e d i n s u c h w a y s t h a t i t s o r i g i n a l o r g a n i c
n a t u r e h a s b e e n b r o k e n u p , t h e C o n s t i t u t i o n c a n n o t b e t a k e n a s t h e p r o t o -
type me ant by those who would ar gue that some such instrument as was
o r i g i n a l l y i n t e n d e d i s n e c e s s a r y .
1 1
A g o o d m a n y y e a r s a f t e r i t h a d h a p p e n e d , b u t w h i l e i t c o u l d s t i l l b e
s e e n t o b e h a p p e n i n g , d e T o c q u e v i l l e s a i d i n h i s s i m p l e b u t a c u t e w a y :
" T h e A m e r i c a n R e v o l u t i o n b r o k e , a n d t h e d o c t r i n e o f s o v e r e i g n t y o f t h e
p e o p l e c a m e o u t o f t h e t o w n s h i p s a n d t o o k p o s s e s s i o n o f t h e s t a t e s . "
D i d t h e e a r l i e r c o n s t i t u t i o n s , a n d d i d t h e f e d e r a l o n e , e m e r g e f r o m t h e
process the trav eling Frenchman thought he obse rv ed? At any r ate, the
s o v e r e i g n t y o f t h e p e o p l e b e c o m e s l e s s c l e a r l y i d e n t i f i a b l e a s t h e r e s u l t i n g
i n s t i t u t i o n s s p r e a d o v e r w i d e r j u r i s d i c t i o n s . The town meetings were demo-
c r a t i c i n t h e o r i g i n a l s e n s e , b u t n e i t h e r c o l o n i a l l e g i s l a t u r e s n o r t h o s e o f
t h e s t a t e s w e r e e x a c t l y t h e s a m e t h i n g . T h e p e o p l e , e x c e p t s y m b o l i c a l l y ,
w e r e n o t t h e r e ; t h e y h a d s e n t o t h e r s a s r e p r e s e n t a t i v e s . T h i s w a s i n e v i t a b l e ,
b u t i t w a s n o t t h e p u r e d e m o c r a c y o f c o l l o q u y .
I n r e g a r d t o s o v e r e i g n t y , a p r o f o u n d c h a n g e b e g a n w h e n r e p r e s e n t a t i o n
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X x x i i INTRODUCTIONhad to be a ccep ted . I n t h e e n d i t w o u l d r e s u l t i n a g e n e r a l g o v e r n m e n t
w h o s e p o w e r s h a d o v e r w h e l m e d t h o s e o f t h e p e o p l e w h o h a d a l l o w e d i t t o
b e d e v i s e d . T h e C o n s t i t u t i o n o f 1 7 8 7 w a s o n e o f t h e e a r l y r e s u l t s o f t h i s
r e v e r s a l ; a n d t h e B i l l o f R i g h t s w a s a c o n v u l s i v e r e a s s e r t i o n o f o r i g i n a l
a u t h o r i t y . B y t h a t t i m e t h e r e a s s e r t i o n f o r t h e m o s t p a r t c o u l d b e s a t i s f i e d
o n l y b y m a k i n g i t p l a i n w h a t t h e n e w s o v e r e i g n c o u l d n o t d o t o t h e o l d
one . T h e B i l l w a s e n ti r e l y n e g at i v e ; i t m a y b e s i g n if i c a n t t h a t i t w a s a d d e d
o n b u t n o t b u i l t i n .
T h e f r a m e r s , a t l e a s t t h e M a d i s o n s a m o n g t h e m , w o u l d a r g u e t h a t t h e
a d d i t i o n s w e r e n o t n e c e s s a r y a n d t h a t t h e r i g h t s w e r e a l r e a d y t h e r e ; b u t a
d i s s a t i s f i e d s k e p t i c i s m s i m m e r e d a m o n g t h e p e o p l e a n d k e p t o n s i m m e r i n g .
It still does .
T h i s d i s c o n t e n t , i n p s y c h o l o g i c a l t e r m s , i s t h e e x p r e s s i o n , i n t h e g o v e r n -
m e n t a l a r e a , o f a n u n w i l l i n g n e s s t o b e d i s c i p l i n e d , c h a r a c t e r i s t i c o f A m e r i -
c a n s . T h r o u g h t h e g e n e r a t i o n s t h e y h a v e h a d t h e g r e a t e s t d i f f i c u l t y i n
b r i n g i n g t h e m s e l v e s t o a c i v i l i z e d a c c e p t a n c e o f r u l e s w h e n e v e r t h e r u l e s
have been inconvenient, or whenev er their impulses were strong enough
t o b r e a k t h r o u g h a l l l i m i t a t i o n s .
R e s t r a i n t s o n i n d i v i d u a l s a r e p e c u l i a r i n t h a t t h e y d o n o t c o m e f r o m
t h e p e o p l e b u t a r e c r e a t e d b y o f f i c i a l s ; t h e y h a v e b e e n t o l d b y t h e C o n s t i t u -
t i o n t o o p e r a t e a s e t o f i n s t i t u t i o n s i n m o s t d i f f i c u l t c i r c u m s t a n c e s . N o o n e
w a n t s t h e s e i n s t i t u t i o n s t o i n f r i n g e o n h i s l i b e r t y , a n d i n f r i n g e m e n t b e c o m e s
a l m o s t i n t o l e r a b l e w h e n o n e i s a s k e d t o p a y f o r t h e o p e r a t i o n t h r o u g h t a x e s .
O n l y r i g h t s , n o t r e s t r a i n t s , a r e u s u a l l y n o m i n a t e d i n t h e c o n s t i t u t i o n s ,
s t a t e an d f e d er a l ; i t i s s i m p l y s a i d t h a t t h e r e s h a l l b e l a w s a c c om p l i s h i n g
c e r t a i n p u r p o s e s ; t h e n f o l l o w s a t e r r i f i c s t r u g g l e t o s h a p e t h e l a w s s o t h a t
t h e p u r p o s e s d o n o t a f f e c t a n y i n t e r e s t s t r o n g e n o u g h t o e s c a p e . T h e r e s u l t
i s v e r y p l a i n l y a c o r r u p t i o n o f t h e i n t e n t i o n . I t i s o f t e n a rg u e d t ha t t h e
m o n s t r o u s l o b b y i n g t h a t g o e s o n i n W a s h i n g t o n i s j u s t i f i e d a s a r e p r e s e n -
t a t i o n o f a f f e c t e d i n t e r e s t s , t h a t i t i s d e m o c r a t i c . L e g i s l a t i o n b e c o m e s a
c o n t e s t o f i n t e r e s t s , a n d t h e s t r o n g e s t w i n s . B u t t h i s i s n o t t h e p e o p l e o r
t h e p e o p l e ' s i n t e r e s t s .
12
T h e b e s t r e a s o n f o r h a v i n g a c o n s t i t u t i o n i s t h a t i t m a y c r e a t e a n d
m a i n t a i n i n s t i t u t i o n s t h a t c o n f i r m t h e s o v e r e i g n t y a n d e x p r e s s t h e i n t e n t i o n s
o f t h e p e o pl e . T h e C o n s t i t u t io n o f 1 7 8 7 m i g h t h a v e d o n e t h a t , o r m i g h t
h a v e c o m e c l o s e r t o d o i n g i t , i f s u c h d a m a g i n g c o m p r o m i s e s h a d n o t b e e n
m a d e - t h e o n e s F r a n k l i n s p o k e o f i n h i s l a s t a d d r e s s .
T h e r e i s n o t h i n g w r o n g w i t h g o v e r n m e n t b y a n e l i t e i f i t r e p r e s e n t s
t h e p e o p l e ' s s o v e r e i g n t y a n d s h a r e s t h e i r p u r p o s e s . What a good gover n-
m e n t s h o u l d d o i s t o a c t a s t h e i n s t r u m e n t o f p e o p l e i n t h e i r m o s t c o n -
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XXXiV INTRODUCTIONc o m m i t m e n t t o i d e a s a n d p u r p o s e s o f a n o t h e r s o r t . A t P h i l a d e l p h i a , t h e r e
w e r e t h o s e w h o w e r e o p p o s e d t o u n i o n a n d m e a n t t o p r o t e c t s t a t e s ' r i g h t s ,
t h o s e w h o i n s i s t e d o n t h e p e r p e t u a t i o n o f s l a v e r y , t h o s e w h o l o o k e d f o r w a r d
t o a r e s t r i c t e d r a t h e r t h a n a w i d e p a r t i c i p a t i o n i n g o v e r n m e n t , c h e r i s h i n g ,
a s t h e y d i d , a d e e p d i s t r u s t o f a l l e q u a l i t a r i a n i d e a s .
I t w i l l b e r e c a l l e d t h a t H a m i l t o n , a f t e r m a k i n g h i s p l e a f o r l i m i t e d
monar chy, withdrew for a long p er iod, and that afterward Was hington
w r o t e t o h i m i n N e w Y o r k , s a y i n g t h a t a l t h o u g h h e w a s s t i c k i n g i t o u t i n
P h i l a d e l p h i a , h e t o o w a s f e a r f u l o f c o m p l e t e f a i l u r e b e c a u s e s o m a n y m e n
"of local views" would not concede the power s a genuine nation must
p o s s e s s . Neither Hamilton nor Washington now would be judged to hav e
b e e n r i g h t a b o u t a l l t h e d i s p u t e d i s s u e s , b u t t h e y w e r e r i g h t a b o u t t h e
e s s e n t i a l o n e s . A n d t h o s e i n t h e c o m p a n y w h o w e r e m o s t w r o n g w e r e t h o s e
m e n o f l o c a l v i e w s s o d i s p a r a g e d b y W a s h i n g t o n .
I t i s i n t e r e s t i n g t o s p e c u l a t e a b o u t t h e s c e n e a n d t h e p r o c e s s i f b y s o m e
c i r c u m s t a n c e t h e U n i t e d S t a t e s c i t i z e n s t o d a y w e r e t o u n d e r t a k e a r e e n a c t -
m e n t o f t h e P h i l a d e l p h i a e f f o r t .
T h e p l a c e w i t h o u t d o u b t w o u l d b e t h e C a p i t a l ; t h e c o m m i s s i o n e r s w o u l d
b e l e g a l i s t s , p o l i t i c a l l e a d e r s , a n d " d i s t i n g u i s h e d c i t i z e n s ." They would
m e e t i n m o r e c o m f o r t a b l e c i r c u m s t a n c e s t h a n t h o s e o f t h e e i g h t e e n t h - c e n -
tury Philadelphia summe r . S i n c e t h e n a t i o n i s m u c h l a r g e r , t h e r e m i g h t
b e m o r e o f t h e m ; a n d s i n c e i t h a s a s o c i a l a d m i x t u r e i t d i d n o t h a v e i n t h o s e
e a r l y d a y s , t h e s o u r c e s o f i t s i d e a s w o u l d b e w i d e r .
T h e r e w o u l d b e m a n y o t h e r c o n t r a s t s , y e t t h e s i m i l a r i t i e s w o u l d b e m o r e
n o t a b l e t h a n t h e d i f f e r e n c e s .
T h e r e w o u l d b e h e a r i n g s , i n v e s t i g a t i o n s , s t u d i e s , a n d f i n a l l y d i s c u s s i o n s
l e a d i n g t o r e c o m m e n d a t i o ns . T h e s e w o u l d r e s u l t i n m a s s e s o f c o m p l a i n t s ,
c r i t i c i s m s , d e f e n s e s , a n d e x p r e s s i o n s o f a t t i t u d e ; t h e e x t r e m e s o f t h e s e
w o u l d b e , o n t h e c o n s e r v a t i v e s i d e , t h a t t h e o l d C o n s t i t u t i o n i s s a c r e d a n d
u n t o u c h a b l e ; o n t h e r a d i c a l s i d e , t h a t t h e r e s h o u l d b e a n e n t i r e l y n e w c o n -
s t i t u t i o n p r o v i d i n g f o r a o n e - p a r t y s t a t e w i t h v i r t u a l d i c t a t o r s h i p o f a n e w
e l i t e .
T h e r e a s o n a b l e c e n t e r m i g h t a c k n o w l e d g e t h e n e c e s s i t y f o r i m p r o v e d
r e p r e s e n t a t i o n a n d f o r b e t t e r e x e c u t i o n , a n d m i g h t e v e n a c c e p t t h e w a r n i n g s
o f h e i g h t e n e d d a n g e r f r o m e m e r g e n c y b r o u g h t o n b y r a p i d t e c h n o l o g i c a l
c h a n g e s a n d a c o n t i n u i n g p o w e r s t r u g g l e o n t h e b o r d e r s o f t h e g r e a t i m -
per iums ; i t m i g h t a c c e p t t h e c o n c l u s i o n t h a t t h e p r e s i d e n c y h a s l o s t t h e
c a p a b i l i t y t o " e x e c u t e t h e l a w s , " a n d t h a t t h e p r e s i d e n t ' s r e s p o n s i b i l i t y a s
c h i e f o f s t a t e i s a s m u c h a s o n e i n d i v i d u a l c o u l d c a r r y w i t h o u t h a v i n g t o
a s s u m e n u m e r ou s o t h er d u t i e s . A n d s o o n .
M a n y o t h e r d i s p u t a bl e i s s ue s c a n b e g u es s e d a t ; t h e r e w o u l d b e n e e d
f o r t i r e s o m e d i a l o g u e b e f o r e n o n e s s e n t i a l s w e r e p u t a s i d e a n d t h e g e n u i n e l y
n a t i o n a l n e e d s c e n t e r e d o n . N o t u n t i l t h e n w o u l d t h e g r e a t i s s u e s b e d e -
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INTRODUCTION XXXVb a t e d , b u t i f t h e n e w f r a m e r s w e r e g e n u i n e l y i n t h e A m e r i c a n t r a d i t i o n ,
such a time would come .
I t w o u l d b e h a z a r d o u s t o s u g g e s t w h a t t h e c o n t r o l l i n g c o n s i d e r a t i o n s
would be . B u t i t m a y b e t h a t a n i n t e r e s t i n g d i s c o v e r y r e p o r t e d b y r e c e n t
inquire rs shows what might very well come to dominate the thoughts of
the compa ny .
O u r s i s a n a t i o n t h a t h a s i t s i n t e r n a l t r o u b l e s . T h e s e c o m e p a r t l y f r o m
o u r b e w i l d e r i n g t e c h n o l o g y , r a p i d g r o w t h , a n d d i f f e r e n t i a l a c c e s s t o t h e
p r o d u c t s o f o u r e c o n o m i c s u c c e s s . A l s o , t h e y c om e p a r tl y f r o m r a pi d g r o w th
a n d a n e x t r a o r d i n a r y m i x t u r e o f r a c e s a n d c u l t u r e s . T hose who cam e here
f i r s t w e r e i n c l i n e d n o t t o w e l c o m e t h o s e w h o a r r i v e d l a t e r ; a n d t h o s e w h o
c a m e s t i l l l a t e r w e r e r e s e n t f u l o f t h o s e w h o f o l l o w e d t h e m ; b u t a m o s t i n -
s i s t e n t p r e j u d i c e a m o n g t h e m a j o r i t y o f e a r l y w h i t e C h r i s t i a n s p e r s i s t e d
ag ainst two special groups-the Jews and the blacks . I t c a n b e g u e s s e d
t h a t t h e p r o c e s s o f a s s i m i l a t i o n f o r t h e s e g r o u p s i s o n l y s l o w e r a n d m o r e
d i f f i c u l t t h a n i t h a s b e e n f o r , s a y , t h e E a s t e r n E u r o p e a n s o r t h e S p a n i s h -
sp eaking Americans ; b u t , f o r t h e t i m e b e i n g , i t h a s g e n e r a t e d i n b o t h J e w s
a n d b l a c k s a f e e l i n g o f n o t b e i n g w a n t e d , o f i n s e c u r i t y , o f a l i e n a t i o n .
I n r e c e n t y e a r s t h e r e h a s b e e n a n o p p o r t u n i t y f o r b o t h t o m i g r a t e - t h e
J e w s t o I s r a e l a n d t h e b l a c k s t o t h e e m e r g i n g n a t i o n s o f b l a c k A f r i c a . V e r y
f e w a c t u a l l y h a v e m i g r a t e d , b u t s o m e a t t e m p t h a s b e e n m a d e t o f i n d o u t
w h a t t h e e x p e r i e n c e h a s b e e n l i k e f o r t h e m . T h e c l e a r c o n c l u s i o n i s t h a t i t
h a s n o t b e e n w h a t t h e y h a d a n t i c i p a t e d . I f t h e y f e l t i s o l a t e d i n Am e r i c a , t h e y
h a v e f e l t m o r e s o i n t h e i r n e w e n v i r o n m e n t s . An extra ordinary number
d i s c o v e r e d t h at t h e y w e r e , a f t er a l l , A m e r i c a n s . S o m e t h i n g i n t he c u l t u r e ,
t h e t r a d i t i o n , t h e a g r e e m e n t s , t h e l i v i n g t o g e t h e r , t h e i n s t i t u t i o n s , c o u l d
n o t b e e s c a p e d . 4
B l a c k s , w h o h a v e l i v e d i n t h i s l a n d l o n g e r t h a n m o s t o f t h o s e w i t h w h i t e r
s k i n s , h a v e a r i g h t t o f e e l t h e m s e l v e s A m e r i c a n s ; b u t i t i s a r i g h t m a n y o f
t h e m d o n o t a c c e p t a s t r u l y t h e i r s u n t i l t h e y t r y t o l i v e e l s e w h e r e . O n l y t h e n
d o t h e y r e c a l l t h a t t h e y h e l p e d t o m a k e A m e r i c a w h a t i t i s ; t h e y f e e l a
c o m m i t m e n t t o i t s f u t u r e , a n d n o t t o t h e f u t u r e o f a n o t h e r n a t i o n . It often
se em s to be the sa me with migr ants am ong the Jews who hav e gone to
Israel . I n t h e U n i t e d S t a t e s t h e y o f t e n k e p t t h e m s e l v e s s o m e w h a t a p a r t ;
t h e y w e r e i n c l i n e d t o f e e l t h e m s e l v e s J e w s b e f o r e t h e y w e r e A m e r i c a n s ; in
I s r a e l t h e y d i s c o v e r e d t h a t , a f t e r a l l , t h e y h a d b e c o m e A m e r i c a n s - h e l p e d
t o m a k e A m e r i c a , s h a r e d i t s h o p e s , a n d w e r e a t h o m e w i t h i t s i n s t i t u t i o n s .
I f t h i s c o n c l u s i o n i s a t a l l t r u e , i t f u r n i s h e s a s o r t o f b a c k g r o u n d t o o u r
h i s t o r y . T h e C o n s t i t u t i o n m a y h a v e d e f e c t s ; i t m a y h a v e b e c o m e o b s o l e t e
a n d t o r t u r e d o u t o f o r i g i n a l m e a n i n g s ; b u t i t p e r m i t t e d t h e d i s t i n c t i v e n e s s
o f t h e A m e r i c a n i d e n t i t y t o e x t e n d e v e n t o t h o s e w h o h a v e h a d m o s t d i f f i -
4 . T h e i n v e s t i g a t i o n c i t e d h e r e w a s m a d e b y H a r o l d L . I s a a c s a n d a p p e a r e d i n t w o
i s s u e s o f The New Yorker , August 27 and September 2, 196 6 .
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XXXVI INTRODUCTIONc u l t y i n a b s o r p t i o n . T h u s , i t h a s h a d e n o r m o u s v a l u e , s o m e t h i n g n o t e a s y
t o a s s e s s , b u t t h e k i n d o f q u a l i t y t h a t a n y r e a s s e s s m e n t o f c o n s t i t u t i o n a l i t y
o u g h t t o l o o k f o r a n d t r y t o r e - c r e a t e .
A c o m p a n y o f t h e m o d e r n e l i t e , p u r g e d o f s e l f - i n t e r e s t e d n e s s a n d h o l d i n g
t o t h i s s e n s e o f i d e n t i t y a s t h e f r a m e r s h e l d t o u n i o n , m i g h t g o o n f r o m t h a t
p o i n t t o i m p l e m e n t t h e a l r e a d y d i s c o v e r e d i d e a s w i t h t h e m e a n s f o r t h e i r
p r e s e r v a t i o n .
T h e e x p e r i e n c e u n d e r g o n e b y J e w s a n d b l a c k s , w h o s e e f f o r t t o f i n d a
c l o s e r n a t i o n a l i d e n t i t y e l s e w h e r e e n d e d o n l y w i t h t h e d i s c o v e r y t h a t t h e y
a l r e a d y h a d o n e t h e y c o u l d n o t e s c a p e , o u g h t n o t t o b e u s e d a s p r o o f t h a t
t h e C o n s t i t u t io n o f 1 7 8 7 w a s p e r f e c t ; a l l t h e c i t e d e f f e c t s d i d n o t f l o w f r o m
t h e C o n s t i t u t i o n . Some of them did, however, and this was because the
f r a m e r s p e n e t r a t e d s o m e t i m e s , a n d i n s o m e o f t h e e m e r g i n g c l a u s e s , t o a n
e s s e n t i a l , a u n i v e r s a l h u m a n n e e d .
C o n s t i t u t i o nm a k e r s h a v e n o t a l w a y s s u c c e e d e d i n t h i s w a y , b u t s o m e
have .
14
I t v e r y w e l l m a y b e t h a t t h e U n i t e d S t a t e s h a s a l r e a d y o p t e d f o r no
c o n s t i t u t i o n . T h a t i s t o s a y , i t m a y h a v e b e e n a g r e e d t h a t n o s e r i o u s c h a n g e
will be undertaken-a decision amounting to abandonment as the process
o f " i n t e r p r e t a t i o n " g o e s o n , a n d a s e x t r a c o n s t i t u t i o n a l i n s t i t u t i o n s p r o -
l i f e r a t e .
I f t h i s i s s o , i t w i l l b e s e e n w h e t h e r a p e o p l e w h o b e l i e v e t h e m s e l v e s t o
b e d e m o c r a t i c w i l l g o o n b e l i e v i n g t h e m s e l v e s d e m o c r a t s a s t h e i r i n s t i t u -
t i o n s d r i f t f u r t h e r i n t o a n o t h e r p a t t e r n ; o r w h e t h e r , p e r h a p s , t h e y w i l l
a c c e p t t h e i n s t i t u t i o n s t h e y h a v e e v o l v e d a s t h e r e a s o n a b l e o u t c o m e o f t h e i r
h i s t o r i c a l p r o g r e s s , n o t w o r r y i n g a b o u t t h e i r b e i n g d e m o c r a t i c o r u n d e m o -
cratic .
E v e n t h o s e w h o r e f u s e t o w o r r y a b o u t t h i s , h o w e v e r , m u s t w o r r y a b o u t
t h e c o m p e t e n c e o f t h e n e w l y d e v i s e d i n s t i t u t i o n s t o m e e t t h e n e e d s o f t h e
p r e s e n t . I t i s g e n e r a l l y r e c o g n i z e d t h a t e m e r g e n c y h a s b e c o m e a n e v e r -
p r e s e n t p o t e n t i a l i t y ; t h a t v a s t a n d i n c r e a s i n g l y v a s t e r p o w e r s a r e b e i n g c o n -
c e n t r a t e d i n a p r e s i d e n t w h o i s n o t p h y s i c a l l y o r m e n t a l l y d i f f e r e n t f r o m t h e
f i r s t p r e s i d e n t n e a r l y t w o c e n t u r i e s a g o ; t h a t b o t h l e g i s l a t i v e a n d j u d i c i a r y
ar e ver y m uch changed ; t h a t s t r i k i n g a l t e r a t i o n s h a v e b e e n m a d e i n t h e
C o n s t i t u t i o n , n o t b y c o n s c i o u s l y u n d e r t a k e n r e v i s i o n b u t b y o t h e r p r o c e s s e s ;
a n d t h a t c e r t a i n l y t h e e c o n o m i c a n d s o c i a l s y s t e m s h a v e b e e n t r a n s f o r m e d
s i n c e t h e e x i s t i n g C o n s t i t u t i o n w a s d e v i s e d . No one denies thes e facts .
W h y i s i t t h e n t h a t n o o n e p r o p o s e s r e v i s i o n ?
I t s e e m s a l m o s t f r i v o l o u s t o s u g g e s t t h a t t h e a n s w e r t o t h i s q u e s t i o n i s
what it ap pe ar s to be : e v e r y o n e t h i n k s r e v i s i o n i m p o s s i b l e . I f i t i s n o
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GENERAL CRITERIA FOR CONSTITUTION MAKING 1 1b e c a u s e i t h a d t o - a n d b e g a n t o " l i v e , " a n d b e c a u s e t h e r e w a s n o p r a c t i c a l
a r r a n g e m e n t f o r r e n e w e d c o n s t i t u t i o n a l c o n s i d e r a t i o n , i t h a s r e m a i n e d , i n
f i x e d f o r m , a t t h e c e n t e r o f e x t r e m e l y c o m p l e x a n d o f t e n b i t t e r c o n f l i c t s .
And although it may be re ga rded as a me re commonplace to say that the
c o n t e n t i o n s o f t h e p r e s e n t a r e v e r y m u c h l i k e t h o s e o f t h e p a s t - s o m e t h i n g
l i k e r e p e a t i n g t h e c l i c h e t h a t h u m a n n a t u r e d o e s n o t c h a n g e - o n r e f l e c t i o n
i t w i l l b e s e e n t h a t , l i k e h u m a n n a t u r e , s o m e o f t h e c o n t e n t i o n s ought t o
h a v e c h a n g e d e v e n t h o u g h t h e y h a v e n o t d o n e s o . A l s o i t w i l l b e s e e n t h a t
u n l i k e h u m a n n a t u r e t h e y might have changed .
W h a t e m e r g e d f r o m P h i l a d e l p h i a w o u l d e v o l v e i n t o a v i c t o r y , l o n g a f t e r
t h e y w e r e g o n e , f o r t h o s e w h o h o p e d t h e y h a d s t a r t e d a n e v o l u t i o n t o w a r d
n a t i o n a l i s m - a n i n c r e a s e o f f e d e r a l p o w e r . B u t s i n c e t h e r e h a d b e e n c o m -
p r o m i s e , s o m e t h i n g w a s g a i n e d a s w e l l b y t h o s e o f o p p o s i t e v i e w s ; a n d
w h a t w a s g a i n e d w a s t e r r i b l y e n f e e b l i n g . T h e i n c r e a s e o f n a t i o n a l p o w e r
a n d r e s p o n s i b i l i t y w a s a c c o m p a n i e d b y a p e r s i s t e n t d e c l i n e i n t h e p r o c l i v i t y
t o s h a p e p o l i c i e s i n t h e n a t i o n a l i n t e r e s t .
T h i s i s a r a t h e r a w f u l c o n c l u s i o n , a n d o n e t h a t n e e d s s o m e s u b s t a n t i a -
t i o n . A l s o e n l a r g e m e n t o f p o w e r w i t h a c o n c u r r e n t d e c l i n e o f w i s d o m i n
g o v e r n a n c e y i e l d s a f r i g h t e n i n g p i c t u r e , r a t h e r l i k e t h a t o f a m i n d l e s s g i a n t
t h r e s h i n g a b o u t w i t h m o n s t r o u s i r r e s p o n s i b i l i t y , a d a n g e r t o i t s e l f a n d t o
o t h e r s . T h i s i s a n e x a g g e r a t e d s t a t e m e n t o f t h e s i t u a t i o n , n o d o u b t , b u t
m u c h o f t h e e x a g g e r a t i o n i s s u b s t a n t i a t e d b y r e c o u n t i n g t h e o c c a s i o n s w h e n
t h e g i a n t h a s n a r r o w l y e s c a p e d t h e c o n s e q u e n c e s o f i t s o w n r e c k l e s s n e s s
b y h a v i n g a t t h e r i g h t m o m e n t a d e d i c a t e d , c o u r a g e o u s , a n d n a t i o n - m i n d e d
leader-almost always a p re sident-or has somehow been tranquilized and
h a s l a z i l y l e t t h i n g s d r i f t u n t i l , l u c k i l y , c i r c u m s t a n c e s b r o u g h t a b o u t a f a vo r a -
b l e c o n c l u s i o n . O n s e v e r a l o c c a s i o n s c a l a m i t y h a s b e e n e s c a p e d b y w h a t
c a n o n l y b e d e s c r i b e d a s s h e e r g o o d f o r t u n e .
Polk was pr es ent to extend our domain to the Pacific ; Monr oe a nd
Adams sa ve d Latin America fr om colonization ; L i n c o l n h a d t h e r e s o l v e
t o o p p o s e t h e d r i f t t o w a r d d i s u n i o n ; F . D . R o o s e v e l t c h e c k e d t h e G r e a t
D e p r e s s i o n a n d p e r s u a d e d t h e n a t i o n t h a t t o t a l i t a r i a n i s m h a d t o b e d e -
s t r o y e d ; and Nixon withdrew from an undeclar ed war that was sa pp ing
o u r r e s o u r c e s . I n a n o t h e r g e n r e R o o s e v e l t e s t a b l i s h e d c o l l e c t i v e b a r g a i n i n g
a n d s o c i a l s e c u r i t y , T r u m a n a n d M a r s h a l l s a v e d E u r o p e f r o m d i s i n t e g r a t i o n ,
a n d J o h n s o n m o v e d t h e r ig h t s o f e t h n i c g ro u p s c l o s e r t o re a l i z a t i on . T h e s e
w e r e a c t s o f l e a d e r s h i p n o t r e a l l y d e s e r v e d b y a c a r e l e s s e l e c t o r a t e .
A s f o r t h e g o o d f o r t u n e , w e c a n r e c a l l t h e v a s t p r a i r i e s a n d t h e P a c i f i c
l i t t o r a l. T h e p l a i n s a t f i r s t w e r e a w i l d e r n e s s o f b l o w i n g g r a s s t o b e c r o s s e d
b y m i g r a n t s t o t h e r i c h t r a n s m o u n t a i n v a l l e y s . T h e y t u r n e d o u t t o b e t h e
o n e r e l i a b l e s o u r c e o f f o o d n o t o n l y f o r A m e r i c a b u t a l s o f o r m o r e u n f o r t u -
n a t e c o u n t r i e s . O t h e r r i c h e s w e r e f o r t u i t o u s ly g r a n t e d : o i l u n d e r t h e ea r t h
a n d t h e s e a , m i n e r a l s a n d t i m b e r l a n d s s u f f i c i e n t f o r n a t i o n a l n e e d s .
A s f o r i s s u e s t h a t s e t t l e d t h e m s e l v e s : t h e B l a c k s m i g h t h a v e b e e n r e -
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GENERAL CRITERIA FOR CONSTITUTION MAKING 1 5equated ; the principle of balance was one that was not allowed to hav e its
way with the adopted institutions . What hap pe ned subse quently was what
had to hap pe n . The pr esident did become an ex ecutive (a s he had so care -
lessly been denominated), but he also became a p olitical leader and the
i n i t i a t o r o f p o l i c y . This was inev itable ; but thes e wer e duties the Constitu-
tion had not provided for ; a nd the p ower s of the Congr es s wer e such that
the pr es ident could car ry them out only by f inding wa ys to comp el con-
gr es sional consent-by muster ing p opular supp ort for hims elf, by bringing
congre ss men within party disciplines, or by chivying a majority by dive rs e
me thods into supp ort of his policies -indignities we pr ef er not to em-
phas ize .
This tremendous and unheard-of res ponsibility for national leadership,
ma de difficult by the term s of his constitutional situation, made of the
Amer ican pr es ident a far more power ful and significant figure than had
ev er before ex isted in political annals (if the absolute monar chs and dicta-
tors a re e xcepted) . His uniqueness consisted in not being constitutionally
absolute but in having to ma intain ascendancy des pite e ve ry pos sible handi-
ca p .
The balance of power s was a p rinciple re cognized by the fram er s, but
so imper fectly used that the comp licated struggles it caused between two
branches, sometime s disa strous, became a continuing characteristic . T h e s e ,
at various times of crisis, were further complicated by thrusting into the
struggle the third branch ass erting implied powers of decision . Altogether
the pr inciple of balance was unsucces sful, partly because it was not con-
sistently f ollowed, pa rtly because the bra nches it af fe cted wer e not shar ply
v i s u a l i z e d . More likely the p rincipal cause was a lingering pr efer ence for
l e g i s l a t i v e p r o c e s s e s . Whatev er the rea son, it stands as a warning to future
constitutionmakers . I f p rinciple s a re to be followed, it must be under stood
what their consequences will be . I f t h e y a r e n o t u n d e r s t o o d , t h e n e c e s s i t i e s
of ope ra tion will hav e their way, and the constitution me ant to be an order -
i n g o f p o l i t i c a l l i f e w i l l s o o n b e s h a t t e r e d . I f it has by then become a s ym bol
o f n a t i o n h o o d , i t s r u i n s w i l l h a v e h i s t o r i c h o n o r b u t v e r y l i t t l e o p e r a t i o n a l
s i g n i f i c a n c e .
A Plura list Economy
Opposed proces se s of er osion and of accretion have been at work all
thes e ye ar s, but hav e often bee n undetected until they have gone further
than would have been thought toler able considering their s ometime s s er ious
conseq uences . Some guiding idea s from the eightee nth century have helped
in re sisting, but some ev en of thes e hav e disap pe ar ed or a re hardly v isible
anymore .
L e t u s s e e : t h e r e i s s t i l l a f i e r c e a t t a c h m e n t t o r i g h t s g e n e r a l l y c o n c e i v e d
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2 0 THE EMERGING CONSTITUTIONS i n c e a l l o f u s h a v e b e c o m e m o r e a n d m o r e c a u g h t u p i n t h e i n d u s t r i a l
m a c h i n e , c o n f o r m i n g t o i t s r e q u i r e m e n t s a n d a c c e p t i n g i t s e f f e c t o n o u r
c i v i l i z a t i o n , i t s i m p o r t a n c e d o e s n o t n e e d t o b e a r g u e d . What does nee d
t o b e a r g u e d i s t h e q u e s t i o n w h e t h e r w e s h a l l c o n t i n u e t o b e p a s s i v e . No
i n d i v i d u a l b y h i m s e l f c a n a s s e r t a n y c o n t r o l ; h e c a n n o t e v e n r e s i s t w i t h
a n y ef f e c t . I t i s o n l y t h r o u g h a n d b y h i s p o l i t i c a l o r g a n i z a t i o n t h a t h e c a n
e x e r t a r e a l l y c o u n t e r v a i l i n g p o w e r .
T h e i n d u s t r i a l c o m p l e x i s r e s p o n s i b l e f o r s o m a n y o f t h e g o o d t h i n g s
i n l i f e t h a t i t m a y s e e m u n g r a t e f u l t o e n t e r a d i s s e n t t o t h e s e l f - g o v e r n m e n t
i t h a s s o l o n g e n j o y e d . I t i s , h o w e v e r , n o t t o o d i f f i c u l t t o s h o w t h a t w i t h
integra tion and planning, its productivity might have been enormously
l a r g e r a n d c e r t a i n l y m o r e b e n i g n . I t i s o n l y n e c e s s a r y t o s u g g e s t t h e s o c i a l
c o s t s j u s t n o w b e g i n n i n g t o b e c o u n t e d , a n d t h e w a s t e s i n h e r e n t i n c o m -
p e t i t i o n , t o s u p p o r t t h i s c o n c l u s i o n .
S u r e l y w e h a v e r e a c h e d a t i m e w h e n m i n d l e s s n e s s i n s o i m p o r t a n t a n
area of human endeavor need not be r eg arded as a virtue . We have the
c a p a b i l i ty o f f o r e s ig h t a n d c o n tr o l . I t o u g h t t o be u s e d . I f t h i s w a s b e y o n d
t h e v i e w o f t h e f r a m e r s i t i s n o t b e y o n d o u r s . A n d o u r C o n s t i t u t i o n o u g h t
t o r e f l e c t i t .
Conflicts Not Contem plated
T h e r e w a s a n o t h e r c i v i l c o n f l i c t t h a t t o r m e n t e d t h e e n t i r e c o u n t r y f o r
a t l e a s t a s l o n g a s t h o s e b e t w e e n t h e f a r m e r s a n d t h e i r c r e d i t o r s , a n d b e -
t w e e n s m a l l a n d b i g b u s i n e s s m e n . T h i s w a s t h e s t r u g g l e o f w o r k e r s f o r t h e
e q u a l i t y t h e y u n d e r s t o o d t o b e t h e i r i n h e r i t a n c e . If there was any one
v i r t u e i n A m e r i c a n s o c i e t y m o r e p r a i s e d t h a n a n y o t h e r , i t w a s t h i s ; yet
i t w a s h o n o r e d m o r e o f t e n t h a n p r a c t i c e d . E q u a l i t y a s a p r a c t i c a l m a t t e r
a l w a y s e v o l v e d t o w a r d a d v a n t a g e s f o r s o m e ; a n d t h o s e w h o w e r e f a v o r e d
became m ore and more defe nsive, just as those who wer e disadvantaged
became m ore and more ag gre ssive .
I t m u s t b e a d m i t t e d t h a t n o w h e r e i n t h e C o n s t i t u t i o n i s t h e r e a h i n t o f
a n t i c i p a t i o n t h a t s u c h a s t r u g g l e m i g h t o c c u r a n d m i g h t n e e d t o b e c o n -
t a i n e d . T h e B i l l o f R i g h t s ? T h a t w a s m o s t l y i n t e n d e d t o p r e v e n t t h e i n v a s i o n
b y g o v e r n m e n t o f t r a d i t i o n a l f r e e d o m s . T h e ag g re s si o ns o f o th e r in d iv i d ua l s,
o r o f s u c h m o n s t r o s i t i e s a s c o r p o r a t i o n s , w e r e n o w h e r e m e n t i o n e d . The
First Amendment admonished the Congress in some detail to make no law
i n f r i n g i n g r i g h t s ; a n d t h e e i g h t e e n s p e c i f i c a t i o n s f o r c o n g r e s s i o n a l p o w e r s
i n A r t i c l e I h a d t o d o w i t h n a t i o n a l f a c i l i t i e s , t h e i r e s t a b l i s h m e n t a n d
maintenance . T h e r e w a s n o m e n t i o n o f c o r p o r a t e o r g a n i z a t i o n o r i t s p l a c e
in the economy, and no mention, even, of enter prise carried on by in-
d i v i d u a l s . T h e r e w a s p l e n t y o f i t i n 1 7 8 7 , b u t t h e r e w a s n o n e e d t o m e n t i o n
i t .
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2 2 THE EMERGING CONSTITUTIONv e n i e n c e t o b e e x p l o i t e d w i t h o u t h i n d r a n c e . T h e i n d u s t r i a l s y s t e m w a s n o
s y s t e m a t a l l ; i t w a s w a r w it h o u t r u l e s . A n d i f i t w a s b a d f o r t h e w o r k e r s ,
it was just as hard for farm er s who had to take what pr ocessors were
w i l l i n g t o a l l o w t h e m a n d t o p a y w h a t t h e b a n k e r s , t h e r a i l r o a d s , a n d t h e
s t o r a g e c o m p a n i e s w a n t e d t o c h a r g e .
T h e l o n g - c o n t i n u e d o u t r a g e s p e r p e t r a t e d b y u n c o n t r o l l e d b u s i n e s s w e r e
n o t t h e r e s u l t - l i k e t h e d i f f e r e n c e s a b o u t s t a t e s ' r i g h t s - o f c o m p r o m i s e ;
t h e y w e r e t h e r e s u l t o f a n h o n o r e d p r i n c i p l e . I t w a s , i f i t m a y b e p u t t h a t
way, a principle gone wrong, or, perhap s, misa pp lied . For what the