The Antifederalist Papers
No. 41-43 (Part 1) Richard Henry Lee
"The Quantity of Power the Union Must Possess is One Thing; the Mode of Exercising the Powers Given is Quite a Different Consideration"
Taken from "THE FEDERAL FARMER,"
. . . . A federal republic in itself supposes state or local governments to exist, as the body or props, on which the federal bead rests, and that it cannot remain a moment after they cease. In erecting the federal government, and always in its councils, each state must be known as a sovereign body. But in erecting this government, I conceive, the legislature of the state, by the expressed or implied assent of the people, or the people of the state, under the direction of the government of it, may accede to the federal compact. Nor do I conceive it to be necessarily a part of a confederacy of states, that each have an equal voice in the general councils. A confederated republic being organized, each state must retain powers for managing its internal police, and all delegate to the union power to manage general concerns. The quantity of power the union must possess is one thing; the mode of exercising the powers given is quite a different consideration- and it is the mode of exercising them, that makes one of the essential distinctions between one entire or consolidated government, and a federal republic. That is, however the government may be organized, if the laws of the union, in most important concerns, as in levying and collecting taxes, raising troops, etc., operate immediately upon the persons and property of individuals, and not on states, extend to organizing the militia, etc., the government, as to its administration, as to making and executing laws, is not federal, but consolidated. To illustrate my idea: the union makes a requisition, and assigns to each state its quota of men or monies wanted; each state, by its own laws and officers, in its own way, furnishes its quota. Here the state governments stand between the union and individuals; the laws of the union operate only on states, as such, and federally. Here nothing can be done without the meetings of the state legislatures. But in the other case the union, though the state legislatures should not meet for years together, proceeds immediately by its own laws and officers to levy and collect monies of individuals, to enlist men, form armies, etc. Here the laws of the union operate immediately on the body of the people, on persons and property. In the same manner the laws of one entire consolidated government operate. These two modes are very distinct, and in their operation and consequences have directly opposite tendencies.... I am not for depending wholly on requisitions. Since the peace, and till the convention reported, the wisest men in the United States generally supposed that certain limited funds would answer the purposes of the union. And though the states are by no means in so good a condition as I wish they were, yet, I think, I may very safely affirm, they are in a better condition than they would be had congress always possessed the powers of taxation now contended for. The fact is admitted, that our federal government does not possess sufficient powers to give life and vigor to the political system; and that we experience disappointments, and several inconveniences. But we ought carefully to distinguish those which are merely the consequences of a severe and tedious war, from those which arise from defects in the federal system. There has been an entire revolution in the United States within thirteen years, and the least we can compute the waste of labor and property at, during that period, by the war, is three hundred millions of dollars. Our people are like a man just recovering from a severe fit of sickness. It was the war that disturbed the course of commerce introduced floods of paper money, the stagnation of credit, and threw many valuable men out of steady business. From these sources our greatest evils arise. Men of knowledge and reflection must perceive it. But then, have we not done more in three or four years past, in repairing the injuries of the war, by repairing houses and estates, restoring industry, frugality, the fisheries, manufactures, etc., and thereby laying the foundation of good government, and of individual and political happiness, than any people ever did in a like time? We must judge from a view of the country and facts, and not from foreign newspapers, or our own, which are printed chiefly in the commercial towns, where imprudent living, imprudent importations, and many unexpected disappointments, have produced a despondency, and a disposition to view everything on the dark side. Some of the evils we feel, all will agree, ought to be imputed to the defective administration of the governments.
From these and various considerations, I am very clearly of opinion that the evils we sustain merely on account of the defects of the confederation, ar but as a feather in the balance against a mountain, compared with those which would infallibly be the result of the loss of general liberty, and that happiness men enjoy under a frugal, free, and mild government.
Heretofore we do not seem to have seen danger any where, but in giving power to congress, and now no where but in congress wanting powers; and without examining the extent of the evils to be remedied, by one step we ar for giving up to congress almost all powers of any importance without limitation. The defects of the confederation are extravagantly magnified, an every species of pain we feel imputed to them; and hence it is inferred, the must be a total change of the principles, as well as forms of government And in the main point, touching the federal powers, we rest all on a logical inference, totally inconsistent with experience and sound political reasoning.
It is said, that as the federal head must make peace and war, and provide for the common defense, it ought to possess all powers necessary to that end. That powers unlimited, as to the purse and sword, to raise men and monies and form the militia, are necessary to that end; and therefore, the federal head ought to possess them. This reasoning is far more specious than solid. It is necessary that these powers so exist in the body politic, as to be called into exercise whenever necessary for the public safety. But it is by no means true that the man, or congress of men, whose duty it more immediately is to provide for the common defense, ought to possess them without limitation. But clear it is, that if such men, or congress, be not in a situation to hold them without danger to liberty, he or they ought not to possess them. It has long been thought to be a well founded position, that the purse and sword ought not to be placed in the same hands in a free government. Our wise ancestors have carefully separated them-placed the sword in the hands of their king, even under considerable limitations, and the purse in the hands of the commons alone. Yet the king makes peace and war, and it is his duty to provide for the common defense of the nation. This authority at least goeth thus far-that a nation, well versed in the science of government, does not conceive it to be necessary or expedient for the man entrusted with the common defense and general tranquility, to possess unlimitedly the power in question, or even in any considerable degree. Could he, whose duty it is t defend the public, possess in himself independently, all the means of doing it consistent with the public good, it might be convenient. But the people o England know that their liberties and happiness would be in infinitely great danger from the king's unlimited possession of these powers, than from al external enemies and internal commotions to which they might be exposed Therefore, though they have made it his duty to guard the empire, yet the have wisely placed in other hands, the hands of their representatives, the power to deal out and control the means. In Holland their high mightiness must provide for the common defense, but for the means they depend in considerable degree upon requisitions made on the state or local assemblies Reason and facts evince, that however convenient it might be for an executive magistrate, or federal head, more immediately charged with the national defense and safety, solely, directly, and independently to possess all the means, yet such magistrate or head never ought to possess them if thereby the public liberties shall be endangered. The powers in question never have been, by nations wise and free, deposited, nor can they ever be, with safety, any where out of the principal members of the national system. Where these form one entire government, as in Great Britain, they are separated and lodged in the principal members of it. But in a federal republic, there is quite a different organization; the people form this kind of government, generally, because their territories are too extensive to admit of their assembling in one legislature, or of executing the laws on free principles under one entire government. They Convene in their local assemblies, for local purposes, and for managing their internal concerns, and unite their states under a federal head for general purposes. It is the essential characteristic of a confederated republic, that this head be dependent on, and kept within limited bounds by the local governments; and it is because, in these alone, in fact, the people can be substantially assembled or represented. It is, therefore, we very universally see, in this kind of government, the congressional powers placed in a few hands, and accordingly limited, and specifically enumerated; and the local assemblies strong and well guarded, and composed of numerous members. Wise men will always place the controlling power where the people are substantially collected by their representatives. By the proposed system the federal head will possess, without limitation, almost every species of power that can, in its exercise, tend to change the government, or to endanger liberty; while in it, I think it has been fully shown, the people will have but the shadow of representation, and but the shadow of security for their rights and liberties. In a confederated republic, the division of representation, etc., in its nature, requires a correspondent division and deposit of powers, relative to taxes and military concerns. And I think the plan offered stands quite alone, in confounding the principles of governments in themselves totally distinct. I wish not to exculpate the states for their improper neglects in not paying their quotas of requisitions. But, in applying the remedy, we must be governed by reason and facts. It will not be denied that the people have a right to change the government when the majority choose it, if not restrained by some existing compact; that they have a right to displace their rulers, and consequently to determine when their measures are reasonable or not; and that they have a right, at any time, to put a stop to those measures they may deem prejudicial to them, by such forms and negatives as they may see fit to provide. From all these, and many other well founded considerations, I need not mention, a question arises, what powers shall there be delegated to the federal head, to insure safety, as well as energy, in the government? I think there is a safe and proper medium pointed out by experience, by reason, and facts. When we have organized the government, we ought to give power to the union, so far only as experience and present circumstances shall direct, with a reasonable regard to time to come. Should future circumstances, contrary to our expectations, require that further powers be transferred to the union, we can do it far more easily, than get back those we may now imprudently give. The system proposed is untried. Candid advocates and opposers admit, that it is in a degree, a mere experiment, and that its organization is weak and imperfect. Surely then, the safe ground is cautiously to vest power in it, and when we are sure we have given enough for ordinary exigencies, to be extremely careful how we delegate powers, which, in common cases, must necessarily be useless or abused, and of very uncertain effect in uncommon ones. By giving the union power to regulate commerce, and to levy and collect taxes by imposts, we give it an extensive authority, and permanent productive funds, I believe quite as adequate to present demands of the union, as excises and direct taxes can be made to the present demands of the separate states. The state governments are now about four times as expensive as that of the union; and their several state debts added together, are nearly as large as that of the union. Our impost duties since the peace have been almost as productive as the other sources of taxation, and when under one general system of regulations, the probability is that those duties will be very considerably increased. Indeed the representation proposed will hardly justify giving to congress unlimited powers to raise taxes by imposts, in addition to the other powers the union must necessarily have. It is said, that if congress possess only authority to raise taxes by imposts, trade probably will be overburdened with taxes, and the taxes of the union be found inadequate to any uncommon exigencies. To this we may observe, that trade generally finds its own level, and will naturally and necessarily heave off any undue burdens laid upon it. Further, if congress alone possess the impost, and also unlimited power to raise monies by excises and direct taxes, there must be much more danger that two taxing powers, the union and states, will carry excises and direct taxes to an unreasonable extent, especially as these have not the natural boundaries taxes on trade have. However, it is not my object to propose to exclude congress from raising monies by internal taxes, except in strict conformity to the federal plan; that is, by the agency of the state governments in all cases, except where a state shall neglect, for an unreasonable time, to pay its quota of a requisition; and never where so many of the state legislatures as represent a majority of the people, shall formally determine an excise law or requisition is improper, in their next session after the same be laid before them. We ought always to recollect that the evil to be guarded against is found by our own experience, and the experience of others, to be mere neglect in the states to pay their quotas; and power in the union to levy and collect the neglecting states' quotas with interest, is fully adequate to the evil. By this federal plan, with this exception mentioned, we secure the means of collecting the taxes by the usual process of law, and avoid the evil of attempting to compel or coerce a state; and we avoid also a circumstance, which never yet could be, and I am fully confident never can be, admitted in a free federal republic-I mean a permanent and continued system of tax laws of the union, executed in the bowels of the states by many thousand officers, dependent as to the assessing and collecting federal taxes solely upon the union. On every principle, then, we ought to provide that the union render an exact account of all monies raised by imposts and other taxes whenever monies shall be wanted for the purposes of the union beyond the proceeds of the impost duties; requisitions shall be made on the states for the monies so wanted; and that the power of laying and collecting shall never be exercised, except in cases where a state shall neglect, a given time, to pay its quota. This mode seems to be strongly pointed out by the reason of the case, and spirit of the government; and I believe, there is no instance to be found in a federal republic, where the congressional powers ever extended generally to collecting monies by direct taxes or excises. Creating all these restrictions, still the powers of the union in matters of taxation will be too unlimited; further checks, in my mind, are indispensably necessary. Nor do I conceive, that as full a representation as is practicable in the federal government, will afford sufficient security. The strength of the government, and the confidence of the people, must be collected principally in the local assemblies. . . . A government possessed of more power than its constituent parts will justify, will not only probably abuse it, but be unequal to bear its own burden; it may as soon be destroyed by the pressure of power, as languish and perish for want of it.
There are two ways further of raising checks, and guarding against -undue combinations and influence in a federal system. The first is-in levying taxes, raising and keeping up armies, in building navies, in forming plans for the militia, and in appropriating monies for the support of the military-to require the attendance of a large proportion of the federal representatives, as two-thirds or three-fourths of them; and in passing laws, in these important cases, to require the consent of two-thirds or three- fourths of the members present. The second is, by requiring that certain important laws of the federal head-as a requisition or a law for raising monies by excise- shall be laid before the state legislatures, and if disapproved of by a given number of them, say by as many of them as represent a majority of the people, the law shall have no effect. Whether it would be advisable to adopt both, or either of these checks, I will not undertake to determine. We have seen them both exist in confederated republics. The first exists substantially in the confederation, and will exist in some measure in the plan proposed, as in choosing a president by the house, or in expelling members; in the senate, in making treaties, and in deciding on impeachments; and in the whole, in altering the constitution. The last exists in the United Netherlands, but in a much greater extent. The first is founded on this principle, that these important measures may, sometimes, be adopted by a bare quorum of members, perhaps from a few states, and that a bare majority of the federal representatives may frequently be of the aristocracy, or some particular interests, connections, or parties in the community, and governed by motives, views, and inclinations not compatible with the general interest. The last is founded on this principle, that the people will be substantially represented, only in their state or local assemblies; that their principal security must be found in them; and that, therefore, they ought to have ultimately a constitutional control over such interesting measures.
THE FEDERAL FARMER