Volume 2, Episode 1 WHY THE CONSTITUTION IS ESSENTIAL by Troy L. Kickler, Ph.D North Carolina History Project “Hold on to the Constitution of the United States of America and the republic for which it stands. What has happened once in six thousand years may never happen again. Hold on to your Constitution, for if the American Constitution shall fail there will be anarchy throughout the world.”—Daniel Webster1 Football, baseball, basketball . . . in any sport, there are rules. Players and avoidance reveals their genius: a limited constitutional government was coaches are quick to complain to an official if they believe the rules are needed to achieve what was mentioned in the Preamble. It is essential not being enforced. Even simple board games and card games have rules. that Americans understand the importance of the Constitution, what In a moment of confusion or when one player believes another is gaining influenced its framers and ratifiers, and why the document should not be an unfair advantage, the rules are consulted; players become students of ignored but should be defended and consulted in political debates. the laws of the game. The U.S. Constitution in many ways is a rulebook. To understand the CONSTITUTIONS AND THE U.S. CONSTITUTION American “game of politics,” as constitutional scholar James McClellan The United States is not the only country with a constitution. Among writes in Liberty, Order, and Justice, one must “become familiar with the written national constitutions, however, the U.S. Constitution is the constitutional framework that shapes and controls the political process.”2 oldest one still in effect. Although parts of the original meaning of the The Constitution provides the rules of the game, so to speak, for Ameri- U.S. Constitution have been obscured or twisted, the document has not can politics and government. Consider the Preamble of the Constitution: been scrapped and replaced like so many other national constitutions. What exactly is a constitution and what is its purpose? McClellan We the people of the United States, in Order to form a more perfect writes that in a national context, a constitution can be defined as a Union, establish Justice, insure domestic Tranquility, provide for the “system of fundamental principles for governing a state or country.” common defense, promote the general Welfare, and secure the Blessings Organizations and churches often have constitutions, too. In all cases, of Liberty to ourselves and our Posterity, do ordain and establish this they are rules that people adopt and follow to provide order and to Constitution for the United States of America. defend against intimidation, force, or abuse. A constitution can be written, such as the U.S. Constitution, the Wyoming Constitution, or The Preamble is not law or a declaration of rights. It describes the the constitution of an organization or a denominational church. There Constitution’s purpose—the reasons for the rules that follow. And are also unwritten constitutions. the rules—the Constitution—provide a system of political order, The concept of an unwritten constitution is more difficult for Ameri- decentralized in nature, so that Americans can experience justice, cans to understand; Americans are most familiar with their national and order and liberty. 2 state constitutions, which are all written. An unwritten constitution can Did the framers and ratifiers create a system of rules that lives up to be habits, charters, or procedures—to name three examples—that have such lofty goals?3 It is important to remember what they did not promise. emerged in a society over centuries. These traditions are referred to when They were not promising or attempting to create a utopian society. This new legislation is considered or when fundamental disputes arise. 1 what ancient Greek philosopher Aristotle called the “rule of men.” That is to say, all are equals under the law in the sense that the law is applied equally to all. No one is above it. People choose to live under constitutions and the rule of law because they realize that societal chaos might occur without such a framework. Constitutions generally provide predictability about how government will operate and what it can and cannot do. The U.S. Constitution is one national constitution among many. Columbia has one. Djibouti has a constitution. So do Laos, Somalia, the Republic of Korea, Portugal and Venezuela. All have preambles, too. The Somali constitution refers to the “Rule of Law” in its Preamble. The The British Constitution is an unwritten constitution, but the U.S. Venezuelan preamble tells readers that the constitution is to help provide Constitution is the first national constitution to be written down. for “social justice,” and “to ensure stability, freedom, peace, and stabil- Modern nations have subsequently followed the American example, ity of its institutions.” Before the list of specific goals in subsection 1.8, so many today assume that a constitution must be a written document. the Somali preamble declares: “We, the Citizens of our new Republic of In 1878, British Prime Minister William E. Gladstone compared the Somalia, hereby declare our commitment to the following guiding prin- British and American constitutions: “As the British Constitution is the ciples for our Republic of Somalia.” The Laotian preamble includes the most subtle organism which has proceeded from the womb and the long following: “It [the constitution] defines the political regime, the socio- gestation of progressive history, so the American Constitution is, so far economic system, the fundamental rights and duties of citizens and the as I can see, the most wonderful work ever struck off by the brain and system of organization of the state’s apparatus in this new period. This is purpose of man.” the first time in the history of our nation that the people’s right to mastery is defined in the fundamental law of the nation.” [emphasis added] THE RULE OF LAW, Although countries have different types of governments and some THE U.S. CONSTITUTION AND OTHER NATIONAL CONSTITUTIONS preambles offer different goals than those of other countries, there are Constitutions foster the “rule of law.” So, what is the “rule of law”? It some similarities. Each constitution claims the support of the people. is when men follow the law rather than thinking of themselves as the Each claims to be the highest, supreme or fundamental law of the law. Constitutions provide a framework for government to help prevent respective country and establishes a rule of law. 2 LIBERTY, ORDER AND JUSTICE because he or she feels like it. Today most national constitutions are intended to provide for the rule of Order is a prerequisite for justice. The rule of law is needed for liberty law and are set down in writing. Most also make reference in some way (freedom) to exist. In Kirk’s words, justice is essential for a decent soci- to the concepts of liberty, order and justice. Again, the U.S. Constitution ety and means that a person’s life, property and other “proven rights” are has become the model for most of the world. protected. In other words, according to McClellan, it secures to people Russell Kirk, one of the fathers of modern-day conservatism, argued things that rightfully belong to them and ensures that people receive that there are “three cardinal ideas to American civilization”: justice, or- what they have earned—whether positive or negative. It must be said der and freedom. Others have made similar arguments. James McClellan here that justice means that all have opportunity and are equal before the has written that “liberty, order, and justice are the primary objectives of law. To ensure equal results, by contrast, necessitates coercion and chips the American political system.” away at liberties and turns justice on its head. So what makes the U.S. Constitution different from other national constitutions? To understand the difference, we must ask ourselves: What did the framers and ratifiers mean by liberty, order and justice? When considering these concepts, readers should remember that, in many ways, all three are interwoven. “...there are ‘three cardinal ideas to American civilization’: justice, order and freedom.” Liberty (freedom), writes McClellan, is the “absence of coercion or the ability of one to think and believe and live out his or her life without being subjected to another’s ideas.” Freedom also requires responsibility: individuals must consider the freedom of others, for people cannot do THE U.S. CONSTITUTION AND ITS ANCIENT ANTECEDENTS whatever they will without regard to others. The U.S. Constitution has deep roots in history; the framers and ratifiers Order is the effort among people in a society to live in peace and considered the lessons and mistakes of the past when drafting and ap- harmony. Freedom must be somewhat ordered because people have both proving the document. They remembered the experiences of the Ameri- rights and duties. This is necessary for liberty to exist. An obvious exam- can Revolution and were familiar with English law and tradition. They ple is a good one: an individual cannot punch another in the face simply also knew ancient Greek and Roman history. 3 The American Founders studied ancient Greek thinkers like Aristotle, The History of the Decline and Fall of the Roman Empire (published in Plato, Thucydides and Plutarch. They knew of the weaknesses of the con- London in six volumes from 1776 to 1788 and considered a ground- stitutions and federations in ancient Greece. Tyranny returned, in some breaking work of historical analysis). The Americans revived the concept cases only 30 years after a constitution’s drafting. The American Founders of the republic—the idea of rule by the people through representatives. In often discussed the various forms of government in ancient Greece—mo- a vast land, the people would have to rule indirectly and through elected narchical, aristocratic and democratic—and they studied various Greek representatives. A republic was possible, the framers reasoned, if history’s ideas regarding concepts such as the meaning and purpose of govern- mistakes were avoided and Americans prized political virtue. That virtue ment. They shied away from the direct form of democracy found in some included the desires to be a genuine public servant and to avoid a lust for of the ancient Greek city-states. Direct democracy had proven to be too power.4 The Founders were also interested in the concept of checks and dangerous even in small cities, and the American Founders considered balances found in the unwritten constitution of the Roman Republic. it too impractical for a vast country such as the United States. In short, when drafting the U.S. Constitution, the framers wished to prevent the THE U.S. CONSTITUTION AND ITS BRITISH ANTECEDENTS same mistakes from reoccurring in the United States. Ancient influences were important, but one must remember the primary reasons the American Founders feared despotism, championed liberty “American Founders drew three primary lessons from the Roman experience: the importance of republicanism, virtue and checks and balances.” and desired a limited government. The memories of British abuses of power leading up to and during the Revolution were still fresh in the American mind, and a love of liberty lived in the American heart. The Americans were also familiar with ancient Roman history. It had In the 1700s, British parliamentary action affronted American colo- a more constructive influence on the Constitution’s drafting. The word nists. Americans judged British actions according to British standards of constitution, for instance, comes from the Latin constitutio. Many law and justice, and many Englishmen and some in Parliament agreed American political terms have Latin origins, including president, federal- with the Americans. The great statesman and parliamentarian Edmund ism and Senate. When debating whether to ratify the U.S. Constitution, Burke described American colonists as “descendents of Englishmen,” American Federalists and Antifederalists often used Latin pseudonyms who were devoted to “liberty according to English ideas, and on English such as Publius, Publicola, Marcus and Cato. principles.” In Burke’s “Speech on Conciliation with the Colonies” (1775), American Founders learned three primary lessons from Roman he explained the American position by recalling English history. “The history: the importance of republicanism, virtue, and checks and greatest contests of freedom in this country were from the earliest times balances. Some likely consulted the first volumes of Edward Gibbon’s chiefly upon the question of taxing.” Americans were part of this 4 tradition—a long-standing recognition that the authority to tax is a so general a study. The profession itself is numerous and powerful . . . all threat to freedom. Burke went on: “Their [American] love of liberty, as who do read, and most do read, endeavor to obtain some smattering in with you [English], fixed and attached on this specific point of taxing. that science.” Liberty might be safe, or might be endangered, in twenty other par- Through their studies, Americans found further support for their ticulars, without their being much pleased or alarmed. Here they felt position in the long traditions of English common law. English common its pulse; and as they found that beat, they thought themselves sick or law was “judge-made” law that had accumulated over hundreds of years. sound.” According to constitutional scholars, “common sense, habit and custom” through centuries of decisions in English courts influenced two signifi- “The memories of British abuses of power leading up to and during the Revolution were still fresh in the American mind, and a love of liberty lived in the American heart.” cant areas of the law: property and contract. Common law was not entirely the rule, or thinking, of one judge. One common law right was the right to a trial by jury. Many American colonists invoked this right when protesting the Stamp Act (1765). A What Americans call the French and Indian War (1756–63) was actu- trial by jury was deemed to be an essential part of preserving liberty and ally part of a world war between Great Britain and France. Although property. Americans deemed the Stamp Act unconstitutional. Why? They Britain won, it accumulated massive government debt. The British Parlia- believed it to be a form of taxation without representation. ment determined to raise more revenues from the American colonies in Many American framers and ratifiers, including James Iredell of North the form of tax legislation such as the Sugar Act, Stamp Act and Tea Act, Carolina and John Dickinson of Pennsylvania, had studied Sir Edward to pay the Empire’s debt. Americans refused and objected to taxes levied Coke’s Institutes of the Laws of England and his Reports. Coke by a body they had not elected. Americans claimed to possess the same (pronounced Cook) had written the most widely accepted commentaries rights as all other Englishmen, and they hearkened back to what they on common law tradition. As a 23-year-old lawyer, Iredell, later one of considered to be an unrivaled, unwritten British constitution, the first Justices on the U.S. Supreme Court, wrote a legal pamphlet con- Many of the most educated Americans colonists were students of the demning parliamentary legislation and taxation without representation. law. A look at any of the states’ declarations of rights, the Declaration of The American Revolution was more than a tax revolt. Americans Independence, and state constitutions written in 1776 reveals a sophisti- were upset with increased taxation, and as Burke points out, taxes were cated, understanding of the law. The state declarations and the Declara- a useful barometer to indicate the rising pressure of government against tion of Independence read like legal documents, with specific complaints. American liberties. However, the taxation issue was but one vehicle to ex- To quote Edmund Burke again: “In no country [as America] is the law press dissatisfaction with a Parliament overstepping its authority. As the 5 state declarations and the Declaration of Independence reveal, Americans had numerous claims against the king and Parliament that extended beyond economic concerns. Americans asked fundamental questions concerning the consent of the governed and the extent to which a government can justly exercise power. They believed, as the Virginia Declaration of Rights (1776) claims, “All power is vested in, and consequently derived from, the people.” WHY WRITE A CONSTITUTION? Throughout the mid-1700s, Americans referred unsuccessfully to the unwritten English constitution, English common law, and their rights as Englishmen to prevent further tyranny in the colonies. This is why general government.” Constitutional Convention delegates in 1787 decided to draft a written constitution. This is also why the people of the states eventually ratified HOW THE U.S. CONSTITUTION PREVENTS a written constitution, with the assurance that a Bill of Rights would be DESPOTISM AND ABUSE OF POWER added to it. In the United States, the Constitution is the supreme law of the land. At the 1788 Hillsborough Convention, Samuel Johnston of Edenton, There are seven articles to the Constitution and twenty-seven amend- North Carolina, remarked, “A parallel has been drawn between the ments. The first ten amendments are the Bill of Rights. Many state rati- British Parliament and Congress. The powers of Congress are all fication convention delegates and the people they represented wanted to circumscribed, defined, and clearly laid down. So far as they may go, ensure there was a Bill of Rights added to the Constitution. but no further. But, sir, what are the powers of the British Parliament? The Constitution’s structure is purposeful. The first three articles estab- They have no written constitution in Britain. . . . The power of Parlia- lish the organization of each branch and the interactions among them. It ment is unbounded.” Richard Dobbs Spaight, another North Carolinian, is no coincidence that Article I describes the legislative branch, Article declared at the Hillsborough Convention, “The powers of Congress are II establishes the executive branch, and Article III explains the functions limited and enumerated. We say we have given them those powers, but of the judicial branch. The framers and ratifiers believed that the legisla- we do not say we have given them more. We [North Carolina or gener- tive branch—Congress, the voice of the people—should have more power ally, the States] retain those rights which we have not given away to the than the other two branches and that the judicial branch should be the 6 weakest. The last four articles deal with the relationship between the II, Section 1); and protection of the tenure and salaries of federal judges general government and the state governments and how the Constitution from Congress (Article III, Section 1). was to be ratified and could be amended. Another example of the checks and balances is the nomination process Within the articles, several sections were included to limit governmen- of justices and ambassadors. Article II, Section 2 reveals the framers’ fear tal power. The framers attempted to bind leaders to the Constitution and of a congressional despotism and helped avoid the possibility of legisla- avoid a single location of power. The president, for instance, has a term tive machinations for temporary appointments. The executive branch of only four years, and can be impeached and removed from office. To nominates a candidate, but it is the legislative branch, in particular the this day, even though the Constitution has been interpreted in ways that Senate, that approves the nomination. If the nominee is rejected, the have increased centralization, there has not been a dictator in the United executive branch appoints another candidate and the process reboots. States of America. As James Iredell reminded delegates at his state’s ratification convention, The framers put a system of checks and balances in the Constitution “The President proposes such a man for such an office. The Senate has to that limits the power of the judicial, legislative and executive branches. consider upon it. If they think him improper, the President must nomi- No one branch can govern alone. Each one can check the power of the nate another, whose appointment ultimately again depends upon the others. The framers wanted overlap in the three branches’ functions. Here Senate.” Article II, Section 2 ensures that Americans know who is respon- are examples of some checks. The president can veto congressional acts sible for nominating appointments described within the provision.5 (Article 1, Section 7). However, Congress can override a presidential veto This independence is part of another way the Constitution limits gov- if they assemble a two-thirds majority (Article 1, Section 7). Even though ernment, known as the separation of powers. The federal nature of the the Supreme Court has to review to constitutionality of executive branch U.S. Constitution provides an often overlooked check on power: separa- actions. (Article III), Congress has the power to impeach and remove tion. Power is divided between the national and various state govern- judges and federal officers on constitutional grounds (Article 1, Section ments. These national and state governments can exist simultaneously, 3; Article II, Section 4; Article III, Section 1). each with its own sphere of power. Some call this “dual sovereignty.” This The framers also made each branch independent enough that govern- is in addition to the checks and separation of powers between the three ment could function even as the branches, political factions and indi- national branches—executive, legislative and judicial.6 vidual politicians struggled for power. Examples of this independence Article I, Sections 8, 9 and 10, sketch out the basic design that is include Congress’s sole power to punish its members for disorderly American federalism. The first two sections assign and then deny pow- behavior or to expel its members (Article 1, Section 5); election of the ers to the general, or national, government. Section 10 denies states some president by electors selected by the states for that purpose alone (Article powers or requires them to obtain congressional consent before acting in 7 particular areas. Everything not mentioned was understood to be left to Edwin Meese argues that America’s future depends on our faithfulness to the state to decide. This was emphasized further with the addition of the our fundamental law: Tenth Amendment in the Bill of Rights: “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are The Constitution—the original document of 1787 plus its amend- reserved to the States respectively, or to the people.” ments—is and must be understood to be the standard against which Similar to their concern that checks and balances—independence, all laws, policies, and interpretations should be measured. It is our yet cooperation among the three branches of the federal government— fundamental law because it represents the settled and deliberate will needed to exist, the framers knew a relationship between the “general of the people against which the actions of government officials must be government” and the state governments should exist for the nation, as squared. In the end, the continued success and viability of our democrat- envisioned by the framers and ratifiers, to survive. Article IV explains ic Republic depends on our fidelity to, and the faithful exposition and the nature of that affiliation. Let me provide two examples. Article IV interpretation of, this Constitution, our great charter of liberty. requires the United States to guarantee a republican form of government, Some do not agree, however, and have erroneously interpreted the “The Constitution’s structure is purposeful.” Constitution as an evolving document that gives ever more expansive to protect states from enemy invasion and, if requested, to help put down powers to government. They reject the view of the American Founders, in-state, domestic violence. The states are required to participate in the framers and ratifiers, and of many Americans today, that the Constitu- presidential election and states are “obliged,” writes James McClellan, “to tion exists to limit government powers and thereby protect individual hold elections for Senators and Representatives” (Article II, Section 1; liberty. These differing interpretations are at the heart of most of the Article I, Section 4). disagreements in American politics today. Due to all of its interrelated parts and system of checks and balances Many Americans are turning to centralization—that is, they are asking and separation of powers, Sir Henry Maine, a British legal theorist and government, often at the highest levels—to solve their problems. With historian who pioneered the craft of comparative law, considered the technology, urbanization and modernization, the world is full of complex U.S. Constitution one of the greatest, if not the greatest, political achieve- problems, but many Americans still believe as the framers and ratifiers ments of modern times. did: complex problems are best solved at the local levels where the citizenry can exhibit republican virtue. WHY IS THE CONSTITUTION IMPORTANT FOR AMERICANS TODAY? The American Founders understood that when people look to govern- In The Heritage Guide to the Constitution, former U.S. Attorney General ment to solve all their problems, despotism follows. It might not be the 8 heavy-handed despotism of ancient rulers, but creating a parental type tional power.” American liberty, then, rests with “We the People” and our of government will always require the people to sacrifice liberties. The desire to understand and defend the Constitution. Founders also feared that such a powerful government would only END serve special interests. The American Founders wanted liberty, justice and order for every American, but believed the best way to achieve this was through decentralization and a system of complex checks and balances among the three branches and between the federal and state governments.7 The Constitution, when its plain meaning is applied, is America’s most important tool to prevent the arbitrary and abusive rule of men and to maintain the rule of law and the limits on government power. When correctly applied and enforced, the Constitution, and the people’s understanding of the Constitution, protects liberty. The Declaration of Independence laid groundwork principles the framers followed: “Governments are instituted among men, deriving their just powers from the consent of the governed.” The Constitution was approved by the people at their respective state ratification conventions and therefore is a product of the people of their respective states. The ratification process gave the Constitution its authority. To preserve, indeed to revive our Constitution and thereby protect liberty, order and justice for all, requires an understanding of what the Constitution says, what it means, and what it was intended to achieve. Thomas Jefferson wrote in 1820, “I know no safe depository of the ultimate powers of the society but the people themselves; and if we think them not enlightened enough to exercise their control with wholesome discretion, the remedy is not to take it from them, but to inform their discretion by education. This is the true corrective of abuses of constitu9 Bibliography: Meese, Edwin III, David Forte, and Matthew Spalding, ed. 2005. Gutzman, Kevin. 2007. The Politically Incorrect Guide to the Constitution. The Heritage Guide to the Constitution. Washington, DC: Heritage Washington, DC: Regnery Publishing. Foundation. Hershkoff, Helen. 2011 “Just Words”: Common Law and the Enforce- Nash, George H. 2006. The Conservative Intellectual Movement in ment of State Constitutional Social and Economic Rights. Stanford Law America. Wilmington, DE: ISI Books, reprint. Review 62: 1521–82. Spalding, Matthew. 2010. We Still Hold These Truths: Rediscovering Our Jensen, Merrill, et al., ed. 1993. The Documentary History of Ratification Principles, Reclaiming Our Future. Washington, DC: Heritage Foundation. of the Constitution. Madison, WI: Wisconsin Historical Society Press. Kirk, Russell. 2002. The American Cause. Wilmington, DE: ISI Books. Kurland, Philip B., and Ralph Lerner, ed. 1987. The Founders’ Constitution. Vol. I. Indianapolis: Liberty Fund. McClanahan, Brion. 2012. The Founding Fathers Guide to the Constitution. Washington, DC: Regnery Publishing. McClellan, James. 2000. Liberty, Order, and Justice: An Introduction to the Constitutional Principles of American Government. Indianapolis: Liberty Fund. Maier, Pauline. Ratification: The People Debate the Constitution, 1787–1789. New York: Simon & Schuster. 10 Citations: 1 New York Times Book Review, 1965, Arno Press, p. 65 6 The author previously stated this idea in an essay explaining Federalist 67 at Constituting America http://www.constitutingamerica.org/blog/cat2 James McClellan, Liberty, Order, and Justice: An Introduction to the egory/federalist-paper-forum-2010-essay- project/federalistpaper67/ Constitutional Principles of American Government (Indianapolis: Liberty Fund, 2000), xvii. 7 If members of all three branches think alike, theoretically speaking, or ignore the checks within the Constitution, despotism can still occur. The 3 Framers are those who wrote the Constitution and were delegates at framers made the Constitution decentralized in nature. the Philadelphia Convention of 1787. They submitted the Constitution to be ratified. Ratifiers are those who approved the Constitution at their According to influential American political philosopher Frank Meyer, in respective state ratifying conventions a December 1967 National Review issue, the Constitution restricted “government to its proper functions; within government, tension and balance 4 Much has been erroneously concluded about phrases such as “promote between local and central power; within the Federal government, tension the general Welfare.” Many Americans, however, are unfamiliar with the and balance between coordinate branches.” In essence, the document times in which the document was written and then ratified and what the limits the general government and refrains from listing positive rights or framers meant by certain phrases. Historical context is essential to un- guaranteeing economic well- being. derstand the meaning of such statements. Yet even if one wanted to make Within the respective states, the respective state constitutions can limit sweeping generalizations and apply an expansive definition of “general government even more, or they can guarantee certain positive rights Welfare,” the text that follows—the Constitution—specifies the specified within a state’s boundaries. Even in the United States’ earliest days, for given to the general government. instance, various state constitutions included clauses guaranteeing public education. Today, the New York Constitution offers that “the aid, care, 5 George Washington is a good example of a virtuous leader. He had the and support of the needy are public concerns and shall be provided by opportunity to run for a third term as president, yet he chose to limit his the state and by such of its subdivisions, and in such manner and by such administration to two terms. He avoided the temptation to be a president means, as the legislature may from time to time determine.” States have for life. the sovereignty to guarantee positive rights in their respective constitutions, if the people choose. This is a product of federalism. 11
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