Balkinization  

Friday, June 16, 2023

The Twisted History Of An “Original” Concept

Guest Blogger

For the Balkinization symposium on Christian G. Fritz, Monitoring American Federalism: The History of State Legislative Resistance (Cambridge University Press, 2023). 

Edward A. Purcell, Jr.

In Monitoring American Federalism Christian G. Fritz has written a thorough and insightful study of the role states and state legislatures have played in using ideas of “interposition” to “monitor” the federal system and check overreaching by the federal government.  While the book concentrates on the decades from ratification to the Civil War, its last pages sketch its story briefly up to the present. 

Three central theses deserve note.  First, the book argues that interposition was an “original” idea that emerged in the ratification debate.  Promoted by both Alexander Hamilton and James Madison in the Federalist, it evolved over the centuries into a variety of forms and continues to operate today in the practice of American federalism. 

Second, the book insists that “nullification” was not part of original interpositionism but began to develop only in the early decades of the nineteenth century under the spur of slavery and ultimately the leadership of John C. Calhoun.  Originally interposition referred only to the right and duty of states and their legislatures to lodge protests, petition Congress, and circularize other states in warning that some action of the national government transgressed constitutional limits.  It was a procedural device intended to play a “benign and logical role” in the federal system (37). 

Third, the book focuses on Madison and argues that he maintained a consistent theoretical position from his Federalist essays through the Virginia Resolutions and his Report of 1800 and on to the 1830s when he rejected nullification and repudiated Calhoun’s theories.  In spite of his consistency, the different contexts in which he addressed interposition and the “convoluted words” he sometimes used meant that his ideas were commonly misunderstood and often purposely twisted.  This was especially true for his “language about the theoretical right of the sovereign people to interpose in the last resort,” Professor Fritz specifies.  Indulging “his need to declare a principle of constitutional theory,” Madison “unwittingly provided the raw materials for future constitutional catastrophe” (127).

 Monitoring American Federalism raises an intriguing question about the Federalist’s argument that interposition would enable states to serve effectively as collective monitors of federalism because they would have a “common interest” in challenging usurpations by the central government.  Did Madison and Hamilton really believe that?  On one hand, the book questions whether they did, noting that both were deeply skeptical of the quality of state legislatures.  On the other hand, it concludes that both “accepted the underlying premises of interposition that state governments were more than a match for the authority of the national government” (33).

While Madison and Hamilton were deeply concerned about the dangers states posed to the national government, it seems unlikely that they actually believed in their “common interest” theory of collective state monitoring.  Not only did they distrust the state legislatures, but they also understood that state interests varied greatly and sometimes sharply.  More obvious, both advanced the theory that a “large state” would protect republicanism because its “extended” sphere would encompass so many different factional interests rooted in different parts of the country that none would be able to dominate the central government.  Self interest and property claims, Madison declared, are “an insuperable obstacle to a uniformity of interests.” 

Thus, it seems highly unlikely that Madison, let alone Hamilton, had any faith in their “common interest” theory but simply found it a needed ploy in the ratification debate.  Indeed, Madison’s tenth Federalist–the locus classicus of his large state theory–invoked generalities about human nature and “property” but did not hazard a specific mention of the two hottest-button issues that most divided the states at the Philadelphia Convention, population size and slavery.  That absence further suggests that the Federalist’s “common interest” theory of collective state monitoring was far more an abstracted forensic confection than a credible analysis of likely state behavior.  Monitoring American Federalism comes closest to the mark when it suggests that the theory was essentially “a rhetorical argument designed to address the objections of Anti-federalists” (32). 

Emphasizing the Federalist’s repeated advocacy of interposition, the book notes but underplays Hamilton’s differences from Madison.  While Madison did rely fundamentally on ideas of interposition and multiple checks and balances, Hamilton gave greater weight to the necessity of an authoritative national judiciary, a powerful central administration, and a strong national executive.  At the convention itself Hamilton expressed doubts about the strength of Madison’s version of the large state theory, and in the Federalist he relied more on the idea that a large state would remain a republic not because it would be checked by state interposition but because its greater power would enable it to suppress factions, with force if necessary.  While Madison equated diversity and local interests with protections for republican government, Hamilton equated them with bias and political dysfunction.  There was “much to fear,” Hamilton insisted, “from the bias of local views and prejudices and from the interference of local regulations.”  While Madison readily acknowledged the weaknesses that limited human reason, Hamilton boasted of the power that the “correct and unprejudiced mind” had to recognize and apply “axioms as simple as they are universal.”  However much Madison’s Federalist essays advocated the true “original” version of interposition and assumed the efficacy and desirability of state monitoring, Hamilton’s contributions saw interposition as a strictly limited–probably unavoidable--procedure and maintained that the true monitor of federalism was not the state legislatures but the central government and its Supreme Court.

Monitoring American Federalism frequently cites Federalist 46 where Madison promoted interposition by explaining why states would be able to effectively check the central government.  Due perhaps to the book’s thesis that Madison’s interposition theory was pacific and procedural, it gives slight attention to the role of state militias.  But Federalist 46 made it clear that state militias were key instruments of federalism, armed tools of state power and potential resistance. 

More salient today, state militias were important because their organization highlighted both the Founders’ racism and their race-based understanding of the Second Amendment.  When Congress enacted the Militia Act of 1792, it restricted militia service to free “white male” citizens.  That racial exclusion followed directly on the heels of the Second Amendment’s ratification, and it provided strong evidence of the Founders’ understanding of the amendment’s intended meaning.  Because there were free Blacks even in some Southern states, the statute’s racial exclusion suggests that Madison and his colleagues could not possibly have intended the amendment to guarantee those Blacks an individual constitutional right to possess firearms.  Neither Madison nor virtually any white Southerner would have tolerated such a result.  Indeed, in Federalist 46 Madison–who drafted the Second Amendment and shepherded it through Congress--used its critical phrase “bear arms” to refer specifically to military service, not to any “individual” right.  Thus, the Militia Act’s racial provision supports the conclusion that Madison and the Founders intended the Second Amendment to guarantee only the states’ right to maintain their militias as structural elements of federalism and interpositionism, not to establish any personal and individual right to possess firearms. 

Professor Fritz’s book raises an unavoidable question about word usage.  Put simply, what does the word “interposition” properly mean?  The book points out that neither the Federalist nor other early commentaries used the word “interposition” and that the term did not even surface in state protests against Chisholm v. Georgia (1793) which led to the adoption of the Eleventh Amendment.  While Madison did use the word “interpose” in 1798 in his third Virginia Resolution, it was only in the early decades of the nineteenth century that the term began to appear commonly and then came to be used to justify more aggressive state actions including defiance, nullification, and ultimately secession.  Following the Civil War interposition’s original procedural meaning was largely forgotten, the book continues, but that “did not stop its practice” (258) and after 1900 “state interposition resurfaced as a key component of American political life” (288).  Clearly stretching the term’s meaning, the book states that in the early twenty-first century the interpositionist principle lives on in a variety of resistance forms including a reoriented Supreme Court jurisprudence that “aided state resistance to perceived excesses of federal congressional power” (304).  If the term “interposition” is used in such a generalized and elastic way, it can refer to any kind of oppositional action in the name of the states and loses any clear and specific meaning.  Indeed, considering the Supreme Court’s “pro-federalism” jurisprudence as another form of interposition gives the word a meaning diametrically opposed to the Federalist–and certainly Hamiltonian–principle that the Court is the protector of the central government, not the guardian of the states.

Such an all-encompassing usage seems obscurantist whether one credits the relatively clear “original” meaning the book delineates, recognizes the quite different connotations that the nation’s history has given the term, refers to more contemporary forms of practical or bureaucratic state obstructionism, or simply urges that we should try to employ as careful a constitutional terminology as we can manage.  There are innumerable forms of state opposition and resistance, and it seems certain that current and future opponents of federal action will regularly find–or create anew–adapted tactics and justifying theories when they seek to use state institutions and states’ rights rhetoric to advance their causes.  As the book’s detailed and careful history shows, there is actually no consistent tradition of “interposition” as a specific doctrine or practice in American history.  Rather, there are varied, amorphous, evolving, and sporadic practices of opposition to federal actions that seek to use state institutions--and sometimes the label “interposition”--to achieve the goals of those who find that federal actions threaten or disadvantage their interests. 

Monitoring American Federalism reminds us, finally, that American federalism cannot be fully understood without consistently factoring in the separation of powers that marks not only the national government but the governments of the states as well.  American federalism is not a binary system with constitutional blocks of “federal power” and rival “state power.”  Rather, it is a fractionated and dynamic system on both sides of the divide, separated into three parts and their many subsidiaries on the one side and into fifty parts on the other–with each of the fifty internally divided into its own different branches with their own subsidiaries.  In any relevant controversy, it makes a difference whether and to what extent the three national branches are unified or divided, and the same is true on the state side.  Indeed, recent controversies from Bush v. Gore (2000) to the pending Moore v. Harper (2023) pit state legislatures against state courts, both seeking power from a ready federal judiciary while ignoring a politically straight-jacketed Congress.  Similarly, it makes a difference to what extent state opposition is divided or fragmented and against which federal branch it is directed.  Monitoring American Federalism exemplifies some of these many possibilities in the nation’s earliest years as the states were pressed variously by Congress (establishing the Bank of the United States), the Washington administration (imposing Jay’s Treaty and suppressing the “Whiskey Rebellion”), and the Supreme Court (deciding Chisholm v. Georgia). 

Professor Fritz has done a great service in unearthing the history of original interposition theory and exploring the divergent interpretations and uses that developed over the decades.  He has similarly done a great service in illuminating the delicate “middle ground” that Madison staked out, repeatedly tried to clarify, and strove to maintain against the adverse headwinds of political and social change.  Equally his book nicely shows some of the ways that Americans have reshaped the nation’s constitutional law and theory as they sought to manipulate and exploit the indeterminate, built-in tensions in the Constitution’s federal structure.  Students of American federalism will find this excellent book a treasure-trove of information, insight, and scholarly inspiration. 

Edward A. Purcell, Jr. Is Joseph Solomon Distinguished Professor Emeritus at New York Law School. You can reach him by e-mail at epurcell@nyls.edu.



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