WILD POLITICAL DREAMING: HISTORICAL CONTEXT,
POPULAR SOVEREIGNTY, AND SUPERMAJORITY RULES
Brett W. King*
In America--a democracy founded on a belief in popular
sovereignty--most people agree that, at least at some level, the fundamental
principle[1] of majority rule should prevail, and that political decisions
may be made by the majority simply because it is the majority.[2] However, most people also recognize that certain issues may
legitimately require more than a majority; that certain questions--such as
amending the Constitution or impeaching a President--may require the assent of
two-thirds or three-fourths to be concluded.[3] This paradox of democracy exists because we understand that
although majority rule is a fundamental principle within a democracy, an equally
compelling imperative of a liberal/civil society is that individual rights be
protected and a neutral political framework be maintained. In the Western
political tradition, this generally means a constitution prescribing rules and
rights that are beyond the ability of simple majorities to alter or abolish.[4]
Our popular idea of democracy exists
comfortably within the notion of limited majoritarianism, and in spite of this
paradox, few people question the legitimacy of the American political system
because of the existence of supermajority rules. This comfort, however, often
escapes legal and political theorists, who are in many instances troubled by
supermajority requirements.[5] Because simple majority rule is a concept that, a priori,
favors no group and preferences no outcome,[6] its neutrality lends it an air of both external legitimacy and
reified neutrality.[7] Once simple majority rule is departed from, preexisting
preferences become favored, a concept that is not easily accepted by those who
assert that the very notion of democracy entails the existence of a neutral
political framework around which competing interest groups in society compete
for policy outcomes.
It might be assumed that after more
than two hundred years of American democracy, a theory would have emerged that
would explain why it is consistent with our conceptions of popular sovereignty
to favor certain (and only certain) preexisting preferences by not allowing the
majority to rule on those (and only those) specific issues. Unfortunately, to
date no such theory has become generally accepted by American political and
legal scholars, leaving a theoretical vacuum at the heart of our received
version of democratic liberalism.[8] The failure of American political and legal theorists to craft
such a theory is due in part to its perceived consequences. Any theory that
might justify the use of a three-fifths (60%) or two-thirds (66.6%) decision
rule should be equally effective at justifying a nine-tenths (90%) decision
rule, or even the rule of a single person (99.9999%).[9] Once simple majority rule is departed from, there is no
logical stopping point between a fifty-one percent rule and autocracy,[10] and so political and legal theorists--staring at a slippery
slope of supermajoritarian theory that would seem necessarily to imply a
justification for dictatorship--back away from the precipice and instead choose
either to reframe the question or deny the existence of a wholly principled
solution.[11]
Although there may be no complete and
coherent answer to the democratic paradox,[12] the lack of any general consensus over the appropriateness
and legitimacy of departures from majority rule is troubling, for it allows
those who wish to entrench certain policy preferences into the democratic
architecture of American politics to justify such actions based on the
historical use of majority and supermajority rule making. And it serves as a
justification not merely for those who argue for constitutional amendments
requiring supermajority votes to balance the federal budget[13] or alter the social security system,[14] but also for those who would assert that the answer to the
paradox is both possible and principled from a historical reading of
majoritarian democratic theory. One example of the latter is Yale Law Professor
Akhil Reed Amar, who has argued forcefully in a number of articles that the
American people have a right to amend the Constitution at any time by simple
majoritarian action, that such a right is based on a proper reading of
historically contextualized democratic theory, and is consistent with the
general understanding of popular sovereignty at and around the time of the
framing of the Constitution. Professor Amar promotes a kind of neo-originalist
interpretation of the Constitution, a method that has won him considerable
renown and favor among Washington's inside-the-beltway cognoscenti, gaining him
such distinguished positions as contributing editor to The New Republic
magazine.[15] Amar's articles on popular sovereignty/majority rule have
been widely cited in legal scholarship.
Despite this
acclaim, I believe that a close reading of Amar's writings on popular
sovereignty/majority rule show them to be not only historically inaccurate and
oftentimes logically inconsistent, but also troubling as a matter of public
policy. I believe that Amar should best be characterized as a "thinking man's
Freeman,"[16] a person who waives the Constitution, the Federalist Papers,
and other founding era texts in our faces in an effort to promote unfounded and
sometimes bizarre ideas based on a background reading of the American historical
narrative.[17] These are harsh words, but I believe they are accurate given
my understanding of Amar's theories and his readings of American history. In
this Article, I will offer support for my criticisms of Amar's work by analyzing
his writings on popular sovereignty/majority rule in light of his assertions on
the right of majoritarian action. However, my analysis in this Article is not
intended to be merely critical of Amar's popular sovereignty/majority rule
oeuvre or his interpretations of American political history. Rather, it is hoped
that a partial deconstruction of Amar's efforts will serve to highlight the
dangers that exist so long as the lack of consensus surrounding the proper use
of supermajority rules persists. In this light, it is hoped that this Article
will be an incremental contribution toward a coherent theory of
supermajoritarianism; one step closer to answering the question: "When are
departures from simple majority rule appropriate in a democratic society?"
I. AMAR'S FIRST PRINCIPLES
Professor Akhil Reed Amar is one legal scholar who has
faced the paradox of democracy head on by arguing that, indeed, there is a
principled solution to the problem. In a number of articles beginning in the
mid-1980s,[18] Amar has proffered the rather radical idea that "We the
People"[19]--or more specifically, a majority of us--enjoy an
unenumerated right to enact constitutional amendments in ways not explicitly set
forth in Article V of the Constitution. Although Article V requires that
amendments to the Constitution be approved by two-thirds of both houses of
Congress and then ratified by three-fourths of the states,[20] Amar asserts that historically rooted higher or "first order
principles" of democracy trump Article V's textual parameters, and that a
majority of the people now has and has always retained an unwritten right to
alter the Constitution, exercisable by a simple majority of the people "at any
time and for any reason."[21] For Amar, the Constitution "empowers and limits government"
but should not be read to "limit[] [or] empower[] the People themselves."[22] Amar contends that, consistent with this first principles
theory, Congress must call a convention upon the request of a bare majority of
American voters.[23] Notably, Amar does not limit the rights of the majority to
important or fundamental decision making or to times when the government is
acting against the interests of the people. For example, if more than fifty
percent of Americans wanted to make Groundhog Day a constitutionally mandated
national holiday, that majority could assemble and do so at its pleasure,
notwithstanding the text of the Constitution or the contrary sentiments of the
Congress, the President, or the states.[24]
What is the basis of this "First
Principles" theory?[25] Amar asserts that, because the people are sovereign, an
accurate historical understanding of popular sovereignty theory means that a
majority of the people enjoy the inalienable right to alter or abolish its form
of government whenever that majority pleases.[26] Amar tells us that these First Principles should be
understood to "represent the essence of the American Revolution."[27] But Amar goes further than mere academic conjecture, for he
is not asking us to adopt First Principles, he is asking us to readopt
them. According to Amar, at the founding there existed a collective
understanding by the Framers and the people that the new American constitutional
structure restricted only the government itself, and that the people would
always be able to alter or amend the Constitution as and when they saw
fit--irrespective of Article V's textual reservations. That is, First Principles
is not a new and interesting interpretive method born of post-modernist insights
into power relationships, socio-linguistic uncertainty, and skepticism over
objective reality. Rather, Amar asserts that First Principles was the original
understanding of the Framers at the time of the founding, and that somehow this
understanding gradually receded from our collective consciousness like a kind of
ideological Cheshire Cat, fading slowly into the background of political/legal
history. Presently, First Principles is beyond our ken, because we have all been
taught to look at the Constitution, as Amar puts it, through the "wrong end of
the telescope."[28] Through Amarian readings and insights, however, we can (it
would seem) regain a proper understanding of the Framers' ideas and restore
popular sovereignty/majority rule to its rightful place atop the constitutional
order. It is in this sense that Amar is a kind of neo-originalist, for he is
asking us to readopt a political theory that he claims represents the true
(original) meaning of the American democratic tradition.[29]
To a reader unfamiliar with the
nuances of late eighteenth century political theory, an initial reading of
Amar's writings might render such ideas and interpretations intellectually
compelling and historically illuminating. In fact, Amar's First Principles
theory is at once both deceptively simplistic and suggestively alluring, in part
because it is often based on some of the most revered words in American history,
such as the natural rights rhetoric of the Declaration of Independence and the
"We the People" Preamble to the Constitution. But a close examination of Amar's
work reveals fundamental flaws, parochialism, and inaccuracies.[30] In order to bring some structure to an unwieldy area of
political thought, I have limited my criticisms of Amar's First Principles to a
number of discrete areas, which I have divided into several subcategories.[31] First, I believe that Amar inappropriately capitalizes on
the uncertainties and multiple meanings that are contained in concepts such as
sovereignty and inalienable rights to lend support to First Principles.[32] Second, Amar places heavy reliance on an important doctrinal
shift that he claims occurred in American political theory between 1776 and
1787, a shift I have been unable to detect and which I believe never in fact
took place.[33] Third, Amar culls the historical record in an effort to find
textual support for First Principles, but this effort often betrays a tendency
to rely on language taken out of context or misinterpreted in light of events at
the time.[34] Fourth, Amar seems to slight the importance of competing
fundamental rights, ignoring the fact that supermajority rules are an imperfect
mechanical solution to a sociopolitical problem inherent in democracy.[35] Finally, I will provide support for my earlier assertion
that Amar should be seen as a "thinking man's Freeman," a neo-originalist who
uses the placidity of late eighteenth and nineteenth century political rhetoric
to argue for interpretations of the Constitution that are ultimately
unsupportable and suspiciously self-serving.[36]
II. JOHN LOCKE AND CONSENT THEORY IN THE COLONIAL/POSTCOLONIAL ERA
To understand the fundamental weakness of Amar's First
Principles argument, it is necessary to place it in the context of late
eighteenth century political thought, particularly the writings of John Locke.
While it is generally accepted that the work of the Framers was influenced by
the writings of many political theorists, including Montesquieu,[37] Hume,[38] Harrington,[39] and others,[40] it was John Locke whose ideas formed the core ideological
foundation of the new American nation.[41] Therefore, Lockean political theory is a necessary backdrop
to any debate over the origins and context of Amar's First Principles. Although
the influence of Locke on the founding era has been exhaustively documented
elsewhere,[42] a very brief review of the state of Lockean political
thought during the American Revolutionary period is a necessary preface to a
discussion of the historical interplay of majority rule, popular sovereignty,
and supermajoritarian theory at that time.
For Locke, in
the state of nature individuals are equally sovereign and free,[43] and from this starting point it is necessary that any
government founded by individuals be premised on a delegation of rights and
authority to the collective--a process accomplished by contract that may only
legitimately occur with the consent of the governed. As Locke stated in a
chapter entitled "Of the Beginning of Political Societies":
The only way whereby any one devests himself of his
Natural Liberty, and puts on the bonds of Civil Society is by agreeing
with other Men to joyn and unite into a Community, for their comfortable, safe,
and peaceable living one amongst another . . . . When any number of Men have
so consented to make one Community or Government, they are thereby
presently incorporated, and make one Body Politick, wherein the
Majority have a Right to act and conclude the rest.[44]
Upon the formation of civil society,
the people[45] not only delegate and transfer rights and authority to the
government, but they also agree thereafter to accede to all laws made in
accordance with the contract.[46] The objective of the contract is to overcome collective
action problems and establish a government whose purpose is to "maintain peace
and order within the territory"[47] and to protect private property.[48]
Significantly, Locke believed that
the extent to which people may give up rights upon joining a civil society is
limited. "No body can . . . take away his own Life, [and] cannot give another
power over it."[49] Thus, Locke considered each individual as naturally
possessing a bundle of rights, which for ease of reference can be divided into
three categories: (1) "Delegated Rights": those the individual cedes to the
government upon formation of a civil society; (2) "Retained Rights": those the
individual retains (but could have ceded if he chose); and (3) "Inalienable
Rights": those that are not ceded to the government because they are incapable
of being ceded, irrespective of a person's desire to do so. Inalienable Rights
are, ipso facto, retained by the people at all times.[50]
Once citizens join together in
contractual civil society, the government assumes a role akin to a political
trustee,[51] able to exercise all such power consistent with its
Delegated Rights, for the pursuit of the general good and happiness.[52] Upon the formation of society, the majority are to rule,
unless the original contract specifies otherwise:
Whosoever therefore out of a state of Nature unite into a Community, must
be understood to give up all power, necessary to the ends for which they unite
into Society, to the majority of the Community, unless they expressly
agreed in any number greater than the majority.[53]
This passage is fairly persuasive
evidence that Locke did not believe that the right of a simple majority to rule
is an Inalienable Right, for if supermajority rules are expressly allowed when
made part of the social contract, then the right of a majority to rule is
obviously subject to (the majority's own) limitations.
Once consent to the contract has been obtained,[54] the government becomes the "supreme power" and each citizen
has a moral obligation to obey all laws passed by it. However, the idea of the
government as trustee is significant, for Locke was quite clear in asserting
that if the government performs acts in contravention of the powers and
responsibilities delegated to it by the people, this breach abnegates the
legitimacy of the government and absolves the people of their duty to comply
with the laws made thereby.[55] Thus, if the people determine that their government is not
acting in their best interests, or that their government has attempted to
exercise authority outside of the bundle of Delegated Rights granted to it by
the people, then they have a Right of Revolution--to abolish the current (now
illegitimate) government and establish a new one in its place.[56] For Locke, the people's Right of Revolution was an
Inalienable Right, although not absolute; it was "not exercisable in response to
isolated acts of tyranny; resistance was authorized only when there was a
calculated governmental design to subvert the law."[57] And Locke emphasized that resorting to political force was
not justified so long as alternative avenues of legal or civil recourse were
available.[58]
One problem with a detailed
contemporary reading of Lockean political theory is its internal circularity:
for Locke, the external validity of any governmental structure is entirely
derived from the consent of those subject to the authority established by it.[59] Although Locke felt that majoritarian or supermajoritarian
voting rules could be legitimized by original consent,[60] he did not spend time justifying his assertion that such
consent--the voluntary assent to authority--either meant or defined its
legitimacy or circumscribed when and how consent was itself an object of
authority, coercion, or power; consent was to be the ultimate "rule of
recognition" for Locke, beyond which little else mattered.[61] In a Lockean world, once consent is obtained, it's "turtles
all the way down."[62]
Notwithstanding our modern-day
problems with Locke, his work played a fundamental role in the founding era. The
notion of consent as the key to political legitimacy did not merely seep into
American political thought, it flowed throughout pre-Revolutionary democratic
discourse and became the ideological basis for the American Revolution and the
post-Colonial period. The primacy of its status was confirmed by its conspicuous
placement in the Declaration of Independence,[63] the Articles of Confederation[64] and the U.S. Constitution.[65] So influential was the notion of consent during the founding
era that Thomas Jefferson went so far as to declare that "[e]very constitution
then, and every law, naturally expires at the end of 19 years. If it be enforced
longer, it is an act of force, and not of right."[66] Although Jefferson would later be accused of sinning
"grossly on the side of abstraction,"[67] his preoccupation[68] with consensual rights and strict majoritarianism
demonstrates the degree to which the idea of consent as the legitimizing
meta-narrative of popular government had become generally acknowledged,[69] even to the point where, for Jefferson, the absence of
explicit consent because of temporal succession becomes problematic. In
addressing Jefferson's intergenerational dilemma, Madison rejected natural
rights and firmly grounded his ideology in contract: "On what principle does the
voice of the majority bind the minority? It does not result I conceive from the
law of nature, but from compact founded on conveniency. A greater proportion
might be required by the fundamental constitution of a Society if it were judged
eligible."[70]
Once original consent is obtained and
the contract is in place, how is governmental change effected as circumstances
change? Unless provided for in its terms, the Lockean social compact would be
effective until such time as the government were to abuse the power delegated to
it or assault the fundamental rights of the people in violation of the raison
d'ętre of the compact itself. For Locke and others, contractual rigidity was
less important than the notion of in perpetuity that was so favored by
prior generations.[71] In fact, many post-Colonial era state constitutions did not
contain amendment provisions, leading a number of historians to view the
Constitution's Article V supermajority amending provision as one of its most
novel aspects.[72] But can a majority adopt supermajority rules to limit future
majorities from changing the terms of the contract? According to Locke and
Madison, the answer is clearly "yes."[73] If one accepts First Principles at face value, however, the
answer must be "no." So who is correct, Locke, Madison et. al., or Amar?
III. AMAR AND SOVEREIGNTY
One of the cornerstones of Amar's First Principles is the
notion that "We the People" are sovereign, and we are therefore unrestricted in
our ability to govern ourselves. Amar offers up historical rhetoric and textual
citations in an attempt to convince us that the Framers understood that the
ultimate sovereign in America was to be the people of the United States, and
that more than fifty percent of the people (acting as a whole, and not through
the states) have the right to do as they please, consistent with the theory of
popular sovereignty on which American democracy rests. In particular, given an
historical understanding that there can be one and only one sovereign, if the
American people are truly sovereign, then there can logically be no authority
higher than the people. Therefore, the people must at all times retain the
authority to govern themselves, including the authority to change the
Constitution as and when they see fit.
To analyze Amar's
First Principles on this point, one must start by asking a simple and yet
terribly complex question: In the United States, precisely who is sovereign? The
issue of sovereignty was "the most important theoretical question" that was
debated in post-Revolutionary America--the "ultimate abstract principle to which
nearly all arguments were sooner or later reduced" by Colonial and nineteenth
century politicians, lawmakers, and scholars.[74] Considering that the Civil War was fought in large part
because of disagreements over the sovereignty of the states and their proper
role in a federalist system, it might be expected that, by the end of the
twentieth century, American political and legal theorists would have developed a
concise and cogent theory of sovereignty. Unfortunately, the concept of
sovereignty remains as addled and imprecise a political construct today as it
was in Colonial America.
The confusion surrounding the
concept of "sovereignty" stems in large part from the diverse set of meanings
that are encompassed by that single word. Only by unpacking two of the
variations that have been compressed into the notion of "sovereignty" is a
coherent discussion of First Principles possible.[75] Historically, and in its purest form, the term "sovereignty"
refers to the "supreme, absolute, and uncontrollable power by which any
independent state is governed; supreme political authority; the supreme will . .
. ."[76] Because this conception of sovereignty is by definition a
superlative, there can be only one sovereign; any notion of "divided
sovereignty" is thus an oxymoron, much like trying to say that there are three
tallest buildings in Chicago.[77] For the sake of clarity, I will refer in this Article to
this conception as Type I Sovereignty. Identifying the sovereign in America is
quite easy with respect to Type I Sovereignty. In the United States, we believe
deeply in the notion of popular sovereignty--that the ultimate (and only
legitimate) authority of government must (can only) be derived from the
people.[78] Popular sovereignty therefore means that "The People"[79] are the supreme, absolute, and uncontrollable power by which
the nation is governed.[80]
However, the term sovereignty is also
used to denote the much broader concept of direct political authority, which I
will refer to as Type II Sovereignty.[81] Thus, "sovereignty" also means the "paramount control of the
constitution and frame of government and its administration."[82] When the Supreme Court decides that the federal government
lacks the authority to pass a law restricting gun possession near public
schools, for example, the federal law is said to be impinging on state
sovereignty.[83] Of course, without Type II Sovereignty, there could be no
"state sovereignty" or "federal sovereignty" since the people would be the only
true sovereign (and there cannot be three tallest buildings). Because the people
only exercise their sovereignty indirectly through representatives, Type II
Sovereignty refers to how the social contract divides the direct source of
political authority in areas of public policy. If the states alone are granted
the authority to enact geographically specific gun possession laws, any attempt
by the federal government to do so will be thought to trample on state
sovereignty (i.e., constitutionally granted state authority). Thus, historical
arguments over state sovereignty generally refer to its incarnation as Type II
Sovereignty, in the same sense that we recognize the people as the Type I
Sovereign but confer "sovereign immunity" on actions taken by state, federal,
and local governments.[84] Because Type II Sovereignty is derived from the
constitutional structure,[85] the answer to the question "Who is sovereign?" with respect
to Type II Sovereignty lies in an examination of the architecture of the
Constitution.[86] While there was considerable debate during the
Constitutional Convention of 1787 on the political structure of the new nation,
what emerged from Philadelphia and was ratified by the states was a
constitutional structure that divided authority between the states and federal
government. The states--acting as a group comprising three-fourths--were
established as the ultimate Type II Sovereign: They are answerable only to the
people, who, acting in their capacity as the Type I Sovereign, control the
government indirectly through state and local elections.[87] On this point the Constitution is clear. Under Article V, if
two-thirds of the states call for a convention to propose amendments to the
Constitution, Congress must call such a convention; proposed amendments become
effective upon the approval of three-fourths of the states. This mechanism
unambiguously places constitutional sovereignty--the "paramount control of the
constitution and frame of government"[88]--in the states. If three-fourths of the states so desired,
they could, acting collectively, eliminate the Presidency, the Supreme Court, or
one or both houses of Congress, or reconfigure the entire structure of the
American government, including the elimination of the federal government
itself.[89] If three-fourths of the states can abolish the federal
government, then the federal government cannot be the supreme and ultimate
constitutional power in the United States, since it exists at the pleasure of
three-fourths of the states.
Despite the relatively
uncomplicated logic of this argument, it is one that is not understood by those
political and legal scholars who assert the primacy of the federal government,
or claim "that the states today stand legally naked against the potential
onslaught of federal power."[90] A state, however, is unclothed when acting alone as a single
state subordinate to the federal government. Notions such as "state sovereignty"
are often used to justify the claim that the actions of a state trump the
actions of the federal government. Clearly, this is not the constitutionally
prescribed balance of power, as each state is subject to the Constitution and
the federal laws made pursuant to it as the supreme law of the land.[91] But when the states are acting as a group equaling at least
three-fourths of their number, they exercise authority superior to the federal
government. Understanding this structure, the Supreme Court noted in
McCulloch v. Maryland that:
No political dreamer was ever wild enough
to think of breaking down the lines which separate the states, and of
compounding the American people into one common mass. Of consequence, when they
act, they act in their states. But the measures they adopt do not, on that
account, cease to be the measures of the people themselves, or become the
measures of the state governments.[92]
When arguing First Principles,
however, Amar is indeed being both wild and a political dreamer, for First
Principles breaks down the lines that separate the states and allows the people
to act collectively in a veritable national constitutional referendum or
convention.[93] First Principles assumes that a majority of the people of
the United States have the rightful authority to act notwithstanding the
states--in effect, nationalizing and consolidating the electorate into "one
common mass." Indeed, Amar seems to have little respect for the states, at one
point arguing that "`We the People of the United States' may choose to destroy
states by constitutional amendment."[94] On this point First Principles has drawn criticism for
"[w]hat Amar has done is bypass, for ratification purposes, the states."[95] In short, Amar's First Principles assumes the submission of
the authority of the states into the federal government, when in actuality the
states are superior to the federal government as Type II Sovereigns. The
Constitution clearly gives the states the power to destroy the federal
government, not the other way around.
Additionally, Amar
attempts to offer support for First Principles' conception of "sovereignty" by
exploiting the placidity of that word's multiple meanings. He argues for the
notion that, notwithstanding the federalist structure of American government,
indivisible sovereignty means that the people must always be seen as the only
true source of political authority. For Amar, because it was historically
recognized that there could only be one sovereign, the people must be the one
true sovereign and therefore retain the right to alter or amend the Constitution
at their pleasure; any attempt to place limitations on that right smacks of
divided sovereignty, an impossibility given the historic understanding of that
construct. This historical sovereignty argument becomes problematic for Amar
when a number of the Framers, particularly Madison,[96] speak of dividing sovereignty in the new nation. Amar solves
this problem by concluding that, in fact, First Principles is a coherent
political theory, though the Framers themselves were somewhat confused: "To the
extent [the Framers'] understandings [about Popular Sovereignty] were simply
logically inconsistent, we today must necessarily choose among them."[97] The alternative explanation could be, as I have argued, that
the term sovereignty is a concept that includes a number of different meanings.
The Framers believed, as we do today, that the people are the ultimate
sovereign. They also constructed a federal system whereby Type II Sovereignty
was given to the states, and the state and federal governments were to co-exist
with separate and overlapping powers. What emerged was a system born of
practical expedience, not procrustean adherence to any single historical
conception of "popular sovereignty."
Finally, Amar's
First Principles faces a problem of international proportions. Many other
democratic nations-such as Germany, France, and India-purport to base their
political systems on notions of popular sovereignty and yet explicitly restrict
amendments to their constitutions, in some cases even disallowing certain types
of amendments altogether.[98] In particular, Germany's Basic Law prohibits constitutional
amendments on a wide range of topics that depart from the (entrenched) concept
of liberal democracy, even in the face of overwhelming support from "We the
German People."[99] While Amar does not discuss this point, if First Principles
is to be a valid political theory, it would need to differentiate the American
conception of sovereignty from the construct of the same name that has been
spreading across the globe during the past century.
III. THE (IN)ALIENABILITY OF MAJORITY RULE
Another component crucial to Amar's First Principles
theory is an understanding that the very notion of popular sovereignty entails
the inherent inalienability of the right of the majority to rule--that is, that
no restrictions may be placed on such right, even by the majority itself.[100] Majority rule must always be a first order principle.
From a purely theoretical standpoint, the concept of
inalienable majoritarianism is one principled answer to the paradox of
democracy. Recognizing that any theory that allows for more than simple majority
rule will place us on either the slippery slope to autocracy or require
contrived exceptions as to why we might allow, say, a 60% voting rule but not a
60.01% voting rule, Amar has stepped back and asserted that, at the highest
level, the majority always has the right to rule--that such a right should
properly be understood as a fundamental component of popular sovereignty.[101] For Amar, the people can restrict government, but the
government may never restrict the people; thus the people at all times must be
considered to retain the right to conclude decisions, constitutional text
notwithstanding.[102]
However, Amar's use of the concept
of inalienable rights presents difficulties at a number of levels. To understand
these difficulties it is necessary to understand the subtle but critical
distinctions between Inalienable Rights, Retained Rights, and Delegated Rights
noted above.[103] Again the caveat: like much of American political
ideology, although these rights concepts lie at the heart of our modern
democratic structure, there is little consensus about them apart from their core
meanings.[104]
As the term is generally employed
by political and legal theorists, Inalienable Rights are those rights that are
considered innate to all human beings and are so fundamental to personhood and
human identity that they may not be legitimately alienated in any way, even with
the fully informed, voluntary consent of the individual.[105] For example, a person's right to liberty is generally
considered inalienable in the sense that the state will neither recognize nor
enforce property rights in humans, irrespective of the nature of the consent
that purports to create such rights.[106] Thus, Inalienable Rights are considered inseparable from
the rights holder, and neither the state nor the individual may alter that
arrangement. At the founding, the Right of Revolution--the right of the people
to alter or abolish their government whenever it acted against the interests of
the people or in breach of its delegated authority--was considered an
Inalienable Right.[107] Other Inalienable Rights commonly include the right of
conscience and the right to pursue one's religious identity.
Inalienable Rights stand in contrast to Retained Rights,
that is, rights that can be relinquished upon the consent of the rights-holder
but are not transferred to a government upon the formation of civil society.[108] For example, the right to a jury trial was not given up by
the people at the founding, but because it may be waived by a criminal
defendant, it is a Retained Right rather than an Inalienable Right. As noted at
the founding, "[a] people, entering into society, surrender such a part of their
natural rights, as shall be necessary for the existence of that society."[109] In one way or another, most rights held by the people are
Retained Rights, since they can be either waived by the rights-holder or
restricted because of the exercise of competing rights.[110] Delegated Rights are those that the people give to the
government upon its formation, such as the powers granted to the state and
federal governments by the Constitution, as well as subsequent delegations of
authority achieved through constitutional amendments. The demarcation of
Retained Rights and Delegated Rights is dynamic. The right to consume alcohol,
for example, was a Retained Right at the founding, became a Delegated Right
during the Prohibition Era, and is once again retained by the people[111] (subject to the right to regulate alcoholic consumption,
which is a Delegated Right given to the government).
Clearly, a distinction between Inalienable Rights and Retained Rights is crucial
for theorists such as Amar, for his entire First Principles argument is premised
on the notion that Article V cannot be the exclusive means of amending the
Constitution in a society based on principles of inalienable popular
sovereignty. That is, the right of the majority to alter or abolish its
government must be seen as an Inalienable Right. If majority rule were instead
seen as a Retained Right, then the Constitution would effectively limit the
rights of the majority to the terms contained in the text of the document.
Therefore, whether majority rule is more properly understood to be an
Inalienable Right or a Retained Right is fundamental to the First Principles
argument. In order to support First Principles, Amar surveys the historical
record of the eighteenth and nineteenth centuries and offers up broad language
regarding the inalienable right of the people to alter or abolish their
government. Amar then asks us to conclude that such examples support his view
that previous generations viewed Article V as non-exclusive, that majority rule
is an Inalienable Right, and that a majority of the people therefore have a
right to amend the Constitution at any time.[112] However, it appears that the link between the historical
record Amar presents and his First Principles theory is tenuous at best. Indeed,
the founding era discourse is permeated by references hostile to First
Principles.
First, the problem of meaning and the
indeterminacy of language that are always present in historical scholarship
plague much of Amar's work, particularly so in his discussions of late
eighteenth century political theory. The use of the term "inalienable" in
American political and legal history is inconsistent at best, and often
incoherent and inaccurate. For example, inalienable is sometimes employed to
mean rights that are non-transferable,[113] non-saleable,[114] unrelinquishable by the rights-holder,[115] or forever vested and irrevocable by any authority
whatsoever.[116] Despite its location at the center of American political
ideology, legal and political scholars seldom agree on precisely what
inalienability means, which rights are themselves inalienable,[117] and what sort of justification is necessary for a right to
be alienated by either the state or the individual.[118] This uncertainty often clouds discussions of popular
sovereignty/majority rule. Without recognizing and attempting to navigate around
the general confusion over the inalienability construct (or at least offering a
clear definition of it in his work), Amar's citations can be read in any number
of ways, often in ways contrary to First Principles.
The
ambiguity over the terms inalienable and non-alienable are evidenced in many
places. For example, the Supreme Court has spoken of the right of American
citizenship as an inalienable right, even though a citizen may at any time
renounce his or her citizenship and thereby relinquish all rights to it.[119] The Court has termed a person's choice of vocation as an
inalienable right,[120] yet non-compete agreements and other restrictions on
future employment are permitted. The right to participate equally in the
political process has been deemed inalienable,[121] thereby requiring that all legislative representation be
equally apportioned according to the one-person, one-vote principle; yet the
Court has recognized that such a right was constitutionally alienated by the
Framers and the people with respect to equal state representation in the
Senate.[122] During the Lochner era, the Court's view of the right to
contract was all but incoherent in the context of the "inalienable" right of
substantive due process. Consider this addled passage from a Lochner-era opinion
in light of the conception of "inalienable rights" as absolutely vested in the
People, incapable of divestiture of any kind:
While it may be conceded that,
generally speaking, among the inalienable rights of the citizen is that of the
liberty of contract, yet such liberty is not absolute and universal. It is
within the undoubted power of government to restrain some individuals from all
contracts, as well as all individuals from some contracts.[123]
The Universal Declaration of Human
Rights calls for the recognition of the "equal and inalienable right of all
members of the human family,"[124] and under this umbrella includes the right to "life,
liberty and security of person"[125] as well as the right to "periodic holidays with pay."[126] The Declaration is silent, however, regarding conflicts
between rights--for example, when my right to security of person depends on the
occasional willingness of municipal firemen and policemen to alienate their
right to periodic holidays with pay.
Putting aside the
language difficulty over the historical understanding of Inalienable Rights and
assuming broad agreement at the founding over the meaning of that term, Amar is
faced with a much more fundamental problem. First, Amar's First Principles
theory rests on an understanding that the thirteen original colonies were, prior
to their ratification of the Constitution, independent sovereign states, but
that after ratification, sovereignty shifted to the people of the nation as a
whole.[127] Thus, any understanding of First Principles must account
for how, in the face of a theory of inalienable majority rule/state sovereignty,
the sovereignty of each former colony was alienated when it ratified the
Constitution. Amar offers this explanation:
Popular sovereignty theory
presupposes that at any given moment in time sovereignty is vested in a unique
set of electors, a majority of whom may speak for the whole. One sovereign may
lawfully[128] lose its sovereignty only by irrevocably transferring it
to another sovereign entity or entities. Thus, sovereign individuals could (by
unanimous mutual agreement) create a sovereign people, which in turn could (by a
majority vote) become part of some larger sovereign people.[129]
But this attempt by Amar to account
for the alienated sovereignty of the states seems contrived, an ad hoc attempt
to fill a theoretical lacuna within First Principles. Amar's view of majority
rule would ask us to view the following hypothetical as a consistent and
coherent understanding of popular sovereignty: In Delaware, prior to the
adoption of the Constitution, any provision of the Delaware Constitution that
purported to bind a future majority in any way must be considered per se invalid
because a majority may not in any way alienate the sovereignty of a future
majority. For example, an amendment to the Delaware Constitution that required a
two-thirds vote to raise taxes could at any time be removed by a simple majority
vote of Delaware citizens (even if the Delaware Constitution stated that a
three-fourths vote was necessary to remove such a rule) because even the
unanimous vote of the people of Delaware could not ever legitimately enact a law
that would bind future generations. A majority of the People must always have
the right to rule. However, in 1787 once the Delaware ratifying convention voted
by more than a majority to approve the new federal Constitution, the state of
Delaware forever alienated its sovereignty, and the sovereignty of all future
citizens of Delaware, to the people of the United States as a whole. Thus, in
the tax amendment example, the wishes of 99% of the people of Delaware would not
matter in the face of popular sovereignty theory, but in the case of
constitutional ratification, 50% plus one controls.
Putting aside the original state sovereignty problem, Amar must overcome yet
another challenge. Having established that the right of the majority to rule is
inalienable, is he not committed to the view that there can be no restrictions
on majority rule? That the right of the majority to rule is absolute and
unconditional?
Cleverly, Amar has decided that there are
in fact areas where the majority may not rule. He maintains that freedom of
speech may not be infringed because it would undermine democratic legitimacy.
Therefore, the right to free speech must be considered part of the popular
sovereignty principle.[130] Similarly, no one would argue that the majority has the
right to deprive the minority of life or liberty simply because it is a
majority. Thus, we can place some fundamental rights on the same plane as
majority rule, such as the right of the individual to life, liberty, and the
pursuit of happiness. While this argument is compelling, once competing rights
are placed on the same level, a rule is necessary to resolve conflicts between
those rights; but Amar does not address situations in which these rights
conflict, an omission that he fails to recognize is often solved by utilizing a
Constitution with supermajority provisions for amendment.
This gap is evident in Amar's dismissive treatment of instances where he claims
that majority rule is alienable. For example, to support his assertion that
"[e]ven Anti-Federalists shared [the] belief in majority rule as a clear
corollary of popular sovereignty[,]"[131] Amar adduces the Federal Farmer: "So too, the Federal
Farmer-perhaps the leading Anti-Federalist pamphleteer--wrote that `[i]t will
not be denied, that the people have a right to change the government when the
majority chuse it, if not restrained by some existing compact'--i.e. a valid
treaty."[132]
Note here Amar's appended id
est at the end of the quotation. This seems to have been included lest the
reader think that the Federal Farmer believed that the "existing compact" that
might legitimately restrain the rights of the majority to change their
government could be a constitution. But it is unclear whether Amar's
interpretation of the Federal Farmer's narrative is correct. Nonetheless, even
limiting such an "existing compact" to a treaty creates parallel difficulties.
In Amar's world of pure majoritarianism, notions of contractually binding
obligations, whether created by treaty, constitution, bond indenture, or
otherwise, become terribly problematic. If the majority cannot bind future
majorities in a duly approved constitution, how can it bind future generations
at all, in a treaty or otherwise? And if, as Amar seems to indicate, a majority
can be bound by treaty, then why can the majority not be bound by a
constitution?
As Amar concedes, "[a]dmittedly, not even
popular sovereignty can avoid all forms of entrenchment."[133] Amar's list of approved restrictions on majoritarianism
includes a prohibition on infringing speech rights; requirements that proposed
constitutional amendments be conditioned on a deliberative process;[134] and a fixed definition of "the People" that can decide
certain procedural rules.[135] But if these areas of the political process can be
entrenched, why not others? As one Amar critic has noted, "[w]hat this amounts
to . . . is that Amar seems prepared to permit `We the Majority' to amend only
if he has no deep disagreement with the substance of the amendment."[136] In the end, Amar seems to have developed a constitutional
political theory purportedly based on history that seems to have the consequence
of entrenching his own preference for liberal democracy.[137]
IV. MAJORITY RULE, THE RIGHT OF REVOLUTION, AND THE IMPORTANCE OF QUALIFIERS
One of the central justifications Amar employs for First
Principles is derived from the historical "Right of Revolution,"[138] an idea embedded in the very concept of popular
sovereignty/majority rule. According to Amar, the Right of Revolution was
recognized at the founding of the American republic in 1776, but because of the
unique nature and beliefs of the American version of popular
sovereignty/majority rule, this concept was radically transformed by the
Colonialists so that by the time of the drafting of the Constitution in 1787 it
had become more akin to a "Right of Revision"--the right of the People to
peacefully alter their government at any time and for any reason, from time to
time as they saw fit. For Amar, the newly constituted Right of Revision is a
major foundational block in the architecture of First Principles, a concept
derived directly from our understanding of popular sovereignty and a cornerstone
of the ideological foundations of the American government.[139]
In order to appreciate Amar's
derivative use of the Right of Revolution, the concept must first be reviewed in
the context of the ideological meta-narrative employed by the revolutionary
protagonists during the Colonial struggle for independence. The Right of
Revolution developed concurrently with democratic theory and the idea of limited
governmental authority. As discussed above, its premise is that any government
acting against the interests of the people is ipso facto illegitimate,
and under such circumstances the people have a right to alter or abolish such
government. As Amar correctly notes, at the time of the drafting of the
Constitution, the Right of Revolution was not a dusty, ill-used concept existing
only in the history books; rather, it was employed by the English in the
seventeenth century against both Charles I and James II, and was invoked by the
Colonialists in 1776 as part of the ideological basis of the American
Revolution.[140] The Right of Revolution takes its most familiar form to
Americans in the Declaration of Independence, one of the most salient
expressions of founding era political ideology:
We hold these truths to be
self-evident, that . . . Governments . . . deriv[e] their just powers from the
consent of the governed,--That whenever any Form of Government becomes
destructiveof these ends, it is the Right of the People to alter or to
abolish it, and to institute new Government, laying its foundation on such
principles and organizing its powers in such form, as to them shall seem most
likely to effect their Safety and Happiness.[141]
The Declaration of Independence was
in large part a text concerned with enumerating the abuses of the British Crown
in order to demonstrate that English rule of the Colonies had in fact become
destructive of "these ends"--life, liberty, and the pursuit of happiness. Once
such a case was made to a candid world, the Colonialists felt they could
legitimately invoke the Right of Revolution to dissolve their political ties to
Great Britain and establish a new nation.
However, by
incorporating the Right of Revolution into the theoretical underpinnings of his
First Principles theory, Amar faces a qualifier problem. The Right of Revolution
does not exist as an absolute, but rather as a contingency; it could only be
invoked whenever a long train of abuses made the government destructive
of the ends for which it was designed. On this point Locke and others were quite
clear. As Jefferson noted in the Declaration of Independence, "[p]rudence,
indeed, will dictate that Governments long established should not be changed for
light and transient causes," but only when "a long train of abuses and
usurpations, pursuing invariably the same Object[,] evinces a design to reduce
them under absolute Despotism . . . ."[142] Thus, the Right of Revolution as understood at the end of
the eighteenth century meant only that the people could alter or abolish a
government that had become illegitimate, not that a majority could pass a
constitutional amendment at any time on any subject (e.g., declaring Groundhog
Day a national holiday). Again, many theorists, including Locke, believed that
the Right of Revolution could only be invoked as a last resort--after all other
avenues of reform had been tried and each had failed to correct the abuses of
the government.[143]
In order to use the Right of
Revolution to support First Principles, Amar must therefore find a way to
separate the "for cause" qualifier from the general theory allowing for a
popular right of action. He attempts to sunder the qualifier from its
constructive base by seizing upon a subtle difference between Lockean and
post-Revolutionary American political thought:
Although sovereignty
originally resided with the People, Locke suggested that they had to "give [it]
up" to government so that day-to-day order could be maintained. The People could
only reclaim their surrendered sovereignty--by revolution--if government
breached faith with the People by "act[ing] contrary to their trust." In sharp
contrast, the Americans came to believe that the People never parted with their
ultimate sovereignty. Rather, they delegated certain sovereign powers to various
governmental agents, but could revoke those delegations, and reclaim those
powers, at any time and for any reason.
The violent nature of revolution, it
appears, induced Locke to limit strictly the legitimate occasions for the
exercise of the People's right to revolt. Americans domesticated and defused
violent revolution by channelling it into (relatively) peaceful conventions. As
a result, Americans could expand the People's right to "revolt"--to alter or
abolish their government--into a right that could be invoked (by convention) on
any occasion at the pleasure of the People.[144]
For Amar, the differential locus of
sovereignty between the Lockean and American structures of government meant that
for the Colonialists, the Right of Revolution was expanded (that is, the "for
cause" qualifier was dissolved) and was transformed into a Right of Revision: an
absolute right to alter or amend the Constitution or change the form of
government "on any occasion at the pleasure of the People."[145] I will refer to this as Amar's "differential sovereignty"
theorem.[146]
It would be difficult to overstate
how doctrinally weak this argument is, and ordinarily it might be dismissed with
a cursory analysis.[147] However, because Amar has made it a critical component of
his First Principles theory, it must be afforded due consideration. Such an
analysis can be performed on two levels, one legal and theoretical, the other
empirical and practical.
First, assuming that the
differential sovereignty theorem was factually correct as a matter of political
history, at a fundamental level such a theorem is inherently weak because it
attempts to draw an extremely fine distinction in an area of political ideology
where there is, at best, only broad agreement on abstract ideas and concepts.
Like its modern counterpart, eighteenth century political thought did not
possess the objectivity of Newtonian physics; considerable disagreement exists
even today over what Locke and the Framers meant when they wrote and spoke of
inalienable rights, majority rule, and popular sovereignty. Amar seems almost to
concede this point in the language he uses to discuss the differential
sovereignty theorem--that Locke only "suggested" that sovereignty was
transferred to the government (Was it?), and that as a result, Americans "could
expand" (But did they?) the Right of Revolution.[148] Amid such textual equivocations, Amar asserts that the
American version of sovereignty stands in "sharp contrast" to the ideas of
Locke.[149] Herein lies the difficulty: at the level of distinction
discussed by Amar, nothing stands in sharp contrast to anything else; it's
mostly gray; there is seldom black and white. For example, is Amar talking here
about Type I Sovereignty or Type II Sovereignty? What about Locke? In this
context, the theorem seems muddled as a matter of historical understanding. Amar
asks us to believe that Locke thought sovereignty was originally generated in
the People, and that the People transferred that sovereignty to the government,
with a right of reversion conditioned on breach.[150] Whereas the Americans stood "in sharp contrast" to Locke
because they believed that "the People never parted with their ultimate
sovereignty," they merely "delegated certain sovereign powers to various
governmental agents" with a right of reversion or revision for breach.[151] But this distinction is specious. When Americans delegate
sovereignty to their government, are they not "giving it up" as surely as under
Locke's theory? Aren't the people under Locke's theory retaining a right of
reversion? If so, is there any real distinction?
This
discussion, however, seems inapposite in any event because the pretensions of
Amar's differential sovereignty theorem fail when the distinction between Type I
Sovereignty and Type II Sovereignty is taken into account. Like the
Colonialists, Locke understood that the Right of Revolution meant that ultimate
sovereignty--Type I Sovereignty--was retained by the People.[152] Both the Colonialists and Locke thought that certain
sovereign powers were transferred by the People to the government upon the
formation of civil society/ratification of a constitution. Both the Colonialists
and Locke thought that a breach of trust by the government was sufficient
justification for the People to revoke their delegation of
authority/sovereignty. While there are indeed distinctions between Lockean
thought and late eighteenth century American political theories, the type of
distinction that Amar attempts to draw on this particular point is simply not
meaningful. In reality, Amar's differential sovereignty theorem must fail
because there is no material difference in sovereignty as he applies it. Rather,
there are merely abstractions, inaccuracies, and misconceptions over how the
term "sovereignty" is employed, what it means, and how in practice it is
implemented. On a theoretical level, the differential sovereignty theorem seems
little more than linguistic legerdemain--a superficial political comparison
cloaked in the garb of academic discourse.
Even if the
above arguments are rejected, as a matter of practical application the
differential sovereignty theorem is still sophistry. Assuming accuracy as a
matter of theory, the shift from a Lockean based sovereignty theory to the more
populist American variant would be expected to produce a considerable amount of
debate in late eighteenth century political writings. In spite of the general
fecundity of political discourse at the time of the ratification of the
Constitution and the early years of the American republic, however, Amar fails
to cite any direct support for his theory that the Framers recognized that the
differential sovereignty theorem either was meaningful with respect to the Right
of Revolution, or that such a theorem dissolved the "for cause" qualifier into a
general rule of majoritarian action along the lines of a Right of Revision.
The lack of any contemporaneous support for the shift
away from the Right of Revolution should be viewed against the background of the
Colonial period. Not only was the Right of Revolution employed by Jefferson in
the Declaration of Independence, but it was also inserted in a number of the new
state constitutions drafted and adopted during the same period. As Amar notes,
"Virginia's Declaration of Rights [was] the first and most influential of all
the state declarations, adopted in June 1776, one month before Jefferson's
Declaration [of Independence]."[153] Amar then cites Virginia's Declaration of Rights:
[W]hen any government shall be found inadequate or contrary to these
purposes, a majority of the community hath an indubitable, inalienable, and
indefeasable right to reform, alter, or abolish it, in such manner as shall be
judged most conducive to the public weal.[154]
Amar again cites Virginia's Declaration of Rights in
another article:
Whenever any Government shall be found inadequate or
contrary to these purposes, a majority of the community hath an indubitable,
unalienable, and indefeasible right, to reform, alter, or abolish it, in such
manner as shall be judged most condusive to the publick weal.[155]
And the Massachusetts Constitution:
[T]he people
alone have an incontestible, unalienable, and indefeasible right to institute
government; and to reform, alter, or totally change the same, when their
protection, safety, prosperity and happiness require it.[156]
And the Maryland Constitution of 1776:
[W]henever the ends of government are perverted, and public liberty
manifestly endangered, and all other means of redress are ineffectual, the
people may, and of right ought, to reform the old or establish a new
government.[157]
Amar recites these "Right of Revolution" passages in
the Colonial-era Constitutions and then, in spite of the plain meaning of the
italicized text, asks us to draw the following conclusion: The "broad Federalist
rejoinder, then, stressed that, as a matter of first principles, the people of
each state retained the legal right to alter their government at any time and
for any reason."[158]
Since the Declaration of
Independence and the above cited passages represent the Right of Revolution writ
large, Amar is ultimately forced to concede that in 1776 the Colonialists
explicitly acknowledged and invoked this right to legitimize their separation
from the Crown. Amar asserts, however, that the popular sovereignty narrative of
the founding era evolved between 1776 and 1787 by gradually incorporating the
differential sovereignty theorem, so that by the time of the drafting of the
Constitution in 1787, the Right of Revision was widely acknowledged by the
Framers:
But once the Revolution succeeded, Americans re-Constituted their
colonial governments on purely democratic rather than monarchical foundations. .
. . [O]ver the next decade the previously revolutionary right to alter and
abolish became domesticated and legalized in each of the thirteen
former colonies. Ballots would replace bullets, and the People could exercise
this right not simply (as Jefferson's initial phrase could be read to imply)
"whenever any Form of Government becomes destructive of [its] ends" by violating
unalienable rights, but at any time and for any reason that the People (by
majority vote) deemed sufficient. By 1787, the accent had shifted to Jefferson's
more expansive clause stressing the People's power to institute new Governments
as "to them"--not anyone else, not a king, not the world--"shall seem
most likely to effect their Safety and Happiness."
. . .
By 1787, the
transition was complete. The Constitution needed no long train of abuses by
state governments to justify itself, and recited none. In contrast to the
Declaration, it submitted itself to a peaceful popular vote in each state, under
principles of majority rule.[159]
Amar concludes that by 1787 "the
transition was complete" because of how the Constitution was ratified, that is,
peacefully by majoritarian action in specially called state ratifying
conventions.[160] Thus, it is critical for Amar's First Principles to
establish that by the time of the drafting of the Constitution in 1787, the
Right of Revolution had become fully transformed into a Right of Revision.
But Amar has a problem he does not seem to want to face.
The first real test of his differential sovereignty theorem occurred in 1790,
after the Constitution had been ratified and the first Congress had been elected
and convened.[161] During the debates over the proposed Constitution, many of
its proponents had promised the early adoption of a bill of rights to ensure
individual liberties as soon as the new government was constituted. As part of a
proposed Bill of Rights, James Madison introduced an amendment that would have
codified the Right of Revolution by placing it in the Preamble of the new
Constitution. Amar discusses this point in two articles, one published in 1988
and the other in 1994. Consider the exact wording from each of Amar's articles
when he discusses the amendment proposed by Madison:
One of Madison's
proposed amendments to the Constitution was to append a prefix to the Preamble
declaring "That the people have an indubitable, unalienable, and indefeasible
right to reform or change their Government . . . ."[162]
One of [Madison's] proposals was to append a prefix to
the Preamble which included the following: "That the people have an indubitable,
unalienable and indefeasible right to reform or change their Government . . .
."[163]
Then consider the full wording of Madison's proposal
without Amar's exclusion of text:
That the people have an indubitable,
unalienable, and indefeasible right to reform or change their Government,
whenever it be found adverse or inadequate to the purposes of its
institution.[164]
Here in 1790, as demonstrated by James Madison, one of
the key figures in the founding of the republic, is the Right of Revolution with
its attendant qualifier. Surely if the Right of Revolution had been transformed
into a Right of Revision by 1787 as Amar claims, Madison's proposal in 1790
would have omitted the "for cause" qualifier. The convenient employment of
ellipses dose not hide this simple fact.[165]
V. AMAR AND DORR'S REBELLION
In an attempt to bolster his claim for First Principles,
Amar offers historical evidence to demonstrate how earlier generations
considered popular sovereignty as more closely akin to First Principles and less
similar to the modern received orthodoxy that today seems to proscribe Article V
exclusivity. One such event is Dorr's Rebellion, a dispute in the 1840s over the
legitimacy of competing Rhode Island state governments. While a cursory review
of Amar's arguments in light of the rhetoric surrounding Dorr's Rebellion might
initially seem to lend support to First Principles, a closer look at Amar's
account of the rebellion does little to legitimize a First Principles reading of
mid-nineteenth century American political history.
In
1841, the Rhode Island Constitution was essentially the charter granted to the
Rhode Island colony by King Charles II in 1633.[166] Not surprisingly, its structure favored the landholders of
the state, and because it lacked any provision for amendment or revision, it
essentially entrenched a propertied ruling class who resisted all attempts at
governmental reform. In December of 1841, Thomas Dorr and his followers
assembled in Rhode Island and adopted what they declared to be a "fair and
democratic" constitution, and Dorr was elected the new Governor. In response,
the existing Rhode Island government--the "charter government"--adopted a
revised constitution and submitted it to the state for approval. Although Dorr's
constitution received 14,000 votes, and the charter government's effort only
garnered 7,000, the charter government's document nonetheless prevailed, for
both procedural and political reasons (then-President John Tyler supported the
chartists). When Dorr was arrested, he claimed immunity from prosecution as the
rightful governor of the State. The case went to the Supreme Court, which
declined to intervene and ruled that the legitimacy of competing state
governments was a non-justiciable political question under the Guaranty
Clause.[167]
Amar's account of Dorr's Rebellion
implies that most of the parties to the dispute recognized the fundamental right
of a majority to establish, alter, or abolish the government of a state and that
Dorr's efforts failed partly because the processes of adopting the rival
Constitution were faulty. Thus, Amar asks us to view Dorr's Rebellion as a
window on mid-nineteenth century political thought that reveals a general
sympathy during the period for a First Principles reading of popular
sovereignty/majority rule theory.
However, Amar's
comparative is deficient on a number of levels. First, the events surrounding
Dorr's Rebellion simply cannot, without more, be analogized to the ordinary
amending of a constitution at the pleasure of a majority. Dorr's efforts
essentially represented an exercise of the Right of Revolution, the right of a
majority of citizens to effect changes in their government whenever such
government has lost its legitimacy--that is, when it fails to act in the
interests and promote the well-being of its citizenry. In essence, Dorr and his
supporters had cause. The illiberalism of the Rhode Island Constitution in 1841
was legend; it was a document that had remained essentially unchanged for more
than 200 years, it was originally granted by a King, it did not provide a
mechanism for its revision, and it entrenched a favored class of citizens
through malapportionment and other devices (e.g., only the eldest sons of
property owners were allowed to vote).[168] Dorr and his supporters were not merely offering textual
improvements to a state constitution (e.g., a Groundhog Day amendment),
they were attempting "to overthrow the tyrannous rule of the landholding classes
who were still entrenched behind the King's charter."[169] Amar's attenuated comparison of Dorr's Rebellion (an
attempt to ratify a new state constitution) to the ordinary amending of a
constitution (e.g., the Groundhog Day amendment) strains the very concept of an
analogy.
Amar also offers quotations from the oral
arguments of Dorr's lawyer before the Supreme Court, who, not surprisingly,
peppered his presentation to the Court with the rhetoric of majority
rule/popular sovereignty and the right of a majority to alter its government.[170] But as is typical of much political discourse, the
underlying nature of such rhetoric is often opaque, inconsistent, or
self-serving. For example, while Dorr's lawyers did at times seem to offer clear
support for Amar's First Principles theory,[171] they also employed the "for cause" language when invoking
the Right of Revolution[172]--a notion that, according to Amar, became irrelevant to
the American political system sometime between 1776 and 1787. Further, Dorr's
lawyers seemed to suggest the alienability of popular sovereignty by citing
authority that supports the idea of the people placing limits on their
sovereignty.[173]
Amar cites a letter from John
Whipple, a leading Chartist at the time, that was sent to President Taylor in
support of the Chartist's efforts to retain control of the Rhode Island
government. The Whipple letter reference seems to imply that Whipple believed
that the legitimacy of the Rhode Island government should be judged by its level
of support among a majority of the people of Rhode Island.[174] It is unclear exactly why Amar included a portion of
Whipple's letter in his work; it seems to be an attempt to imply that even the
Chartist leaders understood or were sympathetic to First Principles. But in his
oral argument before the Supreme Court as the attorney for the Chartists,
Whipple would clearly not have agreed with Amar's conception of popular
sovereignty:
But it is urged by the opposite counsel, that the great
doctrine of the sovereignty of the people, and their consequent power to alter
the constitution whenever they choose, is the American doctrine. . . . I say
that a proposition to amend always comes from the legislative body.
. . .
[According to the federal Constitution,] [s]ixteen millions [sic] of people in
the large States may be in favor of amending the Constitution, but their will
may be thwarted by four millions [sic] in the small States. What then becomes of
this vaunted American doctrine of popular sovereignty, acting by majorities?[175]
Further, Daniel Webster, Whipple's co-counsel before
the Court, implicitly rejected Amar's theories out-of-hand and all but offered a
legal brief against First Principles:
[It is my understanding] that the
people are the source of all political power. Every one believes this . . . .
[But another] principle is, that the people often limit their government;
another, that they often limit themselves. They secure themselves against sudden
changes by mere majorities. The fifth article of the Constitution of the United
States is a clear proof of this. The necessity of having a concurrence of two
thirds of both houses of Congress to propose amendments, and of their subsequent
ratification by three fourths of the States, gives no countenance to the
principles of the Dorr men, because the people have chosen so to limit
themselves.[176]
In his discussion of Dorr's Rebellion, Amar states
that:
In any event, putting [the] justiciability issues
[of the Guaranty Clause in Luther v. Bordon] to one side, let us recall
what the Luther Court said on the merits, about the principles underlying
the Republican Government Clause, and the Constitution generally: "No one, we
believe, has ever doubted the proposition, that, according to the institutions
of this country, the sovereignty in every State resides in the people of the
State, and that they may alter and change their form of government at their own
pleasure."[177]
However, it seems an overstatement
to suggest that the Supreme Court's language in Luther was a statement
"about the principles underlying the Republican Government Clause, and the
Constitution generally." This language from Luther comes just a few
sentences after the Court declared that many of the arguments "turned upon
political rights and political questions, upon which the court has been urged to
express an opinion. We decline doing so."[178]
Here as elsewhere, Amar seems to
selectively cull rhetoric regarding the right of the majority to rule in an
effort to imply broad historical support for his First Principles theory. But a
careful reading of history dissolves many of the historical references and
rhetorical snippets Amar offers, leaving one to conclude that we may indeed have
been looking through the right end of the telescope all along.
VII. AMAR AND HISTORY
Because Amar is a neo-originalist, much of his work depends on mining the historical record of the founding era in an attempt to excavate archival support for First Principles. In presenting his findings, Amar argues forcefully that First Principles was an idea that was widely understood at the time of the founding. A detailed analysis of all of Amar's historical references is beyond the scope of this Article, but I have selected three instances--Amar's use of the writings of James Wilson, his references to the Anti-Federalists, and a citation to the Supreme Court's opinion in Marbury v. Madison--where I believe Amar fails to properly contextualize or rigorously analyze the work being cited.
In making his First Principles argument, Amar relies
heavily on quotations from James Wilson, a leading Colonial politician who
served as a delegate to the Constitutional Convention, was a signatory to the
Declaration of Independence, and founded the University of Pennsylvania Law
School. Wilson is a rich source for Amar because he often spoke the language of
strict majoritarianism: the right of the majority to conclude decisions, amend
the Constitution, and do whatever else it pleased.[179] As such, Amar heaps heavy praise on Wilson, declaring him
to have been "universally regarded as perhaps the most brilliant, scholarly, and
visionary lawyer in America."[180] What Amar fails to emphasize is that James Wilson was an
ardent nationalist; at the Convention he repeatedly argued against equal
representation in the Senate and wanted a strong federal government with only a
limited, "local" role to be played by the states.[181] It is therefore important to remember--in an effort to
keep Wilson's majoritarian rhetoric in context--that Wilson's preferred version
of the federal government was not the one that was adopted at the
Convention and ratified by the states. As evidence of the general majoritarian
Zeitgeist at the founding, Amar cites extensively from Wilson's remarks arguing
in favor of a governmental structure that was ultimately rejected by the
Framers. Amar seems to slight the fact that the "Framers" were by no means
homogenous in their political beliefs, and merely finding one Framer, such as
James Wilson, who often argued for a general right of majoritarian action does
little to legitimize an accurate reading of history. While Wilson may have been
sympathetic to First Principles, Amar's weakness is that he seems to imply that
we should therefore believe that the Framers in general were so inclined. This
is a subtle association underlying much of Amar's work that is ultimately
unsupported in fact and does not seem to be a valid interpretive method of
historical scholarship.
Additionally, a cursory review of
founding era texts reveals that Wilson, although clearly nationalistic, was by
no means an absolute majoritarian; he voted a number of times at the Convention
in favor of the inclusion of supermajority rules in the Constitution.
Ironically, in light of Amar's argument, it was Convention delegate James Wilson
who strongly supported the supermajority voting requirements of Article V.[182] And while Wilson's majoritarian rhetoric may fit snugly
within Amar's First Principles tent, it is interesting to note that one of the
key ideas upon which Amar constructs his First Principles theory seems to have
been rejected by Wilson during the Convention. Amar bases First Principles, in
part, on the notion that at the time of the ratification of the Constitution the
thirteen colonies were acting as independent, sovereign states; a concept
rejected during the Convention.[183]
The revolutionary rhetoric of
individuals such as Wilson must be considered in the context in which it was
made--as part of the formation of a new government and not a comprehensive
treatise on political theory.[184] When Wilson announced that the people "retain the right of
abolishing, altering, or amending their constitution, at whatever time, and in
whatever manner, they shall deem it expedient,"[185] did he mean that the majority may enact amendments at odds
with liberal notions of democracy, such as an amendment that would suppress
political speech or curtail equal protection? What if the majority wants a
supermajority rule? If a majority cannot enact a supermajority rule, can it be
said to have the authority to amend its constitution in "whatever manner" it
shall deem expedient?
Finally, during the Pennsylvania
ratification debates, Wilson stated (directly counter to First Principles
theory) that Pennsylvania's state constitution "cannot be amended by any other
mode than that which it directs,"[186] and that if in amending a constitution the majority
infringes "the act of original association" or violates "the intention of those
who united under it" then the minority is "not obliged to submit to the new
government."[187] Thus, James Wilson--whom Amar concedes to be one of the
"most brilliant, scholarly, and visionary lawyer[s]" in Colonial America[188]--seems to have often been supportive of positions that are
directly contrary to First Principles.
In making his case for First Principles, Amar also offers
rhetorical scraps from a number of Anti-Federalist writings in an apparent
effort to imply a general sympathy on the part of the Anti-Federalists to his
First Principles theory. As Amar states: "[e]ven Anti-Federalists shared this
[First Principles] belief in majority rule as a clear corollary of popular
sovereignty."[189]
However, a close reading of the
Anti-Federalists' writings does little to support Amar's claim that they were
sympathetic to First Principles. In arguing against the proposed Constitution,
the Anti-Federalists harshly criticized Article V for being so restrictive as to
be impractical, an argument obviously premised on an understanding that Article
V was to be the exclusive means of altering the new Constitution:
And after
the constitution is once ratified, it must remain fixed until two thirds of both
the houses of Congress shall deem it necessary to propose amendments; or the
legislatures of two thirds of the several states shall make application to
Congress for the calling a convention for proposing amendments . . . . This
appears to me to be only a cunning way of saying that no alteration shall ever
be made; so that whether it is a good constitution or a bad constitution, it
will remain forever unamended . . . . [T]he proposed constitution holds out a
prospect of being subject to be changed if it be found necessary or convenient
to change it; but the conditions upon which an alteration can take place [the
provisions of Article V], are such as in all probability will never exist. The
consequence will be that, when the constitution is once established, it never
can be altered or amended without some violent convulsion or civil war.[190]
This passage is all but a rebuttal
to Amar's First Principles argument. If, as Amar seems to suggest, it was widely
acknowledged during the late eighteenth century that a majority of the people
could alter or amend their constitutional government from time to time at their
pleasure, wouldn't the Anti-Federalists' argument have been received as
disingenuous and logically faulty--or, perhaps more likely, as risibly
misguided? Wouldn't the Federalists have publicly ridiculed it on those very
grounds?
Another interesting passage from the
Anti-Federalists notes that the Constitution provides for the new Congress to
determine the time, place, and manner of elections:
[S]uppose they
[Congress] should think it for the publick good, after the first [presidential]
election, to appoint the first Tuesday of September, in the year two
thousand, for the purpose of chusing the second President; and by law
empower the Chief Justice of the Supreme Judicial Court to act as President
until that time. However disagreeable it might be to the majority of the States,
I do not see but that they are left without a remedy, provided four States
should be satisfied with the measure.[191]
Although admittedly a somewhat
bizarre hypothetical, the Anti-Federalists are arguing that under the structure
of the proposed Constitution, if Congress abuses its time, place, and manner
authority, and four states (the number then required to block a constitutional
amendment) acquiesce to that abuse, there is no corrective remedy available.
Thus, Congress and four states could provide for a presidential term of 211
years, and the remaining states would be powerless in the face of constitutional
rigidity. This argument must logically proceed from an assumption that Article V
is the exclusive method of amending the Constitution, and thus is clearly
contrary to a First Principles understanding that the people can amend the
Constitution at any time they see fit. And these are not the only examples; time
and again the Anti-Federalists argued against the new Constitution on the
grounds that Article V's amendment procedure presented such a hurdle to change
that the Constitution would be all but unamendable.[192] I have been unable to find a single historical source in
which these assertions were countered with the argument that the people could
simply circumvent the textual requirements of Article V by a simple majority
vote.
In fact, historical evidence against First
Principles is widely available to the diligent reader. For example, upon reading
Article V in the proposed constitution, Patrick Henry announced that "[t]he way
to amendment, is, in my conception, shut."[193] During a lengthy discussion at the Virginia convention,
Henry decried the fact that a "bare majority" in "four small States" containing
"one-twentieth part of the American people" might "prevent the removal of the
most grievous inconveniences and oppression, by refusing to accede to
amendments."[194]
But if, as Amar has argued, "the
founding generation understood that the People were legally incapable of
alienating their future legal right to alter or abolish their Constitution at
any time and for any reason,"[195] how are we to understand these Anti-Federalist
arguments?[196] Consider the above arguments presented by the
Anti-Federalists in the context of Amar's assertion that "[e]ven
Anti-Federalists shared this [First Principles] belief in majority rule as a
clear corollary of popular sovereignty"[197]--the right of a majority of the people to alter the
constitution "at any time and for any reason."
C. Marbury v. Madison
Consider yet another example where Amar seems to employ a
selective reading of history to support his First Principles cause. Amar cites
Marbury v. Madison[198] a number of times in what appears to be an effort to show
broad support for First Principles during the post-founding era. But consider
how strategically Amar crafted the following citation from Marbury for
inclusion in his writings:
That the people have an original right to
establish, for their future government, such principles as, in their opinion,
shall most conduce to their own happiness, is the basis on which the whole
American fabric has been erected. . . . This original and supreme will organizes
the government, and assigns to different departments their respective powers . .
. [and may] establish certain limits not to be transcended by those
departments.[199]
To a reader without the full text
of the Marbury opinion available, this language does seem to offer broad
support for First Principles. Indeed, the quotation from Marbury would
seem to invest First Principles with the legitimacy of one of the most important
cases ever decided by the Supreme Court. However, consider again Justice
Marshall's words in Marbury, this time including the text that Amar omits
(indicated below in italics):
That the people have an original right to
establish, for their future government, such principles as, in their opinion,
shall most conduce to their own happiness, is the basis on which the whole
American fabric has been erected. The exercise of this original right is a
very great exertion; nor can it, nor ought it, to be frequently repeated. The
principles, therefore, so established, are deemed fundamental: and as the
authority from which they proceed is supreme, and can seldom act, they are
designed to be permanent.
This original and supreme will organizes the
government, and assigns to different departments their respective powers. It
may either stop here, or establish certain limits not to be transcended by
those departments.[200]
This passage illustrates what can
be accomplished through a selective citation of historical material and the
convenient use of ellipses.[201] The text omitted from this passage is neither extraneous
nor non-germane to the discussion; in fact, it speaks four-square against First
Principles. Chief Justice Marshall was discussing a conception of popular
sovereignty that he believed was foundational and that should therefore be
seldom exercised, not one that would allow Groundhog Day amendments at any time
at the pleasure of a simple majority.[202]
VIII. COMPETING PRINCIPLES AND THE ARGUMENT FROM UTILITY
Absent from much of Amar's discussion of First Principles
is a reconciliation of the competing interests of a majority. Amar seems to view
the majority's desire to enact constitutionally binding supermajority rules as
an illegitimate exercise of authority inconsistent with higher principles of
popular sovereignty. However, supermajority rules are not merely a means for one
generation to foist its subjective preferences upon future generations. Rather,
there can be a significant advantage to supermajority rules in the political
context, just as there are for binding contracts in the commercial context.
Although paternalistic, the ability to bind oneself is not without individual
benefit and social utility.[203]
What Amar seems to slight is that
the very notion of a Constitution presupposes that certain rights are alienable
because a Constitution exists to limit choices in order to preserve individual
rights and increase collective utility.[204] Just as Amar concedes that the right of free speech may be
so fundamental to a democracy that it is beyond the right of a majority of the
people to restrict it, so too are other rights that were placed beyond the
ability of a majority to alter or abolish. That is, "the entrenchment of
established institutional arrangements enables rather than merely constrains
present and future generations by creating a settled framework under which
people may make decisions"[205] and can enhance the deliberative process on important
public policy issues.[206]
The notion that supermajority rules
contain inherent utility does in fact make Amar's First Principles argument even
more problematic (and impoverished). If "all power is in the people," then the
people must have the ability to craft "a government as a majority of them thinks
will promote their happiness."[207] But Amar would seem to limit the majority by excluding all
option sets containing supermajority rules, foreclosing precommitment strategies
that are both rational and utility-enhancing.[208]
Additionally, as noted above,
supermajority rules are one part of a structure employed by the Framers to
address conflicts in competing first order principles. We can say that majority
rule is fundamental to democracy, but so too are free speech, due process, and
the maintenance of a neutral political framework. Clearly, when implementing
these and other first order concepts, there will be conflicts; supermajority
rules/constitutionalism are one way of addressing the problem.
Most
constitutions declare the primacy of popular sovereignty and proclaim that
ultimate power resides with "the people" through the democratic process. At the
same time, in keeping with the notion of limiting democratic government, most
constitutions also describe what the legislature, the representative of the
people, cannot do. By definition, democracy is antithetical to the
concept of inalienable rights. If the people are truly sovereign in the sense of
controlling their destiny through the democratic process, then all rights must
be alienable: a majority need only decide to alienate one right or another.[209]
Amar almost concedes this point when he discusses
exceptions to his First Principles theory:
[T]he First Amendment may itself
be a seemingly paradoxical exception to the general rule that amendments must
not be unamendable. Ironically, in order to prevent illegitimate entrenchment of
the status quo, constitutional rules that disentrench by keeping open the
channels of constitutional change must themselves be entrenched. (Similarly,
some free market transactions such as selling oneself into slavery or agreeing
to form a cartel must themselves be invalidated in order to protect free market
transactions generally.)[210]
But who then is to choose which constitutional rules
are appropriate candidates for entrenchment? And how are such decisions to be
made?
Time and again, Amar seems to undervalue the
relation of First Principles to basic theories of constitutionalism. Amar
asserts that it is clear that "the substantive vision underlying my (and the
Framers') process-based theory of constitutional amendment is a vision of
popular sovereignty, which in turn is rooted in the substantive values of
equality . . . and neutrality (no substantive outcome--including the status
quo--should be specially privileged)."[211] This statement, however, is fundamentally inaccurate in
that the Framers specifically privileged the status quo in the Constitution by
using supermajority rules--and not just in Article V. The Framers' requirement
of a two-thirds vote to expel a member from Congress, for example, or to remove
the President from office, was an intentional preferencing of the status quo.[212]
At the beginning of this Article, I characterized Amar, in
the context of his First Principles assertions, as a "thinking man's Freeman."
The term "Freemen" is a loose reference to supporters of an ill-defined,
quasi-political movement--principally rural and western in scope--that advances
radical ideas regarding such matters as states' rights, gun ownership laws,
conspiracy theories, and the United Nations.[213] I offer this comparison because Amar's First Principles,
like the theories proffered by the Freemen, are not only feeble and historically
inaccurate, but also socially dangerous.[214] In both cases, such ideas provide an intellectual hook on
which to hang a variety of half-baked, populist-inspired political ideas, such
as the notion that the House of Representatives could unilaterally rescind a
portion of the Constitution and thereafter legitimize such action through some
sort of national referendum--a Freemen theory with an uneasy parallel to First
Principles.[215] Consider, for example, a broad comparison between the
narrative of the Freemen movement and Amar's discourse on First Principles.
Part of Amar's theory requires reconciling the states'
purportedly "illegal" adoption of the Constitution by employing the rhetoric of
popular sovereignty. Similarly, a consistent theme in Freemen political
philosophy is that the Constitution was illegally adopted.[216] Like Amar, the Freemen base their political theories on
revered texts of the founding era.[217] Finally, both Amar and the Freemen are "fighting the same
fight Jefferson did against Jay and Hamilton--the battle between those who favor
a powerful central government and those who favor local sovereignty."[218] Here, however, Amar is the nationalist while the Freemen
support an ultra-radical vision of states' rights.
At
their core, Amar's First Principles and Freemen political philosophy bear a
striking resemblance to each other in their outright rejection of controlling
text (notwithstanding hundreds of years of tradition to the contrary) in favor
of "higher law" notions such as popular sovereignty/majority rule.[219] As the Freemen assert, "every man is a sovereign, free
from the clutches of state or federal authority [or Article V?], answerable only
to the divinely inspired words of the Constitution [We the People?] and the Bill
of Rights [the Tenth Amendment?]."[220] And many of the Freemen political philosophies--stripped
of their nutty corollaries and lunatic cant--bear an eerie methodological
resemblance to First Principles. For example, Amar tells us that we (presumably
all of us) have got it--our reading of the Constitution--all wrong because "[w]e
have been taught to look at the Constitution through the wrong end of the
telescope."[221] Thanks to Amar's First Principles, we can now see the
Constitution as it was meant to be seen--the way the Framers originally
saw it. Interestingly, many of the leaders of the Freemen movement assert that
they--and only they--can understand revered texts such as the Constitution and
the Bible and that the rest of America has got it all wrong. Thus, Freemen
leaders often see it as their role to educate the rest of us on what those
founding era texts really mean.[222]
Amar places tremendous importance
on the first three words of the Constitution--"We the People"--and so do the
Freemen. In fact, one Freemen chapter in Colorado is called "We The People."[223] Take, for example, a quick reading of the following
paragraph and ask whether it is from Amar's writings or the rantings of the
Freemen:
James Madison and the other framers of the Constitution knew that
in the future that if our Constitution was not interpreted in the context and
according to the history in which it was drafted, we would not have a proper
understanding of the original intent of our founding fathers, or in the words of
Madison, primary author and the supreme expert on the Constitution: "Do not
separate text from historical background. If you do, you will have perverted and
subverted the Constitution . . . ."[224]
The above passage appears on the
first page of the Militia of Montana website. Although the Freemen's political
philosophy has been termed "absurd, outrageous and even dangerous to the health
of American democratic society,"[225] it should be noted that a "lot of people [associated with
the Freemen movement] believe what they are doing is quite legitimate" and a
truly accurate reading of American history.[226] Like Amar, the Freemen have a particular affection for the
writings of Thomas Jefferson. The Freemen continually appropriate the writings
of Jefferson to assert that a careful, close (almost Straussian?) reading of
Jeffersonian writings on liberty and freedom will yield a body of coherent
thought (at least to the Freemen shaman) that provides a justification for their
movement.[227] The "cult-like" status of Jefferson in the Freemen
movement is legendary; such veneration was widely publicized when Oklahoma City
bomber Timothy McVeigh was arrested reportedly wearing a T-shirt with his
favorite Jefferson quotation: "The tree of liberty must be refreshed from time
to time with the blood of patriots and tyrants."[228] Time and again, Amar cites Jefferson's writings in support
of First Principles; although Amar's reliance on Jefferson is certainly less
radical, it is nonetheless equally grandiloquent at times, such as when he
declares that "Jefferson's majestic proclamation of self-evident truths has
reached an even more exalted status: words which people praise and do read, but
don't understand. For if understood, these words, and their evolving meaning
between 1776 and 1789, call for a fundamental rethinking of conventional
understandings of the U.S. Constitution."[229]
The problem with the philosophy of
the Freemen is not only its theoretical incoherence, but also its historical
inaccuracy: by selectively drawing from the works of the Framers, the Freemen
end up with a theory that is wildly out of context. One Jefferson scholar has
noted this feature of the Freemen's theories:
"They're bastardizing
Jefferson's views . . . . There's an anti-democratic undergirding to this
movement, cloaked by all this Jeffersonian libertarianism. They [the Freemen]
pick and choose those items of the icon that fit their needs. . . . They pick
and choose those sections of the Constitution they like. The ones they like,
they distort. The ones they don't like, they ignore." It is a hallmark of the
freeman and Christian patriot movement to loudly revere the Constitution and the
Bill of Rights and insist on a literal interpretation of these words, instead of
viewing it [sic] as most legal scholars do--as an elastic, living text, subject
to interpretation and timely revision.[230]
The above comparison is not offered
to imply that Professor Amar is in any way sympathetic to the Freemen movement.
On the contrary, Amar (like most Americans) seems to be diametrically opposed to
almost everything the Freemen espouse. Rather, the parallels are offered to make
two points. First, the founding era contains a large amount of rhetoric about
the rights of the people that is at its base both populist and plastic; it can
be used to justify any number of readings of the Framers' intent. The
Colonialists were fighting a war and founding a nation--actions that call for
leadership, ideology, and the emotional advocacy of a cause. By attempting to
turn their rhetoric into a political treatise, the Freemen take the Framers'
entire project out of context and thereby subject it to perversion.[231] Second, despite the many parallels, there is an odd
divergence of consequence between the theories of the Freemen and Amar. When
benighted rural Americans wave historical texts in our face, selectively read
history, and offer novel and unsupported interpretations of the Constitution, we
regard them as nutty and half-baked. When American academics and law professors
do the same, we call them "brilliant,"[232] praise their work as "refreshing," and label their
theories "novel." But is there really a difference? There is in the sense that
the Freemen are considered wing nuts, while legal counsel for President Clinton
praise Amar as "[o]ne of America's leading professors of constitutional law."[233] It has been suggested that "the crusading spirit threatens
the scholarly spirit."[234] With Amar's First Principles this seems especially true.
Admittedly, my criticisms of Amar in this Article are caustic. If we expect law
professors to be careful thinkers who reason rigorously and candidly, rather
than aloof intellectuals who spin sophistries, then I believe these criticisms
are warranted, and that First Principles is an impotent theory with little to
offer the political and legal community.
X. CONCLUSION
As long as American democracy exists without a clear understanding of when it is appropriate to depart from majority rule, theorists, historians, legal scholars, Freemen, and assorted pretenders to the throne will offer up novel theories purportedly based on history that conveniently support a preferred course of action. All of these theories must be analyzed with the understanding that nature abhors a vacuum, and that a theoretical one is all too easily filled by snake oil and tripe. Perhaps the simplest way to refute the body of work that First Principles comprises is to put stock in the brief words of William Davie, a delegate to the Constitutional Convention, who maintained during the drafting of the Constitution in Philadelphia that "[i]t must be granted that there is no way of obtaining amendments but the mode prescribed in the Constitution; two thirds of the legislatures of the states . . . may require Congress to call a convention to propose amendments, or the same proportion of both houses may propose them."[235] I believe this is what the Framers meant, intended, and understood, Amar and the Freemen notwithstanding.