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Philosophy
An Inquiry into the Theory of Political Legitimacy
in The Federalist
Shaun Rieley
4/25/2013
It can hardly be disputed that the American Constitution is among the most important
documents ever written, whatever ones opinion of it might happen to be; the nation which it
birthed has altered the course of history. The American Constitution represented, in many ways,
a stark break with forms of government which had preceded it. Coupled with the Declaration of
Independence, it advances a governmental system predicated on particular understandings
derived from political philosophy. These understandings of liberty, of justice, of human
nature, of equality, of happiness are informed by, and take their shape from, the long history
that is Western political philosophy, dating to Platos Socrates, but in many ways offers new
insights into the science of politics, or at least purports to. The document was not, however,
uncontroversial; quite the contrary. It was the subject of a rather intense public debate during its
ratification process, with proponents and opponents lined up to say their piece. Proponents came
to be christened Federalists, and while opponents were termed Anti-Federalists. It was three
Federalists, Alexander Hamilton, James Madison, and John Jay, who would become the most
prominent defenders of the new Constitution, by authoring a series of papers now known simply
as The Federalist, which were published under the pseudonym Publius. Answering The
Federalist were a group of authors who published under a variety of pseudonyms, such as Cato,
Brutus and Centinal, who offered opinions opposing the ratification of the Constitution. While
these works, both Federalist and the Anti-Federalist, drew heavily on a many of the same texts of
political philosophy which were considered to be authoritative, but came to different at times
very different conclusions regarding the proper course of action for the new nation in terms of
its founding document. Thus, I propose to examine the political philosophy of The Federalist,
and to attempt sketch it particularly in terms of Publius understanding of the legitimacy of
government, that is, what makes a government legitimate and why the government established by
the Constitution meets the requirement.
Reflection and Choice
In Federalist # 1, Publius1 begins with a statement of purpose:
After a full experience of the insufficiency of the existing federal
government [the government established under the Articles of Confederation], you [the People of the State of New York] are invited to
deliberate upon a new Constitution for the United States of America
(1:3).2
Here he expresses one of the foundational assumptions which pervades the Federalist: that
the government of the Articles of Confederation had been insufficient to the ends necessary for
effective governance. This point passes here without argument, presumably because the fact that
The Federalist is necessary to defend the Constitution as a new blueprint for governance which
awaited ratification by the states, assumes that the Articles of Confederation were insufficient for
governance. While The Federalist does present arguments elucidating the reasons why the
Articles failed, this is largely to show why the Constitution is superior; the main question to be
addressed here in The Federalist will be whether the new Constitution is, in fact, the document
which should replace the Articles, and by extension, whether the government established by the
Constitution is sufficient and legitimate.
1
As all of The Federalist papers are signed Publius, and as some of the papers authorships are disputed, I will,
for the sake of simplicity, use Publius in lieu of the particular authors name.
2
Page numbers reference The Federalist published by The Modern Library (2001), edited and with introduction by
Robert Scigliano.
But The Federalist goes further than any historical contingency surrounding the particular
political climate of the Post-Revolutionary American Colonies. Rather than simply asking
whether the Constitution is sufficient for the purpose of governance, and more specifically
sufficient for the governance of this particular political arrangement being discussed, Publius
notes that
It had been frequently remarked that it seems to have been reserved
to the people of this country, to decide by their conduct and example,
the important question, whether societies of men are really capable or
not of establishing good government from reflection and choice, or
whether they are forever destined to depend for their political constitutions on accident and force (1:3).
Thus it seems apparent that Publius sees the issue at hand not as merely implicating the
immediate debate surrounding the new Constitution and attendant political particularities at
hand, but as potentially establishing a definitive answer to the tension in political philosophy
between convention and choice. Further, it seems apparent that Publius understands the
government of the Constitution to be the latter, that is, a government established by deliberate
choice through thoughtful reflection, rather than a government established by accident and
force. In using the word accident Publius seems be referring to governments which
unreflectively continue in the ways handed down from time immemorial, without considering
whether the particular political practices align with the principles of good government, as
understood by contemplation and reason. In number 51, Publius states that Justice is the end
of government (51:334). Therefore, it seems that the goodness of government may be judged
by the extent to which with instantiates the requirements of justice, which are accessible to the
human mind through right reasoning.3 Accident implies a certain arbitrariness; but
arbitrariness is opposed to reason, and therefore opposed to reflection and choice, for things are
only rightly said to be chosen if they are opted for, after reflection, as the best choice among the
available options. Force, like accident, also seems to imply the opposite of choice; for, force
negates choice by requiring a particular alternative, rather than allowing for a the full range of
alternatives to be considered through deliberation and for the best to be selected. Force, then,
also implies a certain arbitrariness in governance. As accident is subjugation to arbitrary
adherence to convention, force is subjugation to the arbitrary will of the ruler.
This being the case, it seems that the first requirement for legitimacy latent in the political
theory of The Federalist is that a government be founded on reflection and choice, to the extent
that this is possible. Implicit in this requirement are two presuppositions: first, that there are in
fact, transcendent principles of good which, in government equates to just, if a good
government can be understood to be a just government which are accessible to reason (even
self-evident, to use the words of the Declaration of Independence), and second, that there is a
best regime, which may be understood through reason, and implemented through choice.
Were either of these not assumed, it seems that there would be little reason to believe that one
could do better than accident and force in the establishment of a political regime, as it is unclear
what, exactly, could be chosen, particularly if the such an establishment entails the deliberate
3
It seems that one of the fundamental understandings of the Revolution, as described in the Declaration of
Independence, is that the principles of justice viz. equality, the right to life, liberty and the pursuit of happiness,
etc., are self-evident, which seems to imply that they are available to reason, and are necessary rather than
arbitrary.
choosing of a better regime than might obtain by accident and force (or perhaps even the best
regime). For by what standards could such a comparison be made? A comparison of a current
regime with what might be better and more specifically, what is best seems to strongly imply
that there is a transcendent standard, accessible to reason, by which all existent regimes may be
judged. Thus a legitimate regime for Publius, being the result of reflection and choice, should in
the first place be the regime which instantiates justice to the highest degree possible by reflection
and choice.
Consent of the Governed
A legitimate regime, then, must be established, not by force and accident, but by reflection
and choice, because it recognizes the rational aspect of man, and the ability of man to deliberate
and choose, according to the laws of Nature, Natures God4, the best regime. Nevertheless,
while this maybe a necessary qualification for a legitimate regime, it is insufficient. A further
requirement for legitimacy for Publius is the consent of the governed, specifically as expressed
through popular sovereignty. If the Constitution can be understood as the practical application of
the universal principles of political philosophy expressed in the opening paragraphs of the
Declaration of Independence and it is does not seem a untenable to suggest that it should than
the principle that legitimate government should be government which rests on the consent of
the governed or, republican government. This principle, expressed in the Declaration as
Governments are instituted among Men, deriving their just powers from the consent of the
government.
Republican Government Defined
Though Publius has given a definition of republic in number 10 a government in which
the scheme of representation takes place (10:58) it is later, in 39, where Publius gives a broad,
yet more precise, definition of what he understands by the word republic.
He says
We may define a republic to bea government which derives all
its powers directly or indirectly from the great body of the people,
and is administered by persons holding their offices during pleasure,
for a limited period, or during good behavior (39:240, emphasis original).
From here, he further qualifies that
It is essential to such a government that it be derived from the great
body of the society, not from an inconsiderable proportion, or a favored class of itotherwise a handful of tyrannical noblesmight aspire
to the rank of republicans, and claim for their government the honorable
title of republic (39:240, emphasis original).
And one further qualification states that
It is sufficient for such a government that the person administering be
appointed, either directly or indirectly, by the peopleotherwise every
government in the United States, as well as every other popular government that has been or can be well organized or well executed, would be
downgraded from the republican character (39:240, emphasis original).
From these passages, a general theory of republican government, as understood by Publius,
begins to emerge. In the first place, republican government must derive its powers from the
sovereign, understood as the people. This echoes the Declarations assertion regarding the
necessity of governments deriving their just powers from the consent of the governed. Secondly,
7
Cf. John Locke, Second Treatise on Government, Ch. 18, Sec. 199 : Tyranny is the exercise of power beyond
rightmaking use of the powernot for the good of those who are under it, but for his own private separate
advantage and Aristotle, Nicomachean Ethics, Book 8, Ch. 10, 1160b7-8
10
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temporary affection at least to their constituents, motives of a more selfish naturepride and
vanity, the restraint of free elections, and the fact that they can make no law which will not
have its full operation on themselves and their friends (57:367). The first of these the passion
of affection though temporary, is here counted on, in the absence of wisdom and virtue to
induce benevolent behavior from the representative; that is, behavior consistent with the good of
his constituents. The next three operate differently. They utilize the base, selfish passions of the
representative to elicit behavior which resembles the actions of one concerned with the public
good, though they are not done for the purpose of affecting the public good. By tying the private
interest of the ruler to the public interest, that is, by decreasing the space between the two, the
system creates a nearly absolute assurance of action which affects the public good, even in the
absence of continued virtue on the part of the ruler.
This has always been deemed one of the strongest bonds by
which human policy can connect the rulers and the people
together. It creates between them a union of interests and
sympathy of sentimentswithout which every government
degenerates into tyranny (57:367).
This, then, is the way in which Publius understands the Constitution to meet the second
requirement of government, that is, to take the most effectual precautions for keeping them
virtuous whilst they continue to hold their public trust (57:365). Not, however, by ensuring that
they actually remain virtuous, so much as ensuring that they act in a way which is consistent
with virtue. This, he says, is the genius of the whole system, and that which restrain[s] the
House of Representatives from making legal discriminations in favor of themselves and a
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present, not only in the founding of the regime, but must be the mode of governance by which it
operates. This is the fundamental problem of republican government to create a system which
is governed by reason (reflection and choice), while simultaneously drawing its power from the
great body of the people and it is one which Publius believes is solved in the government
established by the Constitution.
Liberty and Order
In number 9, Publius begins by asserting that A firm Union will be of the utmost moment to
the peace and liberty of the States (9:47) He says
It is impossible to read the history of the petty republics of
Greece and Italy without feeling horror and disgust at the
distractions with which they were continually agitated, and
at the rapid revolutions by which they were kept perpetually
vibrating between the extremes of tyranny and anarchy. (9:47)
Here, he illustrates the need for a strong Union by highlighting the precarious political
situation actuated by anything less. Nevertheless, though anarchy is to be avoided, so too is
tyranny; indeed, it is the need for political order, coupled with the disorder brought by anarchy,
which provides a sure path to tyranny. He notes, however, that those who are advocates of
despotism assert that free government is inconsistent with the order of society(9:48), a
position which Publius clearly disagrees. He says
Happily for mankind, stupendous fabrics reared on the basis
of liberty, which have flourished for ages, have, in a few
glorious instances, refuted their gloomy sophisms. And, I
trust, America will be the broad and solid foundation of other
edifices, not less magnificent, which will be equally permanent
monuments to their error (9:48).
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a free society, as he contends in number 10. Factions, in a free society, create a problematic
situation in which a majority of the society may unite to the detriment of another minority
faction. By faction, he says, I understand a number of citizenswho are unitedby a
common impulse of passion, or of interest, adverse to the rights of other citizens, or to the
permanent and aggregate interests of the community (10:54, emphasis added). The solution to
this problem, he says, is the enlargement of the society, to the point that it is difficult for any one
faction to become dominant. As he states in number 51, Ambition must be made to counteract
ambition (51:331). Therefore, in this way, the passions of the various factions are rendered
inert, allowing for an alternate way of ruling; one constant with both the fundamental
requirements of republican government, as well as with rule by reason. With the passions
eliminated as a threat through the enlargement, reason becomes the sole remaining source of
rule. And it is through the principle of representation, rightly understood, that this type of rule
by reason actuates.
Publius assertion in number 9, when discussing the advancement of the science of politics,
that representation was either unknown or unperfected in ancient political constitutions, is again
taken up in number 63 while discussing the composition of the Senate as proposed by the
Constitution. Here, in providing examples of representation from ancient regimes, Publius
demonstrates that the principle of representation was neither unknown to the ancients, nor
wholly overlooked in their political constitutions (63:406), contra the position taken by some,
which Publius mentions earlier in 63, that [representation was]unknown to [other republics],
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or at least to the ancient part of them (63:405). However, he does admit that there is a
distinction which can be justly made between then American republic and those other ancient
republics.
The true distinction between [the ancient republics] and the
American governments, lies in the total exclusion of the people,
in their collective capacity, from any share in the latter, and not
in the total exclusion of the representatives of the people from the
administration of the former (63:407, emphasis original)
Thus, Publius states that the true innovation in the American government is that the people, as an
aggregate, are removed from any share in the American government. Their representatives do
the work of administering the government, but the people qua the people, do not. This must be
admitted to leave a most advantageous superiority in favor of the United States (63:407).
However, he is quick to note that this qualification alone is insufficient to ensure the primacy of
reason and the mitigation of passion in the administration of the government: we must be
careful not to separate [this principle] from the other advantage, of an expansive territory
(63:407). Expansive territory, as discussed above, serves to mitigate the passions through
conflict with one another. The representative principle then, rightly understood, enables rule by
reason, reflection and choice, rather than passionate mob rule. Hence, for Publius, the political
system contained in the Constitution is able to meet both requirements for good government, viz.
fidelity to true republican principles, deriving its power from the consent of the people, and rule
by reason through the mitigation of passion and mob rule.
In number 71, Publius takes up the defense of the Executive, as outlined in the Constitution.
17
Here we get yet another glimpse into precisely what he understands to be the nature of
republican governance to be, and a further defense of the removal of governance from the direct
hands of the people. He says
The republican principle demands that the deliberate sense
of the community should govern the conduct of those to
whom they intrust the management of their affairs; but does
not require an unqualified complaisance to every sudden
breeze of passion, or to every transient impulse which the
people may receive from the arts of men, who flatter their
prejudices to betray their interests (71:458).
Here, as in number 39, Publius seeks to correct common notions regarding the nature of
republican principles, and exactly what they do and do not require. It is the duty, he says, of
those who govern to resist the intemperate passions of the people. Further, it is the duty of the
Executive to resist the passions of both the people, and the legislature. There are some, he
says, who would regard the servile pliancy of the Executive to a prevailing current, either in the
community or in the legislature as its best recommendation (71:458). Not so, says Publius. A
relatively strong Executive is necessary to counteract these momentary sweeps of passion which
may overtake the public from time to time. These passions may go so far as to infect the
legislature, rendering them incapable of resisting what may prove to be a harmful current. It is
here that the Executive has a duty to resist. Though Publius is willing to give the people the
benefit of the doubt by noting that the people commonly intend the PUBLIC GOOD (71:458,
emphasis original). Nevertheless, he goes on to assert that [the peoples] good sense would
despise the adulator who should pretend that they always reason right about the means of
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promoting [the public good] (71:458, emphasis original). Here, then, Publius appeals to right
reason as that which is most capable of ascertaining the correct means of promoting the public
good. Again, it appears that Publius understands reason to be an integral part of legitimate
governance, as legitimate governance requires choice and reflection or, the use of reason. But,
as has been seen, popular rule is diametrically opposed to governance through reason for Publius.
Popular governance, understood as direct rule by the aggregate of the people, can only rule by
passion, rather than reflection and choice. And, as we have seen, even legislatures can be subject
to mob rule of they are too large, or do not contain men fit character. Therefore, Publius
appears to believe that the Executive must be vigorous enough effectively counteract these
passions of the people, or those of the legislature, if they, rather than reason, should begin to be
the principle by which the government is ruled.
When occasions present themselves, in which the interests
of the people are at variance with their inclinations, it is the
duty of the persons whom they have appointed guardians of
those interests, to withstand the temporary delusion, in order
to give them time and opportunity for cool and sedate reflection (71:458).
The peoples interests, Publius asserts, may on occasion be opposed to their
inclinations. For Publius, then, it seems that it is the duty of those administrators of the
government, whom the people have put into place, to guard the interests of the people, even
against their immediate will, if necessary. Conduct of this kind may [save] the people from the
very fatal consequences of their own mistakes, he says, and rulers who have answered the call
of duty, and opposed threats of this kind to the public good have secured for themselves lasting
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monuments as those who have had the courage and magnanimity enough to serve [the people]
at the peril of their displeasure (71:458-59, emphasis added)
Thus, the political problem of legitimacy is solved in Publius account of the Constitution.
By constructing a political system in which both of the seemingly irreconcilable requirements for
legitimate government are met, that is, rule both by republican principles and by reason, the
Constitution establishes a truly legitimate government for Publius. Publius explication and
defense of the Constitution gives insight into the reasoning, the assumptions and the political
philosophy of those who defended the Constitution against its detractors, and still serves as a
starting point for those interested in better understanding the true nature of the American political
system. It is true that the interpretation and analysis offered by Publius is not beyond dispute
and indeed, was disputed by the Anti-Federalists. Nevertheless, the ideas expressed by Publius
in The Federalist still reverberate through our national discourse, and constitute the many of the
assumptions by which those who live under the regime he helped to construct judge the
legitimacy of all other regimes.
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