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ENDURING LITERATURE ILLUMINATED

BY PRACTICAL SCHOLARSHIP

Alexander Hamilton, James Madison, and John Jay's brilliant and

controversial collection of essays and articles that define and

explain the ideals upon which the United States of America was

founded.

EACH ENRICHED CLASSIC EDITION INCLUDES:

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SERIES EDITED BY CYNTHIA BRANTLEY JOHNSON

INTRODUCTION

CHRONOLOGY OF THE LIVES OF ALEXANDER HAMILTON, JAMES MADISON AND JOHN JAY

HISTORICAL CONTEXT OF The Federalist Papers

The Federalist

The Constitution of the United States

NOTES

I

       Ian Shapiro is Sterling

Professor of Political Science at Yale University and Henry R. Luce

Director of the MacMillan Center for International and Area

Studies. His many books include Democratic Justice and The Moral

Foundations of Politics, both published by Yale University Press.

He lives in Guilford, CT.

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October 27, 1787

To the People of the State of New York.

After an unequivocal experience of the inefficacy of the

subsisting Federal Government, you are called upon to deliberate on

a new Constitution for the United States of America. The subject

speaks its own importance; comprehending in its consequences,

nothing less than the existence of the Union, the safety and

welfare of the parts of which it is composed, the fate of an

empire, in many respects, the most interesting in the world. It has

been frequently remarked, that it seems to have been reserved to

the people of this country, by their conduct and example, to decide

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. If there be any truth in the

remark, the crisis, at which we are arrived, may with propriety be

regarded as the ?ra in which that decision is to be made; and a

wrong election of the part we shall act, may, in this view, deserve

to be considered as the general misfortune of mankind.

This idea will add the inducements of philanthropy to those of

patriotism to heighten the solicitude, which all considerate and

good men must feel for the event. Happy will it be if our choice

should be directed by a judicious estimate of our true interests,

unperplexed and unbiassed by considerations not connected with the

public good. But this is a thing more ardently to be wished than

seriously to be expected. The plan offered to our deliberations,

affects too many particular interests, innovates upon too many

local institutions, not to involve in its discussion a variety of

objects foreign to its merits, and of views, passions and

prejudices little favourable to the discovery of truth.

Among the most formidable of the obstacles which the new

Constitution will have to encounter, may readily be distinguished

the obvious interest of a certain class of men in every State to

resist all changes which may hazard a diminution of the power,

emolument and consequence of the offices they hold under the

State-establishments-and the perverted ambition of another class of

men, who will either hope to aggrandise themselves by the

confusions of their country, or will flatter themselves with fairer

prospects of elevation from the subdivision of the empire into

several partial confederacies, than from its union under one

government.

It is not, however, my design to dwell upon observations of this

nature. I am well aware that it would be disingenuous to resolve

indiscriminately the opposition of any set of men (merely because

their situations might subject them to suspicion) into interested

or ambitious views: Candour will oblige us to admit, that even such

men may be actuated by upright intentions; and it cannot be doubted

that much of the opposition which has made its appearance, or may

hereafter make its appearance, will spring from sources, blameless

at least, if not respectable, the honest errors of minds led astray

by preconceived jealousies and fears. So numerous indeed and so

powerful are the causes, which serve to give a false bias to the

judgment, that we upon many occasions, see wise and good men on the

wrong as well as on the right side of questions, of the first

magnitude to society. This circumstance, if duly attended to, would

furnish a lesson of moderation to those, who are ever so much

persuaded of their being in the right, in any controversy. And a

further reason for caution, in this respect, might be drawn from

the reflection, that we are not always sure, that those who

advocate the truth are influenced by purer principles than their

antagonists. Ambition, avarice, personal animosity, party

opposition, and many other motives, not more laudable than these,

are apt to operate as well upon those who support as upon those who

oppose the right side of a question. Were there not even these

inducements to moderation, nothing could be more illjudged than

that intolerant spirit, which has, at all times, characterised

political parties. For, in politics as in religion, it is equally

absurd to aim at making proselytes by fire and sword. Heresies in

either can rarely be cured by persecution.

And yet however just these sentiments will be allowed to be, we

have already sufficient indications, that it will happen in this as

in all former cases of great national discussion. A torrent of

angry and malignant passions will be let loose. To judge from the

conduct of the opposite parties, we shall be led to conclude, that

they will mutually hope to evince the justness of their opinions,

and to increase the number of their converts by the loudness of

their declamations, and by the bitterness of their invectives. An

enlightened zeal for the energy and efficiency of government will

be stigmatized, as the off-spring of a temper fond of despotic

power and hostile to the principles of liberty. An overscrupulous

jealousy of danger to the rights of the people, which is more

commonly the fault of the head than of the heart, will be

represented as mere pretence and artifice; the bait for popularity

at the expence of public good. It will be forgotten, on the one

hand, that jealousy is the usual concomitant of violent love, and

that the noble enthusiasm of liberty is too apt to be infected with

a spirit of narrow and illiberal distrust. On the other hand, it

will be equally forgotten, that the vigour of government is

essential to the security of liberty; that, in the contemplation of

a sound and well informed judgment, their interest can never be

separated; and that a dangerous ambition more often lurks behind

the specious mask of zeal for the rights of the people, than under

the forbidding appearance of zeal for the firmness and efficiency

of government. History will teach us, that the former has been

found a much more certain road to the introduction of despotism,

than the latter, and that of those men who have overturned the

liberties of republics the greatest number have begun their career,

by paying an obsequious court to the people, commencing Demagogues

and ending Tyrants.

In the course of the preceeding observations I have had an eye,

my Fellow Citizens, to putting you upon your guard against all

attempts, from whatever quarter, to influence your decision in a

matter of the utmost moment to your welfare by any impressions

other than those which may result from the evidence of truth. You

will, no doubt, at the same time, have collected from the general

scope of them that they proceed from a source not unfriendly to the

new Constitution. Yes, my Countrymen, I own to you, that, after

having given it an attentive consideration, I am clearly of

opinion, it is your interest to adopt it. I am convinced, that this

is the safest course for your liberty, your dignity, and your

happiness. I effect not reserves, which I do not feel. I will not

amuse you with an appearance of deliberation, when I have decided.

I frankly acknowledge to you my convictions, and I will freely lay

before you the reasons on which they are founded. The consciousness

of good intentions disdains ambiguity. I shall not however multiply

professions on this head. My motives must remain in the depository

of my own breast: My arguments will be open to all, and may be

judged of by all. They shall at least be offered in a spirit, which

will not disgrace the cause of truth.

I propose in a series of papers to discuss the following

interesting particulars-The utility of the Union to your political

prosperity-The insufficiency of the present Confederation to

preserve that Union-The necessity of a government at least equally

energetic with the one proposed to the attainment of this

object-The conformity of the proposed constitution to the true

principles of republican government-Its analogy to your own state

constitution-and lastly, The additional security, which its

adoption will afford to the preservation of that species of

government, to liberty and to property.

In the progress of this discussion I shall endeavour to give a

satisfactory answer to all the objections which shall have made

their appearance that may seem to have any claim to your

attention.

It may perhaps be thought superfluous to offer arguments to

prove the utility of the Union, a point, no doubt, deeply engraved

on the hearts of the great body of the people in every state, and

one, which it may be imagined has no adversaries. But the fact is,

that we already hear it whispered in the private circles of those

who oppose the new constitution, that the Thirteen States are of

too great extent for any general system, and that we must of

necessity resort to separate confederacies of distinct portions of

the whole.1 This doctrine will, in all probability, be gradually

propagated, till it has votaries enough to countenance an open

avowal of it. For nothing can be more evident, to those who are

able to take an enlarged view of the subject, than the alternative

of an adoption of the new Constitution, or a dismemberment of the

Union. It will therefore be of use to begin by examining the

advantages of that Union, the certain evils and the probable

dangers, to which every State will be exposed from its dissolution.

This shall accordingly constitute the subject of my next

address.

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我们就可以给共和国下个定义，或者至少可以把这个名称给予这样的政府：它从大部分人民那里直接、间接地得到一切权利，并由某些自愿任职的人在一定时期内或者在其忠实履行职责期间进行管理。对于这样一个政府来说，必要条件是：它是来自社会上大多数人，而不是一小部分人，或者社会上某个幸运阶级。

根据所有（州）的宪法，最高公职的任期同样会延长到一定的期限，在许多场合下，在立法和行政部门内，会延长若干年。此外，根据大多数宪法的条款，以及在这个问题上最值得尊重的公认意见，司法部门的成员由于忠实履行职责可以保留他们的职位。

为了考察政府的真实性质，可以结合以下各点来考虑：政府建立的基础，其一般权力的来源，这些权力的行使，权力的范围，政府将来进行变革的权力。

每个州在批准宪法时被认为是一个主权实体，不受任何其他各州约束，只受自己自愿的行动的约束。

因此，在这方面，新宪法如果制定的话，将是一部联邦性的宪法，而不是一部国家性的宪法。

通常权力的来源方面。众议院将从美国人民那里得到权力，就这点来说，政府是国家性的政府。另一方面，参议院将从作为政治上平等的团体的各州得到权力，就这点来说，政府是联邦政府。总统选举方面，分配给各州的选票是按照一种复合的比例，一部分是把它们当做各不相同的同权团体，一部分是把他们当作同一团体的不平等的成员。

从政府的这个方面来看，它似乎是一种混合的性质，所表现的联邦性特征至少和国家性特征一样多。

在权力的行使方面，可以称之为一个国家性政府。（对公民个人行使权力而非对组成联邦的各政治团体。）

在权力的范围方面。拟议中的政府不可能被认为是一个全国性政府；因为其权限只限于某些列举的对象，而把对于所有其他对象的其余不可侵犯的权力留给各州。

如果我们从宪法与宪法修正权力的最后关系来检验宪法，我们会发现它既不完全是国家性的，也不完全是联邦性的。

因此，拟议中的宪法严格说来既不是一部国家宪法，也不是一部联邦宪法，而是两者的结合。

世袭君主固然时常压迫人民，然而由于其个人利害与其统治如是息息相关，致使其受外国腐蚀的危险甚小。但是，由平民一跃而为政府首脑之人，如其个人财富仅只小康或甚微薄，复又预见经过为期不久之后，仍将恢复原来的社会地位，则此人即被置于可以牺牲其职责以换取利益的诱惑之下，必须具有极为崇高的道德品质始能抗拒。贪婪者可能被诱使背叛国家利益以猎取财富。

如将缔约权全部委之于参议院，则无异于取消宪法授权总统掌管对外谈判事宜的好处。

综上所述，缔约权委之于总统与参议院联合掌握，实委之于任何一个方面均为妥善。

消除党争危害有两种方法：一种是消除其原因，另一种是控制其影响。

消除党争原因还有两种方法：一种是消除其存在所必不可少的自由；另一种是给予每个公民同样的主张、同样的热情和同样的利益。

关于第一种纠正方法，再也没有什么比这样一种说法更确切了：它比这种弊病本身更坏。自由于党争，如同空气于火，是一种离开它就会立刻窒息的养料。但是因为自由会助长党争而废除政治生活不可缺少的自由，这同因为空气给火以破坏力而希望消灭动物生命必不可少的空气是同样的愚蠢。

第二种办法是做不到的，如同第一种办法是愚蠢的一样。

党争的潜在原因，就这样深植于人性之中……

我们的结论是，党争的原因不能排除，只有用控制其结果的方法才能求得解决。

一种纯粹的民主政体——这里我指的是有少数公民亲自组织和管理政府的社会——不能自制派别斗争的危害。

共和政体，我是指采用代议制的政体而言，情形就不同了。

联邦优于各州之处，就是能选拔见解高明、道德高尚，能超出局部偏见和不公正的计划的代表。能更好地防止一个党派在数量上超过其他党派而且压迫他们。联邦内组成的种类更多的党派，加强了这方面的保证。给不讲正义和图谋私利的多数人以最大的障碍，反对他们协调一致，完成其秘而不宣的愿望。

在这种情况下（审议弹劾案），最大的危险莫过于使其裁决屈服于派别间相对力量的大小，而不取决于有无罪责的证明。

除了参议院，何处又能找到具有足够的尊严或可以充分便宜行事的法庭呢？还有什么其他机构可能充分把握其本身立场，在被告的个人合作为人民代表的原告（众议院）之间，能够不屈不挠的保持必要的无所偏倚呢？

最高法院能否符合这一条件而予以依靠呢？这是很值得怀疑的，因为最高法院的法官不见得在一切时候都具有执行如此困难任务所需要的那种突出的坚定性；尤其值得怀疑的是，这些法官是否具有足够的信用和权威，而在某些场合下，使人民能够接受同自己代表提出的控告相反的裁决。

社会中最受信赖、最为超群的人士，从此荣耀一世，或者蒙羞终生，完全取决于处理弹劾案法庭的自由裁决，这样严重的责任不容许把这种委托托付给少数的人。

由于裁定应予弹劾而使被告蒙受的屈辱，并未结束因其犯罪所应受的惩罚。被弹劾后而从此失去全国的尊敬和信赖、荣誉和报酬后，大概还要受到普通法律的控告和处罚。

在两种情况中让同一些人担任法官，则可能成为迫害对象的人就会在很大程度上被剥夺掉两次审判本来可以提供的双重保障。本来的判决，按其措辞，不过是免去现职和不再叙用，却往往实际包括使之丧失生命和财产。

因此，参加裁决的是公众的情感而不是理智。但是只有公众的理智应该控制和管理政府，情感应该由政府控制和调节。

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Amazon.com Review

"This country and this people seem to have been made for each

other, and it appears as if it was the design of Providence, that

an inheritance so proper and convenient for a band of brethren ...

should never be split into a number of unsocial, jealous, and alien

sovereignties." So wrote John Jay, one of the revolutionary authors

of The Federalist Papers, arguing that if the United States was

truly to be a single nation, its leaders would have to agree on

universally binding rules of governance--in short, a constitution.

In a brilliant set of essays, Jay and his colleagues Alexander

Hamilton and James Madison explored in minute detail the

implications of establishing a kind of rule that would engage as

many citizens as possible and that would include a system of checks

and balances. Their arguments proved successful in the end, and The

Federalist Papers stand as key documents in the founding of the

United States. --This text refers to an alternate Mass Market

Paperback edition.

Review

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书籍介绍

ENDURING LITERATURE ILLUMINATED

BY PRACTICAL SCHOLARSHIP

Alexander Hamilton, James Madison, and John Jay＇s brilliant and controversial collection of essays and articles that define and explain the