Originally published: 1945
421 pages | Chapter
15
ON
POWER
Bertrand de Jouvenel |
The nuances, details, and conflicts of society cause government to expand
not because it must but because it can. Although men could solve their
problems and differences among themselves they allow the state to step in to
do it for them, and they allow that because it is easy. As well, they often
think they might be able to influence the outcome of government's efforts to
their own benefit. Conversely, these same nuances, details, and conflicts
become increasingly complex and convoluted as government waxes more
intrusive (the law of unintended consequences). The symbiosis is
self-perpetuating.
When the state becomes overbearing, by default, its
relationship to the citizenry becomes almost wholly negative; it is based on
a downward spiral of subtle or overt attempts at control on one side and
growing defiance, self-expression, and individuality on the other. The
latter eventuates when men find the ease of letting someone else solve their
difficulties offers consequences they never meant or even contemplated.
Although it is difficult to accept, democratic
government mainly functions contrary to the purposes of its design because
it functions mostly as those in charge want it to. The complexity of
governance works to the advantage of those who act with intention and to the
disadvantage of those who trust in institutions, or laws. There is a simple
reason for this: Power.
In this seminal work Bertrand de Jouvenel discusses
government in terms different from those of other historians and
theoreticians. Although we have considered Power primarily by reference to
its form, de Jouvenel considers it in relation to its extent. The forms of
Power
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(democracy, republic, monarchy, theocracy, oligarchy, or dictatorship)
inspire various theories, but its extent refers to reality. De Jouvenel
explains how Power, grounded in human nature, has ever been on the increase,
aided by apathy or fear, and in the modern world by technology, the
treacherous allure of centralization and utopianism, and the swindle of
untouchable bureaucracy.
The Leader
De Jouvenel came to his conclusions regarding Power via a path somewhat
different from that of John Locke. Entertaining no substantial disagreement
with Locke, de Jouvenel took the earlier philosopher's comprehensions to
their logical and darker outcome. As can be seen in The
Second Treatise on Civil Government (Chapter 1), Locke develops his
theory of governance through an understanding of how rights came into
existence-both through a person's own being (which was something
individually "owned" as a property right) and through the right to
one's possessions (which had value because of personal effort). De Jouvenel
explores how people gave up some of their freedom through banding together
to protect one another's rights and property thereby establishing security.
The resulting community of action which aimed at supporting liberty and
securing its gains naturally gravitated toward a need for leadership; thus
Power established its foundation as the protector of progress. De Jouvenel
investigates how Power at first came to reside
in an individual, and how that person enhanced his power by convincing other
individuals and groups within society that he would represent their needs or
aspirations or protect their families and thus he should be their leader.
De Jouvenel then analyzes historical Power as it
evolved in social aggregations larger than the primitive band. His core
contention is that in that past era someone always rose to lead by force-not
by agreement or default. As the size and number of groups that gathered for
security grew, the unstable might of a sovereign (because there were always
those who wanted the leader's power for themselves) became subject to how
many subalterns he could convince to support him and how much wealth they
could bring to his treasury. Over time, as the gentry (who had the wealth
the ruler needed) paid more and more for the privilege of ensuring the
sovereign's place (and thus their own) they also began to demand more say in
how their protection was achieved and how their gold was expended.
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The relative strength of these partners varied over
the centuries and more formal relations eventuated as the size of society
grew. These new devices were in the form of constituent assemblies-groups
that represented the people and spoke for them, first for their class, and
ultimately for all citizens. These congresses were the precursors of today's
legislative bodies. (To see additional details of the evolution of Power and
its basis in property see Richard Pipes's Property
and Freedom, [Chapter 11].) The power of these assemblies ultimately
far exceeded that of the sovereign and the king at length became subordinate
and eventually disappeared or was trivialized.
De Jouvenel explores the weakness of early
monarchies, founded in the voluntary nature of the support and protection
offered to them by their closest allies-the nobility. The particular example
of how a monarch raised an army is instructive in understanding all the
forces at work: A medieval king could never form an army by fiat or through
the equivalent of a modern military draft. He had to buy his armies, and
their services ended the minute their remuneration stopped or their
enlistments expired. (Even George Washington was subject to this
relationship between armies and the power to create and hold them together.)
In order to conscript men and require that they fight, some greater
authority was necessary. This ultimate master arose when "the
People" took over governing via a parliament or some other democratic
medium. Involuntary recruiting became possible when a publicly constituted
legislature that theoretically embodied the "general will" of the
people decreed conscription; this law was accepted as the ostensible choice
of the populace. One of the most intrusive and overwhelming manifestations
of Power-that those in power represented the public's general will-thus
arose and then flourished. This Power was defined and implemented by elected
officials and deified by democracy.
Individual Freedom vs. The General Will
De Jouvenel was skeptical of the general will, especially when such was
supposedly determined by representatives-not the people themselves. A main
thrust of de Jouvenel's effort in On Power is to expose and then
debunk the myth that any representative body necessarily voices the general
will. If it were true that the general will could not be divined by the few
then the power of government should be severely limited. Under this
circumstance, only the most obvious matters (where real consensus was
probable) should be decided by a legislature. In fact,
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just the opposite was
the case; the more difficult the question the more apparently prescient were
the legislators.
De Jouvenel observes that both conscription and the
power to tax arose as protective endeavors, as measures of defense for the
people. Communal protection embodied broad, practical efforts at security
well before the tools of conscription and taxation took on a utopian glaze
in the twentieth century. But when conscription and taxation were combined
with the advent of democratic institutions Power was almost complete; the
people did not object. We did this to ourselves.
As de Jouvenel observes, Power perpetuates itself
from inception. It justifies its expansion in the first instance by serving
those over whom it rules-by protecting society against outsiders and keeping
order within. Therefore, in the beginning Power was beneficial. Its first
consequences were not viewed as negative or dangerous even though its
origins and mechanisms were darker than its supposed effects.
When society became too complex for an individual
to rule, the instruments of modern governance were put in place
(administrative agents and bureaucracies and representative bodies). They
were proclaimed a substitute for the Power of the individual. These
institutions eventually became a complex of governing compartments that the
people themselves had to administer, "thereby going through phases of
both command and obedience." As the populace became accustomed to
having their own agents rule, and as they came to rely upon such safeguards
as the separation of powers, checks and balances, judicial review, and a
broad electoral franchise, they relaxed their vigilance: "We rule
ourselves … how can anything go wrong?"
The State
However, when society became so large that not even one group (much less one
person) could rule or manage it, the idea of the state was
established. It was the entity to which all owed allegiance-because of its
beneficence and the fact that it was constituted by the people themselves.
We drove out the personal ruler (the king or emperor) and replaced that
individual with representatives of ourselves who, as a group, were the
physical embodiment of the old ruler's power. Ironically, the new rulers had
much more Power than the old-fashioned king because we confusedly conflated
them with ourselves and assumed an identity of their interests with our own.
"They" and "us" were no longer separate. De Jouvenel
finds this Power far from benign:
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It is making a fateful mistake to suppose . . . that the major political
formation, which is the state, was the natural product of human sociability.
It seems a natural enough supposition, for society, which is a natural
entity, is just such a product. But a natural society is a small thing. And
for a small society to become a large one a new factor is necessary. For
that there must be fusion, and this in the great majority of cases comes,
not from the instinct of association, but from that of domination.
Thus the public servant (whether elected or appointed) was born-that
person who had a patina of authority, a core of righteousness, and who told
us how to live simply because he had the ability to act for us (not
necessarily with us, almost certainly not at our behest). He did this by
means of his role as a governor, and he did this because he contended either
that he knew more than we did, or worse, knew better than we did; he knew
better because he could see more from his lofty perch,
could consider more from his wide experience, and could understand better
through his personal obligation to look after those in his charge.
De Jouvenel describes the formation and the later
sustenance of the early state as being dependent on this Power and the
concomitant ability to act with intention when Power was possessed. Whether
that Power was held by the king, the church, the aristocracy or nobility of
earlier times, or eventually a representative body, his theory about the
control of society holds true today-but for slightly different, and slightly
more hazardous reasons. Those in Power now relish their positions not solely
for base egoistic domination or even substantial personal gain but out of an
increased and ever-growing sense of righteousness-Power's most dangerous
ingredient. However, as de Jouvenel cautions, there is an antecedent aspect
even to righteousness: the every action of the public servant is still
designed to first retain their hold on power.
Once in control, the public servant's "will to
Power" shows itself as a desire to do good. This is a "fatal
conceit," in the words of Friedrich von Hayek, that trends in the
direction of destroying society's chance for rational progress-rational
progress being defined as progress that takes human nature and individual
liberty into full account.
In democratic regimes where "we the
people" rule, we theoretically obey no one but ourselves and we are
therefore free. De Jouvenel,
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however, strongly disputes the notion that
popular sovereignty ensures individual freedom. He resolutely states that
[t]o identify those who govern with the people is to confuse the issue, and
no regime exists in which such an identification is possible. . . . Those
who
govern are neither the people nor the majority: they are the governors.
This is especially true of the modern commonwealth (whether a nation or
state or even a city), controlled by legislative bodies that are returned to
office en masse in election after election. The politicians-who seem
to see electoral success as affirmation of their efforts-become an elite
"with a life and interest of [their] own." Practically speaking,
however, their only real success is in fooling enough of the people enough
of the time (on Election Day, to be specific).
In actuality the intentions of these legislatures
are administered by a standing army of civil servants-in de Jouvenel's
coinage, "the Agentry"-but as he explains, this bureaucracy is in
no direct way responsible to the people (or often the legislative bodies who
fund them or the executive authorities who supposedly oversee them). The
bureaucrats extend their own franchise in a symbiotic conspiracy with the
politicians, conveniently elevating themselves and justifying their
(theoretical) bosses. They simply extend government by proclamation-termed
administrative rule-making-with essentially no oversight, except citizen
vigilance.
De Jouvenel observes that two additional
developments helped make the state's power exceed the people's intentions.
First, there arose the illusion that we have a government of laws and not
men, even though "it is men who write, administer, and judge our
laws." Second, technological innovations made possible enormous state
Power; the Power to intimidate, to protect, to conscript, to tax, to direct,
and to kill. De Jouvenel clearly explains why Power increases in spite of
the supposed constraints the people can effect through their institutions:
By all means let the people be an absolute sovereign in the hour of
choosing its representatives, for in that way the representatives hold from
it unlimited authority. But when it has conferred on them this authority,
its
role is finished and it is of no further importance: it is now the subject,
and
only the assembly [legislature] is sovereign. Only the assembly is
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the place where the general will is formed, and consultation with the people
is no more than a species of cookery. . . . The members of society are
citizens for a day and subjects for four years.
On Power shows de Jouvenel perceiving
these eventualities with seasoned logic. He also predicts their increase, as
does Alexis de Tocqueville in Democracy
in America (Chapter 8), but in a slightly different manner that
seems more and more accurate with each passing decade. De Jouvenel uses the
philosophical meanderings of Hobbes, Spinoza, Kant, and most effectively,
Rousseau, along with the reflections of other less well-known theorists, to
explain the conundrum of the sovereignty of the people versus the Power of
the assembly. In this manner he explains that even the supposed protections
written "in stone" are not very sturdy.
Earlier philosophers had claimed that when the
people voluntarily gave Power to a ruler-whether an individual or a
council-they gave it unreservedly. Locke disagreed, contending that people
reserve their personal rights, rights established through natural law. When
formulating the American Constitution the Framers recognized these natural
rights, which were then codified in the Bill of Rights by the first
Congress-supposedly protecting them in this form in perpetuity. The problems
inherent in the formulations of the earlier philosophers were thus allegedly
solved; Americans gave over to an assembly (Congress) the right to order
their society in its myriad and ever-changing configurations while
protecting individual rights by embracing them in the impregnable
Constitution. It is a nice compromise, if it works. However, Plato
understood how man's nature undermined such expedients from their inception.
He contends that
good is one thing in nature and another in law; that in regard to justice,
absolutely nothing is just by[in] nature, but that men, always divided in
feeling about it as they are, are for ever making fresh arrangements in
regard to the same objects.
By way of example, if we believe the Bill of
Rights is intact, try to express free speech by buying a campaign ad the day
before an election; or enjoy the free exercise of religion in an educational
venue; or appreciate the right of free association by defining membership in
a private organization; or experience the right to bear arms by buying
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a
weapon for your own protection; or find comfort in the sanctity of private
property by resisting the state's taking of your home by means of eminent
domain for some other person's private economic purpose. All of these things
are supposedly guaranteed rights in the Constitution. But the
guarantees have been watered down or simply trivialized to the point of
uselessness. Jefferson's sanctified written constitution, intended to
protect us from the mischief of men, has failed to do just that. It is the
violation of this precept through nothing more than the accretion of power
and institutions vested in the political class that de Jouvenel writes
about.
Recognizing that modern Power is not as pretty as
it should be (were it to effect modesty and self-control), de Jouvenel sees
its underlying shabbiness cleverly disguised by an almost sacrosanct
five-step process of circular reasoning. This is another law of politics and
governance; the law of contradiction:
1. The people naively ascribe superhuman characteristics and expectations
to their elected representatives-characteristics such as honesty, integrity,
wisdom, impartial intelligence and judgment, and, supposedly, a vow of
poverty-simply because they vote for them.
2. Since the people cannot watch the governors all the time (they have
their own lives to live) the government becomes freer to do as it wills. In
a smaller setting governors would be subject to greater scrutiny. (The
accretion of power by default is the negative effect of centralization.)
3. When things do go wrong (from any personal or even general point of
view) the people feel ignorant-for they have not paid attention-and
individually helpless. So they lie down in the face of (mostly distant)
Power. (Whatever meager information the people do have, gleaned via the
media, they have learned to distrust. According to a June 2007 Gallup Poll
only 22% of the public has confidence in newspaper reporting, while
television's reliability rating is at 23%.)
4. When taking action the governors do not understand the true will of
the people, often not even what has been reserved in the Constitution, for
they too are ignorant of all that must be known. When not forced to pay
attention they will avoid doing so and thus they simply act out their own
will-believing that they have
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no better measure in such a confusing world.
At this point the "government" takes on a life of its own and, as
Rousseau notes, there arises even an esprit de corps among the
representatives that breeds first confidence, and then arrogance.
5. The people are largely politically and particularly economically
illiterate and despite the fact that the government has done some
terrible thing they feel that their representative has not, for two
reasons: (1) he could not do such a thing because he is a demigod and we
believe in him; or (2) he said that he did not do such-and-such, or admitted
that he did so but only out of necessity as it was the only possible
thing that could be done under the circumstances to protect the people. And
we believe him then as well, because we have elected him and he is sincere,
and we send him back to do more to us because of consideration 1. above.
Circle complete.
If it be thought that such philosophical and real-world conjectures are
limited to ancient European and modern American thinkers, consider the
intellectual wanderings of Libyan Muammar Gadaffi, a boy and man who has
lived in a tent in the desert most of his life, who has limited schooling
but a sharp eye and keen sense of humanity and power, and who took over as
ruler of his African nation at age 27,
In Western democracies the electoral system separates those who govern
from the people they represent. [I]mmediately after winning their votes
[the governor] himself usurps the [people's] sovereignty and acts instead
of them. The prevailing traditional democracy endows the member of
parliament with a sacredness and immunity denied to other individual
members of the people.
Gadaffi: The Desert Mystic, by George Tremlett, p. 211 (1993)
It is the sacredness and immunity that defines the disconnection between
the governors and the people. But both characteristics are merely a
convenience for the people, created out of whole cloth, so they have to take
neither responsibility nor action.
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The Citizen
De Jouvenel's solution? Essentially the same as Alexis de Tocqueville's and
Jefferson's and Madison's and most of the rest of the authors presented
here: question authority, limit power, deny centralization, remove political
opportunity from those elected and confine them to the precepts of the
written Constitution-be aware and diligent. We must individually review the
five-step process to see where we can involve ourselves. We must not be awed
or cowed by those in the place of Power. Our governors are only people, with
the same desires and weaknesses and strengths that we possess. If we are
their partners, not their subjects, essentially sound government can be
achieved. The five-step process can be broken into manageable pieces and
sound reasoning and principle can prevail over the intentions of Power.
But it takes time and attention. If the government
"runs" ten percent of our lives then ten percent of our time and
effort might collectively be spent to effect a government in which we can
believe. These are not impossible requests of a polity that benefits so much
from something so simple as the U.S. Constitution. It is important for the
electorate not to be daunted by public responsibility or at least civic
involvement. These things do not have to be done individually; groups can be
joined or formed; communication and action are not so difficult that we
cannot express our beliefs to those in power in useful enough form to ensure
what we have achieved is what we keep. It takes intentional action-as we
have so often witnessed in the works in First Principles.
Today we can see the results of what de Jouvenel
contends is inevitable in modern representative governance. These ends have
been reached primarily because of our inaction and inattention. As Edmund
Burke noted more than two hundred years ago:
All that is necessary for the triumph of evil is that good men do nothing.
In America it certainly cannot be said that we do nothing but it can be
seen that we do not do enough or that what we do accomplish is often not
relevant to the issues at hand. As de Jouvenel notes, the entire population
cannot exercise the general will, irrespective of the fact that it still
belongs to the citizenry; it must devolve onto someone or some group that
then has Power. Once Power is delegated it can be lost, save
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in extremis,
a rare condition (war, fiscal bankruptcy, political corruption) when the
people have the opportunity and obligation to rise to meet whatever
challenge faces them. However, when extreme times are extant the governors
often find it convenient to assert that they are the only ones
competent to act (they will fight the war, they will fix the tax and spend
syndrome, they will legislate ethics codes that will reign-in the venal
within their own ranks). Thus the myth of the omnipotent governors is born.
The observation that the
problems we face will usually not be solved by the minds of those who
created them is seen, by those in power, as mere ignorance, or
stubbornness. Of course, the
ignorance and inadequacy and
subservience of the people become necessary corollaries to
the continuation in power of the governors. De Jouvenel's
conclusion
that popular sovereignty may give birth to a more formidable despotism
than divine sovereignty
seems almost inescapable. It leads to only one additional conclusion:
vigilance is the only protection for, and the prime obligation of,
the citizen. Therein lies our liberation-if we only can grasp it.
De Jouvenel explores an additional concept that
developed early in the evolution of democracy and complemented the citizen's
need to exercise vigilance. This notion surfaces several times in the
history of governance and is just as repeatedly forgotten: democracy's
initial purpose was not to establish popular sovereignty-that is, to
pro-actively select a ruler or leader-but rather, to delegate to the
people's representatives the obligation to resist the power of the
sovereign. This was irrespective of whether the sovereign was an individual
or an assembly, a president or an emperor.
Thus de Jouvenel observes that the original
parliamentary function was a negative one, best exemplified in the Roman
Tribunate, which could only arrest the action of the Senate and the Consuls
in the name of the people. It was essential that "the people were
defended by those who did not aspire to become masters." We see this
negative democratic function philosophically expressed by Thomas Paine in Common
Sense (Chapter 2) as American independence was being established. It
can be utilized again to reverse the course of Power. Intentional action
grounded in common understandings of how our government must function can
serve to remove from Power those who no longer deserve our trust or even our
confidence. The threat of removal from office, of the loss of an election,
focuses everyone's attention on what is
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missing from the governing equation.
It does this far more effectively than pointing out the philosophical or
actual failure of a politician's tenure in office and thereby attempting to
change his course solely through the force of intellect.
De Jouvenel, in observing modern political
foundations, explains that the way constitutional government is undermined
is not "to deny representation, which the people would defend; it is to
absorb representation in[to] government," into Power. This has been
particularly prevalent in the Western democracies over the past hundred
years or so. The all-important result is that in "achieving"
popular sovereignty (with the concomitant right of the governors to rule
once the votes are cast) we have eliminated any place to stand in order to
resist Power. Modern democrats would contend that the electoral franchise is
one such protection and that the Constitution is a second. But a review of
American electoral history vis-à-vis U.S. legislative, judicial, and
administrative actions denies that such safeguards are effective if the
people are not adamant.
De Jouvenel's point is made more directly as he
notes that both the U.S. Supreme Court and the Congress have chipped away at
constitutional protections and in a convoluted manner have determined that
there are things that must be done to protect society irrespective of
the Constitution (a single example: restricting speech in political
campaigns-perhaps the most essential freedom needed for the citizen to
protect himself. It is not without reason free speech is addressed in the
First Amendment.). De Jouvenel contends that, in essence, society has become
more important than the citizens who comprise it. This evolution is the
antithesis of Lord Acton's
conclusion in Essays in
the History of Liberty (Chapter 9) that individual "Liberty is
not a means to a higher political end, it is itself the highest political
end."
The Courts
Utilizing de Jouvenel's comprehensions to dissect the modern democratic
state during the last half century we find that the U.S.
court system, in particular the Supreme Court, drifted toward a concept of
citizen equality that is supposedly more meaningful and more fundamental
than individual rights. It has devolved in this fashion because citizen
equality is more emotionally satisfying in the short run (more politically
correct)-but more socially devastating in the long run-than individuality or
individualism. Power's arrogance has thus metastasized from the legislature
to the courts. Since judicial
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sovereignty in nearly all countries is not
subject in any practical manner to electoral restraint or review (in the
U.S. federal judges serve for life), judicial arrogance and judicial
activism can become entrenched. However, judicial activism is a two-way
street.
James Madison declaimed as the Constitution's
ratification was being debated that it was the obligation of the judiciary
to stand as "an impenetrable bulwark against every assumption of power
in the legislative or executive." Today courts can too often
appropriate to themselves, in their decrees, the function of shadow
legislature (such as ordering school busing or coercing taxation or tax
distribution for one or another social purpose). As Madison noted, what our
court system was designed to do was truncate the reach of overweening
legislatures and elected executives and unelected bureaucrats, not find ways
to get around the constrictions of government's limits founded in the
Constitution. An activist court that does the former is the protection the
Founders built into the system of checks and balances; an activist court
that does the latter oversteps its bounds and undermines the individual and
common protections that were intended to be inviolable. The
difference between making law from the bench—evolutionary or “living”
law—and traditional law—making sure law doesn’t get made from the
bench--is stark. The judicial
branch’s power is the most difficult to control because there is no direct
appeal from its decisions. This
fact is both how and why the judicial system becomes politicized, and
everyone is worse off in the long run.
To Americans it may seem that de Jouvenel's
analysis mocks the U.S. Constitution, which divides the powers of government
among separately chosen branches. But his intention is not to ridicule the
document, it is only to describe its application in the face of Power, in
the face of the human condition. There is unquestioned value in the
separation of powers and de Jouvenel himself observes that L'Enfant designed
the city of Washington, D.C. by locating the White House and the Capitol on
opposing hilltops thus signifying the healthy rivalry between our
"king" and our "parliament." Yet America, as noted in
the court/Constitution conflict described above, has hardly avoided the
dangers that exercised de Jouvenel.
One of the strongest barriers against a monopoly of
Power at the center has been almost entirely eliminated over time; that is
the competing Power of the fifty individual states to which (along with the
people themselves), by means of the Tenth Amendment to the Constitution, all
Power not specifically delegated to the national government is reserved. The
undermining of the rights of the states, and the people, has been achieved
via a judicial activism that ultimately insists on the value and validity of
increased centralization. This is achieved by means of the tools available
in Article 1, Section 8 of the Constitution-the commerce, general welfare
and necessary and proper clauses. The
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courts interpret these phrases with an
eye toward uniformity (which is a code word for centralization) and expand
government's Power by claiming the right to decide any issue with even the
thinnest veneer of national interest.
The three
clauses found in Article I, Section 8, along with the concept of “implied
powers” enunciated in the Supreme Court’s decision in McCulloch vs. Maryland (1819) are important legal/political concepts
that need to be thoroughly understood in order to comprehend how we arrived
at the current state of governance in the
U.S.
The following brief
definitions/explanations should be a helpful starting place.
These
clauses were intended to be guidelines for the legislative implementation of
the direct grants of federal authority, commonly called enumerated powers,
found in the Constitution. The
guidelines were the Founder’s recognition that they could not see the
future, thus they offered a further grant of legislative authority to
address things that could not be imagined in 1787.
They were attempting to ensure there was enough leeway in the
operational “rules” to allow the government and private sector to work
in tandem.
In a very
general manner, the three clauses address the following circumstances:
The
commerce clause allows the federal government to regulate commerce among the
states so that states do not arrive at confrontation in their dealings with
one another that affords no manner of resolution.
Problems arose when federal authority was legislatively expanded to
encompass anything that touched interstate commerce, no matter how tenuous
the connection. This expansion
was validated via judicial interpretation and now allows the national
government to control virtually all commerce in the country.
This was the beginning of federal one-size-fits-all authority.
The
necessary and proper clause allows for laws that facilitate the federal
government’s obligations where specific Constitutional grants of power are
concerned. Congress can pass
laws that are necessary to implement those specific powers.
The
general welfare clause allows for laws that affect the general welfare of
the nation—not the individuals within it, who were to retain control over
their own lives. The general
welfare of the nation is enhanced by construction of roads and bridges, by
having a strong military to defend ourselves, etc.
These elements benefit everyone.
However, the general welfare clause is used in the modern era to turn
government’s power on its head. The
words “general welfare,” that
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formerly referred to a population-wide effect
or circumstance, now are claimed to apply to the welfare of individuals
generally, which benefits are then claimed to help the nation’s general
welfare. This interpretation,
pure circular reasoning, did not exist in 1787 and was not intended.
The
fourth element that guides legislation is the doctrine of implied powers,
which is not mentioned in the Constitution but is a judicial interpretation
that allows Congress to exercise authority that is “necessarily” implied
by the specific grants of power in the Constitution.
This concept expanded the authority of Congress to pass laws that
were not only necessary and proper in relation to enumerated powers, but
that were detailed and specific and expanded the range of topics about which
Congress might inquire and then act. Most
of these investigations and laws only tenuously spring from the
Constitution’s direct grants of authority but they offer virtually
unlimited leeway to Congress to legislate about anything that strikes its
fancy, or slakes the thirst of any special interest group.
Two of the most vocal, and
antagonistic, of the founders took opposite sides in this debate.
Thomas Jefferson argued that the Constitution gave Congress authority
only to enact measures necessary to implement the document’s enumerated
powers; Alexander Hamilton contended that the clauses empowered Congress to
adopt any measure having a natural relationship to the subjects at hand.
Chief Justice John Marshall, in McCulloch,
pronounced that implied Congressional powers were mandatory by the nature
and the language of the Constitution:
Let the end be legitimate, let it be
within the scope of the constitution, and all means which are appropriate,
which are plainly adapted to that end, which are not prohibited, but
consistent with the letter and spirit of the constitution, are
constitutional.
Thereby the doctrine of implied powers became firmly
established as a main source of federal authority.
With this ruling the quintessential
American political game began. Many
books have been written regarding the overall constitutional and specific
legislative ramifications of a broad interpretation of the meaning and use
of the clauses in Article I, Section 8 and the implied powers doctrine.
Suffice to say that these tools have been used for good and ill, but
most often we find they have served as levers to constrain
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individual
liberty by expanding government authority.
Yet, from the perspective of the twenty-first century, as we
investigate what government should and should not do, one must also consider
what the
United States
might look like if at least some of this broad authority was not at hand to
deal with unforeseen problems and opportunities.
This was
Hamilton
’s point.
The corruption of Congressional
obligations by special interests that spawn targeted legislation was a
natural consequence of the McCulloch
decision. This was
Jefferson
’s point. The deference to
Congressional designs the Supreme Court showed in the twentieth century
violated the Court’s mandate as enunciated by
Madison
—to keep the Congress and president from exceeding their authority as laid
out in the Constitution. As
history demonstrates, ultimately
Hamilton
wins the argument—whether by default or design doesn’t matter.
However, in the twenty-first century putting the genie back in the
bottle, at least to some degree, is more possible than previously thought.
Widespread knowledge promulgated through the Internet and media, and
dire consequences that are impending and obvious from past Congressional
misadventures, may combine to reign in government—at all levels.
These possibilities are for the next generations to contemplate,
perhaps even enjoy.
The Division of Power
The idea of refashioning the different American constituencies into
something akin to a disciplined parliamentary system (a system with a single
legislative body where the opposition cannot block action, they can only
call for elections to oust the governors with whom they disagree)-because we
need to "get things done"-has been the goal of progressive
tradition since the presidency of Woodrow Wilson (1912-1920). But this
desire, which obviously can cut in favor of either liberals or
conservatives, Democrats or Republicans, has brought forth an opposite
desire in the citizenry: the late twentieth-century public preference for
divided government-where one party controls the presidency while the other
controls one or both houses of Congress and all are thought to be less
potent. Unfortunately this idea nicely demonstrates a widespread
misunderstanding of the preconditions of freedom in a constitutional
republic. The populace may profess a desire for bifurcated Power because
they feel less will happen-to them-if those in office have to compromise on
myriad goals. The reality is that
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citizen freedom and independence from
government are as unprotected in this circumstance as they are when Power is
concentrated.
De Jouvenel points out two truths: first, a
government of political opposites does not work effectively to limit itself
because Power is its own master. The citizen's Power-effected at the ballot
box-is only a small part of the equation. The reserve of power found in the
hands of administrators and bureaucrats and the judiciary is the more
important stumbling block to citizen control of government, thus the failure
of theoretically impeccable constitutional measures to work well in practice
even when Power is divided becomes apparent.
Second, de Jouvenel notes that when Power is
threatened with stasis or impotence it morphs with one final twist of
irony-it acts in concert. This is so for the reason observed earlier: those
in Power have as their first goal their retention in office. If either
faction cannot impose what they profess is in the public's interest (in
their effort to claim the mantle of the people's champion) they act
collectively-out of self-interest. Sound legislation and policy often come
to the fore in this circumstance (various reforms of Social Security, of the
welfare system, and of the tax system have all come about within the
confines of divided government) and the confidence of Power waxes ever
larger. Those in Power see themselves as having done even more good because
they acted in a bipartisan fashion; this evidence that they effected the
true general will causes them to think even better of what they've achieved;
the greater likelihood of their reelection causes them to smile even more
widely. The question always remains: was the citizenry protected or enabled
or was it merely mollified?
Vigilance
De Jouvenel's particularly dark view of human social development in the
arena of governance is troubling in most of its implications but inherently
accurate, thus it is difficult to simply dismiss him as a pessimist. It is
easier and more grounded in our experience to accept his views as realistic
while we try to protect ourselves from sanctimonious and zealous officials.
Social change in de Jouvenel's view, as Power accumulates at higher levels
in more concentrated form, is ultimately destined to arrive at the (very
politically correct) welfare state that germinated when socialism was
thought viable.
Human beings are afraid of neither laws nor
inequality-as long as opportunity is equal; they have proven
themselves willing to accept
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the real world because so long as opportunity
is sacrosanct in all venues (including the opportunity to change, even
reverse, government when it becomes oppressive) then the populace feels
secure. But the governors who have evolved find the
populace too weak or too selfish or too ignorant for such freedom. In this
circumstance the individual is lost and "the people" are found.
De Jouvenel believes that attempts at equality of
condition are doomed to failure in a free society because of the
possibilities of the human spirit-because of what people can imagine. The
failure first manifests itself socially, then economically. The attempts at
equality of condition are equally doomed in an authoritarian society because
of the opposite side of that same human spirit-what people will tolerate
before they rebel. This does not, however, stop the governors from trying
ever harder (even in the face of practicality and reality) to achieve
equalitarian success. They dream that if we do just this one
additional thing, pass this one additional law, give slightly more power to
this one administrative agency, society will obtain a more perfect and
impartial equality-thus government grows. De Jouvenel sees but a single
beacon to light the path of true freedom-citizen action as the sole
antidote to Power. The question for de Jouvenel as for all the rest of us is
this: will that understanding find the people at the ballot box or the
barricade?
Freedom-crushing dreamers ultimately believe that
the state can do no wrong if it is nothing other than ourselves, in other
words, that we are actually represented by those whom we elect to operate
government. However, the philosophical goal of such an elected state has
become the protection of society, not the individual, by means of a spurious
guardianship. In either case, the harm to the individual is no longer a
consideration, for individuality has ceased to exist as a governing concept.
The state must decide what is correct for the society. This is denoted as a
political correctness, arbitrated by those expressing, supposedly, the
general will. The circle is again complete.
U.S. legislators routinely speak of the will of the
American people; what the people will or will not tolerate and the specifics
of the public largesse to which the public is "entitled." These
fabulous assertions allow the real Power of government to be masked in
sleight-of-hand and anonymity. The legislator contends: "I did only
what the people demanded." But in fact, the legislator made the choice
and implemented the action-the general will did not. He did this, as often
as not, for his own electoral purposes (note how many pieces of legisla-
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tion
offer the names of Congressmen and Senators in their titles: the Smith Act
to Protect…, the Jones Law for Reform…). The claim that government's
acts are an expression of the general will is how legislators and executives
justify their Power or their tyranny. These methods have not changed since
the time of the Romans. De Jouvenel turns to Rousseau for succor to deal
with life's (and government's) real difficulty:
Putting law over man is a political problem comparable to that of squaring
the circle in geometry . . . until you have solved it, be sure that instead
of
enthroning laws, as you imagine, you are really enthroning men.
[Emphasis by de Jouvenel]
This gloomy perspective takes only modest solace from the electoral
franchise, still held by the populace, and still recalled as the weapon of
the people. It is sometimes used as it must be, as in the elections of
Margaret Thatcher in England in 1979 and Ronald Reagan in America in 1980.
But even these forceful personalities, each of whom had and took the
opportunity to effect significant change, were unable to materially reduce
the mass infusion of government into our daily lives. A smothering effect on
the populace is yet in evidence.
As becomes clear from the construction of his
arguments, de Jouvenel recognizes that the foundation of the political claim
to power in the modern era is a declaration of an intent to do good. But the
intention to do good completely misses the point, for good deeds are solely
in the eye and mind of the beholder. Liberty is ultimately the only
important goal because from liberty will flow a resolution of the
ever-changing ideas of good. For example, is it more worthy to give a man a
fish or to teach him to fish? Is it more worthy for government to foster
dependency or instill self-sufficiency? One is certainly easier, and equally
as certainly more expensive in both economic and human terms. Which
represents that elusive "good" for which we are looking? For de
Jouvenel, liberty's essence
lies in our will not being subject to other human wills . . . . [it] is not
our
more or less illusory participation in the absolute sovereignty of the
social whole over the parts; it is, rather, the direct, immediate, and
concrete sovereignty of man over himself . . . .
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De Jouvenel holds that the citizen's illusory
participation in the application of Power through the electoral franchise
has skewed our understanding of the essence of liberty. He wonders how and
why this occurred:
How had the democratization of government become more precious than
liberty itself?
How was it that the encouragement of government, through idealistic
caprice and political egoism, led to more encroachments on liberty than any
king ever dreamed of? How have we become so inured to Power that we have
twisted the concept of our individual liberty to not being a right,
but a grant from Power?
De Jouvenel finds his answer in the nature of Power
itself not just in our own individual failure of action or will. The factors
leading to our dilemma are each logical-our desire for individual freedom
juxtaposed with an emotional inclination toward social good-but not always
rational. Each step of the politician's course seems but the next stage from
the last, it is pretty much as simple as that. First principles have simply
been forgotten, ignored, devalued, and/or sidestepped by the governors, and
human nature has been eliminated as a consideration in governing. At this
point politicians, while acting for factions or even in grand ignorance, do
not just assume perfect administration in effecting governance, but
insist on its certainty. In this manner they claim the individual is
protected by the government, which is the opposite of experience. This is
not just a copy of the idealism of the Enlightenment and the French
Revolution (if a solution to mankind's misery can be thought of all that is
necessary is its implementation) but its twin.
The ever-more centralized modern state causes
perhaps the greatest harm. (On the issue of how citizens are turned into
subjects by the destruction of community and the centralization of
authority, refer again to Alexis de Tocqueville's Democracy
in America and Richard Cornuelle's Reclaiming
the American Dream [Chapter 30].) The creation of a monolithic
therapeutic state lends credence to the idea that government's politicians
and bureaucrats will do everything more perfectly for us poor individuals
than we can do for ourselves. Our representatives (elected or not), whom we
never asked to nurture us, sustain a nanny state through their
exercise of the general will. The
therapeutic state has grown from its modest origins, when it sought to
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help
only those who actually could not help themselves, into a monstrosity that
helps all of us because it insists it must. It has the Power that we have
bestowed upon it. As de Jouvenel notes,
[O]nce Power is based on the sovereignty of all, the distrust [of Power]
comes to seem unreasonable and vigilance pointless; and the limits set
on authority no longer get defended.
Liberty vs. Security
There is one additional factor behind the evolution of Power-and de Jouvenel
observed its universality half a century before America and the world began
to directly suffer the effects of global terrorism based on Islamic
fanaticism. This human need is for security, which many individuals
mistakenly consider to be far more crucial than liberty. Liberty's
objectively more pressing imperative becomes intellectually and emotionally
elusive where security does not exist. Humanity forgets that liberty must
first be established before security is possible. When security is achieved,
to whatever greater or lesser extent, then liberty, paradoxically, becomes
lost in equal measure because to achieve security one must trade individual
autonomy. But even understanding the priority of liberty does not make
limiting the governors any easier.
There probably are no political or even
philosophical limits to what government thinks it can offer, or what the
populace increasingly thinks it should receive in terms of protection. As
James Madison observed when commenting on how much power government needed,
logically there can be no limit to the power of government if it is
to do its job in attempting to deliver security (illusory as this fruit of
statism must be). The government must be given power commensurate with the
obligations placed on it. With this logic we can perceive how the people
trend toward security and the state toward omnipotence. The result for the
citizen becomes obvious-he is turned into a subject.
De Jouvenel's case against more government "is
an argument for not letting necessity, the tyrant's plea, have all its own
way" (John Milton, Paradise Lost). Given any thought can we deny
the proposition that the burgeoning effect of government is to deny us our
humanity by creating a society founded on an illusion of equality and
security? Regrettably, those "in Power" do deny this truth
because they fail to recognize (or is it accept?) that life is inherently
uneven and unequal-wherein lies
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its beauty, not its failure. While aiming to
give security and equality to everyone by forcibly constraining our
individual freedom those suffused with the conceit of Power destroy the very
differences, incentives, and impetuses that are the essence of human
existence.
About the Author
Bertrand de Jouvenel has been termed "the least famous of the great
political thinkers of the twentieth century," but his fame, or lack of
it, may be inversely proportional to the value of his insights. He was
raised in a prosperous literary family who were intensely political and of
ancient French aristocratic lineage on his paternal side. His father was the
French ambassador to the League of Nations after World War I and was elected
to the French senate; his mother presided over an important salon with a
particular interest in France's relations with Czechoslovakia. Born in 1903
in France, de Jouvenel was strongly affected by the rise of Adolf Hitler's
National Socialist Party, the Nazis, and the world war that followed as a
result thereof.
Although de Jouvenel graduated from the Sorbonne in
law and mathematics his career soon gravitated toward economic and political
commentary. His interest in the United States led him to write La Crise
du Capitalisme Americain (1933) [The Crisis of American Capitalism],
one of the first interpretations of the Great Depression. At the time he
favored a strong role for the state in economic matters.
De Jouvenel worked as a journalist specializing in
international affairs for much of the 1930s. He gained worldwide renown for
his 1935 interview with Adolf Hitler. After the outbreak of World War II de
Jouvenel joined the French resistance but was forced to take refuge in
Switzerland. There he prepared his most famous work, Du Pouvoir: Histoire
Naturelle de sa Croissance (1945) [On Power: The Natural History of
Its Growth], a harsh critique of the modern state's authority. De
Jouvenel built upon this historically oriented and profoundly philosophical
treatise with several other books over the succeeding decades.
De Jouvenel taught at the University of Paris and
was a frequent visiting professor at British and American universities. He
worked tirelessly to acquaint the French elite with Anglo-American economic
thought and practices; he was the author of scores of scholarly articles and
books on these subjects. De Jouvenel died in 1987.
Available through:
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