The Words We Live By
by
Linda R. Monk
Part I: The 1789 Constitution of the United States
Page Contents
FUTURECASTS online magazine
www.futurecasts.com
Vol. 7, No. 4, 4/1/05.
Introduction
"Government must be administered
by men," James Madison famously pointed out, "and men are not
angels." For free peoples, popular suffrage is the primary control over
government,
"but experience has taught mankind the necessity of auxiliary
precautions." & |
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"We must never forget that it is a constitution that we are expounding."
The Constitution provides the broad outlines of government power. |
The nature of the Constitution of the
United States was
summed up by John Marshall, the most prominent of the early U.S. Supreme Court
Chief Justices. "We must never forget that it is a constitution that
we are expounding." It is not a legal civil code concerned with every small
detail, but instead provides the broad outlines of government power. This is the
source of the strength and endurance of the Constitution. It realistically
leaves to future generations the interpretation of its provisions and their
proper application to ever-changing circumstances. |
Laws, courts and the Constitution itself mean nothing if the people themselves are not determined to live by the words and support the rule of law.
The Constitution is a bluntly pragmatic document reflecting the practical requirements of self government. It reflects not only democratic aspirations, but also profound skepticism of democracy. |
The Constitution is not self enforcing, Monk emphasizes right from the beginning. As Judge Learned Hand pointed out, laws, courts and the Constitution itself mean nothing if the people themselves are not determined to live by the words and support the rule of law.
The Constitution was not an overnight
wonder. It was "the culmination of more than 150 years of practical
experience with self-government in America." It was also the result of the
failures of the Articles of Confederation (hereinafter referred to as "the
Articles") under which the new nation was initially governed. It is thus a
bluntly pragmatic document reflecting the practical requirements of self
government. It reflects not only democratic aspirations, but also profound skepticism
of democracy. |
Constitutional limitations and protections were required "for those situations where representative government cannot be trusted." |
The task was to provide a national
government with sufficient power to govern, but in a framework that would
inhibit the inevitable abuses of power. Constitutional limitations and
protections were required "for those situations where representative
government cannot be trusted." |
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The finished Constitution was submitted for ratification by conventions of the people in each state rather than by the state legislatures. It was admittedly imperfect, and thus contained a provision for amendment by supermajority votes that deterred capricious alteration but permitted any changes that could earn broad public support.
Constitutional government is a never-ending work-in-progress - a grand experiment. See, Monk, "The Words We Live By," Part II, "Amendments to the Constitution." |
The Preamble
The broad goals of the Constitution
are initially set forth in a section now called "The Preamble." & |
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These goals are:
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It is the governing authorities that are limited to the powers granted by the people, and the purpose of those powers is exclusively for the benefit of the people. |
Above all, by its initial words - "We the
People" - the Constitution makes clear that all sovereign power resides
in the people - that government has only those powers granted to it by the
people. & Thus different from most other experiments in democracy, liberty in the U.S. is inherent in the people. It is not something granted from above by monarchs or courts or legislatures or other governing authorities. Indeed, it is the governing authorities that are limited to the powers granted by the people, and the purpose of those powers is exclusively for the benefit of the people. & |
Of course, the identity of "the People" in those days was restricted to white males. The author explains this as due to the attitudes of the times.
As Benjamin Franklin noted, the Constitution inevitably was limited by the prejudices, passions, errors of opinion, local interests and selfish views of the men gathered at the Convention and broadly held by the public at that time. He doubted that "any Convention we can obtain" could at that time do better.
The goals stated in the Preamble are not an independent source of rights. This has been made clear by interpretative decisions of the Supreme Court. |
Article I: The Legislative Branch
The framers expected that Congress would be
the most prominent of the three branches of government, and thus dealt with
its powers and limitations in the greatest detail, Monk points out. & |
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Equal representation in the Senate for all states and recognition of slavery were compromises essential for the ratification of the Constitution. |
Article one includes the two major compromises essential
for the formation of the union. The first is equal representation for all states
in the Senate - insisted upon by the smaller states. The second is the
recognition of slavery and the counting of slaves as three-fifths of a person
for purposes of apportioning Representatives. Without this, the southern states
- and many of the "border" states as well - would never have ratified
the Constitution. |
Congress is divided into two chambers - the
House of Representative (hereinafter referred to as "the House"), and the
Senate. The two separate chambers serve as a further check on legislative power. & The members of the House reflect popular interests. Membership is apportioned to each state according to its population, with each state having at least one representative. Election is for just two year terms, so members must be constantly aware of constituent concerns. & Senators reflect State interests. Each State has two Senators elected for staggered six year terms. & |
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The provision for equal representation by state in the Senate is the one provision that cannot be amended. |
In the original Constitution, slaves were counted as
three fifths of a "free person" for purposes of apportioning House
representation, and Senators were chosen by State legislatures rather than by
popular vote. Suffrage was determined by state law, but Amendments subsequently
established national standards regarding race, gender, age, and property
requirements. Monk relates some of the varying requirements that existed prior
to these Amendments.
American Indians living on reservations were considered
citizens of separate sovereign entities. They were neither taxed nor counted as
U.S. citizens, until this status was changed in 1924 by Amendment. The
"Indian Wars" ended in 1890 with the massacre at Wounded Knee, South
Dakota. They are now dual citizens of the United States and of their tribe. |
Gerrymandering practices enable politicians to choose their voters and prevents voters from choosing their politicians. |
Age, residence and citizenship qualifications for
Congressmen are set
forth, as well as the limited tie-breaking powers of the Vice President as
President of the Senate. There have, in fact, been several occasions when Vice
Presidents have cast tie-breaking votes on controversial legislation. |
Unlimited debate permitted in the Senate - the "filibuster" - has been used to block legislation. There is a "cloture" rule that permits debate to be closed by a supermajority vote currently established at 60 percent. |
Both chambers are granted powers over their own
procedures and for the resolution of disputes over the election of members.
Congress has ultimate authority over election procedures, but state law governs
where Congress has not acted. Both chambers may expel "disorderly"
members by two-thirds supermajority vote. However, they cannot refuse to seat a
duly elected member who meets the Constitutional requirements.
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Although nowhere mentioned in the Constitution, legislative committees perform almost all legislative work.
As part of the separation of powers, the simultaneous holding of a Congressional seat and an executive or judicial office is forbidden. |
The
legislative powers of the two chambers, the President's veto powers, and the legislative power to
override vetoes by supermajority votes of two-thirds of both chambers are also
provided in Article I. Although nowhere mentioned in the Constitution,
legislative committees perform almost all legislative work. Congress can also
conduct investigations as an inherent part of its legislative authority. |
Constitutional Amendments do not have to be approved by the President before being sent to the states for ratification. |
Both chambers must pass identical bills to send to
the President. Differences are ironed out in conference committees and then
resubmitted for approval in both chambers. Revenue bills must originate in the
House - the chamber closest to the people and whose members are most frequently
subject to elections. However, the Senate is free to amend revenue bills.
Appropriations for government expenditures and bills that create fines may originate in either chamber. |
Removal from office is the only penalty. All officials are nevertheless subject to the criminal laws. |
The House has power of Impeachment - the Senate has jurisdiction to try impeachments. Conviction in the Senate requires a two-thirds supermajority vote of Senators present. The trial is not a judicial proceeding - although the Chief Justice of the Supreme Court presides over trials of impeached Presidents. Otherwise, the Vice President presides. The Senate establishes the rules of procedure. Monk briefly explains current procedure:
Two Presidents have been impeached: Andrew Johnson in
1868, and Bill Clinton in 1998. Both were acquitted in the Senate. Richard Nixon
resigned in 1974 just before he would have been impeached. |
Congress has the "enumerated powers" granted in the Constitution, plus "implied powers" which can be inferred from the enumerated powers. |
Section 8 lists specific powers granted to Congress. Congress
has the "enumerated powers" granted in the Constitution, plus
"implied powers" which can be inferred from the enumerated powers.
Monk cites the power to draft people into the armed services inferred from the
enumerated power of raising an army. |
The primary powers provided in Section 8 are those of debt payment, provision "for the common defense and general welfare," and taxation - which must be uniform throughout the nation. Congress is also granted power to:
These legislative powers are then extended to "all
Laws which shall be necessary and proper" for their execution and the
execution of all other powers of the national government. |
The courts no longer inquire into the motives for passing tax laws. |
Under the Articles, Congress lacked the power of the
purse. It had to request funds from the states. The Constitution provided
Congress with limited powers for raising revenues. These were greatly expanded
by the Sixteenth Amendment which authorized income taxes. Supreme Court
interpretation has viewed these powers broadly. |
Today, anything that in any way impacts interstate commerce can be regulated by the federal government under its Commerce Clause powers. |
Under the Articles, Congress had no power to regulate
commerce. The states readily succumbed to protectionist impulses, leading to
a fragmentation of the nation's economic market. One of the primary driving
forces behind the Constitution was the need to prevent such costly foolishness, so
Congress was given unlimited power to regulate interstate commerce.
Today, Commerce Clause powers support federal wages and
hours legislation and the 1964 Civil Rights Act forbidding racial discrimination
in privately owned public accommodations. However, recently, the Supreme Court
has indicated that there are still some limitations to this power. It struck
down Commerce Clause legislation establishing gun-free school zones and the
Violence Against Women's Act as not sufficiently pertinent to interstate
commerce. |
Citizenship was not defined until the Fourteenth
Amendment in 1868. The first federal law restricting immigration was the 1882
Chinese Exclusion Act. Recently, the Supreme Court has ruled that immigrants -
both legal and illegal - are protected by the Due Process Clause of the Fifth
Amendment. Deportable immigrants cannot be held indefinitely if they cannot be
returned to their home country. & |
Under the Articles, both the States and Congress could
coin money and issue currency. This caused substantial financial
uncertainty. The power to coin money was extended to paper money
in the "Legal Tender Cases" in 1871. These are the exclusive
prerogatives of Congress under the Constitution.
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The Necessary and Proper Clause provides the source of the federal government's implied powers. The actual extent of implied powers continues to generate hotly contested disputes and litigation. Most federal criminal law is based on this clause. |
Under the Articles, only the states could raise armies
and recruit forces for the Continental Army. The War Powers Clauses provides authority for the
raising of national military forces. It also provides authority for the seizure
of the assets of enemy aliens, and the regulation of the wartime economy. This
authority continues for the duration of the wartime emergency. The Uniform Code of Military
Justice is promulgated under this authority. Some of the protections of the Bill
of Rights do not extend to military justice. |
Section 9 imposes specific limitations on the
powers of Congress. Most notably, Congress was prohibited until 1808 from
regulating immigration or the importation of slaves. Congress promptly banned
the importation of slaves in 1808, but was politically unable to restrict the domestic slave
trade. & |
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Congress was also prohibited from:
Public officials are forbidden to accept gifts from
foreign governments without permission from Congress. |
The writ of Habeas Corpus is one of the earliest civil liberties in Anglo Saxon law. It
forces the arresting authorities to show cause for the arrest. The Supreme Court
has taken a very narrow view of the power to suspend this writ.
Appropriations legislation is required before the
executive branch can spend any money. This was the requirement violated by Lt.
Col. Oliver North in the 1980s when he financed the Nicaraguan contras with
money from weapons sales to Iran. Specific appropriations legislation is needed
even for activities being conducted pursuant to statutory authorization. |
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Section 10 limits the sovereign prerogatives of the
states. It makes many Congressional powers exclusive by pertinent restraints
on state powers, and extends to the states many of the limitations on the powers
of Congress. Any regulation of interstate or international commerce by the
states without Congressional consent is forbidden, as is the maintenance of
military forces except when invaded or under immediate threat of invasion.
Interstate compacts also require Congressional approval. |
Article II: The Executive Branch
Article II vests the executive
power in the President and his appointees. & |
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The method of election provided is by "Electors." The method of election by Electors - and the Succession to the Presidency - have been modified by Amendment. See, "The Twelfth Amendment," "The Twentieth Amendment," "The Twenty-Third Amendment," and "The Twenty-Fifth Amendment" in Monk, "The Words We Live By," Part II, "Amendments to the Constitution."
Qualification for the Presidency is now limited to
natural born citizens at least 35 years of age and 14 years resident within the
United States. The President cannot receive any pay other than his federal
salary, which is a fixed sum during his Presidency. Currently, that salary is
$400,000 per year, but Congress also provides a vast expense account. |
The President is Commander in Chief of the Armed
Forces. This assures civilian control of the military. The primary executive
branch officers serve at his pleasure. He has the power to grant pardons and
reprieves except in cases of impeachment. & |
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The President has the power to conduct foreign affairs and "take care that the Laws be faithfully executed." |
With the advice and consent of the Senate by
two-thirds supermajority vote, the President can make treaties. With majority
vote of the Senate, he can appoint Ambassadors, Supreme Court Justices, and federal statutory
judges and officers. He has the power to make recess appointments to fill
vacancies, but these are limited in duration to the end of the next
Congressional session. |
There was widespread fear of creating a monarchy or tyranny.
As a result of this controversy and uncertainty, the President is merely invested with the "executive power" and a few particular powers without any effort to define the limits of executive power. The extent of that power is thus open to interminable interpretation. |
The lack of an efficient executive was a primary
weakness under the Articles. Under the Articles, the president was appointed by the Congress from
its members, and he acted as a presiding officer, not a chief executive.
Executive departments were created and civil officers were appointed by Congress
to administer them.
As a result of this controversy and uncertainty, the
President is merely invested with the "executive power" and a few
particular powers without any effort to define the limits of executive power.
The extent of that power is thus open to interminable interpretation. |
The President also has "absolute immunity from damages liability" for his official acts - but not for actions unrelated to his official conduct. |
The Supreme Court has supported the view that
there are "inherent" executive powers - especially in foreign affairs.
It has also recognized a certain degree of "executive privilege" so
the President can receive confidential communications. As Pres. Nixon found out,
however, this does not outweigh a demand for evidence in a criminal trial,
unless national security issues are involved. The President also has
"absolute immunity from damages liability" for his official acts - but
not for actions unrelated to his official conduct. & |
In times of military or economic emergency, Congress generally accords the President great autonomy - but sharply pulls it back during normal times or in cases of abuse of authority. |
The influence of the Presidency has waxed and waned.
It is neither "imperial" nor "imperiled" as some have
foolishly contended at different times. Congress has the tools to effectively
balance and even constrain the President as desired. Also, the electorate has an
effective say in the matter every two years in response to Congressional actions
or inaction.
Truman further explained:
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Alexander Hamilton was the most forceful advocate
of a strong, "energetic" Presidency. Monk sets forth his views as
presented in The Federalist Papers - newspaper articles written in support of
ratification of the Constitution. However, Hamilton was also aware of the dangers, and
thus favored a four year term that would force a President to remain accountable
to the electorate. |
The smaller states will never surrender their advantages under the current electoral college system, so efforts at abolition will remain just talk. |
The power to elect the President is vested in the
States, not in the people. The states quickly began to allow their
citizens to vote for the state's presidential electors, and today that is the
universal practice. However, in Bush v. Gore (2000), the Supreme Court affirmed
the right of the states to take back the right to choose their electors. |
Under the Twelfth Amendment, the House of
Representatives selects the President if no candidate achieves a majority of
electors' votes. However, each state delegation has just one vote when selecting
the President. Only in 1800 and 1824 has the House had the opportunity to select
the President. The Senate selects the Vice President in such cases. & |
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Political parties are not contemplated by the
Constitution, were not contemplated by the founders, and were deplored by
Washington. However, after his administration, they formed naturally to contest
elections and have become a central factor in the political system. |
Presidential powers: |
The "Take Care" clause
has been recognized by the Supreme Court as a source of sweeping Presidential
powers. To carry out the law, "the army of the nation, and all its militia,
are at the service of the nation." & |
To carry out the law, "the army of the nation, and all its militia, are at the service of the nation."
Executive orders have the force of law unless and until Congress enacts conflicting legislation, the courts overrule them as in conflict with existing law, or they are rescinded. |
Executive orders are also authorized by this
Clause. They have the force of law unless and until Congress enacts conflicting
legislation, the courts overrule them as in conflict with existing law, or they
are rescinded. Monk notes that there have been more than 15,000 executive orders
since 1789. (A large percentage of them are merely ceremonial.) |
Presidential and executive branch discretion is an important factor in how vigorously laws and programs are executed.
However, Congress can insist on executive branch action.
For example, it has by statute restricted the President's discretionary
authority to "impound" properly appropriated funds. When Congress
appropriates funds, it wants those programs executed. |
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A Presidential pardon is absolutely within his
discretion. Neither Congress nor the courts can review pardons. However, it is
illegal to give or receive a bribe in exchange for favorable treatment by the
President or any other government official. |
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The President's Cabinet is comprised of the "principle Officer" of each of the major
executive branch departments. Their
influence varies with the administrative style of each President and the Cabinet
members themselves. The bureaucracy also includes a host of independent
administrative agencies and other offices, as well as the military and intelligence
services. |
Article III: The Judicial Branch
Article III establishes a single
"supreme Court" and authorizes Congress to "ordain and
establish" inferior courts. To assure suitable independence, all Article
III judges have life tenure and a salary that cannot be reduced. & |
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Congress did not get around to creating appellate
courts until 1891. Until then, Supreme Court Justices had to ride lengthy
circuits to hear cases. (That's one way to force resignation of decrepit elderly
Justices. Unfortunately, no substitute for this mechanism has been devised.)
The dates of the Supreme Court's term are set by
Congress. It presently starts on the first Monday in October and ends in June. |
The "judicial Power" - the jurisdiction - of
the courts, the cases over which the Supreme Court has original jurisdiction,
the right to trial by jury, and the location - the venue - of proceedings, are
set forth in Section 2 of Article III.
Judicial jurisdiction is limited to "cases and controversies" by the Constitution. Hypothetical cases are prohibited. It is important that opposing parties have a personal stake in the outcome and will thoroughly advocate their positions to provide appropriate guidance to the courts. Advisory opinions are similarly prohibited.
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The Court issues writs of certiorari if any four justices accept a petition. It receives thousands of petitions, but accepts less than a hundred in any given year. The most frequently accepted petitions are those that involve conflicting decisions in the circuit courts of appeal. |
The Supreme Court's appellate jurisdiction can be
changed by Congress. Most mandatory appeals have gradually been
eliminated, permitting
the Court to concentrate on those cases that it considers most important. In the
1996 Antiterrorism and Effective Death Penalty Act, Congress restricted but did
not eliminate habeas corpus appeals in order to prevent death penalty appellate
procedure from continuing interminably. |
Treason is the only substantive law provision set
forth in Article III. It is the only crime defined in the Constitution. Reacting
to abuse of this drastic charge under the English monarchy, it is carefully
defined and strictly limited to "levying War" against the United
States, or "adhering to their enemies, giving them aid and comfort."
Punishment is strictly limited to the person and property of the perpetrator,
and cannot be extended to family or friends. |
Alexander Hamilton considered the Judiciary "the least dangerous branch" because it could not enforce its judgments and had "no influence."
Monk provides several pages dealing with the controversy over the power of "unelected judges" to "interpret the laws." She provides some useful thumbnail definitions. |
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"How are judges to apply the law in a way that is consistent with democratic self-government? How do they interpret law and not make law?"
Without grounding in text, intent, precedent, history, and established policy and principle, judges too often read their own personal preferences into the Constitution and statutory law.
Different framers and members of state ratifying conventions had varying opinions on the meaning of Constitutional provisions, and many modern issues were beyond their contemplation. |
The proper role of "unelected" judges has been one of the most controversial issues under the Constitution, Monk explains.
The author cites Justice Scalia as a "textualist" or
"originalist" "who relies on the original meaning of the words --
rather than the intent of the framers - - -." The Constitution "should
not be construed leniently: it should be construed reasonably, to contain all
that it fairly means." Scalia believes that the "evolving
document" approach gives unelected judges too much power. |
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A brief note on the importance of John Marshall, the Supreme Court's fourth Chief Justice, is included in this chapter. Marshall established the Court as an equal branch of the government. Relying on such provisions as the "Necessary and Proper Clause" of Article I, Section 8, and the history behind the writing and ratification of the Constitution, he interpreted the powers of the national government far more broadly under the Constitution than they had been under the Articles - as clearly intended by the founders. |
Article IV: The Federal System
Article IV governs
relationships among the states and between the states and the national
government. & |
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The "Full Faith and Credit" requirement binds the states to "acknowledge the validity of another state's laws even when they disagree with the outcome." |
Section 1 provides that "Full Faith and Credit
shall be given in each State to the public Acts, Records, and judicial
Proceedings of every other State." |
Citizens are free to move between the states, and engage in commerce on an equal footing throughout the nation. |
Section 2 entitles all citizens to "all
Privileges and Immunities" of citizens of the several states. This
section also provides for extradition procedures to deal with fleeing criminals
- and - another accommodation for the slave states - for the return of escaped
slaves. |
Article IV also provides for the admission of new
states, and Congressional governance of territories and federal property.
All states must have a "Republican Form of Government." In 1987,
Congress used its Article IV authority to block statehood for the District of
Columbia. |
Article V: Amendments
The procedures for
alterations to the Constitution are provided by Article V. & |
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Providing a meaningful amendment process was
viewed as essential in order to add the Bill of Rights as promised by the
Federalists who supported ratification. Amendments
under the Articles had to be by unanimous state approval - and there were none.
None of the framers considered the Constitution as perfect or beyond
improvement. |
There has been no definitive ruling on whether a state may subsequently rescind a ratification decision, but it seems probable that a state may subsequently approve an amendment previously rejected.
The framers were concerned that the Constitution be open to change, but not subject to the whim of a simple majority like an ordinary law. |
Proposed amendments take affect when ratified by a
supermajority of three fourths of the states - either by their legislatures or
by state ratifying conventions, as determined by Congress. Only the Twenty First
Amendment repealing Prohibition used the state ratifying convention method.
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Some of the scholarly rationalizations for getting
around the difficulties of Article V amendment procedures are summarized by
Monk. She also notes the belief that the Supreme Court decisions and major
events like the Civil Wars and the Great Depression have already forced informal
changes in the Constitution without acquiescence of "We The People." |
Article VI: The Supreme Law of the Land
The Constitution, and the laws and treaties
of the United States, are the "supreme Law of the Land." They bind
all state judges and other officials regardless of conflicting state constitutional
and statutory law. & |
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The Supreme Court has ruled that the treaty making power under the Constitution can be broader than the lawmaking power of Congress.
All federal and state officials are "bound by oath or affirmation to support this Constitution." |
Article VI also assures creditors of the national government under the Articles that their claims will remain valid under the Constitution. Ultimately, Alexander Hamilton decided that the national government should assume the war debts of the states.
The Supreme Court has ruled that the treaty making power
under the Constitution can be broader than the lawmaking power of Congress.
Thus, the Senate could ratify a treaty with Great Britain regulating the hunting
of migratory birds even though the full Congress had no authority to pass it as
legislation. |
Article VII: Ratification.
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Copyright © 2005 Dan Blatt