Article IV of the U.S. Constitution: Federalism and Citizenship

This article provides a guided tour of the U.S. Constitution, proceeding in textual order. It covers the Preamble and Articles I, II, and III, before delving into Article IV, which primarily focuses on interstate relations and the concept of federalism.

Review of Previous Articles

The journey through the Constitution began with the Preamble, which establishes that "We the People of the United States" ordained and established the Constitution to ensure common defense and secure liberty for themselves and their posterity. This act of continental democracy and free speech was unprecedented and significantly altered world history.

Next, Article I was discussed, focusing on the legislative branch and the new Congress, which, while borrowing its name from the old Congress, possessed considerably altered powers and structure. Legislative powers are vested in this Congress.

Article II then introduced the executive power, vested in a president. This new office was designed to be more powerful than a state governor but less dangerous than an English monarch.

Finally, Article III addressed the judiciary, vesting judicial power in judges. This branch is considered the "least" among the three federal government branches in terms of its initial scope.

The Constitution's Organization and Interconnectedness

The Constitution is remarkably well-organized. It begins with the Preamble, followed by a clear separation of powers into distinct articles: Article I for the legislature, Article II for the executive, and Article III for the judiciary. This structure was designed to be understandable even by an ordinary farmer 225 years ago, contrasting with the more jumbled Articles of Confederation.

Despite this clear organization, the branches of government are not entirely isolated. Powers often overlap and interact. For instance:

• Veto Power: Mentioned in Article I as part of the law-making process, but it is a power exercised by the President, who is central to Article II.
• Presidential Impeachment: A limit on presidential power (Article II), but the impeachment process is vested in the legislature (Article I). The House of Representatives indicts, and the Senate tries the president.
• Judicial Impeachment: Involves limitations on judicial power (Article III) but is also an Article I issue, as the House indicts and the Senate tries the case, acting as a court of sorts.

This interconnectedness highlights the system of checks and balances, where no single branch can be fully understood without considering its interactions with the others. Each of these three articles begins with a "vesting clause," granting legislative, executive, and judicial power to their respective branches.

Article IV: Relations Between the States and Beyond

Article IV of the Constitution primarily addresses relations between the states, a concept often referred to as "horizontal federalism." While "vertical federalism" describes the relationship between state governments and the central federal government (where the federal government is supreme within its powers), horizontal federalism focuses on the relationship among sister states. Both are interconnected within the constitutional framework.

Article IV brings states to the forefront, but it also acknowledges parts of the United States that are not states, such as territories and the national seat (Washington D.C.). It explores how truly united the states are, both horizontally and vertically, and reminds us that the U.S. encompasses more than just states.

Recurring Themes in Article IV

Several major themes observed throughout the Constitution reappear in Article IV:

• Democracy and Self-Government (Republicanism): The importance of popular sovereignty and self-rule.
• Slavery and Race: The persistent issue of slavery and race, which has been a recurring theme since the question of "who are 'We the People'?" in the Preamble. Article IV directly addresses this by considering who counts as a citizen.
• National Security, Geography, and Geostrategy: The strategic importance of geographical distribution, as seen in the establishment of lower federal courts across the country, distinct from the Supreme Court in the national capital. This geographic consideration even influenced interpretations like Marbury v. Madison.

Historical Context: Benjamin Franklin's "Join or Die"

The discussion of Article IV is contextualized by examining Benjamin Franklin's "Join or Die" cartoon from 1754, considered the first political cartoon. Franklin, a continentalist, advocated for greater union among the British colonies in North America long before the American Revolution.

The colonies were initially distinct entities, settled at different times by diverse demographic groups and for various purposes (business, monarchy, religious dissent). They were connected to the British Crown but not strongly to each other, resembling a wheel with spokes to a central hub (the King) but lacking a strong rim connecting the colonies.

In 1754, at the Albany Congress, Franklin proposed a plan for intercolonial regulation, continental defense, and a unified council under British supervision. However, both colonial legislatures (unwilling to cede power) and Britain (fearing a unified front) rejected the idea.

From Franklin's Vision to the Articles of Confederation and the Constitution

Despite its initial failure, Franklin's "wheel with a rim" concept became a model for the Articles of Confederation after the colonies declared independence in 1776. The newly independent states needed a mechanism to coordinate military strategy, defense, and foreign policy.

Article IV of the Articles of Confederation, building on Franklin's ideas, included provisions that would later influence Article IV of the U.S. Constitution. A key concept was the idea of interstate privileges and immunities, allowing people to travel and relocate between states without being treated as aliens. This promoted free ingress and egress and ensured that citizens of one state were treated as insiders in another. This principle is analogous to free mobility within the European Union today.

Key Changes in Article IV of the U.S. Constitution

The U.S. Constitution's Article IV made significant improvements over the Articles of Confederation:

• Elimination of "Paupers, Vagabonds, and Fugitives from Justice" Exception: The Articles of Confederation allowed states to exclude the poor. Article IV of the Constitution removed this language, ensuring that individuals like a penniless Ben Franklin could not be barred from entering another state. This was a democratic and egalitarian reform.
• Improved Wording and Clarity: The Constitution's Article IV is better worded and less confused than its predecessor.
• Centralized Naturalization: Article IV clarified that the power to naturalize foreigners (make them American citizens) rests with the central government, not individual states.

The Question of Citizenship and Race

A critical question arising from Article IV is the definition of a citizen, particularly concerning free Black people. The Constitution itself does not explicitly define citizenship. While the Constitution requires the president and members of Congress to be citizens, it doesn't specify what that means.

The best reading of the Constitution suggests that free Black people could be citizens if their home state recognized their citizenship. Free Black individuals fought in the American Revolution and voted in several states at the founding. Notably, Article IV does not use the word "white," despite South Carolina's desire for its inclusion. Massachusetts, for example, rejected a state constitution in 1778 that included racial qualifications, indicating an aversion to race tests in some areas.

However, this interpretation was challenged in the 1850s. In the 1857 Dred Scott case, the pro-Southern Supreme Court, led by Chief Justice Roger Taney, declared that free Black people could never be citizens of the United States, regardless of their birth or state recognition. Taney asserted that individuals of African descent could never be entitled to the privileges and immunities of U.S. citizens. This ruling is widely considered a mistaken reading of the Constitution and was a significant factor leading to the Civil War.

The next lecture will further explore the themes of race and slavery in Article IV and how these issues ultimately contributed to the failure of the early Constitution in the 1860s.