This lecture was first delivered at Hillsdale College in 2016. It is the first of a set of two lectures, the second being “American Foreign Policy Today.”
The word ‘policy’ comes from the same Greek root as ‘politics.’ Politics means the way in which a people rule and are ruled. The way we rule and are ruled depends upon the political regime under which we live. So for example, if we live under a tyranny we won’t be ‘doing’ much ruling, but we will have a lot of ruling being done to us.
Political regimes have four dimensions:
1. The persons who rule. One, few, or many? Good or bad? In the United States, “We the People” rule, albeit through our elected representatives. Thus we have a republic or representative government, but a democratic republic in the sense that almost all adult citizens can vote and hold office.
2. The institutions, structures, or forms by which the rulers rule. Separated and balanced powers, for example.
3. The way of life, the habits of mind and heart, of the people who rule and are ruled. In the Bible, God’s regime is His “way.” The American “way” includes freedom of worship and of speech, and freedom of commerce. American is a commercial republic.
4. The purpose or purposes of the political community. The purpose of the Iranian regime is to advance the practice of Shi’a Islam, with the intention of hastening the advent of the Hidden Imam. The purpose of the Soviet Union was to advance socialism, form the new ‘Soviet Man,’ and eventually establish worldwide communism. The purpose of the American regime, as stated in the Declaration of Independence, is to secure our natural rights to life, liberty, and the pursuit of happiness.
These four dimensions combine to shape a certain ethos or character in the citizens or subjects of the regime. Policy or the planned action of a political community does or should follow from the character of its regime. This goes for foreign policy as well as domestic policy. When a given policy—slavery, for example—contradicts the principles of our regime, debate will arise. If sufficiently serious, the dispute might even culminate in civil war, or, if a foreign policy, international war.
But when considering foreign policy, there are two more considerations to keep in mind. The phrase ‘foreign policy’ implies that there is ‘us’ and there is ‘them’—insiders and outsiders, citizens and non-citizens. This in turn implies that the world’s human population finds itself divided among discrete if sometimes related populations, each in some significant degree independent of the others—self-ruling or sovereign. To maintain their sovereignty, a people will need to achieve a certain size and also a certain degree of governmental centralization—enough in both instances to defend itself against the many ‘thems’ out there. So we need to classify political communities not only in terms of their regimes but in terms of size and centralization. I’ll call that category ‘the state.’ There are several kinds of ‘states’:
- The ancient polis or city-state, a small and highly centralized self-governing community. In it, the regime can readily ‘reach into’ nearly every aspect of a family’s life; this makes the question of the character of the regime of a given polis highly ‘interesting’ to its citizens, and very often a matter of intense controversy among them.
- The ancient empire, huge and decentralized. In it, the regime could not rule its sprawling domain so minutely as in a polis, instead contenting itself with exacting tribute from its possessions in the form of supplies, slaves, and soldiers. The political sociologist Michael Mann has compared the modern Austro-Hungarian Empire to a protection racket, which is exactly how the empires of antiquity ran their domains.
- The feudal state, large and decentralized. It usually had a king or queen, but this person was only ‘first among equals.’ Other rulers included landed aristocrats, the Catholic Church, and the larger cities. Each of these rulers enjoyed their own sources of soldiers and revenues, independent of the others, including the monarch. If this were a liquid, chemists would call it a colloidal suspension; more-or-less self-ruling globules of power float in a changing but usually stable equilibrium.
- The modern state, large and centralized. In it, no matter what its regime, we see a powerful capital city which extends its governing tentacles throughout the community to its borders. These ‘tentacles’ are the bureaucracies. Typically, the bureaucrats who staff these governing agencies are loyal not so much to the persons in charge of the regime but to their functions within the bureaucracies. In a modern state, a bureaucrat/administrator/civil servant rules impersonally, thinking of his or her functions as scientific/rationalist in character.
As things worked out, #4 defeated #3, more or less every time. The modern state raised revenues and organized military and police forces more effectively than feudal states did. Once the modern state was introduced, its rulers could dominate neighboring feudal states, forcing those rulers to institute their own centralized or ‘modern’ state apparatuses.
This raised a political problem for non-monarchic regimes and also for limited or ‘constitutional’ monarchies. How could they run states that were sufficiently centralized to stay independent without succumbing to over-centralization and its attendant oppressions? For the American Founders, the answer to this question led to a fifth kind of state: the federal state. Large and partly centralized (especially for foreign-policy purposes but also for commerce) and partly decentralized, leaving important powers in the hands of municipal, county, and state officials), the federal state retained a considerable degree of self-government, which comported well with the American regime of republicanism.
For the American Founders and for the generations that followed them, the questions that arose from federalism were: first, can such a state avoid or at least survive civil war? and second, can it conduct a successful foreign policy against rival states that will attempt to split it up?
The third and final source of foreign politics is what we’ve come to call ‘geopolitics.’ ‘Geo’ means ‘earth’—as in ‘geography.’ So geopolitics means the territory (topography, soils, water resources, and so on) as overlain by a given regime and state, in relation to all other such regimes and states with which it has relations. For much of human life, geopolitics has been regional. For centuries, American Indian nations and tribes had no idea that Europeans existed, and for a long time after they did know they had no idea how many Europeans there were. But today geopolitics is truly worldwide, even if—as President Vladimir Putin of Russia has reminded Ukraine and Georgia—one’s nearest neighbors often remain the most relevant ones.
Geopolitics concentrates our minds on a fact we sometimes forget in the age of the Internet, namely, the world is not flat. We do not really lie in cyberspace, although we sometimes feel as if we do. As I sit here, peacefully tapping away on a keyboard, I easily forget that I need a safe space in which to do so, complete with a network of satellites and electrified wires, along with the scientific, manufacturing, and commercial networks that have invented, marketed, and delivered the computer and its keyboard for me and to me in the first place. We still live in a world where all territories are not created equal. When it comes to controlling key resources and strategic lines of communication, including military transport, the Strait of Gibraltar and Hormuz, the Panama and Suez canals, are simply more important than, say Hillsdale County. Such geopolitical ‘choke points’ will always be fought over in a way that Hillsdale County will not be.
So, when we think about the foreign policy of the American Founders, we need to think about all of these sources of their policy. Let’s start with geography and look at the map. The United States that saw the inauguration of George Washington as its first president consisted of thirteen states strung along the Atlantic coastline of the middle of the North American continent. It was bordered by regime enemies on all sides:
Amerindian nations and tribes: warrior-oligarchies, but not centralize states, some settled in one location (the ‘civilized’ tribes), some not (the ‘savage’ tribes).
The British Empire: Canada, the Caribbean, and perhaps above all ‘ruling the waves’ in the Atlantic Ocean and in much of the Caribbean. A mixed regime (consisting of a monarchy, an oligarchy [the House of Lords] and a much larger but still minority of the non-titled [the House of Commons]).
The Spanish Empire: Florida, most of the Caribbean, Mexico, and with claims along the Mississippi River. A monarchic regime and a semi-modern imperial state.
The French Empire: ‘Louisiana,’ with more power to rule it than Spain could muster. An unstable republic, then a military oligarchy, then a military despotism. Statist and imperial.
The Americans were also looking at key geopolitical points: their port; the Appalachian and Allegheny mountains, the Mississippi River flowing to New Orleans and into the Gulf of Mexico; the Hudson River, which gave British troops in Canada a straight shot to New York City and a chance to divide New England from the rest of the country.
Thus the geopolitical need of Americans was strategic depth. Americans wanted western lands not only as a place to settle their burgeoning population; they also wanted them in order to make America harder to overrun militarily.
Americans formulated several policies to satisfy this need: Indian removal and regime change; a standing army and navy to supplement local militias; commercial treaties with foreign countries. In other words, James Madison’s “extended republic,” described in the tenth Federalist, would continue to extend, at least to the lands surrounding the Mississippi River and New Orleans—a task completed with the Louisiana Purchase in 1803. Such an enlarged America would then prove difficult to conquer and desirable to trade with.
In terms of the American federal state, the principal need was union. How far could the extended republic extend? Would it be a republican empire? How could it be kept together, so that North America would not become another Europe, or even what it was under the Indians—a cockpit of war, prey for European empires playing divide-and-rule with the assistance of their Amerindian allies, both eager to contain the ever-advancing Americans?
And in terms of the American regime of democratic, commercial republicanism aimed at securing our natural right, on this point the philosopher Montesquieu had made a crucial observation known to all of the Founders. Commercial republics, Montesquieu argued, don’t fight wars with one another. To this day, it is simply a fact that commercial republics—republics defined in the American sense of representative governments elected by a very large portion of the adult population—have not fought wars with one another, although of course they have fought many wars against regimes organized around opposing moral and political principles: kingships, tyrannies, oligarchies both military and religious. This means that Americans are likely to include regime change among their several instruments of foreign policy, on the grounds that the more commercial republics there are, the fewer enemies we will have and, consequently, the more peace and prosperity we will enjoy.
These aims of strategic depth, political union, and commercial republicanism can be seen in the two most important foreign-policy documents of the founding period: The Declaration of Independence and George Washington’s Farewell Address. Between these documents we see the United States Constitution, which sets down the ruling structures whereby our foreign policy shall be conducted.
I. The Declaration of Independence
The Declaration was the first act of a truly foreign policy by the United States. The previous Continental Congresses had been congresses of colonies under the British Empire. There had been declarations of Americans’ rights as British citizens within that empire. But the Declaration of Independence makes a different kind of argument.
No document before 1776, anywhere in the world, had been called a “declaration of independence.” Since then, there have been more than 100 such declarations, as new states have emerged from old empires. But few of these have invoked natural rights as the moral foundation or justification of independence. Most such declarations assert national rights.
The great English jurist William Blackstone defined ‘declaration’ as a legal complaint made by a plaintiff in court. In diplomacy, a declaration is a formal international announcement made by an official body. and delivered by an ambassador. Taken together, these two elements mean that the American Declaration is an appeal or complaint based on the law of nations, that body of international customs and treaties governing the conduct of states with one another and with foreign peoples. the most recent and authoritative treatise on the law of nations at the time of the founding was written by the Swiss jurist Emer de Vattel. Titled The Law of Nations, its subtitle was On the principles of the laws of nature, applied to the conduct of nations and sovereigns. That is, the law of nations as understood by Vattel and his students, including the American Founders, had an extralegal criterion, namely, the laws of nature and of nature’s God.
The United States Congress had already issued a declaration of war against the British Empire on July 6, 1775, “A Declaration Setting Forth the Causes and Necessity of Taking up Arms.” But this was a declaration of civil war—as it had to be, absent independence. The 1775 Declaration was distributed in London Canada, and Jamaica—that is, within the British Empire. Not so the 1776 Declaration, which was distributed in many foreign capitals.
This leads to the second unique feature o the 1776 Declaration. It isn’t merely a series of assertions or claims It is a logical syllogism. That is, it is an argument governed by the principle of non-contradiction.
Accordingly, the Declaration follows the formula of a syllogism, beginning with the major premises of the argument (all men are created equal, endowed by their Creator with certain unalienable rights, etc.), going on to the minor premises of the syllogism (the charges against king and parliament, stating actions in contradiction to the major premises, that is, violations of the laws of nature and of nature’s God), and then reaching a conclusion: that these states are, and of right ought to be, free and independent states.
The principle of non-contradiction is the principle of human reason. Human reason or the ability to think logically is the distinctive characteristic of human nature as such. Not only do we need the capacity to reason in order to perceive and understand the laws of nature and of nature’s God, we need it to state our case to other human beings insofar as they are human—that is, insofar as they, too, reason and have the capacity to recognize those natural laws. The regime founded upon the rights of human beings as such will justify its independence by a declaration to its fellow human beings as such.
The Founders were not so naïve as to suppose that all human beings will recognize their claim. That’s why they say, “We hold these truths to be self-evident.” They don’t expect King George III to hold them self-evident, and he didn’t. They submit their logical proof to “a candid world”—meaning, the world insofar as it’s free from prejudice, from passion, ready to deliberate and to consider claims based on right, ready to follow a logical syllogism and to concur with it. This is why the Declaration can say that Americans hold all nations “Enemies in war, in Peace friends.” To make war on this regime is to make war against a regime that aims at securing the natural rights of all human beings within its jurisdiction. To maintain peace with this regime is to recognize those rights and to endorse those rights—rights which, when secured, establish in practice friendship among all human beings, the species by nature capable of reason and civility. Crucially, the Americans do not say, ‘Those who violate our natural rights are subhuman.’ They say, ‘Those who violate our rights are treating us as subhuman, and we will defend ourselves until they stop doing that.’ Our enemies may act as if they are beasts, but they are not beasts, and with the restoration of peace friendship may be restored with them.
Once the British Empire recognized American independence in 1783, European authorities on public law incorporated the Declaration into the law of nations Previous discussions of international ‘recognition’ of states had concerned individual rulers’ rights of dynastic succession. For example, Henri III of France had been assassinated in 1589; the last of the Valois line, he was replaced by Henri IV, the first king of the Bourbon line. Henri IV was duly recognized as the sovereign of France by the other European states, themselves monarchies. Now, in 1783, the law of nations also needed to include recognition of a sovereign people.
A second consequence of American independence was the promotion of similar regimes of popular sovereignty in the Americas and in changing the way of life of some of the Indian nations. In 1786, the Articles of Confederation Congress signed a treaty with the Chickasaws in upstate New York, making them a protectorate of the United States. The Chickasaws also agreed to certain legal reforms, such as foregoing the practice of “punishing the innocent under the idea of retaliation” and accepting the regulation of their trade by the United States. Several years later, George Washington’s Secretary of State, Thomas Jefferson, began working for the breakup of the Spanish and Portuguese empires in the New World. He met secretly with a Brazilian medical student named José Maio e Barballi, who carried a copy the Declaration of Independence to Brazil.
More importantly, Washington and his Secretary of War Henry Knox determined that “a system of coercion and oppression” imposed on the Indians would “stain the character of the nation” and also be far too expensive of blood and treasure. Washington wanted Army veterans to be granted some of the unsettled lands in the west, partly as payment to them for their services during the war and also, as Washington said, to have a population there “always ready and willing (in cases of hostility) to combat the Savages, and to check their incursions.” The Indians, he said, should be given a fair price for the land “to induce them to relinquish our Territories, and to remove into the illimitable regions of the West.”
Meanwhile, the Brits took their time in turning over western lands to the U. S. and in evacuating their numerous forts. They also encouraged the Indians to harass American settlers; that is, they practiced a ‘containment’ strategy in North America after the war was over.
Washington and Knox formulated a policy of regime change regarding those Indian tribes which did not choose to move out. Knox wrote, “How different would be the sensation of a philosophic mind to reflect that instead of exterminating a part of the human race by our modes of population that we had persevered through all difficulties and at last imparted our knowledge of cultivating and the arts, to the Aboriginals of the country by which the source of future life and happiness had been preserved and extended. But it has been conceived to be impracticable to civilize the Indians of North America. This opinion is probably more convenient than just.”
In his third annual message to Congress, Washington said, “Commerce with them should be promoted under regulations tending to secure an equitable deportment towards them, and such rational experiments should be made, for imparting to them the blessings of civilization as may, from time to time, suit their condition.”
For this reason, Article XIV of the 1791 Treaty with the Cherokee said: “That the Cherokee nation may be led to a greater degree of civilization and to become herdsmen and cultivators, instead of remaining in the state of hunters, the United States will from time to time furnish gratuitously the said nation with useful implements of husbandry, and further to assist the said nation in so desirable a pursuit, and at the same time to establish a certain mode of communication, the United States will send such, and so many persons to reside in said nation as they may judge proper, not exceeding four in number, who shall qualify themselves to act as interpreters.”
This policy aimed at altering the Chickasaw and Cherokee regimes insignificant ways but only so far as the current condition of those nations would make feasible. Policy as distinguished from principle is contingent, a matter of prudential reasoning and not of theoretical reasoning, which is the kind of reasoning that (for example) discovers natural right. Regime change has remained one important instrument of U. S. foreign policy since independence, but, as with all such instruments, its application must be governed by both natural right and by prudence.
II. The United States Constitution
With independence, American sovereignty—including the power to provide for the common defense and all other foreign-policy powers—went ‘from’ the King of England—the ‘defender of the realm’—to the American people But how would the American people allocate those powers in order to exercise their natural right to self-government, including self-defense, under the laws of nature and of nature’s God? Our first constitution, the Articles of Confederation, proved inadequate to the task. Under it, all national powers—legislative, executive, and judicial—were lodged in one branch of government, the Congress. Most of the legislative powers actually remained in the states. One or more of the states might embroil the others in a war without their consent. Congress was charged with foreign-policy decision making but lacked the legislative power to make the United States sufficiently united, and therefore credible, in international politics—giving it no power to regulate or tax foreign commerce. Further, Congress had no power to protect U. S. rights under the law of nations; Congress could only recommend that the states pass laws to do so. There was no way to frame and implement a coherent foreign policy. Hence the need for what the Preamble to the 1787 Constitution calls “a more perfection Union” to (among other things) “provide for the common defense.”
Under the new Constitution, Congress received the powers to legislate regarding foreign policy: to collect duties and imposts; provide for the common defense; regulate commerce with foreign nations and the “Indian tribes;” and to “define and punish piracies committed on the high seas, and offenses against the laws of nations.” Also among the legislative powers were the power to declare war, grant letters of marque and reprisal—that is, to authorize the use of privateers—and of course to raise and support armies and a navy and to regulate those services. States were not allowed to do most of those things, although they retained the right to raise militias.
The executive branch received the power to command the army, the navy, and the militia of the United States; the president also has the power to negotiate treaties with the advice and consent of the Senate and to appoint ambassadors under those same constraints. The treaty power had been enunciated by John Locke; it is what he calls the “foederative” power; foedus in Latin means “treaty.”
For its part, the Supreme Court has original jurisdiction in all cases concerning ambassadors and consuls. Cases involving treaties, maritime disputes, cases involving alleged treason, and the like go to the federal judiciary, with the Supreme Court receiving appellate jurisdiction. Treason itself is defined narrowly: levying war against the United States, or adhering to our enemies, “giving them aid and comfort”—serving as a guide to an invading force, for example.
One of the most important features of the new Constitution—overlooked by many commentators, but indispensable to understanding American foreign policies as they intersect with the American regime—may be seen in Article IV, sections 3 and 4, which govern the admission of new states into the Union. “New states may be admitted into this Union,” but only if they have “a Republican form of Government.” We admit them as equals—two senators, and representatives apportion according to the population—but only as equal republics. James Madison and Gouverneur Morris both observed that insofar as a state was controlled by slave-owners it was an aristocracy, not a republic—a point that would turn out to make a difference that eventuated in civil war. But this also had implications for America as an empire. Jefferson called American an empire, but “an empire of liberty.” Previous empires had founded colonies, such as the British colonies in North America, which were subordinate to the central imperial power. But American territories were from the beginning acquired in order to be made into equal states—as befits a regime and an empire founded upon the principle, “All men are created equal.” In addition, the Northwest Ordinance, passed by Congress in the same year the Constitution was framed, stipulated that American citizens in the territory were to be educated in public schools, readied for participation in American civic life at such time as the several parts of the Northwest Territory were sufficiently populous to warrant accession to statehood.
John Locke had justified imperialism under certain conditions. Locke argued that God gave the world to men in common not only for self-preservation but for “the Support and Comfort of their Being.” The right to property derives from this common gift. To survive in nature, each person takes what he needs; this act of taking, this labor, makes what we take our property. No one needs the consent of another to appropriate natural objects needed for survival, for the sustenance of the life to which we have a right. Having “mixed his labor” with nature, man adds to nature; the common possession of nature is of no use to real human beings if they as individuals do not undertake this appropriation. You can eat my lunch, but not on my behalf. Thus the Indian who kills a deer owns that deer. By nature, such appropriation is limited to one’s own use; no waste or destruction can be rightful.
This goes for the appropriation of land, as well. You own it if you mix your labor with it, thereby “inclos[ing] it from the Common.” No one else has just title to that land. Civilization occurs because the natural plenty that supported such free acquisition prevailed in “the first Ages of the World,” but subsequent population increase required civil laws governing and protecting the property so acquired. Such laws allow the increase of the value of the property. Man as such is “the great foundation of property”; it is better to have a large population than a large territory because human labor is more valuable than the land it works; “of the products of the Earth useful to the Life of man 9/10 are the effects of Labor.” He that “incloses Land” has “a greater plenty from the conveniences of life from ten acres, than he could have from an hundred left to Nature, [and] may truly be said, to give ninety acres to Mankind.”
This is why “the great art of government” is to employ “established laws of liberty to secure protection and encouragement to the honest industry of mankind.” That is, natural right can be secured and enhanced by conventional or positive right. What is more, thanks to the invention of money—a thing that exists by civilizing convention or human law, not nature—human beings can engage in extensive commerce without the risk of spoilage, inasmuch as money, for which perishable goods can be exchanged, doesn’t spoil and isn’t hard to carry. In Locke’s estimation, by establishing civil property rights for English settlers and guarding them by absolute monarchic rule over the Indian tribes and nations (which had a sense of territory but not of property), the British Empire advanced human prosperity and liberty. The settlers objected when the king started to treat them like Indians.
Locke concludes that land rightly belongs to the industrious and rational, not the idle. This is the basis of the right to conquer nomadic and hunting peoples. American Indians, he writes, “are rich in Land, and poor in all the Comforts of Life” because they unknowingly leave vast tracts of land in a condition of relative waste, thus depriving mankind of the best use of that land. They are rather like the aristocratic idlers of Europe—a point Tocqueville would not, more than a century later.
Thus the American “empire of liberty” had two foundations: one was the political and Constitutional/legal foundation of conquering territories in order to elevate them to equal status as states of the Union; the other was the civilizational/economic foundation of the cultivation of land for the use of settled families. Both of these foundations had a moral foundation, namely, securing natural rights.
From this we see that American foreign policy from 1776 to today has been anti-imperialist in the sense that it denies the right of any person or people to subordinate another people perpetually. This doesn’t preclude conquest, if such conquest occurs as the result of a just war and aims at either incorporating the conquered territory into the United States as a state or raising it to the status of an independent but friendly state. A friendly state is likely to be a fellow commercial republic although not necessarily; this depends upon the condition of the people conquered and the disposition of the regime in place toward the United State. The exact territorial limit of the American empire would prove controversial, as would the policy of regime change as the result of victory in war. But if the Founders’ way of understanding moral and political life is correct, these become matters of prudence, not principle.
In the next lecture I will turn to the closest thing to a comprehensive statement of the foreign policy of the American Founders: George Washington’s Farewell Address. I will then conclude with remarks on the continuities and changes we have seen in our foreign policy, especially since our imperial project essentially ended in 1890.
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