2.

The Federalist: the world’s seminal

source on federalism
Troy E. Smith and Ryan D. Nelson

EXPLANATION OF THE FEDERALIST

The Federalist papers, written in 1787–88, remain the seminal source on

modern federalism – still widely read, cited, and translated into many
languages.
The Federalist is a sophisticated work of political theory on free, republican,
and federal government. It was written to clarify the meaning of important pro-
visions in the proposed Constitution of the United States, including federalism,
the separation of powers, checks and balances, republicanism, representation,
and how, contrary to popular beliefs at the time, a geographically large
federal republic could protect liberty and promote the public good. Thus, The
Federalist is widely regarded as the authoritative statement on the intentions of
the US Constitution’s framers, and its ideas are at the core of civic culture and
essential to civics education in the United States. Since the 1780s, however,
the political theories underlying The Federalist have garnered worldwide
attention.
The Federalist was conceived by Alexander Hamilton shortly after the 1787
Constitutional Convention in Philadelphia as a series of newspaper articles
to persuade New Yorkers to support the proposed US Constitution and elect
pro-Constitution delegates to the state’s ratifying convention. Opposition
to the Constitution in New York and some other states was strong. To help
him, Hamilton enlisted fellow New Yorker, John Jay, and Virginian, James
Madison. Jay got sick and wrote only five essays, while Hamilton and Madison
published an essay every three to four days. Over seven months, the three
wrote 85 essays. Those newspaper articles (and a few others) were later assem-
bled and published in two volumes titled The Federalist.
They published their articles under the pseudonym Publius, probably refer-
ring to Publius Valerius Publicola, who, according to Plutarch’s Lives, helped
found the Roman republic and defended it several times from tyranny. Publius

14

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 The Federalist: the world’s seminal source on federalism 15

seems intended to suggest the authors were patriots and republicans dedicated
to individual liberty and the public good (Kincaid n.d.).
The Federalist was considered by many of the founding generation as one
of the best explications of the Constitution (Dietze 1960, 4–7; Rossiter 1961,
vii). The Federalist has been disparaged as political propaganda and marred
by inconsistency, but its remarkably consistent and comprehensive account of
the Constitution, complex arguments, insight, and thoughtfulness have stood
the test of time.
The Federalist explains why the Constitution’s free, republican, and federal
system of government better protects liberty for posterity than the Articles
of Confederation or other confederal forms of government. Republican
government is government by elected representatives whose objective is the
common or public good. Federal government was a unique creation of the US
Constitution that divides political power and responsibility between regional
(or state) governments, each supreme in its own sphere of power, and a general
(or national) government, itself divided into three branches. Together, repub-
lican federal governance is a means to achieve free government, limited by
a written constitution and the rule of law, that ensures the safety and security
of the nation from external and internal threats and protects individual rights,
liberties, and property.
Because many Americans questioned the viability of this untested form of
government, The Federalist sought to build public understanding and support
for a shift from confederation to federation. Federalism, Publius argued, is
a governmental system that divides power between the national and state gov-
ernments in a manner preventing one plane of government from dominating
the other, providing general unity and broad diversity. The Constitution’s
federal system does this by, first, creating a national union united by a general
idea of a national government’s nature and purpose, and endowed with suf-
ficient express powers to protect against foreign aggression and domestic
insurrections and to regulate interstate and foreign commerce. Second, fed-
eralism provides an important check against the abuse of political power by
both national and regional actors by creating separate governments (national
and state) that can push against each other. Historically, small, homogenous
republics could be captured by dangerous factions, but Publius recognized
the potential for such capture of a national government. Finally, federalism
allows the states to exercise self-governing discretion on issues that mainly
affect them. The intended result is shared government and self-government,
and unity and diversity as envisioned by the nation’s motto e pluribus unum
(from the many, one).

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16 Teaching federalism: multidimensional approaches

REASONS TO STUDY THE FEDERALIST

There are at least four good reasons to study The Federalist. First, it is
a significant work of political philosophy that explains the principles of free,
republican, and federal government. For example, The Federalist explains the
meaning and rationale of the division of powers and responsibilities between
a national government and constituent regional governments. It also explains
the structural protections against national power by separating powers among
the two houses of Congress, the judiciary, and the executive. Though The
Federalist is a great source for learning about the theory, structure, concepts,
and principles of America’s system of government that collectively seek, as
stated in the Constitution’s preamble, ‘to form a more perfect Union’, facets of
those theories and principles have universal applicability.
Second, The Federalist is one of the most cited texts by the US Supreme
Court. It has been cited directly in more than 350 cases and by justices on
all sides of the judicial spectrum. Citations to The Federalist by the justices
began in the 1820s and have increased in the modern era (Corley, Howard, and
Nixon 2005, 332). In a well-known case on the division of powers between
national and state governments, for example, the majority and dissenting
opinions debated Publius’s intent and understanding of federalism (Printz v.
United States, 521 US 898 (1997)). Other US courts also cite The Federalist,
especially the US Courts of Appeals and state supreme courts. Those who wish
to understand American government and judicial decisions, and to participate
in those debates, should have a good understanding of The Federalist.
Third, The Federalist is an excellent source for studying argumentation and
good writing. The textbook Classical Rhetoric for the Modern Student recom-
mends studying Federalist #10 because it ‘epitomizes the clear, eloquent style
and the compelling logic with which Hamilton, Madison, and Jay argued their
case’ (Corbett and Connors 1999, 215). For example, in that essay, Publius
wrote,

Liberty is to faction what air is to fire, an ailment without which it instantly expires.
But it could not be less folly to abolish liberty, which is essential to political life,
because it nourishes faction, than it would be to wish the annihilation of air, which
is essential to animal life, because it imparts to fire its destructive agency. (Cooke
1961, 58)

In two sentences, Madison provided a clear, coherent, concise, and powerful

defense of individual liberty.
Finally, the value of The Federalist extends to people around the world who
have used its ideas to create federal systems and foster liberty and democ-
racy, adapted to local circumstances. Worldwide interest in federalism and

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 The Federalist: the world’s seminal source on federalism 17

The Federalist increased after the Berlin Wall fell in 1989, and while many
federations created after 1788 follow the American model, not all do so. The
Federalist provides important principles for establishing free government. For
example, many authoritarian regimes’ written constitutions provide expansive,
yet empty guarantees of freedom, because the words of a written constitution
carry little significance without structural protections and proper application.
In contrast, the US Constitution’s federal system creates a ‘double security’ of
structural protections to guarantee freedom by dividing governmental powers
between national and state governments and then again within those govern-
ments (see Federalist #51).

HOW THE FEDERALIST FITS INTO FEDERALISM

RESEARCH AND STUDY

The Federalist employs a ‘new science of politics’ that seeks to achieve

popular government in a pluralistic civil society, while preventing the dangers
of popular government (such as majority tyranny). The means to accomplish
this is a ‘compound republic’ that combines national and federal elements
into an extended republic. Although the concept of separating powers within
the national government was much older than the new nation, the division of
powers in a federation, rather than confederation, with a national government
able to tax and legislate for individuals was unprecedented in theory and
practice.
As the basis for this new science, The Federalist has been a core source
for research and study. US Supreme Court Chief Justice John Marshall wrote
that The Federalist ‘is a complete commentary on our Constitution, and it is
appealed to by all parties in the questions to which that instrument gave birth’
(Cohens v. Virginia, 19 US (6 Wheat.) 624 (1821)). During the second half of
the nineteenth century, attention to The Federalist waned, but it revived at the
beginning of the twentieth century with the advent of modern political science.
Scholarly and popular interest in The Federalist increased to the point when,
in 1961, four modern US editions of The Federalist were published: Cooke
(which most scholars regard as the most authoritative), Rossiter (the most
popular), Wright, and Fairfield (abridged edition).
As scholars have sought to understand various aspects of federal systems,
they have returned to The Federalist for answers or ideas. The Federalist is
often a starting point for the study of comparative federalism. Wheare cites
The Federalist multiple times in Federal Government (1980), as do Elazar’s
Exploring Federalism (1987), Hueglin and Fenna’s Comparative Federalism
(2015), and Burgess’s Comparative Federalism (2006).

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18 Teaching federalism: multidimensional approaches

LEARNING OBJECTIVES

The following learning objectives would fit a course using The Federalist to
study federalism. First, explain the problems the American federal system of
government sought to mitigate or correct, and compare those problems to one’s
own country or other countries. Fulfilling this objective requires understanding
the historical context that influenced the American Revolution and informed
the debates over whether the Articles of Confederation could be reformed or
needed to be replaced by a different form of government. Many of the first 40
Federalist essays focus on this issue.
Second, explain how the American framers’ federal union sought to con-
tribute to ‘a more perfect Union’. This requires distinguishing between and
explaining the purposes of confederation and federation; the constitutional
components that are national and those that are federal; the institutions and
processes of a ‘compound republic’; how federalism checks the dangers of
democracy without undermining popular government, including electoral
systems that favor places over persons (e.g., the electoral college and electing
senators via state legislatures) (see Vermeule 2011); and how Publius thought
disputes between the general and state governments should be resolved to
foster public support for the Constitution (compare Federalist #17 and #39).
In short, students should explain how the United States federal system’s insti-
tutions and processes contribute to both shared rule between the general and
state governments and self-rule within each state. Outside the United States,
The Federalist’s ideas can help students reflect on the political circumstances
and prospects of their own country.
Finally, improving students’ critical reading, thinking, and writing skills can
be accomplished with thoughtful analysis of The Federalist. The Federalist is
a real-time response to a controversial debate during the American founding
era that is an excellent example of persuasive advocacy.

HOW TO STRUCTURE AND TEACH THE FEDERALIST

Ideas for teaching The Federalist can be found in Patrick (1988). How the
course is structured will differ depending on whether The Federalist is taught
as part of a general-electives program, political science major, or graduate
course.

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 The Federalist: the world’s seminal source on federalism 19

Undergraduates, especially those in a general-electives course, might need

some encouragement to study The Federalist. Some class time, therefore,
should be dedicated to making this case. A few ways to do this are:

• Present plaudits for The Federalist from George Washington, Thomas

Jefferson, Justice Joseph Story and Chief Justice John Marshall, Chancellor
James Kent, and others (see Dietze 1960, 1–7).
• Introduce Hamilton, Madison, and Jay as real people with real challenges.
For example, showing the song ‘Alexander Hamilton’ by Lin-Manuel
Miranda builds empathy with Hamilton’s struggles and gives hope
that struggles also bring success (https://​www​.youtube​.com/​watch​?v​=​
KXcGV8Gl​_kg).
• Be clear that reading The Federalist will challenge students but dedicating
effort to The Federalist improves their ability to read, understand, and
write complex ideas.
• Explain how The Federalist foreshadows many modern-day political
debates in society, such as the tyranny of a majority over a minority,
structural protections of liberty, factious parties and interest groups, and
intergovernmental cooperation.
• Encourage students to raise questions and discuss insights they find in
reading The Federalist to motivate them to read carefully.

Not all 85 Federalist essays need to be taught, nor need they follow numerical
order. Teachers should formulate an order and structure that works for their
purposes. Below are essays from The Federalist that are most relevant to
federalism:

• Federalist #1: Introduces The Federalist and the important question of

whether countries are able to establish good government from reflection
and choice or are dependent on accident and force.
• Federalist #4–8: Key benefits of a federal union are safety and security
against foreign threats, domestic insurrections, and wars between the states.
• Federalist #10: How the Constitution and state governments mitigate the
problems of factions in a republic.
• Federalist #15, #21–3: Problems with the Articles of Confederation.
• Federalist #17: Hamilton’s view of the purpose of federalism and how
an intergovernmental dispute can be resolved by the people through the
political process.
• Federalist #18–20: Lessons from ancient Greek, German, and Netherland
confederations on the problems and weaknesses of confederations.
• Federalist #29: Federalism as found in the states’ militias subject to regu-
lation by Congress.

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20 Teaching federalism: multidimensional approaches

• Federalist #32–3: Hamilton explains the difference between exclusive and

concurrent powers, specifically in relation to taxation, and the limits of the
‘supremacy clause’ and ‘elastic clause’.
• Federalist #37: Problems experienced by the Constitutional Convention
include how to separate powers and responsibilities between the general
and state governments.
• Federalist #39: Madison’s view of federalism, including federal aspects of
the Constitution and how intergovernmental disputes can be resolved by
the Supreme Court.
• Federalist #51: Checks and balances on government power and the role of
federalism in this system.
• Federalist #62: A compound republic allows state legislatures to choose
the state’s US senators.
• Federalist #68: Explains the electoral college as the method for selecting
the president; though it does not deal explicitly with federalism, the presi-
dential selection method ensures influence is felt from the states rather than
regions or the nation.
• Federalist #78: The Supreme Court’s authority to protect states from
federal encroachment by declaring federal laws unconstitutional.
• Federalist #84: The national government’s powers are limited, and a bill of
rights is unnecessary to prevent national tyranny.

Additional readings from the Anti-Federalists will expose students to trenchant

critiques of the Constitution, many of which are part of America’s contempo-
rary political discourse. For example, many Anti-Federalists favored a bill of
rights despite The Federalist’s argument that a bill of rights was unnecessary
because the Constitution’s structural protections provided sufficient checks
against oppressive national power. Anti-Federalists also sought to limit the
supremacy clause and the necessary and proper clause of the Constitution. By
highlighting the risks in these clauses, Anti-Federalists contributed to future
interpretations of the Constitution (Storing 1981).
Encourage students to read the essays before class and try their best to
understand them. Then, they can compare their understandings during class
discussion. In class, a version of text crawling that moves through the essay
focusing on select passages can be effective. To do this, different students are
asked to read a specific passage aloud; then the class discusses that passage’s
meaning and implications. The goal is to develop students’ critical reading
skills so they can understand the ideas and apply them to contemporary polit-
ical issues.

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 The Federalist: the world’s seminal source on federalism 21

QUESTIONS FOR CLASS DISCUSSION OR ESSAYS

1. What are the benefits and problems of federation over confederation?

2. What does Publius mean by a ‘compound republic’?
3. Can the compound republic overcome factions to produce solutions
benefitting the general good or is it merely a tool for aggregating varying
factions into shifting majorities so that no single faction could ever take
control?
4. Which elements of the Constitution are national and which are left to the
states? What was the reasoning behind placing those elements within
national or state jurisdiction?
5. Do the Constitution’s federal elements undermine democracy or foster
popular government?
6. How can a federation promote unity and diversity without creating an
imperium in imperio?
7. How did Publius think intergovernmental disputes between the national
and state governments would be resolved?
8. How does Publius envision the federal system fostering shared rule and
self-rule?

Along with the primary theme of each paper, The Federalist is filled with
multiple observations and insights, any one of which might attract student
attention and long discussions. For example, while essay #37 discusses the
challenge of dividing political authority between the general and state gov-
ernments, Madison’s reference to God at the end raises questions such as: is
Madison’s reference to God sincere or manipulative; are references to God in
political and public discussions appropriate; and would references to God in
The Federalist have been more common if it was written for citizens in states
other than New York? Teachers should encourage exploration of the ideas that
interest students, but they will also need to manage the discussion to cover the
course material.

READINGS FOR STUDENTS

Amar, Akhil (1998), The Bill of Rights: Creation and Reconstruction, New Haven, CT:
Yale University Press.
Boudreaux, P. (2004), ‘The Electoral College and its meager federalism’, Marquette
Law Review 88 (2), 195–250.
Diamond, Martin (1992), ‘The Federalist’s view of federalism’, in William A.
Schambra (ed.), As Far As Republican Principles Will Admit: Essays by Martin
Diamond, Washington, DC: AEI Press, pp. 108–43.
Kincaid, J. (n.d.), ‘Who was Publius—the real guy?’, at Federalism.org, https://​
federalism​.org/​about/​who​-was​-publius/​.

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22 Teaching federalism: multidimensional approaches

Kincaid, J. (2014), ‘The Federalist and V. Ostrom on concurrent taxation and federal-
ism’, Publius: The Journal of Federalism 44 (2), 275–97.
Ostrom, V. (1985), ‘The meaning of federalism in The Federalist: a critical examina-
tion of the Diamond theses’, Publius: The Journal of Federalism 15 (1), 1–21.
Storing, Herbert (1981), What the Anti-Federalists Were For: The Political Thought of
the Opponents of the Constitution, Chicago, IL: University of Chicago Press.
Yarbrough, J. (1985), ‘Rethinking The Federalist’s view of federalism’, Publius: The
Journal of Federalism 15 (1), 31–53.

TEST/EXAMINATION QUESTIONS

1. How does the federal system envisioned by Publius seek to overcome the
problems of the Articles of Confederation?
2. According to Publius, what is a compound republic and what are its
benefits?
3. How did Publius think intergovernmental disputes between the national
and state governments would be resolved?
4. Do institutions such as the Supreme Court, electoral college, election
of senators by state legislatures (before the 17th Amendment), and the
Constitution’s ratification by states rather than popular vote foster or harm
popular government?
5. Compare and contrast Publius’s and Anti-Federalists’ views on the proper
size of a republic and explain how that influences what system of govern-
ment each prefers.
6. Why did Publius view a bill of rights as ‘not only unnecessary’ but even
‘dangerous’?
7. Why establish multiple branches within the national government? Is the
national government’s separation of powers too separated or not enough?
Is the US separation-of-powers arrangement better or worse than a parlia-
mentary system?
8. What is the national–state division of powers in the US Constitution and
how does that compare with other federal constitutions?
9. What is the case for having the residual powers lie with the state govern-
ments rather than national government (as in Canada)?
10. Federalist #2 remarks that Americans were ‘a people descended from the
same ancestors, speaking the same language, professing the same religion,
attached to the same principles of government.’ Given the diversity in
modern America and globalism, are The Federalist’s principles still rele-
vant today?

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 The Federalist: the world’s seminal source on federalism 23

POINTS FOR EVALUATION

Assessing achievement of the course’s learning objectives can be done

through structured in-class discussions and debates, short writing assignments,
essays, and exams. In-class debates might divide students into federalists and
anti-federalists to debate questions. This might include debates on the proper
size of republican government, whether a Supreme or Constitutional Court
will be a centralizing institution, or how a bill of rights will protect or impair
individual rights and affect the constituent states’ self-rule prerogatives.
To evaluate whether students develop the ability to understand The
Federalist, short writing assignments might include reading notes, argument
diagrams, a single paragraph identifying a Federalist essay’s primary claim
and supporting evidence, or a one-page evaluation summarizing an essay’s
argument and providing a critical application to a contemporary issue.
Essays and exams can evaluate if students understand the problems with
confederation and expected benefits of federation. These evaluations should
ask students to identify the federal features found in the Constitution, how
those features were intended to improve government and union, and which
features contribute to shared rule and self-rule. This can be done by asking stu-
dents to identify whether and why a power belongs to the national or state gov-
ernments, or by explaining how a legal or political issue left to the states rather
than the national government can be better understood using The Federalist.
Advanced classes should be able to identify how Publius’s ideas differ from
how the government works today and contemporary arguments for change. For
example, why did Americans adopt the 17th Amendment changing how sena-
tors are elected? Explain why factions were thought to be problematic and how
the Constitution’s structural protections would control them. Compare and
contrast The Federalist’s argument for the Electoral College with arguments
to abolish it. Consider Publius’s argument that a federal bill of rights would be
dangerous. Do globalism and modern economies require a powerful national
government or is a federal union still beneficial? Do judges function today as
Publius thought they would?

SUGGESTIONS FOR FURTHER READING

Amar, A. R. (1993), ‘Anti-Federalists, the Federalist Papers, and the big argument for
union’, Harvard Journal of Law & Public Policy 16 (1), 111–18.
Coenen, Dan T. (2007), The Story of The Federalist: How Hamilton and Madison
Reconceived America, New York: Twelve Tables.
Dietze, Gottfried (1960), The Federalist: A Classic of Federalism and Free Government,
Baltimore, MD: Johns Hopkins University Press.
Ketchum, Ralph (1986), The Anti-Federalist Papers and the Constitutional Convention
Debates, New York: Mentor.

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24 Teaching federalism: multidimensional approaches

Maggs, G. E. (2007), ‘A concise guide to the Federalist Papers as a source of the orig-
inal meaning of the United States Constitution’, Boston University Law Review 87
(4), 801–47.
Schechter, Stephen L. (1990), ‘The Federalist on Federalism’, in Stephen L. Schechter
(ed.), The Roots of the Republic: American Founding Documents Interpreted,
Madison, WI: Madison House, pp. 291–304. Open access at: https://​federalism​
.org/​wp​-content/​uploads/​2016/​01/​Roots​-of​-the​-Republic​-American​-Founding​
-Documents​-Interpreted​.pdf.
Smith, T. E. (2007), ‘Divided Publius: democracy, federalism, and the cultivation of
public sentiment’, The Review of Politics 69, 568–98.
Sutton, Jeffrey (2018), 51 Imperfect Solutions: States and the Making of American
Constitutional Law, New York: Oxford University Press.

REFERENCES (WORKS NOT CITED ABOVE)

Burgess, Michael (2006), Comparative Federalism: Theory and Practice, Abingdon:
Routledge.
Cooke, Jacob (1961), The Federalist, Middletown, CT: Wesleyan University Press.
Corbett, Edward P. J. and Robert J. Connors (1999), Classical Rhetoric for the Modern
Student, 4th edn., New York: Oxford University Press.
Corley, P., R. Howard and D. Nixon (2005), ‘The Supreme Court and opinion content:
the use of the Federalist Papers’, Political Research Quarterly 58 (2), 329–40.
Elazar, Daniel J. (1987), Exploring Federalism, Tuscaloosa: University of Alabama
Press.
Fairfield, Roy P. (1961), The Federalist Papers, Baltimore, MD: Johns Hopkins
University Press.
Hueglin, Thomas O. and Alan Fenna (2015), Comparative Federalism: A Systematic
Inquiry, 2nd edn., Toronto: University of Toronto Press.
Patrick, J. J. (1988), ‘Teaching the Federalist Papers’, ERIC Digest, ERIC Clearinghouse
for Social Studies, Social Science Education (#ED292740).
Rossiter, Clinton (1961), The Federalist Papers, New York: Mentor.
Vermeule, Adrian (2011), The System of the Constitution, New York: Oxford
University Press.
Wheare, K. C. (1980), Federal Government, Westport, CT: Greenwood Publishing
Group.
Wright, Benjamin F. ([1961] 2002), The Federalist: The Famous Papers on the
Principles of American Government, 9th edn., New York: Friedman/Fairfax.

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