David S. Schwartz, University of Wisconsin Law School, has posted The Birth of Compact Theory, which is forthcoming in the Journal of American Constitutional History:
"Compact theory" is the idea that the U.S. Constitution is a compact of the states: the act of sovereign states rather than that of "We the people of the United States." Compact theory interprets the Constitution as a confederative treaty according to international law principles of treaty interpretation: construing its grants of power narrowly, disfavoring implied powers and implied waivers of sovereign rights, and affording to each party to the compact the right to judge for itself whether the compact has been infringed. When was it first deemed plausible to interpret the Constitution according to these "confederationst" principles, as a compact of the states? This question is worth asking, not only for its intrinsic historical interest, but also for its implications for constitutional interpretation at a time when originalism has become so prominent. Historians have either ignored this question or simply assumed that compact theory began with the Virginia and Kentucky Resolutions of 1798, ghost-written for those two state legislatures by James Madison and Thomas Jefferson to protest the Alien and Sedition Acts of that year. But none have inquired into the provenance of compact theory ("its history before 1798") except for a handful of revisionists, who challenge the conventional assumption by arguing that a compact-theory interpretation of the Constitution was present throughout the founding. This article provides the first detailed account of the emergence of compact theory. Confirming the previously unsupported conventional belief, I argue that compact theory was pushed into the range of plausible constitutional discourse (the "Overton window" of constitutional interpretation) by the Virginia and Kentucky Resolutions. Although hints of a confederationist interpretation of the Constitution were offered as part of Federalist propaganda during the ratification campaign, strict constructionists did not deem such an interpretation plausible for the next decade. Compact theory was not argued in any of the salient constitutional debates of 1788-1798"such as the debate over the First Bank of the United States"where strict constructionists or "enumerationists," had a strong incentive to develop compact theory. Only when the crisis of the 1798 Alien and Sedition Acts motivated Jefferson and Madison to assert that the Constitution was a compact of the states, did compact theory first emerge.
--Dan Ernst












