The "Party Column" Ballot arranges the candidates, not under the offices which they are seeking, but in parallel columns according to political parties, there being a column for each party. Opposite each candidate's name on the "party column" ballot is a blank space, and at the head of each column is a circle and usually a device or emblem to indicate the party. By making a mark in this circle the voter may cast a ballot for all the candidates of the party. This is called "straight" voting. He may if he wishes, however, vote a "split" ticket by putting a cross in the blank spaces opposite the names of candidates of his choice in the different columns. The chief objection that has been urged against this type of ballot is that by making it so easy to vote a "straight" ticket, it encourages strict party voting, whereas independent voting, especially in city elections, should be encouraged by every possible means.
The "office column" ballot, on the other hand, encourages independent voting by making it just as difficult to vote a "straight" ticket as a "split" one. In Massachusetts there has been a remarkable amount of independent voting, due partly to the form of ballot used. The "office column" type of ballot is now used for all elections in about one fourth of the states, and in a number of others for municipal elections.
Ballot Reform.—In recent years there has been considerable discussion of the subject of ballot reform, and not a little experimenting with different schemes. Political reformers generally demand the abolition of the "party column" form, or at least the abolition of the party circle, as a means of discouraging straight party voting, but the professional politicians insist upon its retention. Whatever may be the form ultimately adopted, one reform is desirable, namely, greater simplification, to the end that the electoral franchise may be exercised more intelligently and easily. In some of our states the number of elective offices has increased to such proportions, and the ballot to such size, that it has become a real burden to vote it.
A ballot used in Chicago in 1906 contained the names of over 330 candidates and was over two feet in length and nearly two feet in width. From this bewildering array of names the voter was compelled to pick out his choice for the following offices: state treasurer, state superintendent of public education, trustees of the University of Illinois, representative in Congress, state senator, representative in the state assembly, sheriff, county treasurer, county clerk, clerk of the circuit court, county superintendent of schools, judge of the county court, judge of the probate court, members of the board of assessors, judges of the municipal court for the two-year term (nine to be elected), members of the board of review, president of the board of county commissioners, county commissioners (ten to be elected on general ticket), trustees of the sanitary district of Chicago (three to be elected), clerk of the municipal court, chief justice of the municipal court, judges of the municipal court (nine to be elected), judges of the municipal court for the four-year term (nine to be elected). In Oregon in the election of 1912 the ballot contained the names of 177 candidates and 37 laws and amendments.
To vote ballots containing many names requires a good deal of care, if not experience, to avoid error which will result in having it thrown out, for the regulations governing the marking of the ballot are very strict and must be observed if the vote is to be counted. Accordingly, elaborate instructions covering large sheets are posted throughout the election district and at the polls for the guidance of the voters, and these have to be carefully studied by inexperienced voters who desire to avoid mistakes. Sample ballots also may be provided for practice. One result of the increasing complexity of the ballot is to give an undesirable advantage to the professional politicians who understand how to vote such ballots, and to discourage those who are not politicians.
Voting Machines.—A few states have adopted voting machines, especially for their large cities. These are so arranged that the voter may, by going into a booth and pulling a number of knobs, register his vote quickly and without the danger of spoiling his ballot. When the polls are closed the results are already recorded on a dial, and the long delay in counting the returns is eliminated. The chief objection to the voting machine, however, is the expense, and this has prevented its more general adoption.
Formalities of Voting.—When the voter presents himself at the polls[21] he must announce his name and address to the election officials. If his name is found on the registration list, he is given a ballot and his name entered on the poll book. He then enters a booth, where he marks his ballot, for which purpose he is allowed to remain therein not exceeding a certain length of time. He must not mark his ballot in such a way that it can be identified after it has been placed in the ballot box, and no erasures are allowed. If he spoils his ballot he will be given another, and if he is physically unable to mark it, or if, in some states, he is illiterate, he will be allowed the assistance of two persons representing different political parties. His right to vote may be challenged, in which case he will be required to identify himself or "swear in" his ballot, a record of which must be duly kept. When he has marked his ballot he must fold it in such a manner as to conceal its face, and hand it to one of the election judges, who announces the name of the voter; the fact of his voting is recorded, and the ballot placed in the box.
At a certain hour prescribed by law the polls are closed, after which the votes are counted; and when this task is complete the returns are announced. Generally the ballots must be preserved for several months in order that an opportunity may be offered for a recount in case the election is contested. Usually the ballots cannot be reopened and recounted except by order of a court or of the committee on elections of the legislature.
Legislation Against Fraudulent Voting; Corrupt Practices Acts.—For a long time in this country there was little legislation designed to regulate the conduct of elections and to protect the exercise of the electoral privilege against fraud. The principal evils of the old system were: lack of secrecy in voting; the use of separate ballots printed by the candidates or their party organizations; the distribution of these ballots before election day; lack of means for identifying the voters; bribery, intimidation, treating, and the use of other objectionable means for influencing voters; "repeating"; ballot box "stuffing"; and the like. To eliminate or diminish these and other evils, practically all the states have passed laws of one kind or another. They are generally known as corrupt practices acts and are, for the most part, based on the English law of 1883. Much of this legislation is detailed and complex, and some of it is still in the experimental stage.
The corrupt use of money in elections has come to be one of the greatest political evils of our time. The buying of votes is a very common practice in some communities, and unfortunately is not as strongly condemned by public opinion as it should be. Some 50 per cent of the voters in one county of Ohio were disfranchised by the court for selling their votes in the general election of 1910. The growth of great corporations, many of which desire legislation in their interest, or immunity from unfavorable laws, has introduced a more or less corrupting element in our political life. Some states have enacted laws forbidding corporations, under heavy penalties, from making contributions to the campaign funds of political parties. Others have forbidden the practice of political committees of assessing office holders for campaign purposes. Some have gone to the length of forbidding "treating" and other similar means of influencing voters. Some limit the amount of money that may be spent by a candidate or his friends in the conduct of his campaign, usually specifying the purposes for which expenditures may be made. Thus the Connecticut and New York laws allow expenditures only for such matters as the rent of halls, compensation of speakers and musicians, fireworks, printing, lithographs, advertisements, traveling expenses, postage, telegrams, hiring of carriages to take voters to the polls, and the like. A few, however, prohibit the hiring of carriages, and some forbid the giving away of liquor at elections. Some states require candidates to make sworn itemized statements of the expenditures incurred by them on account of the election, and some fix the maximum amount that may be expended. Thus in New York a candidate for governor may expend only $10,000 on account of his candidacy; candidates for other state officers are permitted to spend $6,000. The need of limitations was illustrated by the fact that the Democratic candidate for governor of New York in 1906 spent over $256,000 in the prosecution of his candidacy, and a candidate for state senator spent $30,000 to secure an election.[22] A recent candidate for the United States senate in a Western state admitted that his aggregate expenses were $107,000, and another testified that he spent $115,000 in the effort to secure an election.
State Contributions to Party Campaign Funds.—In the belief that the state ought to bear a part of the candidate's expenses, to the end that the poor office seeker may be more nearly on an equal footing with the candidate of means, Colorado recently passed a law providing that the state should contribute to the campaign fund of each political party a sum of money equal in amount to twenty-five cents for every vote cast by the party for governor at the preceding election. The law allowed the candidates themselves to spend their own money to aid in their election, but prohibited other persons or corporations from making contributions. In short, the expense was to be borne by the state and the candidate alone. This Colorado law, however, was declared unconstitutional by the state courts.
Other Restrictions.—In some states also the expenditures of party committees are limited, and such committees are required to make sworn statements of their expenditures and the purposes for which they were made. Several states prohibit the payment by other persons of a voter's poll tax where the payment of such a tax is a condition to the voting privilege.
Everywhere there are laws against bribery, intimidation, fraudulent voting, and most of the other election offenses. More and more, public sentiment demands that elections shall be free from the taint of corruption, to the end that the results shall represent the real choice of the people and thus popular government made to be what its founders intended that it should be.
References.—Beard, American Government and Politics, pp. 453-457; also ch. xxiii. Fuller, Government by the People, chs. ii-vi, viii-xi. Garner, Introduction to Political Science, ch. xv. Hart, Actual Government, ch. iv.
Documentary and Illustrative Material.—1. Legislative manual or blue book of the state. 2. The election laws of the state. 3. Copy of instructions to voters. 4. Specimen ballots.
1. What are the qualifications for voting in your state?
2. When were women first allowed to vote in your state?
3. Are there any offices in your state held by women?
4. How many voters are there in your state?
5. Is there a registration requirement?
6. Do you think the right to vote should be restricted to persons who are able to read and write?
7. Give the date on which state elections are held in your state; city elections; judicial elections. Why should national, state, and city elections be held on different dates?
8. Name some offices in your state now filled by popular election which in your opinion should be filled by appointment.
9. Who are the election officers in your county?
10. What is the usual location of the polling place in your ward or precinct?
11. Explain the difference between a "party column" and an "office column" ballot. Which type of ballot is used in your state? In case the former is used does it contain a party circle and a party symbol at the head of each column?
12. Procure a specimen ballot used at the last election and explain how to mark and cast it.
13. Are voting machines used in your state? If so, where?
14. Is there a law in your state against the improper use of money in elections? Does it specify the purposes for which campaign expenditures may be made? Are candidates required to make sworn statements of their election expenses? Are there any limitations on the amount a candidate is allowed to spend?
15. Do you think corporations should be prohibited from making contributions to the campaign funds of political parties?
Nature and Functions of Political Parties.—Political parties are organized by groups of voters for the purpose of promoting the success of the policies in which they believe, and in order to secure the nomination and election of public officials who are in sympathy with those policies. Men differ in their opinions on matters of government as they do on matters of religion, and hence they come to constitute well differentiated groups. Whenever such a group becomes large enough to prosecute a concerted policy and organizes itself for the purpose of furthering its views in governmental matters, it becomes a political party. A political party is, therefore, composed of voters who hold substantially the same opinions in regard to certain public questions or certain principles of government. It is a purely voluntary organization, however, and any voter may decline to ally himself with any party, or, having done so, may change to another party whenever he wishes, or he may unite with others of a like mind and form a new party. While men can probably further the cause of good government best by means of organization and concert of action, no citizen should think more of his party than he does of his country, and whenever the purposes of a political party are prostituted for other ends than the public good no voter should feel morally bound to continue his support of such a party.
National Parties.—Under a system of popular government where public policies are determined by the people and public officials are chosen by popular election, political parties are inevitable if not essential. Almost from the beginning, therefore, we have had political parties in this country, each believing in certain policies and each endeavoring to gain control of the government in order to carry out those policies. For the promotion of policies that are national in character, such as those relating to the tariff, the currency, or the foreign policy of the country, national parties have been formed with organizations extending throughout the entire country.
Local Parties.—For the most part the organization of the national parties extends downward through the states and their local subdivisions, and are made use of in local as well as in national elections. As the issues which divide the people in national elections, however, are not always the same as those which divide them in state and local elections, we sometimes have a realignment of parties in local contests, and sometimes new parties of a local character are organized. This, in fact, is to be desired for the reason that issues of a local character ought not to be determined with reference to the views of men on issues of a national character. It is wrong, for example, for Democrats and Republicans who agree upon the issues involved in a municipal election to oppose each other in such a contest merely because they do not agree on the expediency of a protective tariff or of a gold standard in money matters. In purely local elections national party lines should cut no figure; local issues should be judged wholly on their merits without reference to national questions.
Existing Political Parties in the United States.—At the present time there are two great political parties in the United States, the Democratic party and the Republican party, each with an organization extending to every part of the country, and together including the great majority of the voters.
The Democratic Party.—In a general way, we may say that the Democratic party is composed of men who believe that the sphere of the national government should not be extended beyond what a strict interpretation of the Federal Constitution warrants; that the rights of the states should be interfered with as little as possible; and that the activities of government, whether national, state, or local, should be kept down to a minimum so that the individual shall be allowed the largest measure of freedom consistent with the maintenance of order, peace, and security. This party has uniformly opposed a protective tariff, ship subsidies, imperialism, and the extension of the powers of the national government through "constructions" of the Constitution. On the money question the party has not always been united, though for the most part it has opposed the single gold standard and favored a bimetallic standard coupled with the free coinage of silver as well as of gold.
The Republican Party has contended for a liberal interpretation of the Federal Constitution, especially those parts relating to the powers of the national government, which it desires to see extended; it has shown less sympathy than the Democratic party for the rights of the states; it is the champion of the protective tariff, of internal improvements under federal auspices, of colonial expansion, liberal pensions for soldiers and sailors of the Civil War, of subventions for the merchant marine, negro suffrage, and of a gold monetary standard. From the accession of the Republican party to power in 1860 with the election of Abraham Lincoln as President, down to 1913, it controlled the executive department of the national government continually with the exception of eight years when Grover Cleveland was President (1885-1889; 1893-1897). During most of that period it controlled Congress, though several times the Democratic party had a majority in one or the other house and occasionally for a short time it was in the majority in both houses.
Some state governments are controlled by one party, and some by the other. Since 1875 the Democratic party has usually been in power in nearly all of the Southern states, and the Republican party in more than half of the other states; but in some states control often shifts from one party to the other.
The Progressive Party was organized in 1912 mainly but not wholly by those members of the Republican party who felt that this party was not sufficiently progressive in its policies and that it attached rather too much importance to the interests of special classes and too little to the rights of the masses of the people. First of all, it advocated a larger social and industrial justice for men and women, especially the working classes. It favored national jurisdiction over such matters as cannot be effectively regulated by the states; public ownership of forests, coal and oil lands, and water power; and suffrage for women. At the election of 1912 the new party polled a total vote of 4,100,000 for its presidential candidate, Theodore Roosevelt; but a few years later the party went out of existence.
The Prohibition Party.—Besides the Democratic, Republican, and Progressive parties, there are several minor parties with organizations of a national character. The oldest of these is the Prohibition party, organized in 1872 to promote the movement for the abolition of the manufacture and sale of intoxicating liquors. Since its organization, it has regularly nominated candidates for President and Vice President of the United States, and in many states it nominates candidates for state offices and for the legislature. Not infrequently it has succeeded in electing some of its candidates to the legislature, and it has been instrumental in securing the enactment of local option laws and even state-wide prohibition laws in several states.
The Socialist Labor Party, organized in 1892, advocates government ownership of land, railways, telegraph lines, and other means of production and transportation. The Socialist Party, organized in 1904 mainly from the Socialist Labor party, advocates essentially the same views. At the election of 1912 it cast about 900,000 votes throughout the country, and in 1916 about 600,000. In 1919 a large section of the party, composed of radicals who advocate the Bolshevist régime of government by the working class, split off and formed the Communist Party.
Party Organization.—Political parties, like other associations which have ends to promote, must have organization. For the conduct of national campaigns, each of the parties has a national organization; for state purposes there is a state organization; and usually there are a county and a district organization. The characteristic feature of party organization is the use which is made of committees. The organization everywhere consists of a committee, at the head of which is a chairman, and which has also a treasurer and usually a secretary. The chairman is usually an experienced political leader; sometimes he is at the same time an office holder.
The Convention.—The policies of the party are formulated by a convention which is a representative gathering composed of delegates chosen directly by the members of the party or by local conventions. The national convention, to be described hereafter, is composed of a certain number of delegates from each state, while the state convention is composed of delegates chosen from the counties, the legislative districts, or other units. The county convention is composed of delegates from the districts into which the county is divided, and the city convention of delegates from the wards or precincts. This is the usual rule, but here and there are variations. The state convention formulates the principles of the party and sets them forth in a document called the platform; it nominates the candidates of the party, except in those states where they are nominated by a direct primary; and it appoints the central committee, selects the chairman, and transacts such other business as may come before it. It is, in short, the supreme sovereign authority of the party in the state. It is usually a large body, sometimes comprising 1,000 or more delegates, and in Massachusetts as many as 2,000.
Committees.—The committee is a select body for carrying on the campaign and attending to such other matters as may be intrusted to it. The national committee is composed of one member from each state; the state committee, usually of delegates from the counties or legislative districts. The New York Republican state committee is composed of one delegate from each congressional district in the state, while the Democratic committee consists of one delegate from each of the fifty-one senatorial districts of the state. Similarly, the county committee is made up of delegates representing the political units into which the county is divided, towns, precincts, etc. Sometimes the county committee is a very large and representative body. The Republican committee of New York county is made up of about 700 delegates, each delegate representing 200 Republican voters in the county.
In the cities, there is not only the general city committee, but also a local committee for each ward or precinct. These ward committees come into close relation with the voters, and the success of the party depends to a large degree upon their activity.
Primaries.—As soon as political parties were definitely formed it became necessary to devise some sort of machinery for selecting the candidates which the party desired to put forward. In the beginning candidates for local offices were presented to the voters upon their own announcement or by a caucus (an informal meeting of the leading men of the party) or a primary (a mass meeting of the members of the party). In time the caucus, except as a means of selecting candidates for offices in legislative bodies, fell into disrepute, and the method of nomination by a convention composed of delegates representing the party became the accepted method. The delegates are chosen by the members of the party at an election called a primary, so called because it is the first or original meeting of the party voters in the process of choosing public officials.
Former Lack of State Control.—The calling of the primary, the manner of conducting it, and the fixing of the party test, that is, the determination of who may take part in the primary, are matters which for a long time were regulated by each party according to its own notions, without interference upon the part of the state. In short, it was assumed that the state had no interest in the manner in which political parties nominated their candidates, and it therefore kept its hands off. The control of the primaries, particularly in the more populous centers, fell into the hands of a small number of political leaders, or "bosses," who virtually dictated the nominations. Sometimes the primaries were held at times or places unknown to the bulk of the members of the party, or at inaccessible places, or in rooms inadequate to accommodate the mass of the voters. They were sometimes packed with henchmen of certain candidates; sometimes large numbers of the voters were kept away by "sluggers" or were intimidated by domineering leaders; sometimes the qualifications for participating in the primary were fixed in such a manner as to exclude the great mass of the voters. Men of other parties were sometimes brought in to aid in effecting the nomination of particular candidates, ballot boxes were "stuffed" or other frauds committed, and often the votes were fraudulently counted. In short, the abuses became so intolerable as to create a widespread demand for the regulation of primaries by law so that the results might more truly represent the real opinions of the members of the party.
State Regulation of Primaries.—Accordingly, one state after another began to pass laws regulating the holding of primaries, on the ground that the state was as much interested in the nomination of candidates as it was in the election of those nominated, for it was obvious that unless nominations were fairly made and unless the candidates selected really represented the free choice of the people, popular government would be at an end, since in many communities a nomination was equivalent to an election. At first, the laws enacted by the states for the regulation of primary elections were simple, and were designed to prevent only a few of the worst abuses that had grown up. They usually applied only to the large cities, and in many cases they were optional in character, that is, they applied only to such communities as chose to conduct their primaries in accordance with the laws thus passed. Beginning about 1890, however, the legislatures here and there began to enact state-wide primary laws which were mandatory upon all localities and all parties, and applied to nominations for the great bulk of the offices filled by popular election.
Existing Primary Laws.—At present nearly every state has a law regulating in some way the holding of primary elections. In general, these laws apply to every organized political party that cast at least a certain number of votes at the preceding election; and they provide that the primaries of all such parties shall be held on the same day (in some states at the same polling places, and by the same officials that hold the regular elections), and in accordance with the rules and safeguards governing the regular elections. They fix the date on which the primaries shall be held and require that due notice shall be given thereof; they prescribe the manner of nominating delegates (and such candidates for public office as are chosen directly by the primaries); they provide for the use of official ballots printed at public expense; they contain provisions in regard to the organization and powers of the party committees, and in general they regulate everything relating to the conduct of the primaries that would be a subject of regulation if they were regular elections.
The Party Test.—One of the most difficult problems in the enactment of legislation concerning the primary election is how to prescribe fairly the qualifications that must be possessed by those who shall be allowed to participate in the primary. It is often embarrassing and disagreeable for a voter when he appears at the polls to cast his vote to be compelled to reveal his party affiliation, yet unless he is required to do so, the adherents of one party might easily participate in the primary of another with a view to bringing about the nomination of its weakest candidates. Thus in a Western city some years ago where the primary law did not require a declaration of party affiliation, a large number of the members of one party entered the primary of the opposite party and brought about the nomination of their weakest candidate for mayor, and thus at the regular election the party to which the "invaders" belonged was easily able to defeat him with its own candidate. An "open" primary is open to any and all voters. Most primary laws, however, insist upon a statement by the voter of his party affiliation as a condition to participation in the primary, which is therefore called a "closed" primary. Usually the test of membership is that the voter must have affiliated with the party at the last election, and sometimes he must pledge himself to support at the coming election the candidates nominated at the primary of the party in which he participates.
As a closed primary is an election by the members of a political party, independents, or those who are not adherents of any party, are not allowed to participate. This discourages reform movements by independent voters, but there seems to be no way to remedy the matter. Sometimes an exception is made in the primaries for the nomination of candidates for city offices, on the ground that party lines should not be strictly drawn in local contests and that independent movements should be encouraged.
Nominations by Conventions.—Before the introduction of the method of nominating candidates by the direct primary, to be described hereafter, the universal method of nomination was by convention, and this is still the prevailing method in many states.
Preliminary Organization of a Convention.—The convention, as previously stated, is composed of delegates chosen at a primary election. The date and place of holding the convention are announced by the party committee some weeks in advance. It is called to order by the chairman of the committee, after which a temporary chairman of the convention is elected, and not infrequently a spirited contest takes place over the election, especially when there is likely to be a struggle for the nomination of the principal officers which the convention has been called to nominate. The temporary chairman, upon taking the chair, usually delivers an address in which he extols the party for its achievements in the past, after which usually four committees are appointed: one on organization, one on rules, one on resolutions, and one on credentials.
Convention Committees.—Frequently rival delegations appear from some county or district, and the convention must decide which one is entitled to seats. Questions of this kind are referred to the committee on credentials, which, after hearing both sides, reports to the convention recommending which delegation shall be seated, and the recommendation of the committee usually, though not always, is approved. Sometimes, however, both contesting delegations are seated, each delegate being allowed half a vote.
The committee on rules frames the rules of procedure by which the business of the convention is to be transacted; its report is usually adopted without alteration.
The committee on permanent organization proposes the names of candidates for permanent chairman, secretary, and such other officers of the convention as may be needed. The officers suggested by this committee are usually elected, though sometimes the convention elects a different ticket.
The chairman of the committee on resolutions presents a draft of the platform, which is adopted by the convention, usually, though not always, without change.
The Nominations.—The convention is now ready for the chief business for which it was called, namely, the nomination of candidates which the party desires to put forward for the offices to be filled at the coming election. The names of the candidates are usually presented to the convention in highly eulogistic speeches, and the nominations are generally seconded by one or more delegates. The balloting then proceeds until the nominations are all made. Sometimes where more than two candidates are placed in nomination no one of them is able to secure a majority, and a "deadlock" ensues, lasting maybe for days or even weeks, and terminated by the nomination of a "dark horse."
Objections to the Convention Method.—When deadlocks occur, the "dark horse" chosen is likely to be an inferior candidate. Another objection to the method of nomination by convention is that the nominations are frequently determined by a small number of leaders or "bosses" who control the convention, and thus the nominations do not represent the choice of the party. How a convention may be thus controlled by a few politicians is thus stated by a careful writer who is fully conversant with party methods:[23]
"The program of the convention, in practice, is almost always decided upon down to the minutest detail, before the convention meets. The party leader, or 'boss,' and his lieutenants discuss the relative claims of candidates and decide who shall be nominated. The party platform is written and submitted to the 'boss' for his approval. The officers of the convention are agreed upon and their speeches revised. All this is outside the law, which ignores the existence of the party leader and assumes that the delegates are free to exercise their own judgment. The real interest in the convention is usually centered in the secret conferences of the leaders which precede it and in which the contests over the nominations are fought out, sometimes with much stubbornness. The 'slate' is finally made up by agreement between leaders who control a majority of the delegates in the convention. The leaders of the minority may either surrender or they may register their protest by presenting the names of other candidates in the convention with the certainty of defeat, for it is rare in state conventions that there is so equal a division of strength as to leave the result in doubt.
"While the leaders are settling what the convention is to do, the delegates are left to their own devices, ignorant of what is going on in the 'headquarters' where the leaders are assembled. They are not consulted and their advice is not asked. It often happens that they do not know whom they are to nominate until they hear for the first time in the convention hall the names of the candidates agreed upon by the leaders. Although the law gives them the right to bring forward the names of other candidates, they seldom exercise it, and the delegate bold enough to disobey orders is regarded with disapproval."
Nomination by the People: the Direct Primary.—About 1889, because of growing dissatisfaction with the convention system, some of the states began to experiment with the method of popular nomination, that is, direct nomination by the primary instead of by convention. Instead of calling on the voters to choose delegates to a convention to which the task of nomination was intrusted, they were now called upon to vote directly for the candidates themselves. It was said that if the voters were competent to choose delegates to a convention they were equally competent to select the candidates themselves. The movement for the direct primary, as it was called, spread rapidly particularly in the South and West. Thus the convention has been done away with in a large number of states except where it is still retained to frame platforms, appoint the central committee, and select delegates to the national convention, and in some states it has been abolished even for these purposes, other means having been provided for taking care of these matters.
Objections.—The direct primary has been criticized because under it candidates for state offices need to canvass the entire state in order to become acquainted with the voters—a task which requires much time and is very expensive. Such a system, it is argued, gives the candidate of leisure and wealth a decided advantage over the poor man who cannot afford the large expense involved.
The direct primary method, however, has given general satisfaction where it has been adopted.
Nomination by Petition.—While most candidates for public office are nominated by the recognized political parties, the laws of many states allow candidates to be nominated also by petition of independent voters. The procedure of nomination by petition is for the candidate or his friends to prepare a nomination paper or petition containing the title of the office to be filled, together with the name and residence of the candidate, get a certain number of voters to sign it, and then file it with the proper election officer. The number of signatures necessary to nominate varies according to the nature of the office to be filled and the population of the district or territory over which the jurisdiction of the office extends. Thus in New York a petition for the nomination of a candidate for a state office must contain the signatures of at least 12,000 legal voters (including at least 50 from each county), while in Massachusetts 1,000 is sufficient. For the nomination of candidates for local offices the number of petitioners required is smaller. Thus in New York candidates for the legislature may be nominated by 500 voters; in Massachusetts candidates for local offices may be nominated by petitions signed by one per cent of the number of voters.
References.—Beard, American Government and Politics, chs. vii, xxx. Bryce, The American Commonwealth (abridged edition), ch. xlv. Fuller, Government by the People, chs. iv, v, xi. Hart, Actual Government, ch. v. Merriam, Primary Elections, chs. i, v.
Documentary and Illustrative Material.—1. Legislative manual or blue book of the state. 2. Copy of the primary election law of the state. 3. Democratic and Republican campaign textbooks. 4. Copies of party platforms. 5. Specimen ballots. 6. Copies of delegates' credentials, nomination certificates, petitions, etc.
1. Do you consider political parties essential under a system of popular government? Would it be better if there were in each state of the Union at least two strong political parties instead of one, as is virtually the case in some of the Southern states as well as in some of the North?
2. Do you think every voter ought to join some political party and support its candidates and policies? Suppose he does not approve the candidates which it has nominated and the policies which it has adopted, what should he do? Ought independent voting to be encouraged? If so, why?
3. How many votes were cast by the Democratic party in your state for governor at the last election? How many by the Republican party?
4. How is the state central committee of each party constituted in your state? Who are the members from your county or district?
5. At what places were the last state conventions of the Democratic and Republican parties held in your state? How many delegates were there in each?
6. How are municipal officers nominated in your state?
7. Is there a primary law in your state? If so, what are its provisions?
8. Has the method of nomination by direct primary been introduced into your state? If so, to what offices does it apply? How are members of party committees selected? What test does the primary law of your state provide for participation in the primary? Does it permit the people to express their choice for United States senator? In what order are candidates arranged on the primary ballot? Did a large proportion of the voters take part in the last primary election? What is the date fixed for holding the primary?
9. Are any officers nominated in your state by conventions?
10. If candidates are nominated by a direct primary in your state, what is the method devised for preparing the platform of the party?
The Articles of Confederation.—The Continental Congress, which managed the common affairs of the Union during the early stages of the Revolution, was a body whose authority was not defined by any constitution or fundamental law. It assumed large powers in the belief that the people, relying upon its patriotism and wisdom, would acquiesce in its acts. As yet, however, the states were not closely united, and each was free to go its own way. As time passed, the advantages of union became more manifest, and the states began to recognize the desirability of creating a common government with larger powers and with definite authority. After a debate lasting off and on for more than a year, Congress adopted in November, 1777, an instrument called the Articles of Confederation, which was to go into effect when ratified by all the states.
Ratification of the Articles.—During the years 1778 and 1779, all the states except Maryland ratified the Articles. Maryland withheld her approval because she doubted the advantage of a union among states, some of which held vast territory in the West while some did not. The states claiming lands northwest of the Ohio River were Virginia, New York, Massachusetts, and Connecticut. As these lands had been wrested from Great Britain while that power was weakened by her war with all the states, Maryland insisted, as a condition to her adhesion, that the states claiming these lands should surrender them to the nation for the benefit of all the states. This argument appealed to the sense of patriotism and justice of the states claiming this northwestern territory, and in the course of the next few years they ceded most of their lands to the United States for the common benefit. When it became certain that this would be done, Maryland ratified the Articles, and the Confederation of the states was completed.
Government under the Articles.—The Confederation thus formed was styled a "firm league of friendship" under the name of "the United States of America," and its declared purpose was to provide for the common defense of the states, the security of their liberties, and their mutual and general welfare. To secure these ends the states bound themselves to assist each other against all attacks upon either or all of them, upon any pretense whatever.
For the management of certain affairs common to the states composing the Confederation, the Articles provided for an annual Congress of delegates to be chosen by the states, no state to be represented by less than two members or more than seven. Unlike the Continental Congress, the Congress of the Confederation was given express power to deal with certain affairs, and therefore it did not have to assume the powers it exercised. Among these were the power to declare war and make peace; to send and receive diplomatic representatives; to enter into treaties; to make rules regarding captures on the high seas; to grant letters of marque and reprisal; to settle disputes between the states, upon petition of the disputants; to regulate the alloy and value of coin, whether struck under the authority of Congress or by the states; to fix the standard of weights and measures throughout the United States; to regulate trade and intercourse with the Indians; to make rules for the government of the land and naval forces; to establish post offices; and a few other powers of a like character.
No provision, however, was made for an executive department or for a national judiciary, with the single exception of a court of appeal in cases involving captures on the high seas in time of war.
Prohibitions on the States.—In the interest of the general peace and security, the states were forbidden, except with the consent of Congress, to send diplomatic representatives to foreign countries, or enter into treaties or alliances, or levy any duties on articles imported from abroad, if such duties should conflict with the provisions of foreign treaties; or keep ships of war in times of peace; or engage in war; or grant letters of marque and reprisal.
Defects of the Articles of Confederation.—Although the Articles of Confederation proved of great value in securing concert of action among the states in certain matters, the weaknesses of the union which they created and the defects of the governmental machinery provided by them soon proved serious.
The States Retained too Much Power.—The union turned out to be the loosest sort of a league, in which the states for the most part did as they pleased. Each retained its own sovereignty and could not be compelled to perform its obligations as a member of the Confederation. Some of them deliberately violated the treaty of peace with Great Britain, and the Congress was unable to prevent such infractions. Congress being thus powerless to carry out the stipulations of the treaty, Great Britain refused to perform her obligations thereunder. Since no executive department and no courts were created to enforce and apply the laws passed by Congress, the nation had to depend upon the states to carry out its will.
The Congress was not well Organized.—In the organization and procedure of Congress there were serious defects. No member could serve for more than three years in six, and each state paid its own members and might recall them at pleasure. Thus the dependence of the representative upon his state was emphasized and his character as a national representative minimized. Worse than this was the provision that allowed each state, regardless of its population and size, but one vote in Congress. Thus Georgia with a population of only a few thousand souls enjoyed the same power in all matters of national legislation that Virginia did, although the population of Virginia was some sixteen times as great. Still another serious weakness was the rule which required the assent of nine states to pass any important bill, such as those for borrowing or appropriating money, issuing bills of credit, declaring war, entering into treaties, coining money, building war ships, raising military forces, selecting commanders, and the like. As it was frequently impossible to secure the concurrence of so large a proportion of the states, needed legislation was often prevented by the opposition of a few members or by the lack of a quorum. Thus in April, 1783, there were present only twenty-five members from eleven states, nine being represented by only two members each. It would have been possible, therefore, for three members to defeat any important measure.[24]
Congress had No Power of Taxation.—Not only were the defects in the organization and procedure of Congress of a serious character, but the powers conferred upon it by the Articles of Confederation were so meager that its authority was little more than a shadow and carried little weight. One of the essential powers of government is that of taxation, yet the Congress had no authority to impose a dollar of taxes on any individual in the land. Money was needed to pay the soldiers who were fighting the battles of the country, to pay the salaries and expenses of diplomatic representatives who had been sent to Europe to negotiate treaties and solicit the aid of foreign friends, to pay interest on loans incurred in France and Holland, to defray the cost of building war ships and equipping the army, and to meet the various other expenses which every government must needs incur, yet the government of the Confederation was powerless to raise the necessary funds by taxation. In the absence of all power to levy and collect taxes, Congress adopted the policy of apportioning the national expenses among the states. But no state could be compelled to contribute a dollar toward its quota; some of them in fact contributed little, and most of those which did respond to the appeal of Congress did so grudgingly and tardily. Of the $15,000,000 apportioned among the states between 1781 and 1786 less than $2,000,000 was actually paid in. Often there was not a dollar in the treasury of the Confederation to pay the obligations of the government.
Two attempts were made to amend the Articles of Confederation so as to give Congress power to levy a five per cent tariff duty on imported goods, but since it required the assent of each of the thirteen states to adopt an amendment, the scheme fell through, in both cases on account of the opposition of a single state.
Congress had No Power to Regulate Commerce, either with foreign countries or among the states themselves. This was a serious defect. Each state had its own tariff system and its own customhouses, and collected its own duties on goods brought into its ports from abroad. As each state was anxious to exploit this source of revenue for itself, it naturally framed its tariff regulations and tonnage laws in such a way as to attract foreign commerce to its own ports. And so it was with regard to commerce among the states themselves. Each framed its trade regulations with its neighbors according to its own selfish interests and without regard to the general good. The result was continual jealousies, dissensions, and sometimes reprisals and retaliations. New York levied an import duty on certain articles brought in from its less fortunate neighbors, Connecticut and New Jersey, and each in turn retaliated as best it could. For purposes of foreign and interstate commerce, each state was a nation itself, and the Confederation was a nonentity.
The Annapolis Convention.—The worst evils described above reached a climax in 1786, and the political leaders of America such as Hamilton and Washington were convinced that the government of the Confederation must either be revised or superseded entirely by a new system. In September, 1786, there assembled at Annapolis, Maryland, a convention of delegates from five states, namely, New York, New Jersey, Pennsylvania, Delaware, and Virginia, called at the instance of the legislature of Virginia to take into consideration the subject of uniform trade regulation among the states, the lack of which had come to be one of the chief evils of the Confederation. So few states were represented that the convention decided not to enter upon the business for which it had been called, but instead determined to put forth an effort to bring about the assembling of a convention representing all the states and empowered to take into consideration the question of a general revision of the Articles of Confederation so as to render them more adequate to the needs of the nation. Accordingly, a resolution prepared by Alexander Hamilton, one of the delegates from New York, was adopted, calling on the states to appoint delegates to a convention to be held at Philadelphia on the second Monday in May next, for the purpose of revising the Articles of Confederation.
The Constitutional Convention of 1787; Personnel.—In pursuance of this resolution, all the states except Rhode Island promptly appointed delegates, the failure of Rhode Island being due to her satisfaction with the Confederation, under which she enjoyed larger commercial advantages than she could hope to enjoy if the Articles were amended so as to take away from the states their control over commerce. Altogether fifty-five members sat in the convention at one time or another, though only thirty-nine signed the Constitution. From Virginia came George Washington, Edmund Randolph, and James Madison; from Massachusetts, Rufus King and Elbridge Gerry; from Connecticut, William Samuel Johnson and Roger Sherman; from New Hampshire, John Langdon; from New York, Alexander Hamilton; from New Jersey, William Livingston and William Paterson; from Pennsylvania, Benjamin Franklin, Robert and Gouverneur Morris, Jared Ingersoll, and James Wilson; from Delaware, John Dickinson; and from South Carolina, John Rutledge, Charles Pinckney, and Charles Cotesworth Pinckney. Some of the delegates, as Benjamin Franklin, had been members of the Albany Congress as far back as 1754; some had been members of the Stamp Act Congress of 1765; most of them had served in the Continental or Confederation Congresses; and a number of them were signers of the Declaration of Independence. A great many of them had served in the legislatures of their states, and of the whole number there was not one who had not had some legislative experience.
The Work of the Convention of 1787.—When the convention had been duly organized, "plans" of a proposed constitution were submitted by the delegations of several states, and these became the bases of the discussion which followed.
The Virginia Plan.—The plan submitted by the Virginia delegation represented the views of delegates from the larger and more populous states, and the Constitution as finally adopted embodied more largely the features of this plan than those of any other. The most important resolution of this plan was that a national government ought to be established consisting of a supreme legislative, judiciary, and executive. This resolution, adopted in committee of the whole, went directly to the root of the chief evil of the existing system, which contained no provision for an executive or a judicial department. It recognized also what has come to be a fundamental doctrine of American political science, namely, the separation of the legislative, executive, and judicial functions.
The New Jersey Plan.—The views of delegates from the small states were embodied in the New Jersey plan, which was laid before the convention by William Paterson. In general, the New Jersey plan provided for the retention of the principal features of the existing system, except that it proposed to enlarge the powers of Congress so as to make its authority more effective. This was all, in the judgment of the small states, that was necessary to remove the existing evils.
The Problem of Representation in Congress.—The convention without much discussion decided that Congress should consist of two chambers or houses instead of one as was the case under the Articles of Confederation. This done, the next problem was to determine the basis of representation in each. This proved to be one of the most difficult tasks of the convention. The delegates from the large states insisted that representation in both houses should be based on population, so that a state such as Virginia with sixteen times the population of Georgia should have sixteen times as many representatives in Congress. But to this system of proportional representation, the delegates from the small states objected. They maintained that the importance of a state was not to be measured by its population; that the states were sovereign political entities, and when it came to participation in the government of the nation they were all equal, large and small alike. There was no more reason, said a delegate from one of the small states, why a large state should have more representation in Congress than that a large man should have more votes than a small man. For a time the differences seemed irreconcilable, and more than once it looked as if the convention would be disrupted on this question. The spirit of compromise triumphed, however, and it was finally agreed that the states should be represented equally in the senate but in proportion to their population in the house of representatives. As a result of this rule, Nevada to-day with a population of less than 100,000 sends the same number of senators to Washington as does New York with a population of some 10,000,000 souls. New York, on the other hand, sends forty-three representatives to Congress while Nevada sends but one. This was the first great compromise of the Constitution.
The Question of Counting the Slaves.—The next problem, which was almost equally difficult and which likewise had to be settled by compromise, was the question of whether the slaves should be counted in determining the population of the state for purposes of representation. The delegates from the Southern states argued that slaves were an important factor in contributing to the wealth and power of the country and should, therefore, be counted for purposes of representation. To this argument the delegates from the Northern states, where the slave population was inconsiderable, objected on the ground that the slaves at law were treated merely as property and were not allowed to vote in the states where they resided. The discussion over this question was long and at times exciting, but finally a compromise was reached by which it was agreed that in determining the population for purposes of representation, all the white population but only three fifths of the slaves should be counted. At the same time it was decided that direct taxes among the states should be apportioned on the same basis. This compromise was favorable to the slave states in that it gave them an increased number of representatives, but it was unfavorable in that it increased their proportion of direct taxes. This is known as the three-fifths compromise.
Federal Regulation of Commerce.—Another question which became the subject of heated discussion related to the national control of commerce. The Northern states wished Congress to be given the power to regulate commerce, but the Southern states, which at the time furnished the principal articles of export, feared that the power might be employed in such a manner as to injure their commerce, and might also be used to prohibit the slave trade and thus prevent the Southern planters from stocking their farms with laborers. They accordingly insisted that Congress should be expressly prohibited from interfering with the importation of slaves, and that it should be allowed to pass navigation acts only by a two-thirds majority of both houses. The whole matter was finally settled by a compromise which forbade Congress to interfere with the importation of slaves before the year 1808, but which allowed it to pass laws by a majority vote for the regulation of commerce. This was the last great compromise of the Constitution.
Other Compromises.—Many other questions were settled on the basis of compromise, though none of them occasioned so much discussion as the three mentioned above. Some have regretted that such compromises as that which allows the states equality of representation in the senate, as well as the one which allowed representation on the basis of the slave population, should have ever found their way into the Constitution; but it is certain that without these compromises the Constitution could never have been adopted.
After the settlement of the questions mentioned above, the work of framing the Constitution proceeded with less difficulty. Finally, on September 17, the completed draft was signed by thirty-nine delegates, after which the convention adjourned. A few were absent and did not sign for that reason; others, such as Gerry of Massachusetts and Mason of Virginia, disapproved of the Constitution and refused to attach their signatures.
Ratification of the Constitution.—Before adjourning, the convention resolved to send the draft of the Constitution to Congress with the request that it should transmit the instrument to the legislatures of the several states and that these in turn should submit it to conventions for ratification. It was agreed, moreover, that when it should have been ratified by conventions in nine states it should go into effect between the states so ratifying.
Opposition to the Constitution.—As soon as the text of the Constitution was made known to the people of the states, a flood of criticism was turned loose on it from almost every part of the country. Those who approved the Constitution and favored its ratification were called Federalists; those who opposed it were called Anti-Federalists. The principal grounds of opposition were that in providing for a national government with extensive powers the Constitution had sacrificed, to a large degree, the rights of the states; that such a government would prove dangerous to the liberties of the people; that the President for which the Constitution provided might become a dictator and a tyrant; that the senate would be an oligarchy; and that the Federal Constitution, unlike those of the states, contained no bill of rights for the protection of the people against governmental encroachment upon their inherent rights such as freedom of speech, freedom of press, freedom of religious worship, freedom of assembly, and the like. The last mentioned objection was removed by the assurance on the part of the friends of the Constitution that in the event of ratification they would endeavor to have the Constitution amended at the earliest opportunity in such a way as to provide proper safeguards for the security of these rights, a promise which was carried out soon after the new government went into effect, by the adoption of the first ten amendments.
Ratification by the States.—The first state to ratify the Constitution was Delaware, one of the small states whose delegates in the Philadelphia convention had been strongly opposed to changing the existing system. This state ratified on December 6, 1787, without a dissenting vote. Its action was shortly followed by Pennsylvania, New Jersey, Georgia, and Connecticut, the last three of which were small states whose delegates in the Philadelphia convention had also been in the opposition. In Pennsylvania, however, the Constitution was ratified with less unanimity and only after a fierce struggle in which the Anti-Federalists attacked almost every part of it. Massachusetts was the next to ratify, although by a narrow majority, many of the leading citizens being opposed or indifferent. Maryland and South Carolina followed, and finally the favorable action of New Hampshire on June 21, 1788, insured its success, since nine states had now ratified and the Constitution could be put into effect between the states that had so ratified. Four days later, before news of the ratification of New Hampshire was received, Virginia fell in line and ratified, in spite of the powerful opposition of Patrick Henry, Mason, Lee, and others.
Attention was now turned to New York, where the opponents of the Constitution were believed to be in the majority. Geographically, New York was like a wedge which divided the Union into two parts, and hence its adhesion was especially desirable. Because of its favorable commercial position, the state enjoyed great advantages under the Articles of Confederation, since it could collect and turn into its own treasury the duties on all articles coming into its ports from abroad—a privilege of which it would be deprived under the Constitution. There was good reason, therefore, why it should hesitate to exchange its position for one less favorable. When the state convention assembled to take action on the Constitution, it was found that about two thirds of the members were at first opposed to ratification. Among the friends of the Constitution, however, was Alexander Hamilton, whose powerful argument prevailed, and the Constitution was ratified by a majority of three votes.
Rhode Island, like New York, enjoyed a favorable position under the Articles of Confederation, and was not in sympathy with the Constitution. She refused to ratify and remained out of the Union until May, 1790, more than a year after the Constitution had gone into effect. North Carolina likewise refused to ratify until November, 1789.
The Constitution Goes into Effect.—When the ratification of the Constitution had been assured, the old Congress of the Confederation enacted that the new government should go into effect on March 4, 1789. In the meantime senators and representatives were elected as the first members of the new Congress, and George Washington was chosen President. Thus the old Confederation passed away and the new Republic entered upon its great career.
The System of Government Created.—The government created by the Constitution is federal in character; that is, it consists of a system of national and state government under a common sovereignty. It is a republic as contradistinguished from such a limited monarchy as the British; that is, it is a government having a popularly elected executive rather than a titular executive who holds his office for life by hereditary tenure, who is politically irresponsible, and who governs through ministers who are responsible to the Parliament for his acts. It is also distinguished from confederate government or that form in which the states are practically sovereign and in which the general government is nothing but the agent of the states for the care of a very few things of common concern, such as defense against foreign aggression. Finally, the American system is one of popular rather than of aristocratic government, that is, it is government by the masses of the people instead of government by the favored few.
References.—Andrews, Manual of the Constitution, ch. ii. Beard, American Government and Politics, ch. iii. Bryce, The American Commonwealth (abridged edition), ch. ii. Fiske, Critical Period of American History, chs. vi-vii. Hinsdale, American Government, chs. vii-xi.
Documentary Material.—1. The Articles of Confederation. 2. The Constitution.