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Nine and Ten

I’ve always found peculiar the separation found in the minds of pundits and politicians alike, concerning Amendment IX and Amendment X in the U.S. Constitution.

IX

The enumeration in the Constitution, of certain rights, shall not be construed to deny or disparage others retained by the people.


X

The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.

Adherents of either rightly question the scope of the authority of the U.S. Government, but they question it differently.

Xers tend to believe that the final authority for regulating affairs — i.e. the utilization of legislative, executive, and judicial powers — rests in the hands of state governments in all cases not prohibited them by the federal government or delegated exclusively to the federal government.  Xers are “states’ rights” advocates.

IXers, of which there are far fewer open advocates than Xers, believe that neither the federal government nor the individual state governments may “deny or disparage” rights held by individual persons living within the U.S. but not explicitly outlined by the Bill of Rights.  Their case is less explicit, more implicit, since navigating between the different wordings of these two Amendments requires some finesse for wrangling out the meaning of “the States” and “the people” — Xers believe those two terms are synonymous; not so, the IXers.

I.e., from an IXer perspective, “the powers…reserved to the States respectively, or to the people” [X] may not “deny or disparage” [IX] unenumerated rights held by the people of the U.S., even if many Xers believe that the Constitutional dispensation of powers to the various States does allow the States to make any laws whatsoever, and enforce those laws, irrespective of unenumerated rights, as long as the States do not infringe upon powers reserved to the federal government or upon Constitutionally enumerated rights held by the people.

This distinction is made more complicated in contemporary discourse by the Xer assertion of the existence of “states’ rights.”  The original Framers of the U.S. Constitution held a stringent view of what constituted a right and what constituted powers:  The Tenth Amendment reserved powers to the States, but Xers confuse that Constitutional delegation of powers with a concept of rights held by States.  Necessarily, “states’ rights” advocates often attempt to make their case stronger by holding to a conservative strict constructionist viewpoint that no personal rights beyond those specifically outlined by the Constitution exist; i.e., the Ninth Amendment can be safely overlooked — an inkblot in the Constitution, as Judge Robert Bork called it — and, moreover, the delegation of powers to the States can be read as a Constitutionally mandated right reserved to those States.  However, this confusion over rights and powers also shapes the IXer argument, since an enumeration of “states rights” in the Constitution, if that is what the Tenth is, would mean that such an enumeration cannot be construed as denying or disparaging other rights held by the people but not enumerated in the Constitution:  thus, an enumeration of “rights” reserved to the States, in Amendment X, cannot be interpreted as a license for states to deny or disparage other rights held by the people within those states, as per Amendment IX.

We must disentangle the conflation of rights and powers.  The right to power assumed to exist by Xers is, at heart, a reformulation of aristocratic principles even if no Titles of Nobility may be confered by the U.S. It is the elevation of a select group over all others, even if those who hold such positions may be elected into those positions or removed from those positions by the will of a majority; i.e., it is a natural right, when so interpreted, which supersedes the rights of individuals, which means it is an argument for tyranny.  The Framers necessarily had to balance the demands of various states when constructing the Constitution; states were the bodies competing over its wording.  However, the Framers were also reactionaries reacting to the impulse toward tyranny which had held sway over every century preceding the formulation of the United States of America.  Their consideration of natural rights colored their consideration of the powers that would be enumerated within the U.S. Constitution, whether powers reserved to the U.S. government or reserved to State governments; a consideration of unalienable rights worked coterminously with a consideration of powers, but these, powers and rights, were set against one another rather than aligned.

Peculiarly, those who would decry the inkblot nature of the Ninth have little trouble reading the non-specific nature of the Tenth in terms of an intended expansiveness.  The reactionary Framers sought to limit the U.S. government by playing states against each other, in the hopes that such horizontal friction would limit the vertical controls a federal government might attempt; one can easily see the severe limitations placed on that federal government, even if those serving at the federal level often miss seeing those limitations.  One might also see the severe limitations placed on state governments:  not only their powers, but also the rights of the people, have been left open-ended and vague:  another example of prizing the horizontal friction over vertical establishment of controls.

I find this odd:  that advocates of “states’ rights” assume that few specifically enumerated state powers within the U.S. Constitution permits the creation of a penumbra of powers via the Tenth Amendment, whereas a specifically worded Amendment alluding to unenumerated rights must be considered an unimportant inkblot.  The first seven Articles of the Constitution have the word “right” in only one place, and it is in reference to an individual’s rights:

To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries;

[Article 1, Section 8]
In the Bill of Rights, no mention of a right is made except those reserved to individuals — not states.

Amendment XII is the first time a right is described in terms of a legal body larger than the individual; but this right only occurs as a process of devolution:

And if the House of Representatives shall not choose a President whenever the right of choice shall devolve upon them, before the fourth day of March next following, then the Vice-President shall act as President, as in the case of the death or other constitutional disability of the President.

[Amendment XII]

A similar right is enumerated later:

The Congress may by law provide for the case of the death of any of the persons from whom the House of Representatives may choose a President whenever the right of choice shall have devolved upon them, and for the case of the death of any of the persons from whom the Senate may choose a Vice President whenever the right of choice shall have devolved upon them.

[Amendment XX, Section 4]

Aside from these two exceptions, all rights enumerated in the Constitution or otherwise implicitly, yet specifically, acknowledged by the Constitution belong to individuals.  No such thing as a “state’s right” legally exists, although states are acknowledged to exist and to have certain powers — as well as whatever powers may be found to exist not belonging to the United States government.  States are not definite entities; rather, only individuals exist, and as these come and go, are born and die, the composition of the states alters.

Thus, the great experiment continues.   The Ninth Amendment acts only as a harbinger a) of the dissolution of vertical controls, b) of the superempowerment of the individual, and c) of the failure of states to cohere and dominate as streamlined yet disembodied powers separate from the people composing them; in such light, the Tenth Amendment offers hope, that such vague and not-prefigured powers as would be exercised by any majority may alter according to the composition of that majority, or accordingly as majorities and minorities within states contest the reality of any circumstance.  There is room for movement. 

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» MA v. EPA: To Be or Not to Be Sovereign from Phatic Communion
Dan of tdaxp and I have been debating the relative positions of states, individuals, and the federal government in the U.S., initiated by my post taking a closer look at the 9th and 10th Amendments to the U.S. Constitution.One of... [Read More]

» The United States, the united States, and 300 Million Americans from tdaxp
In two posts, "Nine and Ten" and "MA v. EPA: To Be or Not to Be Soveriegn," Curtis tackles the question of state sovereignty. For background: in a recent case, the the Supreme Court (happily but obviously politically) rediscovered the sovereign st... [Read More]

Comments

A good post, but I think you should focus more on the nature of States. Specifically, they are not mere "select groups" or "mere provinces or political corporations" (MA v. EPA, Alden v. Maine) but rather pre-existing countries" -- they retain "the dignity, though not the full authority, of sovereignty. "

The distinction between Rights v. Powers is a real one. For instance, States have the right to act as Parens Patriae (Father of the People), but do not have the power to invade other States to enforce such a right. (Rather, the federal Courts must give special consideration to States suits emanating from such a Right.)

IX and X make no sense if one tries to set them against each other. But of course, they were designed to set against the Federal government. Together they are rules for reading the Federal powers narrowly.

"the dignity, though not the full authority, of sovereignty. "

--makes no sense. It's a pretty way of saying nothing. I do think that a fuller exploration of what "state" means, past and present, vis-a-vis the U.S. is very important; but given the context as well as the text of the formulation of the U.S. Constitution, the overwhelming focus on individuals rather than any collective as an entity disembodied, or beyond a consideration of individuals (yet, "sovereign"?), makes the "states rights" argument very tenuous. The whole point of a state having powers, then and now, was to better secure to individuals the powers to govern themselves. I hardly think that the Founders and Framers (some of whom were both) would be happy with tyrannical state governments as long as some ethereal federal government was formed by the collective will expressed through individualist voting.

I hardly think that the Founders and Framers (some of whom were both) would be happy with tyrannical state governments as long as some ethereal federal government was formed by the collective will expressed through individualist voting.

Strange, as that was close to the form of government of many states until the mid-19th century, with the invention of substantive due process in Dred Scott v. Sanford and the the reconstruction amendments.

The Supreme Court has ruled, again and again, that States are not creatures of the Federal Government but pre-existant of the Federal Government. This is another way of saying that the United States is an economic and political union of member-states.

If you disagree, you are free to look for the doctrine of judicial review in the Constitution, or the necessity of a federal judicial protection against the powers of the States in the Federalist Papers.

"The Supreme Court has ruled, again and again, that States are not creatures of the Federal Government but pre-existant of the Federal Government. This is another way of saying that the United States is an economic and political union of member-states."

Pre-existence is irrelevant, since the formation of the U.S. and the Constitution binding all together altered their pre-existent state. Otherwise, they'd not need a federal government nor a common Constitution.

I.e., look at it from the perspective of adaptation and evolution. Their sovereign nature, whatever it might have been, was altered by signing the dotted line and joining the Union. This is why the "dignity...without full authority" description is so strange and fairly meaningless, unless the only definitional characteristic of sovereign states is dignity (a subjective evaluation) and not whatsoever full authority over its own capacity to utilize power -- or, unless the definitional characteristic of a sovereign state is that it is not sovereign, really:

--sov·er·eign adj. Abbr. sov. 1. Self-governing; independent: a sovereign state. 2. Having supreme rank or power: a sovereign prince. 3. Paramount; supreme: her sovereign virtue is compassion. 4.a. Of superlative strength or efficacy: a sovereign remedy. b. Unmitigated: sovereign contempt.

[American Heritage Dictionary, electronic version]

Curtis,

It may help you to read MA v. EPA, or my original blog post on the matter, as it may help you understand "dignity without full authority.' As it is, I am not sure if you are arguing in ignorance of the Court's record on the matter, or in opposition to it.

Dan,

What is the Court's record, vis-a-vis Griswold v. Connecticut, Roe v. Wade, and Lawrence v. Texas?

From Lawrence:

In his dissenting opinion in Bowers Justice Stevens concluded that (1) the fact a State’s governing majority has traditionally viewed a particular practice as immoral is not a sufficient reason for upholding a law prohibiting the practice, and (2) individual decisions concerning the intimacies of physical relationships, even when not intended to produce offspring, are a form of “liberty” protected by due process. That analysis should have controlled Bowers, and it controls here. Bowers was not correct when it was decided, is not correct today, and is hereby overruled.

I.e., in your terminology, if I am an adult (as considered within the corpus of the law of the land) able to consent (again, vis-a-vis the law), I shall have no Father but my natural biological or legally adoptive father, and he shall not have dominion over me. I am a sovereign individual.

A lot of fancy footwork, btw:

"The case has been argued largely as if it were one between two private parties; but it is not. The very elements that would be relied upon in a suit between fellow-citizens as a ground for equitable relief are wanting here. The State owns very little of the territory alleged to be affected, and the damage to it capable of estimate in money, possibly, at least, is small. This is a suit by a State for an injury to it in its capacity of quasi-sovereign.[1] In that capacity the State has an interest independent of and behind the titles of its citizens, in all the earth and air within its domain. It has the last word as to whether its mountains shall be stripped of their forests and its inhabitants shall breathe pure air."

Just as Georgia's "independent interest ... in all the earth and air within its domain" supported federal jurisdiction a century ago, so too does Massachusetts' well-founded desire to preserve its sovereign territory [2] today. Cf. Alden v. Maine, 527 U. S. 706, 715 (1999) (observing that in the federal system, the States "are not relegated to the role of mere provinces or political corporations, but retain the dignity, though not the full authority, of sovereignty" [3]). That Massachusetts does in fact own a great deal of the "territory alleged to be affected" only reinforces the conclusion that its stake in the outcome of this case is sufficiently concrete to warrant the exercise of federal judicial power.

When a State enters the Union, it surrenders certain sovereign prerogatives [4]. Massachusetts cannot invade Rhode Island to force reductions in greenhouse gas emissions, it cannot negotiate an emissions treaty with China or India, and in some circumstances the exercise of its police powers to reduce in-state motor-vehicle emissions might well be pre-empted. See Alfred L. Snapp & Son, Inc. v. Puerto Rico ex rel. Barez, 458 U. S. 592, 607 (1982) ("One helpful indication in determining whether an alleged injury to the health and welfare of its citizens suffices to give the State standing to sue parens patriae [5] is whether the injury is one that the State, if it could, would likely attempt to address through its sovereign lawmaking powers").

These sovereign prerogatives are now lodged in the Federal Government, and Congress has ordered EPA to protect Massachusetts (among others) by prescribing standards applicable to the "emission of any air pollutant from any class or classes of new motor vehicle engines, which in [the Administrator's] judgment cause, or contribute to, air pollution which may reasonably be anticipated to endanger public health or welfare." [6] 42 U. S. C. §7521(a)(1). Congress has moreover recognized a concomitant procedural right to challenge the rejection of its rulemaking petition as arbitrary and capricious [7]. §7607(b)(1). Given that procedural right [8] and Massachusetts' stake in protecting its quasi-sovereign[9] interests, the Commonwealth is entitled to special solicitude in our standing analysis.

[1] & [2] Note that Justice Stevens makes use of a citation from Justice Holmes [1907] to support his argument, but the quasi-sovereign nature -- italics on quasi- actually carried over by Stevens -- later becomes the "sovereign" that you have made the full point of the argument? This is dissimulation, the attempt to make a prior concept into something else by dropping the qualifier; to make the skew complete, the phrase "the dignity...of sovereignty" [3] -- which is meaningless, per my previous comment -- is transcribed from a rulling 92 years after the quasi-sovereignty is declared in a ruling.

Note again, in case it slipped, my mention of adaptation, or that joining the Union altered the sovereign nature that was pre-existent; because here Stevens admits as much. [4]

One might also argue that parens patriae only has meaning if a people pre-exist; i.e., individuals must be harmed. [5] Although Stevens is taking great pains to also argue that the State as an entity separate from the people has a quasi-sovereignty -- er, sovereignty? dignity/metaphoric-style sovereignty? --that gives it the right to protect its territory [2] -- note the italics I have used on that word -- the argument from parens patriae is one that presupposes a pre-existent people.

Finally, note that the right to sue does not come solely from any sort of actual status as a sovereign-but-joined-in-union status. No, the Congress, which is a federal institution, made it possible, according to Stevens' argument. [6] [7] [8] This consideration does not match up well with the gist of your argument that "States are not creatures of the Federal Government but pre-existant of the Federal Government." Well, they were pre-existent, to be sure; but even as Stevens himself finally declares, in a summation of this branch of the argument -- after considering the skewed concept of sovereignty and then the role of the Congress in this case (not to mention the pre-existent individual citizens of Massachusetts) -- they have only quasi-sovereignty. [9] So he reverts to the initial characterization for clarity, although a "States Righter" might miss that fact. ;)

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