Non Dubito Essays in the Self-as-an-End Tradition
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← 凿构周期律·美国总统系列 ← Chisel-Construct Cycle: US Presidents
凿构周期律 · 美国总统系列
Chisel-Construct Cycle · US Presidents
第 01 篇,共 26 篇
Essay 01 of 26

第一篇:华盛顿——一套不追求闭合的构开始运行

Essay 1: Washington — An Open-Ended Construct Begins to Run

Han Qin (秦汉)

1787年的费城给了美国一个框架,却没有给它运行说明。宪法规定了三个分支怎样产生,彼此怎样牵制,却几乎没有规定一个总统该如何就职,如何与国会和参议院日常往来,是否以及怎样把几位部长召到一起商议,财政国家如何从无到有地建起来,总统在一场突如其来的外交危机里能不能先于国会把国家的立场宣布出去。这些问题在纸面上都是空白。后来被当作美国制度天然组成部分的许多东西,在1789到1797这八年里都还只是未定型的做法。它们之所以获得了制度的分量,是因为华盛顿用一种特定的方式把空白填上了,而他填的方式成了后人沿袭的先例。

把华盛顿任期放在整个系列的起点上,最稳的判断不是把他写成不可替代的伟人,而是看清一件更具体的事:他的历史意义,在于把一个设计中的共和国转化为一个运转中的共和国。而这个转化从第一天起就伴随着制度无法消除,只能容纳的张力。

这里需要先点出美国这套构区别于此前许多构的一个根本特征。设计这套机器的麦迪逊一代,没有把希望寄托在统治者的德性上。他们假设掌权者会犯错,会被利益和激情驱动,会试图越过自己的边界,于是用分权,用制衡,用联邦与州的双重结构,把冲突和异见容纳进制度本身,而不是设法把它们消除干净。换句话说,这套构在设计之初就放弃了闭合。而且它不只是被动地不去消除分歧,它还主动承认了分歧与纷争的正当性,把冲突容纳进自己的结构,给它合法的渠道。它不追求一个没有分歧的统一意志,不追求一劳永逸地把矛盾解决掉,而是准备让矛盾长期存在,被结构吸纳,并在结构之内继续演化。正因为如此,这套构产生的余项才不必导致它的断裂,而是被它持续地装进来,并一路发展下去。这也正是这个系列可以一路写到两个世纪之后而不必中断的原因:余项被持续容纳的过程一直在继续。这一点后面会反复显现,它也是美国这套构区别于本系列此前许多追求闭合的构的根本之处。

华盛顿恰好站在这个特征第一次接受检验的位置上。他个人未必完全认同这种设计。他厌恶党派,向往一种立于纷争之上的共和团结。但他要去运行的这套机器,其逻辑与他的个人向往并不完全一致。这八年的故事,某种意义上就是一套不追求闭合的构,如何在一个向往闭合的人手里开始运行,而最终是构的逻辑占了上风。

一、先例:把框架补成制度

1789年4月30日,华盛顿在纽约联邦大厅宣誓就任。宣誓之后,他走进参议院议场,向参众两院发表了第一次就职演说。这件事本身就是一个先例。宪法并没有要求总统发表就职演说,但华盛顿这样做了之后,它就成了后任总统一直沿袭的惯例。一个并非出自宪法明文的动作,从此被当作总统职位的固有部分。

华盛顿对自己正在制造先例这件事有非常清醒的自觉。就在就任前不久,他在给亨利·诺克斯的信里,把自己接受总统职位的心情比作一个被判死刑的人在行刑临近时的感受。第二年初,他又在另一封信里写下那句后来极常被引用的话,说自己是在走一片未经踏足的土地(I walk on untrodden ground),几乎每一步行为都可能被后人引为先例。这不是修辞性的自谦,而是对处境的准确描述:总统这个职位当时还没有使用说明书,写说明书的人就是他自己。

第一次就职演说也透露出他对这个角色的理解。他在开头强调自己并非热切追逐权位,而是带着焦虑接受公共的召唤。他在中段把新政府的成败与公民的德性,制度的实践,公共的责任联结在一起。他在结尾把共和国的命运押在人民身上,用了自由的神圣火种(sacred fire of liberty)和共和政体的样板(republican model of government)这样的说法。这篇演说既是新政府的开场白,也是对这个共和国实验性质的一次明示:它的成败还没有定数,要靠运行本身来回答。

人事的安排同样显出纸面与实践之间的落差。宪法并没有创设一个叫作内阁的集体机构。1789年夏秋,国会接连建立了战争部,财政部,外交部,随后把外交部改组为国务院,司法法又设立了总检察长。到这年秋天,华盛顿已经确定了后来被视为第一内阁核心的几位要员:财政部长汉密尔顿,国务卿杰斐逊,战争部长诺克斯,司法部长伦道夫。

但这里有一个值得留意的现代修正。内阁并不是1789年一上台就现成存在的东西。历史学家切尔文斯基的研究指出,华盛顿在任期的头两年多,主要依靠书面意见,分别召见和临时商议来处理政务,直到1791年底,他才召开了通常被视为美国历史上第一次正式全体内阁会议的集体会议。也就是说,内阁不是宪法文本直接造出来的,而是华盛顿在治理压力下逐步发明出来的一种行政协商形式。关于他任内究竟开了多少次正式内阁会议,现代文献本身还有九十七次和九十九次这样的轻微差异,而这种差异恰恰说明,在当时,什么样的会议才算正式内阁会议,本身都还没有定型。一个制度在它最核心的运作形式上都尚未凝固,这正是这套构开局时的真实状态。

二、财政国家:把构推入实战

把这套构第一次推入实战的,是汉密尔顿的财政方案。1790年初,汉密尔顿向国会提交了关于公共信用的报告,提出把全国革命战争留下的债务的处理,变成新国家信用的基础。他算出的债务总额大约是七千七百万美元,其中包括联邦债务,各州债务和拖欠的利息。他的核心原则是按合同面额维持债务的信誉,让联邦承担各州的债务,并把公共信用变成国家能力的一部分。

这套方案有两个政治爆点。一个是承担州债。由联邦把各州的革命债务接过来,北方若干州支持,南方一些已经大体还清了自己债务的州强烈不满,因为这意味着它们要替别州埋单。另一个是究竟该偿付给谁。是否应当照面值支付当前的证券持有人,而不去区分最初的持有者和后来低价买进的投机者。麦迪逊在众议院主张对原始持有人作某种补偿性的区分,汉密尔顿则坚持合同的连续性和市场信用优先,他认为一旦破坏了现持有人的权利,整个新国家的信用根基都会动摇。

围绕承担州债的僵局,最终通过1790年的一次政治交易被打通。传统叙事把它称为晚餐桌妥协:杰斐逊在自己家中宴请汉密尔顿和麦迪逊,促成了一个交换,以首都最终设在波托马克河畔,换取州债承担方案的通过。结果是当年7月通过了住所法,确定首都将迁往波托马克,8月通过了拨款法,为联邦债务和承担州债提供了法律基础。这里有两点需要说明。第一,这个晚餐桌妥协作为一桩具体密室交易的细节,主要来自杰斐逊后来的回忆,所以在细节层面不可能像法案文本那样确定。第二,但作为一次政治交换的基本轮廓,它被多数研究所接受。一个值得记住的事实是,连首都设在何处这样的根本问题,都是靠交易而非靠某种预定方案解决的。

紧接着出现的是国家银行之争。1790年底,汉密尔顿提交了关于国家银行的报告,第二年2月,第一合众国银行的法案通过,华盛顿在2月25日签署使它成法。围绕银行的争论第一次把宪法解释的问题尖锐化。汉密尔顿主张国会可以依据必要与适当条款行使默示的权力,杰斐逊和麦迪逊则坚持较严格的列举权力解释,认为宪法并没有授予联邦设立公司的明文权力。华盛顿最终接受了汉密尔顿的解释,没有否决这个法案。这个决定为后来宽解释联邦权力开了一个极重要的先例。

从长远影响看,史学界对汉密尔顿方案的评价并非一个声音。一条解释线,尤其在经济史里,认为汉密尔顿这套公共信用,国家银行,证券市场相互配合的安排,为美国近代的资本市场,公司融资和国家借贷能力奠定了金融基础,相关研究甚至指出在1790到1792年间,全国新特许公司的数量和证券交易的活跃度都出现了异常快速的扩张。另一条解释线,沿着比尔德一系的传统,更强调这套方案与证券持有人,商人和有产利益的结合,认为它在建设国家的同时,也把特定利益集团嵌进了新制度里。较新的研究,例如埃德林,则试图把问题从个人是否偏袒精英,挪回到国家能力上:重点不在汉密尔顿究竟有没有偏向有产者,而在他如何用公共信用,把一个几乎没有财政能力的松散联盟,变成一个能够行动的国家。把这几种判断并置,正可以看出,财政国家的建立既是一次能力的奠基,也是一次利益的安排,两者并不互相排斥。

这一点对理解这套构尤其重要。一套放弃了闭合,准备长期容纳冲突的构,并不因此就不需要力量。恰恰相反,它比一套靠强制达成统一的构更需要真实的国家能力,因为它要在分歧持续存在的条件下仍然能够行动,能够偿债,能够在国际体系里被当作一个可信的对手。在此之前,邦联在财政上几乎是瘫痪的,它能议而难以行,连军队的欠饷和对外的债务都难以应付。华盛顿任内建立起来的财政国家,无论后人如何评价它的利益归属,都第一次让这套构拥有了把决定转化为行动的物质基础。容纳分歧的构需要的不是更少的能力,而是更稳固的能力,否则它会在第一次真正的压力面前散架。这条线索此后会反复出现:每当这套构遭遇足以动摇它的危机,它的回应往往不是收缩,而是扩张自己行动的能力,从林肯的战时财政,到新政的行政国家,再到冷战的国家安全体制。能力的累积,是这套不追求闭合的构得以在两个多世纪里持续容纳余项的物质前提。而这条线索的起点,就在汉密尔顿这几份报告里。

三、被承认的余项:党派纷争

华盛顿不喜欢政党。到1796年的告别信里,这一点已经写得非常清楚。但华盛顿政府的运行本身,却把政党生成所需要的全部条件都推到了台前。

汉密尔顿的路数,是建立一个有公信力,有偿债能力,能整合商人和债权人利益,在国际体系里站得住的强联邦国家。杰斐逊和麦迪逊越来越担心,这样一个国家会把财政,行政和社会影响力集中到少数人手里,使共和国偏离以地方自治和独立农民为基础的政治德性。所以,所谓汉密尔顿对杰斐逊,绝不能只写成性格的冲突,而必须写成一场关于国家应当如何建构的路线之争。在财政上,这是公共信用,银行,承担州债与如何看待金融精英之争。在宪法上,这是宽解释与严格解释之争。在社会图景上,这是商业金融的共和国与农业共和的想象之争。在外交上,它逐渐表现为对英国和对法国革命的不同判断。到1792和1793年,支持政府和反对政府的两派,已经在报纸,在国会投票,在州一级的组织和全国舆论里,形成了相当稳定的网络。杰斐逊和麦迪逊最终合作打造出反行政派的网络,也就是后来的民主共和派,汉密尔顿则借助财政和报纸的网络,把支持政府的一方整合成联邦党人。

这里需要把概念分得更准一些。真正消除不掉的那个余项,并不是党派这种组织本身,而是党派纷争,是那种由根本分歧生出的政治冲突本身。党派只是这种冲突被组织起来,被看见的形式。华盛顿警告的也正是党派的精神,是纷争本身,而不仅仅是组织的存在。所以这里最值得强调的结构问题是:在一个竞争性的代议制度里,只要对国家方向的重大分歧足够持续,纷争就一定会生成,并迟早组织成党派,这是高度可预测的结果。华盛顿把党派视为危险,却没有能力阻止纷争出现。这并不说明他个人的失败,而说明制度并不会自动把深刻的分歧消解成共识。

这正是这套构的关键之处,也是它区别于一个追求闭合的秩序的地方。一个追求闭合的构,会把纷争看成必须铲除的病灶,会用各种方式把异见压下去,去求一个统一的意志。美国这套构不这样做。它不假设分歧会消失,也不指望靠一位超然的领袖把分歧压平,它干脆承认纷争的正当性,给它分权,制衡,报纸和选举这些公开的渠道,让它在结构之内较量。华盛顿向往的那种没有党派的共和团结,本质上是一种闭合的期待,期待一个统一的国家意志。而他要运行的这套构,在设计上恰恰不依赖也不追求这种统一意志。两者相遇,最终是构的逻辑显现了出来:纷争照样生成,党派照样出现,并且被这套制度认了进去,没有撕裂它。

承认与压制的区别,后果极为深远。被承认的余项可以在公开的渠道里持续发展,可以演化,重组,改变形态,却始终留在制度的视野之内。被压制的余项则会转入地下,积蓄起来,然后周期性地以激烈甚至暴烈的方式重新爆发。这正是美国的故事与本系列此前那些故事的一个根本分别。美国从第一届政府起就显得很乱,党争激烈,报纸相互攻讦,这种乱常被后人当作制度的缺陷。但换一个角度看,这种乱恰恰是这套构承认余项的证据,纷争之所以这样公开而持续,正因为它没有被压下去。一套从一开始就把冲突认进设计的构,注定看上去不如一个追求统一的秩序那样整齐,但也正因为如此,它产生的余项才得以一路发展下去,而不是被压回,再在某个时刻炸开。

关于华盛顿本人究竟有多超党派,现代研究比传统教科书要谨慎得多。较老的,较崇敬的叙事常强调他始终立于党派之上。但近年更多的研究会指出,在关键政策上,尤其是在银行,财政,对法危机以及后来对杰伊条约的坚持上,他越来越多地站到了汉密尔顿一边。有学者把这种处境概括为华盛顿与党派的悖论:他反对党派政治,却在政策上成了联邦党纲领最重要的保护者之一。更细致的说法应当是,他反对的是党派精神本身,但在一项又一项治理选择中,逐渐偏向了汉密尔顿式的国家建构。所以华盛顿的局限,与其说是个人的伪装,不如说是制度的现实:他想超越党派,却不得不在每一次重大分歧中不断选边。一个想要立于纷争之上的人,被他所运行的构一次次拉回到纷争之中,这件事本身就说明了余项的不可回避。

四、外交危机把行政权的问题逼了出来

如果说党派是这套构在内部生成的余项,那么外交危机则在另一个方向上逼出了一个同样长久的问题:总统在对外事务上究竟拥有多大的主动权。

1793年欧洲大战重新爆发后,华盛顿在4月22日发布了中立宣言。这份文件的关键措辞,不是抽象地说美国中立,而是说美国将对交战各国采取友好而不偏不倚(friendly and impartial)的态度,并警告美国公民不要以私人行动破坏这种立场,否则将得不到联邦的保护,并可能被起诉。这里真正重要的是,总统是在国会还没有先行立法表态的情况下,先把国家的外交姿态宣布了出来。这就是后来关于行政外交权的争论的真正起点。

随后爆发的帕西菲克斯与赫尔维迪斯之争,把这个问题理论化了。汉密尔顿以帕西菲克斯之名为宣言辩护,主张宪法把一般的行政权授予了总统,除了明文保留给国会的例外之外,总统可以先行判断国家的对外义务和立场。麦迪逊以赫尔维迪斯之名反驳,认为与战争和和平相关的权力根本上属于立法部门,总统不能通过宣布中立来变相决定国家的对外法律地位。这两个人的争论,实际上把总统是否拥有广泛对外主动权这个问题,第一次完整地摆上了台面。而这个问题,在此后的两个多世纪里都不会消失。它会在林肯手里,在罗斯福手里,在冷战的国家安全体制里,在尼克松手里,一次次以新的形态重新出现。中立宣言并没有关闭这个问题,它只是把这个问题打开了。这又是一个余项:这套构开启了一个关于行政权边界的争论,却没有也无法一劳永逸地为它划定终点。

热内事件把中立政策从抽象的法理变成了街头的政治。法国使节热内1793年抵达美国后,在查尔斯顿等地发放私掠许可证,鼓动美国人支持法国去对抗英国和西班牙。在遭到联邦政府警告之后,他仍然继续推动私掠行动,甚至试图绕过政府,直接诉诸美国公众。华盛顿政府最终要求法国把他召回。这件事检验的不是美国是否亲法,而是:一个外国使节能不能把美国国内的分歧直接转化为外交政策,从而绕开宪制的程序。

杰伊条约把这种分歧进一步制度化了。条约在1794年11月签订,华盛顿在第二年6月把它送交参议院征求同意,参议院以二十比十这个刚好达到三分之二门槛的票数附条件通过,华盛顿在当年8月批准,条约在1796年2月正式公布生效。当时的记录都承认,这个条约在公众中极不受欢迎。但华盛顿认为,它换来的是避免与英国开战,以及一段让国家继续整固,恢复和重新武装的时间。对反对者来说,这是向英国,向商业利益和向联邦行政权的让步。对支持者来说,这是一个弱国在国际体系里的现实主义保全。

把这三件事放在一起,可以看出一条很有力的结构线:1793到1796年间的外交危机,为美国的总统制补写了一整套关于危机中行政主动性的先例,而这些先例从一开始就不是无争议的。中立宣言,热内事件和杰伊条约,不是三条彼此孤立的外交新闻,而是一段连续的制度史。它们共同确立的,不是一个对行政权的明确结论,而是一个会被反复争夺的开放地带。

五、联邦政府能不能在自己境内执行法律

外交危机考验的是总统对外的权力。1794年的威士忌暴动,考验的则是新政府一个更朴素的问题:联邦的法律能不能在联邦的领土上真正执行。

1791年酒类消费税通过之后,宾夕法尼亚西部等边疆地区的农民强烈反对。在那里,威士忌不只是一种商品,也是把谷物变成可以运输的价值的一种方式。在现金稀缺,运输困难,与东部市场联系薄弱的条件下,这种税在当地被感受为对边疆社会的不成比例的打击。围绕抗税的恐吓和对税务官的暴力迅速升级。

1794年夏天,局势在内维尔事件之后到达高点。愤怒的人群围攻并烧毁了税务官约翰·内维尔的住宅,数千名反抗者在布拉多克平原聚集。依据1792年的民兵法,在法官确认普通的司法程序已经不足以执行法律之后,总统得以征调民兵。华盛顿先发布公告,再派出和平特使,谈判失败之后,征调了宾夕法尼亚,马里兰,弗吉尼亚和新泽西的民兵。官方和公共史的资料通常把这支部队说成接近一万三千人。

一个关键的细节是,华盛顿确实亲自随军西进,但并不是一路亲自担任战场指挥。芒特弗农的资料指出,他亲自率领部分军队前进到宾夕法尼亚的贝德福德,随后把继续推进和清剿的执行工作交给了亨利·李等人。所以更准确的写法,不是总统一路亲征平叛,而是他以总统的身份亲自出面动员并伴随军队,借此显明联邦权威的决心。

最后的结果是,武装力量的存在本身就瓦解了反抗。军队进入西宾夕法尼亚之后,并没有发生真正意义上的大会战,大约一百五十人被捕,绝大多数因证据不足被释放,只有两人被判叛国,随后都被华盛顿赦免。这个结果的重要性不在于流血的规模,而在于它向全国说明了一件事:联邦政府不是只能立法,它也能执行。同时,现代的研究也会提醒,这次镇压并不是一份完美的法治教材,抓捕和押解过程中的粗暴和程序上的问题,在地方的记忆里留下了明显的阴影。一套构在证明自己能够执法的同时,也在被执法的人那里留下了新的不满。能力的确立与代价的产生,往往是同一件事的两面。

六、最深的余项:奴隶制

在党派,在行政权,在执法这些问题之外,华盛顿任期还连着一个比它们都更深的余项。这个余项不属于权力如何分配的范畴,而属于这个共和国把谁算作共同体成员的范畴。这就是奴隶制。

新生的共和国把自由作为自己的奠基语言,却把相当一部分生活在它疆域之内的人排除在这套语言之外。华盛顿本人就是这一矛盾最直接的体现。到1799年他去世时,芒特弗农一共有三百一十七名被奴役者,其中只有一百二十三人是他本人依法拥有,因而能由他在遗嘱中安排解放的,其余许多人属于他妻子通过继承所控制的陪嫁奴隶。芒特弗农和相关研究都强调,华盛顿在遗嘱中要求在妻子去世之后解放他名下的被奴役者,这是一个重要而少见的决定,但它只覆盖了庄园里不到一半的被奴役人口。若把范围放宽,有估计认为他一生中拥有或管理过的被奴役者总数大约在六百七十人上下。

更复杂之处在于,华盛顿确实在私下表达过对奴隶制的不安和对渐进废除的希望。对他私人通信的研究表明,在1780和1790年代,他多次表示自己不愿再做奴隶主,不愿买卖奴隶或拆散他们的家庭,并倾向于通过立法的方式推动渐进的废除。他甚至在一处私人表态里说,自己比任何活着的人都更真诚地希望看到某种废奴方案被采用,但必须通过立法的权威来完成。然而与此同时,作为总统,他没有公开举起反奴隶制的旗帜,而且在费城任内,他还秘密轮换被奴役的仆役,以规避宾夕法尼亚渐进废奴法关于居留六个月即可获自由的规定。被奴役的奥娜·贾奇正是在这一背景下于1796年逃离。

所以现代史学处理的,并不是他到底反不反对奴隶制这样一个简单的判断,而是一个更结构性的问题:一个在私下越来越不安于奴隶制的人,为什么在公共和制度的层面,仍然深度地维护了奴隶制的秩序。这个问题的答案不在个人的虚伪,而在结构的力量。奴隶制在当时的南方不只是一种道德选择,它是种植园经济的劳动基础,是华盛顿本人财富的一部分,是把这个新联盟维系在一起的妥协的一部分。个人的不安无法撼动这样一套嵌得很深的结构。于是这个最深的余项,在建国的时刻被容纳了下来,被推迟了,却没有被解决。它会在密苏里的争论里重新浮现,会在内战的炮火里几乎撕裂这套构,会迫使这套构在半个多世纪后重写自己最根本的规则。建国者把自由写进了共和国的语言,却把这个余项一并留给了后人。一套不追求闭合的构,在这里展示了它最沉重的一面:它能够容纳一个连建国者自己都感到不安的矛盾,让这个矛盾长期存在,直到后来的人有力量去面对它。

七、告别与退位:构的第一次自我限界

1796年的告别信,首先需要把它的文体界定准确。它不是一篇对国会发表的离任演说,而是一封面向公众的公开信,在当年9月19日刊登于费城的一份报纸。它的形成也不是一蹴而就。早在1792年,华盛顿就曾考虑不再竞选连任,当时麦迪逊替他起草过一个早期的版本。到1796年真正决定退出时,汉密尔顿承担了主要的改写和重写工作,但华盛顿本人始终参与修改并做了最后的定稿。把它简单地说成汉密尔顿代笔过于粗糙,更准确的说法是,思想是华盛顿的,文字工程里汉密尔顿出力极大,而1792年麦迪逊的早稿也是重要的前史。

关于党派,告别信里最需要准确引述的是几个短语。华盛顿警告的是党派的精神(the spirit of party),而且特别提到了按地域来划分的派别(geographical discriminations)。这并不等于他预见了后来一切形态的党争,也不等于他主张取消一切政治分组,但它确实表明,他把党派的竞争看成共和政体里一个不可忽视的危险,尤其当党派的对立给外部势力以可乘之机的时候。

关于外交,告别信里最常被误引的一点,是后世喜欢用纠缠性同盟这个说法来概括华盛顿的立场。华盛顿的原文并不用这个词。他实际写的是要避开永久性的同盟(permanent alliances),同时又明确补上一句,国家在非常时期可以依靠为特殊紧急情况而结的临时同盟(temporary alliances for extraordinary emergencies)。这意味着他反对的是长期固定的政治和军事捆绑,而不是一切临时的合作,更不是自我封闭。把这段写成华盛顿主张美国永不结盟,是明显的过度简化。

但告别信真正落在制度史上的重量,还不只在于它说了什么,而在于它配合了一个行动:华盛顿主动不寻求第三任。他并不是被法律强迫下台,恰恰相反,当时很多人希望他继续留任。正因为如此,这个决定才具有鲜明的符号意义。它说明,总统这个职位不是为某一个不可替代的人而存在的,而应当能够在任何个人退出之后继续存在下去。

这正是这套构的第一次自我限界,也是它能够运行下去的一个决定性证明。前面几节显示,这套构产生的余项一个接一个:党派,行政权的边界,执法的代价,最深处的奴隶制。它没有把这些余项消除,而是把它们容纳了下来。现在,在告别的时刻,它要回答最后一个问题:当那个把个人威望转化为制度合法性的人离开之后,这套构还能不能立得住。华盛顿用主动的退出回答了这个问题。他向全国证明,这套构不依赖某个特定的人,不需要一个永久的核心,也不需要一个统一的意志,它可以在被容纳的冲突和轮替的权力之上继续运转。一个向往团结的人,最终用自己的退场,确认了一套准备长期容纳分歧的构。

这个先例此后长期作为一条不成文的规范存在,直到富兰克林·罗斯福在1940和1944年连任了第三和第四届之后,国会才提出并于1951年批准了第二十二修正案,把两届的限制正式写进宪法的文本。所以更准确的理解是,华盛顿用退出完成了总统职位的第一次自我限界,而1951年的修正案只是把这条已经存在了一个半世纪的不成文宪法,写成了明文。这件事本身也很能说明这套构的运作方式:它的许多最重要的规则,并不是一开始就被写定的,而是先在实践中被立起来,被长久地遵守,直到某个时刻才被追认为成文。

八、结语:余项不会被自动消解

回到这个系列的起点上来看,华盛顿的八年提供了一个范本,说明一套不追求闭合的构是怎样开始运行的。

它的含义在运行中被先例一点点补出来,从就职演说到内阁会议,从财政方案到执法行动,许多后来被当作天经地义的制度,当时都还只是未定型的选择。它一开动就生成了它消除不掉的余项,也就是政治纷争本身,党派沿着财政,宪法,社会和外交的轴线迅速形成,把这种纷争组织了起来,而这不是某些人道德上的失败,是一个竞争性代议制度面对持续分歧时高度可预测的结果。它没有把这种纷争压下去,而是承认了它,给了它公开较量的渠道。它在外交危机里打开了一个关于行政权边界的争论,这个争论此后两个多世纪都不会关闭。它在威士忌暴动里证明了自己能够执法,同时也在被执法的人那里留下了新的不满。它在最深处容纳了奴隶制这个连建国者自己都感到不安的矛盾,把它推迟给了后人。最后,它通过华盛顿的主动退位完成了第一次自我限界,证明这套构不依赖任何不可替代的人。

这里最值得记住的,是这套构与它的运行者之间的那种张力。华盛顿向往一种没有党派的统一,那是一种闭合的期待。但他要去运行的这套构,在设计上就放弃了闭合,它准备让矛盾长期存在并被结构吸纳。两者相遇,最终显现出来的是构的逻辑。纷争照样生成,党派照样出现,并被这套制度承认进来,行政权的边界保持着开放,奴隶制的余项被留给了未来,而权力在一个人离开之后照常运转。

也正因为这套构的许多东西在当时都还没有定数,个人的选择才有了格外被放大的效应。不可或缺的人,是华盛顿史学中最著名的母题之一。强调这一点的传统一直很强,它认为美国在制度最脆弱的时候,恰好拥有一位全国声望独高,又愿意把个人威望转化为制度合法性的领导者,这几乎是共和国能否活下来的关键条件。这个判断有它的道理,不必否认。但现代研究也更愿意把华盛顿放回结构之中,提醒人们,许多被算作他个人创造的东西,其实也是由国会建立部门,由外交危机,由行政对信息的需求,由早期国家能力的缺口共同逼出来的。较好的写法,不是在伟人决定论和结构决定论之间二选一。华盛顿当然重要,但他的重要,并不来自他单独决定了历史的走向,而来自他恰好站在一个一切都尚未凝固的位置上,他的每一个选择都更容易固化成后人的先例。把他写成一个不可替代的伟人,和把他写成一个无足轻重的符号,都不准确。更接近实情的说法是,正因为结构尚未确定,他的选择才显得如此关键。这既不是伟人决定一切,也不是结构决定一切,而是结构的未定让个人的选择有了被放大的空间。这一点对整个系列都成立:构与个人不是相互排斥的两种解释,而是结构越是未定,个人的选择就越有放大的效应。

这套构开始运行了。它没有解决它产生的任何一个根本性的余项,它只是开始把它们一个个容纳进来。党派之间的纷争会在下一次大选里立刻重新涌现,并在一个想用法律压制异见的时刻,把这套构第一次试图闭合的冲动逼出来。那是亚当斯的故事。而奴隶制这个最深的余项,会在更远的地方等着这套构,等着它在自己最大的压力下,被迫去面对那个建国时被一并留下的问题。

Philadelphia in 1787 gave America a framework but no operating manual. The Constitution specified how the three branches would be formed and how they would check each other, but it said almost nothing about how a president should take office, how he should conduct daily business with Congress, whether he should assemble his department heads as a council, how a fiscal state should be built from nothing, or whether he could announce the nation's position in a sudden foreign crisis before Congress had acted. These questions were blanks on paper. Many things later taken for granted as natural features of American government were, during those eight years from 1789 to 1797, nothing more than unsolidified practices. They acquired institutional weight because Washington filled the blanks in a particular way, and the way he filled them became the precedents that successors followed.

The most stable judgment about Washington's presidency is not that he was an indispensable great man, but something more specific: his historical significance lay in converting a designed republic into a functioning republic. And that conversion was accompanied, from its very first day, by tensions the institution could not eliminate — only contain.

One fundamental feature of this construct distinguishes it from many that came before. Madison's generation, the designers of the machine, placed no confidence in the virtue of rulers. They assumed that those who held power would make mistakes, be driven by interest and passion, and try to overstep their boundaries. So they used separation of powers, checks and balances, and the dual structure of federal and state authority to accommodate conflict and dissent within the institution itself rather than trying to eliminate them. This construct, in other words, abandoned closure from the start. And it did not merely fail to suppress disagreement — it actively acknowledged the legitimacy of disagreement and faction, giving conflict legal channels within its structure. It did not pursue a unified will without discord; it prepared to let contradictions persist, be absorbed by structure, and continue evolving within structure. That is why the remainders this construct generates need not tear it apart — they are continuously taken in and carried forward. It is also why this series can run for two centuries without interruption.

Washington stood at exactly the position where this feature would face its first test. He may not have fully accepted the design. He detested factions and longed for a republican unity that stood above strife. But the machine he was asked to operate had a logic that did not align with his personal aspirations. In some sense, the story of these eight years is the story of how a construct that did not seek closure began to run under a man who longed for closure — and how, in the end, the construct's logic prevailed.

1. Precedents: Completing the Framework into an Institution

On April 30, 1789, Washington took the oath of office at Federal Hall in New York. Afterward he entered the Senate chamber and delivered the first inaugural address to both houses of Congress. This act was itself a precedent. The Constitution did not require an inaugural address, but after Washington did it, it became a practice that every successor followed. A gesture with no explicit constitutional basis became, from that moment, an assumed part of the office.

Washington was acutely conscious that he was making precedents. Shortly before taking office, he wrote to Henry Knox comparing his feelings about accepting the presidency to those of a person condemned to death as the moment of execution approaches. The following year he wrote the famous line that he walked on untrodden ground, and that almost every step of his conduct might be drawn into precedent. This was not rhetorical modesty — it was an accurate description of his situation. The presidency had no instruction manual; he was the one writing it.

The cabinet presented another gap between text and practice. The Constitution did not create any collective body called a cabinet. Congress established the War Department, the Treasury, and a Department of Foreign Affairs (soon reorganized as the State Department) in summer and fall of 1789, and the Judiciary Act created the Attorney General. By autumn Washington had settled the core of what would be called his first cabinet: Hamilton at Treasury, Jefferson at State, Knox at War, Randolph as Attorney General. But the cabinet did not spring into existence fully formed. Historical research indicates that for the first two-plus years, Washington relied primarily on written opinions and individual consultations. The first recognized full cabinet meeting came only in late 1791. The cabinet, in other words, was not produced directly by constitutional text — it was an administrative form gradually invented under the pressure of governance. That a central institution of executive operations was still uncongealed even in its most basic form: that was the true state of this construct at its opening.

2. The Fiscal State: Putting the Construct into Combat

Hamilton's financial program was what first drove this construct into real action. In early 1790, Hamilton submitted to Congress his Report on Public Credit, proposing to treat the management of the national debt left by the Revolutionary War as the foundation of the new nation's creditworthiness. His core principle was to maintain the debt at face value, have the federal government assume state debts, and make public credit an instrument of state capacity.

The proposal had two political flashpoints. Assumption of state debts was opposed by southern states that had largely paid down their own obligations and did not want to subsidize others. The question of who should be paid — whether to honor present holders of securities at face value without distinguishing original holders from speculators who had bought cheap — divided Madison and Hamilton. Madison argued for some compensatory distinction in favor of original holders; Hamilton insisted on honoring contracts as they stood, arguing that the nation's credit would be destroyed if the rights of current holders were compromised.

The impasse over assumption was broken through a political exchange known in traditional accounts as the Dinner Table Compromise. Jefferson hosted Hamilton and Madison at dinner, facilitating a trade: the capital would be placed on the Potomac, and assumption would pass. The Residence Act followed in July, and the Funding Act in August. Whether the dinner was a literal sealed deal or a somewhat less formal alignment of interests remains debated — the account rests largely on Jefferson's later recollections — but the basic outline of an exchange has been accepted by most historians. The fact that even the location of the capital was determined by trade rather than by some predetermined plan is itself worth noting.

The bank controversy followed immediately. Hamilton's Report on a National Bank came at the end of 1790; Congress passed the bill for the First Bank of the United States; Washington signed it into law on February 25, 1791. The debate sharpened the question of constitutional interpretation for the first time. Hamilton argued Congress could exercise implied powers under the Necessary and Proper Clause. Jefferson and Madison insisted on a stricter reading of enumerated powers. Washington accepted Hamilton's argument and did not veto the bill — opening a crucially important precedent for broad interpretation of federal power.

A construct that abandons closure and prepares to accommodate conflict long-term does not thereby escape the need for strength. On the contrary, it needs more genuine state capacity than a construct that achieves unity through coercion, because it must be capable of acting even as disagreement persists — capable of repaying debts, capable of being taken seriously as a partner in the international system. The Confederation had been nearly paralyzed fiscally. The fiscal state built during Washington's presidency, whatever one thinks about its distribution of benefits, gave this construct for the first time the material basis to convert decisions into action. The accumulation of capacity was the material precondition for a construct that did not seek closure to keep absorbing its remainders across more than two centuries.

3. The Remainder That Was Acknowledged: Party Strife

Washington hated political parties. By the time of the Farewell Address in 1796, this was stated with great clarity. But the operation of Washington's own government put all the conditions necessary for party formation on display.

Hamilton's approach was to build a strong federal state with public credibility, debt-paying capacity, and a position in the international system. Jefferson and Madison grew increasingly worried that such a state would concentrate fiscal, administrative, and social influence in a small number of hands, pulling the republic away from the political virtue they associated with local self-governance and independent farmers. The Hamilton-Jefferson conflict cannot be written as a personality clash; it must be written as a dispute over how the state should be constructed. By 1792 and 1793, pro-administration and anti-administration networks had formed stable alignments in newspapers, in congressional voting, in state-level organizations. Jefferson and Madison built the anti-administration network that became the Democratic-Republicans; Hamilton used financial and press networks to consolidate the Federalists.

The true remainder that could not be eliminated was not the party organizations themselves but partisan strife — the political conflict generated by fundamental disagreement. Parties were simply the organized, visible form of that conflict. What Washington warned against was the spirit of party, the strife itself. In a competitive representative system, wherever major disagreements about national direction persist long enough, strife will generate and eventually organize into parties. This was a highly predictable outcome. Washington's inability to prevent it does not mark a personal failure; it marks the fact that institutions do not automatically dissolve deep disagreements into consensus.

This is precisely what distinguishes this construct from an order that pursues closure. A closing construct treats dissent as a disease to be eradicated, using every available method to suppress it and achieve unified will. This construct does not do that. It acknowledges the legitimacy of dissent, gives it the channels of separation of powers, checks and balances, press, and elections — letting it contend within structure. The faction-free republican unity that Washington longed for was essentially a closing aspiration, a desire for a unified national will. The construct he was operating was designed not to depend on or pursue such unity. When the two met, the logic of the construct prevailed: strife generated as predicted, parties appeared as predicted, and the institution absorbed them without breaking.

4. Foreign Crisis and the Question of Executive Power

If party strife was a remainder generated from within, foreign crisis forced out a question from another direction that would prove equally durable: how much initiative does the president hold in foreign affairs?

When war renewed in Europe in 1793, Washington issued a Proclamation of Neutrality on April 22. The key was not merely that America declared itself neutral but that the president announced the nation's foreign posture before Congress had acted or legislated on the matter. This was the true origin point of the debate about executive foreign power.

Hamilton, writing as Pacificus, defended the proclamation by arguing that the Constitution vested the general executive power in the president, and that outside the exceptions expressly reserved to Congress, the president could take the initiative in determining the nation's foreign obligations. Madison, writing as Helvidius, countered that powers related to war and peace belonged fundamentally to the legislature, and that proclaiming neutrality was effectively deciding the nation's foreign legal status without congressional authorization. Their exchange was the first complete airing of whether the president holds broad foreign initiative — and that question would never close. It would reappear under Lincoln, under Roosevelt, in the Cold War national security apparatus, under Nixon, in forms suited to each era. The Neutrality Proclamation did not close the question; it opened it.

The Jay Treaty extended this pattern. Signed in November 1794, approved by the Senate in June 1795 with exactly the two-thirds threshold on a twenty-to-ten vote, signed by Washington in August, and formally published in February 1796, the treaty was deeply unpopular. Washington judged that it bought what the young nation most needed: avoidance of war with Britain and time to consolidate, recover, and rearm. For opponents it was capitulation to British commercial interests. For supporters it was realism for a weak state in a dangerous international system. Together the Neutrality Proclamation, the Genet Affair, and the Jay Treaty established a continuous institutional history rather than three isolated foreign-policy episodes. What they collectively produced was not a settled answer about executive power but an open zone of contest that would be fought over again and again.

5. Can the Federal Government Enforce Its Own Laws?

If foreign crisis tested the president's outward reach, the Whiskey Rebellion of 1794 tested a simpler domestic question: could federal law actually be enforced on federal territory?

The excise tax on distilled spirits passed in 1791 was bitterly resented in western Pennsylvania. Whiskey was not merely a commodity there; it was the practical means of converting grain into transportable value in a region short of cash, short of roads, and thinly connected to eastern markets. The tax fell disproportionately on frontier communities, resistance escalated, and tax collectors faced harassment and violence. In the summer of 1794, following the attack on tax inspector John Neville's home and the gathering of thousands of insurgents on Braddock's Field, Washington moved through the procedures established in the Militia Act of 1792, issued proclamations, dispatched peace commissioners, and when negotiations failed, called up militia from Pennsylvania, Maryland, Virginia, and New Jersey — a force that contemporary and official sources put at roughly thirteen thousand men. Washington accompanied the force westward to Bedford, Pennsylvania, before handing over the active campaign to Henry Lee.

The result was decisive in its symbolism: the force of the federal government's presence dissolved the resistance. About a hundred and fifty were arrested; most were released for insufficient evidence; two were convicted of treason and both were pardoned by Washington. The importance lay not in bloodshed but in demonstration: the federal government could not only legislate, it could execute. At the same time, the roughness of arrests and procedures left its mark in local memory. The establishment of capacity and the generation of grievance were, as they often are, two faces of the same act.

6. The Deepest Remainder: Slavery

Beyond party, executive power, and enforcement, Washington's presidency was connected to a remainder deeper than all of them — one belonging not to the question of how power is distributed but to the question of who counts as a member of the community at all. That remainder was slavery.

The new republic founded its language on liberty while excluding a substantial portion of the people living within its borders from that language. Washington was the most direct embodiment of this contradiction. At his death in 1799, Mount Vernon held 317 enslaved people, of whom only 123 were legally his to dispose of by will — the others were dower slaves controlled through his wife's inheritance. Washington's will stipulated that those he owned be freed upon his wife's death, a significant and unusual provision, but one covering less than half the enslaved population of the estate. Broader estimates suggest he owned or controlled something on the order of 670 enslaved people over his lifetime.

Washington did express private discomfort with slavery and private hope for gradual abolition. His correspondence indicates that in the 1780s and 1790s he repeatedly said he wished to be rid of slaveholding, that he opposed separating enslaved families, and that he favored legislative action toward gradual abolition. Yet as president he raised no public antislavery banner, and during his Philadelphia residence he secretly rotated enslaved household servants to evade Pennsylvania's gradual abolition law, which would have granted freedom to any enslaved person resident in the state for six months. Ona Judge, one of those servants, escaped in 1796 under exactly these circumstances.

The deepest remainder was thus acknowledged at the founding moment, deferred, but not resolved. It would resurface in the Missouri debates, come close to tearing this construct apart in the fire of the Civil War, and force the construct to rewrite its most fundamental rules more than half a century later. A construct that does not seek closure shows here its heaviest face: it can accommodate a contradiction that even its founders found troubling, let that contradiction persist for generations, until later people have the strength to confront it.

7. Farewell and Retirement: The Construct's First Self-Limitation

The Farewell Address of 1796 should be defined precisely in genre: not a speech to Congress but a public letter, published in a Philadelphia newspaper on September 19. Its composition was not sudden. As early as 1792, Washington had considered not seeking a second term, and Madison had drafted an early version. By 1796, Hamilton did the major rewriting, though Washington remained involved throughout and produced the final text. Calling it ghostwritten by Hamilton is too crude; the accurate description is that the ideas were Washington's, Hamilton supplied substantial literary labor, and Madison's 1792 draft was an important antecedent.

On parties, what Washington warned against was the spirit of party, and he particularly highlighted geographical discriminations — regional factions. He did not predict every subsequent form of party strife, nor did he propose eliminating all political groupings. He identified partisan competition as a non-negligible danger to republican government, especially insofar as party divisions gave openings to foreign influence.

On foreign policy, the Farewell Address is most commonly misquoted as advocating against all alliances. Washington actually wrote of avoiding permanent alliances, while explicitly allowing for temporary alliances for extraordinary emergencies. His objection was to long-term fixed political and military entanglements, not to all temporary cooperation. Writing this as Washington proposing that America never form alliances is obvious oversimplification.

But the address's true institutional weight lay not only in what it said — it lay in what it accompanied: Washington chose not to seek a third term. He was not compelled by law; many wanted him to stay. Precisely because of this, the choice carried unmistakable symbolic meaning. It established that the presidency did not exist for any indispensable individual — that the office should be capable of continuing after any particular person's departure.

This was the construct's first self-limitation, and it was a decisive proof that the construct could run forward. The remainders it had generated — party strife, the boundaries of executive power, the costs of enforcement, and the deepest remainder of slavery — had not been eliminated, only accommodated. Now, at the moment of departure, the construct had to answer one final question: after the person who had converted personal prestige into institutional legitimacy departed, could the construct still stand? Washington answered by stepping down. He demonstrated that this construct did not depend on any particular person, did not need a permanent center, did not need a unified will — that it could continue to function on the basis of accommodated conflict and rotating power.