AP Government Unit 1 Packet

AP GOVERNMENT KEY TERMS
Unit 1: CONSTITUTIONAL UNDERPINNINGS

1. Checks and balances: System in which each branch of government can limit the power of the other two branches, e.g.,
presidential veto of a congressional law
2. Commerce Clause: Gives Congress the power to regulate commerce among the states, with foreign nations, and among
Indian tribes. Granted through Article I, Section 8 of the Constitution
3. Concurrent powers: Powers held by both Congress and the states, e.g., the power to tax
4. Cooperative federalism: Intertwined relationship among national, state, and local governments…”marble-cake” analogy
5. Devolution: The transfer of powers and responsibilities from the federal government to the states
6. Direct democracy: Members of a society meet and make decisions with majority rule
7. Dual federalism: System in which the national government and state governments are coequal, with each being dominant
within its respective sphere
8. Enumerated powers: Also known as expressed or delegated powers, these are powers that are specifically granted to
Congress in Article I, Section 8 of the Constitution, e.g., the power to declare war
9. Federalism: Constitutional sharing of power between a central government and state governments
10. Federalist Papers: Group of 85 essays written by Madison, Hamilton, and Jay for the purpose of persuading the people of New
York to adopt the Constitution
11. Fiscal federalism: The pattern of spending, taxing, and providing grants in the federal system
12. Formal amendment: A change in the actual wording of the Constitution. Proposed by Congress or national convention, and
ratified by the states
13. Implied powers: Those that are “necessary and proper” to carry out Congress’ enumerated powers, and are granted to
Congress through the “elastic” clause
14. Informal amendment: A change in the meaning, but not the wording, of the Constitution, through congressional actions,
presidential actions, court decisions, or traditional practice
15. Inherent powers: Powers usually in foreign policy (such as acquiring territory) held by the national government by virtue of it
being a sovereign national government
16. Judicial review: Power of the courts to rule on the constitutionality of laws and actions. Established by Marbury v. Madison
17. Limited government: The idea that certain restrictions should be placed on government to protect the natural rights of citizens
18. Mandates: Requirements imposed by the national government upon the states. Some are unfunded mandates that are
imposed by the national government, but lack funding
19. Necessary and Proper Clause: Also known as the “elastic” clause, it states that Congress can exercise those powers that are
“necessary and proper” for carrying out the enumerated powers, e.g., establishment of an Air Force
20. Popular sovereignty: Principle in which ultimate political authority rests with the people
21. Representative democracy: Also known as indirect democracy or a republic, it is when members of a society vote for
representatives who make decisions on their behalf
22. Reserved powers: Powers held by the states through the 10th Amendment. Any power not granted to the US government
reverts to the states
23. Separation of powers: Principle in which the powers of government are separated among three branches: legislative,
executive, judicial
24. Supremacy Clause: When a federal law and a state law come in to conflict with one another, the federal law will take
priority over the state law
25. Unitary system: System of government in which all power is invested in a central government
UNIT 1:
CONSTITUTIONAL UNDERPINNINGS
MAIN TOPICS
THE CONSTITUTION
FEDERALISM
3
THE
CONSTITUTION
4
AP AMERICAN GOVERNMENT STUDY GUIDE
THE CONSTITUTION
TYPES OF GOVERNMENT
TYPE DESCRIPTION
Power is vested in hereditary kings and queens who govern in the
MONARCHY interest of all.
TOTALITARIANISM Power resides in a leader who rules according to self--interest.
The right to participate in government is conditioned on the

OLIGARCHY possession of wealth, social status, military position, or
achievement.
DEMOCRACY The rule of the many.
Members of the society (polity) meet and make decisions with

DIRECT DEMOCRACY majority rule.
REPRESENTATIVE Members of the society vote for representatives who make

DEMOCRACY decisions on their behalf.
(REPUBLIC/ INDIRECT DEMOCRACY)
--Government: Is the institution through which policy is made and enforced.

--Public Policy: Anything the government decides to do.
PHILOSOPHICAL ORIGINS OF AMERICAN GOVERNMENT

PHILOSOPHER DESCRIPTION
Humanity was naturally at war. We need government (Monarchy)
THOMAS HOBBES necessary to restrain humanity’s beastial tendencies. Life without
(1588--1679)
government was a “state of nature”.
Natural law is the law of God. Under natural law people were born
free and equal. Law is acknowledged through human sense and
JOHN LOCKE reason. He also argued for rights (Life, Liberty, Property) and
(1632--1704)
obligated people to rebel against kings that did not respect the right
of the governed. (Social Contract Theory)
JEAN--JACQUES The social contract: It is the agreement of free and equal people to
ROUSSEAU abandon certain natural rights in order to find freedom in a single
(1712--1778) body politic committed to the general good.
MONTESQUIEU Argued for the separation of powers in the government.

(1689--1755)
--The philosopher most likely to be on the AP test is John Locke. His words greatly influenced Thomas Jefferson as he wrote the
Declaration of Independence.
5
THE CONSTITUTION
ROOTS OF A NEW NATION
PHASE DESCRIPTION
● In the early 17th century, colonists came to the New World for
economic opportunity and to escape religious persecution.
ENGLISH ● Most colonists agreed the king ruled by divine right. The
monarch gave colonists much more freedom (such as
COLONIES self--government, religious practices, economic organization) than
FORM subjects at home (because they were across the ocean and there were
no things like planes, phones, or internet). Things were OK for almost
140 years.
● England increases taxes (Sugar Act, Stamp Act) and restricts

settlement (Proclamation of 1783). They increased taxes to pay
for the Seven Years War (French and Indian War was a segment that
took place in North America). They restricted settlements to
ENGLAND
prevent having to pay for future conflicts with Indian tribes and
ENHANCES European rivals.
CONTROL ON ● England and the colonies would go back and forth for years
THE COLONIES regarding this new control. England would back down on
(Starting in 1760’s) some things and crack down on others. King George III
pushed for the Intolerable Acts (shutting down Boston Harbor until
the tea was paid for from the Boston Tea Party) and reinforcing the
Quartering Act (forced colonists to give food and shelter to Redcoats).
● STAMP ACT CONGRESS: Representatives met in 1765 to

draft a document listing how their rights were violated (They
thought they deserved representation in Parliament).
● SONS OF LIBERTY/ DAUGHTERS OF LIBERTY: Some
boycotts were successful with English citizens applying
pressure to Parliament.
● COMMITTEES OF CORRESPONDENCE: Kept each other
THE aware of developments with Britain
COLONISTS’ ● FIRST CONTINENTAL CONGRESS: 56 delegates came
FIRST STEPS together so they could iron out their differences with Britain.
They drafted a Declaration of Rights and Resolves (which
TOWARDS included the right to petition and assembly, trial by peers, freedom from a
INDEPENDENCE standing army, and a selection of representative councils to levy taxes).
● BATTLES OF LEXINGTON & CONCORD: The Redcoats are
coming, the Redcoats are coming…to get our weapons. This
was in 1775 and was the start of the Revolutionary War.
● SECOND CONTINENTAL CONGRESS: Olive Branch
Petition (last chance Great Britain). It also put George
Washington in charge of army (just in case they needed an army).
● DECLARATION OF INDEPENDENCE: Bye--bye British control!
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THE CONSTITUTION
DECLARATION OF INDEPENDENCE
SECTIONS DESCRIPTIONS
God gives people the right to break away
FIRST PARAGRAPH from a government.
● All men are created equal.

● Life, liberty, and the pursuit of
SECOND PARAGRAPH happiness.
● It is OK to abolish a government
27 PARAGRAPHS 27 reasons they hate King George.
The United States of America declare that the

LAST FEW PARAGRAPHS colonies are free and independent states.
--Thomas Jefferson was the primary author of the Declaration of Independence.
SUMMARY OF AMERICA’S GOVERNMENTS

GOVERNMENT YEARS DESCRIPTION
Unofficial government. It handled the

SECOND creation of the Declaration of
CONTINENTAL 1775--1781 Independence, and the handling of the
CONGRESS Revolutionary War until an official
government was created.
This government came into effect with

about 2 years left of the Revolutionary
ARTICLES OF War. It was an official document written
1781--1789 out much like today’s Constitution. It did
CONFEDERATION
not last because it was viewed as weak.
Was written at the Constitutional

THE Convention in 1787. Is called a living
1789--Today
CONSTITUTION document (because it can be changed) so it
has been around for over 200 years.
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THE CONSTITUTION
THE ARTICLES OF CONFEDERATION: GOVERNMENT SET--UP
MAIN TOPIC DESCRIPTION
The nation was considered a “firm league of friendship”.
SOVEREIGNTY
Each state had ultimate authority within its territory.
PASSING LAWS It took 9 out of 13 states to agree to pass a law.
AMENDMENTS To amend the articles, it took all 13 states in agreement.
SELECTION/PAYMENT OF Each state could pay and send up to 7 representatives or

DELEGATES delegates but they only had one vote per state.
THE ARTICLES OF CONFEDERATION: STRENGTHS & WEAKNESSES

PROS/CONS MAIN TOPIC DESCRIPTION
MAKE PEACE Ended the Revolutionary War
POST OFFICE Got mail delivered

STRENGTHS
NEGOTIATE WITH
Acted as one nation for foreign disputes
INDIAN TRIBES
National government could not tax and only

TAX ISSUE
asked for money. (States said “no” often)
National government did coin money (not strong).

So states would make their own money. States
MONEY ISSUES
also would make agreements with other nations
(This is usually viewed as a national power).
There was no branch to enforce laws passed by

NO EXECUTIVE
Congress.
WEAKNESSES NO JUDICIAL States would fight about borders.
State would ignore the Treaty of Paris by

DID NOT RESPECT allowing citizens to postpone paying debts to
NATIONAL DECISIONS Britain and not giving land back to loyal
supporters of Britain.
The national government tried to raise funds to

pay for a militia to put down a rebellion in
SHAYS REBELLION
Massachusetts but failed. A militia paid by
private citizens stepped up.
8
THE CONSTITUTION
CONSTITUTIONAL CONVENTION: COMPROMISES
GENERAL TOPIC DESCRIPTION
PURPOSE OF They were supposed to revise the Articles of Confederation, but

CONVENTION they just made up a new government instead.
12/13 STATES ATTENDED Rhode Island did not show up.
George Washington was unanimously voted the presiding officer.

PRESIDING OFFICER He was a beloved war hero. Everyone wanted him to become the
nation’s president.
All of the framers (55 delegates) are called the Founding Fathers.
FATHER OF THE But James Madison is referred to as the Father of the Constitution.
CONSTITUTION His buddy Thomas Jefferson, who was serving as ambassador in
France, sent him a lot of European books on government.
Benjamin Franklin: 81 years old with experience drafting the

Declaration of Independence, the Articles of Confederation, and the
OLDEST MEMBER Treaty of Paris.
(Although the Framers agreed not to talk about the document until it was finished they always
kept people with Franklin because he was drinker with a big mouth)
● Most were in their 20’s or 30’s

● ¾ had served in the Continental Congress
● Several helped draft their state constitutions
POLITICAL EXPERIENCE ● 8 Signed the Declaration of Independence
& BACKGROUND OF THE ● 21 fought in the Revolutionary War
DELEGATES ● 17 owned slaves (George Washington, George Mason, & John Rutledge)
● 31 went to college
● 34 Lawyers
● 7 Governors
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THE CONSTITUTION
CONSTITUTIONAL CONVENTION: COMPROMISES
ONE SIDE THE OTHER
THE PROBLEM THE COMPROMISE
WANTED WANTED
Virginia Plan: New Jersey Plan:
Powerful central Strengthening the THE GREAT COMPROMISE
government with 3 Articles, not (CONNECTICUT PLAN):
branches. replacing them. Bicameral Legislature:
(2 house legislature)
Two--house Creating a
legislature with one--house 1) House of
one house legislature with one Representatives had
elected directly vote for each state members based on
THE by the people, the and with population (also directly
REPRESENTATION other chosen representatives elected by the people).
OF THE STATES from persons chosen by state 2) The Senate would have
IN nominated by the legislatures. members equal for each
CONGRESS state legislatures. state.
Giving Congress the
A legislature with power to raise Dividing power between the
the power to revenue from duties nation and state
select the and imports and from governments, national
executive and postal service fees. power would be supreme.
judiciary.
Creating a Supreme 3 branches of government
Court with members
appointed for life
People in the People in the North THE 3/5’S COMPROMISE:

COUNTING South wanted to felt since slaves can’t
Five slaves would count as 3
SLAVES WHEN count slaves as vote they should not
people when determining
DETERMINING people when be used in
population of a state for
REPRESENTATION determining how determining the
congressional
IN CONGRESS many seats their number of seats the
representation.
state got in the state gets in the
House of House of (This gave the South 47% of the
Representatives. House of Representatives)
Representatives
--They also agreed that Congress could stop the importation of slaves for 20 years after the Constitution was ratified. Also agreed to have an
extradition clause that addressed how states would handle runaway slaves. Also compromised on having a single president.
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THE CONSTITUTION
BASIC PRINCIPLES OF THE CONSTITUTION
BASIC PRINCIPLE DESCRIPTION
Power is separated between 3 branches:
--Legislative Branch: creates laws
SEPARATION OF POWERS --Executive Branch: enforces (executes) laws
--Judicial Branch: interprets laws
Each branch can check the power of the other

CHECKS AND BALANCES branches (Example: President can veto a bill passed by Congress)
The division of government between the national

FEDERALISM government and the state governments.
POPULAR SOVEREIGNTY Authority comes from the people.
LIMITED GOVERNMENT The government can only do some things.

The Constitution even tells the government things it can not do.
The Supreme Court can declare government acts

JUDICIAL REVIEW unconstitutional (This is also an example of checks and balances).
KNOW THE TOP 3 MOST IMPORTANTLY…THE OTHERS ARE IMPORTANT, BUT THE TOP 3 SHOW UP EVERYWHERE!
--Judicial Review is not written in the Constitution but the Supreme Court establishes it in Marbury v Madison 1803.
CHECKS & BALANCES (DETAILED EXAMPLES OF THIS PRINCIPLE)

LEGISLATIVE
EXECUTIVE BRANCH JUDICIAL BRANCH
BRANCH
CHECKS THE EXECUTIVE

BRANCH BY: CHECKS THE LEGISLATIVE
BRANCH BY: CHECKS THE LEGISLATIVE
--Impeaching president
BRANCH BY:
--Confirming or refusing nominees --Vetoing legislation
--Ruling federal laws unconstitutional
--Confirming or refusing to approve --Calling Congress into special
session --Ruling state laws unconstitutional
treaties
-Overriding presidential veto by a -Carrying out or failing to carry out laws
passed by Congress CHECKS THE EXECUTIVE BRANCH
2/3s vote of both houses
BY:
CHECKS THE JUDICIAL -Declaring executive actions
CHECKS THE JUDICIAL
BRANCH BY: unconstitutional
BRANCH BY:
--Appointing federal judges -Chief Justice presides over
-Changing number & jurisdiction of
--Refusing to implement judicial impeachment trial of the President
federal courts
decisions
--Impeaching federal judges
--Proposing amendments
Learn these now. There will be tons of questions on the AP test concerning checks and balances. Plus you have to know all this
information for our unit that covers Government Institutions.
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THE CONSTITUTION
ARTICLES WITHIN THE CONSTITUTION
ARTICLE MAIN TOPIC IMPORTANT ITEMS
--Establishing justice
--Insuring domestic tranquility
PREAMBLE Purpose of Government --Providing for the common defense
--Promoting the general welfare
--Securing the blessings of liberty
--Enumerated powers
ARTICLE I The Legislative Branch -Necessary and Proper Clause
(implied powers)
--Presidential qualifications
ARTICLE II The Executive Branch
--Presidential roles (jobs)
--Created the Supreme Court

ARTICLE III The Judicial Branch -Empowered Congress to create inferior
courts
--Full Faith and Credit Clause

ARTICLE IV Relations Among States --Extradition
--Privileges & Immunities Clause
--Two ways to propose

ARTICLE V Amendment Process
--Two ways to ratify
--Supremacy Clause (National Supremacy)

ARTICLE VI National Supremacy -Although states do have power
(reserved powers)
Nine (out of 13) state conventions

ARTICLE VII Ratification Process
needed to approve Constitution
--The AP test expects you to know in which Article you can find specific items.
12
THE CONSTITUTION
RIGHTS FOUND IN THE ORIGINAL CONSTITUTION
Habeas Corpus is when a person under arrest is brought
NO SUSPENDING
before a judge (chance to show unlawful detention). The Constitution
HABEAS CORPUS says it can only be suspended during wartime.
NO EX POST A law that gives consequences for actions already

FACTO LAWS committed.
NO BILLS OF A law that declares a person or group guilty without a

ATTAINDER trial and gives them consequences.
NO RELIGIOUS
There is no religious qualification in order to run for office.
QUALIFICATIONS
ENTITLEMENT OF
States cannot discriminate against people from other
PRIVILEGES & states.
IMMUNITIES
RIGHT TO JURY
For federal crimes, people have the right to a jury trial.
TRIAL
-People were upset that there was not originally a Bill of Rights, but the rights listed above were stated throughout the original
Constitution.
METHODS FOR AMENDING THE CONSTITUTION

PROPOSE/ RATIFY WAY DESCRIPTION
⅔ vote of both houses of It has been used for 27
Congress. amendments.
PROPOSE At a national convention on
request of It has never been used.
⅔ of state legislatures.
Passage by ¾ of state
It has been used 26 times.
legislatures.
RATIFY
Passage by ¾ of special
It has been used 1 time.
state conventions.
--Note that the amendment process reflects federalism (national government and state government both have power).
--The only amendment ratified by special state conventions was the 21st amendment which repealed Prohibition.
13
THE CONSTITUTION
RATIFICATION OF THE CONSTITUTION: WHEN IS IT IN EFFECT?
ACCORDING TO
Article VII stated that the Constitution would be the
THE
Supreme Law of the Land when 9 states ratified it at
CONSTITUTIONAL state conventions.
CONVENTION
ACCORDING TO The Articles stated that all 13 states had to approve

changes to the government. Some scholars argue that
THE ARTICLES OF the Constitution was an illegal document until all states
CONFEDERATION agreed to ratify it in 1790.
RATIFICATION OF THE CONSTITUTION: BY THE NUMBERS

STATE DATE FOR AGAINST
Delaware December 1787 30 0
Pennsylvania December 1787 46 23
New Jersey December 1787 38 0
Georgia January 1788 26 0
Connecticut January 1788 128 40
Massachusetts February 1788 187 168
Maryland April 1788 63 11
South Carolina May 1788 149 73
New Hampshire June 1788 57 47
Virginia June 1788 89 79
New York July 1788 30 27
North Carolina November 1789 194 77
Rhode Island May 1790 34 32
-Nine states did ratify the Constitution but was it enough? New York and Virginia had yet to ratify and 40% of the nation’s
population lived there.
--Two groups or parties formed: The Federalists (Ratification supporters) debated the Anti--Federalists (Ratification opponents).
-Rhode Island ratified the Constitution one year after George Washington became the first president of the United States.
--The last states only ratified when the Federalists promised to add a Bill of Rights (Federalist Papers also influenced some).
14
THE CONSTITUTION
FEDERALISTS VERSUS ANTI--FEDERALISTS
OPINION ON THE
GROUP RATIFICATION OF KEY MEMBERS
THE CONSTITUTION
They supported it because --James Madison
FEDERALISTS they saw a need for a strong --Alexander Hamilton
central government. --John Jay
They opposed it because

they thought the government
--Patrick Henry
ANTI--FEDERALISTS would be too strong and the
--George Mason
people would not have
enough power.
--The Federalists will end up winning the ratification battle. But the Anti--Federalists were a key component in the new government
amending the Constitution to include the Bill of Rights.
--These two groups will evolve into our nation’s first political parties which would disagree about how much power the national
government should possess.
THE FEDERALIST PAPERS

ESSAY DESCRIPTION SUMMARY
Factions (interested groups in the government) would be
Factions are
limited in this new government because it is a
FEDERALIST #10 republic (representative democracy) and not a direct
limited in a
republic.
democracy.
“Tyranny of the majority” is controlled due to:

--Separation of Powers (3 separate branches) Tyranny will be
FEDERALIST #51 --Checks and Balances (Presidential veto, judges for life) stopped because
--Bicameral legislature (House and Senate) power is divided.
--Federalism (Division of National and State Governments)
--The Federalist Papers (a collection of 85 essays written by James Madison, Alexander Hamilton, and John Jay) is always on the test. You
must know what these two essays are about!!!
--The Federalist Papers convinced many people to favor the new Constitution being ratified.
15
THE CONSTITUTION
BILL OF RIGHTS
AMENDMENT DESCRIPTION
--Freedom of Speech
--Freedom of Religion
AMENDMENT I --Freedom of Press
--Freedom to Assembly
--Freedom to Protest (or petition)
AMENDMENT II --Right to bear arms
AMENDMENT III -No quartering of troops
AMENDMENT IV -No unreasonable searches or seizures
--Indictment
-Double jeopardy
AMENDMENT V --Protection against self-incrimination
-Due process (From national government)
--Speedy public trial with jury of peers

AMENDMENT VI --Cross examination
--Right to defense counsel (Right to a lawyer)
AMENDMENT VII --Lawsuits and juries
-No cruel and unusual punishments

AMENDMENT VIII -No excessive fines or bail
AMENDMENT IX --Listing rights here doesn’t deny others
AMENDMENT X --Delegated and reserved powers

Anti--federalists only agreed to ratify the new constitution with the promise that this new government would add a Bill of Rights to
protect citizens’ liberty.
16
FEDERALISM
17
FEDERALISM
SYSTEMS OF GOVERNMENT
SYSTEM DESCRIPTION EXAMPLES
--United Kingdom
Local and regional
--France
UNITARY governments derive authority
--Italy
from the national government.
--Japan
-Power is shared between the

national government and the
--United States (under Constitution)
state governments.
-Canada
FEDERAL --Australia
-National government and
--Germany
states derive authority from the
people.
The national government

derives authority from states. --United States (under Articles of Confederation)
CONFEDERATION --Southern United States (during Civil War)
(“League of friendship” comes
together primarily for foreign issues)
--Alternative definitions of federalism: The division between a central government and regional governments. Basically central and national
are the exact same things. Also regional and state governments are the exact same things.
--Federal almost always means the division of national and state. But in society (and occasionally on the AP test) Federal Government is
often a term for the national government. Be careful about that.
POWERS IN A FEDERAL SYSTEM

POWER DESCRIPTION
Specific powers granted to Congress under Article I,

section 8, of the Constitution: These powers include
ENUMERATED taxation, coinage of money, and authority to provide for
a national defense.
Authority possessed by both state and national

CONCURRENT governments that may be exercised concurrently
(simultaneously).
Powers reserved to the states by the 10th amendment

RESERVED that lie at the state’s right to legislate for the public health
(AKA: Police Powers)
and welfare of its citizens.
Most scholars agree that the 10th Amendment has not been that far reaching. The Supremacy Clause has had more of an impact in
terms of national & state tensions. But the AP test wants you to know both.
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FEDERALISM
FEDERALISM IN THE UNITED STATES
TYPE OF
POWER HOLDER EXAMPLE OF POWERS
POWERS
--Coin money
NATIONAL --Regulate interstate & foreign trade
NATIONAL --Raise & maintain armed forces
(ENUMERATED)
GOVERNMENT --Declare war
POWERS --Govern US territories & admit states
--Conduct foreign relations
--Levy & collect taxes

BOTH --Borrow money
NATIONAL --Establish courts
CONCURRENT
& --Define crimes & set punishments
POWERS --Claim private property for public use
STATE
--Make and enforce laws
GOVERNMENTS --Charter banks and corporations
-Regulate trade and business within the

state
--Establish public schools
-Pass license requirements for professionals
--Regulate alcoholic beverages
--Conduct elections
STATE --Establish local governments
STATE
(RESERVED) --Ratify amendments to the Constitution
GOVERNMENT POWERS -Take measures for public health, safety,
and morals
-Exert powers the Constitution does not
delegate to the national government or
prohibit the states from using
--The National Government powers are broken into 3 categories::

1) Delegated or Expressed Powers: Powers that are written in the Constitution .
2) Implied Powers: Powers that are “reasonably inferred” as stated in the Elastic Clause (AKA: Necessary and Proper Clause)
3) Inherent Powers: Powers do not rely on specific clauses (usually involved in foreign affairs and grow out of the very existence of a
government.
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FEDERALISM
CONSTITUTIONAL INTERPRETATIONS
WOULD
BELIEF ON
LATER
HOW
FORM
GROUP CONSTITUTION LEADERS
WHICH
SHOULD BE
POLITICAL
INTERPRETED
PARTY
LOOSE
Federalists Loose or broadly Hamilton & Adams
CONSTITUTIONALISTS
STRICT Democratic Jefferson & later
Literally or strictly
CONSTITUTIONALISTS Republicans Madison
--George Washington who would warn against political factions as he exited his presidency usually agreed with the Federalists.
CONSTITUTIONAL PROVISIONS THAT GUIDE FEDERALISM

MAIN IDEA PROVISION DESCRIPTION
NATIONAL
Enumerated powers of Congress, including
POWERS Article I, Section 8
the “Necessary and Proper Clause”
ALLOWED
NATIONAL No regulating slave trade before 1808,

Article I, Section 9
POWERS DENIED states to be treated uniformly
STATE POWERS
Article I, Section 10 Treaties and impairing contracts
DENIED
STATES MUST Full Faith and Credit Clause; Privileges

Article IV
HELP STATE and Immunities Clause; extradition
SUPREMACY
Article VI Supremacy of the national government
CLAUSE
People have more rights than listed in the
MORE LIBERTY 9th Amendment
Constitution
Powers not delegated to the federal

STATES’ RIGHTS 10th Amendment
government are reserved to the states
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FEDERALISM
GOVERNMENT ACTION ON FEDERALISM: BEGINNING--RECONSTRUCTION
HISTORICAL
TYPE OF
FIGURE ITEM DESCRIPTION
FEDERALISM
INVOLVED
Jefferson thought the Alien and Sedition
Thomas Acts violated liberty. The Kentucky and
Kentucky &
Jefferson Virginia Resolutions declared the states’
Virginia right to nullification (declare null and void)
against John
Resolutions any federal law if a state thought the law
Adams
violated the Constitution. (This has never
been found to be constitutional)
Supreme Court ruled that Congress could
FEDERALISM create a national bank because the
(WHAT DOES IT McCulloch v.
Necessary and Proper Clause gives
LOOK LIKE?) Maryland (1819) them implied powers so they can carry
out expressed powers.
Justice
John Marshall Congress and New York were both
licensing ships to use on the Hudson
Gibbons v.
River. The Supreme Court ruled that
Ogden (1824) Congress had the power to regulate
commerce and commercial activity.
Missouri Compromise was unconstitutional

Dred Scott v.
because Congress lacked authority to ban
Sanford (1857) slavery in territories.
DUAL Justice
Even after the Civil War
FEDERALISM: Roger B. Taney Amendments (13--15) gave more
Plessy v.
Belief it is best to rights to African Americans, the
Ferguson (1896) Supreme Court ruled
have separate
“separate but equal” was constitutional.
and equally (and up to the states to deal with)
powerful national
and state After Supreme Court struck down the
governments Republican 16th Amendment Income Tax Act of 1894, Congress
(AKA: Layer Cake (anti--slavery) (1913) proposed the 16th Amendment
Federalism) allowing income taxes.
Congress
resisted against Took power away from state legislatures
17th Amendment
state powers by now having citizens from each state
(1913) vote for their senators.
21
FEDERALISM
GOVERNMENT ACTION ON FEDERALISM: NEW DEAL--GEORGE W. BUSH
HISTORICAL
TYPE OF
FIGURE ITEM DESCRIPTION
FEDERALISM
INVOLVED
Grants--in--aid programs to often defined
federal/state relationships and made the
national government a major player in
Franklin D.
COOPERATIVE New Deal domestic policy. Categorical Grant:
FEDERALISM Roosevelt (FDR) Congress appropriates funds for specific
Intertwined purposes (often states must match some
of the money).
relationship
among national, Southern states were blamed for
state, and local perpetuating discrimination. So national
governments funds were held unless states would act
Lyndon B. Great Society &
(AKA: Marble Cake like the national government wanted. The
Federalism)
Johnson (LBJ) War on Poverty spending in 1960’s on urban renewal,
education, and poverty programs had not
been seen since the New Deal.
Reagan cut taxes which altered the

relationship between the federal and state
governments. There was a consolidation
Ronald Reagan Reagan
of many categorical grants into fewer block
Revolution grants. Block grants: Broad grants to
George H.W .
states for specific activities with few strings
NEW Bush attached.
FEDERALISM
--Unfunded Mandates Reform Act:
Returning
Prevented Congress for passing costly
administrative mandates without a debate on how to fund
powers to the them and address concerns for state
state governments Ronald Reagan governments. (They were taking 30% of state
Devolution
Bill Clinton budgets)
Revolution --Block grants for welfare (replaced AFDC
Newt Gingrich
Aid to Families with Dependent Children
with TANF Temporary Assistance for
Needy Families) that gave more control to
local government.
--Preemption: Concept that it is ok for

national government to override state or
No Child Left local action because of Supremacy
FEDERALISM Clause. (Usually Democrats do this but
Behind
under Bush George W. Bush this time it was a Republican)
& his overall --Bush could not follow through on
Administration
program campaign promises because of tax cuts,
debt, wars in Iraq & Afghanistan, terrorist
attacks, and Hurricanes Katrina and Rita.
22
FEDERALISM
MAJOR EVENTS IN FEDERALISM (SHORT VERSION)

TIME PERIOD GENERAL TREND OF POWER ERA OF FEDERALISM
1789-- CIVIL WAR National government establishes power. DUAL FEDERALISM
CIVIL WAR
National government gains power. DUAL FEDERALISM
AMENDMENTS
POST
State governments gain power. DUAL FEDERALISM
RECONSTRUCTION
COOPERATIVE
NEW DEAL National government gains power.
FEDERALISM
COOPERATIVE
CIVIL RIGHTS National government gains power.
FEDERALISM
DEVOLUTION ERA State governments gain power. NEW FEDERALISM
RELATIONS AMONG THE STATES

REQUIREMENT OF CONSTITUTIONAL
DESCRIPTION
STATES ARTICLE
Judicial decrees and contracts made in
FULL FAITH AND one state will be binding and enforceable
ARTICLE IV in another.
CREDIT CLAUSE (Sorry deadbeat dads, you can’t just move and
expect to keep your $$)
PRIVILEGES & Citizens of each state are afforded the

same rights as citizens of all other states.
IMMUNITIES ARTICLE IV
States cannot give their residents priority.
CLAUSE (Except college tuition rates)
EXTRADITION States must extradite or return criminals.

ARTICLE IV
CLAUSE (Convicted or those who are to stand trial)
INTERSTATE Contracts between states that carry the

ARTICLE I
force of law.
COMPACTS Section 10, Clause 3
(Driver license compact)
--The Constitution also says that any disputes between two states will go directly to the Supreme Court (original jurisdiction).
--The Constitution gives states complete power when creating local governments within the state's’ borders.
23
FEDERALISM
STATE GOVERNMENTS
ITEM DESCRIPTION
The state constitutions were written before the Constitutional
STATE CONSTITUTIONS
Convention in 1787. State constitutions are easier to amend.
-They are the elected chief executive. Like a President of the state…
budget powers, signing legislation, and appointing officials.
--LINE ITEM VETO: Veto a portion of a spending bill (Signs rest)
--CLEMENCY POWERS FOR BREAKING STATE LAW:
GOVERNORS Pardon: Forgive someone entirely for a crime.
Commute: Reducing the length of a prison sentence
Reprieve: Postpone a prison sentence.
Parole: Release a prisoner before sentence is complete with
conditions that must be met as part of the release.
Initially established as the most powerful. One--person, one--vote

STATE LEGISLATURES
ruling of Supreme Court has them accurately representing citizens.
Separate court system to handle state law. Inclusion: State courts

STATE COURTS are obligated to enforce federal law. Some judges are appointed but
many are elected.
ELECTIONS & Nonpartisan elections: State/local officials often downplay all party
POLITICAL PARTIES ties. Diverse candidates have had more success in recent years.
DIRECT INITIATIVE: People sign a petition and the measure goes

on the ballot for residents to determine if it will become state law.
INDIRECT INITIATIVE: People sign a petition, State legislatures
have a chance to pass it, or the measure goes on the ballot for
residents to determine if it will become state law.
MANDATORY REFERENDUM: Due to state constitution or law, the
state legislature must put certain measures on the ballot for
residents to determine if it will become state law.
DIRECT DEMOCRACY
OPTIONAL REFERENDUM: State legislatures can decide to put a
measure on the ballot for the residents to determine if it will become
state law.
POPULAR (DIRECT) REFERENDUM: Voters can sign a petition to
take the deciding power on a measure away from the state
legislature and put it on the ballot.
RECALL ELECTION: Voters can petition for an election to remove
an office holder before the next scheduled election.
State constitutions grant certain types of powers for each state. So not all states have the same forms of local governments and direct
democracies. Only 23 States have direct democracy elements. Only 18 states have recall elections. You really have to look it up per state.
24
FEDERALISM
LOCAL GOVERNMENTS
ITEM DESCRIPTION
A court ruling that stated local governments do not have any inherent
DILLON’S RULE
sovereignty. Thus, states can create, regulate, and destroy local governments.
A document that, like a constitution, specifies the basic policies, procedures,

and institutions of a municipality.
CHARTERS Cities, towns, and village need charters because they emerge as people locate in a
particular place (unlike counties and school districts which are arbitrarily made by the
state).
There are 87,000 local governments in the United States that fall within four
main categories:
--Counties: (also called parishes and boroughs) They have very broad
responsibilities, created by the State for welfare & environmental programs,
courts, registration of land, births, and deaths.
TYPES OF LOCAL --Towns: Everyone in a community is invited to an annual meeting to elect

GOVERNMENTS officers, adopt ordinances, and pass a budget.
--Municipalities: Villages, towns, and cities are established municipalities and
authorized by the State as people congregate and form communities.
--Special Districts: are the most numerous. They are created for a particular
policy or service area. School districts are the most common form of special
district.
Others include library service, sewage, water, and parks.
Town meeting: Form of local government in which all eligible voters are invited
to attend a meeting at which budgets and ordinances are proposed and voted on.
--Mayor: An elected chief executive of a city.
--City council: The legislature in a city government.
--Manager: A professional executive hired by a city council or county board to
manage daily operations and then recommend policy changes.
--District--based election: Election in which candidates run for an office that
EXECUTIVES &
represents only the voters of a specific district within the jurisdiction.
LEGISLATURES
--At--large election: Election in which candidates for office must compete
throughout the jurisdiction as a whole.
--Commission: Form of local government in which several officials are elected
to top positions that have both legislative and executive responsibilities.
--Public corporation (authority): Government organization established to
provide a particular service or run a particular facility that is independent of
other city or state agencies and is to be operated like a business.
25
FEDERALISM
STATE BUDGET
SEGMENT OF
DESCRIPTION
BUDGET
SALES TAX Regressive: Tax not based on earnings.
FEDERAL AID Grant money from the national government.
INCOME TAX Progressive Tax: Tax based on earnings.
INSURANCE TRUST Retirement funds for employees (current/old).
USER FEES Example: Licenses for hunting & fishing.
OTHER N/A
PROPERTY TAX Varies based on the value of the home.
LOCAL BUDGET
SEGMENT OF
DESCRIPTION
BUDGET
STATE AID Money given from the state government.
PROPERTY TAX Varies based on the value of the home.
USER FEES Example: Licenses for hunting & fishing.
OTHER N/A
SALES TAX Regressive: tax not based on earnings.
INSURANCE TRUST Retirement funds for employees (current/old).
FEDERAL AID Grant money from the national government.
INCOME TAX Progressive Tax: Tax based on earnings.
26
FEDERALISM
GRANTS--IN--AID PROGRAMS
ITEM DESCRIPTION EFFECT ON FEDERALISM
Federal grants for This type of grant forces states to

CATEGORICAL specific purposes. spend at least a portion of their budget
(There are strings attached on issues determined by the national
GRANT that usually include the government. If they do not match
state matching funds) funds they lose the free money.
This type of grant gives the states

Broad grants for general
BLOCK GRANT purposes.
more freedom in spending money as
they see fit.
This forces states to spend money on

Terms set by the national desires regardless of their
national government that personal preferences.
MANDATE states must agree to
(AKA: UNFUNDED MANDATE) (Example: If the federal law forces states to pay
whether or not they for wheelchair access in public buildings the
accept federal grants. states have no choice. They have to spend the
money on this issue)
--Grants-in--aid programs: Refer to money that the national government gives to the states in the forms of grants.
--Conditions of aid: Terms set by the national government that states must meet if they are to receive certain federal funds.
--States prefer block grants because it gives them more freedom.
27
US Government AP Exam FRQ’s
Unit 1: Constitutional Underpinnings of U. S. Government
(2005 Q 2) The power of the federal government relative to the power of the states has increased since the
ratification of the Constitution.
1. Describe two of the following provisions of the Constitution and explain how each has been used
over time to expand federal power.
a. The power to tax and spend
b. The “necessary and proper” or “elastic” clause
c. The commerce clause
2. Explain how one of the following has increased the power of the federal government relative to the
power of state governments.
a. Americans with Disabilities Act
b. Civil Rights Act of 1964
c. Clean Air Act
http://apcentral.collegeboard.com/apc/members/repository/_ap05_sg_gopo_us_46636.pdf
http://apcentral.collegeboard.com/apc/public/repository/ap_usgovandpol_apcent_47328.pdf
http://apcentral.collegeboard.com/apc/members/repository/_ap05_comm_gopo_us_47180.pdf
http://apcentral.collegeboard.com/apc/public/repository/_ap_qa05_gopo_us_47367.pdf
(2007 Q 4) The framers of the United States Constitution created a federal system.
1. Define federalism.
2. Select two of the following and explain how each has been used to increase the power of the
federal government relative to the states.
• Categorical grants
• Federal mandates
• Selective incorporation
3. Select two of the following and explain how each has been used to increase the power of the
states relative to the federal government.
• Welfare Reform Act of 1996
• Block grants
• Tenth Amendment
http://apcentral.collegeboard.com/apc/public/repository/_ap07_us_go_po_sgs_final.pdf
http://apcentral.collegeboard.com/apc/public/repository/ap07_usgopo_q4.pdf
http://apcentral.collegeboard.com/apc/public/repository/ap07_us_govpol_qa.pdf
(2014 Q 1) 1. The United States Constitution’s ratification resulted from a political process that required
compromise between the Federalists and Anti-Federalists. Many of the debates in government today continue to
reflect the concerns of each perspective.
(a) Compare the positions of Federalists and Anti-Federalists regarding the power of the national
government.
(b) Describe two features of the original Constitution that have led to a growth in the power of the
national government.
(c) Explain how each of the following additions to the Constitution addressed Anti-Federalist concerns.
 First Amendment
 Tenth Amendment
(d) Explain how one of the following clauses of the Fourteenth Amendment has altered the balance of
power between the state and national governments.
 Due process clause
 Equal protection clause
http://media.collegeboard.com/digitalServices/pdf/ap/ap14_united_states_government_and_politics_%20scoring_guidelines.pdf
http://media.collegeboard.com/digitalServices/pdf/ap/apcentral/ap14_us_govt_and_politics_q1.pdf
http://media.collegeboard.com/digitalServices/pdf/ap/apcentral/ap14-us-gov-pol-qa.pdf
(2015 Q 2) The framers of the Constitution devised a federal system of government that affected the relationship
between the national and state governments.
(a) Compare state sovereignty under the Articles of Confederation and under the Constitution.
(b) Explain how each of the following has been used to expand the power of the federal government over the
states.
• Commerce clause
• Mandates
(c) Explain how each of the following has played a role in the devolution of power from the national government to
the states.
• Block grants
• Supreme Court decisions
https://secure-media.collegeboard.org/digitalServices/pdf/ap/ap15_united_states_government_and_politics_sg.pdf
https://secure-media.collegeboard.org/digitalServices/pdf/ap/apcentral/ap15_us_go_po_q2.pdf
https://secure-media.collegeboard.org/digitalServices/pdf/ap/ap15-us-gopo-student-performance-qa.pdf
CHAPTER 1
POLITICS: WHO GETS WHAT, WHEN, AND HOW

CHAPTER OVERVIEW
Chapter 1 establishes the foundation for the balance of the text’s chapters by introducing
questions fundamental to the study of and interest in politics and government. Dye’s discussions
and presentations in text, charts, graphs, and features clarify distinctions between governmental
politics and political behavior in other organizations.
The Constitution of the United States establishes the foundations and purposes of
government in the U.S. Concepts in the Constitution originate in the ideas of many political
philosophers, two of whose ideas—those of Thomas Hobbes and John Locke—are examined in
some detail.
Throughout the chapter, readers are directed to consider the purpose of the established
democratic government. The diversity of the government, how it works, and the complexity of the
ideas and experiences that have evolved since its establishment contribute to an increasingly
challenged government and its policies. What form of government then exists in the United States
and in other nations of the world? The chapter focuses on discussion of pure democracy and
limited, or representative, democracy. Another key question is, What kind and how much power is
held by the public and by government in the United States and in other nations of the world?
Finally, the question of who rules is considered, and the chapter “sets up” answers to all of these
questions by pointing to the need to seek further information provided in the rest of the book.
CHAPTER THEMES
· The meaning of politics and political science
· Politics is “who gets what, when, and how”
· Government compared to social organizations
· Purposes of government
· Uses of law by government for the public
· Meanings of democracy
· Democracy in other nations
· Direct democracy versus representative democracy
· Paradox of democracy: majority rule or individual freedoms
· Sources of power to rule: elitism versus pluralism
· Conflict between the ideal of democracy and the reality of government
1
Copyright © 2009 Pearson Education, Inc. Publishing as Longman
CHAPTER OUTLINE
I. Politics and Political Science

A. Politics is deciding “who gets what, when, and how.”
B. Political science is the study of politics, associated with three basic questions:
1. Who governs?
2. For what ends?
3. By what means?
II. Politics and Government

A. What are differences between governmental politics and politics in other societal institutions?
1. Government decisions extend to the entire society.
2. Government can legitimately use force.
B. Why do citizens comply with government requirements?
1. The habit of compliance develops so citizens avoid consequences of fines and/or prison.
2. Though government could not apply force to all noncompliant citizens, application or
threat of force to even a few citizens effectively creates legitimacy of government.
III. The Purposes of Government

A. All governments tax, penalize, restrict, and regulate their people.
1. More than 87,000 governments in the United States receive more than 40 cents of
each dollar earned by Americans.
2. Congress, bureaucracies, and state and local governments create about 45,000 laws,
rules, and regulations each year!
B. Purposes of government are identified in the Preamble to the Constitution of the United States:
1. To establish justice, insure domestic tranquillity
a. Government may be seen as a social contract, in which people allow
themselves to be ruled in exchange for protection.
b. Thomas Hobbes viewed life without government as “a war where every man is enemy
to every man.”
2. To provide for common defense
3. To promote the general welfare
a. Government provides public goods and services.
b. The provided goods and services are those that could not profitably be provided by
the private sector, such as a national park, a highway, or a sewage disposal plant.
c. Americans acquire most goods and services on the free market, where the sum of all
goods and services produced is termed the gross national product.
4. To regulate society
5. To transfer income
6. To secure the blessings of liberty
IV. The Meaning of Democracy
A. Democracy has a variety of meanings, depending on the area of the world and the era of its use.
1. Almost all nations of the world claim to practice democracy.
a. North Korea is named the “Democratic People’s Republic of Korea.”
b. A number of governments claiming to be or titled as democracies are not.
2. A meaningful definition of democracy must include such specific rights
and/or opportunities as:
a. Recognition of the dignity of the individual
b. Equal protection of laws for each individual
c. Opportunity for all to participate in public decisions
d. Decision making by majority rule with the value of each vote being equal
V. The Paradox of Democracy

A. The concept of democracy contains many conflicting challenges that must be managed.
1. There is a paradox in management of rule by the majority versus rights of the minority.
2. The paradox of individual rights versus majority rule comprises major conflict in
the United States’ version of democracy.
B. James Madison, in The Federalist, no. 10, warned against direct democracy.
C. The Constitution creates a representative democracy, in which elected leaders decide public
issues.
D. Limited government preserves individual liberties from government intrusion.
E. Under totalitarianism, individuals possess no personal liberty.
F. In authoritarianism, one individual or a small group monopolize power but do not restrain
individuals’ private lives.
G. Constitutional government restrains government while preserving individual liberty.
2
VI. Direct Versus Representative Democracy
A. Direct democracy is a form of government in which all qualified members of the society take
part in the decision- and policy-making process.
1. Direct democracy, also called “pure” or “participatory” democracy, is very rare.
2. New England town meetings, in which all of the citizens decide town affairs in face-to-face
settings, are as close to direct democracy as exists in present governments.
B. Representative democracy exists when qualified citizens select their representatives,
and those selected decide issues on behalf of the people.
1. Representatives are selected by vote of all the people.
2. Elections are open to competition.
3. Candidates can freely express themselves.
4. Representatives are selected periodically.
VII. Who Really Governs?

A. Harold Lasswell and Daniel Lerner state that government power is concentrated in the hands of a
few individuals, even if it makes decisions for one or many.
B. The elitist perspective asserts that government is managed by the few, and that the few
have certain characteristics in common.
1. Elites have power, while masses do not.
2. Elites do not, necessarily, exploit masses.
3. Elites may be self-seeking or public-spirited.
C. The pluralist perspective argues that Americans participate in all life-shaping
decisions; that the majority prevails; that life, liberty, and property are never
sacrificed; and that every American has equality of opportunity.
1. The pluralist viewpoint is seen as the best approximation of the ideal of a representative
democracy because of the size and complexity of the society.
2. Pluralism is designed to make the theory of democracy “more realistic.”
3. Pluralists realize that public policy and majority preference do not always
coincide.
4. “Equilibrium” is achieved when balance, as compromise, is concluded.
VIII. Democracy in America

A. There is a conflict between the concepts of elitism and pluralism.
B. Democratic ideals may well be in conflict with reality of American politics.
1. Ideals are associated with such concepts as individual dignity, equality,
popular participation, and majority rule.
2. Reality is the identification of who gets what, when, and how in the American
political system of representative democracy.

CHAPTER 2
POLITICAL CULTURE: IDEAS IN CONFLICT

CHAPTER OVERVIEW
Neither the foundation of the American system of government nor the theory and practice of
the American system of economics is based on demand for a singular acceptable form of
government. However, if a singular form is to be considered, the term diversity would be
appropriate to describe American systems of both government and economics, as well as the
wide-ranging ideologies of the American people.
Historically, Americans came into the tradition of eighteenth- and nineteenth-century

liberalism, but the traditions have changed from their original meanings which were associated
with individualism. Much of the traditional ideological content has changed since its inception.
Conservatism has come, today, to be seen quite differently from the way it existed in the
twentieth century.
America has always been a nation of immigrants, and this has created diversity in American
ideologies and realities—note the role of African Americans and Hispanics. United States citizens
are some of the most religious worldwide but are concerned by religious leaders exercising political
influence. Even dissent has become acceptable as a pattern of political behavior. Inequality has also
contributed to extremist views associated with dissent. At the same time, class structures contribute
to—or even demand—the diversity necessary to maintain the American political culture. Conflict is
not only expected, it is almost required in the American system.
CHAPTER THEMES
· The American political culture is based on sets of widely shared values.
· One of the major shared values is the right of individuals to express their different beliefs,
attitudes, and values.
· Equality is a fundamental American shared value, but the concept of equality is a source of conflict.
· Equality of opportunity and equality of birthright are not the same.
· Diversity of economic and political cultures prompts dissent.
· Inequity of income distribution is a major source of conflict.
· The distribution of income leads to challenges of government to resolve concerns of income
inequality.
· There are many different approaches toward resolving this inequality, including different
political and economic beliefs about the role of government in the management of inequality.
· American’s religious versus secular beliefs are commonly aligned with the intensity of their
religious commitments but often clash with their belief in separation of religion from politics.
· Liberalism and conservatism represent two widely diverse approaches toward management of
issues of inequality.
· Dissent, structured into the American political system, has created a diversity of political and
economic ideologies.
· Immigration, race, and ethnicity are important factors in America.
1
CHAPTER OUTLINE
I. Political Culture
A. The term political culture refers to widely shared ideas of who should govern, for what ends,
and by what means.
1. Values are culturally shared ideas about what is good and desirable.
2. Values provide standards of what is right and wrong.
3. Beliefs are shared ideas about what is true.
B. In political culture, values and beliefs are often related.
1. Beliefs can justify values.
2. Shared beliefs and values are the basis of the American political culture.
3. Variations in values and beliefs exist within a society as subcultures.
C. In the American political culture, there are many contradictions between values and conditions.
1. The words “all men are created equal,” and the practice of slavery and segregation
exemplify the “American dilemma.”
2. Despite contradictions, professed values still have worth.
3. Eliminating gaps between values and conditions can become motivation for change.
D. The civil rights movement can be seen as the effort to resolve contradictions derived from
the gap between values and conditions.
E. The idea of political culture does not mean an absence of conflict.
1. Much of politics revolves around conflict over fundamental values.
2. Ultimately, Americans share common ways of thinking about politics.
II. Individual Liberty

A. The major political value in America is individual liberty.
B. Classical liberalism asserts the worth and dignity of the individual.
1. Liberalism developed as an attack on the long-held values of:
a. Hereditary privilege
b. The monarchy
c. Privileged aristocracy
d. The state-established church
2. The eighteenth-century Enlightenment, known as the Age of Reason, supported
faith in:
a. Reason
b. Virtue
c. Common sense
3. Among the many philosophers of the Enlightenment period were:
a. Voltaire, Jean-Jacques Rousseau (French)
b. John Locke, Adam Smith (English)
c. Thomas Jefferson (American)
C. The philosophy associated with classical liberalism prompted America’s Founders to:
1. Declare independence from England
2. Write the United States Constitution
3. Establish the Republic
D. The writings of John Locke are credited as the most influential in American
institutionalization of classical liberalism’s ideals.
1. Locke argued that even where no government exists, as in a “state of nature,” individuals
possess inalienable rights to:
a. Life
b. Liberty
c. Property
2. Because no government gives such rights, no government can take them away.
3. Humans form a social contract with one another for the purpose of forming a
government that will protect natural rights.
E. Implicit in Locke’s social contract and the liberal idea of freedom are the beliefs that:
1. Government activity will be limited.
2. Restrictions on individuals’ rights will be kept to a minimum.
F. Classical liberalism is to political ideas as capitalism is to economic ideas.
1. Capitalism is based on individuals’ rights to own and use private property, as befits the users’
concepts.

2. The economic version of freedom includes freedom to:
a. Make contracts
b. Bargain for services
c. Change jobs
d. Join labor unions
e. Start and maintain one’s own business
3. In liberal politics, individuals may:
a. Freely speak out
b. Form political parties
c. Vote
4. In liberal economics, individuals may:
a. Find work
b. Start businesses
c. Spend money
5. In liberal economics, the role of government is to:
a. Protect private property
b. Enforce contracts
c. Perform only functions and services that cannot be performed by the private market
III. Dilemmas of Equality
A. Equality competes with liberty as a major value in American political culture.
B. Generally, Americans have long held that no person has greater worth than any
other person.
1. In 1776, the principle of equal worth was a radical idea.
2. French historian Alexis de Tocqueville identified equality as a fundamental aspect of
American society but warned against a “tyranny of the majority.”
3. Lincoln asserted that equality was not as much a reality as it was an ideal to be aspired to.
4. Millions who came to America saw the United States not just as a land of opportunity, but as
one of equal opportunity, in contrast to their experiences of other nations’ governments.
C. Political equality is different from legal equality.
1. Laws should apply equally to all in political equality.
2. Contradictions between values and practice explain distinctions between political and legal
equality.
D. Equality of opportunity means that every individual begins at the same “starting line in life,”
without prohibitions of political or legal means inhibiting the “start.”
E. Equality of results refers to equal sharing of income and material rewards, regardless of one’s
efforts in life; that is, individuals reach the “finish line” at the same time.
F. Fairness is believed in by Americans, though agreement on “what is fair” is infrequent.
G. There is a distinction between equality in politics and equality in economics.
1. Most Americans support a “floor” on income and material well-being,
consistent with the belief in equality of opportunity
2. Few Americans want to place a “ceiling” on income or wealth
3. Americans want people who cannot provide for themselves to have assistance
4. Americans do not believe government should equalize incomes.
IV. Income Inequality and Social Mobility
A. Conflict in society is more often associated with perceptions of inequalities among people than
by experienced hardship or deprivation.
B. Inequality in the United States is expressed in terms of individual income.
C. In general, income inequality has increased in the United States since 1970.
D. Cause, or blame, for income inequality is not singular but is associated with:
1. The decline of manufacturing, blue-collar jobs, and increases in service, white-collar jobs
2. The rise in the number of two-wage families, with female-headed households making less
income
3. The increase in aged and female-headed families
4. Global competition which restrains wages in unskilled and semiskilled jobs
E Social Mobility
1. Possibilities for social mobility in the United States decrease political conflict over
inequality.
2. The belief that people have a good opportunity to “get ahead” if they work hard reduces
conflict among classes.
3. Most people consider themselves as “middle class.”

V. Race, Ethnicity, and Immigration
A. African Americans
B. Hispanics
C. From the pilgrim “boat people” to Cuban “rafters,” America has long been a nation of
immigrants.
1. Eight percent of U.S. population today is foreign born.
2. America accepts more immigrants into its borders than all other nations combined.
D. Immigration policy is made by the national government.
1. Congress passed major immigration acts in 1882, 1921, and 1986.
2. About one million people per year are admitted legally into the U.S.
3. About 25 million people receive visas for short-term visits.
E. Illegal immigration into the U.S. is aided by extensive borders (more than 5,000 miles) and
hundreds of air- and seaports.
1. The INS estimates illegal immigration to be about 400,000 per year—close to half of legal
immigration.
2. Due process, from the Fifth and Fourteenth Amendments, has been interpreted as applicable to all
persons residing in the U.S. (not just to citizens).
F. Citizenship
VI. Religion and Secularism in Politics

A. The United States is one of the most religious societies in the world.
1. Over 80 percent claim some religious affiliation
2. Evangelical Protestants are the largest single group and the fastest growing.
B. Most Americans do not believe religious leaders should exercise influence in
political life
C. Challenging religion in public life
1. The divide between religious faith and secular politics is growing.
2. Constitutional challenges to religion in public life are increasing, such as attempts to
remove the words “Under God” from the Pledge of Allegiance, as well as other
examples.
D. Religious/political alignments
1. Division of the public over religion-versus-secular interests does not depend upon
religious preference but is based upon intensity of belief.
2. The division between religion and secular viewpoints increasingly corresponds
to liberal and conservative beliefs.
VII. Ideologies: Liberalism and Conservatism

A. An ideology is an integrated set of ideas, values, and beliefs.
1. Most Americans avoid the labels of conserve or liberal ideologies by defining
themselves as “moderate” or “middle-of-the-road” or even by refusing to define
themselves on any ideological scale.
2. Political elites are more consistent in their political views than nonelites.
3. Today’s conservatism focuses on individual rights and reduction in
government controls—values drawn from Locke, Jefferson, and the nation’s Founders.
4. Liberals today believe in a strong government for economic security and protection of
civil rights, with an emphasis on the whole of society as requisite to protection of
individual rights.
B. Few Americans can be assigned to any single ideological terminology— conservative,
liberal, even neoconservative or liberal.
C. Conservatives prefer limited, noninterventionist government in economic affairs, while they
seek to strengthen government power to regulate social conduct.
D. Liberals prefer an active, powerful government in economic affairs, while at the same time
they seek to limit government involvement in social conduct.
E. Neither conservatives nor liberals are consistent about the role of government.

F. Populists are liberal on economic affairs but conservative on social matters.
1. Though few describe themselves as populists, there are actually many in the electorate.
2. Liberal politicians seek populists’ support, stressing economic issues.
3. Conservative politicians seek populists’ support, emphasizing social issues.
G. Libertarians are actually focused on reducing government involvement in both
economic and social affairs.
H. Youth and Ideology
VIII. Dissent in the United States

A. American political culture includes a diversity of causes and factions associated with dissent.
1. Radicals of both Right and Left actually share many characteristics, though they claim to be
enemies.
a. Both are usually extremist.
b. Extremists are generally hostile to politics, though they may use politics to gain short-term
goals.
2. Conspiracy theories are popular among extremists.
B. Fascism is a far-Right ideology, asserting supremacy of the state/race over individuals.
C. Marxist theories, derived from the work of Karl Marx, include:
1. Oppression of the workers by capitalists
2. The inevitability of worldwide revolution
3. The emergence of a classless society
D. Leninism, associated with implementation of Marx’s and Engels’s theories and which spurred the
1917 Russian Revolution, is based on the organization of small, disciplined groups of professional
revolutionaries.
E. Communism is associated with Marxist-Leninist ideas about class warfare, which include beliefs that:
1. A worldwide revolution by the proletariat (workers) is inevitable
2. All power will be concentrated in the Communist party
3. Democracy is only a disguise for exploitation
F. Socialism, like communism, condemns capitalist profit making as exploitative of the working class,
but generally they differ because:
1. Socialists reject violent revolution
2. Socialists accept democratic principles
3. Socialists seek to achieve equality, rather than only equality of opportunity
G. Much of the twentieth century had seen the struggle between democratic
capitalism and totalitarian communism.
1. This phenomenon has been labeled “the end of history.”
2. Capitalism does not ensure democracy, but economic freedom inspires demands for
political freedom.
H. Academic radicalism is closely associated with higher education institutions because:
1. Marxism is found among many academics
2. Academics see business as exploitative, particularly when salaries of academics and
business are compared
3. Marxism allows academics the ability to attack all perceived ills about America, such as:
a. Poverty
b. Racism
c. Environmental hazards
d. Junk food, athletics, advertising, etc.
4. The agenda of academic radicalism is associated with being politically correct (PC), which means
that Americans must overcome such ideas, ideals, and uses associated with:
a. Racism
b. Sexism
c. Homophobia
d. Overt bigotry, and all other perceived wrongs toward others

CHAPTER 3
THE CONSTITUTION: LIMITING GOVERNMENTAL POWER

CHAPTER OVERVIEW
Following the Revolutionary War and separation from England, the need for a new
government was clear. A group of men, who became known as the nation’s Founders, developed
a new government based on principles and beliefs they knew through their experiences, readings,
and study. The Founders had a great deal in common with each other, including property
interests, education, and extensive political experience. These common experiences and
birthrights created a strong consensus about what should be incorporated into the government
that would replace England’s.
Troubles developed immediately upon establishment of the United States of America with
the 1781 Articles of Confederation. Economic difficulties and means of dividing power between
leaders and competing interests caused conflict. The conflicts had to be resolved, and the
Founders set to their resolution by finally going to Philadelphia to write law for a new
government. Though eventually successful and completing the Constitution, there was a great
deal of conflict during its development in the summer of 1787. The form of government
established incorporated the ideas of diverse groups, as well as the Founding Fathers’ recognition
of the need for compromise.
Finally, when the Constitution was completed in the summer of 1787, approval by
representatives from nine of the thirteen states was needed for it to become the nation’s law. The
issue of individual rights was managed—though this, too, created conflict among the Founders—
with the addition of the Bill of Rights. Change was written into the supreme law of the land; since
then, legal institutionalization of changes has occurred. Since the Constitution’s adoption, change
has taken place through the amendment process identified in the Constitution and under the
direction of the branches of government established in the Constitution: the Executive, the
Legislature, and the Judiciary.
CHAPTER THEMES
· Written laws of nations date to the Magna Carta in the thirteenth century.
· Written constitutions developed early in the American experience on the new continent.
· Following the Revolutionary War, adoption of the Articles of Confederation, and political and
economic difficulties with the Articles, a meeting was convened in Philadelphia to resolve the
problems.
· The delegates, soon to be known as the Founders, wrote a Constitution founded on principles
they knew through study and experiences.
· The Founders had a great deal of consensus concerning basic principles of government.
· Despite consensus on basic principles, conflict developed and was resolved through
compromise.
· In September 1787, the Constitution of the United States of America was completed and signed
by the Founders. Innovative ideas extend throughout the single document.
· Though the Constitution was adopted to establish government’s form, there were no specific
rights of individuals identified in the Constitution. The Bill of Rights came into existence after
conflict between two competing factions associated with the Philadelphia Convention.
· Many changes, from different sources, have evolved since adoption of the Constitution.

CHAPTER OUTLINE
I. Constitutional Government in America

A. A constitution legally establishes government authority.
B. A constitution cannot be changed by ordinary acts of government bodies.
C. Government officials believe they are limited by the Constitution.
D. Private citizens believe they are protected by the Constitution.
E. Prior to the 1787 Constitution of the United States, there were many written laws concerning
government.
F. The early written laws as instruments of government established concepts that, over time, came
to impact the United States Constitution of 1787.
1. The Magna Carta, 1215, set precedents of limited government and monarchy.
2. The Mayflower Compact, 1620, implemented government established by
contract with the governed.
3. The Colonial Charters, 1630–1732, set precedents in America for written documents.
4. The Charter Oak Affair, 1685–88, strengthened the notion of loyalty to the constitution
rather than the king.
5. The Declaration of Independence, 1776, asserted rights of the individuals, the contract
theory of government, government by consent of the governed, and the right of
revolution.
6. The Articles of Confederation, 1781–89, established the former colonies under a “firm
league of friendship,” equal to an alliance of state governments.
II. Troubles Confronting a New Nation

A. Following America’s success in the Revolutionary War, the Articles of Confederation resolved
the need for a new form of law, but they also instigated many difficulties.
1. Financial difficulties could not be managed under the Articles of
Confederation.
a. Less than 10 percent of the new states paid taxes to support the new government’s
needs.
b. Private investors loaned money to the nation.
c. U.S. government bond values fell to about 10 cents on the dollar.
d. Congress could not make interest payments on bonds.
2. Serious commercial obstacles existed and the government found it was unable to protect such
interests.
a. States competed with one another in foreign tariffs.
b. Business interests wanted to prevent states from imposing tariffs.
c. States could tax goods from other states.
d. Congress could not regulate interstate commerce.
3. Money problems devalued the new nation’s economic stability, both domestically and
in foreign markets.
a. States issued their own money and regulated its value.
b. Creditors were plagued by the different states’ values of their money.
c. Banks and creditors were threatened by cheap paper money.
4. Men of property in early America actively speculated in western land. A strong central
government could open the way for the development of the American West.
5. Civil disorder began to occur soon after the war’s end, most commonly associated with tax
and money differences among states and with the national government…Shay’s Rebellion
B. The road to the Constitutional Convention was paved by difficulties rooted in the Articles of
Confederation.
1. A meeting to seek means of resolving the problems was held at George Washington’s
home, Mount Vernon, in spring 1785.
2. The Mount Vernon Conference led to the Annapolis Convention in September 1786,
which sought to identify defects in the Articles.
3. The Annapolis Convention led Congress to the call for a convention in Philadelphia,
meeting for the purpose of “revising the Articles of Confederation.”
C. The nation’s Founders
1. The fifty-five men who met in Philadelphia in 1787 quickly discarded the mandate to
“revise” the Articles of Confederation.
2. The men who attended the meeting had a great deal in common.
3. For the most part, they were experienced, well educated political leaders.
4. They had experience in governing.
5. They were cosmopolitan nationalists.

D. Some of the Founders attending the 1787 Philadelphia Convention are known for particular
contributions.
1. James Madison, a Virginia delegate, led the effort to eliminate the Articles, drawing up a
new constitutional document soon after his arrival in Philadelphia.
2. George Washington was elected chairman of the convention.
3. Neither Thomas Jefferson nor John Adams were at the Convention; Jefferson was in France and
Adams in England as ambassadors for the new U.S.
III. Consensus and Conflict in Philadelphia
A. Men attending the convention in Philadelphia often had conflicting ideas, but, more importantly,
they also had a consensus on ideas about government.
1. John Locke’s writings influenced the Founders’ ideas about liberty and property.
2. The believed in a natural law superior to any human-made laws, that endowed each
person with certain inalienable rights.
3. The Founders believed in Locke’s theory of implied contract between governing
and governed, which they viewed as a social contract.
4. Though most nations of the world were hereditary monarchies, the Founders believed in
principles of democracy.
5. Instead they sought to form a republic which meant government by representatives of the
people.
6. Unlimited government and concentrated power were seen as threatening.
7. The Founders strongly believed in a strong national government, though there was some
dissent concerning stronger state authority.
B. Benjamin Franklin was the voice of compromise and conciliation at the Constitutional
Convention.
C. Though the Founders had a great deal of consensus on the needs and form of a new government,
the specifics to be implemented in the Constitution caused conflict among the delegates during
the summer 1787.
D. Two major competing plans were proposed.
1. The Virginia Plan was proposed by the state’s governor, Edmund Randolph.
a. This plan included a two-house legislature, with the lower house
popularly elected and the upper house selected by the lower.
b. Congress could nullify state laws believed to violate the Constitution.
c. The proposal included a parliamentary form of government, in which
Congress would choose a cabinet and the judiciary.
2. The New Jersey Plan was proposed by the state’s delegate, William Paterson.
a. This plan called for a Congress in which each state, regardless of
population, would have an equal vote.
b. Separate executive and judicial branches would be established.
c. Congress’s powers were expanded to include taxation and commerce.
d. Paterson included a supremacy clause, with national government law
superseding state law.
E. Debate between the two plans continued until July, when Roger Sherman of Connecticut
offered a compromise between the two plans.
1. The Connecticut Compromise, as it became known, combined some of each plan’s
proposals.
a. Two houses would be established: the upper would have two members regardless
of the state’s size, while the lower house numbers would be based on each state’s
population.
b. Legislation would have to pass in both houses.
2. The compromises were so powerful that the alternate name for the proposals is “the Great
Compromise.”
F. The slavery issue was resolved when the Connecticut Compromise proposed the “Three-Fifths
Compromise,” in which three-fifths of a state’s slaves would be counted for purposes of
representation and taxation.
1. Slaveowners succeeded in acquiring protection for human “property.”
2. Slave trade would be outlawed by 1808.
G. Conflict over voter qualifications centered on property ownership.
1. James Madison observed that owning property did not particularly mean wealth.
2. Benjamin Franklin wanted universal male suffrage.
3. The Founders concluded the debate with the decision to let states establish voter
qualifications.
a. States had property qualifications for voting, and they remained.
b. No state permitted women to hold office or vote.

IV. The Economy and National Security
A. The issues associated with economics of the new nation had to be addressed by the generally
wealthy delegates to the Philadelphia Convention. One key issue was levying taxes.
1. The issue of taxation was resolved in the early part of the Constitution.
a. Article I, Section 8, gives Congress the power to levy and collect taxes.
b. Alexander Hamilton, the first secretary of the treasury, made the nation’s
first priority to repay Revolutionary War debts.
c. The major burden for taxes was placed in the form of tariffs on imported goods.
d. No taxes were permitted on exports.
e. No direct taxes associated with income could be laid.
f. Only Congress could make appropriations, giving Congress “power of the purse.”
2. The presidential role in tax management is limited.
B. Regulation of commerce was a power given to Congress in Article I, Section 8.
C. Congress was given power to coin and regulate the value of money.
D. Under the Articles of Confederation, the new nation depended on state militias for protection, the
same system as existed during the Revolutionary War.
E. Under the new Constitution, military authority was divided between the president and the Congress.
1. Only Congress can declare war.
2. The Congress supports the army and navy, and makes rules governing the forces.
3. Congress and the president direct state militia when called into national service.
F. The president of the United States is also the commander-in-chief of all military, based on the
precedent established when George Washington became the president.
G. The national government assumed full power over foreign affairs, with states prohibited
from entering into any separate alliance with any foreign power.
V. The Structure of the Government

A. The structure of the constitutional government established in Philadelphia was a unique blend of the
Founders’ beliefs.
1. National supremacy created a strong central government.
2. Federalism divided powers between national and state governments.
3. Republicanism provided for leaders selected by the people.
4. Separation of powers and checks and balances prevent tyranny in
government.
B. Though alterations through both amendments and congressional or judicial actions have
occurred since the structure was created in the Constitution, the basic foundation established
remains secure.
VI. Separation of Powers and Checks and Balances

A. The separation of powers within the national government created separate legislative,
executive, and judicial branches.
B. Checks and balances are established to reduce the probability that any one branch of
government can acquire more power than another.
1. No bill can become law without the approval of both houses.
2. The president may suggest legislation but cannot, directly, make law.
3. Congress can override a presidential veto with a two-thirds vote in each
house.
4. The president may suggest legislation.
5. The president may convene special sessions of Congress.
6. Presidential appointments must be approved by the Senate.
7. Treaties must be approved by the Senate.
8. Congress provides money for the president to execute laws.
9. Only Congress can appropriate funds.
10. All executive departments and agencies established must be approved by Congress.
11. Congress can impeach and remove the president from office.
12. The president appoints, and the Senate confirms, members of the federal court (including
the Supreme Court).
13. Congress determines the numbers of federal courts and judges.
C. Judicial review is not specifically described in the Constitution but evolved formally with
the 1803 Marbury v. Madison decision.
VII. Conflict over Ratification

A. The means to approve the Founders’ Constitution was written into the Constitution.
1. Approval of amendments required votes from nine of the thirteen states.
2. Special ratifying conventions in states could result in new amendments to the Constitution.
4

B. Opponents of the Constitution were the Anti-Federalists.
1. They argued that the national government would “trample” on powers and rights of
states.
2. Anti-Federalists believed there should be a Bill of Rights to protect individual liberties.
VIII. Amending the Constitution

A. Federalists did not believe a Bill of Rights was necessary.
1. The national government could not exercise any power not granted in the
Constitution.
2. Powers to limit speech, press, and establish religion are not enumerated in the Constitution.
3. It is, therefore, not necessary to specifically deny powers not held in the first place.
B. Anti-Federalists wanted specific guarantees of individual rights written into the
Constitution, or there would be a possible problem with ratification of the proposed
Constitution.
C. James Madison introduced a Bill of Rights, containing twelve amendments, and they were sent to
the states for ratification. Ten passed, one did not, and the other was not ratified until after the
others were in effect in 1791.
D. Given the structure of the government in the Constitution, government is required to ask the
people for changes to the Constitution.
E. Some of the greatest changes to the Constitution have come about through judicial
interpretations, rather than by formal amendment.
1. The judicial review process argued by John Marshall in the 1803 Marbury v. Madison
case, says that the Supreme Court can invalidate laws of states and Congress if they
are not in compliance with the intent of the Constitution.
2. Federal courts are more likely to strike down state laws than those passed by Congress.
F. Presidential and congressional actions have used powers to change the specific statements
in the Constitution.
1. Presidents have used executive power to circumvent specifics of the Constitution.
2. Congress has used its law-making power to restrict powers.
G. Custom and practice have allowed certain practices to come into existence largely because
they were not included in the Constitution.
1. Political parties grew out of their practice.
2. There is no mention about terms of elected officers, though a constitutional
amendment was finally passed concerning term limits of the president.
3. The Electoral College has become a ceremonial body, rather than the
deliberative body anticipated by the Founders.

CHAPTER 4
FEDERALISM: DIVIDING GOVERNMENTAL POWER

CHAPTER OVERVIEW
The system of federalism was instituted with the writing and authorization of the Constitution
in 1787. Dividing power between states and the national government, federalism has undergone
challenges to the placement of power—should power reside primarily in national or in states’
government? The Civil War was the most dramatic challenge to the placement of power. Southern
states argued, under leadership of John C. Calhoun, that states’ power superseded national power,
while northern states, under leadership of President Abraham Lincoln, stressed the need for union
under the leadership and direction of the national government.
In the more than 200 years since the Constitution’s adoption, there have been many changes
to the meaning of federalism, with power shifting between states and national government. In the
twentieth century, the shifts of power became largely associated with the national government’s
ability to provide increased funding sources. With funding more available, the national
government has expanded its impact on all areas of states’ governments. This increased power has
had many advocates and many detractors, each with justifications for strong support.
CHAPTER THEMES
· There are a variety of alternatives to federalism.
· The constitutional design of federalism allowed for the resolution of problems that existed in
the design of the confederation.
· Development of the American federal system of government has prompted the initiation of a
diversity of government programs.
· Federalism has both advocates and detractors.
· There have been many forms of federalism in the 200 years since it was instituted.
· Federalism may have been “revised” by recent Supreme Court decisions.
1
CHAPTER OUTLINE
I. Why Federalism? The Argument for a “Compound Republic”

A. The Civil War was the United States’ first and last major challenge to the Constitution’s
federal system.
1. Eleven states seceded from the Union to form the Confederate States of America
(CSA).
2. Lincoln declared the states in rebellion and sent troops to crush them.
3. The Civil War ended with about 500,000 deaths and injuries.
4. The Supreme Court affirmed the legal indestructibility of the Union.
B. Federalism divides power into two separate authorities as the nation and the states.
1. The nation and states pass laws, impose taxes, spend money, and maintain courts.
2. Neither can dissolve the Union or amend the Constitution without consent of the other.
C. A unitary system differs from federalism because authority rests with the national
government.
D. A confederation is different from federalism because it relies upon states for its authority.
E. The Constitution isthe only legal source of authority for both states and the nation.
1. States do not get their power from the nation.
2. The nation’s power is not from the states.
F. There are more than 87,000 governments in the United States today.
1. The amount of power held by state and local governments is limited by national
supremacy.
2. State governments must recognize the national government’s constitutional authority.
3. The Constitution makes no mention of local government, though some states have home
rule.
4. States have final authority over local governments.
G. Federalism was devised as a way to ensure public and government security because:
1. The Founders believed “Republican principles” would make government more
responsible to the people.
2. Majority rule made it necessary to find ways to protect minorities and
individuals from majorities.
H. Though the Constitution guarantees individual liberty, the guarantees cannot enforce
themselves.
1. The Founders structured the government to encourage rivalry, both within and among
governments.
2. Rivalry was to be resolved by dividing power between national and state governments, and
by dispersing power among branches within the national government.
3. Therefore, competition between governments was created.
I. Federalism distributes power among different sets of leaders.
1. Multiple leadership groups are usually more democratic than single leaders.
2. State and local levels of government provide a political base for the political
party losing at the national level.
3. State and local governments can be training grounds for national leaders.
J. Federalism increases opportunities for political participation.
K. The decentralization of a federal system can improve efficiency of all levels of government.
L. Multiple, competing governments can be more sensitive than a single government to citizens’
views.
M. Federalism encourages policy experimentation and innovation.
1. Today federalism is seen as conservative, but once it was viewed as progressive.
a. The New Deal of the 1930s began with state policy experimentation.
b. Federal policies such as wage and hour legislation, Social Security, etc., began in the
1930s as state programs.
2. State and local governments are seen as “laboratories of democracy,” according to
Supreme Court Justice Louis D. Brandeis.
N. Federalism allows different peoples to work together, without creating unresolvable
conflict.
O. There are problems in the use of a federal system.
1. Federalism can obstruct action on national issues.
2. Social injustices may be hidden because they exist in such a complex system.
3. Some leaders may seek to serve their own interests rather than the good of all.
4. Federalism permits benefits and costs of government to be spread unevenly
across the nation.

II. The Original Design of Federalism
A. The U.S. Constitution originally defined American federalism in five different terms.
1. The powers expressly delegated to the national government plus the powers implied by
those that are specifically granted
2. The concurrent powers exercised by both states and the national government
3. The powers reserved to the states
4. The powers denied by the Constitution to both the national government and the states
5. The constitutional provisions giving the states a role in the composition of the national
government
B. Delegated powers are a list of seventeen specific powers granted to Congress in Article I,
Section 8.
1. Delegated powers are also called “enumerated powers.”
2. The delegated powers are:
a. Authority over war and foreign affairs
b. Authority over the economy, including interstate interest
c. Control over the money supply
d. Power to tax and spend, “to pay debts, provide for the common defense and general
welfare”
3. The “Necessary and Proper Clause,” also known as the “Implied Powers Clause” or
the “elastic clause,” allows Congress to make all laws that will bring about completion
of the delegated powers.
C. The national supremacy in Article VI ensures a powerful national government.
D. States’ powers are also extensive.
1. Concurrent powers are powers shared by the national and state governments.
2. The Tenth Amendment gives states “powers not delegated to the United States.”
3. States also have reserved powers, which include:
a. Control over property and contract law
b. Criminal law
c. Marriage and divorce
d. Provision of education
e. Highways
f. Social welfare activities
4. States have the power to tax and spend for the general welfare.
5. States control organization and powers of their local governments.
E. There are numerous powers denied to states.
1. States cannot coin money.
2. States cannot make treaties with foreign nations.
3. States cannot interfere with “obligation of contracts.”
4. States cannot levy taxes on imports or exports.
5. States cannot engage in war.
F. There are some powers denied to both the nation and states.
1. Neither government can abridge individual rights guaranteed in the Bill of Rights.
2. No state can discriminate against citizens of another state.
a. All states must give “full faith and credit” to legal actions of other states.
b. Citizens of each state are entitled to privileges and immunities of citizens
in all other states.
G. States are the foundational unit of the national government.
1. The composition of the House of Representatives is based on population of each state.
2. Regardless of population, the national Senate has two persons from every state.
3. The Electoral College elects the president; it is composed of the same number
of members as the total number of both House and Senate members.
4. Three-fourths of the states must ratify amendments to the U.S. Constitution.
III. The Evolution of American Federalism
A. American federalism has undergone major evolution in the more than 200 years since it was
established.
B. Federalism has evolved through a series of practices.
1. State-centered Federalism (1787–1868) focused on states as the most important
unit in the federal system.
2. Dual Federalism (1868–1913) was determined with the Civil War’s conclusion,
but citizens continued to look to states for most services.
3. Cooperative Federalism (1913–1964) gradually resulted with erosion of distinctions
between national and state responsibilities.
4. Centralized Federalism (1964–1980) is identified with recognition that the national
government was immersed in state governments’ activities.

5. New Federalism (1980–1985) is seen as the attempt to reverse power from national to
state governments.
6. Representational Federalism (1985–1995) is identified with the idea that there is no
constitutional division of powers between states and national governments.
IV. Other Political Science Theories of Federalism

A. Fiscal federalism is the practice of deciding which fiscal (tax and spend) tools should be exercised by
different levels of government.
B. Environmental federalism refers to national laws and agencies that regulate “transboundary”
environmental threats-threats that cross state lines
1. Clean Air Act (1970)
2. Clean Water Act (1972)
3. Endangered Species Act (1973)
C. Historical Landmarks in the Development of American Federalism
D. American federalism has undergone major evolution in the more than 200 years since it was
established, with several key developments within that evolution.
E. Broad interpretation of the Necessary and Proper Clause (Article I, Section 8)
allows the national government to do almost anything not prohibited by the
Constitution.
F. Marbury v. Madison (1803): Expanding Federal Court Authority
G. McCulloch v. Maryland (1819): Expanding Implied Powers of the National
Government
1. Implied powers associated with the National Supremacy Clause expanded national
authority since the Constitution’s government was instituted.
2. Though there is nothing in the Constitution concerning establishment of a national bank,
Alexander Hamilton proposed it, and Congress authorized it in 1791.
a. Hamilton justified the bank’s establishment, saying the national government had
the rights to determine how it would perform its functions, “as necessary and
proper.”
b. Thomas Jefferson believed the word necessary equated to indispensible, therefore,
according to Jefferson, the bank would not have been established.
3. The legitimacy of the national bank, and its authority, was established in the 1819
McCulloch case.
a. The McCulloch case established the principle that “necessary and proper” gives
Congress a means to carry out the Constitution’s enumerated powers.
b. The McCulloch case meant that according to the National Supremacy Clause,
states cannot refuse to obey federal laws.
H. Secession and the Civil War (1861-65): Maintaining the Indestructible Union
1. The Civil War posed the greatest threat to the American federal system.
2. Senator John C. Calhoun of South Carolina believed that a state had a right to oppose national
law.
3. The decision that the national government was not to be challenged was decided on
the battlefields of the Civil War.
4. After the Civil War, the Thirteenth, Fourteenth, and Fifteenth amendments were
adopted to limit states’ powers.
a. The Thirteenth Amendment eliminated slavery.
b. The Fourteenth Amendment denied states the power to make laws
unsatisfactory to the national government.
c. The Fifteenth Amendment denied states the right to deny the right to vote based on
race, color, or previous enslavement.
5. Only after World War I did the Supreme Court begin to build a national system
of civil rights based on the Fourteenth Amendment’s guarantees.
I. The Income Tax and Federal Grants (1913)
1. 16th Amendment provides for an income tax
2. Supreme Court upheld grants as a legitimate exercise of Congress’s power to
tax and spend.
3. From the earliest days of the Republic, Congress has made land grants
to states.
4. Upon passage of the Sixteenth Amendment, Congress began to make
cash grants to the states.
a. With federal money came federal direction.
b. Early cash grants were often given for roads and education.
J. National Labor Relations Board v. Jones and Laughlin Steel Corp. (1937):
Expanding Interstate Commerce
1. During the years of the Industrial Revolution, post-Civil War, the economy
was nationalized because of nationwide transportation and communication.
4
2. Congress widened the definition of interstate commerce.
a. Interstate transportation, particularly railroads, was to be regulated by Congress.
b. Communications, expanded with development of both the telephone and telegraph,
were to be regulated by Congress.
3. Interstate business expanded with increased industrialization.
a. The Sherman Antitrust Act of 1890 was designed to prevent monopolies and encourage
competition.
b. The 1930s saw expanded interstate commerce decisions establishing the principle that
production and distribution of goods and services for a national market fell under
interstate commerce interests.
K. In 1954, with Brown v. Board of Education of Topeka, the Court began the call for full
assertion of national authority on behalf of civil rights.
1. Despite the Court’s decisions, southern states avoided compliance with the Court’s decisions.
a. In 1957, Arkansas tried to prevent integration of high schools, but President
Eisenhower sent in the National Guard.
b. In 1962, Kennedy forced integration using a military response when Mississippi tried to
prevent integration at the University of Mississippi.
L. Voting Rights Act (1965) and Bush v. Gore (2000): Federal Oversight of Elections
V. Federalism Revived? (In recent years, the U.S. Supreme Court has become more respectful of
the states’ powers.)
A. U.S. v. Lopez (1995): The Court found that the Federal Gun Free School Zones Act was
unconstitutional because it exceeded Congress’s powers under the Interstate Commerce
Clause.
B. Seminole Tribe v. Florida (1996): The Eleventh Amendment shields states from lawsuits by private
parties that seek to force states to comply with federal laws enacted under the commerce power.
C. Alden v. Maine (1999): States were also shielded in their own courts from lawsuits in which
private parties seek to enforce federal mandates.
D. Printz v. U.S. (1997): Provision of the Brady law was invalidated. The law’s mandate that local
police conduct background checks on gun purchases violated “the very principle of separate State
sovereignty.”
VI. Federalism and Direct Democracy

A. The nation’s Founders believed that the “follies” of direct democracy far outweighed
any virtues it might possess.
B. The populists and progressives were responsible for the widespread adoption of three forms
of direct democracy: the initiative, referendum, and, recall.
C. The politics of state initiatives generally reflect popular attitudes rather than the opinions of leaders
in business and government.
VII. Money and Power Flow to Washington
A. With money received from taxes, Congress began to establish a variety of grant-in-aid
programs.
1. Categorical grants provide a sum of money for use in narrow, specific projects.
2. Block grants are given for general governmental functions, such as health,
social services, and even for community development projects.
3.State and local governments’ increasing dependency upon federal grant
money was significantly reduced under Ronald Reagan.
B. Devolution, the passing down of responsibilities from the federal government to the states, was
initiated in 1995.
1. Welfare reform—specifically “Temporary Assistance to Needy Families” (TANF)—
replaced direct federal cash aid welfare “entitlements.”
2. Politicians at the federal and state levels are not inclined to restrain their own powers to
address needs, creating obstacles for federalism and devolution.
5
VIII. Coercive Federalism: Preemptions and Mandates
A. Increasingly, Congress has undertaken direct regulation of areas traditionally reserved to
states, thereby restricting states’ authority.
1. Federal preemptions vary, but may be total or partial.
2. Mandates by the federal government are direct orders to states to perform certain
activities or services, such as:
a. Age Discrimination Act (1986)
b. Asbestos Hazard Emergency Act (1986)
c. The Safe Drinking Water Act (1986)
d. Clean Air Act (1990)
e. Americans with Disabilities Act (1990)
f. National Voter Registration Act (1993)
g. No Child Left Behind (2001)
h. Homeland Security Act (2002)
i. Help America Vote Act (2003)
j. Real ID Act (2005)
B. Unfunded mandates are those activities ordered by federal law, but without
supportive funding.

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AP GOVERNMENT KEY TERMS

Unit 1: CONSTITUTIONAL UNDERPINNINGS

TOTALITARIANISM Power resides in a leader who rules according to self--interest.

The right to participate in government is conditioned on the

DEMOCRACY The rule of the many.

Members of the society (polity) meet and make decisions with

REPRESENTATIVE Members of the society vote for representatives who make

--Government: Is the institution through which policy is made and enforced.

PHILOSOPHICAL ORIGINS OF AMERICAN GOVERNMENT

MONTESQUIEU Argued for the separation of powers in the government.

● England increases taxes (Sugar Act, Stamp Act) and restricts

● STAMP ACT CONGRESS: Representatives met in 1765 to

● All men are created equal.

27 PARAGRAPHS 27 reasons they hate King George.

The United States of America declare that the

SUMMARY OF AMERICA’S GOVERNMENTS

Unofficial government. It handled the

This government came into effect with

Was written at the Constitutional

PASSING LAWS It took 9 out of 13 states to agree to pass a law.

AMENDMENTS To amend the articles, it took all 13 states in agreement.

SELECTION/PAYMENT OF Each state could pay and send up to 7 representatives or

THE ARTICLES OF CONFEDERATION: STRENGTHS & WEAKNESSES

POST OFFICE Got mail delivered

National government could not tax and only

National government did coin money (not strong).

There was no branch to enforce laws passed by

WEAKNESSES NO JUDICIAL States would fight about borders.

State would ignore the Treaty of Paris by

The national government tried to raise funds to

PURPOSE OF They were supposed to revise the Articles of Confederation, but

12/13 STATES ATTENDED Rhode Island did not show up.

George Washington was unanimously voted the presiding officer.

Benjamin Franklin: 81 years old with experience drafting the

● Most were in their 20’s or 30’s

People in the People in the North THE 3/5’S COMPROMISE:

Each branch can check the power of the other

The division of government between the national

POPULAR SOVEREIGNTY Authority comes from the people.

LIMITED GOVERNMENT The government can only do some things.

The Supreme Court can declare government acts

CHECKS & BALANCES (DETAILED EXAMPLES OF THIS PRINCIPLE)

CHECKS THE EXECUTIVE

--Created the Supreme Court

--Full Faith and Credit Clause

--Two ways to propose

--Supremacy Clause (National Supremacy)

Nine (out of 13) state conventions

NO EX POST A law that gives consequences for actions already

NO BILLS OF A law that declares a person or group guilty without a

METHODS FOR AMENDING THE CONSTITUTION

ACCORDING TO The Articles stated that all 13 states had to approve

RATIFICATION OF THE CONSTITUTION: BY THE NUMBERS

Pennsylvania December 1787 46 23

New Jersey December 1787 38 0

Georgia January 1788 26 0

Connecticut January 1788 128 40

Massachusetts February 1788 187 168

Maryland April 1788 63 11

South Carolina May 1788 149 73

New Hampshire June 1788 57 47

Virginia June 1788 89 79

New York July 1788 30 27

North Carolina November 1789 194 77