Unit 1 –
Constitutional
Underpinnings
of the United
States
Government
(≈10%)
LESSON 1 – DEFINING DEMOCRACY
(21-33)
LESSON 2 – THE ROOTS OF THE CONSTITUTION
(33-46)
LESSON 3 – CHECKING POWER WITH POWER
(50-65)
LESSON 4 – FORMAL AND INFORMAL AMENDMENTS
(65-72)
LESSON 5 – DUAL AND COOPERATIVE FEDERALISM
(76-85)
LESSON 6 – POWERS OF THE GOV’T: STRUCTURE OF FEDERALISM
(86-91)
LESSON 7 – CENTRALISTS VS. DECENTRALISTS
(92-96)
LESSON 8 – FISCAL AND REGULATORY FEDERALISM
(96-104)
LESSON 1
DEFINING DEMOCRACY
(21-33)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
WHY WAS DEMOCRACY SEEN AS A BAD THING TO THE FOUNDING FATHERS?
 Formerly a term of derision (bad) - Positive meaning only in last 100 years
 Distinguishing feature of democracy is that government derives authority from its citizens
 DIRECT DEMOCRACY
o Rule by the people and
(1) individual participation on legislation or policy or
(2) making decisions without delegating authority to elected representatives
o Only example in original Constitution is the election of House of Representatives
o Modern day examples:
 Election of United States Senators – 17th Amendment
 Direct primary - voters, rather than party leaders or other elected officials, select who may run
for office
 Referendum - procedure for submitting to popular vote measures passed by the legislature or
proposed amendment to a state constitution (can only be done at the state level)
 Initiative - procedure whereby a certain number of voters may, by petition, propose a law or
constitutional amendment and have it submitted to the voters (can only be done at the state
level)
 Recall - procedure for submitting to popular vote the removal of officials from office before the
end of their term (can only be done at the state level)
o Founding Fathers feared direct democracy >> fear of MOB RULE or MOBOCRACY
 Did not trust the people
 Uninformed public
HOW WAS A REPRESENTATIVE DEMOCRACY (REPUBLIC) BETTER?
 REPRESENTATIVE DEMOCRACY
o Authority is delegated to elected representatives to make decision on behalf of citizens
o People vote >> Representatives >> make law (public policy)
o This is today’s meaning of democracy
o Representative democracy = republic
o Republic
 Same as indirect democracy
 Solves problems of direct democracy
 “Secures the advantages of direct democracy while curing its weaknesses”
 Constitutional democracy refers to a government that enforces limits on those who govern and allows
people to be heard through free and fair elections
 Constitutionalism refers to how power is granted, dispersed, and limited
Lesson 1 – Defining Democracy (21-33)
WHAT ARE THE CORE BELIEFS IN AMERICAN DEMOCRACY?
 Individual liberty/Individual freedom
o All individuals must have the opportunity to realize individual goals
o Every individual has rights; these rights are the source of all legitimate governmental authority and
power
 John Locke & social contract theory - gov’t promises to protect the natural rights of people
o Freedom of expression
o The right to assemble and protest
o Opposite of statism (state supreme over individual)
 Popular consent
o Governmental power from people
o A willingness to lose if majority removes support
 Equality of opportunity
o Jefferson's Declaration of Independence statement (“All men are created equal”)
o What kind of equality? Equality of opportunity? Role of FDR’s 2nd Bill of Rights: economic security
 Free and fair elections
o Held at frequent intervals; decided by majority rule
o All citizens should have equal voting power
o Existence of opposition political parties
 Majority rule
o Those with the most votes assume power
o Majority still respects minority views
o Constitution reflects fear of tyranny by majority
WHAT ARE THE FOUR THEORIES OF HOW POWER IS DISTRIBUTED IN OUR DEMOCRATIC
SYSTEM?
 Majoritarian (traditional) theory
o Leaders are heavily influenced by the will of the people
 Elite theory
o Society is divided along class lines and that an upper-class elite rules
o Wealth is seen as the basis of power
 Pluralist theory
o Many centers of influence compete for power and control over public policy, with no one group or
set of groups dominating
o Pluralists view bargaining and compromise as essential ingredients to democracy
 Hyperpluralist theory
o “Pluralism gone sour”
o There are so many groups, and they are so strong, that government has become gridlocked and
is unable to act
Lesson 1 – Defining Democracy (21-33)
FREE RESPONSE QUESTION (FRQ) REVIEW
1.
There are several different approaches to representation within a democratic political system.
(a) Define direct democracy.
(b) Define republican form of government.
(c) Describe one reason the framers of the United States Constitution chose a republican form of government over a
direct democracy.
2.
When the United States first became a country, no other country in the world had a thriving, democratic government.
(a) Explain why the Founding Fathers feared a direct democracy.
(b) Explain why the Founding Fathers wanted to establish a republic (representative democracy).
(c) Explain the following three modern day examples of direct democracy.

Referendum

Initiative

Recall
3.
The United States Constitution established a democratic government but also contained several provisions that limited
majority rule. Throughout the next two centuries, the role of majority rule in the United States government and politics
continued to change.
(a) Explain how the 17th Amendment has moved the United States from a less democratic system to a more
democratic system.
4.
Four theories of democracy have taken shape over time, each addressing the questions of who holds power and
influences public policy.
(a) Describe (in detail) the four theories of democracy.
(b) Explain which one is most prevalent in America today.
Lesson 1 – Defining Democracy (21-33)
MULTIPLE CHOICE (MC) REVIEW
1. What is meant by constitutional democracy?
(A) government by representative politicians
(B) required voting by law
(C) centralized governmental power
(D) simple participatory democracy
(E) voting rights tied to property ownership
2. How is democracy defined?
(A) government by one person
(B) all people must be involved in politics and
policy making
(C) the fragmentation of powers
(D) government by the few
(E) government by the people
3. What is the term for an election in which a
candidate can win by getting the most votes,
even if it is less than 50 percent of the votes?
(A) a runoff election
(B) a plurality
(C) a recall election
(D) a majority
(E) a retention election
4. Statism is the idea that the rights of the nation
are supreme over the rights of the
__________.
(A) popular consent
(B) region
(C) individual
(D) community
(E) government
5. What is the idea that a just government must
derive its powers from the people it governs
called?
(A) equality
(B) popular consent
(C) electoral politics
(D) equality of opportunity
(E) statism
6. Governance according to the expressed
preferences of the majority is known as which
of the following?
(A) statism
(B) tyranny of the majority
(C) individual rights
(D) majority rule
(E) plurality principle
7. What is the name given to the law that would
govern human beings before governments
existed?
(A) original law
(B) Biblical law
(C) natural law
(D) Constitutional law
(E) universal law
8. Prior to the ratification of the Seventeenth
Amendment, how were senators selected?
(A) by direct election
(B) by the president
(C) by state governors
(D) by state legislators
(E) by the Supreme Court
Lesson 1 – Defining Democracy (21-33)
LESSON 2
THE ROOTS OF THE CONSTITUTION
(33-46)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
WHY DID WE COME UP WITH THE ARTICLES OF CONFEDERATION (AND A CONFEDERATION)?
 Declaration of Independence >> Revolutionary War >> Articles of Confederation (1781) and its
weak central government
 U.S. began as a confederation (a “firm league of friendship”)
o Weak national government – true power is in the hands of the state legislatures
o States retained sovereignty (they kept their power)
o Unicameral Congress in which each state had one vote
o No executive branch or judicial branch
 Flaws
o Congress lacked the power to levy taxes; had to ask the states for revenue
o Congress lacked the power to regulate or promote commerce among the states
o No chief executive and no national judiciary
o No national currency
o Laws required passage by 9 of the 13 states
o Amendments required unanimous consent of all 13 states
o Weak and inadequate central government
CHANGE IS COMING
 Annapolis Convention in 1786 called for a convention to amend the Articles of Confederation
 Shays’ Rebellion acted as a catalyst to strengthen the Articles of Confederation
CONSENSUS – WHAT WERE THE THINGS THAT THEY AGREED UPON AT THE START?
 All delegates supported republican government (representative republic); scrap Articles
 Common philosophy was a general framework of government favoring the protection of property
 States would determine voting qualifications; suffrage for property owners only
 Provisions designed to increase the economic powers of the central government
 Agreed on national government consisting of a supreme legislative, executive, and judiciary branch
 Agreed on the need for a strong executive and an independent judiciary
 Stronger national government, but not tyrannical
CONFLICT AND COMPROMISE
 The Virginia Plan (favored by more populous states)
o Representation based on population and/or monetary contributions to the national government
by the state
 The New Jersey Plan (favored by small states)
o Representation would be equal among the states
Lesson 2 – The Roots of the Constitution (33-46)




The Connecticut Compromise
o Created a bicameral congress – two legislative houses
 One house in which representation would be based on population – only form of direct
democracy in original Constitution for elected officials (Virginia Plan = House of Reps) and
in which all bills for raising or appropriating money would originate
 Second house in which each state would have an equal vote (New Jersey Plan = Senate)
North-South Compromises
o Ratification of treaties
 Southern delegates insisted on a two-thirds vote (supermajority) in the Senate before
presidents could ratify treaties
o Three-fifths Compromise
 Issue of counting slaves for representation in the House of Representatives
 For every five slaves, they would count as three people for representation in the House
 North happy because South has to pay more taxes
 South happy because they get more reps
o Slave Trade compromise
 Forbidding Congress the power to tax the export of goods from any State, and, for 20
years, the power to act on the slave trade.
Election of the President
o Life term v. annual election >> compromise of a 4-year term.
o Method of election:
 Some wanted election by Congress.
 Some wanted election by state legislatures.
 Some wanted direct election.
 Compromise: Electoral College system.
Other issues
o Constitution establishes Supreme Court, but Congress may establish inferior courts
TO ADOPT OR NOT TO ADOPT? - FEDERALISTS VERSUS ANTIFEDERALISTS
 Main debate was primarily about the scope of power of the central government
o The Federalists wanted a stronger national government and weaker state governments
(balanced relationship between federal and state governments)
o The Anti-federalists wanted a weaker national government and stronger state governments
 Federalists:
o Views
 Elites most fit to govern
 Feared “excesses” of democracy
 Favored strong central government
 Antifederalists:
o Views
 Feared concentration of power in hands of elites
 Believed that government should be closer to the people
 Feared strong central government, favored stronger state governments
 Feared the lack of Bill of Rights (which would be added later to protect individual liberty) –
their strongest argument
 The Federalist Papers (Hamilton, Madison, Jay) helped the ratification process
Lesson 2 – The Roots of the Constitution (33-46)
FREE RESPONSE QUESTION (FRQ) REVIEW
1.
The Constitution was an attempt to address problems of decentralization that were experienced under the Articles of
Confederation.
(a) List three problems of decentralized power that existed under the Articles of Confederation. For each problem you
listed, identify one solution that the Constitution provided to address the problem.
2.
The United States Constitution established a democratic government but also contained several provisions that limited
majority rule. Throughout the next two centuries, the role of majority rule in the United States government and politics
continued to change.
(a) Explain two ways the United States Constitution limited majority rule.
3.
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
4.
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.
5.
The Constitution limited the power of the national government and restricted popular control; however, citizen
participation has changed over time.
(a) Explain how the following features of the Constitution limited the people’s ability to influence the national
government.

Electoral college

Selection of senators before the Seventeenth Amendment
6.
The Constitution limited the power of the national government and restricted popular control; however, citizen
participation has changed over time.
(a) Explain how the selection of senators prior to the Seventeenth Amendment limited the people’s ability to influence
the national government.
Lesson 2 – The Roots of the Constitution (33-46)
MULTIPLE CHOICE (MC) REVIEW
1. As the Revolutionary War widened to include all
thirteen colonies, the 1777 Congress
established a new national government under
which of the following?
(A) Articles of Confederation
(B) Declaration of Independence
(C) The Federalist Papers
(D) Gettysburg Address
(E) Doctrine of Natural Rights
2. What was the first form of government that
was planned for the newly independent United
States?
(A) a federal system
(B) a unitary system
(C) a confederation system
(D) a libertarian system
(E) a monarchy
3. What was Shays’s Rebellion?
(A) the initial uprising by the Americans against
the British in 1753
(B) a demonstration of the need for every state
to deal with domestic unrest on its own
(C) a revolt by slaves in South Carolina that led
to the inclusion of the three-fifths
compromise in the Constitution
(D) an uprising by farmers in western
Massachusetts protesting mortgage
foreclosures
(E) a suppression by the U.S. Marines
4. Most delegates to the Constitutional Convention
accepted the idea of __________.
(A) state supremacy
(B) direct democracy
(C) tyranny of the majority
(D) republican government
(E) executive hegemony
5. The three-fifths compromise was mainly a
compromise between which of the following?
(A) Whigs and Democratic Republicans
(B) northern and southern states
(C) Federalists and Antifederalists
(D) large and small states
(E) the Senate and the House of
Representatives
6. As a delegate from a small state at the
Constitutional Convention, you would have
been most likely to support which of the
following as the basis for representation in the
legislature?
(A) the Connecticut Plan
(B) the bicameral plan
(C) the supremacy clause
(D) the Virginia Plan
(E) the New Jersey Plan
7. What did the Federalists favor?
(A) strong state governments, relative to the
central government
(B) a strong central government, relative to the
state governments
(C) an all-powerful central government
(D) strong ties to Native American tribes
(E) strong economic ties to Europe
8. What was The Federalist?
(A) a book written by George Washington
explaining the reasons for American
independence
(B) a book written by Thomas Jefferson while
he was in Paris as the U.S. Ambassador to
France
(C) a device by the Antifederalists to encourage
opposition to the Annapolis Convention
(D) editorials published in newspapers in the
southern states to convince them that the
proposed Constitution would leave states
with the same powers they had under the
Articles of Confederation
(E) a series of essays written to encourage
ratification of the proposed Constitution
9. Under the Constitution as ratified, members of
the Senate were
(A) chosen by the state legislatures
(B) appointed by the governor
(C) elected by the people
(D) selected by the House of Representatives
(E) chosen through the electoral college
Lesson 2 – The Roots of the Constitution (33-46)
LESSON 3
CHECKING POWER WITH POWER
(50-65)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
WHY IS THERE A NEED FOR A GOVERNMENT?
 Natural law - law that defines right from wrong, which is higher than human law
 Federalist #10
o Source of contention – property
 “But the most common and durable source of factions has been the various and unequal
distribution of property. Those who hold and those who are without property have ever
formed distinct interests in society.”
 Those that have it want to keep it (and get more)
 Those that don’t have it, want it (and the Founding Fathers didn’t want to lose their
property)
O Factions are inevitable, but can be controlled with a large republic
 “…the smaller the number of individuals composing a majority, and the smaller the
compass within which they are placed, the more easily will they concert and execute their
plans of oppression. Extend the sphere, and you take in a greater variety of parties and
interests; you make it less probable that a majority of the whole will have a common
motive to invade the rights of other citizens.”
 Federalist #51
o “In framing a government which is to be administered by men over men the great difficulty lies
in this: You must first enable the government to control the governed; and in the next place
oblige it to control itself.”
o “If men were angels no government would be necessary. If angels were to govern men,
neither external nor internal controls on government would be necessary.”
HOW WOULD THIS NEW CONSTITUTION FIX THE OLD “CONSTITUTION”?
 Madison was concerned that government would be controlled by majority or minority factions >>
factions best controlled by a large republic
o Minority can be suppressed by majority rule; Majority is more difficult to control
 Constitution is a supreme and binding law that both grants power to the government and limits the
power of the government
Lesson 3 – Checking Power with Power (50-65)
WHAT WAS ONE OF MADISON'S THREE AUXILIARY PRECAUTIONS TO PREVENT TYRANNY? SEPARATION OF POWERS
 Allocation of constitutional authority to each of the three branches of the national government
 To Madison, tyranny was government that controlled all 3 branches of government >> division of
power among the legislative, executive, and judicial branches
 Colonial experiences, e.g. excessive power in state legislatures >> need for strong executive
 Danger of one branch combining forces with another branch >> checks and balances
WHAT WAS ONE OF MADISON'S THREE AUXILIARY PRECAUTIONS TO PREVENT TYRANNY? CHECKS AND BALANCES
 Background
o 18th century view of government as something to be restrained, and modern view of
government as something to be used for the common good.
o Fear of tyranny among Founders >> distrust of government >> checks and balances as
means of intentionally building inefficiency in order to prevent government abuse of power.
 Each branch has a role in the actions of others (veto, veto override, appointment and confirmation,
treaty making and ratification, defense funding and Commander-In-Chief)
 Each branch is politically independent of the others
 Power struggles among three branches (especially Congress and the president)
 A majority of the voters can win control over only part of the government at one time. Staggering
of terms within each branch >> a majority of voters can gain control over one part of government
at one time, e.g. midterm congressional elections can serve as a check of the executive.
 Independent national courts are provided
 Political independence within each branch: no branch is dependent upon the other two for election
(exception: judges are appointed by President) and continuance in office (life terms for judges
ameliorate presidential influence)
JUDICIAL REVIEW - MARBURY V. MADISON (1803)
 Framers did not specifically provide for judicial review
 Court could not enforce an unconstitutional law (Section 13 of Judiciary Act)
 Chief Justice John Marshall reasoned that judges should interpret the Constitution, not the
President or Congress
 Judicial review became established due to this case
 A single person may challenge an existing law through judicial hearings
 Effects
o Litigation sometimes trumps legislation as a way to make public policy
o Examples – Modern-day gun issues
 District of Columbia v. Heller (2008) - Supreme Court held that a constitutional right to gun
ownership - irrespective of service in a state militia - did exist.
 McDonald v. Chicago (2010) - The Second Amendment right to keep and bear arms for
self-defense in one's home is fully applicable to the states through the Fourteenth
Amendment.
Lesson 3 – Checking Power with Power (50-65)
FREE RESPONSE QUESTION (FRQ) REVIEW
5. In The Federalist paper number 10, James Madison expressed concern over the possibility that both
majority and minority factions would have too much power over government, and he presented ways of
minimizing that danger. The United States Constitution established a democratic government but also
contained several provisions that limited majority rule.
(a) Identify the part of the national government that was originally most closely tied to citizens and explain
how it was tied to citizens.
(b) Explain two ways the United States Constitution limited majority rule.
6. The framers of the Constitution created a political system based on limited government. The original
Constitution and the Bill of Rights were intended to restrict the powers of the national government. Later
constitutional developments also limited the powers of state governments.
(a) Explain how checks and balances limit the powers of the national executive.
7. The Constitution limited the power of the national government and restricted popular control; however,
citizen participation has changed over time.
(a) Explain how checks and balances have protected against the concentration of power in the national
government.
8. The framers of the Constitution developed a system of checks and balances to make sure there was “great
security against a gradual concentration of the several powers in the same department”.
(a) List and explain the checks that the legislative branch (Congress) has over the executive branch
(President) and judicial branch (Supreme Court).
(b)
List and explain the checks that the executive branch (President) has over the legislative branch
(Congress) and judicial branch (Supreme Court).
(c)
List and explain the checks that the judicial branch (Supreme Court) has over the legislative branch
(Congress) and executive branch (President).
Lesson 3 – Checking Power with Power (50-65)
MULTIPLE CHOICE (MC) REVIEW
1. What is the name given to the law that would
govern human beings before governments
existed?
(A) original law
(B) Biblical law
(C) natural law
(D) Constitutional law
(E) universal law
2. The U.S. Constitution was adopted in response
to the weaknesses of the Articles of
__________.
(A) Unity
(B) Revolution
(C) America
(D) Democracy
(E) Confederation
3. James Madison sought to prevent the tyranny
of the __________ by distributing
governmental authority among several
branches.
(A) minority
(B) wealthy
(C) majority
(D) king
(E) military
4. Marbury v. Madison is significant because it
gave the courts power to do which of the
following?
(A) declare laws unconstitutional
(B) make laws
(C) elect the president
(D) change laws they do not agree with
(E) issue writs to public officials
5. In which of the following cases did the
Supreme Court first claim the right of judicial
review?
(A) McCulloch v. Maryland
(B) Brown v. Board of Education
(C) United States v. Nixon
(D) Dred Scott v. Sandford
(E) Marbury v. Madison
6. What is known as the power to interpret the
Constitution?
(A) adversary system
(B) judicial review
(C) common law
(D) justiciable dispute
(E) constitutional law
7. "An act of the legislature repugnant to the
Constitution is void . . . it is emphatically the
province of the judicial department to say what
the law is."
John Marshall, 1803
The above quote from the majority opinion of
Marbury v. Madison establishes which important
power of the court?
(A) strict construction
(B) appellate jurisdiction
(C) judicial review
(D) certiorari
(E) class action suits
8. For Madison, in the Federalist #10, "the most
common and durable source of factions has
been..."
(A) unequal natural abilities of people
(B) the unequal distribution of property
(C) religion and ideology
(D) the various regional interests within the
country
(E) the various political views held by the elites
9. What is the basis of James Madison’s argument
in Federalist No. 10?
(A) Factions are dangerous and must be
destroyed.
(B) The government can eliminate the cause of
faction.
(C) Political parties should be encouraged to
form so that all viewpoints are represented.
(D) A balance of government can control
factions and prevent one faction from
gaining too much power.
(E) State government will prevent factions from
forming.
Lesson 3 – Checking Power with Power (50-65)
LESSON 4
FORMAL AND INFORMAL
AMENDMENTS
(65-72)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
CHANGING THE LETTER OF THE CONSTITUTION - FORMAL AMENDMENTS
 DEFINITION - Written changes that are added to the Constitution
 Constitution should not change as an expression of basic and timeless personal
liberties, but should adapt to changing conditions (amendment process)
 Legacy of the Articles: Unanimous vote to amend >> impractical >> desire to make
process easier, but not too easy
 Process of amending reflects federal system.
 First 10 = Bill of Rights >> some rights are fundamental and should not be subject to
majoritarian control.
PROPOSING AND RATIFYING FORMAL AMENDMENTS
1) Proposed by 2/3 vote of each house of Congress  Ratified by 3/4 of the
state legislatures – used 26 times
2) Proposed by 2/3 vote of each house of Congress  Ratified by special
conventions in at least 3/4 of the states – used once (21st amendment)
o A more directly democratic way. People elect delegates who state their positions
on the proposed amendment. Citizens are in essence casting their votes on the
amendment by voting for the appropriate delegates.
3) Proposed by a national constitutional convention called by Congress at the
request of 2/3 of the state legislatures  Ratified by 3/4 of the state
legislatures – never used
4) Proposed by a national constitutional convention called by Congress at the
request of 2/3 of the state legislatures  Ratified by special conventions in
at least 3/4 of the states – never used


Constitutional Convention method never used because fear of “runaway” convention
that might get out of hand and implement wholesale changes in the Constitution.
o Disturbing questions: Will convention stick to only the matter at hand? Will it take
on other issues? Who gets to be delegates? How are they selected? How is
representation among the states to be determined?
Seven year period provided for ratification (generally); Congress has the power to
decide on a time period
Lesson 4 – Formal and Informal Amendments (65-72)
INFORMAL AMENDMENTS
 What?
o DEFINITION - Changes to the Constitution that do not involve actually
changing the wording of the Constitution
o Alters the meaning of the words already in the Constitution
 Why?
o “Constitution belongs to the living, not the dead” (Jefferson) – gets new blood over
time (laws, amendments)
o Jefferson believed each generation might need new Constitution.
o This hasn’t occurred because of the informal changes that have allowed the
Constitution to adapt to changing times (especially with Congress’ use of implied
powers)
 Congressional Actions
o Congress has passed laws that reinterpret and expand Constitutional provisions
 e.g., Commerce Clause allows Congress to regulate and promote interstate and
international commerce
 Over time, Congress has passed many laws that define the Commerce Clause,
including regulations on forms of commerce that didn’t exist in 1789, such as
railroad lines, air routes, and internet traffic
 Presidential Actions
o Executive privilege/executive orders (latter has the force of law)
o Executive agreements with other countries
o Right to send armed forces into hostilities
o Right to propose legislation to Congress and work to secure its passage
 Judicial Actions
o The judiciary has been the most influential in interpreting the Constitution
o Article III defines the power of the judiciary very broadly, but does not specifically
mention judicial review
o Supreme Court has changed constitutional interpretations to reflect new social,
economic conditions (Brown v. Board, Texas v. Johnson)
 Custom and Usage
o Has democratized our Constitution (presidential and vice presidential TV debates)
o Examples - Cabinet, political parties, committee system in Cong., senatorial
courtesy, legislative veto, presidential nominating conventions
Lesson 4 – Formal and Informal Amendments (65-72)
FREE RESPONSE QUESTION (FRQ) REVIEW
1. The United States Constitution has endured for more than two centuries as the framework of government.
However, the meaning of the Constitution has been changed both by formal and informal methods.
(a) Identify two formal methods for adding amendments to the Constitution.
(b) Describe two informal methods that have been used to change the meaning of the Constitution. Provide
one specific example for each informal method you described.
(c) Explain why informal methods are used more often than the formal amendment process
2. The Constitution has been formally amended 27 times since its inception.
(a) Identify the two processes that have been used to formally amending the Constitution.
Lesson 4 – Formal and Informal Amendments (65-72)
MULTIPLE CHOICE (MC) REVIEW
1. How many amendments have been made
to the Constitution since its ratification?
(A) twenty-seven
(B) ten
(C) thirty-six
(D) twelve
(E) fifteen
2. According to Article V, the __________ and
the states have responsibility for amending
the Constitution.
(A) president
(B) Supreme Court
(C) attorney general
(D) Congress
(E) chief justice
3. Which of the following allows Congress to
create legislation to make needed changes
without amending the Constitution?
(A) executive privilege
(B) impoundment
(C) executive order
(D) constitutional elaboration
(E) writ of mandamus
4. Which of the following carries the full force
of law and does not require congressional
approval, although it is subject to legal
challenge?
(A) constitutional elaboration
(B) executive order
(C) impoundment
(D) executive privilege
(E) writ of mandamus
6. Although not mentioned in the
Constitution, the Supreme Court
interpreted the Constitution, in Griswold v.
Connecticut (1965), to protect which of the
following rights?
(A) right to privacy
(B) right to bear arms
(C) right to free speech
(D) right to make contracts
(E) right to be free from unreasonable
searches and seizures
7. Which of the following is the only method
of proposing amendments that has been
used so far?
(A) a request by the president
(B) a two-thirds vote of both houses of
Congress
(C) a request by the U.S. Supreme Court
(D) a vote by the people during a
presidential election
(E) a convention called by Congress at the
request of the legislatures in two-thirds
of the states
8. Which of the following is a method of
ratification for a constitutional amendment?
(A) by three-fourths of the state governors
(B) by three-fourths of voting-age citizens
(C) by three-fourths of the state
legislatures
(D) by half of the state legislatures
(E) by half of the state governors
5. Which of the following describes the power
of the president to keep communications
confidential, especially those relating to
national security?
(A) constitutional restriction
(B) executive power
(C) impoundment
(D) separation of powers
(E) executive privilege
Lesson 4 – Formal and Informal Amendments (65-72)
LESSON 5
DUAL AND COOPERATIVE
FEDERALISM
(76-85)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
FEDERALISM
 DEFINITION - Constitutional division of powers between the national government and the states; both get
their powers from a Constitution, not each other
 Constitution (federally based) replaced the Articles (confederation based)
 Federal system is NOT as efficient as a unitary system (which can be good)
 Federalism issues are at the top of the political agenda along with the issue of devolution
 Since the New Deal in the 1930s to today, there has been a shift of power from the states to the national
government; since 1994 elections there has been an attempt to return power to the states
 Federalism debates depend upon issue at stake and rival philosophies of national action vs. decentralization
DUAL (“LAYER CAKE”) FEDERALISM
 Prevalent through ~ 1937
 State governments and national government each remained supreme within their own spheres.
 Proper relationship between government and the states, portraying the states as powerful components of the
federal government -- nearly equal to the national government.
 Powers and policy assignments of the layers of government were distinct, as in a layer cake.
 Suggested that the powers of the national government should be interpreted narrowly (Constitution gives the
federal government limited powers and the rest should be to the states).
 Dual federalism is composed of four essential parts:
o The national government rules by enumerated powers only. The national government may rule only by
using powers specifically listed in the Constitution.
o The national government has a limited set of constitutional purposes. The national government has only
limited purposes.
o Each government unit -- nation and state -- is sovereign within its sphere.
o The relationship between nation and states is best characterized by tension rather than cooperation.
 Of primary importance in dual federalism is states' rights, which reserve to the states all rights not specifically
conferred on the national government by the Constitution. According to the theory of dual federalism, a rigid
wall separates the nation and the states.
COOPERATIVE (“MARBLE CAKE”) FEDERALISM
 Prevalent since ~ 1937
 Mingling of responsibilities between the state and national government.
 Sharing powers & policy assignments, like a marble cake.
 Acknowledges a need for cooperation between state and federal governments.
 Suggests that powers of the national government should be interpreted broadly.
 Cooperative federalism rejects that state and national government must exist in separate spheres and is
defined by three elements:
o National and state agencies typically undertake government functions jointly rather than exclusively.
o The nation and states routinely share power.
o Power is not concentrated at any government level or in any agency. The fragmentation of
responsibilities gives people and groups access to many venues of influence.
Lesson 5 – Dual and Cooperative Federalism (76-85)
DIFFERENCE BETWEEN DUAL AND COOPERATIVE
 A critical difference between dual and cooperative federalism is how they interpret the elastic
clause and Tenth Amendment.
 These two sections of the Constitution define the relationship between state and national governments.
o Article 1, Section 8, lists the enumerated powers of congress and ends with the elastic clause, which
gives Congress the power "to make all Laws which shall be necessary and proper for carrying into
Execution the foregoing Powers" meaning the enumerated powers.
o The Tenth Amendment reserves for states or the people powers not assigned to the national government
or denied to the states by the Constitution.
 Dual federalism insists that powers not assigned to the national government are only for states and the
people, and claims that the elastic clause is inflexible.
 Cooperative federalism restricts the Tenth Amendment and suggests supplements to the elastic clause.
ALTERNATIVES TO FEDERALISM
 Unitary system
o Places all governmental power in one, central, geographic area
o More efficient than a federal system (which can be a bad thing)
o Why don’t we use it?
 Not used because too reminiscent of British rule (strong, distant government that becomes
tyrannical)
 Confederation
o Sovereign states create a central government but carefully limit its power and do not give it direct
authority over individuals
o States are supreme over central government
o Why don’t we use it?
 Not used because too reminiscent of Articles (tried and failed)
ADVANTAGES OF FEDERALISM
 Federalism checks the growth of tyranny
o Inhibits formation of a single-interest majority
o If tyranny occurred in a few states, federal government could prevent its spread to others (e.g. Shays’
Rebellion).
o National government has only those powers granted to it - all others belong to states through
Amendment 10.
 Federalism allows unity without uniformity
o No need for consensus on every divisive issue
o More suitable for geographically large nation – allows for differences among states
o More suitable for heterogeneous people – allows for differences
 Federalism encourages experimentation
o States are "laboratories" for public policy experimentation (gambling in NV, marijuana in CO)
o States have been in the forefront on health care, voting, air pollution control programs
 Federalism provides training for future national leaders
o Training ground for state and local politicians to gain experience
o 20 of nation’s 44 presidents served as governor of a state = executive office experience
 Federalism keeps government closer to the people
o Provides numerous arenas for decision-making
o Local and state politics involve citizens in large numbers (most Americans had a stronger allegiance to
their state and state government)
o Multiple points of access for citizens
DISADVANTAGES OF FEDERALISM
 Promotes inequality because of states differ in the resources they can devote to providing services.
 Enables local interests to delay or even thwart majority support for a policy.
 Creates confusion because the different levels of government make it difficult for citizens to know what
different governments are doing.
Lesson 5 – Dual and Cooperative Federalism (76-85)
FREE RESPONSE QUESTION (FRQ) REVIEW
1. The framers of the United States Constitution created a federal system.
(a) Define federalism.
(b) Explain how the Tenth Amendment has been used to increase the power of the states relative to the
federal government.
2. The Constitution limited the power of the national government and restricted popular control; however,
citizen participation has changed over time.
(a) Explain how federalism protects against the concentration of power in the national government.
3. From the Constitutional Convention through the 2016 election, Americans have debated the proper
relationship between the states and the federal government.
(a) Compare dual federalism and cooperative federalism.
(b) Explain two advantages of federalism.
(c) Explain two disadvantages of federalism.
4. America’s history has been associated with a few different types of government.
(a) Define unitary system and identify when it was used in American history.
(b) Define confederal system and identify when it was used in 18th century American history.
(c) Explain why the framers established a federal system rather than a unitary or confederal system when
creating the Constitution.
Lesson 5 – Dual and Cooperative Federalism (76-85)
MULTIPLE CHOICE (MC) REVIEW
1.
Prior to the ratification of the Constitution, the
United States was governed by the Articles of
__________.
(A) Confederation
(B) Declaration
(C) Federalism
(D) Independence
(E) Unity
7.
Which type of federalism is characterized by a
system of separate but equally powerful state and
national governments?
(A) combined
(B) cooperative
(C) dual
(D) progressive
(E) pure
2.
In a __________ system, local and regional
governments derive authority from the national
government.
(A) bi-cameral
(B) confederate
(C) constitutional
(D) unitary
(E) federal
8.
One benefit of the federal system is the ability of the
states to operate as __________ for new ideas.
(A) classrooms
(B) laboratories
(C) churches
(D) courts
(E) cradles
9.
3.
The Framers adopted a federal system of
government partly because they feared __________.
(A) decentralization by the states
(B) limiting the national government
(C) regulation of interstate commerce
(D) to challenge the power of the states
(E) centralizing power in one institution
The power of both the state and federal
governments to levy taxes is an example of
__________ federalism.
(A) layer cake
(B) marble cake
(C) pineapple upside down cake
(D) cupcake
(E) pancake
4.
Before the ratification of the Constitution, the United
States was organized as ___________.
(A) colonies
(B) a confederation
(C) a monarchy
(D) an oligarchy
(E) a conglomerate
5.
What was the dominant model of federalism post1937?
(A) cooperative
(B) dual
(C) progressive
(D) republican
(E) unified
6.
Which of the following is the best definition of
federalism?
(A) A constitutional arrangement by which sovereign
states create a limited central government.
(B) A constitutional arrangement concentrating
power in a central government.
(C) A constitutional arrangement by which power is
distributed between a central government and
state governments.
(D) A loose association of states constitutionally
created by a strong central government.
(E) A loose association of states with mutually
recognized compacts but no central
government.
10. 9 When your local police and the DEA work together
to shut down illicit drug operations, they are
operating under what is called __________.
(A) dual federalism
(B) combined federalism
(C) competitive federalism
(D) cooperative federalism
(E) progressive federalism
11. An advantage of federalism is that it checks the
growth of which of the following?
(A) violence
(B) war
(C) inequality
(D) wealth
(E) tyranny
12. What was the dominant form of federalism pre1937?
(A) dual
(B) combined
(C) competitive
(D) cooperative
(E) progressive
13. One of the disadvantages of federalism is that it
(A) allows unity without uniformity
(B) encourages experimentation
(C) provides training for future national leaders
(D) keeps government closer to the people
(E) promotes inequality
Lesson 5 – Dual and Cooperative Federalism (76-85)
LESSON 6
POWERS OF THE GOVERNMENT:
THE STRUCTURE OF FEDERALISM
(86-91)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
POWERS OF THE NATIONAL GOVERNMENT
 Powers granted only to the national government are known as exclusive powers
o Not all national powers are exclusive powers (such as tax)
 Expressed (enumerated, delegated) powers
o Actually stated in the Constitution
o Many are listed (enumerated) in Article 1, Section 8
 Implied powers
o Not stated explicitly, but suggested implicitly
o Importance of necessary and proper clause (elastic clause) >> broadens the power of
Congress
o Allow the national government to extend its powers beyond those enumerated in the
Constitution
 Inherent powers
o Not stated explicitly, but held by the national government by virtue of its being a national
government.
o Some of these powers come from the Preamble (certain foreign policy powers such as
immigration, diplomatic recognition, acquiring territory, or defending itself).
EXPANSION OF CENTRAL GOVERNMENT POWERS
 These constitutional powers expand the power of the federal government
 The Supremacy Clause
o States may not override national policies; this restriction also applies to local units of
government, since they are agents of the states (Constitution and national laws are the
supreme laws)
o The supremacy clause in the United States Constitution states that federal law will prevail
in the event of a conflict between federal and state law
 The Power to Regulate Interstate and Foreign Commerce
o Through the commerce clause, Congress can regulate many activities and sustain other
legislation as well
 Gibbons v. Ogden (1824)
 Only National government (Congress) may regulate interstate commerce
 Power is not shared with the states
Lesson 6 – Powers of the Government (86-91)
The federal government’s role has been greatly expanded through the interpretation of
this clause.
 Heart of Atlanta Motel v. U.S. (1964)
 Congress has a right to regulate individual, private businesses in the interest of
promoting interstate travel
 Civil Rights Act of 1964 applied to private businesses because customers come from
out-of-state
The War Power
o The national government has the power to wage war
The Power to Tax and Spend
o By attaching conditions to its grants of money, Congress may regulate what it cannot
directly control by law
 While Congress cannot technically legislate on everything, it can spend funds on
virtually anything.
 States don’t have to accept federal money, but if they do, they must follow federal
guidelines (e.g. federal highway funds can be denied if a state’s alcohol purchasing
age is less than 21, federal education funds can be denied if states do not comply with
No Child Left Behind Act) – Federal “strings” attached to funding are ways in which the
federal government can get its way on things.
 Recent example: Obamacare – Supreme Court ruled it was a tax and that the federal
government could require people to have healthcare
o


POWERS OF THE STATES
 States have reserved powers: the Constitution reserves for the states all powers not granted
to the national government, subject only to the limitations of the Constitution
 Amendment 10 states that any powers not granted to the national government are reserved
for the states
 Examples: establishing voting requirements, running elections, establishing education,
licensing professionals, protecting community health, establishing a vehicle code and state
police
CONCURRENT POWERS
 Each state has concurrent powers with the national government
 Granted to Congress, but not denied by Constitution or courts to the states >> held by both
national and state governments
 Examples: taxing, borrowing, establishing court system, and establishing law enforcement
agencies
 Questions of federal/state authority are decided by courts
INTERSTATE RELATIONS
 Full faith and credit
o Clause requires each state court to accept civil judgments and public records of other state
courts (Article IV, Section 1)
 Interstate privileges and immunities (Article IV, Section 2)
o States must extend to citizens of other states the privileges and immunities granted to
their own citizens
o States may not impose unreasonable residency requirements
Lesson 6 – Powers of the Government (86-91)
FREE RESPONSE QUESTION (FRQ) REVIEW
1. The power of the federal government relative to the power of the states has increased since the ratification
of the Constitution.
(a) Describe two of the following provisions of the Constitution and explain how each has been used to
expand federal power.
 The power to tax and spend
 The "necessary and proper" or "elastic" clause
 The commerce clause
2. The framers of the Constitution devised a federal system of government that affected the relationship
between the national and state governments.
(a) Explain how the commerce clause has been used to expand the power of the federal government over
the states.
3. The United States federal system gives power to both the national government and the state governments.
(a) Explain the difference between the powers that the U.S. Constitution provides to the national and state
governments.
4. Article IV (4) of the Constitution discusses relationships among the states.
(a) Explain the privileges and immunities clause.
Lesson 6 – Powers of the Government (86-91)
MULTIPLE CHOICE (MC) REVIEW
1.
2.
3.
4.
5.
6.
What are the two types of powers given to the
national government under the United States
Constitution?
(A) expressed; implied
(B) express; suggested
(C) implied; explicit
(D) suggested; explicit
(E) suggested; implied
Article VI of the U.S. Constitution establishes that
federal law is __________ in conflicts between
federal and state law.
(A) irrelevant
(B) persuasive authority
(C) secondary
(D) supreme
(E) insignificant
The __________ Amendment says that says that
those powers not given to the federal government
and not prohibited to the states by the Constitution
are reserved for the states and the people.
(A) First
(B) Eighth
(C) Tenth
(D) Eleventh
(E) Fourteenth
__________ powers are shared by the federal and
state governments.
(A) Concurrent
(B) Constitutional
(C) Federal
(D) Libertarian
(E) Unified
Which clause in the Constitution ensures that judicial
decrees and contracts made in one state will be
binding and enforceable in another?
(A) Commerce
(B) Dormant Commerce
(C) Due Process
(D) Equal Protection
(E) Full Faith and Credit
What are reserved powers?
(A) powers specifically delegated to the national
government by the Constitution
(B) powers specifically delegated to state
governments by the Constitution
(C) powers not specifically delegated to the national
government by the Constitution
(D) powers not specifically delegated to state
governments by the Constitution
(E) powers specifically delegated to both the state
and national government by the Constitution
7.
The power to __________ and __________ includes
the right to place conditions on the receipt of federal
money.
(A) buy; sell
(B) charge; transact
(C) create; produce
(D) regulate; limit
(E) tax; spend
8.
The power to regulate immigration is best described
as a(n) __________ power.
(A) inherent
(B) enumerated
(C) concurrent
(D) limited
(E) reserved
9.
The national and state governments may have their
own lists of powers, but the national government
relies on four constitutional pillars for its ultimate
authority over the states. Of the following, which is
one of those four pillars?
(A) the court clause
(B) the excise power
(C) the commerce clause
(D) power to appoint ambassadors
(E) the workforce clause
10. Which of the following is a concurrent power?
(A) control over the money supply
(B) immigration law
(C) education law
(D) power to tax
(E) declare war
11. Which of the following is a power specifically denied
the states by the Constitution?
(A) conducting elections
(B) establishing local governments
(C) maintaining a militia
(D) providing for public health, safety, and morals
(E) regulating interstate commerce
12. The landmark ruling of ________ in 1824, affirmed
the broad authority of Congress over interstate
commerce.
(A) Marbury v. Madison
(B) Gibbons v. Ogden
(C) McCulloch v. Maryland
(D) Plessy v. Ferguson
(E) Printz v. United States
Lesson 6 – Powers of the Government (86-91)
LESSON 7
CENTRALISTS VS. DECENTRALISTS
(92-96)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
THE NATIONAL COURTS AND FEDERALISM - MCCULLOCH V. MARYLAND
 John Marshall established the doctrines of implied national power and national supremacy
 McCulloch v. Maryland was significant in providing support for nationalism
 Maryland attempted to tax a branch of the Bank of the U.S.:
o It argued that taxing was one of its reserved powers.
o In addition, it argued that the Bank was unconstitutional, anyway.
 The Court’s decision (under Marshall):
o Need for more flexible interpretation of the Constitution so that it would endure >> Bank
was “necessary and proper” >> establishment of implied powers.
o “Power to tax involves power to destroy” >> states clearly not free to destroy the national
government >> establishment of national supremacy.
FEDERAL COURTS AND THE ROLE OF THE STATES
 Actions by state and local officials can be challenged before a federal judge
 Preemption - federal laws take precedence over state and local laws (civil rights, water
quality)
 Supreme Court has generally favored powers of federal government over the states
THE CONTINUING DEBATE BETWEEN CENTRALISTS VERSUS DECENTRALISTS
 The centralist (nationalist) position
o The Constitution is a supreme law established by the people; it was intended that the
central government's powers be liberally defined
o The national government is a government of all the people, and each state speaks for only
some of the people
o Constitution created by people (“We the people...”) and not the states.
o Elastic, commerce, and taxing/spending clauses give great power to national government
o Powers go to states only if they have been surrendered by national government.
o When in doubt, matter should be resolved in favor of national government.
o Implied loose interpretation of the Constitution.
o Size of bureaucracy has remained relatively constant for last 40 years.
o While state govt’s may be closer to people, some of those state governments have
violated people’s basic rights (e.g. South during first 70 years of 20th century) – national
government has been key protector of rights.
Lesson 7 – Centralists vs Decentralists (92-96)

The decentralist (states’ rights) position
o The national government is nothing more than an agent of the states, and every one of its
powers should be narrowly defined
o Constitution carefully limits national authority to delegated powers.
o The 10th Amendment prohibits the national government from using delegated powers to
interfere with activities reserved for the states
o 10th Amendment gives broad powers to states.
o When in doubt as to which holds a power, matter should be resolved in favor of states.
o Implies strict interpretation of the Constitution.
o National government has gotten too big and impersonal.
o State governments are closer to the people.
DEVOLUTION REVOLUTION
 Shifting of some authority from national government back to the states.
 Associated with Nixon, Reagan, and especially associated with 104th (1995-1997) and 105th
(1997-1999) Republican Congress: “Devolution Revolution.”
 1980s (Reagan) started shifting the responsibilities and costs for many programs to state
governments
 Example: use of block grants in Welfare Reform Bill of 1996 (Ended welfare as federal
entitlement program and gave control to the States)
 Unfunded Mandates Reform Act of 1995 restricted future unfunded mandates.
 Use of block grants to replace categorical grants.
 Supreme Court actions consistent with devolution:
o Struck down Gun Free School Zones Act in 1995 in US v. Lopez. Congress overextended
itself when it linked gun control laws to the interstate commerce clause of the
Constitution.
o Struck down part of the Violence Against Women Act in US v. Morrison (2000), saying that
rape victims could not sue their attackers in federal court because it was up to the states –
not Congress – to give such help to women victimized by violence. Again, the Court said
that the Congress overextended itself with the use of the interstate commerce clause in
passing the Act.
o Struck down Religious Freedom Restoration Act in 1993. This act had restricted the power
of the states to regulate religion >> this ruling gave states greater authority to regulate
religion.
o Struck down Brady Act in 1997 that required local law enforcement agencies to do
background checks on gun buyers.
Lesson 7 – Centralists vs Decentralists (92-96)
FREE RESPONSE QUESTION (FRQ) REVIEW
1. The Constitution was an attempt to address problems of decentralization that were experienced under the
Articles of Confederation.
(a) Some have argued that the tensions between decentralized and centralized power continue to
exist. Support this argument by explaining how one of the following illustrates the continuing
tension:
 Environmental policy
 Gun control
 Disability access
2. The framers of the United States Constitution created a federal system.
(c) Explain how the Welfare Reform Act of 1996 has been used to increase the power of the states relative
to the federal government.
3. The framers of the Constitution devised a federal system of government that affected the relationship
between the national and state governments.
(b) Explain how Supreme Court decisions have played a role in the devolution of power from the national
government to the states.
4. Article VI (6) of the Constitution describes the supremacy of the Constitution.
(a) Describe the supremacy clause.
(b) Explain the preemption legislation/the preemption doctrine.
Lesson 7 – Centralists vs Decentralists (92-96)
MULTIPLE CHOICE (MC) REVIEW
1. Under the system created by the Framers,
the national and state governments share
power and derive all authority from
__________.
(A) the Bill of Rights
(B) the Constitution
(C) the people
(D) the President
(E) the Declaration of Independence
2. What was the first major Supreme Court
decision to define the relationship between
the federal and state governments?
(A) Barron v. Baltimore
(B) Dred Scott v. Sanford
(C) Gibbons v. Ogden
(D) McCulloch v. Maryland
(E) US v. Lopez
3. __________ is the right of a national law
or regulation to preclude enforcement of a
state or local law or regulation.
(A) Nullification
(B) Preemption
(C) Referendum
(D) Reformation
(E) Veto
4. On which clause of the U.S. Constitution
did the Supreme Court base its ruling in
McCulloch v. Maryland?
(A) Commerce
(B) Dormant commerce
(C) Due process
(D) Equal protection
(E) Supremacy
5. The Anti-Federalists believed that
__________ governments would be more
responsive to the people and, thus, were
less a danger to their liberties.
(A) powerful
(B) centralized
(C) foreign
(D) state
(E) local
6. The preemption of state and local laws is
based on which clause of the U.S.
Constitution?
(A) Commerce
(B) Due Process
(C) Equal Protection
(D) Full Faith and Credit
(E) Supremacy
7. Proponents of the “devolution revolution”
argue that:
(A) The authority of the military should be
expanded.
(B) The authority of state governments
should be expanded.
(C) The authority of the federal
government should be expanded.
(D) The authority of the president should
be expanded.
(E) The authority of Congress should be
expanded.
8. Which of the following best exemplifies the
intentions of the “devolution revolution”?
(A) New Deal legislation
(B) No Child Left Behind Act
(C) welfare
(D) Troubled Asset Recovery Program
(E) Violence Against Women Act
9. In the 1980s and 1990s, the Republican
party led the __________ “revolution,”
which demanded that the national
government return administrative authority
to state governments.
(A) contract
(B) devolution
(C) evolution
(D) silent
(E) white
Lesson 7 – Centralists vs Decentralists (92-96)
LESSON 8
FISCAL AND REGULATORY
FEDERALISM
(96-104)
UNIT 1
Constitutional Underpinnings of the U.S. Government
(≈10%)
THE NATIONAL BUDGET AS A TOOL OF FEDERALISM
“THE CARROT” AND “THE STICK”
 To use a common metaphor, the national government uses the need for fiscal assistance as both a
carrot and a stick.
 The carrot is the federal dollars needed by the state, which come in the form of grants-in-aid.
o As citizens’ needs expand, the states look to the national government to assist in meeting the
financial aspects of fulfilling those needs.
 Fiscal federalism = the carrot
 The stick comes in the form of regulation and compliance with federal mandates to receive the
money or to continue to obtain grants-in-aid.
o Regulations such as minimum wage, speed limits, and handicap accessibility are examples of
“sticks,” or mandates, that states must comply with to receive the national funds.
 Regulatory federalism = the stick
FISCAL FEDERALISM (“THE CARROT”)
 Fiscal federalism is the model of spending, taxing, and providing grants in the federal government
system.
 The national government’s primary means of influencing state governments is giving money to
states in the form of grants-in-aid (or grants).
 Since World War II, states have come to rely heavily on federal money.
 Likewise, the national government has also relied on the states to administer some federal policies,
a practice called fiscal federalism.
 The nation’s leaders originally designed them to help fund agriculture, land grant colleges, and
farm-related education.
 They grew to encompass many other types of funding such as public housing, urban development,
and school lunch programs.
WHAT ARE FEDERAL GRANTS?
 Federal revenue given to state and local governments to establish minimum national standards in
important areas (air quality, water quality)
PURPOSE OF FEDERAL GRANTS
 To equalize resources among the states (both rich and poor)
 To attack national problems, yet minimize the growth of federal agencies (reduces growth of
federal bureaucracy >> federal government simply provides money to states and has states run
the programs - under federal guidelines, of course)
Lesson 8 – Fiscal and Regulatory Federalism (96-104)
TYPES OF FEDERAL GRANTS
 CATEGORICAL GRANTS
o Congress appropriates funds for specific purposes (e.g. roads, airports, housing, bilingual
education)
o States don’t have to accept these, but if they do they must comply with federal standards >>
weakens the power of state governors and legislators
 BLOCK GRANTS
o Granted to support a collection of general programs (e.g. transportation, urban development,
education) >> more state leeway in spending of the money = few federal restrictions
o Associate these with 104th and 105th Republican Congress and devolution of power back to
states


PROJECT GRANTS
o
Money states apply for by submitting specific project proposals
FORMULA GRANTS
o
Money given to states according to a mathematical formula
THE POLITICS OF FEDERAL GRANTS
 Arguments about what constitutes desirable public policy, where power should be located, and
who will gain or lose by the various types of grants
 Iron triangles or issue networks: interest groups, congressional committees, and federal
bureaucrats form forces and are effective in protecting programs
 The battle over the appropriate level of government to control the funds tends to be cyclical
 Democrats have generally favored greater funding, but with more “strings” associated with
categorical grants.
 Republicans have generally favored less funding, but with fewer “strings” associated with block
grants. Welfare is an example of this?
o End of entitlement status of AFDC and federal guarantee of welfare checks with passage in
1996 of Personal Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Act
of 1996).
o Welfare block grants therefore replaced the welfare categorical grants.
o Even as a block grant, the Welfare Reform Act involved federal “strings.”
 No federal funds go to recipients who have not worked within 2 years.
 No federal funds go to recipients who have received federal money >5 years.
 States must spend at least 75% of what they had previously spent on welfare – this to
avoid the “race to the bottom.”
REGULATORY FEDERALISM (“THE STICK”)
 One way for Congress to pass mandates is to impose regulations and standards on state and local
governments.
 In the past, Congress has forced state governments to meet certain federal guidelines. This is
known as regulatory federalism.
FEDERAL MANDATES
 Mandate: a federal order imposed upon states. Examples:
o Americans with Disabilities Act (governors and mayors don’t like because of costs to remodel)
o Various environmental acts (e.g. Clean Air Act, Clean Water Act).
o Individuals with Disabilities Education Act.
 Purposes: to meet a goal of the federal government.
 Impact upon the states:
o Financial burdens, especially with unfunded mandates (e.g. ADA has imposed large costs upon
states as they make “reasonable accommodations” for the disabled).
o State complaints about federal heavy-handedness (e.g. if a state does not devise a plan and
pay for the requirements of the Clean Air Act of 1990, the federal government will impose its
own plan upon the state).
Lesson 8 – Fiscal and Regulatory Federalism (96-104)
State complaints about federal blackmail (e.g. if a state doesn’t comply with the Clean Air Act
standards, federal funds can be withheld in other programs).
o State complaints that federal government is altering the nature of federalism with its excessive
power.
Republican response to mandates:
o Unfunded Mandates Reform Act of 1995 (part of Contract with America) restricted future
unfunded mandates.
 Required CBO to analyze impact of unfunded mandates on states.
 Requires separate congressional vote on bills that impose unfunded mandates.
o This is another example of the Devolution Revolution associated with the 104th Congress.
o

NEW TECHNIQUES OF FEDERAL CONTROL
 These four techniques fall under the category of unfunded mandates
 DIRECT ORDERS
o State or local government must act under the threat of criminal or civil penalties
 Equal Employment Opportunity Act (1972) – bars job discrimination by state and local
governments on the basis of race, color, religion, sex, and national origin.
o Pits the legal authority of Congress against the constitutional rights of the states.
 CROSS-CUTTING REQUIREMENTS
o Conditions on one grant extended to all federally-supported activities
o Requirements imposed on virtually all grants to further various national social and economic
policies.
 Title VI of the Civil Rights Act (1964) – no person in the U.S. shall, on the grounds of race,
color, or national origin, be excluded from participation in, be denied the benefits of, or be
subjected to discrimination under any program receiving federal assistance.
 Title IX of the Education Amendments (1972) – prohibited sex discrimination in educational
institutions receiving federal aid.
 Davis-Bacon Act – construction projects receiving federal monies must pay union-scale or
"prevailing" wages, even if less expensive labor is available.
o The federal government will force states to follow the law through the Civil Rights Act and if
the state doesn’t, it risks losing money on all federally funded projects
 CROSS-OVER SANCTIONS
o Permit the use of federal dollars in one program to influence state and local policy in another
o Failure to comply with the requirements of one program can result in reduced or terminated
funds from another program that was separately authorized and separately begun.
 Federal highway aid and minimum drinking age of 21
 PARTIAL PREEMPTION
o Federal law establishes basic policies but requires states to administer them usually without
any federal funds
 Clean Air Act of 1990
o Total preemption: national governments power under the supremacy and commerce clauses to
preempt conflicting state and local activity.
o Some programs give states an option not to participate, but if a state chooses not to do so, the
national government steps in and runs the program.
Lesson 8 – Fiscal and Regulatory Federalism (96-104)
FREE RESPONSE QUESTION (FRQ) REVIEW
1. The framers of the United States Constitution created a federal system.
(d) Define federalism.
(e) Select each of the following and explain how each has been used to increase the power of the federal
government.
 Categorical grants
 Federal mandates
(f) Explain how block grants have been used to increase the power of the states relative to the federal
government.
2. The power of the federal government relative to the power of the states has increased since the ratification
of the Constitution.
(b) Explain how one of the following has increased the power of the federal government relative to the
power of the state governments.
 Americans with Disabilities Act
 Civil Rights Act of 1964
 Clean Air Act
3. A tool that the United States Congress has used to get the states to follow their wishes is the mandate.
(a) Define unfunded mandates.
(b) Explain why unfunded mandates are problematic to the states.
Lesson 8 – Fiscal and Regulatory Federalism (96-104)
MULTIPLE CHOICE (MC) REVIEW
1. A __________ grant is a large grant to a state
by the federal government with only general
spending guidelines.
(A) block
(B) business
(C) commerce
(D) credit
(E) federal
2. The __________ Mandates Reform Act of 1995
prevented Congress from passing costly federal
programs without a debate about how to fund
them.
(A) Cost
(B) Commercial
(C) Funded
(D) Saving
(E) Unfunded
3. __________ grants typically allocate federal
dollars based on a specific purpose and have
more strings attached.
(A) Block
(B) Categorical
(C) Commerce
(D) Federal
(E) Unified
4. What is a mandate?
(A) An order from the federal government
requiring the states to take a certain action.
(B) An order from a state government requiring
a federal action.
(C) An order from the federal government
prohibiting the states to take a certain
action.
(D) An order from a state government
prohibiting a federal action.
(E) An order requiring joint state and federal
action.
6. The No Child Left Behind Act is an example of
a(n) __________.
(A) block grant
(B) business grant
(C) categorical grant
(D) programmatic request
(E) unfunded mandate
7. Which is an example of a federal mandate?
(A) Congress passes a law requiring all nuclear
power plants to revise and strengthen their
safety protocols.
(B) Congress passes a law requiring all states
to adopt a sex offender registry system
categorizing offenders based on conviction,
not future threat.
(C) The Environmental Protection Agency sends
money to Louisiana to help with cleanup
from the gulf oil spill.
(D) The Nevada legislature passes a law
requiring all public school teachers to spend
twenty hours per week preparing students
for the state achievement test.
(E) The Supreme Court upholds a federal law
requiring all citizens to wear a seatbelt
while operating a motor vehicle.
8. Which of the following is an example of a
categorical grant?
(A) Funds provided by Congress to the states
for education generally.
(B) Funds provided by Congress to the states
for substance abuse prevention.
(C) Funds provided by Congress to the states
for transportation infrastructure.
(D) Funds provided by Congress to the states
to enhance science instruction in a lowincome area.
(E) Funds provided by Congress to the states
to promote the physical health of citizens.
5. New federalism would seem to favor which type
of government grant?
(A) block grants
(B) business grants
(C) categorical grants
(D) programmatic requests
(E) unfunded mandates
Lesson 8 – Fiscal and Regulatory Federalism (96-104)