Unit 1
Constitutional Underpinnings Part 1: The Constitution
 Influence of the European Enlightenment
1. John Locke – wrote Second Treatise of Government –
A. Believed people are naturally _________________________________________________________
B. Along with __________________________, he argued that people have natural rights which includes
the right to __________________________________________________.
C. Stated that people ____________________________------- to protect these natural rights, giving up
_____________ to govern themselves through a social contract between the government and governed
D. This consent creates “______________________________” that both sides are obligated to honor and
the people have the right to dissolve the government if the contract is broken.
 Influences on the Declaration of Independence
1. Locke, Hobbes, Montesquieu, Voltaire, Rousseau
A. All were concerned with _______________________________________________
B. Locke directly influenced the _________________________________________ through the words of
Thomas Jefferson.
C. Locke said “life, liberty, and ___________________”
D. Jefferson said “life, liberty, and ________________________________________”
 Theoretical Perspectives
1. Democratic Theory
A. Democracy – form of government that places ultimate political authority in the hands of __________
(2 models)
1. Direct Democracy – ___________________________________ on all laws
a. Requires high level of _________________________
b. High degree of confidence in___________________ of ordinary people
c. Leads to ____________________________, which is the tendency for government to do
what the majority of people want.
2. Representative Democracy – a ____________________ in which people elect
representatives to govern them and make laws.
a. People hold the ultimate power through the ___________________________________.
b. All policy decisions are made _________________________________ that are appointed.
c. It is a compromise between a direct democracy and an authoritarian rule (most
accepted form of democracy in the world today)
2. Elite Theory
A. Holds that a “representative democracy” is ________________________ based on the will of the people
B. Almost all important decisions are made by a _____________________________________________ class.
C. Further, voters choose from among competing elites
1. New member “elites” are recruited through merit-based education system so the best and
brightest young people join the ranks of the elite
2. Elite theorists are that the founders believed that a privileged majority should rule in the
name of the people with a controlled amount of input from citizens.
3. Pluralist Theory (Pluralism) – the argument that democracies are based on ___________________________
that protect the individual’s interest by representing him or her to the government.
A. Based on the notion that in a diverse society such as the U.S____________________________ exist to
allow __________________________ of elites to rule.
B. Government decisions are made in an arena of __________________________interests, all vying for
influence and struggling to speak for the people they represent.
 Background to the Convention
1. Articles of Confederation – written by the Continental Congress during the Revolutionary War to provide
_____________ for the separate states. The _________________________________ retained their powers
2. The Articles of Confederation was the ___________________________________________________________.
3. The Articles of Confederation has severe __________________________:
A. The central government consisted only of a ________________________ in which each state was
represented ___________________.
B. There was no __________________________________________________ Branch created
4.
C. The central government could not ________________. It could only _________ money from the states.
D. The central government __________________________________________ between states. The states
taxed each other’s goods and negotiated trade agreements with other countries.
E. No _______________________________________________ were granted to Congress.
F. A _____________________________________________________________ to the Articles (meaning it was
nearly impossible).
G. States retained all powers not specifically granted to ____________________________.
Shays’s Rebellion – farmers who were unable to pay their taxes rebelled against foreclosures (basically
raising hell freeing those debtors in jail and scaring judges away).
A. The rebellion was _______________________________________, but it was evident a ______________
_____________________________________was needed.
B. A Constitutional Convention was called.
 The Constitutional Convention
1. The original intent was to ______________ the flawed Articles of Confederation. However, it became clear
that a _______________________________________________________.
2. Key members of the convention were:
1. Alexander Hamilton: pushed for a _____________________________________
2. _________________________________: chairmen of convention, also supported strong centralized
government
3. _________________________________: “known as father of the Constitution” , credited with writing
large parts of Constitution
4. Benjamin Franklin: 81 years old, had also attended Continental Congress in 1776.
Key figures absent: _______________________________________________ (Ambassador to France),
_______________________________________________ (Ambassador to England)
 The Constitution
1. The Constitution reflects the founders attempt to ______________________________________________________.
They did not believe people were fully ______________________________________ themselves, but they also
wanted to check any tendency toward ___________________________.
2. The Constitution is based on 5 great principles:
A. _______________________________________ – the basic principle that the power to govern belongs to
the people and that government must be on the consent of the governed.
B. _______________________________________ – the division of government's power into three separate
branches: executive, legislative, and judicial.
C. _______________________________________ – a political system in which branches of government have
some authority over the actions of the others.
D. _______________________________________ – the basic principle that government is not all-powerful,
and that it does only those things that citizens allow it to do.
E. __________________________ – the division of governmental powers between a central government
and the individual states
3.
These principles resulted from the agreements and compromises made at the Constitutional
Convention in 1787
Agreements and Compromises
A. Great Compromise (_____________________________________) – settled the balance of Power
between _____________________________________________ states.
1. Virginia Plan – proposed by James Randolph (probably written by James Madison)
a. Wanted a bicameral legislature with larger house elected by popular vote and
smaller house selected by the larger house.
b. Favored larger states
c. Called for national executive and judiciary.
2. New Jersey Plan – presented by William Patterson
a. wanted a unicameral house (equal vote)
b. Wanted to ensure that the legislature would not be dominated by larger states.
3. Great Compromise – Called for bicameral legislature
a. Upper House – Senate – equal votes for all states
b. Lower House – House of Representatives – representation based on population
B. Three-fifths Compromise – settled the disagreement of counting slaves when counting population
1. Southern states – wanted to ________________________
Northern states – __________________________________ slaves to count
Three-Fifths Compromise – allowed southern states _____________________________________
_______________________________, allowing a balance of power between North and South.
4. They also agreed to put off discussion of the issue of ___________________________ until 1809.
C. How to select the president - Agreed to let the ______________________________ select the president.
People selected by each state legislature to formally cast their ballots for the presidency.
2.
3.
 Amending the Constitution
1. The Founders designed the amendment process to be difficult enough that Congress could not add so many
amendments that ______________________________________________________________________________. The
process requires action by BOTH the _________________________________________________________ before an
amendment may be passed.
2. There are formal and informal ways the Constitution can be amended.
3. Formal Amendments – 4 ways
A. Amendments may be proposed by a _____________________________________________ and ratified by
at least __________________________________________________. All but one of the amendments have
been added through this process.
B. Amendments may be proposed by a _________________________________________________ and
ratified by specially called conventions in at least ¾ of the states. This method was used once – for
st
4.
the 21 Amendment that repealed Prohibition – because Congress believed that many state legislatures
would not vote for it.
C. Amendments may be proposed by a ________________________________________________ requested
by at least 2/3 of state legislatures and ratified by at least ¾ state legislatures. Never used
D. Amendments may be proposed by a national constitutional convention and ratified by specially
called conventions in at least ¾ of the states. Never used
Informal changes to the Constitution – It is written broadly enough that change can occur within our
political system through interpreting the words to fit _________________________________________________.
All three branches have contributed _________________________________________ the Constitution.
A. Legislature – Congress has passed laws that reinterpret and expand Constitutional provisions. Ex.
The Commerce clause allows Congress to ______________________________________________________
_____________________. Over time, Congress has passed many laws that define the ________________
____________________________________, including regulations on forms of commerce that didn’t exist
in 1789, such as railroad line, air routes, and internet traffic.
B. Executive Branch – Presidents may negotiate ___________________________________________ with
other countries, an authority not mentioned in the Constitution. The Constitution requires that
foreign treaties be __________________________________, but executive agreements ______________.
These agreements are used to circumvent the formal treaty-making process, especially for routine
matters that might simply slow the work of the Senate down.
C. Judicial Branch – Of all the branches, judicial has ______________________________________________
__________________ the Constitution. Article III defines the power of the judiciary very broadly, but
does not specifically mention _________________________________ (the power of the courts to declare
statutes unconstitutional through interpretation of the Constitution when disputes arise). That
power was first established in __________________________________ in 1803, when Chief Justice John
Marshall claimed judicial review as a prerogative of the court in his famous majority opinion issued
in the case. Marshall declared a provision of the Judiciary Act of 1789 to be in violation of Article III
of the Constitution.
 Federalist vs. Antifederalists
1. The delegates agreed the Constitution would go into effect when ________________________________ states
ratified (formally approve) it.
A. Federalists – _____________________________________________. Supported the greatly increased
powers of the central government and believed that the Constitution adequately protected individual
liberties.
1. The Federalist Papers – ______________________________________________ of the
Constitution. Written by Alexander Hamilton, James Madison, and John Jay. #10 and #51
were most famous.
2. Federalist #10 – argued that _______________________________________________________ and
______________________check the growth of tyranny. Also that a long-lived democracy must
manage its interest groups (aka factions) even though they can never be __________________.
Federalist #51 – explained why strong government is necessary. “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.”
B. Anti-federalists – _____________________________________________________________. Believed that
the proposed government would be oppressive and that more individual freedoms and rights should
be ___________________________________.
3.
 The Bill of Rights
1. A _________________________________________________________________________________ was reached with
the agreement to add 10 amendments that ____________________________individual freedoms and rights.
2. The Constitution was ratified by all states in 1789 and the _____________________________________________
______________________.
Unit 1
Constitutional Underpinnings Part 2: Federalism
1.
2.
3.
4.
Federalism – ______________________________________________________________________________________.
Historically_____________________________________ have clashed with __________________________________.
Is one of the most important founding principles of the U.S.
Federalist #51 - Defends separation of powers between state and national government.
Examples:
Disaster Relief - Who’s job was it to clean up New Orleans and the rest of the coast after Katrina?
No Child Left Behind- Should the national government step in to regulate school performance?
 Political Systems
1. May be evaluated according to their geographic distribution of power.
A. Unitary system – all policymaking powers in __________________________________ geographic place
B. Confederal system – ___________________________________ among many sub-units (such as states).
C. Federal system – divides the power between the ______________________________________________.
 Development of Federalism
1. During the American Revolution, the states reacted to Britain’s _____________________system by creating
____________________________________________ that gave virtually all powers to _________________________.
2. Framers of the Constitution tried to ______________________ the perceived __________________ of the unitary
system with the ___________________created by the confederal system by outlining a hybrid _______________
system.
3. Federalism became a major building block _________________________________________ while still
________________________________________ in the new nation.
 Delegated Powers (Article 1 section 8)
1. Delegated powers – those that are _____________________________________________________ to the federal
government by the Constitution. (Also called expressed or enumerated)
2. Examples:
 War Powers – national government is responsible for protecting the nation from external attacks
and declaring war when necessary.
 Power to regulate interstate and foreign commerce – The commerce clause (Art. I sec. 8) gives
Congress the power to “regulate Commerce with foreign Nations, and among the several states….”
This includes agriculture, transportation, finance, product safety, labor relations, and the workplace.
Few aspects of today’s economy affect commerce in only one state, so most activities are subject to
national government’s constitutional authority.
 Power to tax and spend – Congress’ power to appropriate money provides Congress with a great
deal of control. Congress may threaten to withhold funds if a project does not meet federal
guidelines.
 Other powers include: coining money, establishing postal system, and to borrow against its credit.
 Concurrent Powers
1. All powers not granted in the Constitution to the national government are _______________________________.
2. States may hold some of the ____________________________that the national government has.
3.
4.
5.
Concurrent powers – are those powers that may be exercised by both __________________________________
governments.
Examples: levying taxes and maintaining separate court systems.
Constitution does _________________________________ by stating states can’t “unduly burden” citizen with
taxes nor interfere with the function of the national government, nor abridge the terms of a treaty of the
U.S. government.
 Reserved Powers
1. Powers held only by ________________________.
2. Guaranteed by the _____________amendment
3. Include establishing local governments and regulating trade within a state, police power, and to legislate for
the protection of health, morals, safety, and welfare.
 Prohibited Powers
1. Powers ___________________ to federal and state governments.
2. Such as federal government can’t tax exports and state governments can’t tax imports or exports or make
treaties or declare war on foreign governments.
 “Necessary and Proper Clause” (________________________________) – Give Implied Powers
1. Loose construction – view that the Constitution should be ___________________________________________.
A. Supported by _________________________________ and necessary and proper clause.
B. The national government created by the Constitution represented the “___________________________
___________________”
2. Strict Construction – view that the federal government’s powers should be _____________________________
and ____________________________________________.
A. Supported ________________________________________ and ____________________________________.
B. Felt that the federal government was the product of an agreement among the states and that the
main threat to ______________________________ was likely to come from the ______________________
_________________________.
3. Realizing that they could not make a _________________________________ list for national or state
governments, the founders added to the list of specifically delegated powers in Article I, the “_____________
______________________________________”
4. This clause states that Congress shall have the power “to make all laws which shall be necessary and proper
for carrying into execution the foregoing powers.”
 McCulloch v. Maryland (1819)
1. McCulloch was a cashier for the Bank of the United States. He refused to pay a tax levied by the state of
Maryland and was arrested. He appealed to the Supreme Court. The case questions the right of the federal
government to establish a bank since no such right is ____________________________ in Article I.
2. Chief Justice John Marshall advocated ________________________________________, which is the point of
view that the national government _____________________________________________________ than the states.
3. Marshall ruled “the power to__________ is the power to _____________.” The power to destroy a federal
agency would give the state supremacy __________________________________________, so the states may not
tax a federal agency.
John Marshall reaffirmed Supremacy Clause and Elastic Clause
Result: National (Federal) Government gets _____________________________________
 The Nullification Controversy
th
1.
2.
3.
th
Throughout the 18 and early 19 century, states wanted to declare some federal laws ___________________.
This was called ___________________________________ by James Madison and Thomas Jefferson and found to
_______________________-_ the Constitution.
_____________________________________ led the charge for southern states to declare any national
government law “null and void.” The victory by the north in the civil war settled the issue that states cannot
___________________________________________________________.
 Gibbons v. Ogden (1824)
1. The meaning of the _____________________________________ was at issue in the 1824 Gibbons v. Ogden case.
2.
3.
Ogden had been given exclusive license by the ___________________________ to operate a ferry between NY
and NJ. Gibbons obtained a license from the ___________________________ to operate boats in the same area.
Ogden sued and the case went to the Supreme Court.
Several issues were at stake in defining federalism:
 The definition of commerce – when NY’s highest court rules against Gibbons, it defined
commerce narrowly as only the shipment of goods, not navigation or the transport of people.
 National government’s powers over intrastate commerce – does the national government
have the right to ____________________________________________________________________________?
 State government’s powers over interstate commerce – Is interstate commerce a concurrent
power that states may share with the national government?
 Marshall’s opinion of the case was an _____________________________________________________ of
the commerce clause that ___________________________________________________________ authority
over all areas of economic affairs. Marshall defined commerce as _________________________________,
not just the transfer of goods, and he ruled that the national government _________________________
________________ states’ jurisdiction. On the other hand, _______________________ commerce is solely
the right of the national government, and so NY had no right to prohibit Gibbons’ trade.
Result: Federal Government gets _______________________________________
 Expansion of the Commerce Clause
1. Because most companies participate in ___________________________________________________ commerce,
the Supreme Court had a great deal of trouble distinguishing between the two.
2. For example, if a company is making a product, some of which will be shipped within the state, and some
outside the state, should different regulations apply to making the same product? Is a shipment destined for
another state under state control as long as it travels to the border? At what point does it become interstate
commerce?
3. The Commerce Clause has been interpreted more and more ___________________ so that today the national
government regulates a wide range of commercial activities, including transportation, agriculture,
labor relations, finance, and manufacturing.
 Heart of Atlanta Motel v. U.S.
1. In 1964, the Supreme Court __________________________________________________ forbidding discrimination
based on race in public accommodations because
2.
“Congress’s action in removing the disruptive effect which it found racial discrimination has on interstate
travel is not invalidated because Congress was also legislating what it considers to be moral wrongs.”
Discrimination affects _________________________________, so Congress _____________________________
could legislate against discrimination. Again, many years later, Hamilton’s ______________________________
of the Constitution insured that the principle of ______________________________________ prevailed over that
of _____________________________.
 United States v. Lopez
1. Since the 1990s, the Supreme Court has been ______________________________________________ power under
the commerce clause.
2. In United States v. Lopez (1995) the ____________________ ruled that Congress had exceeded its authority
when it banned possession of guns within one thousand feet of any school. The “Gun Free School Zone” law
was declared unconstitutional because it had “______________________________________________.”
Result: _____________________________ National government power
 Types of Federalism
1. Dual Federalism – a system in which each (national and state____________________________ within its
own sphere. Referred to as _______________________ since it has clearly distinct separations.
2. Cooperative Federalism – state and federal government ___________________________. Became common
with the New Deal programs that often involved joint action between the national government and the
states. Referred to as ______________________________ where the two intertwine and swirl together.
3. Creative Federalism - increased the marble cake approach of intergovernmental relations.
A. Seen during ____________________________________________ of Lyndon Johnson.
B. Providing for the dual administration of programs such as Medicaid, which has a __________
_________________________________ financially as well as administratively.
4.
New Federalism (Competitive Federalism) – reversed the _____________________________________ creating
a “new federalism” where states were __________________________________________________.
A. Seen during Republican Administrations (Nixon, Reagan, Bush) Party Politics – Republicans tend to
believe that the national government ________________________________________ in domestic issues.
B. Sign of the Times – Federal deficits of the 1980s forced a reduction in federal funds for state and
local governments thereby
 State Sovereignty
1. Many states offer ____________________________________________:
A. Initiative – process that permits voters to put legislative measures directly on the ballot by getting
a certain amount of signatures.
B. Referendum – procedure enabling voters to _________________________________________________
by the legislature
C. Recall – some states allow this procedure which voters can ______________________________________
__________________________ from office.
 The Politics of Modern Federalism
1. Through the ___________________________________________________-, the national government provides
millions of dollars for federal aid to states.
2. Grants-in-aid are the national government’s most important tool for _________________________________ at
the state and local level is through Congress’ authorization of grants because they ________________________
_____________________ for how grants may be used.
 Two types of federal grants
1. Categorical grants – are appropriated by Congress for ________________________________________.
A. These grants usually require the state to “________________” the federal grants.
B. Medicaid, and Aid to Families with Dependent Children account for almost 85% of the total spending
for categorical grants.
C. State and local officials _____________________________________________________________ and
cannot be adapted easily to local needs.
D. Examples include: highway or airport building, welfare, school lunches
E. Ex. States receive funds if state raised age to 21 and lowered BAC to .08
F. When Congress wants to address a particular problem, its natural inclination is to create categorical
grants so __________________________________________, would decide how the money would be spent.
2. Block grants – gives Congress less control over how the money is spend; they ___________________________
________________________________________________________.
A. Promoted by Ronald Reagan in early 80s.
B. Examples include: broad activities such as social services, health services, or public education
C. Still exist but are gradually becoming more categorical (known as _____________________________
____________________________________)
D. ex. Welfare reform-in 1996 responsibility of welfare programs shifted to state
 Federal Mandates
1. Mandate – _____________________________________________________________________ in order to comply
with federal guidelines.
A. Often tied to federal grants
B. Sometimes are completely __________________ – states must spend __________________________ to
comply with federal guidelines or risk losing money in other areas.
C. _________________________________ by state and local governments.
D. Ex. In 1986 The Handicapped Children’s Protection Act provided federal regulations meant to assure
equal access and opportunity for disabled children. The requirements included requirements for
public schools to build access ramps and elevators, provide special buses and personnel, and widen
hallways, all with NO federal money to help schools comply.
 Examples of Federal Mandates
1984 – Highway Safety Amendments
1986 – Handicapped Children’s Protection Act
Safe Drinking Water Act Amendments
1988 – Drug-Free Workplace Acts
1990 – Clean Air Act Amendments
*Americans with Disabilities Act
*Often referred to on AP Exams
 Federalism Advantages – Quick Reference
Living under 2 governments is great…
1) Built on compromise, promotes unity
2) Gov’t duties can be split up
3) Brings gov’t closer to people
4) Allows for state gov’t to address issues in unique regions of the country
5) Allows states to experiment with policy before enacting it at the federal level – Ex. Vermont’s free
health care for children
6) Disadvantages of Federalism-Quick Reference
Living under 2 governments is bad…
1) States can impede progress of Nation
2) States are unequal
3) States have different policy
4) Easier for states to be dominated by interest groups
 Devolution Revolution
1. Throughout American history, the trend has been to move _____________________________________________.
2. In recent years, movement has begun to _____________________ more responsibilities to the _______________.
3. Devolution - the _____________________________________________________________ government
4. Idea is fueled by _______________________________________________government and the desire to save
money by _________________________________________ of the “bloated federal government”
 Ex. Personal Responsibility and Work Opportunity Reconciliation Act of 1996
 Eliminated _____________________and transferred the money to states as block grants
 Summary of Federalism
Continuity and Change
• Federalism as outlined at Philadelphia in 1787 has _______________________ considerably over time.
• Initially, the states remained _________________________________________, and the national government
was _________________________________.
• Over time the national government became progressively ___________________________.
• However, we have a Court today that is more interested in reinvesting power in the ________ Amendment
and in the ___________________.