Name
Date
Period
APG Unit 1: Constitutional Underpinnings
Problem Set Packet #1
Packet Due Date: ______________
5 points.
Chapter
3 points.
Title
1
1 –The Four Theories of Democracy
2
2 –Four Political Thinkers
2
3 –Four Documents Influence on The Declaration of
Independence
2
4 –The Preamble and the Three Branches of Government
2
5 –Find it in the Constitution
2
6 –Amending the Constitution
3
7 –Federalism
3
8 –Fiscal Federalism
3
9 –Federalism and Fiscal Federalism Review
Status/Point Value
Total _______/45
1 –The Four Theories on Democracy
Part I Directions: Use the textbook and the internet to summarize each theory. Please include an example for each. Flip sheet over for the second part.
Traditional
Elite/Class
Pluralist
Hyperpluarlism
Part II Directions: Compare and contrast the differences and similarities between all four theories and answer the following questions.
1. What are some striking differences between the four
theories? Explain
Pluralist
2. In your opinion, what is the biggest issue facing each
theory? Explain.
Traditional
Elite/Class
Pluralist
Similarities
Hyperpluarlism
Differences
Traditional
Elite/Class
1. What are some striking similarities between the four theories?
Explain.
2. In your opinion, what is the biggest contribution that each theory
brings to the table? Explain.
Hyperpluarlism
Pluralist
2 –Four Political Thinkers
3 –Four Documents’ Influence on the Declaration of Independence
Document 1
Document 4
Document 2
Document 3
Document 5: The Declaration of Independence (DI)
 Find this in your textbook on page 739. Use the DI and the four other documents presented to you
complete the chart and to answer the questions below.
Document 1
Document 2
Document 3
Document 4
1.
Why write a preamble? What was the purpose of it?
2.
List 5 complaints and restate these complaints in modern English.
3.
What are the prior attempts to redress grievances?
4.
What will change in the colonies because of the DI?
4 –The Preamble and the Three Branches of Government Outline
5 –Find it in the Constitution Problem Set
Part 1: Listed below are the powers that are delegated or denied in the Constitution. Identify who has the power and where the source
of the power can be found in the Constitution. An example is provided.
C = Congress
H = House of Representatives
S = Senate
P = President
X = Power denied to the government
Power
Declare war
Appoint judges to federal courts
Award titles of nobility
Admit new states to union
Establish a system of post roads
Regulate foreign trade
Place a tariff on exports
Enforce laws passed by Congress
Create federal courts
Establish an army and navy
Nominate Ambassadors
Establish a post office
Borrow money
Give “state of the nation” address
Lead the army and navy
Censor a book or newspaper
Coin money
Make treaties with foreign nations
Establish laws on copyrights
Make rules for people who go
Bankrupt
Who Has the Power
Source
C
Art. 1, Sec 8
Part 2: Use your Constitution Quest to answer the following questions in a quick, precise statement.
1. Can a president veto a bill without returning it to Congress?
2. What is treason? Why is it so clearly yet unclearly defined?
3. How can the Constitution be amended? What is the purpose of this?
4. Where must all laws dealing with money originate? Why?
5. Can a bill become a law without the president’s signature? Explain.
6. How many senators are elected at anyone election? How many members of the House of Representatives?
7. Who has the power to levy taxes? Why?
8. Who determines the qualifications of the members of Congress?
9. When can a Congressman be arrested?
10. Can the president veto a bill passed by Congress? How can it be passes over his veto?
11. Does the Constitution allow for the direct election of the president? What does it call for?
12. Who hears trial cases between different states or citizens of different states?
13. What is the term of office for members of the federal judiciary?
14. What is the proof of treason?
15. Why is a person with a driver’s license from Oregon able to legally drive in Missouri?
16. How do the states get the powers that are not specifically delegated to the federal government?
17. What is habeas corpus? When can it be suspended?
18. What is a bill of attainder? What is an ex post facto law? Are they allowed?
19. What restrictions are placed on members of Congress when speaking in Congress?
20. Who may impeach a government official? Who will hold the trial of an official who has been impeached?
21. Can the number of United States senators from any state be reduced? Why.
22. Where in the Constitution is the principle of judicial review? Explain.
6 –Amending the Constitution Problem Set
Part I
Directions: Article V in the Constitution proposes two ways for the amendment process. Read Article V and complete the following
questions with a partner.
The Congress, whenever two thirds of both Houses shall deem it necessary, shall propose Amendments to this Constitution, or, on the
Application of the Legislatures of two thirds of the several States, shall call a Convention for proposing Amendments, which, in either
Case, shall be valid to all Intents and Purposes, as part of this Constitution, when ratified by the Legislatures of three fourths of the
several States, or by Conventions in three fourths thereof, as the one or the other Mode of Ratification may be proposed by the
Congress; Provided that no Amendment which may be made prior to the Year One thousand eight hundred and eight shall in any
Manner affect the first and fourth Clauses in the Ninth Section of the first Article; and that no State, without its Consent, shall be
deprived of its equal Suffrage in the Senate.
-Article V U.S. Constitution
Article V of the Constitution spells out the processes by which amendments can be proposed and ratified.
To Propose Amendments
In the U.S. Congress, both the House of Representatives and the Senate approve by a two-thirds supermajority vote, a joint resolution
amending the Constitution. Amendments so approved do not require the signature of the President of the United States and are sent
directly to the states for ratification.
Two-thirds of the state legislatures ask Congress to call a national convention to propose amendments. (This method has never been
used.)
To Ratify Amendments
Three-fourths of the state legislatures approve it, or Ratifying conventions in three-fourths of the states approve it. This method has
been used only once -- to ratify the 21st Amendment -- repealing Prohibition.
The Supreme Court has stated that ratification must be within "some reasonable time after the proposal." Beginning with the 18th
amendment, it has been customary for Congress to set a definite period for ratification. In the case of the 18th, 20th, 21st, and 22nd
amendments, the period set was 7 years, but there has been no determination as to just how long a "reasonable time" might extend.
Of the thousands of proposals that have been made to amend the Constitution, only 33 obtained the necessary two-thirds vote in
Congress. Of those 33, only 27 amendments (including the Bill of Rights) have been ratified.
The Formal Amendment Proposal/Ratification Process: The Key to the Living Constitution
I. The Amendment Process
A. An amendment is __________________________________________
B. National amendment procedure is laid out in _____________________ of the Constitution
II. To Purpose an Amendment via the Constitution (propose)
Example:
-OR-
Example:
III. To Ratify an Amendment via the Constitution (make proposal legit)
Example:
-OR-
Example:
Informal Amendment Proposal Process (need to use your notes/textbook for the following)
I. Judicial Interpretation
Definition:
Example:
II. Social and cultural change
Definition:
Example:
1.
Why is it important to keep the Constitution a flexible document?
2.
Name the specific amendments that have changed previous sections of the Constitution:
3.
Do you think the Constitution could ever been changed to the point of “unreasonableness”? Explain.
4.
What are the two methods in Article V of proposing constitutional amendments?
5.
What are the two methods in Article V of ratifying constitutional amendments?
6.
What is the role of the President in amending the Constitution?
7.
What is the role of the Supreme Court in amending the Constitution?
8.
Can the Constitution be amended in such a manner so as to completely exclude any role for the national government of the
United States? Explain why or why not.
Part II
Directions: Amendments can be classified into seven groups by function or purpose. Match each classification listed on the right
with the appropriate group of amendments on the left.
_____1. Amendments 15, 17, 19, 23, 24, and 26.
_____2. Amendments 3,4,5,8,10,11, and 21
_____3. Amendment 22
_____4. Amendments 16 and 18
_____5. Amendments 12, 20, and 25
_____6. Amendments 1, 2, 6, 7, and 9
_____7. Amendments 13 and 14
A. Amendments that add power to the national
government.
B. Amendments that deny power to the national
government
C. Amendments that limit the power of state
governments.
D. Amendments that expand the electorate
E. Amendments that reduce the power of the electorate
F. Amendments that make changes in the machinery of
the government
G. Amendments that protect the rights of the individual.
Part III
Directions: You know how an amendment is now proposed and ratified. You know what categories our amendments fall into. Now
you will pick ONE amendment and create a political cartoon that:
Explains/describes the original purpose of the amendment
Explains/describes the modified or socially accepted purpose of the amendment
This drawing does not have to be museum quality (refrigerator, third-grade is fine with me), but it does have to be accurate and
represent a true outlook on the importance of the amendment to our country. If you are having issues with this, please use Google to
help you complete this activity (the search engine is your friend). Complete your political cartoon on the back side of the sheet of
paper.
7 –Federalism Problem Set
Although the term federalism is not found in the United States Constitution, it is clearly defined in the delegated, concurrent, and
reserved powers of the national and state governments. (See Figure 7-1.)
 delegated powers—expressed, or enumerated powers, those specifically given to the national government (Articles I–V)
 implied powers—although not expressed, powers that may be reasonably inferred from the Constitution (Article I, Section 8,
Clause 18—the Necessary and Proper Clause, or Elastic Clause)
 inherent powers—powers that exist for the national government because the government is sovereign
 concurrent powers—powers that belong to both the national and state governments
 reserved powers—powers belonging specifically to the state because they were neither delegated to the national government
nor denied to the states (Article IV; Amendment 10)
 prohibited powers—powers that are denied to the national government, state governments, or both (Article I, Sections 9 and
10; Amendments)
For example, neither the national government nor state governments may pass an ex post facto law or a bill of attainder.
Federalism in Practice
Interstate Relations
Article IV of the Constitution addresses the issue of relationships between the states. It offers several provisions:
Full Faith and Credit Clause—States are required to recognize the laws and legal documents of other states, such as birth certificates,
marriage licenses, drivers' licenses, wills.
 Privileges and Immunities Clause —States are prohibited from unreasonably discriminating against residents of other states.
Nonresidents may travel through other states; buy, sell, and hold property; and enter into contracts (does not extend to
political rights such as the right to vote or run for political office, or to the right to practice certain regulated professions such
as teaching).
 Extradition —States may return fugitives to a state from which they have fled to avoid criminal prosecution at the request of
the governor of the state.
 interstate compacts —States may make agreements, sometimes requiring congressional approval, to work together to solve
regional problems. Some examples are "hot-pursuit agreements," parole and probation agreements, the Port Authority of New
York and New Jersey, and regulating the common use of shared natural resources.
Guarantees to the States
Article IV of the Constitution provides national guarantees to the states:
 republican form of government

 protections against foreign invasion

protections against domestic violence
respect for the geographic integrity of state
Some of the advantages and disadvantages of federalism are shown in Figure 7-2.
Establishing National Supremacy
Article VI of the United States Constitution contains the Supremacy Clause, which helps to resolve conflicts between national and
state laws. Because two levels of government are operating within the same territory and over the same people, conflicts are bound to
arise. The Supremacy Clause states that the Constitution, its laws and treaties shall be the "supreme law of the land." The Supreme
Court upheld this supremacy in McCulloch v. Maryland (1819). The Supreme Court continued to expand the powers of Congress over
interstate commerce in Gibbons v. Ogden (1824).
McCulloch v. Maryland (1819)
The Supreme Court dealt with the issues of the Necessary and Proper Clause and the Supremacy Clause when Maryland
imposed a tax on the Baltimore branch of the Second National Bank of the United States. Chief cashier James McCulloch
refused to pay the tax, Maryland state courts ruled in the state's favor, and the United States government appealed to the
Supreme Court. The Marshall court ruled that although no provision of the Constitution grants the national government the
expressed power to create a national bank, the authority to do so can be implied by the Necessary and Proper Clause (Article
I, Section 8, Clause 18). This ruling established the implied powers of the national government and national supremacy, the
basis used to strengthen the power of the national government.
Gibbons v. Ogden(1824)
At issue was the definition of commerce and whether the national government had exclusive power to regulate interstate
commerce. The New York legislature gave Robert Livingston and Robert Fulton exclusive rights to operate steamboats in
New York waters and Aaron Ogden the right to operate a ferry between New York and New Jersey. Thomas Gibbons had
received a national government license to operate boats in interstate waters. Ogden sued Gibbons and won in the New York
courts; Gibbons appealed to the Supreme Court. The Marshall court defined commerce as including all business dealings, and
the power to regulate interstate commerce belongs exclusively to the national government. Today, the national government
uses the commerce clause to justify the regulation of numerous areas of economic activity.
Federalism Today
Since the founding of the United States, society has changed, and federalism has evolved to meet the changes and challenges.
Dual Federalism
The earliest (1789–1932) interpretation of federalism is the concept of dual federalism, which views the national and state
governments each remaining supreme within their own sphere of influence. This form of federalism is often referred to as
"layer cake federalism," because each level of government is seen as separate from the other, with the national government
having authority over national matters and state governments having authority over state matters. The early beliefs that states
had the sole responsibility for educating their citizens and the national government had the sole responsibility for foreign
policy issues are examples of dual federalism.
Cooperative Federalism
In the 1930s the interpretation of federalism shifted to that of the national and state governments sharing policymaking and
cooperating in solving problems. Cooperative federalism or "marble cake federalism" as it came to be known, grew from the
policies of the New Deal era and the need for the national government to increase government spending and public assistance
programs during the Great Depression. The cooperation of the national and state governments to build the national interstate
highway system is an example of cooperative federalism. The expansion of cooperative federalism during (President Lyndon
B. Johnson's) Great Society required even greater cooperation from the states in return for federal grants.
New Federalism
During the administrations of Richard Nixon, Ronald Reagan, and George H.W. Bush the national government attempted to
implement a reversal of cooperative federalism and place more responsibility on the states about how grant money would be
spent. The term devolution—a transfer of power to political subunits—has been used to describe the goals of new federalism.
An example of new federalism is welfare reform legislation, which has returned more authority over welfare programs to the
states. The national government directed where much of the money should be spent in the stimulus-spending bills during the
first year of the Obama administration.
Fiscal Federalism
The national government's patterns of spending, taxation, and providing grants to influence state and local governments is known
today as fiscal federalism. The national government uses fiscal policy to influence the states through granting or withholding money to
pay for programs.
 grants-in-aid programs—money and resources provided by the federal government to the state and local governments to be
used for specific projects or programs. The earliest grants often covered public works projects such as building canals, roads,
and railroads, and land grants for state colleges.
 categorical grants—grants that have a specific purpose defined by law, such as sewage treatment facilities or school lunch
programs; may even require "matching funds" from the state or local governments; categorical grants may be in the form of
project grants (awarded on the basis of a competitive application, such as university research grants) or formula grants
(awarded on the basis of an established formula, such as Medicaid).
 block grants—general grants that can be used for a variety of purposes within a broad category, such as education, health
care, or public services; fewer strings attached so state and local governments have greater freedom in how the money is
spent; preferred by states over categorical grants.
 revenue sharing—proposed under the Johnson administration and popular under the Nixon administration, a "no strings
attached" form of aid to state and local governments; could be used for virtually any project but never exceeded more than
two percent of revenues; eliminated during the Reagan administration.
 mandates—requirements that are imposed by the national government on the state and local governments; for example, the
Americans with Disabilities Act (1990) mandates that all public buildings be accessible to persons with disabilities. Mandates
often require state or local governments to meet the requirement at their own expense (unfunded mandates). After the midterm elections of 1994, the Republican-controlled Congress passed the Unfunded Mandate Reform Act, which imposed
limitations on Congress's ability to pass unfunded mandate legislation.
Review Questions:
1. In what ways does federalism decentralize politics and policies?
2. What is the significance of the tenth amendment? How does this apply to the differences between Republicans and Democrats?
3. Explain the difference between enumerated powers and implied powers.
4. How is dual federalism analogous to a layer cake and how is cooperative federalism analogous to a marble cake?
5. Explain the two types of categorical grants.


6. What are federal mandates and what purpose do they serve?
7. What reasons might a state or locality not want to receive federal aid?
8. List four advantages of federalism for democracy




9. List four disadvantages of federalism for democracy.




10. What does the Full Faith and Credit clause of the Constitution mean?
Source: Pamela K. Lamb
8 –Fiscal Federalism Problem Set
Directions: Match the items on the right to the statements on the left
A. Devolution
B. Federal guidelines
C. Revenue sharing
D. Spanish Am. War
E. Fiscal Federalism
F. Conditions of Aid
G. Categorical grants
H. Health care
_____1.
_____2.
_____3.
_____4.
_____5.
_____6.
_____7.
_____8.
_____9.
_____10.
_____11.
_____12.
_____13.
_____14.
_____15.
_____16.
I. Education
J. Cross-over sanction
K. Project Grant
L. Cost-cutting requirement
M. Block grants
N. Unfunded mandates
O. Formula grants
P. Mandates
Q. Grants-in-Aid
R. Entitlement grants
S. Federalism
T. Dual Federalism
U. Civil War federalism
V. Cooperative
National and state government’s powers + policy responsibilities are truly distinct.
Which war was fought over federalism, issues with economics as the primary factor?
The state and the federal government work hand in hand in promoting and financing education. This is an example
of….
The federal system is well-known for spending a lot, taxing a lot, giving a lot. This is known as….
This type of grant is awarded on the basis of competitive applications, i.e., National Science Foundation endowments:
States are allowed great discretion in spending these federal
monies…
The feds tell the states that you MUST have clean air, or lose federal funding. This is an example of…
The feds tell the states that you MUST use this money for a specific reason
This area receives the largest percentage of federal grants.
The feds dictate that the drinking age will be 21 and over, or you lose your highway funding. This is an example of…
The feds catch you discriminating against female athletes and reduce your funds for running the lunchroom.
Medicaid and child nutrition programs are examples of…
Federals government directions in using federal monies are:
The strings that the feds assign to programs.
The national government sends money back down to the states governments for domestic problems
Feds sell land to pay for colleges and universities, or subsidize state militias.
_____17.
_____18.
_____19.
_____20.
Feds requiring states to implement programs without providing the funds
Welfare programs are often referred to as…
A 1990’s policy to shift more fiscal responsibility back to the states in paying for social programs like welfare.
Power is divided between a national and state governmental unit
Answer the following questions below with a partner:
21. What are the constitutional foundations for fiscal federalism? Be specific!
22. How has the federal government become involved in fiscal areas traditionally left to the states? Provide three specific examples.
23. Discuss the history of federal grants to states. How has the role of the federal grants changed and why.
8 –Federalism and Fiscal Federalism Review Problem Set
1.
A major strength of federalism lies in the fact that it promotes both national and state activities. Please give two examples of how
this works:
2.
McCulloch v. Maryland (1819) was an important Supreme Court case involving federalism because:
3.
Article IV of the United States Constitution addresses the relationship between the states and the federal government. Describe
this relationship:
4.
Name a concurrent power of national and state governments:
5.
Cooperative federalism can best be described as:
6.
The president most responsible for the implementation of dual federalism was who? Why did he do this?
7.
The president most responsible for the implementation of new federalism was who? Why did he do this? Explain.
8.
Which type of the federal grant has the fewest "strings" attached when it comes to spending government monies? Explain.
9.
Prohibited powers are powers that are denied to both the national and state governments. These denied powers may be found in:
10. Give an example of fiscal federalism:
Directions: Match the items on the right to the statements on the left – you might have to look some of these terms/concepts up!
Correct Letter
and Vocab Term
Question
Type of Federalism:
Cooperative, Dual, or Fiscal
(cat grants/project
grants/formula grants/block
grants/mandate/unfunded
mandate
National and state government’s powers + policy responsibilities are truly distinct.
Which war was fought over federalism, issues with economics as the primary factor
The state and the federal government work hand in hand in promoting and financing education.
The federal system is well-known for spending a lot, taxing a lot, giving a lot. This is known as….
This type of grant is awarded on the basis of competitive applications, i.e., National Science Foundation
endowments:
States are allowed great discretion in spending these federal monies…
The feds tell the states that you MUST have clean air, or lose federal funding.
The feds tell the states that you MUST use this money for a specific reason
This area receives the largest percentage of federal grants.
The feds dictate that the drinking age will be 21 and over, or you lose your highway funding.
The feds catch you discriminating against female athletes and reduce your funds for running the lunchroom.
Medicaid and child nutrition programs are examples of…
Federals government directions in using federal monies are:
The strings that the feds assign to programs.
The national government spends money back down to the states governments for domestic problems
Feds sell land to pay for colleges and universities, or subsidize state militias.
Feds requiring states to implement programs without providing the funds
Welfare programs are often referred to as…
A 1990’s policy to shift more fiscal responsibility back to the states in paying for social programs like
welfare.
Power is divided between a national and state governmental units
A. Devolution
B. Federal guidelines
C. Revenue sharing
D. Spanish Am. War
E. Fiscal Federalism
F. Conditions of Aid
G. Categorical grants
H. Health care
I. Education
J. Cross-over sanction
K. Project Grant
L. Cost-cutting requirement
M. Block grants
N. Unfunded mandates
O. Formula grants
P. Mandates
Q. Grants-in-Aid
R. Entitlement grants
S. Federalism
T. Dual Federalism
U. Civil War federalism
V. Cooperative