AP GOVERNMENT KEY TERMS Unit 1: CONSTITUTIONAL UNDERPINNINGS 1. Checks and balances: System in which each branch of government can limit the power of

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

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3 UNIT 1: CONSTITUTIONAL UNDERPINNINGS MAIN TOPICS THE CONSTITUTION FEDERALISM 3

4 THE CONSTITUTION 4

5 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION TYPES OF GOVERNMENT TYPE DESCRIPTION MONARCHY TOTALITARIANISM OLIGARCHY DEMOCRACY DIRECT DEMOCRACY REPRESENTATIVE DEMOCRACY (REPUBLIC/ INDIRECT DEMOCRACY) Power is vested in hereditary kings and queens who govern in the interest of all. Power resides in a leader who rules according to self- interest. The right to participate in government is conditioned on the possession of wealth, social status, military position, or achievement. The rule of the many. Members of the society (polity) meet and make decisions with majority rule. Members of the society vote for representatives who make decisions on their behalf. - Government: Is the institution through which policy is made and enforced. - Public Policy: Anything the government decides to do. PHILOSOPHICAL ORIGINS OF AMERICAN GOVERNMENT PHILOSOPHER THOMAS HOBBES ( ) JOHN LOCKE ( ) JEAN- JACQUES ROUSSEAU ( ) MONTESQUIEU ( ) DESCRIPTION Humanity was naturally at war. We need government (Monarchy) necessary to restrain humanity s beastial tendencies. Life without government was a state of nature. Natural law is the law of God. Under natural law people were born free and equal. Law is acknowledged through human sense and reason. He also argued for rights (Life, Liberty, Property) and obligated people to rebel against kings that did not respect the right of the governed. (Social Contract Theory) The social contract: It is the agreement of free and equal people to abandon certain natural rights in order to find freedom in a single body politic committed to the general good. Argued for the separation of powers in the government. - The philosopher most likely to be on the AP test is John Locke. His words greatly influenced Thomas Jefferson as he wrote the Declaration of Independence. 5

6 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION ROOTS OF A NEW NATION PHASE DESCRIPTION ENGLISH COLONIES FORM ENGLAND ENHANCES CONTROL ON THE COLONIES (Starting in 1760 s) THE COLONISTS FIRST STEPS TOWARDS INDEPENDENCE In the early 17th century, colonists came to the New World for economic opportunity and to escape religious persecution. Most colonists agreed the king ruled by divine right. The monarch gave colonists much more freedom (such as self- government, religious practices, economic organization) than subjects at home (because they were across the ocean and there were no things like planes, phones, or internet). Things were OK for almost 140 years. England increases taxes (Sugar Act, Stamp Act) and restricts settlement (Proclamation of 1783). They increased taxes to pay for the Seven Years War (French and Indian War was a segment that took place in North America). They restricted settlements to prevent having to pay for future conflicts with Indian tribes and European rivals. England and the colonies would go back and forth for years regarding this new control. England would back down on some things and crack down on others. King George III pushed for the Intolerable Acts (shutting down Boston Harbor until the tea was paid for from the Boston Tea Party) and reinforcing the Quartering Act (forced colonists to give food and shelter to Redcoats). STAMP ACT CONGRESS: Representatives met in 1765 to draft a document listing how their rights were violated (They thought they deserved representation in Parliament). SONS OF LIBERTY/ DAUGHTERS OF LIBERTY: Some boycotts were successful with English citizens applying pressure to Parliament. COMMITTEES OF CORRESPONDENCE: Kept each other aware of developments with Britain FIRST CONTINENTAL CONGRESS: 56 delegates came together so they could iron out their differences with Britain. They drafted a Declaration of Rights and Resolves (which included the right to petition and assembly, trial by peers, freedom from a standing army, and a selection of representative councils to levy taxes). BATTLES OF LEXINGTON & CONCORD: The Redcoats are coming, the Redcoats are coming to get our weapons. This was in 1775 and was the start of the Revolutionary War. SECOND CONTINENTAL CONGRESS: Olive Branch Petition (last chance Great Britain). It also put George Washington in charge of army (just in case they needed an army). DECLARATION OF INDEPENDENCE: Bye- bye British control! 6

7 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION DECLARATION OF INDEPENDENCE SECTIONS DESCRIPTIONS FIRST PARAGRAPH SECOND PARAGRAPH God gives people the right to break away from a government. All men are created equal. Life, liberty, and the pursuit of happiness. It is OK to abolish a government 27 PARAGRAPHS 27 reasons they hate King George. LAST FEW PARAGRAPHS The United States of America declare that the colonies are free and independent states. - Thomas Jefferson was the primary author of the Declaration of Independence. SUMMARY OF AMERICA S GOVERNMENTS GOVERNMENT YEARS DESCRIPTION SECOND CONTINENTAL CONGRESS Unofficial government. It handled the creation of the Declaration of Independence, and the handling of the Revolutionary War until an official government was created. ARTICLES OF CONFEDERATION This government came into effect with about 2 years left of the Revolutionary War. It was an official document written out much like today s Constitution. It did not last because it was viewed as weak. THE CONSTITUTION Today Was written at the Constitutional Convention in Is called a living document (because it can be changed) so it has been around for over 200 years. 7

8 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION THE ARTICLES OF CONFEDERATION: GOVERNMENT SET- UP MAIN TOPIC DESCRIPTION SOVEREIGNTY PASSING LAWS AMENDMENTS SELECTION/PAYMENT OF DELEGATES The nation was considered a firm league of friendship. Each state had ultimate authority within its territory. It took 9 out of 13 states to agree to pass a law. To amend the articles, it took all 13 states in agreement. Each state could pay and send up to 7 representatives or delegates but they only had one vote per state. THE ARTICLES OF CONFEDERATION: STRENGTHS & WEAKNESSES PROS/CONS MAIN TOPIC DESCRIPTION STRENGTHS WEAKNESSES MAKE PEACE POST OFFICE NEGOTIATE WITH INDIAN TRIBES TAX ISSUE MONEY ISSUES NO EXECUTIVE NO JUDICIAL DID NOT RESPECT NATIONAL DECISIONS SHAYS REBELLION Ended the Revolutionary War Got mail delivered Acted as one nation for foreign disputes National government could not tax and only asked for money. (States said no often) National government did coin money (not strong). So states would make their own money. States also would make agreements with other nations (This is usually viewed as a national power). There was no branch to enforce laws passed by Congress. States would fight about borders. State would ignore the Treaty of Paris by allowing citizens to postpone paying debts to Britain and not giving land back to loyal supporters of Britain. The national government tried to raise funds to pay for a militia to put down a rebellion in Massachusetts but failed. A militia paid by private citizens stepped up. 8

9 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION CONSTITUTIONAL CONVENTION: COMPROMISES GENERAL TOPIC DESCRIPTION PURPOSE OF CONVENTION They were supposed to revise the Articles of Confederation, but they just made up a new government instead. 12/13 STATES ATTENDED Rhode Island did not show up. PRESIDING OFFICER George Washington was unanimously voted the presiding officer. He was a beloved war hero. Everyone wanted him to become the nation s president. FATHER OF THE CONSTITUTION All of the framers (55 delegates) are called the Founding Fathers. But James Madison is referred to as the Father of the Constitution. His buddy Thomas Jefferson, who was serving as ambassador in France, sent him a lot of European books on government. OLDEST MEMBER Benjamin Franklin: 81 years old with experience drafting the Declaration of Independence, the Articles of Confederation, and the Treaty of Paris. (Although the Framers agreed not to talk about the document until it was finished they always kept people with Franklin because he was drinker with a big mouth) POLITICAL EXPERIENCE & BACKGROUND OF THE DELEGATES Most were in their 20 s or 30 s ¾ had served in the Continental Congress Several helped draft their state constitutions 8 Signed the Declaration of Independence 21 fought in the Revolutionary War 17 owned slaves (George Washington, George Mason, & John Rutledge) 31 went to college 34 Lawyers 7 Governors 9

10 THE PROBLEM AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION CONSTITUTIONAL CONVENTION: COMPROMISES ONE SIDE WANTED THE OTHER WANTED THE COMPROMISE THE REPRESENTATION OF THE STATES IN CONGRESS Virginia Plan: Powerful central government with 3 branches. Two- house legislature with one house elected directly by the people, the other chosen from persons nominated by the state legislatures. A legislature with the power to select the executive and judiciary. New Jersey Plan: Strengthening the Articles, not replacing them. Creating a one- house legislature with one vote for each state and with representatives chosen by state legislatures. Giving Congress the power to raise revenue from duties and imports and from postal service fees. Creating a Supreme Court with members appointed for life THE GREAT COMPROMISE (CONNECTICUT PLAN): Bicameral Legislature: (2 house legislature) 1) House of Representatives had members based on population (also directly elected by the people). 2) The Senate would have members equal for each state. Dividing power between the nation and state governments, national power would be supreme. 3 branches of government COUNTING SLAVES WHEN DETERMINING REPRESENTATION IN CONGRESS People in the South wanted to count slaves as people when determining how many seats their state got in the House of Representatives People in the North felt since slaves can t vote they should not be used in determining the number of seats the state gets in the House of Representatives. THE 3/5 S COMPROMISE: Five slaves would count as 3 people when determining population of a state for congressional representation. (This gave the South 47% of the House of Representatives) - They also agreed that Congress could stop the importation of slaves for 20 years after the Constitution was ratified. Also agreed to have an extradition clause that addressed how states would handle runaway slaves. Also compromised on having a single president. 10

11 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION BASIC PRINCIPLES OF THE CONSTITUTION BASIC PRINCIPLE DESCRIPTION SEPARATION OF POWERS CHECKS AND BALANCES FEDERALISM POPULAR SOVEREIGNTY LIMITED GOVERNMENT JUDICIAL REVIEW Power is separated between 3 branches: - Legislative Branch: creates laws - Executive Branch: enforces (executes) laws - Judicial Branch: interprets laws Each branch can check the power of the other branches (Example: President can veto a bill passed by Congress) The division of government between the national government and the state governments. Authority comes from the people. The government can only do some things. The Constitution even tells the government things it can not do. The Supreme Court can declare government acts unconstitutional (This is also an example of checks and balances). KNOW THE TOP 3 MOST IMPORTANTLY THE OTHERS ARE IMPORTANT, BUT THE TOP 3 SHOW UP EVERYWHERE! - Judicial Review is not written in the Constitution but the Supreme Court establishes it in Marbury v Madison CHECKS & BALANCES (DETAILED EXAMPLES OF THIS PRINCIPLE) LEGISLATIVE BRANCH EXECUTIVE BRANCH JUDICIAL BRANCH CHECKS THE EXECUTIVE BRANCH BY: - Impeaching president - Confirming or refusing nominees - Confirming or refusing to approve treaties -Overriding presidential veto by a 2/3s vote of both houses CHECKS THE JUDICIAL BRANCH BY: -Changing number & jurisdiction of federal courts - Impeaching federal judges - Proposing amendments CHECKS THE LEGISLATIVE BRANCH BY: - Vetoing legislation - Calling Congress into special session -Carrying out or failing to carry out laws passed by Congress CHECKS THE JUDICIAL BRANCH BY: - Appointing federal judges - Refusing to implement judicial decisions CHECKS THE LEGISLATIVE BRANCH BY: - Ruling federal laws unconstitutional - Ruling state laws unconstitutional CHECKS THE EXECUTIVE BRANCH BY: -Declaring executive actions unconstitutional -Chief Justice presides over impeachment trial of the President Learn these now. There will be tons of questions on the AP test concerning checks and balances. Plus you have to know all this information for our unit that covers Government Institutions. 11

12 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION ARTICLES WITHIN THE CONSTITUTION ARTICLE MAIN TOPIC IMPORTANT ITEMS PREAMBLE ARTICLE I ARTICLE II ARTICLE III ARTICLE IV ARTICLE V ARTICLE VI ARTICLE VII Purpose of Government The Legislative Branch The Executive Branch The Judicial Branch Relations Among States Amendment Process National Supremacy Ratification Process - Establishing justice - Insuring domestic tranquility - Providing for the common defense - Promoting the general welfare - Securing the blessings of liberty - Enumerated powers -Necessary and Proper Clause (implied powers) - Presidential qualifications - Presidential roles (jobs) - Created the Supreme Court -Empowered Congress to create inferior courts - Full Faith and Credit Clause - Extradition - Privileges & Immunities Clause - Two ways to propose - Two ways to ratify - Supremacy Clause (National Supremacy) -Although states do have power (reserved powers) Nine (out of 13) state conventions needed to approve Constitution - The AP test expects you to know in which Article you can find specific items. 12

13 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION RIGHTS FOUND IN THE ORIGINAL CONSTITUTION MAIN TOPIC DESCRIPTION NO SUSPENDING HABEAS CORPUS NO EX POST FACTO LAWS NO BILLS OF ATTAINDER NO RELIGIOUS QUALIFICATIONS ENTITLEMENT OF PRIVILEGES & IMMUNITIES RIGHT TO JURY TRIAL Habeas Corpus is when a person under arrest is brought before a judge (chance to show unlawful detention). The Constitution says it can only be suspended during wartime. A law that gives consequences for actions already committed. A law that declares a person or group guilty without a trial and gives them consequences. There is no religious qualification in order to run for office. States cannot discriminate against people from other states. For federal crimes, people have the right to a jury trial. People were upset that there was not originally a Bill of Rights, but the rights listed above were stated throughout the original Constitution. METHODS FOR AMENDING THE CONSTITUTION PROPOSE/ RATIFY WAY DESCRIPTION PROPOSE RATIFY ⅔ vote of both houses of Congress. At a national convention on request of ⅔ of state legislatures. Passage by ¾ of state legislatures. Passage by ¾ of special state conventions. It has been used for 27 amendments. It has never been used. It has been used 26 times. It has been used 1 time. - Note that the amendment process reflects federalism (national government and state government both have power). - The only amendment ratified by special state conventions was the 21st amendment which repealed Prohibition. 13

14 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION RATIFICATION OF THE CONSTITUTION: WHEN IS IT IN EFFECT? MAIN TOPIC DESCRIPTION ACCORDING TO THE CONSTITUTIONAL CONVENTION ACCORDING TO THE ARTICLES OF CONFEDERATION Article VII stated that the Constitution would be the Supreme Law of the Land when 9 states ratified it at state conventions. The Articles stated that all 13 states had to approve changes to the government. Some scholars argue that the Constitution was an illegal document until all states agreed to ratify it in RATIFICATION OF THE CONSTITUTION: BY THE NUMBERS STATE DATE FOR AGAINST Delaware December Pennsylvania December New Jersey December Georgia January Connecticut January Massachusetts February Maryland April South Carolina May New Hampshire June Virginia June New York July North Carolina November Rhode Island May Nine states did ratify the Constitution but was it enough? New York and Virginia had yet to ratify and 40% of the nation s population lived there. - Two groups or parties formed: The Federalists (Ratification supporters) debated the Anti- Federalists (Ratification opponents). -Rhode Island ratified the Constitution one year after George Washington became the first president of the United States. - The last states only ratified when the Federalists promised to add a Bill of Rights (Federalist Papers also influenced some). 14

15 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION FEDERALISTS VERSUS ANTI- FEDERALISTS GROUP OPINION ON THE RATIFICATION OF THE CONSTITUTION KEY MEMBERS FEDERALISTS ANTI- FEDERALISTS They supported it because they saw a need for a strong central government. They opposed it because they thought the government would be too strong and the people would not have enough power. - James Madison - Alexander Hamilton - John Jay - Patrick Henry - George Mason - The Federalists will end up winning the ratification battle. But the Anti- Federalists were a key component in the new government amending the Constitution to include the Bill of Rights. - These two groups will evolve into our nation s first political parties which would disagree about how much power the national government should possess. THE FEDERALIST PAPERS ESSAY DESCRIPTION SUMMARY FEDERALIST #10 FEDERALIST #51 Factions (interested groups in the government) would be limited in this new government because it is a republic (representative democracy) and not a direct democracy. Tyranny of the majority is controlled due to: - Separation of Powers (3 separate branches) - Checks and Balances (Presidential veto, judges for life) - Bicameral legislature (House and Senate) - Federalism (Division of National and State Governments) Factions are limited in a republic. Tyranny will be stopped because power is divided. - The Federalist Papers (a collection of 85 essays written by James Madison, Alexander Hamilton, and John Jay) is always on the test. You must know what these two essays are about!!! - The Federalist Papers convinced many people to favor the new Constitution being ratified. 15

16 BILL OF RIGHTS AMENDMENT AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS THE CONSTITUTION DESCRIPTION AMENDMENT I AMENDMENT II AMENDMENT III AMENDMENT IV AMENDMENT V AMENDMENT VI AMENDMENT VII AMENDMENT VIII AMENDMENT IX AMENDMENT X - Freedom of Speech - Freedom of Religion - Freedom of Press - Freedom to Assembly - Freedom to Protest (or petition) - Right to bear arms -No quartering of troops -No unreasonable searches or seizures - Indictment -Double jeopardy - Protection against self-incrimination -Due process (From national government) - Speedy public trial with jury of peers - Cross examination - Right to defense counsel (Right to a lawyer) - Lawsuits and juries -No cruel and unusual punishments -No excessive fines or bail - Listing rights here doesn t deny others - Delegated and reserved powers Anti- federalists only agreed to ratify the new constitution with the promise that this new government would add a Bill of Rights to protect citizens liberty. 16

17 FEDERALISM 17

18 SYSTEMS OF GOVERNMENT FEDERALISM SYSTEM DESCRIPTION EXAMPLES UNITARY FEDERAL CONFEDERATION Local and regional governments derive authority from the national government. -Power is shared between the national government and the state governments. -National government and states derive authority from the people. The national government derives authority from states. ( League of friendship comes together primarily for foreign issues) - United Kingdom - France - Italy - Japan - United States (under Constitution) -Canada - Australia - Germany - United States (under Articles of Confederation) - Southern United States (during Civil War) - Alternative definitions of federalism: The division between a central government and regional governments. Basically central and national are the exact same things. Also regional and state governments are the exact same things. - Federal almost always means the division of national and state. But in society (and occasionally on the AP test) Federal Government is often a term for the national government. Be careful about that. POWERS IN A FEDERAL SYSTEM POWER DESCRIPTION ENUMERATED Specific powers granted to Congress under Article I, section 8, of the Constitution: These powers include taxation, coinage of money, and authority to provide for a national defense. CONCURRENT RESERVED (AKA: Police Powers) Authority possessed by both state and national governments that may be exercised concurrently (simultaneously). Powers reserved to the states by the 10th amendment that lie at the state s right to legislate for the public health and welfare of its citizens. Most scholars agree that the 10th Amendment has not been that far reaching. The Supremacy Clause has had more of an impact in terms of national & state tensions. But the AP test wants you to know both. 18

19 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM FEDERALISM IN THE UNITED STATES POWER HOLDER TYPE OF POWERS EXAMPLE OF POWERS NATIONAL GOVERNMENT NATIONAL (ENUMERATED) POWERS - Coin money - Regulate interstate & foreign trade - Raise & maintain armed forces - Declare war - Govern US territories & admit states - Conduct foreign relations BOTH NATIONAL & STATE GOVERNMENTS CONCURRENT POWERS - Levy & collect taxes - Borrow money - Establish courts - Define crimes & set punishments - Claim private property for public use - Make and enforce laws - Charter banks and corporations STATE GOVERNMENT STATE (RESERVED) POWERS -Regulate trade and business within the state - Establish public schools -Pass license requirements for professionals - Regulate alcoholic beverages - Conduct elections - Establish local governments - Ratify amendments to the Constitution -Take measures for public health, safety, and morals -Exert powers the Constitution does not delegate to the national government or prohibit the states from using - The National Government powers are broken into 3 categories:: 1) Delegated or Expressed Powers: Powers that are written in the Constitution. 2) Implied Powers: Powers that are reasonably inferred as stated in the Elastic Clause (AKA: Necessary and Proper Clause) 3) Inherent Powers: Powers do not rely on specific clauses (usually involved in foreign affairs and grow out of the very existence of a government. 19

20 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM CONSTITUTIONAL INTERPRETATIONS GROUP WOULD LATER FORM WHICH POLITICAL PARTY BELIEF ON HOW CONSTITUTION SHOULD BE INTERPRETED LEADERS LOOSE CONSTITUTIONALISTS Federalists Loose or broadly Hamilton & Adams STRICT CONSTITUTIONALISTS Democratic Republicans Literally or strictly Jefferson & later Madison - George Washington who would warn against political factions as he exited his presidency usually agreed with the Federalists. CONSTITUTIONAL PROVISIONS THAT GUIDE FEDERALISM MAIN IDEA PROVISION DESCRIPTION NATIONAL POWERS ALLOWED NATIONAL POWERS DENIED STATE POWERS DENIED STATES MUST HELP STATE SUPREMACY CLAUSE MORE LIBERTY STATES RIGHTS Article I, Section 8 Article I, Section 9 Article I, Section 10 Article IV Article VI 9th Amendment 10th Amendment Enumerated powers of Congress, including the Necessary and Proper Clause No regulating slave trade before 1808, states to be treated uniformly Treaties and impairing contracts Full Faith and Credit Clause; Privileges and Immunities Clause; extradition Supremacy of the national government People have more rights than listed in the Constitution Powers not delegated to the federal government are reserved to the states 20

21 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM GOVERNMENT ACTION ON FEDERALISM: BEGINNING- RECONSTRUCTION TYPE OF FEDERALISM HISTORICAL FIGURE INVOLVED ITEM DESCRIPTION Thomas Jefferson against John Adams Kentucky & Virginia Resolutions Jefferson thought the Alien and Sedition Acts violated liberty. The Kentucky and Virginia Resolutions declared the states right to nullification (declare null and void) any federal law if a state thought the law violated the Constitution. (This has never been found to be constitutional) FEDERALISM (WHAT DOES IT LOOK LIKE?) Justice John Marshall McCulloch v. Maryland (1819) Gibbons v. Ogden (1824) Supreme Court ruled that Congress could create a national bank because the Necessary and Proper Clause gives them implied powers so they can carry out expressed powers. Congress and New York were both licensing ships to use on the Hudson River. The Supreme Court ruled that Congress had the power to regulate commerce and commercial activity. DUAL FEDERALISM: Belief it is best to have separate and equally powerful national and state governments (AKA: Layer Cake Federalism) Justice Roger B. Taney Republican (anti- slavery) Congress resisted against state powers Dred Scott v. Sanford (1857) Plessy v. Ferguson (1896) 16th Amendment (1913) 17th Amendment (1913) Missouri Compromise was unconstitutional because Congress lacked authority to ban slavery in territories. Even after the Civil War Amendments (13-15) gave more rights to African Americans, the Supreme Court ruled separate but equal was constitutional. (and up to the states to deal with) After Supreme Court struck down the Income Tax Act of 1894, Congress proposed the 16th Amendment allowing income taxes. Took power away from state legislatures by now having citizens from each state vote for their senators. 21

22 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM GOVERNMENT ACTION ON FEDERALISM: NEW DEAL- GEORGE W. BUSH TYPE OF FEDERALISM HISTORICAL FIGURE INVOLVED ITEM DESCRIPTION COOPERATIVE FEDERALISM Intertwined relationship among national, state, and local governments (AKA: Marble Cake Federalism) Franklin D. Roosevelt (FDR) Lyndon B. Johnson (LBJ) New Deal Great Society & War on Poverty Grants- in- aid programs to often defined federal/state relationships and made the national government a major player in domestic policy. Categorical Grant: Congress appropriates funds for specific purposes (often states must match some of the money). Southern states were blamed for perpetuating discrimination. So national funds were held unless states would act like the national government wanted. The spending in 1960 s on urban renewal, education, and poverty programs had not been seen since the New Deal. NEW FEDERALISM Returning administrative powers to the state governments Ronald Reagan George H.W. Bush Ronald Reagan Bill Clinton Newt Gingrich Reagan Revolution Devolution Revolution Reagan cut taxes which altered the relationship between the federal and state governments. There was a consolidation of many categorical grants into fewer block grants. Block grants: Broad grants to states for specific activities with few strings attached. - Unfunded Mandates Reform Act: Prevented Congress for passing costly mandates without a debate on how to fund them and address concerns for state governments. (They were taking 30% of state budgets) - Block grants for welfare (replaced AFDC Aid to Families with Dependent Children with TANF Temporary Assistance for Needy Families) that gave more control to local government. FEDERALISM under Bush Administration George W. Bush No Child Left Behind & his overall program - Preemption: Concept that it is ok for national government to override state or local action because of Supremacy Clause. (Usually Democrats do this but this time it was a Republican) - Bush could not follow through on campaign promises because of tax cuts, debt, wars in Iraq & Afghanistan, terrorist attacks, and Hurricanes Katrina and Rita. 22

23 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM MAJOR EVENTS IN FEDERALISM (SHORT VERSION) TIME PERIOD GENERAL TREND OF POWER ERA OF FEDERALISM CIVIL WAR National government establishes power. DUAL FEDERALISM CIVIL WAR AMENDMENTS POST RECONSTRUCTION NEW DEAL CIVIL RIGHTS National government gains power. State governments gain power. National government gains power. National government gains power. DUAL FEDERALISM DUAL FEDERALISM COOPERATIVE FEDERALISM COOPERATIVE FEDERALISM DEVOLUTION ERA State governments gain power. NEW FEDERALISM RELATIONS AMONG THE STATES REQUIREMENT OF STATES FULL FAITH AND CREDIT CLAUSE PRIVILEGES & IMMUNITIES CLAUSE EXTRADITION CLAUSE INTERSTATE COMPACTS CONSTITUTIONAL ARTICLE ARTICLE IV ARTICLE IV ARTICLE IV ARTICLE I Section 10, Clause 3 DESCRIPTION Judicial decrees and contracts made in one state will be binding and enforceable in another. (Sorry deadbeat dads, you can t just move and expect to keep your $$) Citizens of each state are afforded the same rights as citizens of all other states. States cannot give their residents priority. (Except college tuition rates) States must extradite or return criminals. (Convicted or those who are to stand trial) Contracts between states that carry the force of law. (Driver license compact) - The Constitution also says that any disputes between two states will go directly to the Supreme Court (original jurisdiction). - The Constitution gives states complete power when creating local governments within the state's borders. 23

24 STATE GOVERNMENTS ITEM AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM DESCRIPTION STATE CONSTITUTIONS GOVERNORS STATE LEGISLATURES STATE COURTS ELECTIONS & POLITICAL PARTIES The state constitutions were written before the Constitutional Convention in State constitutions are easier to amend. -They are the elected chief executive. Like a President of the state budget powers, signing legislation, and appointing officials. - LINE ITEM VETO: Veto a portion of a spending bill (Signs rest) - CLEMENCY POWERS FOR BREAKING STATE LAW: Pardon: Forgive someone entirely for a crime. Commute: Reducing the length of a prison sentence Reprieve: Postpone a prison sentence. Parole: Release a prisoner before sentence is complete with conditions that must be met as part of the release. Initially established as the most powerful. One- person, one- vote ruling of Supreme Court has them accurately representing citizens. Separate court system to handle state law. Inclusion: State courts are obligated to enforce federal law. Some judges are appointed but many are elected. Nonpartisan elections: State/local officials often downplay all party ties. Diverse candidates have had more success in recent years. DIRECT INITIATIVE: People sign a petition and the measure goes on the ballot for residents to determine if it will become state law. INDIRECT INITIATIVE: People sign a petition, State legislatures have a chance to pass it, or the measure goes on the ballot for residents to determine if it will become state law. DIRECT DEMOCRACY MANDATORY REFERENDUM: Due to state constitution or law, the state legislature must put certain measures on the ballot for residents to determine if it will become state law. OPTIONAL REFERENDUM: State legislatures can decide to put a measure on the ballot for the residents to determine if it will become state law. POPULAR (DIRECT) REFERENDUM: Voters can sign a petition to take the deciding power on a measure away from the state legislature and put it on the ballot. RECALL ELECTION: Voters can petition for an election to remove an office holder before the next scheduled election. State constitutions grant certain types of powers for each state. So not all states have the same forms of local governments and direct democracies. Only 23 States have direct democracy elements. Only 18 states have recall elections. You really have to look it up per state. 24

25 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM LOCAL GOVERNMENTS ITEM DILLON S RULE CHARTERS DESCRIPTION A court ruling that stated local governments do not have any inherent sovereignty. Thus, states can create, regulate, and destroy local governments. A document that, like a constitution, specifies the basic policies, procedures, and institutions of a municipality. Cities, towns, and village need charters because they emerge as people locate in a particular place (unlike counties and school districts which are arbitrarily made by the state). There are 87,000 local governments in the United States that fall within four main categories: - Counties: (also called parishes and boroughs) They have very broad responsibilities, created by the State for welfare & environmental programs, courts, registration of land, births, and deaths. TYPES OF LOCAL GOVERNMENTS - Towns: Everyone in a community is invited to an annual meeting to elect officers, adopt ordinances, and pass a budget. - Municipalities: Villages, towns, and cities are established municipalities and authorized by the State as people congregate and form communities. - Special Districts: are the most numerous. They are created for a particular policy or service area. School districts are the most common form of special district. Others include library service, sewage, water, and parks. Town meeting: Form of local government in which all eligible voters are invited to attend a meeting at which budgets and ordinances are proposed and voted on. - Mayor: An elected chief executive of a city. - City council: The legislature in a city government. - Manager: A professional executive hired by a city council or county board to manage daily operations and then recommend policy changes. EXECUTIVES & LEGISLATURES - District- based election: Election in which candidates run for an office that represents only the voters of a specific district within the jurisdiction. - At- large election: Election in which candidates for office must compete throughout the jurisdiction as a whole. - Commission: Form of local government in which several officials are elected to top positions that have both legislative and executive responsibilities. - Public corporation (authority): Government organization established to provide a particular service or run a particular facility that is independent of other city or state agencies and is to be operated like a business. 25

26 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM STATE BUDGET SEGMENT OF BUDGET SALES TAX FEDERAL AID INCOME TAX DESCRIPTION Regressive: Tax not based on earnings. Grant money from the national government. Progressive Tax: Tax based on earnings. INSURANCE TRUST Retirement funds for employees (current/old). USER FEES OTHER PROPERTY TAX Example: Licenses for hunting & fishing. N/A Varies based on the value of the home. LOCAL BUDGET SEGMENT OF BUDGET STATE AID PROPERTY TAX USER FEES OTHER SALES TAX DESCRIPTION Money given from the state government. Varies based on the value of the home. Example: Licenses for hunting & fishing. N/A Regressive: tax not based on earnings. INSURANCE TRUST Retirement funds for employees (current/old). FEDERAL AID INCOME TAX Grant money from the national government. Progressive Tax: Tax based on earnings. 26

27 AP AMERICAN GOVERNMENT STUDY GUIDE CONSTITUTIONAL UNDERPINNINGS FEDERALISM GRANTS- IN- AID PROGRAMS ITEM DESCRIPTION EFFECT ON FEDERALISM CATEGORICAL GRANT BLOCK GRANT MANDATE (AKA: UNFUNDED MANDATE) Federal grants for specific purposes. (There are strings attached that usually include the state matching funds) Broad grants for general purposes. Terms set by the national government that states must agree to whether or not they accept federal grants. This type of grant forces states to spend at least a portion of their budget on issues determined by the national government. If they do not match funds they lose the free money. This type of grant gives the states more freedom in spending money as they see fit. This forces states to spend money on national desires regardless of their personal preferences. (Example: If the federal law forces states to pay for wheelchair access in public buildings the states have no choice. They have to spend the money on this issue) - Grants in- aid programs: Refer to money that the national government gives to the states in the forms of grants. - Conditions of aid: Terms set by the national government that states must meet if they are to receive certain federal funds. - States prefer block grants because it gives them more freedom. 27

28 US Government AP Exam FRQ s Unit 1: Constitutional Underpinnings of U. S. Government (2005 Q 2) The power of the federal government relative to the power of the states has increased since the ratification of the Constitution. 1. Describe two of the following provisions of the Constitution and explain how each has been used over time to expand federal power. a. The power to tax and spend b. The necessary and proper or elastic clause c. The commerce clause 2. Explain how one of the following has increased the power of the federal government relative to the power of state governments. a. Americans with Disabilities Act b. Civil Rights Act of 1964 c. Clean Air Act

29 (2007 Q 4) The framers of the United States Constitution created a federal system. 1. Define federalism. 2. Select two of the following and explain how each has been used to increase the power of the federal government relative to the states. Categorical grants Federal mandates Selective incorporation 3. Select two of the following and explain how each has been used to increase the power of the states relative to the federal government. Welfare Reform Act of 1996 Block grants Tenth Amendment

30 (2014 Q 1) 1. The United States Constitution s ratification resulted from a political process that required compromise between the Federalists and Anti-Federalists. Many of the debates in government today continue to reflect the concerns of each perspective. (a) Compare the positions of Federalists and Anti-Federalists regarding the power of the national government. (b) Describe two features of the original Constitution that have led to a growth in the power of the national government. (c) Explain how each of the following additions to the Constitution addressed Anti-Federalist concerns. First Amendment Tenth Amendment (d) Explain how one of the following clauses of the Fourteenth Amendment has altered the balance of power between the state and national governments. Due process clause Equal protection clause

31 (2015 Q 2) The framers of the Constitution devised a federal system of government that affected the relationship between the national and state governments. (a) Compare state sovereignty under the Articles of Confederation and under the Constitution. (b) Explain how each of the following has been used to expand the power of the federal government over the states. Commerce clause Mandates (c) Explain how each of the following has played a role in the devolution of power from the national government to the states. Block grants Supreme Court decisions

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

33 CHAPTER OUTLINE I. Politics and Political Science A. Politics is deciding who gets what, when, and how. B. Political science is the study of politics, associated with three basic questions: 1. Who governs? 2. For what ends? 3. By what means? II. Politics and Government A. What are differences between governmental politics and politics in other societal institutions? 1. Government decisions extend to the entire society. 2. Government can legitimately use force. B. Why do citizens comply with government requirements? 1. The habit of compliance develops so citizens avoid consequences of fines and/or prison. 2. Though government could not apply force to all noncompliant citizens, application or threat of force to even a few citizens effectively creates legitimacy of government. III. The Purposes of Government A. All governments tax, penalize, restrict, and regulate their people. 1. More than 87,000 governments in the United States receive more than 40 cents of each dollar earned by Americans. 2. Congress, bureaucracies, and state and local governments create about 45,000 laws, rules, and regulations each year! B. Purposes of government are identified in the Preamble to the Constitution of the United States: 1. To establish justice, insure domestic tranquillity a. Government may be seen as a social contract, in which people allow themselves to be ruled in exchange for protection. b. Thomas Hobbes viewed life without government as a war where every man is enemy to every man. 2. To provide for common defense 3. To promote the general welfare a. Government provides public goods and services. b. The provided goods and services are those that could not profitably be provided by the private sector, such as a national park, a highway, or a sewage disposal plant. c. Americans acquire most goods and services on the free market, where the sum of all goods and services produced is termed the gross national product. 4. To regulate society 5. To transfer income 6. To secure the blessings of liberty IV. The Meaning of Democracy A. Democracy has a variety of meanings, depending on the area of the world and the era of its use. 1. Almost all nations of the world claim to practice democracy. a. North Korea is named the Democratic People s Republic of Korea. b. A number of governments claiming to be or titled as democracies are not. 2. A meaningful definition of democracy must include such specific rights and/or opportunities as: a. Recognition of the dignity of the individual b. Equal protection of laws for each individual c. Opportunity for all to participate in public decisions d. Decision making by majority rule with the value of each vote being equal V. The Paradox of Democracy A. The concept of democracy contains many conflicting challenges that must be managed. 1. There is a paradox in management of rule by the majority versus rights of the minority. 2. The paradox of individual rights versus majority rule comprises major conflict in the United States version of democracy. B. James Madison, in The Federalist, no. 10, warned against direct democracy. C. The Constitution creates a representative democracy, in which elected leaders decide public issues. D. Limited government preserves individual liberties from government intrusion. E. Under totalitarianism, individuals possess no personal liberty. F. In authoritarianism, one individual or a small group monopolize power but do not restrain individuals private lives. G. Constitutional government restrains government while preserving individual liberty. 2 Copyright 2009 Pearson Education, Inc. Publishing as Longman

34 VI. Direct Versus Representative Democracy A. Direct democracy is a form of government in which all qualified members of the society take part in the decision- and policy-making process. 1. Direct democracy, also called pure or participatory democracy, is very rare. 2. New England town meetings, in which all of the citizens decide town affairs in face-to-face settings, are as close to direct democracy as exists in present governments. B. Representative democracy exists when qualified citizens select their representatives, and those selected decide issues on behalf of the people. 1. Representatives are selected by vote of all the people. 2. Elections are open to competition. 3. Candidates can freely express themselves. 4. Representatives are selected periodically. VII. Who Really Governs? A. Harold Lasswell and Daniel Lerner state that government power is concentrated in the hands of a few individuals, even if it makes decisions for one or many. B. The elitist perspective asserts that government is managed by the few, and that the few have certain characteristics in common. 1. Elites have power, while masses do not. 2. Elites do not, necessarily, exploit masses. 3. Elites may be self-seeking or public-spirited. C. The pluralist perspective argues that Americans participate in all life-shaping decisions; that the majority prevails; that life, liberty, and property are never sacrificed; and that every American has equality of opportunity. 1. The pluralist viewpoint is seen as the best approximation of the ideal of a representative democracy because of the size and complexity of the society. 2. Pluralism is designed to make the theory of democracy more realistic. 3. Pluralists realize that public policy and majority preference do not always coincide. 4. Equilibrium is achieved when balance, as compromise, is concluded. VIII. Democracy in America A. There is a conflict between the concepts of elitism and pluralism. B. Democratic ideals may well be in conflict with reality of American politics. 1. Ideals are associated with such concepts as individual dignity, equality, popular participation, and majority rule. 2. Reality is the identification of who gets what, when, and how in the American political system of representative democracy. 3 Copyright 2009 Pearson Education, Inc. Publishing as Longman