University of Virginia Center for Politics
The Challenges of Modern Federalism
Purpose: Federalism is one of the fundamental pillars of American democracy. Though its principles
are clearly established in the U.S. Constitution, the application of federalism to the
relationship of the states and local governments to the national government has undergone
great change over the past two hundred years. The events of September 11 and tragic natural
disasters like Hurricane Katrina provide a lens through which to analyze the challenges of
federalism in the 21st Century.
Objectives:
1. Students will define the concept of federalism and provide characteristics of American
federalism.
2. Students will analyze and apply the trends of dual and cooperative federalism to real life
situations.
3. Students will investigate a case study which illuminates the challenges of modern federalism
in the crisis management of a domestic terrorist attack or a natural disaster.
4. Students will interpret and analyze political cartoons.
Key Words:
cooperative federalism
loose interpretation
dual federalism
necessary and proper clause
federalism
strict interpretation
Materials:
1. Supporting resource: Modern Federalism PowerPoint.
2. Student handout: Characteristics of American Federalism.
3. Teacher resource: Characteristics of American Federalism Answer Key.
4. Overhead with copy of Dual Federalism.
5. Overhead with copy of Cooperative Federalism.
6. Student handout: Whose Problem is it - Federal, State or Local?
7. Student handout: A Case Study: Terrorist Attacks on September 11.
8. Student handout: Government Agencies Responding to a Domestic Terrorist Attack.
9. Student handout: A Case Study: Hurricane Katrina and Its Aftermath.
10. Student handout: Government Agencies Responding to a Natural Disaster.
11. Overheads: Political Cartoons.
Procedure:
1. Warm Up: Federalism Revisited – Pass out the Characteristics of American Federalism
handout.
a. Ask students to write down several characteristics of federalism, drawing from
information in previous lessons on federalism and the Constitution.
b. Next, students should record their own definitions of federalism.
c. Then create a class definition for federalism.
d. Ask students to discuss what is different or unique about American federalism.
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NOTE: See teacher resource Characteristics of American Federalism – Answer key for
sample answers.
2. Federalism and Betty Crocker: Layer Cake v. Marble Cake Federalism – Project via the
supporting PowerPoint Modern Federalism or overhead both Dual Federalism (layer cake)
and Cooperative Federalism (marble cake).
a. Define each term and ask students to provide examples.
b. Question for Discussion: What does dual and cooperative federalism have in
common with layer and marble cakes?
In the dual-layer cake analogy, the chocolate icing represents the federal government
and the yellow cake is the state government. In this design, the federal and state
government have very defined powers and duties which seldom overlap (for instance,
only the states regulate public schools, only the federal government handles foreign
affairs). The state government has almost equal power to the federal government.
In the cooperative-marble cake analogy, the federal government is acutely more
powerful than the states and its authority has shifted into areas historically left to the
states (education, social welfare, response to natural disasters).
c. Optional: For more in-depth study and/or for higher level students, pass out and
discuss the student handout Key Events in the History of American Federalism.
3. Making Connections: Whose Problem is it - Federal, State or Local? – Pass out the student
handout Whose Problem is it - Federal, State or Local? Divide the class into small groups.
The four scenarios are based on real life situations. Each group must address the problems
and decide which level of government or combination thereof, would best handle the
problem, and complete the following tasks:
a. Identify what tasks need to be carried out to address the problem.
b. Identify what level(s) of government, federal, state or local, is responsible and/or best
equipped to resolve the problem.
c. Provide clear rationale for each of your choices.
4. Case Studies: Federalism and Crisis Management – Perhaps the greatest challenge to
modern federalism in the 21st Century is the effective response on all levels of government to
a domestic terrorist attack or natural disaster. Teachers may choose either the terrorist
attacks on 9-11 or the aftermath of Hurricane Katrina (or both) as case studies in federalism.
(Note: Teachers may also adapt/edit the “real life” scenarios provided here to be more
generic hypothetical cases).
a. Pass out either the student handout A Case Study: Terrorist Attacks on September 11
and its corresponding student handout Government Agencies Responding to a
Domestic Terrorist Attack or the student handout A Case Study: Hurricane Katrina
and Its Aftermath and its corresponding handout Government Agencies Responding to
a Natural Disaster.
b. Begin the role play.
5. Wrap-up: Political Cartoons – Project the political cartoons via the supporting PowerPoint
Modern Federalism or using the overhead. Ask students to interpret the cartoons. Ask the
following questions:
• Describe what’s going on in the political cartoon (Who? What? When? Where?)
• Identify any symbols (ex: an elephant to represent the Republican Party)
portrayed in the cartoon and analyze what they represent.
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•
•
•
What is the artist’s message in the cartoon? What do you think is its purpose?
Do you agree or disagree with the cartoonist's message? Explain your answer.
What does this cartoon say about federalism and crisis management?
Appendix: Modern Federalism PowerPoint teacher resource includes many of the important content
elements of the lesson.
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Student Handout
FEDERALISM
Federalism -
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Teacher resource – Answer key
National
government is
supreme
Federal, state &
local
governments
share power
10th
Amendment –
powers reserved
to the states
FEDERALISM
Federal Govt.
has expressed
powers (tax,
declare war, etc.)
Federal Govt.
has implied
powers
(necessary &
proper clause)
Limited
government states check
power of federal
govt.
Federalism – a system of government in which political authority is
divided between a national, or federal, government, and its political
subdivisions. In this system, national and state govt’s each have defined
powers, with some being
shareInitiative
by both
and some being denied both.
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Overhead
Dual Federalism
“layer cake” federalism
dual federalism - holds that the federal government and the state
governments are co-equals, each sovereign.
o In this theory, parts of the Constitution are interpreted very
narrowly, such as the 10th Amendment, the Supremacy Clause, the
Necessary and Proper Clause, and the Commerce Clause.
o In this narrow interpretation, the federal government has jurisdiction
only if the Constitution clearly grants such (examples: coining
money, regulating commerce, foreign affairs).
o In this case, there is a very large group of powers/roles belonging to
the states, and the federal government is limited to only those
powers explicitly listed in the Constitution (examples: education,
race relations).
o This type of federalism dominated from the Founding (1788) to
FDR’s election in 1932.
o What does dual federalism have in common with a layer cake?
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Overhead
Cooperative Federalism
“marble cake” federalism
cooperative federalism - asserts that the national government is supreme
over the states with the federal government intervening or assisting in some
areas that have been traditionally left to the states
o The 10th Amendment, the Supremacy Clause, the Necessary and Proper
Clause, and the Commerce Clause should be interpreted loosely.
o A good illustration of the wide interpretation of these parts of the
Constitution is exemplified by the Necessary and Proper Clause's other
common name: the Elastic Clause.
o Current trend in federalism since the New Deal in the 1930s.
o Examples of federal and state governments sharing power previously left
to the states: education, social programs, transportation, civil rights,
response to national emergencies.
o What does cooperative federalism have in common with a marble cake?
Source: http://www.usconstitution.net/consttop_fedr.html
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Student handout
Key Events in the History of American Federalism
I. Dual Federalism
1801-1835 Nationalist Period. The Marshall Court dramatically increased the power of the
federal government in relation to the states. McCulloch v. Maryland (1819) landmark court
case establishing Congress’s establishment of a national bank using the “elastic clause.”
1835-1861 Dual Federalism and Nullification. Strong emphasis on states’ rights (Ex.: South
Carolina’s Doctrine of Nullification re: the tariff and slavery. The Supreme Court becomes
increasingly uncomfortable with the issue of federalism and slavery (Dred Scott Decision, 1857).
1861-65 American Civil War. The North’s victory determines that the federal government and
constitution will reign supreme. However, the war does not resolve the conflict between federal
and state authority. Battles will be fought over authority in voting eligibility, school
desegregation, and caring for the nation’s poor. Morrill Act (1863) - 1st federal grants for land
grant universities (e.g. VA Tech)
1876-1954 Jim Crow Laws. According to the original Constitution, states could determine
voting eligibility. Southern states denied blacks their voting rights for many years until the
federal government enforced the 14th, 15th amendments with force. Plessy v. Ferguson (1896)
legalizes segregation.
II. Cooperative Federalism
1933-1939 Introduces FDR the “New Deal.” In response to widespread poverty and
unemployment, Roosevelt Administration responds through a series of sweeping national
programs such as social security, public works programs, etc. The Supreme Court eventually
confirmed FDR’s right to actively intervene in areas traditionally left to states on the basis of the
federal government’s Constitutional Right to regulate interstate commerce (Article I, Section 8 “elastic clause”).
1954 Brown v. Topeka Board of Education. The Supreme Court mandated school integration.
The southern states decry what they see as the federal government’s intrusion on traditional
states’ rights.
1957 Little Rock, Arkansas. Arkansas Gov. Orval Faubus orders State National Guard to
prevent black students from enrolling at all white Central High School. President Eisenhower
responds by ordering federal troops to protect the black students and to enforce the Supreme
Court’s Brown decision.
1964-1968 LBJ and the “Great Society.” Johnson administration introduces a far-reaching
domestic program to fight poverty and civil rights violations. LBJ administration enacts
Medicaid and other programs which involve Federal oversight of state governments.
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1970 Nixon Administration Builds on “Great Society.” New federal programs continue the
expansion of the federal power over states and localities. Clean Air and Water Acts are enacted
in the form of direct orders. Others are funded through “block grants” which give states more
discretion over spending.
1980s Reagan and “New Federalism.” Reagan attempts to limit the powers of the federal
government to impose its policies on state governments -- Devolution. However, as the budget
deficit begins to soar, the ability of the national government to fund state programs becomes
limited. Mandates like the Americans with Disabilities Act are unfunded.
1990s Clinton Administration Declares “The era of big government is over.” Clinton and a
Republican dominated Congress shift the responsibility of welfare away from the federal
government to the states in the form of block grants with strings attached.
2000s George W. Bush and the “9-11 Era.” Greater federal control over law enforcement,
education, and security (examples No Child Left Behind Act, USA Patriot Act).
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Student handout
Whose Problem is it - Federal, State or Local Government?
The problems faced by all levels of government in modern life can be staggering and even
overwhelming. Below are four scenarios that are based on real life situations. You groups task
is to address the problems and decide which level of government or combination thereof, would
best handle the problem.
Directions: Read each scenario carefully and address the following:
1. Identify what tasks need to be carried out to address the problem.
2. Identify what level(s) of government, federal, state or local, is responsible and/or best
equipped to resolve the problem.
3. Provide clear rational for each of your choices.
Scenario 1
The Chattahoochee river near Atlanta, Georgia has become polluted from industrial pollution,
human waste and debris. The city has so far been unable to effectively clean the river. As a
result, the fish are dying, the river is trash infested, water has turned a brownish color, and stench
from the river has caused nearby residents to complain. This polluted water has begun to
contaminate drinking water in the city. Whose problem is it?
Scenario 2
The District of Columbia's public school buildings are in poor condition. Buildings are old and
falling apart, roofs are leaking, air, heat, and sewer systems need repair. The problem is so bad,
schools did not open on time. National standardized test scores of DC students are some of the
lowest in the country, and many of the District’s schools are in non-compliance with No Child
Left Behind. Yet because of the building problems, curriculum development and improvement is
now last on the priority list for DC public schools. Whose problem is it?
Scenario 3
In many American cities , the AIDS crisis continues with a disproportionate number of new
infections greatest among the poor. The African-American community in particular has been hit
hard by the AIDS epidemic (41% of all AIDS cases in the U.S.), with Black women emerging as
the highest at risk group. AIDS is the second leading cause of death for Americans between the
ages of 25 and 44. Whose problem is it?
Source: http://www.mba.wfu.edu/futurefocus/winter2001f9.html
Scenario 4
A major earthquake has erupted near Los Angeles, California causing widespread damage.
Sections of major freeways collapsed, parking structures and office buildings collapsed,
numerous apartment buildings suffered irreparable damage, over 1 million people without power
and water, with hundreds feared dead or injured. Whose problem is it?
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Student handout
A Case Study: Terrorist Attacks on September 11
Federalism and Crisis Management
Directions - The awesome and terrible events of September 11, 2001 in New York and
Washington elicited a multitude of responses from the federal, state and local governments. This
activity will allow you to get a real sense of the "marble cake" image of federalism as well as to
develop an understanding of the choices that government leaders have to make. Particularly in
crisis situations, the levels of government must sometimes depend on each other. As a class, we
will brainstorm all the tasks the governments at the local, state and federal levels are facing in the
wake of this tragedy, and devise strategies to attack the crisis.
1. The class will be divided into small groups of three. Group members should share their
thoughts and compile three lists: 1) the tasks the national government must perform, 2) those
of the state governments, and 3) the city/locality’s responsibilities.
2. We will then divide into "government level" groupings. The original groups (triads) will
send one representative to each of the following "government level" groups: 1) federal
government, 2) state government (NY in particular), and 3) local government. At this
point, the government level groups will discuss the tasks to be performed and produce a chart
with five headings:
a. Prioritized list of tasks (before, during, and after the attacks)
b. Responsible agencies and organizations
c. Private or non-profit organizations involved or needed
d. Resources required
e. Anticipated problems and recommendations to fix them
3. Presentations: Each government group will present their findings to the rest of the class.
Other groups may ask questions and make comments.
4. Debriefing: After the presentations, the class will discuss the questions below.
a. Identify the tasks that most be shared by all three levels of government. How should
coordination occur to carry out these tasks (i.e. who’s in charge)?
b. Identify the tasks that could/should only be carried out by the local, state or federal
governments.
c. What generalizations can you make regarding a domestic terrorist attack and it’s
impact on American federalism?
d. As an “expert” representing your level of government, if you were asked to testify
before Congress, what recommendations would you make to assist in America’s
preparedness in the future for a terrorist attack?
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Student handout
Government Agencies Responding to a Domestic Terrorist Attack
Federal Government (includes the President, White House Staff, Cabinet Secretaries,
Congress, Independent Agencies)
Bureau of Alcohol, Tobacco and Firearms and Explosives – Investigates and enforces
federal laws and regulations regarding firearms, explosives and arson.
Central Intelligence Agency – Obtains and analyzes information about foreign
governments, corporations, terrorist cells and individuals.
Department of Defense – Coordinates military response and assists FEMA and National
Guard after a terrorist attack for security.
Department of Health and Human Services - Deploys U.S. Public Health Service Officers
to effected areas on standby for deployment to support medical response.
Department of Homeland Security – Protects American people from harm and its property
from damage, and manages federal assistance and provides resources to effected areas.
Department of Labor – provides disaster unemployment assistance and National
Emergency Grants and assists in job recovery programs.
Department of State – Communicates with other countries and international organizations
like the U.N. to coordinate assistance and foreign cooperation through diplomatic channels.
Federal Bureau of Investigations – Acts as the federal police force whose primary purpose
to detect and investigate crimes against the United States.
Federal Emergency Management Agency (FEMA) – Provides supplies, equipment,
financial assistance to victims and Disaster Medical Assistance Teams to areas domestic
terrorist attacks.
National Security Agency – Collects and analyzes message communications.
Secret Service – Provides primary protection for the President, Vice-President and high
ranking government officials.
U.S. Coast Guard – Provides aircraft, patrol boats and cutters to conduct search, rescue and
humanitarian aid operations.
State Government (includes the Governor, State Legislatures and Agencies)
National Guard – Though a federal entity, may be called by governors to provide search and
rescue, assisting local law enforcement, and supplies to victims.
State Department of Health – assists in disease control, and management of public health
crisis in effected areas.
State Emergency Management Agencies – helps to coordinate shelters, supplies, health
care, transportation for recovery efforts.
State Police – state law enforcement.
Local Government (includes Mayors, Municipal or County Boards or Councils, Agencies)
Local Emergency Services – first responders to medical emergencies.
Local Fire Department – first responders to carry out search and rescue operations.
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Local Law Enforcement – police, sheriff departments with primary law enforcement
responsibility.
Local Public Transportation (buses, trains, subways) – transportation for possible
evacuation.
Social Services – provides assistance to families, individuals in need.
Private or Non-Profit Organizations
American Red Cross – provides temporary shelter, supplies, relief workers and support to
disaster victims.
The Salvation Army - provides services (food, clothing, etc.) to survivors and first
responders in the effected areas.
Sources:
http://www.firstgov.gov
http://en.wikipedia.org/
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Student handout
A Case Study: Hurricane Katrina and Its Aftermath
Federalism and Crisis Management
Directions - The awesome force and powerful destruction of Hurricane Katrina on August 29,
2005 left much of the Gulf Coast in ruin and precipitated an almost unprecedented national
emergency, particularly in the city of New Orleans. The events before, during and after the
hurricane elicited a multitude of responses from the federal, state and local governments. This
activity will allow you to get a real sense of the "marble cake" image of federalism as well as to
develop an understanding of the choices, sometimes very difficult ones, that government leaders
have to make. Particularly in crisis situations, the levels of government must sometimes depend
on each other. As a class, we will brainstorm all the tasks the governments at the local, state and
federal levels are facing in the wake of this tragedy, and devise strategies to attack the crisis.
1. The class will be divided into small groups of three. Group members should their thoughts
and compile three lists: 1) the tasks the national government must perform, 2) those of the
state governments, and 3) the city/locality’s responsibilities.
2. We will then divide into "government level" groupings. The original groups (triads) will
send one representative to each of the following “government level” groups: 1) federal
government, 2) state government (Louisiana and Mississippi in particular), and 3) local
government (especially New Orleans, LA and Biloxi, MS) At this point, the government
level groups will discuss the tasks to be performed and produce a chart with five headings:
a. Prioritized list of tasks (before, during, and after the attacks)
b. Responsible agencies and organizations
c. Private or non-profit organizations involved or needed
d. Resources required
e. Anticipated problems and recommendations to fix them
3. Presentations: Each government group will present their findings to the rest of the class.
Other groups may ask questions and make comments.
4. Debriefing: After the presentations, the class will discuss the questions below.
a. Identify the tasks that most be shared by all three levels of government. How should
coordination occur to carry out these tasks (i.e. who’s in charge)?
b. Identify the tasks that could/should only be carried out by the local, state or federal
governments.
c. What generalizations can you make regarding a major natural disaster and it’s impact
on American federalism?
d. As an “expert” representing your level of government, if you were asked to testify
before Congress, what recommendations would you make to assist in America’s
preparedness in the future for a natural disaster?
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Student handout
Government Agencies Responding to a Natural Disaster
Federal Government (includes the President, White House Staff, Cabinet Secretaries,
Congress, Independent Agencies)
National Hurricane Center – Tracks, names and predicts the likely behavior of tropical
storms and hurricanes and issues appropriate watches and warnings to the public.
Department of Homeland Security – Manages federal assistance and provides resources to
effected areas.\
Federal Emergency Management Agency (FEMA) – provides supplies, equipment,
financial assistance to victims and Disaster Medical Assistance Teams to areas hit by natural
disasters.
U.S. Coast Guard – provides aircraft, patrol boats and cutters to conduct search, rescue and
humanitarian aid operations.
U.S. Army Corps of Engineers – Plans, designs, builds and operates dams, levees and other
civil engineering projects.
Department of Health and Human Services - deploys U.S. Public Health Service Officers
to effected areas on standby for deployment to support medical response.
Department of Transportation - dispatches trucks deliver millions of meals ready to eat,
water and supplies, mobile homes, generators, etc. to effected areas; assists in long-term
repair/rebuilding of roads and other transportation infrastructures.
Department of Agriculture - coordinates damage assessments to area crops, livestock, and
other agriculture-related operations.
Department of Defense - Assists FEMA and National Guard after disaster declarations are
issued for assistance in security, clean-up,
search and rescue.
Department of Labor – provides disaster unemployment assistance and National
Emergency Grants and assists in job recovery programs.
State Government (includes the Governor, State Legislatures and Agencies)
National Guard – though a federal entity, may be called by governors to provide search and
rescue, assisting local law enforcement, and supplies to victims.
State Department of Health – assists in disease control, and management of public health
crisis in effected areas.
State Emergency Management Agencies – helps to coordinate shelters, supplies, health
care, transportation for recovery efforts.
State Department of Education – help displaced school children and teachers integrate
back into other schools.
State Police – state law enforcement.
Local Government (includes Mayors, Municipal or County Boards or Councils, Agencies)
Local Law Enforcement – police, sheriff departments with primary law enforcement
responsibility.
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Local Fire Department – first responders to carry out search and rescue operations.
Local Emergency Services – first responders to medical emergencies.
Local Public Transportation (buses, trains, subways) – transportation for possible
evacuation.
Social Services – provides assistance to families, individuals in need.
Private or Non-Profit Organizations
American Red Cross – provides temporary shelter, supplies, relief workers and support to
disaster victims.
The Salvation Army - provides services (food, clothing, etc.) to survivors and first
responders in the effected areas.
Sources:
http://www.firstgov.gov
http://en.wikipedia.org/
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Overhead
Political Cartoon #1
Title: Another Perfect Storm
Artist: Jeff Danziger
Date: September 6, 2005
Source: http://cartoonbox.slate.com/
1. Describe what’s going on in the political cartoon. (Who? What? When? Where?)
2. Identify any symbols (ex: an elephant to represent the Republican Party) portrayed in
the cartoon and analyze what they represent.
3. What is the artist’s message in the cartoon? What do you think is its purpose?
4. Do you agree or disagree with the cartoonist's message? Explain your answer.
5. What does this cartoon say about federalism and crisis management?
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Overhead
Political Cartoon #2
Title: Disaster Response
Artist: John Trever, The Albequerque Journal
Date: September, 2005
Source: http://www.politicalcartoons.com/
1. Describe what’s going on in the political cartoon. (Who? What? When? Where?)
2. Identify any symbols (ex: an elephant to represent the Republican Party) portrayed in
the cartoon and analyze what they represent.
3. What is the artist’s message in the cartoon? What do you think is its purpose?
4. Do you agree or disagree with the cartoonist's message? Explain your answer.
5. What does this cartoon say about federalism and crisis management?
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Overhead
Political Cartoon #3
Title: Homeland Security
Artist: Mike Keefe, The Denver Post
Date: September, 2005
Source: http://www.politicalcartoons.com/
1. Describe what’s going on in the political cartoon. (Who? What? When? Where?)
2. Identify any symbols (ex: an elephant to represent the Republican Party) portrayed in
the cartoon and analyze what they represent.
3. What is the artist’s message in the cartoon? What do you think is its purpose?
4. Do you agree or disagree with the cartoonist's message? Explain your answer.
5. What does this cartoon say about federalism and crisis management?
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Overhead
Political Cartoon #4
Title: Cleanup
Artist: Cam Cardow,The Ottawa Citizen
Date: September, 2005
Source: http://www.politicalcartoons.com/
1. Describe what’s going on in the political cartoon. (Who? What? When? Where?)
2. Identify any symbols (ex: an elephant to represent the Republican Party) portrayed in
the cartoon and analyze what they represent.
3. What is the artist’s message in the cartoon? What do you think is its purpose?
4. Do you agree or disagree with the cartoonist's message? Explain your answer.
5. What does this cartoon say about federalism and crisis management?
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