Federalism, Constitutional Clauses, and Systems of Government Notes

Introduction to Federalism and the Constitutional Framework

• Conceptual Overview: Federalism is a fundamental concept in the United States government that defines the relationship between state governments and the central (national) government. This topic is traditionally introduced to students first in the $8^{th}$ grade and again in the $12^{th}$ grade.
• The Shift from the Articles of Confederation: In the previous lesson (Lesson Three), it was established that the Articles of Confederation failed due to a weak central government. This failure led to the call for a constitutional reformation, resulting in a new Constitution designed with a significantly stronger central government.
• The Federalism Box (Visual Representation): To visualize the hierarchy established by federalism, one can represent the national government in a box on top and the state government on the bottom. This illustrates that federal law supersedes state law.

The Supremacy Clause

• Definition: Often referred to as the "supreme law of the land," the Supremacy Clause establishes that when federal and state laws conflict, federal law will always prevail, supersede, or triumph over state law.
• Case Study: Marijuana Legalization: Many students question how states like Colorado can legalize marijuana when it remains a Schedule $1$ illegal substance at the federal level.
  • The conflict: Under federal law, marijuana is strictly prohibited.
  • The state position: States utilize the $10^{th}$ Amendment (States' Rights) to position themselves and tempt the federal government to intervene.
  • Federal Discretion: Currently, the federal government chooses to ignore these instances. However, the instructor notes that the federal government possesses the legal authority to use force (metaphorically, "flamethrowers") to enforce federal law if it chose to do so.

Defining Federalism as a System of Government

• System vs. Type: Federalism is categorized as a "system of government," not a "type" or "form" of government.
• Relationship Focus: A system of government specifically defines the relationship between the national (central) government and its states.
• Shared Powers: The core of federalism is "shared powers." This applies to specific locations such as The Woodlands, Texas, USA; Montgomery, Texas, USA; or Conroe, Texas, USA.
• Tiers of Government: While federalism primarily focuses on the National and State levels, in contexts like Texas government, a third tier—Local government—is also integrated into the shared power structure.

The Three Major Types of Federalism (The "Big Three")

• Dual Federalism (The Layered Cake):
  • Visualized as a layered cake where levels are distinct.
  • Characteristics: Power is shared but strictly divided. The national government and state government each handle their own responsibilities without crossing lines. They "stay in their own lanes."
• Cooperative Federalism (The Marbled or Mixed Cake):
  • Visualized as a marbled cake where levels are blended.
  • Characteristics: Power is blended, and the levels of government work together. The national government recognizes that state governments can assist in solving problems and vice versa.
• Coercive Federalism (The Baker):
  • Visualized as a baker (representing the national government) forcing the cake/policy.
  • Characteristics: The national government forces laws or policies onto the states.
  • Positive Examples: The Bill of Rights is a form of coercive federalism because every state is forced to adopt those protections (e.g., ensuring no states can violate the $3^{rd}$ Amendment regarding the quartering of troops).
  • Controversial Aspects: This type can also be used for more contentious policy mandates which will be discussed later.

The Marshall Court and the Expansion of Federal Power

• The Marshall Court Overview: Named after John Marshall, the third Chief Justice of the Supreme Court and arguably the most prolific in American history.
• Federalist Philosophy: John Marshall was a Federalist, meaning he favored a strong central government. Consequently, during his tenure, the Court consistently ruled in favor of federal power over state power.
• The Brutus/Anti-Federalist Perspective: The rulings of the Marshall Court validated the fears expressed by "Brutus," who argued that once states lose power to a central authority, they will continue to lose it until nothing remains of their sovereignty.
• The "M&M" Tip for Court Cases: To remember the impact of Marshall Court cases, think of "M&M" candies (and peanut M&Ms specifically). Just as eating M&Ms makes one expand, the cases of Marbury versus Madison ($1803$) and McCulloch versus Maryland ($1819$) expanded the power of the federal government.

Landmark Supreme Court Cases and Clauses

• Marbury versus Madison ($1803$):
  • Key Question: Does the Supreme Court have the power to determine the constitutionality of law?
  • Outcome: The Court established the power of Judicial Review. This effectively allowed the Court to give itself the power to define the Constitution.
  • Impact: Though intended to be the weakest branch, the Judicial branch is arguably the most powerful because it determines how the Legislative and Executive branches must act and what the Constitution says.
• McCulloch versus Maryland ($1819$) and the Necessary and Proper Clause:
  • The Elastic Clause: The Necessary and Proper Clause allows the Constitution to be interpreted broadly to include powers not specifically listed.
  • Enumerated Powers: These are the powers of Congress specifically written in the Constitution. The Necessary and Proper Clause allows Congress to expand upon these write-down powers as they deem "necessary and proper."
  • Flexibility: What was necessary in $2021$ may differ from what is necessary in $2031$ or $2041$.
  • Case Specifics: The Court ruled that Congress has the power to establish a federally chartered bank and that a state cannot tax such a bank. This severely limits the $10^{th}$ Amendment (States' Rights).
• Gibbons versus Ogden ($1824$):
  • Focus: This case focused on the federal government's power to regulate commerce (trade).
  • Outcome: It removed many limitations on the federal government's ability to regulate interstate trade (e.g., trade between Texas and Arizona).
  • Impact: Power was shifted away from states and given to the federal government, again confirming the fears of the Anti-Federalists regarding the vague wording of Article $3$ of the Constitution.

Systems of Government vs. Forms of Government

• The Video Game Analogy:
  • System of Government (The Console): Think of this as the hardware—PlayStation, Xbox, or Nintendo. It defines the relationship between the federal government and states (e.g., Federalism, Unitary, Confederation).
  • Form of Government (The Game): Think of this as the software being played—Democracy, Monarchy, Theocracy, Authoritarian, Oligarchy. It describes who holds the power.
• Compatibility: An Xbox game cannot be played on a PS4 (Instructor note: the instructor owns a PS5 but used PS4 in the example for relatability). Similarly, an authoritarian "game" cannot run on a federalism "console." Democracy, however, runs on a federal system.
• Historical Failure: The United States previously used a "Democracy" game on a "Confederation" console, which resulted in a massive system error (the failure of the Articles of Confederation).

Comparative Systems: Federalism, Unitary, and Confederation

• Federalism: Power is shared. Visualized by arrows pointing in both directions between the national government and the states.
• Unitary System: The national government holds primary power. Visualized by arrows pointing from the national government toward the states (the states have very little power).
• Confederation: The state governments hold primary power. Visualized by states surrounding a central point with arrows pointing toward the national government (the national government has very little power). This is the exact opposite of a unitary system.

The Division of Powers

• Enumerated Powers: Powers specifically written in the Constitution and granted to the federal government.
• Reserved Powers: Powers held only by the states (established by the $10^{th}$ Amendment).
• Concurrent Powers: Powers shared equally by both the federal and state governments (e.g., the power to tax).

Money and Federalism

• Unfunded Mandate: When the federal government requires a state to perform a task but provides no funding (e.g., telling Texas to fix I-$45$ without providing money for the construction).
• Block Grants: When the federal government provides a large sum of money (e.g., $100,000,000$) and allows the state to decide how best to spend it, recognizing the state knows its needs best.
• Federal Grant-in-Aid (Categorical Grant): When the federal government provides money for a specific purpose and dictates exactly how it must be spent (e.g., providing $100,000$ specifically for the arts, even if the state's priority is roads).

Other Constitutional Clauses and "The Austin Hippie Story"

• Full Faith and Credit Clause: Requires states to honor the licenses and legal proceedings of other states (e.g., a marriage license from Texas is valid in Florida).
• Privileges and Immunities Clause: Allows states to have different laws/privileges but stipulates they must abide by the Supremacy Clause.
• The Case of the Austin Hippies:
  • The Scenario: A caravan of hippies travels in a Volkswagen van from Austin, Texas, to Colorado to purchase marijuana.
  • Application: In Colorado, purchasing marijuana is a privilege and immunity unique to that state. When the hippies return to Texas and are pulled over in Amarillo, the Texas state trooper arrests them.
  • Legal Standing: Texas does not have to honor Colorado’s legalization because of its own privileges and immunities.
  • Due Process: Regardless of the arrest, the hippies are entitled to protections under the $14^{th}$ Amendment (The Citizenship Amendment), including the expansion of the Bill of Rights to all citizens. They have the right to an attorney, no excessive bail, and protection from cruel and unusual punishment.

The Civil War Amendments

• $13^{th}$ Amendment: Abolished slavery.
• $14^{th}$ Amendment: Expanded the Bill of Rights to the states and guaranteed citizenship rights and due process to all people.
• $15^{th}$ Amendment: Granted African American men the right to vote.