Kara Sears
The enforcement of federal laws by states in the United States is a complex issue that involves questions of sovereignty, jurisdiction, and the interplay between federal and state powers. While the United States functions as a concurrent sovereignty, with federal laws binding on the states, the enforcement of these laws is a shared responsibility between federal agencies and state authorities. This delegation of enforcement power to the states represents a unique form of state power, allowing states to exert influence and shape the implementation of federal laws. However, the question of state court enforcement of federal laws has been a contentious issue, with the Supreme Court weighing in on cases where states have refused to enforce federal regulations, citing state sovereignty and the absence of explicit federal commands. The dynamics between federal and state authorities in enforcing federal laws continue to shape the legal landscape of the country.
| Characteristics | Values |
|---|---|
| State enforcement of federal law | A unique model of enforcement and a unique form of state power |
| State court enforcement of federal law | State courts have concurrent jurisdiction when they are competent to take it |
| Federal law enforcement | A combination of public and private efforts |
| State power | Not the same as state regulation |
| State sovereignty | Violated when Congress orders state executives to administer a state regulatory program |
| Federal requirements | Unconstitutional when they require state officials to make policy or exercise discretion |
| State court enforcement of federal rights | Generally concerned federal remedial laws |
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What You'll Learn
State court enforcement of federal law
Federal law is enforced through a combination of public and private efforts. Most federal civil statutes vest enforcement authority in a federal agency, and some also allow private parties to sue to enforce federal law. However, state enforcement is largely decentralised, and states act on behalf of a set of interests that differ significantly from those of federal enforcers.
The laws of the United States are laws in the several States, and they are binding on the citizens and courts thereof as the State laws are. The United States is not a foreign sovereignty as regards the several States, but is a concurrent, and, within its jurisdiction, paramount sovereignty. The State courts have concurrent jurisdiction whenever, by their own constitution, they are competent to take it.
While the federal courts have exclusive jurisdiction over some matters, such as bankruptcy cases, state courts may hear cases over which federal courts would also have jurisdiction. In the 1876 case of Claflin v. Houseman, the Supreme Court held that state courts could hear cases and exercise concurrent jurisdiction if they wished. However, it is important to note that state courts are not compelled to enforce federal law. In some instances, the Supreme Court has upheld state courts' refusal to hear federal claims, finding that state law provided a valid excuse to decline jurisdiction.
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State sovereignty and refusal to enforce federal regulations
The United States Constitution establishes a system of dual sovereignty, with the federal government and state governments each possessing a degree of sovereignty. While federal laws are binding on state citizens and courts, states maintain a level of autonomy and can refuse to enforce certain federal regulations under specific circumstances.
The Tenth Amendment, the Enumerated Powers Clause, and other constitutional provisions uphold this dual sovereignty by preventing Congress from directly compelling states to enact and enforce federal laws. The Supreme Court has affirmed this principle, holding that Congress may not "commandeer" a state's legislative processes. In cases like *Printz v. United States* (1997) and *New York v. United States* (1992), the Court ruled that states cannot be forced to use their resources to enforce federal law. This distinction is crucial, as states that withhold enforcement assistance without declaring a federal law invalid are not engaging in nullification.
However, the question of state court enforcement of federal law is complex. While state courts have concurrent jurisdiction and can hear cases over which federal courts have jurisdiction, they may decline to hear federal claims under certain conditions. State courts must provide a valid excuse for refusing to entertain a federal cause of action, and their refusal cannot undermine federal policy. For example, in *Mondou v. New York, N.H. & H.R. Co.* (1912), a Connecticut court declined to hear a case arising under federal law due to a policy disagreement, but the Supreme Court held that the state court must hear the case as it fell within its ordinary jurisdiction.
State enforcement of federal law is a unique form of state power. While state regulation and state enforcement of federal laws are typically linked, state enforcement authority can exist independently. States can adjust the intensity of enforcement and interpret federal laws through their enforcement authority, allowing them to exert influence even when state law is preempted. This dynamic was observed in the New York statute case, where the state's refusal to entertain specific federal claims was deemed impermissible as it undermined the federal policy of making relief under Section 1983 broadly available.
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Public and private enforcement
Federal law in the United States is enforced through a combination of public and private efforts. While virtually all federal civil statutes vest enforcement authority in a federal agency, some also create private rights of action that allow private parties to sue to enforce federal law.
There are two distinct types of public enforcement. Firstly, many federal statutes authorize civil enforcement by a federal agency and the states, typically through their attorneys general. State enforcement is largely decentralized, and states act on behalf of a set of interests that differ significantly from those of federal enforcers. Secondly, state enforcement of federal law is a unique model of enforcement and a unique form of state power. While state power is usually equated with state regulation, enforcement authority can serve as a means of state influence, allowing states to adjust the intensity of enforcement and interpret federal law. Importantly, enforcement authority does not depend on regulatory authority. State enforcement of federal law breaks the link between creating and enforcing laws by authorizing state actors to enforce the laws of a different sovereign. Thus, state enforcement authority can thrive even when state law is preempted or state regulators choose not to act.
In terms of private enforcement, the Supreme Court has held that state courts are required to enforce the "penal" laws of the United States. For example, in Testa v. Katt, the Court found that a statute allowing a buyer of goods above the prescribed ceiling price to sue the seller in any court of competent jurisdiction fell under this category. In another case, Douglas v. New York, N.H. & H.R.R., the Court upheld New York's refusal to adjudicate an FELA claim that fell into a class of cases in which claims under state law would not be entertained. The Court suggested that state practice might, in some instances, preclude enforcement in state courts.
The question of state court enforcement of federal law is related to the anti-commandeering doctrine, which prohibits Congress from issuing direct commands to state governments. In Printz v. U.S., the Supreme Court held that a federal law requiring state officials to conduct background checks on firearm purchasers and receive reports from dealers violated constitutional principles of state sovereignty. Justice Scalia observed that the Tenth Amendment and other provisions establish a system of dual sovereignty that is disrupted when Congress orders state executives to administer regulatory programs. Additionally, he argued that separation of powers principles are violated when Congress bypasses the federal executive branch by mandating state executives to carry out federal law enforcement duties.
While states cannot be compelled to enforce federal laws, they can be incentivized to do so through the spending power of Congress. Congress can attach conditions to the receipt of federal funds, encouraging states to participate in the enforcement of federal laws.
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State influence and interpretation of federal law
The US Constitution establishes a federalist system, where certain powers are delegated to the federal government, while others are reserved for the states. The Tenth Amendment, for instance, states that "powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people." This means that states typically have more authority over issues like police powers, health and safety, and local regulations.
In practice, this can lead to situations where states take the lead in interpreting and enforcing federal laws, particularly when they believe the federal government is not acting strongly enough or is moving too slowly. For example, states have taken the initiative in enacting data privacy and cybersecurity laws, litigating antitrust matters, and increasing consumer protections in financial services and emerging technologies. States have also pushed back against federal regulatory changes, such as those relating to consumer protections in banking and the Affordable Care Act.
The question of state court enforcement of federal law is a complex one. While state courts have concurrent jurisdiction and can hear cases over which federal courts have jurisdiction, there have been instances where state courts have refused to hear federal claims, citing valid excuses under state law. This dynamic highlights the interplay between federal and state authorities in interpreting and enforcing the law, and it underscores the unique role that states play in shaping the legal landscape within their jurisdictions.
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Federal requirements and state compliance
Federal laws are binding on US citizens and courts, and the US is a concurrent and paramount sovereignty within its jurisdiction. State courts have concurrent jurisdiction when they are competent to take it, and in some cases, federal courts have upheld state courts' refusal to hear federal claims, finding that state law provided a valid excuse to decline jurisdiction.
State enforcement of federal law is a unique model of enforcement and a unique form of state power. While the conventional wisdom is that federal law is enforced through a combination of public and private efforts, this ignores variations within the category of public enforcement. There are two distinct types of public enforcement: civil enforcement by a federal agency and civil enforcement by the states, typically through their attorneys general. State enforcement is largely decentralized, and states act on behalf of a set of interests that differ significantly from those of federal enforcers.
The question of state court enforcement of federal law is related to, but distinct from, the anti-commandeering doctrine. In Printz v. U.S., the Supreme Court held that a federal law requiring state officials to receive firearms dealers' reports and conduct background checks as part of a federal program violated constitutional principles of state sovereignty. Justice Scalia observed that the Tenth Amendment and the separation of powers are violated when Congress requires state executives to perform federal law enforcement functions.
However, Justice O'Connor stressed that nothing prevents Congress from conditioning states' receipt of federal money on their participation in the enforcement of federal laws, and nothing prevents states from voluntarily choosing to participate in federal enforcement. The Constitution empowers Congress to "lay and collect taxes, duties, imports, and excises, to pay the debts and provide the common defense and general welfare of the United States". Congress may attach conditions on the receipt of federal funds and has used this power to further broad policy objectives by requiring compliance with federal directives.
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Frequently asked questions
Federal law refers to the laws of the United States that are binding on all citizens and courts, including those in the individual states.
Yes, states can enforce federal laws. State enforcement of federal law is a unique model of enforcement and a unique form of state power. State enforcement is largely decentralized, and states act on behalf of interests that may differ from those of federal enforcers.
Yes, states can refuse to enforce federal laws. The Tenth Amendment and the Enumerated Powers Clause establish a system of dual sovereignty that prevents Congress from ordering state executives to administer federal programs.
When a state refuses to enforce a federal law, the federal courts may uphold the state's refusal if state law provides a valid excuse for declining jurisdiction.
Yes, state courts can enforce federal laws. The judicial power of the United States is vested in the Supreme Court and inferior courts established by Congress. However, unless the federal courts have exclusive jurisdiction, state courts may hear cases over which federal courts would also have jurisdiction.
