Keith Mack
Federal preemption occurs when a federal law takes precedence over a state law, rendering the state law invalid. The Supremacy Clause, outlined in Article VI of the U.S. Constitution, establishes federal law as the supreme law of the land. This means that while states have the authority to create their own laws, they must meet or exceed federal standards, and in the case of a conflict, federal law prevails. Preemption can occur in various forms, including outright conflict, express preemption, and implied preemption, and can arise in areas where Congress and the states share authority. Understanding the intricacies of preemption and its legal implications is essential for interpreting and applying laws within the complex U.S. legal system.
| Characteristics | Values |
|---|---|
| Federal preemption | When a federal law conflicts with a state law, the federal law prevails |
| Express preemption | Occurs when a federal statute explicitly confirms Congress's intention to preempt state law |
| Implied preemption | Occurs when state and federal laws directly conflict with each other, or when federal laws dominate a field that a state law seeks to regulate |
| Outright conflict | When an ordinance directly opposes a state law |
| Supremacy Clause | Article VI of the U.S. Constitution states that federal law is the "supreme law of the land" |
| State preemption | State laws will usually prevail when state and local laws are in conflict |
| Local preemption | Local ordinances will typically preempt state law when significant interests for a particular issue vary from locality to locality |
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What You'll Learn
Federal preemption
There are three types of preemption: express, implied, and conflict preemption. Express preemption occurs when a federal statute explicitly confirms Congress's intention to preempt state law. In such cases, the federal law takes precedence, and the state law is invalidated. For example, in English v. General Elec. Co., 496 U.S. 72 (1990), it was found that a federal law containing an express pre-emption clause preempted state law.
Implied preemption is more controversial and occurs in two ways: field preemption and conflict preemption. Field preemption happens when there is a clear legislative intent that the "field" or area of law is preempted by federal law, usually indicated by an extensive scope of federal regulation. Conflict preemption occurs when federal and state laws directly conflict, making it impossible for a party to comply with both. For instance, in Mutual Pharmaceutical Co. v. Bartlett, federal law prohibited generic drug manufacturers from changing FDA-approved labels, conflicting with state tort law, which required additional information on the labels.
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State preemption
In the United States, state preemption is a legal doctrine that allows higher levels of government to restrict or prevent a lower-level government from self-regulating. State preemption occurs when a state legislature invalidates an action or takes power from a portion of the state government, typically a municipality or county government. This often occurs in the context of political disagreements between the state legislature and municipal governments, with partisan divisions being the most significant.
The extent of a state's ability to preempt local governments varies and depends on factors such as whether the state grants local governments the power to govern (Home Rule) or follows Dillon's Rule, which only permits local governments to legislate with express state permission. The type of preemption and the discretion of local governments also vary across and within states and different topics.
There are typically three types of conflicts regarding preemption: outright conflict, express preemption, and implied preemption. Outright conflict occurs when an ordinance directly opposes a state law. Express preemption happens when a state law directly opposes a local power. Implied preemption is more controversial and occurs when a local ordinance prohibits an act permitted by the state legislature, or vice versa, or when there is a clear legislative intent for the state to preempt a particular field.
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Express preemption
In the case of English v. General Elec. Co., 496 U.S. 72 (1990), the court found that express preemption had taken place. However, the court also noted that "if a federal law contains an express pre-emption clause, it does not immediately end the inquiry because the question of the substance and scope of Congress' displacement of state law still remains."
In other words, express preemption establishes that a federal law takes precedence over a state law, but it does not necessarily define the extent or implications of that precedence. Legislative preemption of federal common law does not carry the same federalism concerns that require clear expressions of congressional intent before state law may be preempted.
To determine whether express preemption has occurred, it is important to examine the specific federal statute in question and assess whether it explicitly states an intention to override state law. This determination is made by Congress and can be a complicated policy question.
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Implied preemption
- A local ordinance prohibits an action permitted by the state legislature
- A local ordinance permits an action prohibited by the state legislature
- There is clear legislative intent that the "field" is preempted by state law
The "field" is usually defined as an extensive scope of state regulation, reflecting a state's intention to preempt all local regulations in a particular area. This type of preemption may be significantly harder to prevent than outright or express preemption, and some states have outlawed it.
In the case of Allied Vending Co. v Bowie (1993), the court issued a seven-part test to determine whether a state legislature has preempted a field by implication:
- Whether local laws existed prior to the enactment of state laws on the same subject matter
- Whether statutes provide for pervasive administrative regulations
- Whether the ordinance regulates an area in which local control has been allowed
- Whether the state expressly gives concurrent authority
- Whether the state agency which administers/enforces the law has recognised legal authority to act
- Whether the particular aspect of the field sought to be regulated has been addressed by the state legislature
- Whether a 2-tiered regulatory process would engender chaos and confusion
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Conflict preemption
In Mutual Pharmaceutical Co. v. Bartlett, the federal law prohibited generic drug manufacturers from changing the composition or labelling of drugs approved by the FDA. As a result, state tort law could not force a generic drug manufacturer to add additional information to the FDA-approved label or hold it liable for not doing so. This is an example of conflict preemption, where the federal law directly conflicted with and overrode the state law.
In addition to conflict preemption, implied preemption can also occur through field preemption, which occurs when there is a clear legislative intent that the "field" is preempted by federal law. The "field" typically refers to an area with extensive federal regulation, reflecting an intent to preempt all local regulations in that particular area. For example, in City of Riverside v. Island Empire Patients Health and Wellness Center Inc. (2013), the court ruled that local ordinances would typically preempt state law unless the state statute expressly forbade it.
Overall, conflict preemption is a form of implied preemption, where a federal law overrides a conflicting state law, based on the Supremacy Clause of the U.S. Constitution.
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