Cameron Miranda
Federal preemption is a concept in US law that refers to the invalidation of a state law that conflicts with federal law. The preemption doctrine is based on the idea that a higher authority of law will displace the law of a lower authority when a conflict arises. This means that federal law displaces, or preempts, state law due to the Supremacy Clause of the US Constitution. Preemption can occur in three ways: outright conflict, express preemption, and implied preemption. Outright conflict occurs when a state law directly opposes a federal law, while express preemption happens when a federal statute explicitly states its authority over a certain area. Implied preemption is more controversial and occurs when state and federal laws directly conflict or when federal law dominates a field that a state law seeks to regulate. Ultimately, federal preemption ensures that state laws conflicting with federal laws are without effect.
| Characteristics | Values |
|---|---|
| Preemption doctrine | A higher authority of law will displace the law of a lower authority of law when the two authorities come into conflict. |
| Supremacy Clause | Federal law displaces or preempts state law due to the Supremacy Clause of the Constitution. |
| Preemption applicability | Preemption applies regardless of whether the conflicting laws come from legislatures, courts, administrative agencies, or constitutions. |
| Preemption types | Outright conflict, express preemption, and implied preemption. |
| Outright conflict | When a state law directly opposes a federal law. |
| Express preemption | When a federal law explicitly states its intent to preempt state law. |
| Implied preemption | When state and federal laws directly conflict or when federal law dominates a field that a state law seeks to regulate. |
| Field preemption | When federal laws and regulations have so thoroughly covered a field that no room remains for state laws. |
| Concurrent powers | Some powers are shared between Congress and states, such as the power to tax private citizens. |
| Preemption determination | Courts seek to interpret laws to avoid preemption and err on the side of state authority. |
| Regulatory preemption | Agencies should restrict their interpretations to preempt state law only when necessary to achieve the objectives of the federal statute. |
| Conflict avoidance | Agencies should consult with state and local officials to avoid conflicts between state law and federally protected interests. |
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What You'll Learn
Express preemption
The preemption doctrine refers to the idea that a higher authority of law will displace the law of a lower authority when the two conflict. When state law and federal law conflict, federal law displaces state law due to the Supremacy Clause of the US Constitution.
In another case, Virginia Uranium, Inc. v. Warren (2019), the Supreme Court examined whether the Atomic Energy Act preempted a Virginia law banning uranium mining in the state. This case illustrates how express preemption can come into play when a state law conflicts with a federal statute or regulation.
It is important to note that preemption cases can raise complex questions, such as the scope of an express preemption provision and whether it is truly impossible to comply with both federal and state laws. Courts generally start with the presumption that state laws are not preempted and try to avoid preempting state laws when interpreting lawmakers' intent.
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Implied preemption
- When a local ordinance prohibits an act permitted by the state legislature
- When a local ordinance permits an act prohibited by the state legislature
- When there is clear legislative intent that the "field" is preempted by state law
The "field" is usually defined as when there is an extensive scope of state regulation, reflecting a state intent to preempt all local regulations in a particular area. For example, in Gade v. National Solid Wastes Management Association, the Court ruled that federal laws governing hazardous waste preempted Illinois laws covering the same field.
In Sperry v. Florida, the Supreme Court ruled that federal patent law preempted state licensure law, as preemption was "necessary and proper to accomplish" the goals of the patent laws. This is an example of implied preemption, as Congress did not expressly state its intention for federal law to preempt state law.
Some states have outlawed implied preemption. Courts have developed various tests to determine when implied preemption has occurred, such as the seven-part test in Allied Vending Co. v Bowie.
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Conflict between federal and state laws
The preemption doctrine is based on the Supremacy Clause of the US Constitution, which states that federal law displaces or preempts state law in the event of a conflict. This applies regardless of whether the conflicting laws originate from legislatures, courts, administrative agencies, or constitutions. For example, in Sperry v. Florida (1963), the Supreme Court ruled that federal patent laws took precedence over a Florida state law regarding the licensure of attorneys. The Court held that preemption was "necessary and proper" to achieve the objectives of the patent laws, despite Congress not expressly stating its intention to preempt state law.
There are typically three types of conflicts that can arise:
- Outright conflict: When a state law directly opposes a federal law.
- Express preemption: When a federal law expressly states its intent to preempt state law in a particular area.
- Implied preemption: This occurs when state and federal laws directly conflict, or when federal law dominates a field that a state law seeks to regulate.
In some cases, federal law may expressly preempt state law. For instance, in Arizona v. United States (2012), the Supreme Court held that federal immigration law preempted an Arizona state law penalizing undocumented immigrants for working without authorization. The Immigration Reform and Control Act of 1986 contained an express preemption clause, and the Court found that Arizona's law obstructed Congress's regulatory scheme.
However, implied preemption is more controversial and harder to establish. It may occur when a federal law thoroughly covers a field, leaving no room for state regulation. For example, in Gade v. National Solid Wastes Management Association (1992), federal laws governing hazardous waste were found to preempt Illinois laws on the same subject.
In cases where the conflict between federal and state laws is not clear, courts will attempt to interpret lawmakers' intent and will generally favour interpretations that avoid preempting state laws. The Supreme Court has cautioned that courts should err on the side of state authority when evaluating evidence of Congressional intent.
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Federal law regulating conduct of private actors
The preemption doctrine holds that a higher authority of law will supersede the law of a lower authority of law in the event of a conflict. In the United States, federal law supersedes state law due to the Supremacy Clause of the Constitution.
Federal laws regulating the conduct of private actors can preempt state laws in certain situations. The Bill of Rights in the US Constitution, as a general rule, only regulates and restricts government action and does not cover private individuals, organizations, or businesses. However, there are instances where private individuals or businesses could become state actors, or the state could be held jointly liable for actions by a private individual or business.
The Supreme Court has ruled that the Fourteenth Amendment extends beyond the Due Process Clause to state governments, and that other limits on government power found in the Bill of Rights also apply to state and local government actors. These include rights addressed in the First, Second, Fourth, Fifth, Sixth, and Eighth Amendments.
In determining whether a private person or entity is acting as a state actor, courts consider whether the person is performing a function usually reserved for the government, or whether a private action has the force of law on others. For example, in Sperry v. Florida, 373 U.S. 379 (1963), the Supreme Court ruled that federal law preempted state law regarding an individual's ability to act as a patent agent in Florida, as the U.S. Patent Office had licensed the person as a patent agent, despite the State of Florida considering it an unauthorized practice of law.
In another case, Burton v. Wilmington Parking Authority, 365 U.S. 715, 725 (1961), the Court found that a private actor who enters into a contract with a government entity to operate a business on government-owned property could be considered a state actor if there is sufficient "interdependence" between the two.
In summary, while federal law generally does not regulate the conduct of private actors, there are situations where private individuals or entities may be considered state actors, and thus subject to federal law, particularly when there is a close nexus between the state and the alleged deprivation of rights, or when they are performing functions typically reserved for the government.
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Litigation and lawsuits
In the context of litigation, the preemption doctrine can have significant implications for the outcome of a lawsuit. For instance, in the case of Arizona v. United States (2012), the Supreme Court ruled that federal immigration law preempted an Arizona state law that penalized undocumented immigrants working without authorization. The Court found that the state law conflicted with and posed an obstacle to the federal regulatory system. Similarly, in Sperry v. Florida (1963), the Supreme Court held that federal patent law preempted Florida state law regarding the licensure of attorneys.
Another example of federal preemption in litigation is in breach of contract cases. In a case involving Anthem Inc., customers filed a lawsuit in the Brooklyn Supreme Court, alleging negligence, breach of implied contract, invasion of privacy, and violations of New York state law following a data breach. However, as the customers' insurance policies were covered by ERISA (a federal law), the judge ruled that federal law should apply to any claim against the insurer, preempting state law.
In preemption cases, courts undertake a comprehensive analysis to determine whether federal law should supersede state law. This analysis considers the express or implied intent of Congress in passing the federal law, the scope of any preemption provision, and whether compliance with one law would prevent compliance with the other. Attorneys general often play a crucial role in defending state laws against preemption claims, and courts generally start with a presumption against preemption, favoring state authority.
Overall, the interplay between federal and state laws in litigation can be intricate, and the potential for preemption adds another layer of complexity. As such, it is advisable for those involved in lawsuits or potential lawsuits to seek experienced legal counsel to navigate these challenges effectively.
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Frequently asked questions
Federal preemption is the invalidation of a U.S. state law that conflicts with federal law.
Typically, three types of conflicts exist regarding preemption: Outright conflict, express preemption, and implied preemption. Outright conflict occurs when an ordinance directly opposes a state law. Express preemption happens when the state law directly opposes a local power. Implied preemption occurs when the local ordinance prohibits an act permitted by the state legislature or vice versa.
In Sperry v. Florida (1963), the Supreme Court ruled that federal patent laws preempted state law regarding the licensure of attorneys. In Gade v. National Solid Wastes Management Association (1992), the Court ruled that federal laws governing hazardous waste preempted Illinois laws covering the same field. In Arizona v. United States (2012), the Supreme Court held that federal immigration law preempted a state law penalizing undocumented immigrants working without authorization.
