home *** CD-ROM | disk | FTP | other *** search
Text File | 1992-06-23 | 79.9 KB | 1,472 lines |
- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- Nos. 91-543, 91-558 and 91-563
- --------
- NEW YORK, PETITIONER
- 91-543 v.
- UNITED STATES et al.
-
- COUNTY OF ALLEGANY, NEW YORK, PETITIONER
- 91-558 v.
- UNITED STATES
-
- COUNTY OF CORTLAND, NEW YORK, PETITIONER
- 91-563 v.
- UNITED STATES et al.
- on writs of certiorari to the united states court of
- appeals for the second circuit
- [June 19, 1992]
-
- Justice O'Connor delivered the opinion of the Court.
- This case implicates one of our Nation's newest problems
- of public policy and perhaps our oldest question of constitu-
- tional law. The public policy issue involves the disposal of
- radioactive waste: In this case, we address the constitu-
- tionality of three provisions of the Low-Level Radioactive
- Waste Policy Amendments Act of 1985, Pub. L. 99-240, 99
- Stat. 1842, 42 U. S. C. 2021b et seq. The constitutional
- question is as old as the Constitution: It consists of discern-
- ing the proper division of authority between the Federal
- Government and the States. We conclude that while
- Congress has substantial power under the Constitution to
- encourage the States to provide for the disposal of the
- radioactive waste generated within their borders, the
- Constitution does not confer upon Congress the ability
- simply to compel the States to do so. We therefore find that
- only two of the Act's three provisions at issue are consistent
- with the Constitution's allocation of power to the Federal
- Government.
- I
- We live in a world full of low level radioactive waste.
- Radioactive material is present in luminous watch dials,
- smoke alarms, measurement devices, medical fluids,
- research materials, and the protective gear and construction
- materials used by workers at nuclear power plants. Low
- level radioactive waste is generated by the Government, by
- hospitals, by research institutions, and by various indus-
- tries. The waste must be isolated from humans for long
- periods of time, often for hundreds of years. Millions of
- cubic feet of low level radioactive waste must be disposed of
- each year. See App. 110a-111a; Berkovitz, Waste Wars: Did
- Congress -Nuke- State Sovereignty in the Low-Level
- Radioactive Waste Policy Amendments Act of 1985?, 11
- Harv. Envtl. L. Rev. 437, 439-440 (1987).
- Our Nation's first site for the land disposal of commercial
- low level radioactive waste opened in 1962 in Beatty,
- Nevada. Five more sites opened in the following decade:
- Maxey Flats, Kentucky (1963), West Valley, New York
- (1963), Hanford, Washington (1965), Sheffield, Illinois
- (1967), and Barnwell, South Carolina (1971). Between 1975
- and 1978, the Illinois site closed because it was full, and
- water management problems caused the closure of the sites
- in Kentucky and New York. As a result, since 1979 only
- three disposal sites-those in Nevada, Washington, and
- South Carolina-have been in operation. Waste generated
- in the rest of the country must be shipped to one of these
- three sites for disposal. See Low-Level Radioactive Waste
- Regulation 39-40 (M. Burns ed. 1988).
- In 1979, both the Washington and Nevada sites were
- forced to shut down temporarily, leaving South Carolina to
- shoulder the responsibility of storing low level radioactive
- waste produced in every part of the country. The Governor
- of South Carolina, understandably perturbed, ordered a
- 50% reduction in the quantity of waste accepted at the
- Barnwell site. The Governors of Washington and Nevada
- announced plans to shut their sites permanently. App.
- 142a, 152a.
- Faced with the possibility that the Nation would be left
- with no disposal sites for low level radioactive waste,
- Congress responded by enacting the Low-Level Radioactive
- Waste Policy Act, Pub. L. 96-573, 94 Stat. 3347. Relying
- largely on a report submitted by the National Governors'
- Association, see App. 105a-141a, Congress declared a
- federal policy of holding each State -responsible for provid-
- ing for the availability of capacity either within or outside
- the State for the disposal of low-level radioactive waste
- generated within its borders,- and found that such waste
- could be disposed of -most safely and efficiently . . . on a
- regional basis.- 4(a)(1), 94 Stat. 3348. The 1980 Act
- authorized States to enter into regional compacts that, once
- ratified by Congress, would have the authority beginning in
- 1986 to restrict the use of their disposal facilities to waste
- generated within member States. 4(a)(2)(B), 94 Stat.
- 3348. The 1980 Act included no penalties for States that
- failed to participate in this plan.
- By 1985, only three approved regional compacts had
- operational disposal facilities; not surprisingly, these were
- the the compacts formed around South Carolina, Nevada,
- and Washington, the three sited States. The following year,
- the 1980 Act would have given these three compacts the
- ability to exclude waste from nonmembers, and the remain-
- ing 31 States would have had no assured outlet for their
- low level radioactive waste. With this prospect looming,
- Congress once again took up the issue of waste disposal.
- The result was the legislation challenged here, the Low-
- Level Radioactive Waste Policy Amendments Act of 1985.
- The 1985 Act was again based largely on a proposal
- submitted by the National Governors' Association. In broad
- outline, the Act embodies a compromise among the sited
- and unsited States. The sited States agreed to extend for
- seven years the period in which they would accept low level
- radioactive waste from other States. In exchange, the
- unsited States agreed to end their reliance on the sited
- States by 1992.
- The mechanics of this compromise are intricate. The Act
- directs: -Each State shall be responsible for providing,
- either by itself or in cooperation with other States, for the
- disposal of . . . low-level radioactive waste generated within
- the State,- 42 U. S. C. 2021c(a)(1)(A), with the exception
- of certain waste generated by the Federal Government,
- 2021c(a)(1)(B), 2021c(b). The Act authorizes States to
- -enter into such [interstate] compacts as may be necessary
- to provide for the establishment and operation of regional
- disposal facilities for low-level radioactive waste.- 2021d(a)(2). For an additional seven years beyond the period
- contemplated by the 1980 Act, from the beginning of 1986
- through the end of 1992, the three existing disposal sites
- -shall make disposal capacity available for low-level
- radioactive waste generated by any source,- with certain
- exceptions not relevant here. 2021e(a)(2). But the three
- States in which the disposal sites are located are permitted
- to exact a graduated surcharge for waste arriving from
- outside the regional compact-in 1986-1987, $10 per cubic
- foot; in 1988-1989, $20 per cubic foot; and in 1990-1992,
- $40 per cubic foot. 2021e(d)(1). After the seven-year
- transition period expires, approved regional compacts may
- exclude radioactive waste generated outside the region.
- 2021d(c).
- The Act provides three types of incentives to encourage
- the States to comply with their statutory obligation to
- provide for the disposal of waste generated within their
- borders.
- 1. Monetary incentives. One quarter of the surcharges
- collected by the sited States must be transferred to an
- escrow account held by the Secretary of Energy. 2021e(d)(2)(A). The Secretary then makes payments from this
- account to each State that has complied with a series of
- deadlines. By July 1, 1986, each State was to have ratified
- legislation either joining a regional compact or indicating an
- intent to develop a disposal facility within the State.
- 2021e(e)(1)(A), 2021e(d)(2)(B)(i). By January 1, 1988,
- each unsited compact was to have identified the State in
- which its facility would be located, and each compact or
- stand-alone State was to have developed a siting plan and
- taken other identified steps. 2021e(e)(1)(B), 2021e(d)(2)(B)(ii). By January 1, 1990, each State or compact was to
- have filed a complete application for a license to operate a
- disposal facility, or the Governor of any State that had not
- filed an application was to have certified that the State
- would be capable of disposing of all waste generated in the
- State after 1992. 2021e(e)(1)(C), 2021e(d)(2)(B)(iii). The
- rest of the account is to be paid out to those States or
- compacts able to dispose of all low level radioactive waste
- generated within their borders by January 1, 1993.
- 2021e(d)(2)(B)(iv). Each State that has not met the 1993
- deadline must either take title to the waste generated
- within its borders or forfeit to the waste generators the
- incentive payments it has received. 2021e(d)(2)(C).
- 2. Access incentives. The second type of incentive
- involves the denial of access to disposal sites. States that
- fail to meet the July 1986 deadline may be charged twice
- the ordinary surcharge for the remainder of 1986 and
- may be denied access to disposal facilities thereafter.
- 2021e(e)(2)(A). States that fail to meet the 1988 deadline
- may be charged double surcharges for the first half of 1988
- and quadruple surcharges for the second half of 1988, and
- may be denied access thereafter. 2021e(e)(2)(B). States
- that fail to meet the 1990 deadline may be denied access.
- 2021e(e)(2)(C). Finally, States that have not filed com-
- plete applications by January 1, 1992, for a license to
- operate a disposal facility, or States belonging to compacts
- that have not filed such applications, may be charged triple
- surcharges. 2021e(e)(1)(D), 2021e(e)(2)(D).
- 3. The take title provision. The third type of incentive is
- the most severe. The Act provides:
- -If a State (or, where applicable, a compact region) in
- which low-level radioactive waste is generated is
- unable to provide for the disposal of all such waste
- generated within such State or compact region by
- January 1, 1996, each State in which such waste is
- generated, upon the request of the generator or owner
- of the waste, shall take title to the waste, be obligated
- to take possession of the waste, and shall be liable for
- all damages directly or indirectly incurred by such
- generator or owner as a consequence of the failure of
- the State to take possession of the waste as soon after
- January 1, 1996, as the generator or owner notifies the
- State that the waste is available for shipment.-
- 2021e(d)(2)(C).
- These three incentives are the focus of petitioners' constitu-
- tional challenge.
- In the seven years since the Act took effect, Congress has
- approved nine regional compacts, encompassing 42 of the
- States. All six unsited compacts and four of the unaffiliated
- States have met the first three statutory milestones. Brief
- for United States 10, n. 19; id., at 13, n. 25.
- New York, a State whose residents generate a relatively
- large share of the Nation's low level radioactive waste, did
- not join a regional compact. Instead, the State complied
- with the Act's requirements by enacting legislation provid-
- ing for the siting and financing of a disposal facility in New
- York. The State has identified five potential sites, three in
- Allegany County and two in Cortland County. Residents of
- the two counties oppose the State's choice of location. App.
- 29a-30a, 66a-68a.
- Petitioners-the State of New York and the two coun-
- ties-filed this suit against the United States in 1990.
- They sought a declaratory judgment that the Act is incon-
- sistent with the Tenth and Eleventh Amendments to the
- Constitution, with the Due Process Clause of the Fifth
- Amendment, and with the Guarantee Clause of Article IV
- of the Constitution. The States of Washington, Nevada,
- and South Carolina intervened as defendants. The District
- Court dismissed the complaint. 757 F. Supp. 10 (NDNY
- 1990). The Court of Appeals affirmed. 942 F. 2d 114 (CA2
- 1991). Petitioners have abandoned their Due Process and
- Eleventh Amendment claims on their way up the appellate
- ladder; as the case stands before us, petitioners claim only
- that the Act is inconsistent with the Tenth Amendment and
- the Guarantee Clause.
- II
- A
- In 1788, in the course of explaining to the citizens of New
- York why the recently drafted Constitution provided for
- federal courts, Alexander Hamilton observed: -The erection
- of a new government, whatever care or wisdom may
- distinguish the work, cannot fail to originate questions of
- intricacy and nicety; and these may, in a particular manner,
- be expected to flow from the the establishment of a consti-
- tution founded upon the total or partial incorporation of a
- number of distinct sovereignties.- The Federalist No. 82, p.
- 491 (C. Rossiter ed. 1961). Hamilton's prediction has
- proved quite accurate. While no one disputes the proposi-
- tion that -[t]he Constitution created a Federal Government
- of limited powers,- Gregory v. Ashcroft, 501 U. S. ___, ___
- (1991) (slip op., at 3); and while the Tenth Amendment
- makes explicit that -[t]he 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-; the task of ascertaining the constitutional line
- between federal and state power has given rise to many of
- the Court's most difficult and celebrated cases. At least as
- far back as Martin v. Hunter's Lessee, 1 Wheat. 304, 324
- (1816), the Court has resolved questions -of great impor-
- tance and delicacy- in determining whether particular
- sovereign powers have been granted by the Constitution to
- the Federal Government or have been retained by the
- States.
- These questions can be viewed in either of two ways. In
- some cases the Court has inquired whether an Act of
- Congress is authorized by one of the powers delegated to
- Congress in Article I of the Constitution. See, e.g., Perez v.
- United States, 402 U. S. 146 (1971); McCulloch v. Mary-
- land, 4 Wheat. 316 (1819). In other cases the Court has
- sought to determine whether an Act of Congress invades
- the province of state sovereignty reserved by the Tenth
- Amendment. See, e.g., Garcia v. San Antonio Metropolitan
- Transit Authority, 469 U. S. 528 (1985); Lane County v.
- Oregon, 7 Wall. 71 (1869). In a case like this one, involving
- the division of authority between federal and state govern-
- ments, the two inquiries are mirror images of each other.
- If a power is delegated to Congress in the Constitution, the
- Tenth Amendment expressly disclaims any reservation of
- that power to the States; if a power is an attribute of state
- sovereignty reserved by the Tenth Amendment, it is
- necessarily a power the Constitution has not conferred on
- Congress. See United States v. Oregon, 366 U. S. 643, 649
- (1961); Case v. Bowles, 327 U. S. 92, 102 (1946); Oklahoma
- ex rel. Phillips v. Guy F. Atkinson Co., 313 U. S. 508, 534
- (1941).
- It is in this sense that the Tenth Amendment -states but
- a truism that all is retained which has not been surren-
- dered.- United States v. Darby, 312 U. S. 100, 124 (1941).
- As Justice Story put it, -[t]his amendment is a mere
- affirmation of what, upon any just reasoning, is a necessary
- rule of interpreting the constitution. Being an instrument
- of limited and enumerated powers, it follows irresistibly,
- that what is not conferred, is withheld, and belongs to the
- state authorities.- 3 J. Story, Commentaries on the
- Constitution of the United States 752 (1833). This has been
- the Court's consistent understanding: -The States unques-
- tionably do retai[n] a significant measure of sovereign
- authority . . . to the extent that the Constitution has not
- divested them of their original powers and transferred those
- powers to the Federal Government.- Garcia v. San Antonio
- Metropolitan Transit Authority, supra, at 549 (internal
- quotation marks omitted).
- Congress exercises its conferred powers subject to the
- limitations contained in the Constitution. Thus, for
- example, under the Commerce Clause Congress may regu-
- late publishers engaged in interstate commerce, but
- Congress is constrained in the exercise of that power by
- the First Amendment. The Tenth Amendment likewise
- restrains the power of Congress, but this limit is not
- derived from the text of the Tenth Amendment itself,
- which, as we have discussed, is essentially a tautology.
- Instead, the Tenth Amendment confirms that the power of
- the Federal Government is subject to limits that may, in a
- given instance, reserve power to the States. The Tenth
- Amendment thus directs us to determine, as in this case,
- whether an incident of state sovereignty is protected by a
- limitation on an Article I power.
- The benefits of this federal structure have been extensive-
- ly catalogued elsewhere, see, e.g., Gregory v. Ashcroft,
- supra, at ___-___; Merritt, The Guarantee Clause and State
- Autonomy: Federalism for a Third Century, 88 Colum. L.
- Rev. 1, 3-10 (1988); McConnell, Federalism: Evaluating the
- Founders' Design, 54 U. Chi. L. Rev. 1484, 1491-1511
- (1987), but they need not concern us here. Our task would
- be the same even if one could prove that federalism secured
- no advantages to anyone. It consists not of devising our
- preferred system of government, but of understanding and
- applying the framework set forth in the Constitution. -The
- question is not what power the Federal Government ought
- to have but what powers in fact have been given by the
- people.- United States v. Butler, 297 U. S. 1, 63 (1936).
- This framework has been sufficiently flexible over the
- past two centuries to allow for enormous changes in the
- nature of government. The Federal Government under-
- takes activities today that would have been unimaginable
- to the Framers in two senses; first, because the Framers
- would not have conceived that any government would
- conduct such activities; and second, because the Framers
- would not have believed that the Federal Government,
- rather than the States, would assume such responsibilities.
- Yet the powers conferred upon the Federal Government by
- the Constitution were phrased in language broad enough to
- allow for the expansion of the Federal Government's role.
- Among the provisions of the Constitution that have been
- particularly important in this regard, three concern us here.
- First, the Constitution allocates to Congress the power
- -[t]o regulate Commerce . . . among the several States.-
- Art. I, 8, cl. 3. Interstate commerce was an established
- feature of life in the late 18th century. See, e.g., The
- Federalist No. 42, p. 267 (C. Rossiter ed. 1961) (-The defect
- of power in the existing Confederacy to regulate the
- commerce between its several members [has] been clearly
- pointed out by experience-). The volume of interstate
- commerce and the range of commonly accepted objects of
- government regulation have, however, expanded consider-
- ably in the last 200 years, and the regulatory authority of
- Congress has expanded along with them. As interstate
- commerce has become ubiquitous, activities once considered
- purely local have come to have effects on the national
- economy, and have accordingly come within the scope of
- Congress' commerce power. See, e.g., Katzenbach v.
- McClung, 379 U. S. 294 (1964); Wickard v. Filburn, 317
- U. S. 111 (1942).
- Second, the Constitution authorizes Congress -to pay the
- Debts and provide for the . . . general Welfare of the United
- States.- Art. I, 8, cl. 1. As conventional notions of the
- proper objects of government spending have changed over
- the years, so has the ability of Congress to -fix the terms on
- which it shall disburse federal money to the States.-
- Pennhurst State School and Hospital v. Halderman, 451
- U. S. 1, 17 (1981). Compare, e.g., United States v. Butler,
- supra, at 72-75 (spending power does not authorize
- Congress to subsidize farmers), with South Dakota v. Dole,
- 483 U. S. 203 (1987) (spending power permits Congress to
- condition highway funds on States' adoption of minimum
- drinking age). While the spending power is -subject to
- several general restrictions articulated in our cases,- id., at
- 207, these restrictions have not been so severe as to prevent
- the regulatory authority of Congress from generally keeping
- up with the growth of the federal budget.
- The Court's broad construction of Congress' power under
- the Commerce and Spending Clauses has of course been
- guided, as it has with respect to Congress' power generally,
- by the Constitution's Necessary and Proper Clause, which
- authorizes Congress -[t]o make all Laws which shall be
- necessary and proper for carrying into Execution the
- foregoing Powers.- U. S. Const., Art. I., 8, cl. 18. See,
- e.g., Legal Tender Case (Juilliard v. Greenman), 110 U. S.
- 421, 449-450 (1884); McCulloch v. Maryland, 4 Wheat., at
- 411-421.
- Finally, the Constitution provides that -the Laws of the
- United States . . . shall be the supreme Law of the Land . . .
- any Thing in the Constitution or Laws of any State to the
- Contrary notwithstanding.- U. S. Const., Art. VI, cl. 2. As
- the Federal Government's willingness to exercise power
- within the confines of the Constitution has grown, the
- authority of the States has correspondingly diminished to
- the extent that federal and state policies have conflicted.
- See, e.g., Shaw v. Delta Air Lines, Inc., 463 U. S. 85 (1983).
- We have observed that the Supremacy Clause gives the
- Federal Government -a decided advantage in th[e] delicate
- balance- the Constitution strikes between State and
- Federal power. Gregory v. Ashcroft, 501 U. S., at ___ (slip
- op., at 6).
- The actual scope of the Federal Government's authority
- with respect to the States has changed over the years,
- therefore, but the constitutional structure underlying and
- limiting that authority has not. In the end, just as a cup
- may be half empty or half full, it makes no difference
- whether one views the question at issue in this case as one
- of ascertaining the limits of the power delegated to the
- Federal Government under the affirmative provisions of the
- Constitution or one of discerning the core of sovereignty
- retained by the States under the Tenth Amendment.
- Either way, we must determine whether any of the three
- challenged provisions of the Low-Level Radioactive Waste
- Policy Amendments Act of 1985 oversteps the boundary
- between federal and state authority.
- B
- Petitioners do not contend that Congress lacks the power
- to regulate the disposal of low level radioactive waste.
- Space in radioactive waste disposal sites is frequently sold
- by residents of one State to residents of another. Regula-
- tion of the resulting interstate market in waste disposal is
- therefore well within Congress' authority under the
- Commerce Clause. Cf. Philadelphia v. New Jersey, 437
- U. S. 617, 621-623 (1978); Fort Gratiot Sanitary Landfill,
- Inc. v. Michigan Dept. of Natural Resources, 504 U. S. ___,
- ___ (1992) (slip op., at 5). Petitioners likewise do not
- dispute that under the Supremacy Clause Congress could,
- if it wished, pre-empt state radioactive waste regulation.
- Petitioners contend only that the Tenth Amendment limits
- the power of Congress to regulate in the way it has chosen.
- Rather than addressing the problem of waste disposal by
- directly regulating the generators and disposers of waste,
- petitioners argue, Congress has impermissibly directed the
- States to regulate in this field.
- Most of our recent cases interpreting the Tenth Amend-
- ment have concerned the authority of Congress to subject
- state governments to generally applicable laws. The
- Court's jurisprudence in this area has traveled an unsteady
- path. See Maryland v. Wirtz, 392 U. S. 183 (1968) (state
- schools and hospitals are subject to Fair Labor Standards
- Act); National League of Cities v. Usery, 426 U. S. 833
- (1976) (overruling Wirtz) (state employers are not subject to
- Fair Labor Standards Act); Garcia v. San Antonio Metropol-
- itan Transit Authority, 469 U. S. 528 (1985) (overruling
- National League of Cities) (state employers are once again
- subject to Fair Labor Standards Act). See also New York v.
- United States, 326 U. S. 572 (1946); Fry v. United States,
- 421 U. S. 542 (1975); Transportation Union v. Long Island
- R. Co., 455 U. S. 678 (1982); EEOC v. Wyoming, 460 U. S.
- 226 (1983); South Carolina v. Baker, 485 U. S. 505 (1988);
- Gregory v. Ashcroft, 501 U. S. ___ (1991). This case pres-
- ents no occasion to apply or revisit the holdings of any of
- these cases, as this is not a case in which Congress has
- subjected a State to the same legislation applicable to
- private parties. Cf. FERC v. Mississippi, 456 U. S. 742,
- 758-759 (1982).
- This case instead concerns the circumstances under which
- Congress may use the States as implements of regulation;
- that is, whether Congress may direct or otherwise motivate
- the States to regulate in a particular field or a particular
- way. Our cases have established a few principles that
- guide our resolution of the issue.
- 1
- As an initial matter, Congress may not simply -comman-
- dee[r] the legislative processes of the States by directly
- compelling them to enact and enforce a federal regulatory
- program.- Hodel v. Virginia Surface Mining & Reclamation
- Assn., Inc., 452 U. S. 264, 288 (1981). In Hodel, the Court
- upheld the Surface Mining Control and Reclamation Act of
- 1977 precisely because it did not -commandeer- the States
- into regulating mining. The Court found that -the States
- are not compelled to enforce the steep-slope standards, to
- expend any state funds, or to participate in the federal
- regulatory program in any manner whatsoever. If a State
- does not wish to submit a proposed permanent program
- that complies with the Act and implementing regulations,
- the full regulatory burden will be borne by the Federal
- Government.- Ibid.
- The Court reached the same conclusion the following year
- in FERC v. Mississippi, supra. At issue in FERC was the
- Public Utility Regulatory Policies Act of 1978, a federal
- statute encouraging the States in various ways to develop
- programs to combat the Nation's energy crisis. We ob-
- served that -this Court never has sanctioned explicitly a
- federal command to the States to promulgate and enforce
- laws and regulations.- Id., at 761-762. As in Hodel, the
- Court upheld the statute at issue because it did not view
- the statute as such a command. The Court emphasized:
- -Titles I and III of [the Public Utility Regulatory Policies
- Act of 1978 (PURPA)] require only consideration of federal
- standards. And if a State has no utilities commission, or
- simply stops regulating in the field, it need not even
- entertain the federal proposals.- 456 U. S., at 764 (empha-
- sis in original). Because -[t]here [wa]s nothing in PURPA
- `directly compelling' the States to enact a legislative
- program,- the statute was not inconsistent with the
- Constitution's division of authority between the Federal
- Government and the States. Id., at 765 (quoting Hodel v.
- Virginia Surface Mining & Reclamation Assn., Inc., supra,
- at 288). See also South Carolina v. Baker, supra, at 513
- (noting -the possibility that the Tenth Amendment might
- set some limits on Congress' power to compel States to
- regulate on behalf of federal interests-); Garcia v. San
- Antonio Metropolitan Transit Authority, supra, at 556
- (same).
- These statements in FERC and Hodel were not innova-
- tions. While Congress has substantial powers to govern the
- Nation directly, including in areas of intimate concern to
- the States, the Constitution has never been understood to
- confer upon Congress the ability to require the States to
- govern according to Congress' instructions. See Coyle v.
- Oklahoma, 221 U. S. 559, 565 (1911). The Court has been
- explicit about this distinction. -Both the States and the
- United States existed before the Constitution. The people,
- through that instrument, established a more perfect union
- by substituting a national government, acting, with ample
- power, directly upon the citizens, instead of the Confederate
- government, which acted with powers, greatly restricted,
- only upon the States.- Lane County v. Oregon, 7 Wall., at
- 76 (emphasis added). The Court has made the same point
- with more rhetorical flourish, although perhaps with less
- precision, on a number of occasions. In Chief Justice
- Chase's much-quoted words, -the preservation of the States,
- and the maintenance of their governments, are as much
- within the design and care of the Constitution as the
- preservation of the Union and the maintenance of the
- National government. The Constitution, in all its provi-
- sions, looks to an indestructible Union, composed of
- indestructible States.- Texas v. White, 7 Wall. 700, 725
- (1869). See also Metcalf & Eddy v. Mitchell, 269 U. S. 514,
- 523 (1926) (-neither government may destroy the other nor
- curtail in any substantial manner the exercise of its
- powers-); Tafflin v. Levitt, 493 U. S. 455, 458 (1990) (-under
- our federal system, the States possess sovereignty concur-
- rent with that of the Federal Government-); Gregory v.
- Ashcroft, 501 U. S., at ___ (slip op., at 7) (-the States retain
- substantial sovereign powers under our constitutional
- scheme, powers with which Congress does not readily
- interfere-).
- Indeed, the question whether the Constitution should
- permit Congress to employ state governments as regulatory
- agencies was a topic of lively debate among the Framers.
- Under the Articles of Confederation, Congress lacked the
- authority in most respects to govern the people directly. In
- practice, Congress -could not directly tax or legislate upon
- individuals; it had no explicit `legislative' or `governmental'
- power to make binding `law' enforceable as such.- Amar, Of
- Sovereignty and Federalism, 96 Yale L. J. 1425, 1447
- (1987).
- The inadequacy of this governmental structure was
- responsible in part for the Constitutional Convention.
- Alexander Hamilton observed: -The great and radical vice
- in the construction of the existing Confederation is in the
- principle of legislation for states or governments, in
- their corporate or collective capacities, and as contra-
- distinguished from the individuals of whom they consist.-
- The Federalist No. 15, p. 108 (C. Rossiter ed. 1961). As
- Hamilton saw it, -we must resolve to incorporate into our
- plan those ingredients which may be considered as forming
- the characteristic difference between a league and a
- government; we must extend the authority of the Union to
- the persons of the citizens-the only proper objects of
- government.- Id., at 109. The new National Government
- -must carry its agency to the persons of the citizens. It
- must stand in need of no intermediate legislations . . . .
- The government of the Union, like that of each State, must
- be able to address itself immediately to the hopes and fears
- of individuals.- Id., No. 16, p. 116.
- The Convention generated a great number of proposals
- for the structure of the new Government, but two quickly
- took center stage. Under the Virginia Plan, as first
- introduced by Edmund Randolph, Congress would exercise
- legislative authority directly upon individuals, without
- employing the States as intermediaries. 1 Records of the
- Federal Convention of 1787, p. 21 (M. Farrand ed. 1911).
- Under the New Jersey Plan, as first introduced by William
- Paterson, Congress would continue to require the approval
- of the States before legislating, as it has under the Articles
- of Confederation. 1 id., 243-244. These two plans under-
- went various revisions as the Convention progressed, but
- they remained the two primary options discussed by the
- delegates. One frequently expressed objection to the New
- Jersey Plan was that it might require the Federal Govern-
- ment to coerce the States into implementing legislation. As
- Randolph explained the distinction, -[t]he true question is
- whether we shall adhere to the federal plan [i.e., the New
- Jersey Plan], or introduce the national plan. The insuffi-
- ciency of the former has been fully displayed . . . . There
- are but two modes, by which the end of a Gen[eral] Gov-
- [ernment] can be attained: the 1st is by coercion as pro-
- posed by Mr. P[aterson's] plan[, the 2nd] by real legislation
- as prop[osed] by the other plan. Coercion [is] impracticable,
- expensive, cruel to individuals. . . . We must resort therefore
- to a national Legislation over individuals.- 1 id., at
- 255-256 (emphasis in original). Madison echoed this view:
- -The practicability of making laws, with coercive sanctions,
- for the States as political bodies, had been exploded on all
- hands.- 2 id., at 9.
- Under one preliminary draft of what would become the
- New Jersey Plan, state governments would occupy a
- position relative to Congress similar to that contemplated
- by the Act at issue in this case: -[T]he laws of the United
- States ought, as far as may be consistent with the common
- interests of the Union, to be carried into execution by the
- judiciary and executive officers of the respective states,
- wherein the execution thereof is required.- 3 id., at 616.
- This idea apparently never even progressed so far as to be
- debated by the delegates, as contemporary accounts of the
- Convention do not mention any such discussion. The
- delegates' many descriptions of the Virginia and New
- Jersey Plans speak only in general terms about whether
- Congress was to derive its authority from the people or
- from the States, and whether it was to issue directives to
- individuals or to States. See 1 id., at 260-280.
- In the end, the Convention opted for a Constitution in
- which Congress would exercise its legislative authority
- directly over individuals rather than over States; for a
- variety of reasons, it rejected the New Jersey Plan in favor
- of the Virgina Plan. 1 id., at 313. This choice was made
- clear to the subsequent state ratifying conventions. Oliver
- Ellsworth, a member of the Connecticut delegation in
- Philadelphia, explained the distinction to his State's
- convention: -This Constitution does not attempt to coerce
- sovereign bodies, states, in their political capacity. . . . But
- this legal coercion singles out the . . . individual.- 2 J.
- Elliot, Debates on the Federal Constitution 197 (2d ed.
- 1863). Charles Pinckney, another delegate at the Constitu-
- tional Convention, emphasized to the South Carolina House
- of Representatives that in Philadelphia -the necessity of
- having a government which should at once operate upon the
- people, and not upon the states, was conceived to be
- indispensable by every delegation present.- 4 id., at 256.
- Rufus King, one of Massachusetts' delegates, returned home
- to support ratification by recalling the Commonwealth's
- unhappy experience under the Articles of Confederation and
- arguing: -Laws, to be effective, therefore, must not be laid
- on states, but upon individuals.- 2 id., at 56. At New
- York's convention, Hamilton (another delegate in Philadel-
- phia) exclaimed: -But can we believe that one state will
- ever suffer itself to be used as an instrument of coercion?
- The thing is a dream; it is impossible. Then we are brought
- to this dilemma-either a federal standing army is to
- enforce the requisitions, or the federal treasury is left
- without supplies, and the government without support.
- What, sir, is the cure for this great evil? Nothing, but to
- enable the national laws to operate on individuals, in the
- same manner as those of the states do.- 2 id., at 233. At
- North Carolina's convention, Samuel Spencer recognized
- that -all the laws of the Confederation were binding on the
- states in their political capacities, . . . but now the thing is
- entirely different. The laws of Congress will be binding on
- individuals.- 4 id., at 153.
- In providing for a stronger central government, therefore,
- the Framers explicitly chose a Constitution that confers
- upon Congress the power to regulate individuals, not
- States. As we have seen, the Court has consistently
- respected this choice. We have always understood that
- even where Congress has the authority under the Constitu-
- tion to pass laws requiring or prohibiting certain acts, it
- lacks the power directly to compel the States to require or
- prohibit those acts. E.g., FERC v. Mississippi, 456 U. S.,
- at 762-766; Hodel v. Virginia Surface Mining & Reclama-
- tion Assn., Inc., 452 U. S., at 288-289; Lane County v.
- Oregon, 7 Wall., at 76. The allocation of power contained
- in the Commerce Clause, for example, authorizes Congress
- to regulate interstate commerce directly; it does not
- authorize Congress to regulate state governments' regula-
- tion of interstate commerce.
- 2
- This is not to say that Congress lacks the ability to
- encourage a State to regulate in a particular way, or that
- Congress may not hold out incentives to the States as a
- method of influencing a State's policy choices. Our cases
- have identified a variety of methods, short of outright
- coercion, by which Congress may urge a State to adopt a
- legislative program consistent with federal interests. Two
- of these methods are of particular relevance here.
- First, under Congress' spending power, -Congress may
- attach conditions on the receipt of federal funds.- South
- Dakota v. Dole, 483 U. S., at 206. Such conditions must
- (among other requirements) bear some relationship to the
- purpose of the federal spending, id., at 207-208, and n. 3;
- otherwise, of course, the spending power could render
- academic the Constitution's other grants and limits of
- federal authority. Where the recipient of federal funds is a
- State, as is not unusual today, the conditions attached to
- the funds by Congress may influence a State's legislative
- choices. See Kaden, Politics, Money, and State Sovereignty:
- The Judicial Role, 79 Colum. L. Rev. 847, 874-881 (1979).
- Dole was one such case: The Court found no constitutional
- flaw in a federal statute directing the Secretary of Trans-
- portation to withhold federal highway funds from States
- failing to adopt Congress' choice of a minimum drinking
- age. Similar examples abound. See, e.g., Fullilove v.
- Klutznick, 448 U. S. 448, 478-480 (1980); Massachusetts v.
- United States, 435 U. S. 444, 461-462 (1978); Lau v.
- Nichols, 414 U. S. 563, 568-569 (1974); Oklahoma v. Civil
- Service Comm'n, 330 U. S. 127, 142-144 (1947).
- Second, where Congress has the authority to regulate
- private activity under the Commerce Clause, we have
- recognized Congress' power to offer States the choice of
- regulating that activity according to federal standards or
- having state law pre-empted by federal regulation. Hodel
- v. Virginia Surface Mining & Reclamation Assn., Inc.,
- supra, at 288. See also FERC v. Mississippi, supra, at
- 764-765. This arrangement, which has been termed -a
- program of cooperative federalism,- Hodel, supra, at 289, is
- replicated in numerous federal statutory schemes. These
- include the Clean Water Act, 86 Stat. 816, as amended, 33
- U. S. C. 1251 et seq., see Arkansas v. Oklahoma, 503 U. S.
- ___, ___ (1992) (slip op., at 8) (Clean Water Act Act -antici-
- pates a partnership between the States and the Federal
- Government, animated by a shared objective-); the Occupa-
- tional Safety and Health Act of 1970, 84 Stat. 1590, 29
- U. S. C. 651 et seq., see Gade v. National Solid Wastes
- Management Assn., ___ U. S. ___, ___ (1992) (slip op., at
- ___); the Resource Conservation and Recovery Act of 1976,
- 90 Stat. 2796, as amended, 42 U. S. C. 6901 et seq., see
- United States Dept. of Energy v. Ohio, 503 U. S. ___, ___
- (1992) (slip op., at 2); and the Alaska National Interest
- Lands Conservation Act, 94 Stat. 2374, 16 U. S. C. 3101
- et seq., see Kenaitze Indian Tribe v. Alaska, 860 F. 2d 312,
- 314 (CA9 1988), cert. denied, 491 U. S. 905 (1989).
- By either of these two methods, as by any other permissi-
- ble method of encouraging a State to conform to federal
- policy choices, the residents of the State retain the ultimate
- decision as to whether or not the State will comply. If a
- State's citizens view federal policy as sufficiently contrary
- to local interests, they may elect to decline a federal grant.
- If state residents would prefer their government to devote
- its attention and resources to problems other than those
- deemed important by Congress, they may choose to have
- the Federal Government rather than the State bear the
- expense of a federally mandated regulatory program, and
- they may continue to supplement that program to the
- extent state law is not preempted. Where Congress
- encourages state regulation rather than compelling it, state
- governments remain responsive to the local electorate's
- preferences; state officials remain accountable to the people.
- By contrast, where the Federal Government compels
- States to regulate, the accountability of both state and
- federal officials is diminished. If the citizens of New York,
- for example, do not consider that making provision for the
- disposal of radioactive waste is in their best interest, they
- may elect state officials who share their view. That view
- can always be preempted under the Supremacy Clause if is
- contrary to the national view, but in such a case it is the
- Federal Government that makes the decision in full view of
- the public, and it will be federal officials that suffer the
- consequences if the decision turns out to be detrimental or
- unpopular. But where the Federal Government directs the
- States to regulate, it may be state officials who will bear
- the brunt of public disapproval, while the federal officials
- who devised the regulatory program may remain insulated
- from the electoral ramifications of their decision. Account-
- ability is thus diminished when, due to federal coercion,
- elected state officials cannot regulate in accordance with the
- views of the local electorate in matters not pre-empted by
- federal regulation. See Merritt, 88 Colum. L. Rev., at
- 61-62; La Pierre, Political Accountability in the National
- Political Process-The Alternative to Judicial Review of
- Federalism Issues, 80 Nw. U. L. Rev. 577, 639-665 (1985).
- With these principles in mind, we turn to the three
- challenged provisions of the Low-Level Radioactive Waste
- Policy Amendments Act of 1985.
- III
- The parties in this case advance two quite different views
- of the Act. As petitioners see it, the Act imposes a require-
- ment directly upon the States that they regulate in the field
- of radioactive waste disposal in order to meet Congress'
- mandate that -[e]ach State shall be responsible for provid-
- ing . . . for the disposal of . . . low-level radioactive waste.-
- 42 U. S. C. 2021c(a)(1)(A). Petitioners understand this
- provision as a direct command from Congress, enforceable
- independent of the three sets of incentives provided by the
- Act. Respondents, on the other hand, read this provision
- together with the incentives, and see the Act as affording
- the States three sets of choices. According to respondents,
- the Act permits a State to choose first between regulating
- pursuant to federal standards and losing the right to a
- share of the Secretary of Energy's escrow account; to choose
- second between regulating pursuant to federal standards
- and progressively losing access to disposal sites in other
- States; and to choose third between regulating pursuant to
- federal standards and taking title to the waste generated
- within the State. Respondents thus interpret 2021c(a)(1)(A), despite the statute's use of the word -shall,- to
- provide no more than an option which a State may elect or
- eschew.
- The Act could plausibly be understood either as a
- mandate to regulate or as a series of incentives. Under
- petitioners' view, however, 2021c(a)(1)(A) of the Act would
- clearly -commandee[r] the legislative processes of the States
- by directly compelling them to enact and enforce a federal
- regulatory program.- Hodel v. Virginia Surface Mining &
- Reclamation Assn., Inc., 452 U. S., at 288. We must reject
- this interpretation of the provision for two reasons. First,
- such an outcome would, to say the least, -upset the usual
- constitutional balance of federal and state powers.- Gregory
- v. Ashcroft, 501 U. S., at ___ (slip op., at 6). -[I]t is incum-
- bent upon the federal courts to be certain of Congress'
- intent before finding that federal law overrides this bal-
- ance,- ibid. (internal quotation marks omitted), but the
- Act's amenability to an equally plausible alternative
- construction prevents us from possessing such certainty.
- Second, -where an otherwise acceptable construction of a
- statute would raise serious constitutional problems, the
- Court will construe the statute to avoid such problems
- unless such construction is plainly contrary to the intent of
- Congress.- Edward J. DeBartolo Corp. v. Florida Gulf
- Coast Building & Construction Trades Council, 485 U. S.
- 568, 575 (1988). This rule of statutory construction pushes
- us away from petitioners' understanding of 2021c(a)(1)(A)
- of the Act, under which it compels the States to regulate
- according to Congress' instructions.
- We therefore decline petitioners' invitation to construe
- 2021c(a)(1)(A), alone and in isolation, as a command to the
- States independent of the remainder of the Act. Construed
- as a whole, the Act comprises three sets of -incentives- for
- the States to provide for the disposal of low level radioac-
- tive waste generated within their borders. We consider
- each in turn.
- A
- The first set of incentives works in three steps. First,
- Congress has authorized States with disposal sites to
- impose a surcharge on radioactive waste received from
- other States. Second, the Secretary of Energy collects a
- portion of this surcharge and places the money in an escrow
- account. Third, States achieving a series of milestones
- receive portions of this fund.
- The first of these steps is an unexceptionable exercise of
- Congress' power to authorize the States to burden inter-
- state commerce. While the Commerce Clause has long been
- understood to limit the States' ability to discriminate
- against interstate commerce, see, e.g., Wyoming v. Oklaho-
- ma, 502 U. S. ___, ___ (1992) (slip op., at 15-16); Cooley v.
- Board of Wardens of Port of Philadelphia, 12 How. 299
- (1851), that limit may be lifted, as it has been here, by an
- expression of the -unambiguous intent- of Congress.
- Wyoming, supra, at ___ (slip op., at 19); Prudential Ins. Co.
- v. Benjamin, 328 U. S. 408, 427-431 (1946). Whether or
- not the States would be permitted to burden the interstate
- transport of low level radioactive waste in the absence of
- Congress' approval, the States can clearly do so with
- Congress' approval, which is what the Act gives them.
- The second step, the Secretary's collection of a percentage
- of the surcharge, is no more than a federal tax on interstate
- commerce, which petitioners do not claim to be an invalid
- exercise of either Congress' commerce or taxing power. Cf.
- United States v. Sanchez, 340 U. S. 42, 44-45 (1950);
- Steward Machine Co. v. Davis, 301 U. S. 548, 581-583
- (1937).
- The third step is a conditional exercise of Congress'
- authority under the Spending Clause: Congress has placed
- conditions-the achievement of the milestones-on the
- receipt of federal funds. Petitioners do not contend that
- Congress has exceeded its authority in any of the four
- respects our cases have identified. See generally South
- Dakota v. Dole, 483 U. S., at 207-208. The expenditure is
- for the general welfare, Helvering v. Davis, 301 U. S. 619,
- 640-641 (1937); the States are required to use the money
- they receive for the purpose of assuring the safe disposal of
- radioactive waste. 42 U. S. C. 2021e(d)(2)(E). The
- conditions imposed are unambiguous, Pennhurst State
- School and Hospital v. Halderman, 451 U. S., at 17; the Act
- informs the States exactly what they must do and by when
- they must do it in order to obtain a share of the escrow
- account. The conditions imposed are reasonably related to
- the purpose of the expenditure, Massachusetts v. United
- States, 435 U. S., at 461; both the conditions and the
- payments embody Congress' efforts to address the pressing
- problem of radioactive waste disposal. Finally, petitioners
- do not claim that the conditions imposed by the Act violate
- any independent constitutional prohibition. Lawrence
- County v. Lead-Deadwood School Dist., 469 U. S. 256,
- 269-270 (1985).
- Petitioners contend nevertheless that the form of these
- expenditures removes them from the scope of Congress'
- spending power. Petitioners emphasize the Act's instruc-
- tion to the Secretary of Energy to -deposit all funds received
- in a special escrow account. The funds so deposited shall
- not be the property of the United States.- 42 U. S. C.
- 2021e(d)(2)(A). Petitioners argue that because the money
- collected and redisbursed to the States is kept in an account
- separate from the general treasury, because the Secretary
- holds the funds only as a trustee, and because the States
- themselves are largely able to control whether they will pay
- into the escrow account or receive a share, the Act -in no
- manner calls for the spending of federal funds.- Reply Brief
- for Petitioner State of New York 6.
- The Constitution's grant to Congress of the authority to
- -pay the Debts and provide for the . . . general Welfare- has
- never, however, been thought to mandate a particular form
- of accounting. A great deal of federal spending comes from
- segregated trust funds collected and spent for a particular
- purpose. See, e.g., 23 U. S. C. 118 (Highway Trust Fund);
- 42 U. S. C. 401(a) (Federal Old-Age and Survivors Insur-
- ance Trust Fund); 42 U. S. C. 401(b) (Federal Disability
- Insurance Trust Fund); 42 U. S. C. 1395t (Federal Supple-
- mentary Medical Insurance Trust Fund). The Spending
- Clause has never been construed to deprive Congress of
- the power to structure federal spending in this manner.
- Petitioners' argument regarding the States' ability to
- determine the escrow account's income and disbursements
- ignores the fact that Congress specifically provided the
- States with this ability as a method of encouraging the
- States to regulate according to the federal plan. That the
- States are able to choose whether they will receive federal
- funds does not make the resulting expenditures any less
- federal; indeed, the location of such choice in the States is
- an inherent element in any conditional exercise of Congress'
- spending power.
- The Act's first set of incentives, in which Congress has
- conditioned grants to the States upon the States' attain-
- ment of a series of milestones, is thus well within the
- authority of Congress under the Commerce and Spending
- Clauses. Because the first set of incentives is supported by
- affirmative constitutional grants of power to Congress, it is
- not inconsistent with the Tenth Amendment.
- B
- In the second set of incentives, Congress has authorized
- States and regional compacts with disposal sites gradually
- to increase the cost of access to the sites, and then to deny
- access altogether, to radioactive waste generated in States
- that do not meet federal deadlines. As a simple regulation,
- this provision would be within the power of Congress to
- authorize the States to discriminate against interstate
- commerce. See Northeast Bancorp, Inc. v. Board of Gover-
- nors, Fed. Reserve System, 472 U. S. 159, 174-175 (1985).
- Where federal regulation of private activity is within the
- scope of the Commerce Clause, we have recognized the
- ability of Congress to offer states the choice of regulating
- that activity according to federal standards or having state
- law pre-empted by federal regulation. See Hodel v. Virginia
- Surface Mining & Reclamation Association, 452 U. S., at
- 288; FERC v. Mississippi, 456 U. S., at 764-765.
- This is the choice presented to nonsited States by the
- Act's second set of incentives: States may either regulate
- the disposal of radioactive waste according to federal
- standards by attaining local or regional self-sufficiency, or
- their residents who produce radioactive waste will be
- subject to federal regulation authorizing sited States and
- regions to deny access to their disposal sites. The affected
- States are not compelled by Congress to regulate, because
- any burden caused by a State's refusal to regulate will fall
- on those who generate waste and find no outlet for its
- disposal, rather than on the State as a sovereign. A State
- whose citizens do not wish it to attain the Act's milestones
- may devote its attention and its resources to issues its
- citizens deem more worthy; the choice remains at all times
- with the residents of the State, not with Congress. The
- State need not expend any funds, or participate in any
- federal program, if local residents do not view such expendi-
- tures or participation as worthwhile. Cf. Hodel, supra, at
- 288. Nor must the State abandon the field if it does not
- accede to federal direction; the State may continue to
- regulate the generation and disposal of radioactive waste in
- any manner its citizens see fit.
- The Act's second set of incentives thus represents a
- conditional exercise of Congress' commerce power, along the
- lines of those we have held to be within Congress' authori-
- ty. As a result, the second set of incentives does not
- intrude on the sovereignty reserved to the States by the
- Tenth Amendment.
- C
- The take title provision is of a different character. This
- third so-called -incentive- offers States, as an alternative to
- regulating pursuant to Congress' direction, the option of
- taking title to and possession of the low level radioactive
- waste generated within their borders and becoming liable
- for all damages waste generators suffer as a result of the
- States' failure to do so promptly. In this provision, Con-
- gress has crossed the line distinguishing encouragement
- from coercion.
- We must initially reject respondents' suggestion that,
- because the take title provision will not take effect until
- January 1, 1996, petitioners' challenge thereto is unripe. It
- takes many years to develop a new disposal site. All
- parties agree that New York must take action now in order
- to avoid the take title provision's consequences, and no
- party suggests that the State's waste generators will have
- ceased producing waste by 1996. The issue is thus ripe for
- review. Cf. Pacific Gas & Elec. Co. v. State Energy Resourc-
- es Conservation and Development Comm'n, 461 U. S. 190,
- 201 (1983); Regional Rail Reorganization Act Cases, 419
- U. S. 102, 144-145 (1974).
- The take title provision offers state governments a
- -choice- of either accepting ownership of waste or regulating
- according to the instructions of Congress. Respondents do
- not claim that the Constitution would authorize Congress
- to impose either option as a freestanding requirement. On
- one hand, the Constitution would not permit Congress
- simply to transfer radioactive waste from generators to
- state governments. Such a forced transfer, standing alone,
- would in principle be no different than a congressionally
- compelled subsidy from state governments to radioactive
- waste producers. The same is true of the provision requir-
- ing the States to become liable for the generators' damages.
- Standing alone, this provision would be indistinguishable
- from an Act of Congress directing the States to assume the
- liabilities of certain state residents. Either type of federal
- action would -commandeer- state governments into the
- service of federal regulatory purposes, and would for this
- reason be inconsistent with the Constitution's division of
- authority between federal and state governments. On the
- other hand, the second alternative held out to state govern-
- ments-regulating pursuant to Congress' direction-would,
- standing alone, present a simple command to state govern-
- ments to implement legislation enacted by Congress. As we
- have seen, the Constitution does not empower Congress to
- subject state governments to this type of instruction.
- Because an instruction to state governments to take title
- to waste, standing alone, would be beyond the authority of
- Congress, and because a direct order to regulate, standing
- alone, would also be beyond the authority of Congress, it
- follows that Congress lacks the power to offer the States a
- choice between the two. Unlike the first two sets of
- incentives, the take title incentive does not represent the
- conditional exercise of any congressional power enumerated
- in the Constitution. In this provision, Congress has not
- held out the threat of exercising its spending power or its
- commerce power; it has instead held out the threat, should
- the States not regulate according to one federal instruction,
- of simply forcing the States to submit to another federal
- instruction. A choice between two unconstitutionally
- coercive regulatory techniques is no choice at all. Either
- way, -the Act commandeers the legislative processes of the
- States by directly compelling them to enact and enforce a
- federal regulatory program,- Hodel v. Virginia Surface
- Mining & Reclamation Assn., Inc., supra, at 288, an
- outcome that has never been understood to lie within the
- authority conferred upon Congress by the Constitution.
- Respondents emphasize the latitude given to the States
- to implement Congress' plan. The Act enables the States to
- regulate pursuant to Congress' instructions in any number
- of different ways. States may avoid taking title by contract-
- ing with sited regional compacts, by building a disposal site
- alone or as part of a compact, or by permitting private
- parties to build a disposal site. States that host sites may
- employ a wide range of designs and disposal methods,
- subject only to broad federal regulatory limits. This line of
- reasoning, however, only underscores the critical alternative
- a State lacks: A State may not decline to administer the
- federal program. No matter which path the State chooses,
- it must follow the direction of Congress.
- The take title provision appears to be unique. No other
- federal statute has been cited which offers a state govern-
- ment no option other than that of implementing legislation
- enacted by Congress. Whether one views the take title
- provision as lying outside Congress' enumerated powers, or
- as infringing upon the core of state sovereignty reserved by
- the Tenth Amendment, the provision is inconsistent with
- the federal structure of our Government established by the
- Constitution.
- IV
- Respondents raise a number of objections to this under-
- standing of the limits of Congress' power.
- A
- The United States proposes three alternative views of the
- constitutional line separating state and federal authority.
- While each view concedes that Congress generally may not
- compel state governments to regulate pursuant to federal
- direction, each purports to find a limited domain in which
- such coercion is permitted by the Constitution.
- First, the United States argues that the Constitution's
- prohibition of congressional directives to state governments
- can be overcome where the federal interest is sufficiently
- important to justify state submission. This argument
- contains a kernel of truth: In determining whether the
- Tenth Amendment limits the ability of Congress to subject
- state governments to generally applicable laws, the Court
- has in some cases stated that it will evaluate the strength
- of federal interests in light of the degree to which such laws
- would prevent the State from functioning as a sovereign;
- that is, the extent to which such generally applicable laws
- would impede a state government's responsibility to
- represent and be accountable to the citizens of the State.
- See, e.g., EEOC v. Wyoming, 460 U. S., at 242, n. 17;
- Transportation Union v. Long Island R. Co., 455 U. S., at
- 684, n. 9; National League of Cities v. Usery, 426 U. S., at
- 853. The Court has more recently departed from this
- approach. See, e.g., South Carolina v. Baker, 485 U. S., at
- 512-513; Garcia v. San Antonio Metropolitan Transit
- Authority, 469 U. S., at 556-557. But whether or not a
- particularly strong federal interest enables Congress to
- bring state governments within the orbit of generally
- applicable federal regulation, no Member of the Court has
- ever suggested that such a federal interest would enable
- Congress to command a state government to enact state
- regulation. No matter how powerful the federal interest
- involved, the Constitution simply does not give Congress
- the authority to require the States to regulate. The
- Constitution instead gives Congress the authority to
- regulate matters directly and to pre-empt contrary state
- regulation. Where a federal interest is sufficiently strong
- to cause Congress to legislate, it must do so directly; it may
- not conscript state governments as its agents.
- Second, the United States argues that the Constitution
- does, in some circumstances, permit federal directives to
- state governments. Various cases are cited for this proposi-
- tion, but none support it. Some of these cases discuss the
- well established power of Congress to pass laws enforceable
- in state courts. See Testa v. Katt, 330 U. S. 386 (1947);
- Palmore v. United States, 411 U. S. 389, 402 (1973); see
- also Mondou v. New York, N. H. & H. R. Co., 223 U. S. 1,
- 57 (1912); Claflin v. Houseman, 93 U. S. 130, 136-137
- (1876). These cases involve no more than an application of
- the Supremacy Clause's provision that federal law -shall be
- the supreme Law of the Land,- enforceable in every State.
- More to the point, all involve congressional regulation of
- individuals, not congressional requirements that States
- regulate. Federal statutes enforceable in state courts do, in
- a sense, direct state judges to enforce them, but this sort of
- federal -direction- of state judges is mandated by the text
- of the Supremacy Clause. No comparable constitutional
- provision authorizes Congress to command state legisla-
- tures to legislate.
- Additional cases cited by the United States discuss the
- power of federal courts to order state officials to comply
- with federal law. See Puerto Rico v. Branstad, 483 U. S.
- 219, 228 (1987); Washington v. Washington State Commer-
- cial Passenger Fishing Vessel Assn., 443 U. S. 658, 695
- (1979); Illinois v. City of Milwaukee, 406 U. S. 91, 106-108
- (1972); see also Cooper v. Aaron, 358 U. S. 1, 18-19 (1958);
- Brown v. Board of Ed., 349 U. S. 294, 300 (1955); Ex parte
- Young, 209 U. S. 123, 155-156 (1908). Again, however, the
- text of the Constitution plainly confers this authority on the
- federal courts, the -judicial Power- of which -shall extend
- to all Cases, in Law and Equity, arising under this Consti-
- tution, [and] the Laws of the United States . . . ; [and] to
- Controversies between two or more States; [and] between
- a State and Citizens of another State.- U. S. Const., Art.
- III, 2. The Constitution contains no analogous grant of
- authority to Congress. Moreover, the Supremacy Clause
- makes federal law paramount over the contrary positions of
- state officials; the power of federal courts to enforce federal
- law thus presupposes some authority to order state officials
- to comply. See Puerto Rico v. Branstad, supra, at 227-228
- (overruling Kentucky v. Dennison, 24 How. 66 (1861)).
- In sum, the cases relied upon by the United States hold
- only that federal law is enforceable in state courts and that
- federal courts may in proper circumstances order state
- officials to comply with federal law, propositions that by no
- means imply any authority on the part of Congress to
- mandate state regulation.
- Third, the United States, supported by the three sited
- regional compacts as amici, argues that the Constitution
- envisions a role for Congress as an arbiter of interstate
- disputes. The United States observes that federal courts,
- and this Court in particular, have frequently resolved
- conflicts among States. See, e.g., Arkansas v. Oklahoma,
- 503 U. S. ___ (1992); Wyoming v. Oklahoma, 502 U. S. ___
- (1992). Many of these disputes have involved the allocation
- of shared resources among the States, a category perhaps
- broad enough to encompass the allocation of scarce disposal
- space for radioactive waste. See, e.g., Colorado v. New
- Mexico, 459 U. S. 176 (1982); Arizona v. California, 373
- U. S. 546 (1963). The United States suggests that if the
- Court may resolve such interstate disputes, Congress can
- surely do the same under the Commerce Clause. The
- regional compacts support this argument with a series of
- quotations from The Federalist and other contemporaneous
- documents, which the compacts contend demonstrate that
- the Framers established a strong national legislature for
- the purpose of resolving trade disputes among the States.
- Brief for Rocky Mountain Low-Level Radioactive Waste
- Compact et al. as Amici Curiae 17, and n. 16.
- While the Framers no doubt endowed Congress with the
- power to regulate interstate commerce in order to avoid
- further instances of the interstate trade disputes that were
- common under the Articles of Confederation, the Framers
- did not intend that Congress should exercise that power
- through the mechanism of mandating state regulation. The
- Constitution established Congress as -a superintending
- authority over the reciprocal trade- among the States, The
- Federalist No. 42, p. 268 (C. Rossiter ed. 1961), by empow-
- ering Congress to regulate that trade directly, not by
- authorizing Congress to issue trade-related orders to state
- governments. As Madison and Hamilton explained, -a
- sovereignty over sovereigns, a government over govern-
- ments, a legislation for communities, as contradistinguished
- from individuals, as it is a solecism in theory, so in practice
- it is subversive of the order and ends of civil polity.- Id.,
- No. 20, p. 138.
- B
- The sited State respondents focus their attention on the
- process by which the Act was formulated. They correctly
- observe that public officials representing the State of New
- York lent their support to the Act's enactment. A Deputy
- Commissioner of the State's Energy Office testified in favor
- of the Act. See Low-Level Waste Legislation: Hearings on
- H.R. 862, H.R. 1046, H.R. 1083, and H.R. 1267 before the
- Subcommittee on Energy and the Environment of the
- House Comm. on Interior and Insular Affairs, 99th Cong.,
- 1st Sess. 97-98, 190-199 (1985) (testimony of Charles
- Guinn). Senator Moynihan of New York spoke in support
- of the Act on the floor of the Senate. 131 Cong. Rec. 38423
- (1985). Respondents note that the Act embodies a bargain
- among the sited and unsited States, a compromise to which
- New York was a willing participant and from which New
- York has reaped much benefit. Respondents then pose
- what appears at first to be a troubling question: How can
- a federal statute be found an unconstitutional infringement
- of State sovereignty when state officials consented to the
- statute's enactment?
- The answer follows from an understanding of the funda-
- mental purpose served by our Government's federal struc-
- ture. The Constitution does not protect the sovereignty of
- States for the benefit of the States or state governments as
- abstract political entities, or even for the benefit of the
- public officials governing the States. To the contrary, the
- Constitution divides authority between federal and state
- governments for the protection of individuals. State
- sovereignty is not just an end in itself: -Rather, federalism
- secures to citizens the liberties that derive from the
- diffusion of sovereign power.- Coleman v. Thompson, 501
- U. S. ___, ___ (1991) (slip op., at 2) (Blackmun, J., dissent-
- ing). -Just as the separation and independence of the
- coordinate Branches of the Federal Government serves to
- prevent the accumulation of excessive power in any one
- Branch, a healthy balance of power between the States and
- the Federal Government will reduce the risk of tyranny and
- abuse from either front.- Gregory v. Ashcroft, 501 U. S., at
- ___ (1991) (slip op., at 4). See The Federalist No. 51,
- p. 323.
- Where Congress exceeds its authority relative to the
- States, therefore, the departure from the constitutional plan
- cannot be ratified by the -consent- of state officials. An
- analogy to the separation of powers among the Branches of
- the Federal Government clarifies this point. The Constitu-
- tion's division of power among the three Branches is
- violated where one Branch invades the territory of another,
- whether or not the encroached-upon Branch approves the
- encroachment. In Buckley v. Valeo, 424 U. S. 1, 118-137
- (1976), for instance, the Court held that the Congress had
- infringed the President's appointment power, despite the
- fact that the President himself had manifested his consent
- to the statute that caused the infringement by signing it
- into law. See National League of Cities v. Usery, 426 U. S.,
- at 842, n. 12. In INS v. Chadha, 462 U. S. 919, 944-959
- (1983), we held that the legislative veto violated the
- constitutional requirement that legislation be presented to
- the President, despite Presidents' approval of hundreds of
- statutes containing a legislative veto provision. See id., at
- 944-945. The constitutional authority of Congress cannot
- be expanded by the -consent- of the governmental unit
- whose domain is thereby narrowed, whether that unit is the
- Executive Branch or the States.
- State officials thus cannot consent to the enlargement of
- the powers of Congress beyond those enumerated in the
- Constitution. Indeed, the facts of this case raise the
- possibility that powerful incentives might lead both federal
- and state officials to view departures from the federal
- structure to be in their personal interests. Most citizens
- recognize the need for radioactive waste disposal sites, but
- few want sites near their homes. As a result, while it
- would be well within the authority of either federal or state
- officials to choose where the disposal sites will be, it is
- likely to be in the political interest of each individual
- official to avoid being held accountable to the voters for the
- choice of location. If a federal official is faced with the
- alternatives of choosing a location or directing the States to
- do it, the official may well prefer the latter, as a means of
- shifting responsibility for the eventual decision. If a state
- official is faced with the same set of alternatives-choosing
- a location or having Congress direct the choice of a loca-
- tion-the state official may also prefer the latter, as it may
- permit the avoidance of personal responsibility. The
- interests of public officials thus may not coincide with the
- Constitution's intergovernmental allocation of authority.
- Where state officials purport to submit to the direction of
- Congress in this manner, federalism is hardly being
- advanced.
- Nor does the State's prior support for the Act estop it
- from asserting the Act's unconstitutionality. While New
- York has received the benefit of the Act in the form of a few
- more years of access to disposal sites in other States, New
- York has never joined a regional radioactive waste compact.
- Any estoppel implications that might flow from membership
- in a compact, see West Virginia ex rel. Dyer v. Sims, 341
- U.S. 22, 35-36 (1951) (Jackson, J., concurring), thus do not
- concern us here. The fact that the Act, like much federal
- legislation, embodies a compromise among the States does
- not elevate the Act (or the antecedent discussions among
- representatives of the States) to the status of an interstate
- agreement requiring Congress' approval under the Compact
- Clause. Cf. Holmes v. Jennison, 14 Pet. 540, 572 (1840)
- (plurality opinion). That a party collaborated with others
- in seeking legislation has never been understood to estop
- the party from challenging that legislation in subsequent
- litigation.
- V
- Petitioners also contend that the Act is inconsistent with
- the Constitution's Guarantee Clause, which directs the
- United States to -guarantee to every State in this Union a
- Republican Form of Government.- U. S. Const., Art. IV, 4.
- Because we have found the take title provision of the Act
- irreconcilable with the powers delegated to Congress by the
- Constitution and hence with the Tenth Amendment's
- reservation to the States of those powers not delegated to
- the Federal Government, we need only address the applica-
- bility of the Guarantee Clause to the Act's other two
- challenged provisions.
- We approach the issue with some trepidation, because the
- Guarantee Clause has been an infrequent basis for litiga-
- tion throughout our history. In most of the cases in which
- the Court has been asked to apply the Clause, the Court
- has found the claims presented to be nonjusticiable under
- the -political question- doctrine. See, e.g., City of Rome v.
- United States, 446 U. S. 156, 182, n. 17 (1980) (challenge to
- the preclearance requirements of the Voting Rights Act);
- Baker v. Carr, 369 U. S. 186, 218-229 (1962) (challenge to
- apportionment of state legislative districts); Pacific States
- Tel. & Tel. Co. v. Oregon, 223 U. S. 118, 140-151 (1912)
- (challenge to initiative and referendum provisions of state
- constitution).
- The view that the Guarantee Clause implicates only
- nonjusticiable political questions has its origin in Luther v.
- Borden, 7 How. 1 (1849), in which the Court was asked to
- decide, in the wake of Dorr's Rebellion, which of two rival
- governments was the legitimate government of Rhode
- Island. The Court held that -it rests with Congress,- not
- the judiciary, -to decide what government is the established
- one in a State.- Id., at 42. Over the following century, this
- limited holding metamorphosed into the sweeping assertion
- that -[v]iolation of the great guaranty of a republican form
- of government in States cannot be challenged in the courts.-
- Colegrove v. Green, 328 U. S. 549, 556 (1946) (plurality
- opinion).
- This view has not always been accepted. In a group of
- cases decided before the holding of Luther was elevated into
- a general rule of nonjusticiability, the Court addressed the
- merits of claims founded on the Guarantee Clause without
- any suggestion that the claims were not justiciable. See
- Kies v. Lowrey, 199 U. S. 233, 239 (1905); Forsyth v. Ham-
- mond, 166 U. S. 506, 519 (1897); In re Duncan, 139 U. S.
- 449, 461-462 (1891); Minor v. Happersett, 21 Wall. 162,
- 175-176 (1875). See also Plessy v. Ferguson, 163 U. S. 537,
- 563-564 (1896) (Harlan, J., dissenting) (racial segregation
- -inconsistent with the guarantee given by the Constitution
- to each State of a republican form of government-).
- More recently, the Court has suggested that perhaps not
- all claims under the Guarantee Clause present nonjusti-
- ciable political questions. See Reynolds v. Sims, 377 U. S.
- 533, 582 (1964) (-some questions raised under the Guaran-
- tee Clause are nonjusticiable-). Contemporary commenta-
- tors have likewise suggested that courts should address the
- merits of such claims, at least in some circumstances. See,
- e.g., L. Tribe, American Constitutional Law 398 (2d ed.
- 1988); J. Ely, Democracy and Distrust: A Theory of Judicial
- Review 118, n., 122-123 (1980); W. Wiecek, The Guarantee
- Clause of the U. S. Constitution 287-289, 300 (1972);
- Merritt, 88 Colum. L. Rev., at 70-78; Bonfield, The Guaran-
- tee Clause of Article IV, Section 4: A Study in Constitution-
- al Desuetude, 46 Minn. L. Rev. 513, 560-565 (1962).
- We need not resolve this difficult question today. Even
- if we assume that petitioners' claim is justiciable, neither
- the monetary incentives provided by the Act nor the
- possibility that a State's waste producers may find them-
- selves excluded from the disposal sites of another State can
- reasonably be said to deny any State a republican form of
- government. As we have seen, these two incentives
- represent permissible conditional exercises of Congress'
- authority under the Spending and Commerce Clauses
- respectively, in forms that have now grown commonplace.
- Under each, Congress offers the States a legitimate choice
- rather than issuing an unavoidable command. The States
- thereby retain the ability to set their legislative agendas;
- state government officials remain accountable to the local
- electorate. The twin threats imposed by the first two
- challenged provisions of the Act-that New York may miss
- out on a share of federal spending or that those generating
- radioactive waste within New York may lose out-of-state
- disposal outlets-do not pose any realistic risk of altering
- the form or the method of functioning of New York's
- government. Thus even indulging the assumption that the
- Guarantee Clause provides a basis upon which a State or
- its subdivisions may sue to enjoin the enforcement of a
- federal statute, petitioners have not made out such a claim
- in this case.
- VI
- Having determined that the take title provision exceeds
- the powers of Congress, we must consider whether it is
- severable from the rest of the Act.
- -The standard for determining the severability of an
- unconstitutional provision is well established: Unless it is
- evident that the Legislature would not have enacted those
- provisions which are within its power, independently of that
- which is not, the invalid part may be dropped if what is left
- is fully operative as a law.- Alaska Airlines, Inc. v. Brock,
- 480 U. S. 678, 684 (1987) (internal quotation marks
- omitted). While the Act itself contains no statement of
- whether its provisions are severable, -[i]n the absence of a
- severability clause, . . . Congress' silence is just
- that-silence-and does not raise a presumption against
- severability.- Id., at 686. Common sense suggests that
- where Congress has enacted a statutory scheme for an
- obvious purpose, and where Congress has included a series
- of provisions operating as incentives to achieve that
- purpose, the invalidation of one of the incentives should not
- ordinarily cause Congress' overall intent to be frustrated.
- As the Court has observed, -it is not to be presumed that
- the legislature was legislating for the mere sake of impos-
- ing penalties, but the penalties . . . were simply in aid of
- the main purpose of the statute. They may fail, and still
- the great body of the statute have operative force, and the
- force contemplated by the legislature in its enactment.-
- Reagan v. Farmers' Loan & Trust Co., 154 U. S. 362, 396
- (1894). See also United States v. Jackson, 390 U. S. 570,
- 585-586 (1968).
- It is apparent in light of these principles that the take
- title provision may be severed without doing violence to the
- rest of the Act. The Act is still operative and it still serves
- Congress' objective of encouraging the States to attain local
- or regional self-sufficiency in the disposal of low level
- radioactive waste. It still includes two incentives that coax
- the States along this road. A State whose radioactive waste
- generators are unable to gain access to disposal sites in
- other States may encounter considerable internal pressure
- to provide for the disposal of waste, even without the
- prospect of taking title. The sited regional compacts need
- not accept New York's waste after the seven-year transition
- period expires, so any burden caused by New York's failure
- to secure a disposal site will not be borne by the residents
- of other States. The purpose of the Act is not defeated by
-
- the invalidation of the take title provision, so we may leave
- the remainder of the Act in force.
- VII
- Some truths are so basic that, like the air around us, they
- are easily overlooked. Much of the Constitution is con-
- cerned with setting forth the form of our government, and
- the courts have traditionally invalidated measures deviat-
- ing from that form. The result may appear -formalistic- in
- a given case to partisans of the measure at issue, because
- such measures are typically the product of the era's
- perceived necessity. But the Constitution protects us from
- our own best intentions: It divides power among sovereigns
- and among branches of government precisely so that we
- may resist the temptation to concentrate power in one
- location as an expedient solution to the crisis of the day.
- The shortage of disposal sites for radioactive waste is a
- pressing national problem, but a judiciary that licensed
- extra-constitutional government with each issue of compa-
- rable gravity would, in the long run, be far worse.
- States are not mere political subdivisions of the United
- States. State governments are neither regional offices nor
- administrative agencies of the Federal Government. The
- positions occupied by state officials appear nowhere on the
- Federal Government's most detailed organizational chart.
- The Constitution instead -leaves to the several States a
- residuary and inviolable sovereignty,- The Federalist No.
- 39, p. 245 (C. Rossiter ed. 1961), reserved explicitly to the
- States by the Tenth Amendment.
- Whatever the outer limits of that sovereignty may be, one
- thing is clear: The Federal Government may not compel the
- States to enact or administer a federal regulatory program.
- The Constitution permits both the Federal Government and
- the States to enact legislation regarding the disposal of low
- level radioactive waste. The Constitution enables the
- Federal Government to pre-empt state regulation contrary
- to federal interests, and it permits the Federal Government
- to hold out incentives to the States as a means of encourag-
- ing them to adopt suggested regulatory schemes. It does
- not, however, authorize Congress simply to direct the States
- to provide for the disposal of the radioactive waste generat-
- ed within their borders. While there may be many constitu-
- tional methods of achieving regional self-sufficiency in
- radioactive waste disposal, the method Congress has chosen
- is not one of them. The judgment of the Court of Appeals
- is accordingly
-
- Affirmed in part and reversed in part.
-