Malcolm Rivera
The concept of horizontal federalism refers to the relationships between states or provinces under a federal government and the effects of state actions on other states. The US Constitution contains several sections that relate to horizontal federalism, including those on state entrance into interstate compacts, interstate disputes, full faith and credit, privileges and immunities, and rendition of fugitives from justice. Article IV of the US Constitution, also known as the Full Faith and Credit Clause, is particularly relevant to horizontal federalism as it requires every state to acknowledge and respect the laws, institutions, and public records of other states. The interpretation and implementation of this clause have been the subject of various Supreme Court cases, including those involving interstate disputes, family law, and immunity for state-established corporations.
| Characteristics | Values |
|---|---|
| Relationships between states or provinces under a federal government | Attempts to coordinate coequal states that must coexist peacefully |
| Effects of state actions on other states | Limits on state powers to prevent infringement on the autonomy of other states |
| Policies | Personal jurisdiction, restraints on interstate commerce, interstate compacts, federal common law, tax apportionment, and discrimination based on state citizenship |
| Constitution Articles | Article IV, Section 1: Full Faith and Credit Clause |
| Constitution Sections | State entrance into interstate compacts, interstate disputes, privileges and immunities, and rendition of fugitives from justice |
| Powers | Concurrent powers including taxation |
| Interstate compacts | Congress can enact statutes that repeal compact provisions, provided they are consistent with the Constitution |
| Interstate disputes | Section 2 of Article III grants the Supreme Court original jurisdiction over interstate suits |
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What You'll Learn
The US Constitution and interstate compacts
The US Constitution and the formation of interstate compacts
The US Constitution, under Article IV, sets rules for the relations between states, which can be understood as defining the terms of horizontal federalism. One of the key provisions within the Constitution that relates to horizontal federalism is the Compact Clause, which falls under Article I, Section 10, Clause 3.
The Compact Clause states that "no State shall, without the Consent of Congress, ... enter into any Agreement or Compact with another State, or with a foreign Power..." This clause has been interpreted by the Supreme Court to mean that congressional consent is required for interstate compacts that increase the political power of states and potentially undermine federal sovereignty. The Court has ruled that explicit congressional consent is not necessary for agreements where the federal government has no objection or interest in interfering.
The timing of congressional consent is not specified in the Constitution, so it can be given before or after states have agreed to a compact. Congress may also impose conditions as part of its approval. Treaties between states, ratified under the Articles of Confederation after American independence in 1776 and before the current Constitution in 1789, are treated as interstate compacts.
Interstate compacts have historically been used to resolve boundary disputes, but since the early 20th century, they have evolved to facilitate state cooperation and mutual recognition in areas like infrastructure, services, and professional licensing. Compacts may be limited to specific multi-state regions or open to all states and even subnational governments in other countries. In some cases, compacts create new multi-state governmental agencies responsible for shared resources like seaports or public transportation.
The National Popular Vote Interstate Compact, which is conditioned on states agreeing to appoint electors to the winner of the national popular vote, has sparked debate about the constitutionality of such agreements. The Supreme Court has not directly addressed this compact, but critics argue that it requires congressional consent as it could be considered a "political compact" that encroaches on federal power.
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State powers and limits
Article IV of the US Constitution, also known as the Full Faith and Credit Clause, is specifically dedicated to addressing the relations between states. This article requires every state to recognise and respect the laws, institutions, and public records of other states. For example, in the context of marriage laws, before the legalisation of same-sex marriage in the United States, several states refused to recognise same-sex marriages performed in other states. However, the Supreme Court, in Obergefell v. Hodges (2015), held that the Due Process and Equal Protection provisions of the Fourteenth Amendment required all states to legalise same-sex marriage, thereby resolving this interstate conflict.
Additionally, the US Constitution grants Congress the power to regulate interstate commerce and address disputes between states. This includes the authority to oversee foreign, interstate, and Indian nation commerce to achieve a unified economic union where goods, services, labour, and raw materials can move freely across state boundaries. States are also empowered to cooperate and compete with each other through interstate compacts and administrative agreements. These compacts may involve multiple states and require congressional consent to ensure they do not conflict with federal statutes.
While states possess significant powers, there are limits to their authority to ensure they do not infringe on the autonomy of other states. Law professor Allan Erbsen highlights that horizontal federalism aims to balance the coexistence of multiple states with equal status. This includes considerations of personal jurisdiction, restraints on interstate commerce, federal common law, tax apportionment, and preventing discrimination based on state citizenship.
The US Supreme Court also plays a crucial role in interpreting and enforcing the provisions related to horizontal federalism. It has jurisdiction over interstate suits and can provide interpretations of compact provisions. The Court's decisions can shape the dynamics between states, such as in the case of Port Authority Trans-Hudson Corporation, where the Court held that the corporation was subject to a lawsuit despite its connection to New York and New Jersey, demonstrating that states' immunity has limits.
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Full faith and credit
Article IV of the United States Constitution sets the terms for horizontal federalism, or the relationships between states or provinces under a federal government. Article IV, Section 1, also known as the Full Faith and Credit Clause, requires each state to recognise and respect the laws, institutions, and judicial proceedings of every other state.
The Full Faith and Credit Clause states that:
> "Full Faith and Credit shall be given in each State to the public Acts, Records, and judicial Proceedings of every other State; And the Congress may by general Laws prescribe the Manner in which such Acts, Records and Proceedings shall be proved, and the Effect thereof."
The first part of the Clause requires each state to take into account the statutes, public records, and court decisions of other states. This means that states must recognise the legal validity of certain acts, records, and judgments from other states, such as a divorce decree. However, this recognition is not absolute and states retain the discretion to reject out-of-state actions that conflict with their own laws or public policy interests.
The second part of the Clause allows Congress to determine how these out-of-state materials can be proved in court and the effect they will have. Congress passed a statute in 1790, setting out evidence rules and requiring that certain records and court judgments be given the same faith and credit in every court as they have in their home state. The implementing statute, 28 U.S.C. § 1738, declares that these materials should receive "the same full faith and credit" in each state.
Despite these provisions, there has been debate and disagreement over the scope and substance of the Full Faith and Credit Clause. Courts have interpreted the Clause differently, and it has been acknowledged that the broad principles do not always translate easily into specific situations.
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Interstate disputes
The US Constitution contains provisions that govern interstate disputes, a key aspect of horizontal federalism. Horizontal federalism refers to the relationships between states under a federal government and the impact of each state's actions on others.
Article IV of the US Constitution, also known as the Full Faith and Credit Clause, is a key constitutional provision that relates to horizontal federalism. It sets the rules for relations between states, requiring each state to respect the laws, public records, and court decisions of the others. This clause ensures that each state acknowledges the legal rights created by other states, such as marriage and parent-child relationships. However, it has been a challenge to enforce this consistently, as seen in the case of same-sex marriages, where some states refused to recognize marriages performed in other states before the Supreme Court legalized it nationwide in 2015.
Section 2 of Article III grants the US Supreme Court original (trial) jurisdiction over interstate suits, allowing it to adjudicate interstate disputes involving boundaries and other matters. The Supreme Court plays a crucial role in interpreting the provisions of the Constitution and resolving disputes between states. For example, in 1995, the Court upheld Kansas's position in a dispute with Colorado over the Arkansas River Compact.
Interstate compacts are another mechanism for addressing interstate disputes. States can enter into agreements or compacts with other states to cooperate and resolve issues. However, these compacts must not conflict with federal statutes or the US Constitution. The Northeastern Interstate Forest Fire Compact, which included a Canadian province, is an example of a multi-state compact.
Additionally, Congress has the power to regulate interstate commerce to achieve an economic union where products, labour, raw materials, and services can move freely across state lines. This power helps prevent states from enacting policies that may infringe on the autonomy of other states and ensures a level playing field for economic activities.
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Congress and commerce regulation
The US Constitution contains provisions that grant Congress the power to regulate commerce between states, as well as with foreign nations and Indian nations. This is part of the Constitution's aim to achieve an economic union of states, allowing products, labour, raw materials, and services to move freely across state lines.
Article IV of the US Constitution, also known as the Full Faith and Credit Clause, is particularly relevant to horizontal federalism and interstate relations. It sets rules for the relations between states, requiring each state to respect the laws, public records, and court decisions of the others. This article also allows Congress to decide how these materials can be proved in court and what effect they will have.
Congress's power to regulate interstate commerce is not unlimited, however. The US Constitution also includes provisions that protect states' rights and prevent federal overreach. For example, the Eleventh Amendment grants states immunity from being sued in federal court, though this immunity is not absolute, as seen in the case of Port Authority Trans-Hudson Corporation v. United States (1994).
Additionally, states can enter into interstate compacts, which are agreements between two or more states that address issues of mutual concern. These compacts cannot contain provisions that conflict with the US Constitution, and they are subject to congressional approval.
The US Supreme Court plays a crucial role in interpreting the provisions of the Constitution and adjudicating interstate disputes, including those related to horizontal federalism and commerce regulation.
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Frequently asked questions
Horizontal federalism refers to the relationships between states or provinces under a federal government. It involves discussions on the effects of a state's actions on other states and whether limits on state powers are necessary to prevent infringement on the autonomy of other states.
Article IV of the United States Constitution sets rules for the relations between states, sometimes referred to as the terms of horizontal federalism. It includes the Full Faith and Credit Clause, which requires states to respect and recognise the laws, institutions, and court decisions of other states.
The Constitution grants Congress the power to regulate interstate commerce and address disputes. States cooperate through interstate compacts and compete for economic advantages, such as attracting businesses and maximising tax revenues. The Supreme Court also plays a role in interpreting and upholding horizontal federalism, such as in cases involving immunity and interstate disputes.
