PRINTER'S NO. 2423
No. 1916 Session of 1997
INTRODUCED BY LYNCH, FARGO, EGOLF, BAKER, FICHTER, ARMSTRONG, BROWN, GODSHALL, HENNESSEY, LAUGHLIN, LEH, NICKOL, OLASZ, SEYFERT, PISTELLA, D. W. SNYDER, E. Z. TAYLOR, ROHRER, SATHER, WILT, WOGAN AND YEWCIC, OCTOBER 14, 1997
REFERRED TO COMMITTEE ON INTERGOVERNMENTAL AFFAIRS, OCTOBER 14, 1997
AN ACT 1 Relating to Federal mandates; requiring a study and report to 2 determine the necessity and impact of Federal mandates; and 3 requiring the development of programs and budget requests and 4 information. 5 The General Assembly of the Commonwealth of Pennsylvania 6 hereby enacts as follows: 7 Section 1. Short title. 8 This act shall be known and may be cited as the Federal 9 Mandates Act. 10 Section 2. Legislative declaration. 11 (a) General policy.--The General Assembly employs its 12 legislative authority to establish that the people of this 13 Commonwealth, acting through their elected officials, have the 14 responsibility and authority to establish policy in and for the 15 Commonwealth pertaining to Federal programs mandated in Federal 16 statutes. The intent of the General Assembly is to assure the 17 primacy of the Commonwealth's legal and political authority to
1 implement in and for the Commonwealth the policy mandated by 2 Federal statutes and to vigorously challenge and scrutinize the 3 extent and scope of authority asserted by Federal executive 4 branch agencies when Federal agency actions and interpretations 5 are inconsistent with State policy and exceed the lawful 6 authority of the Federal Government or are not required by 7 Federal law. 8 (b) Findings.--The General Assembly finds and declares as 9 follows: 10 (1) The power to implement Federal policies in and for 11 this Commonwealth is central to the ability of the people of 12 this Commonwealth to govern themselves under a Federal system 13 of government. 14 (2) Any implementation of Federal policies in and for 15 this Commonwealth by Federal executive branch agencies that 16 is contrary to fundamental notions of federalism and self- 17 determination must be identified and countered. 18 (c) Additional findings.--The General Assembly further finds 19 and declares as follows: 20 (1) There is an urgent need to modify Federal mandates 21 because the implementation of these mandates by the 22 Commonwealth wastes the financial resources of the 23 Commonwealth, local governments and the citizens of this 24 Commonwealth and does not properly respect the rights of the 25 Commonwealth, local governments and the citizens of this 26 Commonwealth. 27 (2) The State government has an obligation to the public 28 to do what is necessary to protect the rights of Commonwealth 29 citizens under Federal law while minimizing or eliminating 30 any additional cost or regulatory burden on any citizen of 19970H1916B2423 - 2 -
1 this Commonwealth. 2 (3) The tenth amendment to the Constitution of the 3 United States directs that powers that are not delegated to 4 the United States are reserved to the states or to the 5 people. The Commonwealth, as one of the sovereign states 6 within the Union, has constitutional authority to enact laws 7 protecting the environment of this Commonwealth and 8 safeguarding the public health, safety and welfare of the 9 citizens of this Commonwealth. However, this authority has 10 too often been ignored by the Federal Government, as the 11 Federal Government has intruded more and more into areas that 12 must be left to the states. It is essential that the dilution 13 of the authority of state and local governments be halted and 14 that the provisions of the tenth amendment be accorded proper 15 respect. 16 (4) Current Federal regulatory mandates, as reflected in 17 Federal administrative regulations, guidelines and policies, 18 often do not reflect the realities of this Commonwealth, and 19 Federal regulators frequently do not understand the needs and 20 priorities of the citizens of this Commonwealth. 21 (5) The citizens of this Commonwealth can create and 22 wish to create innovative solutions to this Commonwealth's 23 problems, but the current manner in which legal challenges to 24 State policies and Federal programmatic substitutions of 25 State programs are handled does not allow the Commonwealth 26 the flexibility it needs. It is not possible for the 27 Commonwealth to effectively and efficiently implement the 28 provisions of Federal statutes unless the burden to prove the 29 insufficiency of the Commonwealth's efforts to implement 30 Federal requirements is shifted to the person or agency that 19970H1916B2423 - 3 -
1 asserts such insufficiency. 2 (6) The provisions of this act will better balance the 3 exercise of powers of the Federal Government and the powers 4 reserved to the states. In addition, the application of this 5 act ultimately will bring about greater protection for the 6 nation and the Commonwealth because it will direct the 7 Commonwealth to implement Federal statutes at the least 8 possible cost, thereby freeing more moneys for other needs. 9 (7) The purpose of this act is to ensure that Federal 10 mandates implemented in this Commonwealth comply with State 11 policy as established by the General Assembly. 12 Section 3. Definitions. 13 The following words and phrases when used in this act shall 14 have the meanings given to them in this section unless the 15 context clearly indicates otherwise: 16 "Federal statute." A Federal statute that is in accord with 17 the Constitution of the United States, imposing mandates on 18 state or local governments, which may include, but is not 19 limited to, the following: 20 (1) Section 1901 of the Social Security Act (49 Stat. 21 620, 42 U.S.C. § 1396). 22 (2) The National School Lunch Act (60 Stat. 230, 42 23 U.S.C. § 1751 et seq.). 24 (3) The Federal Water Pollution Control Act (62 Stat. 25 1155, 33 U.S.C. § 1251 et seq.). 26 (4) The Solid Waste Disposal Act (Public Law 89-272, 42 27 U.S.C. § 6901 et seq.). 28 (5) Section 4 of the Child Nutrition Act of 1966 (Public 29 Law 89-642, 42 U.S.C. § 1773). 30 (6) The Endangered Species Act of 1973 (Public Law 93- 19970H1916B2423 - 4 -
1 205, 16 U.S.C. § 1531 et seq.). 2 (7) Part B of the Equal Education and Opportunity Act of 3 1974 (Public Law 93-380, 20 U.S.C. § 1751 et seq.). 4 (8) The Safe Drinking Water Act (Public Law 93-523, 21 5 U.S.C. § 349 and 42 U.S.C. §§ 201 and 300f et seq.). 6 (9) The Resource Conservation and Recovery Act of 1976 7 (Public Law 94-580, 42 U.S.C. § 6901 et seq.). 8 (10) The Clean Air Act (Public Law 95-95, 42 U.S.C. § 9 7401 et seq.). 10 (11) The Comprehensive Environmental Response, 11 Compensation, and Liability Act of 1980 (Public Law 96-510, 12 94 Stat. 2767). 13 (12) The Asbestos School Hazard Abatement Act of 1984 14 (Public Law 98-377, 20 U.S.C. § 4011 et seq.). 15 (13) The Emergency Planning and Community Right-To-Know 16 Act of 1986 (Title III of Public Law 99-499, 42 U.S.C. § 17 11001 et seq.). 18 (14) The Superfund Amendments and Reauthorization Act of 19 1986 (Public Law 99-499, 100 Stat. 1613). 20 (15) The Commercial Motor Vehicle Safety Act of 1986 21 (Public Law 99-570, 49 U.S.C. App. § 2701 et seq.). 22 (16) The Intermodal Surface Transportation Efficiency 23 Act of 1991 (Public Law 102-240, 105 Stat. 1914). 24 (17) The Family and Medical Leave Act of 1993 (Public 25 Law 103-3, 29 U.S.C. § 2601 et seq.). 26 (18) The National Voter Registration Act (Public Law 27 103-31, 42 U.S.C. § 1973gg et seq.). 28 (19) The Brady Handgun Violence Prevention Act (Public 29 Law 103-159, 107 Stat. 1536). 30 Section 4. State programs to implement Federal statutes. 19970H1916B2423 - 5 -
1 (a) Identification of inconsistent Federal requirements.-- 2 Any State officer, official or employee charged with the duty of 3 implementing any Federal statute shall implement the law as 4 required by the Federal statute in good faith and exercising a 5 critical view toward the provisions of any Federal regulation, 6 guideline or policy in order to identify those provisions of any 7 Federal regulation, guideline or policy that are inconsistent 8 with State policy or do not advance State policy in a cost- 9 effective manner. 10 (b) Promulgation of regulations.--Any agency of the 11 executive branch of State government that is authorized to 12 develop a State program to respond to any mandates contained in 13 a Federal statute shall develop the State program and promulgate 14 any necessary regulations using the following criteria: 15 (1) State programs shall be developed by the State 16 agency to meet the requirements of Federal statutes in good 17 faith with a critical view toward any Federal regulations, 18 guidelines or policies. 19 (2) State programs shall be developed with due 20 consideration of the financial restraints of the 21 Commonwealth, local governments and the citizens of this 22 Commonwealth. 23 (3) Any State program that implements the goals of the 24 Federal statute shall use the most efficient method possible, 25 with careful consideration given to cost and impact of the 26 program on local governments and the citizens of this 27 Commonwealth and to the long-range public health, safety and 28 welfare of the citizens of this Commonwealth. 29 Section 5. Appropriations Committees' reports to General 30 Assembly and budgetary savings. 19970H1916B2423 - 6 -
1 (a) Reports of committees.--The Appropriations Committee of 2 the Senate and the Appropriations Committee of the House of 3 Representatives shall report to the General Assembly regarding 4 the proposed implementation of this section. 5 (b) State appropriations.--If any State program is 6 authorized or mandated by a Federal statute, no State 7 appropriation for the program shall be enacted unless: 8 (1) the State program is necessary to protect the public 9 health, safety and welfare; 10 (2) the State program is necessary to implement the 11 Federal statute; 12 (3) the operation of the State program benefits the 13 Commonwealth by providing a cost-effective implementation of 14 the Federal statute by the Commonwealth, local governments 15 and business; or 16 (4) the State program benefits the Commonwealth, local 17 governments and business by providing a cost-effective means 18 to meet a higher public health, safety and welfare standard 19 established under State law. 20 (c) State agency.--Each State agency making a budget request 21 for State appropriations for a State program authorized or 22 mandated by Federal statute shall include in its budget request 23 citations to the Federal constitutional provisions and the State 24 constitutional or statutory provisions that authorize the State 25 program. Each Appropriations Committee shall review the budget 26 requests, shall determine whether additional State statutory 27 authority is required in order to implement the State program 28 and shall make recommendations to the General Assembly. 29 (d) General Assembly.--The General Assembly shall, after 30 receiving a recommendation from each Appropriations Committee, 19970H1916B2423 - 7 -
1 determine whether a State program is necessary and whether 2 Federal constitutional authority and State constitutional or 3 statutory authority exist. The General Assembly shall exercise a 4 critical view toward the interpretation of the Federal statute 5 found in Federal regulations, guidelines or policies. Enactment 6 of State appropriations for a State program shall constitute the 7 General Assembly's determination that the State program is 8 necessary and that Federal constitutional authority and State 9 constitutional or statutory authority exist. State 10 appropriations may not be based solely on requirements found in 11 regulations, guidelines or policies of a Federal agency. 12 (e) Requirements for recommendations.--Prior to recommending 13 to the General Assembly any budget for a State agency that is 14 charged with implementing Federal mandates, the Governor and 15 each Appropriations Committee shall require that the State 16 agency provide information regarding any monetary savings for 17 the Commonwealth and any reduction in regulatory burdens on 18 local governments and on the public that could be or have been 19 achieved through the development of State policies that meet the 20 intent of the Federal statute but do not necessarily follow all 21 applicable Federal regulations, guidelines or policies. The 22 State agency shall also provide advice to the Governor and each 23 Appropriations Committee regarding any changes in State statutes 24 that are necessary to provide the State agency the authority to 25 implement State policies in such a way as to create additional 26 savings or greater reductions in regulatory burdens. The 27 Governor shall review and compile the information received from 28 State agencies pursuant to this section and shall include 29 recommendations in his annual budget request to each 30 Appropriations Committee based upon such information. 19970H1916B2423 - 8 -
1 (f) Definition.--As used in this section, the term "State 2 program" does not include any portion of a program that is 3 funded with nontax or nonfee revenues, or both, which State 4 authorities are required to administer in a trusteeship or 5 custodial capacity and which are not subject to appropriation by 6 the General Assembly. 7 Section 6. Requests for information regarding Federal mandates. 8 (a) Requests.--The Governor shall prepare one or more 9 requests for information regarding Federal mandates on or before 10 August 30, 1998. The requests for information shall be directed 11 to persons involved with or affected by Federal mandates, 12 including, but not limited to, the following: 13 (1) Public and private institutions of higher education, 14 both in and outside of this Commonwealth, and individuals in 15 such institutions who have developed a high degree of 16 expertise in the subjects of federalism and Federal mandates. 17 (2) Attorneys in private practice who have dealt with 18 Federal mandate litigation or research. 19 (3) Organizations and foundations that have an interest 20 in the issues of federalism and the imposition of Federal 21 mandates on state and local governments. 22 (b) Issues addressed.--The issues addressed in the requests 23 for information issued pursuant to this section shall include 24 the following: 25 (1) Identification of Federal mandates expressing broad 26 Federal policies that would best be implemented on a state- 27 by-state basis or that could be resisted because of the 28 unique circumstances that are present in each state and 29 because of the unnecessary burdens that are created by 30 Federal regulations and policies. 19970H1916B2423 - 9 -
1 (2) Legal theories that support the right of each state 2 to implement or oppose Federal mandates pursuant to the 3 state's own policies. 4 (3) Practical methods, including the enactment of any 5 state legislation, by which the state may fully exercise its 6 authority in the implementation of Federal mandates. 7 (4) Recommendations regarding Federal legislation that 8 would ensure that the states have the necessary authority to 9 implement Federal directives in a manner that is consistent 10 with state policy and is suited to the needs of each state. 11 (5) Possible funding sources for Federal mandate efforts 12 and opportunities for the Commonwealth to match other funding 13 sources or to cooperate with other entities in working toward 14 Federal mandate solutions. 15 (c) Required responses.--The requests for information 16 prepared pursuant to this section shall require that the initial 17 responses be received by the Governor no later than October 15, 18 1998. The Governor may prepare additional requests for 19 information to follow up and obtain further details regarding 20 the initial responses that were received. 21 Section 7. Report by Governor regarding Federal mandates and 22 recommendations. 23 The Governor shall examine the information received through 24 the requests for information prepared pursuant to this act and 25 shall, based upon such information, present a report to the 26 General Assembly on or before December 1, 1998, that includes 27 the following: 28 (1) Recommendations regarding: 29 (i) contracts that the General Assembly may enter 30 into with specified persons or entities to conduct 19970H1916B2423 - 10 -
1 research, to analyze certain subjects or to provide other 2 services regarding Federal mandates; or 3 (ii) a request-for-proposals process to obtain bids 4 for contracts to provide services regarding Federal 5 mandates with the intent that the contracts be entered 6 into on or before February 1, 1999, and that the results 7 of any research or analysis performed under such 8 contracts be received by the General Assembly on or 9 before July 1, 1999. 10 (2) Estimates of the cost of the Federal mandate efforts 11 recommended by the Governor under the provisions of this 12 section and recommendations regarding any possible public and 13 private sources of moneys to fund such efforts, including any 14 appropriations by the General Assembly that may be required. 15 Section 8. Effective date. 16 This act shall take effect in 60 days. H11L71JS/19970H1916B2423 - 11 -