P L U R I B U S U N U M ? F E D E R A L I S M , I M M I G R A T I O N A N D T H E R O L E O F T H E A M E R I C A N S T A T E S E By ALEXANDRA FILINDRA A dissertation submitted to the Graduate School-New Brunswick Rutgers, The State University of New Jersey in partial fulfillment of the requirements for the degree of Doctor of Philosophy Graduate Program in Political Science written under the direction of Daniel Tichenor and approved by __________________________ __________________________ __________________________ __________________________ New Brunswick, New Jersey October 2009 ABSTRACT OF THE DISSERTATION E Pluribus Unum? Federalism, Immigration and the Role of the American States By ALEXANDRA FILINDRA Dissertation Director: Daniel Tichenor ABSTRACT: Unlike the assumptions contained in the federal plenary power doctrine, immigration policy in the United States is the result of conflict, collaboration and intense interaction between the states and the federal governments. Since the 19 th century, immigration policy making has exhibited familiar patterns: when state and federal objectives have been aligned, states act as backers of federal policy, often using their legislative authority to strengthen federal immigration law. When preferences diverge, states become powerful lobbyists who can use their legislative authority to keep immigration-related issues on the top of the federal agenda. Large, electorally rich states are particularly effective pressure agents. Electoral and political concerns often lead the federal government to yield to state pressure and implement immigration reforms (often restrictive) that are consistent with state preferences. ii A c k n o w l e d g e m e n t s The year 2009 marks the 20 th anniversary of my first visit to the United States. I arrived on an exchange student visa, as a high school senior at Milton Academy, a boarding school in Boston, in August of 1989. This year also marks my return to the study of immigration. My first foray into the subject was my senior project for Mrs. Dye’s AP American History class, the first twenty page paper I ever wrote in English. Twenty years in the making, this study is somewhat longer than that first high school paper. Milton Academy and the American Field Service (AFS) gave me my first chance to study in the United States, and for that I am most grateful. Bryn Mawr College and Rutgers University also believed in me in the most generous ways and I am thankful for the financial support and the great learning experience I had at both places. However, this particular work would not have been possible without the enthusiastic support of Dan Tichenor on whose office door I showed up one day in February 2007 with an idea for a project. Even though he did not really know me as a student, he nonetheless supported the project wholeheartedly. Jane Junn was another early supporter who read drafts and asked endless questions- a strict but fair and enthusiastic judge. I will never forget the hours she spent on the phone with me helping me put together the presentation for a job talk at Brown University taking time from her Thanksgiving holiday. Dan Kelemen, a good friend, has been on my case to “finish the darn degree” for about a decade. Although I abandoned the European Union in favor of the United States, he has not held a grudge. He has been a great supporter and friend in more ways than one, reading various drafts, offering copious comments and notes and editing my Brown presentation while cooking a Thanksgiving turkey. Janice Fine has also been a friend and supporter in this journey, providing books and ideas of great value. Many thanks to Rogers Smith of the University of iii Pennsylvania for agreeing to be an outside reader for this project and for his support. His work has been a source of inspiration. This work and my professional development as an academic have benefited greatly from discussions that took place at the immigration research lunch meetings that Dan Tichenor and Jane Junn organized in 2007 and 2008. In this interdepartmental setting, I met extraordinary researchers and learned a lot. Many thanks to Christine Brenner who took me under her wing at the WPSA Conference and introduced me to a number of people working in the immigration field. Catherine Lee has been another source of support and inspiration and another one who spent time over her Thanksgiving break to help with my presentation. I am most grateful. I am also thankful to Linda Bosniak, Robyn Rodriguez, Ira Gang, Miriam Hazan and all other members of the group who read drafts and supported the project. Your contributions have been invaluable. This study would not have been possible without the support of my friends. Melinda Kovacs has been there for me every step of the way since the time we were studying for our comprehensive exams in the previous century. I cherish her friendship, her critical analysis of my work and her mean chicken paprikash. Carolyn Craig was there in good times and bad, listening to so many variations of the main idea that she’s definitely lost count. I am most grateful for her friendship. Dionyssis Mintzopoulos has been there for me –as my friend and my family- for almost two decades. He was there this time, reading drafts and doing statistical analyses. I will always thank him for his support. Good friends and graduate school colleagues have also been instrumental in shaping this project. Benji Peters, Helen Delfeld, Meredith Staples read early chapters and offered ideas along with multiple glasses of wine. I am grateful for their genuine care and enthusiasm. I must iv also thank Yustina Saleh who taught me all the statistics I know and offered endless emotional support. The gracious and energetic Danielle Marganoff helped with editing and formatting this manuscript- an invaluable contribution. In the course of this journey, I have benefited greatly from the support and practical assistance of my colleagues at Harris Interactive. Joan Sinopoli has been a friend, a mentor and an enthusiastic backer of my plans to finish the Ph.D. She’s a great role model and a wonderful boss. So is Judy Ricker who cut through bureaucratic red tape for me to help me in the final stages of the process. I thank them both. Well Howell and Don Meyer offered their statistical expertise and taught me a lot of practical statistics- I am grateful. A most heartfelt thank you is reserved for Phyllis Marganoff who believed in me at a time when I had little faith in myself and convinced me not only that I could do this but that it would be good for my soul to do it. She was right! She has been there all the way and I will never forget that. She is another amazing role model and I am lucky to have met her. Throughout this process, I have relied heavily on the support of my family in Greece. My mother and sister have been there in spirit and on the phone throughout the many trials and tribulations of my life, always proud of me and ready to support me in every way. I love them for that. v T a b l e o f C o n t e n t s ABSTRACT OF THE DISSERTATION ................................................................................................... ii Acknowledgements......................................................................................................................... iii Table of Contents ............................................................................................................................ vi List of Tables ................................................................................................................................... ix List of Maps ...................................................................................................................................... x List of Figures .............................................................................................................................. xi Introduction ..................................................................................................................................... 1 The Puzzle of the Plenary Power Doctrine ................................................................................... 4 “Immigration” Policy or “Immigrant” Policy? The Problem of Definitions ................................ 12 The Non-Exclusivity of Immigration Policymaking: The Limits of the Plenary Power Doctrine 15 States as Actors in Immigration Policymaking: Collaboration, Conflict and Independent Action ................................................................................................................................................... 21 When Interests Coincide: States as Federal Collaborators ........................................................ 23 When Interests Diverge: States as Saboteurs of Federal Policy ................................................ 24 States as Independent Actors .................................................................................................... 26 Project Outline ........................................................................................................................... 28 Chapter 1: Federalism and Immigration Policy: The Limitations of Federalism Theories ............. 34 Formalistic and Structural Theories of Federalism and the Immigration Blind-spot ................ 41 Formalistic Approaches: Dual Federalism and the Delimited Spheres of Authority ............. 43 Cooperative Federalism and the Structural-Functional Perspective ..................................... 47 The Behavioral Approach