Initiative, Referendum, and Recall

Internet Sites                                       

        Initiative & Referendum Institute

        Research & Documentation Center on Direct  Democracy

        National Initiative for Democracy

        The Democracy Collaborative

        The Public Policy Institute of California

Books

Visit Our Bookstore for Relevant Books on the Subject

All the books listed have been read and reviewed by us.  Each includes a general summary of the book, which is informative in itself, and an opportunity for you to buy the book online.

Essays, Articles, and Research Paper 

        A Brief History of the Initiative and Referendum Process in the United States from the Initiative and Referendum Institute

        Are There Winners and Losers? Race, Ethnicity and California’s Initiative Process - an research paper by Zoltan Hajnal and Hugh Louch from the public Policy Institute of California

The authors assess whether whites have dominated the California initiative process at the expense of Latinos, Asian Americans, and African Americans.  They find that over the last 20 years, members of these minority groups have had roughly the same probability as whites of voting on the winning side of an initiative - which, given the higher participation rate of whites, is a remarkable finding.

        Have Voter Initiatives Paralyzed the California Budget? a research paper by  John G. Matsusaka from the University of Southern California & Initiative & Referendum Institute

Many observers blame the California budget crisis on a series of voter initiatives that unrealistically appropriated spending while prohibiting tax increases.  However, a review of all initiative measures approved by the voters since 1912 shows that no more than 32 percent of appropriations in the 2003-2004 budget were locked in by initiatives.  Virtually all of the earmarked spending was for education, and would have been appropriated by the legislature even without an initiative mandate.  Initiatives placed only minimal constraints on the legislature’s ability to raise  revenue.   The facts suggest that voter initiatives are not a significant obstacle to balancing the budget in California. 

        Are Initiatives and Referenda Contrary to the Constitution’s “Republican Form of Government”? an essay by Robert G. Natelson from the Independence Institute

Those who oppose reform frequently challenge initiatives and referenda in court in order to prevent or overturn public votes.  Increasingly, they have been resurrecting an old argument that initiatives and referenda violate the U.S. Constitution’s “Guarantee Clause” (Article IV, Section 4), by which the United States guarantees each state a “republican form of government.”   They argue that such methods of direct democracy are inconsistent with the republican form because that form must be a government in which decisions are made wholly be the people’s representatives, not by the people themselves.  In support, they cite a handful of statements by a few of the Constitution’s Framers.

In this paper, Professor Natelson examines the historical record and shows that opponents of initiative and referendum are clearly wrong on this point.  He shows hat although one of the Framers - Madison - had a personal preference for a wholly representative form, all of the Framers who spoke on the issue, including Madison, acknowledged that direct democracy could be a major, even a dominant, part of a “republican” government.

        The Contingent Effects of Ballot Initiatives and Candidate Races on Turnout, an essay by Mark A. Smith from the American Journal of Political Science, July 2001, pp. 700-706

This study analyzes the potential of campaigns for ballot measures and elected offices to draw to the polls citizens who otherwise would not vote.  The salience (interest level) of initiatives and popular referenda in each U.S. state is measured for general elections from 1972-1996.  Using a pooled time series-cross sectional data set, a model of state-level turnout is estimated.  Distinguishing between midterm and presidential years, the analysis tests for the effects of campaigns across those two kinds of contexts.  Contrary to previous studies finding no effects at all for ballot initiatives, the results indicate that these measures - like gubernatorial and senatorial campaigns - provide a boost to turnout during midterm years but not presidential years.  High-salience initiatives and popular referenda are estimated to increase turnout by about four points during midterm elections, as compared to effects for closely contested gubernatorial and senatorial campaigns of four points and three points, respectively.

        Do Ballot Initiatives Undermine Democracy? from an article in the Cato Policy Report

On May 16 the Cato Institute sponsored a Book Forum on initiative campaigns.  The main speaker was Washington Post columnist David S. Broder, author of Democracy Derailed: Initiative Campaigns and the Power of Money.  In that book and in his presentation Broder argued that ballot initiatives undermine democracy.  M. Dan Waters, president of the Initiative and Referendum Institute and William A. Niskanen, chairman of the Cato Institute disputed Broder’s claims.

        By Popular Demand: How Citizen Driven Ballot Measures Have Shaped Tax Policy for the Better, a research paper by Peter J. Sepp from the National Taxpayer’s Union, May 21, 1999

By historical consensus, I&R and the grassroots Tax Revolt have had an inseparable relationship.  Presently 27 states have some form of “Tax and Expenditure Limitation” (TEL).  I&R has enabled Tax and Expenditure Limitations to succeed for four key reasons: TELs proposed through initiative and referendum are more permanent; TELs proposed through initiative and referendum are stricter, other tax limits proposed through initiative and referendum are simpler and broader-based, and TELs and other tax limits proposed by initiative and referendum deliver on the relief they promise.

        “Democracy is Coming” an article written by Lyod Marbet from the Coalition for Initiative Rights

This is an article about the initiative process in Oregon and the opposition of legislators to the process.  The author quotes Thomas Jefferson:  I know no safe depository of the ultimate powers of the society, but the people themselves.  And if we think them not enlightened enough to exercise their control with a wholesome discretion, the remedy is not to take it from them, but to inform their discretion.”

        Direct Democracy as a Catalyst for 21^st Century Political Reform, a research paper by Caroline J. Tobert, Assistant Professor, Department of Political Science, Kent State University

This research places the increased use of direct democracy at the state level as a component of a  larger reform movement in American politics at the end of the twentieth century - a “new progressivism.”  It argues state initiative processes, both historically and today, serve as a catalyst for reform of our political system.  Scholars, lawmakers and political activists increasingly recognize that the initiative process is an important venue for policy making in states (Bowler, Donovan and Tobert 1998; Bowler and Donavan 1998; Gerber 1999; Rosenthal 1996; Smith 1998).  This research suggested direct democracy matters, and shapes public policy across the states, especially in the area of political reform.

        The Effect of Direct Democracy on the Size and Diversity of State Interest Group Population, a research paper by  Fredrick J. Boehmke from the University of Iowa, November 14, 2001

This paper studies the effect of direct democracy on the size and diversity of state interest group populations, providing an empirical test of a formal model of how access to the initiative process affects group formation and activities (Boekmke 2000). The model predicts that more groups mobilize and become active in initiative states; this prediction is confirmed by the regression analysis in this paper: direct democracy increases a state’s interest group population by about seventeen percent.  With an additional assumption, I also generate and test the hypothesis that the increase is disproportionately centered among traditionally under-represented citizen groups , relative to business and economic groups.  This hypothesis is also empirically supported: citizen interest group populations are increased by twenty-nine percent whereas the increase is only twelve percent for economic groups, suggesting that direct democracy increases diversity in interest group representation.

        Expanding Direct Democracy in the U.S.: How Far is Too Far? from a research paper by Todd Donovan from the Department of Political Science at Western Washington University

Direct democracy has not been expanded to the national level in the United States, although a majority of Americans support it and it is common in other democracies.  This paper considers some key provisions of the Democracy Act proposed by Philadelphia II and suggests some changes to make its requirements  for the passage of national initiatives more stringent. 

        Fiscal Effects of the Voter Initiative in the First Half of the Twentieth Century,  a research paper by John G. Matsusaka  from the Marshall School of Business at the University of Southern California

This paper compares the fiscal policy of initiative and non-initiative states in the first half of the 20^th century.  States  with initiatives are found to have had higher combined state and local expenditure, but lower state and higher local expenditure, after controlling for income and other demographics.   This, together with existing evidence from later in the century, suggests that the voter initiative does not have a consistent effect on the overall size of state and local government.  However, it does systematically lead to more decentralized expenditure.

        Fiscal Effects of the Voter Initiative: Evidence from the Last 30 Years, a research paper by John Matsusaka from the Marshall School of Business at the University of Southern California

This is the first large-scale statistical study of eh effects of the voter initiative in the United States, which examined state and local fiscal policies from 1960 to 1990.  When the budgetary numbers were compared for states that allow voter initiative and states that do not, several clear patterns emerged.  Initiatives led t significantly lower spending and taxes; ; led states to decentralize spending decisions, increasing local spending while decreasing spending on a state level; and led states to adopt  a less redistributional revenue system with lower broad-based axes and higher fees for services.

        For the People: Direct Democracy in The State Constitutional Tradition, a research paper by  Alan Tarr, Director, Center for State Constitutional Studies, Rutgers University

In delineating the relationship of direct democracy to the Federalist constitutional tradition, the author advances three claims.  First, the initiative fits comfortably within the state constitutional tradition.  Second, this compatibility derives from the belief that the primary danger facing republican government is minority faction - power wielded by the wealthy or well-connected few - rather than majority faction.  Third, the state constitutional tradition is characterized by a distrust of government by elected representatives, which may tend to empower these minority factions. These considerations make direct democracy far more attractive

        The Fourth Branch of Government: An Analysis of the Initiative and referendum Process & How the Internet Might Improve It, a senior paper by Jan A. Schevitz from Law, Letters, & Society.

This student paper discusses shortcomings in the I&R process and how Internet voting could improve it.  Use of the Internet could increase voter turnout, provide more information to voters, and reduce the costs of launching an initiative.

        Judicial Review of Ballot Initiatives: The Changing Role of State and Federal Courts, a research paper by Craig B. Holman, Ph.D & Robert Stern from the Center for Government Studies

Direct democracy in California has found itself in the middle of the unresolved conflict between democratic governance and the judicial protection of civil liberties, with initiatives often scrutinized by the courts.  California courts, however, are not of one mind when it comes to initiatives.  Part of the reason behind the courts diverging views on judicial scrutiny of initiatives is that, depending on the level of court, judges are selected through three very different methods ranging from competitive elections to lifetime appointments.  These differences in the system of judicial selection at the state and federal court have a significant impact on California’s judicial review of initiatives.

        Power to the People: The Progressive Movement for the Recall, 1890-1920, an essay by  Rod Farmer for The New England Journal of History, Winter, 2001, Vol. 57, No 2.  PP59-83

This paper, which appeared in the New England Journal of history in 2001, reviews the historical basis for the establishment of the recall during the Progressive Era.

        Signing Initiative Petitions Online: Possibilities, Problems, and Prospects, a paper prepared for The Speaker’s Commission on The California Initiative Process by Walter Baer at the Policy Institute of California, January 22, 2001

Proponents of signing petitions over the Internet say it will lower the cost of initiative campaigns - thereby reducing the influence of well-financed interest groups - and increase the public’s participation in the process and understanding of specific measures.  Opponents question whether Internet security is adequate to prevent abuse and argue that it would create disadvantages to those who lack access to the Internet and would possibly make it too easy to qualify an initiative.  This paper discusses these issues, the current trends, and recommendations including those of the California Speaker’s Commission on the Initiative Process.

        State Regulation of the Initiative Process: Background and Analysis of Issues in Buckley versus American Constitutional Law Foundation, Inc. et al., a legal essay by T.J. Halstead, Legislative Attorney, American Law Division of the Congressional Research Service, Library of Congress

This report discusses Buckley v. American Constitutional law Foundation, Inc., et al., where the Supreme Court considered the constitutionality of various restrictions imposed by Colorado on the petition process for ballot initiatives.  The court struck down regulations requiring that circulators be registered voters and hat all circulators wear identification badges, as well as provisions requiring the disclosure of paid circulators and amounts disbursed t o each.  In reaching this decision, the Court noted that other permissible regulations served Colorado’s interest in protecting the integrity of the initiative process. As such, the Court determined tt the aforementioned provisions could not be justified in light of their violation of the right to anonymous political expression and subsequent chilling effect on free speech.

        Subversion of the Many by the Few: Some Scientific Evidence on the Initiative Process, a research study by John G Matsusaka, Marshall School of Business at the University of Southern California

Despite its widespread appeal and log history in American government, the initiative process remains controversial.  One of the most recurrent criticisms is that the initiative allows well organized and well financed special interests to subvert the policy process.  This article reports some scientific evidence on the subversion hypothesis.  For the period 1987-2000, the evidence shows that the initiative changed the course of state and local fiscal policy, but that the changes were consistent with the wishes of the majority.  None of the evidence supports the subversion hypothesis.

        The Role of Courts in the Initiative Process: a Search for Standards, a working paper by Kenneth P. Miller from the Department of Political Science at the University of California at Berkeley

The court’s role in the initiative process is more important than its role in reviewing laws passed by legislatures because judicial review is the only effective institutional check in the initiative process, and because judicial review is invoked much more regularly for initiatives than for laws passed by legislatures.  two competing views have emerged in the courts: the view that courts should vigorously exercise their role as the only check on the process.  This study examines actual outcomes of initiative challenges in three high-use initiative states (California, Oregon and Colorado) over the past four decades to measure how the competing roles play out in practice.

        The California Initiative Process: How Democratic is It? a report on the subject by the Public Policy Institute of California

California’s growing reliance on the initiative process has raised a host of policy questions, some of which have been addressed by the Public Policy Institute of California surveys that follows.  

        The Effect of Ballot Initiatives on Voter Turnout in the American States, a research paper by Caroline J. Tolbert, John A. Grummel from Kent State University, and Daniel A. Smith from the University of Denver from American Politics Research, November 20001

While existing research has challenged the notion that direct legislation attracts additional citizens to the polls, the research designs employed have not been rigorous enough to establish confidence in the findings.  This study provides more systematic evidence on the relationship between direct legislation and turnout.  The author concludes that having direct legislation on the ballot boosts turnout by around 3% - enough to swing a close election.

        The Initiative Industry: Its Impact on the Future of the Initiative Process, a research paper by M. Dane Waters

This study examines the impact the “initiative industry” has on the initiative process in the United States.  it provides information and insights on what the initiative industry is, how it has changed over the years, the impact it has had on the number of initiatives making the ballot and the subsequent success rate of these initiatives, and concludes by discussing the basic steps associated with undertaking an initiative campaign and the cost of undertaking an initiative campaign.

        The Impact of Voter Initiatives on Economic Activities, a working paper from the Department of Economics at Wellesley College by S. Brock Blomberg, Gregory D. Hess and Akila Weerapana

This paper compares the economic performance of states that have the initiative process to states that do not have it.  The findings suggest that between the years 1969 and 1986, states with initiative systems wasted between 20 and 30 percent fewer resources than non-initiative states, resulting in better economic performance in terms of higher GDF growth and faster convergence.

        The Initiative to Party: Partisanship & Ballot Initiatives in California, a journal article by Daniel A. Smith and Caroline J. Tolbert from Party Politics, Vol 7, No 6, pp. 736-757, September 23, 2000

This study examines the involvement of political parties in ballot measure contests and the impact of partisanship on initiative voting. Focusing on recent ballot contests in California, the authors find that the two major party organizations in California are actively using ballot initiatives to bolster voter turnout for their candidates, divide the opposition with “wedge” issues and promote their own party’s platform and ideology.   The study shows how political parties are shaping not only he process, but also the politics of direct democracy

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