Initiative and Referendum— Direct Democracy for State Residents August 2009 Initiative and Referendum— Direct Democracy for State Residents A Publication of the Research Division of NACo’s County Services Department Written by Christopher Markwood Research Intern August 2009 National Association of Counties 1 About the National Association of Counties The National Association of Counties (NACo) is the only national organization that represents county governments in the United States. Founded in 1935, NACo provides essential services to the nation’s 3,068 counties. NACo advances issues with a unified voice before the federal govern- ment, improves the public’s understanding of county government, assists counties in finding and sharing innovative solutions through education and research, and provides value-added services to save counties and taxpayers money. For more information about NACo, visit www.naco.org. For more information about this publication or the programs included, please contact: National Association of Counties Research Division a Phone: 202.393-6226 � Web site: www.naco.org 2 Initiative and Referendum—Direct Democracy for State Residents • August 2009 Introduction Reflecting upon his visit to America, French historian and philosopher Alexis de Toc- Overview queville observed, “To take a hand in the Initiative and Referendum (I&R) powers give regulation of society and to discuss it is his state residents the ability to have a direct biggest concern and, so to speak, the only voice in the governing rules of their state’s pleasure an American knows.”1 constitution. These processes can also be an influential tool for local officials of coun- In comparing Americans to citizens of other ties and municipalities. In many cases, local countries, he noted that, officials are faced with the difficult task of “In some countries, the inhabitants changing or creating new legislation at the seem unwilling to avail themselves state-level in order to execute county poli- of the political privileges which the cies or create ordinances that are beneficial law gives them; it would seem that to their constituents. they set too high a value upon their Since the first statewide initiative was placed time to spend it on the interests of the on Oregon’s ballot in 1904, citizens of the community; and they shut themselves twenty-four states with the initiative process up in a narrow selfishness....But if an have placed 2,153 statewide measures on the American were condemned to con- ballot, with 41% of them passing. Numbers fine his activities to his own affairs, of initiatives are much less in odd years as he would be robbed of one half of his the constitutions of only five states permit existence; he would feel an immense initiatives in odd years: Colorado, Maine, void in the life which he is accus- Mississippi, Ohio, and Washington. Since tomed to lead; and his wretchedness 1996, an average of 70 initiative measures would be unbearable.” have appeared on ballots per every two-year More than 150 years later, Alexis de Toc- election cycle. queville’s observations help explain the grow- The first means of direct democracy, the ing interest in the exercise of initiative and initiative process, consists of an effort to referendum powers. Almost half the states propose a new constitutional amendment allow residents to initiate policy actions and or statute that can be placed on the ballot to vote on the approval or disapproval of for vote by the general public. Generally, pe- laws enacted by their state government— titioners or circulators first go to the state’s Alaska, Arizona, Arkansas, California, Col- Secretary of State for approval to receive an orado, Florida, Idaho, Illinois, Maine, Mas- official petition form for their desired initia- sachusetts, Michigan, Mississippi, Missouri, tive measure and for approval to circulate the Montana, Nebraska, Nevada, North Dakota, form for signatures. It varies by state whether Ohio, Oklahoma, Oregon, South Dakota, the circulators must be eligible residents and 2 Utah, Washington, and Wyoming. (Source: electors of the state in which they are pe- Initiative and Referendum Institute.) titioning. Once they accumulate a certain number of signatures (typically a set percent- age of the eligible voters), the proposal either 1 De Tocqueville, Alexis, Democracy, vol- gets directly placed on the ballot for a vote ume 1 (New York, NY: Vintage Books, 1990): 250. by the people (“direct initiative”), or it first 2 Initiative and Referendum Institute goes to the legislature for a vote and then National Association of Counties 3 gets placed on a ballot if passed (“indirect an application to petition for an initiative initiative”). Of the twenty-four states that measure. Usually, the circulators must have have the initiative process, 18 allow for the the sponsorship of several state residents proposal of constitutional amendments and for their application to be approved. If ap- 21 allow for the proposal of state statutes. proved, the state officer provides the official The second measure of direct democracy initiative form to the circulator. Circulators consists of a proposal to repeal a law that are then required to obtain the signatures of was previously passed by the legislature, a required percentage of the state’s residents known as a veto referendum. In a process by a set date in order to pass the petition on similar to the initiative, a set number of sig- to the next step. After a petition is filed with natures must be collected on a petition form, the necessary number of signatures, the state then the law gets placed on the ballot for then verifies the validity of the signatures, a chance to be vetoed by the general pub- typically through random sampling. From lic. In total, 24 states allow the referendum state-to-state, discrepancies in I&R regula- process—although this process occurs less tions come from the signature requirements, frequently than initiatives. type of process that initiatives take (either direct or indirect), and the types of legisla- Despite many states having differing rules tion that can be sent to the ballot (amend- that regulate I&R processes, several com- ments or statutes). monalities in process exist amongst all the states. Typically, the state’s first step requires The following section and tables provide de- the circulators to present the state’s Secre- scriptions of each state’s requirements and tary of State (occasionally it is the Lieuten- regulations on the initiative and referendum ant Governor or the Attorney General) with processes. 4 Initiative and Referendum—Direct Democracy for State Residents • August 2009 State-by-State Summary the State Constitution, the state lays out the Alaska framework for its legislative process as fol- As the twentieth initiative state, Alaska has lows: permitted the direct democracy process since it entered the United States in 1959. Accord- “The legislative power of the people of ing to Article 11 of the State’s Constitution, this State shall be vested in a General “The people may propose and enact laws by Assembly, which shall consist of the the initiative, and approve or reject acts of Senate and House of Representatives, the legislature by the referendum.” In Alas- but the people reserve to themselves ka, the constitution does not allow constitu- the power to propose legislative mea- tional amendments by initiative and prohib- sures, laws and amendments to the its measures that dedicate revenues, make or Constitution, and to enact or reject repeal appropriations, create courts, define the same at the polls independent of the jurisdiction of courts or prescribe their the General Assembly; and also re- rules, or enact local or special legislation. serve the power, at their own option to approve or reject at the polls any In order for a petition to be brought before entire act or any item of an appropria- the lieutenant governor, it must contain sig- tion bill.” natures of at least 10% of the electors who voted in the previous general election. Ad- According to the provisions set out in the ditionally, the petition must have signatures constitution, a requirement of 8% of legal from at least 7% of voters from three-fourths voters (based upon votes cast in the previ- of the house districts (applicable for both ous governor’s election) must sign an initia- initiatives and referendums). tive petition to propose any law, and 10% of legal voters must sign a petition to propose a In Alaska, signatures must be sub- mitted prior to the convening of the legislative session in the year in which the initiative is to appear on the ballot. The lieutenant governor shall place the initiative on the elec- tion ballot for the first statewide elec- tion that is held after (1) the petition and any supplementary petition sig- natures have been submitted, (2) a legislative session has convened and adjourned, and (3) a period of 120 days has expired since the adjourn- ment of the legislative session. Arkansas Ratified in 1910, the State of Ar- kansas gives its citizens full direct democracy through its initiative and referendum powers. In Article 5 of National Association of Counties 5 constitutional amendment. For referendums, 6% of legal voters in the state must sign the California petition to force the measure to the ballot. In Article 2 of the California Constitution, the state provides the powers of initiative Additionally, the State restricts the geo- and referendum saying, “All political power graphic distribution of petitioners so that at is inherent in the people. Government is least 5% of legal voters in 15 of the state’s instituted for their protection, security, and 75 counties must sign the petition. Upon fil- benefit, and they have the right to alter or re- ing the petition at least four months prior to form it when the public good may require.” the election with the Secretary of State, the State will directly place the measure on the In order to push an initiative measure to the ballot for state residents to vote upon.