satisfactory tax system in this country?
12. To what extent is the general property tax being reformed or
abolished?
13. Discuss the reform of land taxation.
14. Describe the nature of the income tax.
15. What are the benefits and defects of such a tax?
16. Describe the inheritance tax. What are its benefits? What are its
dangers?
17. What are the two difficulties in the way of taxing corporations?
What are some suggested methods of meeting these difficulties?
REQUIRED READINGS
1. Williamson, _Readings in American Democracy_, chapter xxxii.
Or all of the following:
2. Bullock, _The Elements of Economics_, chapter xv.
3. Ely, _Outlines of Economics_, chapter xxxiv.
4. Fetter, _Modern Economic Problems_, chapter xvi.
5. Guitteau, _Government and Politics in the United States_, chapter
xvii.
QUESTIONS ON THE REQUIRED READINGS
1. Classify the purposes of public expenditures. (Guitteau, pages 187-
188.)
2. What is the "police function" of government? (Fetter, page 241).
3. What is a franchise tax? (Guitteau, pages 201-202.)
4. What is the "magic fund" delusion? (Bullock, page 370.)
5. Distinguish between proportional, regressive, and progressive
taxation. (Bullock, page 373.)
6. What is an excess profits tax? (Bullock, pages 382-383.)
7. What is the importance of the license tax? (Bullock, pages 392-
393).
8. Distinguish between direct and indirect taxation. (Ely, pages 710-
711.)
9. What are "taxes on transactions"? (Ely, pages 719-720.) 10. What is
meant by the shifting or incidence of taxation? (Fetter, pages 252-
253.)
TOPICS FOR INVESTIGATION AND REPORT
I
1. Make a list of enterprises supported out of public funds and
providing services free to all, regardless of the payment of taxes.
2. Discover which of the following taxes are levied in your state:
general property tax, income tax, inheritance tax, poll tax, license
tax, transaction tax, sales tax, luxury tax, mortgage tax, franchise
tax, excess profits tax.
3. Are tax assessors in your locality appointed or elected? Are there
county or state boards of equalization in your state? How are these
boards chosen?
4. Interview a friendly tax assessor concerning the difficulties of
determining property values. Does he believe that people
systematically undervalue their own property? What proposals does he
make for the reform of the present method of assessment?
5. Interview a friendly taxpayer. What is his attitude toward the poll
tax? the general property tax? the income tax? What proposals does he
make for the reform of taxation in your state?
6. The general property tax in your state.
7. Status of the income tax in your state.
8. Status of the inheritance tax in your state.
9. The taxation of corporations in your state.
II
10. Federal revenues. (Guitteau, _Government and Politics in the
United States_, chapter xxix.)
11. Public expenditures. (Ely, _Outlines of Economics_, chapter
xxxi; Seager, _Principles of Economics_, chapter xxvi; Plehn,
_Introduction to Public Finance_, Part II, chapter i; Bullock,
_Selected Articles on Public Finance_, chapter iii; Ford, _The Cost
of Our National Government_.)
12. The power of Congress to tax. (Young, _The New American
Government and its Work_, chapter v; Beard, _American Government and
Politics_, chapter xiii.)
13. Taxation in American cities. (_Annals_, vol. xxviii, pages 155-
172.)
14. Personal taxes. (Fetter, _Modern Economic Problems_, chapter
xviii.)
15. The poll tax. (Bullock, _Selected Articles on Public Finance_,
chapter x.)
16. Breakdown of the general property tax. (Taussig, _Principles of
Economics_, vol. ii, chapter lxix.)
17. Protection against improper state taxation. (Young, _The New
American Government and its Work_, chapter xxv.)
18. Double taxation. (Seligman, _Essays in Taxation_, chapter iv.)
19. The corporation tax. (Seligman, _Essays in Taxation_, chapters vi
and vii.)
20. Separation of state and local revenues. (Seligman, _Essays in
Taxation_, chapter xi; Bullock, _Selected Articles on Public Finance_,
pages 445-460.)
21. Excises. (Plehn, _Introduction to Public Finance_, chapter vi.)
22. Customs duties. (Plehn, _Introduction to Public Finance_, chapter
vii.)
23. The excess profits tax. (_Annals_, vol. lxxvii, pages 147-159.)
24. The incidence of taxation. (Plehn, _Introduction to Public
Finance_, chapter xi.)
25. Financing the United States in the World War. (Plehn,
_Introduction to Public Finance_, Part iv; _Annals_, vol. lxxvii,
all.)
FOR CLASSROOM DISCUSSION
26. As a principle of taxation, which is more important, the payment
of taxes according to the benefit derived, or payment according to
ability?
27. What is the remedy when individuals conceal from the tax
authorities the amount of their intangible wealth?
28. Does the income tax constitute an undue interference in the
private affairs of the individual?
29. To what extent does the inheritance tax tend to discourage the
accumulation of wealth?
30. To what extent should the poor be taxed?
31. Can the adequate taxation of corporations be secured without
resorting to a corporation tax which shall be purely Federal in
character?
32. Should the national debt be paid? (See Bullock, _Selected Articles
on Public Finance,_ chapter xxiv.)
B. MAKING GOVERNMENT EFFECTIVE
CHAPTER XXXIII
WHO SHALL SHARE IN GOVERNMENT?
408. DISTINCTION BETWEEN CITIZENSHIP AND THE SUFFRAGE.--Citizenship
implies membership in a nation. A citizen owes allegiance to his
government, and in return is entitled to the fundamental advantages of
organized government, such as the protection of life, liberty and
property at home and abroad. Suffrage, on the other hand, is the
privilege of sharing in government by the exercise of the vote. Most
voters are also citizens, but less than a third of the citizens of the
United States are voters. Citizenship is determined by the Federal
authorities, the Constitution declaring that all persons born or
naturalized in the United States are citizens thereof. The suffrage is
a privilege which is controlled by the individual states, subject to
certain regulations imposed by the Federal government.
409. SIGNIFICANCE OF THE SUFFRAGE.--In a representative democracy such
as the United States, the question of the suffrage is of fundamental
importance. Public officials are agents which have been chosen to
administer the affairs of government. Every public official in the
United States is either chosen directly by the people, or is chosen by
agents who themselves have been selected at the polls. The right to
vote is thus the right to share in the control of government. And not
only are voters making rules and regulations for their own government,
but they are governing those citizens to whom the suffrage has not
been extended. It is because of this double responsibility resting
upon the American voter that a fundamental problem of effective
government is concerned with the suffrage.
410. SUFFRAGE IN THE SEVENTEENTH AND EIGHTEENTH CENTURIES.--In
colonial times the American suffrage was narrowly restricted. Though
the theory that all men were free and equal was known in political
circles, the actual conduct of government was largely in the hands of
the propertied classes. With a few exceptions, no Negro was allowed to
vote. As a general rule, women were also debarred from the suffrage.
Even white adults were denied the exercise of the suffrage unless they
could meet certain property and religious qualifications.
The Declaration of Independence laid emphasis upon the principle that
governments derive their just powers from the consent of the governed.
Nevertheless this principle was not held to apply to the internal
politics of the American states, and so there was at this time no
widespread feeling that all adults had an equal right to share in
government. In an important sense, the American Revolution was fought
to maintain the principle that England could not govern the colonies
without their consent. But here again it should be noted that none of
the states that won independence interpreted that principle to mean
that all of their free adult citizens had a right to govern themselves
through the vote. Colonial standards of suffrage were largely carried
over into our earlier national history, and in 1789 probably less than
five per cent of the American people were voters. Interpreted in terms
of the suffrage, American democracy was still very narrowly
restricted.
411. SUFFRAGE AS A NATURAL RIGHT.--According to the doctrine of
natural rights, all men are born free and equal, and are entitled to
certain fundamental rights of which they may not be deprived. Many of
the colonists were familiar with this theory, but not until after 1800
did it constitute an important basis for maintaining that all adult
white males were entitled to the suffrage. After the opening of the
nineteenth century, however, it was more common for propertyless men
to maintain that just as they had a natural right to life, liberty,
and the pursuit of happiness, so they had a natural right to the
suffrage. The principle that governments derive their just powers from
the consent of the governed was by many interpreted to mean that men
possessing property had no right to govern men who could not meet the
property qualifications accompanying the suffrage. The cry of "No
taxation without representation," was also raised in the interests of
white adult males who paid taxes, but who were not allowed to vote.
412. EXTENSION OF THE SUFFRAGE IN THE NINETEENTH CENTURY.--During the
first three quarters of the nineteenth century, the suffrage widened
steadily. Religious qualifications practically disappeared before
1850. After a long drawn out struggle most of the eastern states
practically eliminated the property qualification from their suffrage
laws. This change was due, in large part, to the influence of the
doctrine of natural rights. There were additional factors, of course.
In many places along the Atlantic seaboard, for example, the extension
of the suffrage was somewhat in response to the influence of the
doctrine of natural rights, but it was also partly due to the economic
pressure exerted by the increasing number of landless laborers who
were crowding into the manufacturing cities and towns.
The extension of the suffrage during this period is closely associated
with the development of the West. Whereas the eastern states removed
property and religious qualifications only after a struggle, many
western states imposed few or no restrictions upon the suffrage, but
from the start were committed to the principle of equality at the
polls. The doctrine that governments derive their just powers from the
consent of the governed was popular in the West; indeed, it was here
that the doctrine was first applied to the problem of suffrage in a
definite and practical manner. In the more sparsely settled portions
of the country, able-bodied men were more important than social
distinctions and religious ties, so much so, in fact, that some of the
western states attracted settlers by giving the vote to aliens who had
announced their intention of becoming citizens. After the Civil War
some of the southern states made similar advances to European
immigrants.
After the Civil War the suffrage movement was profoundly affected by
the Negro question. The Thirteenth Amendment, adopted in 1865, had
merely abolished slavery. In the subsequent discussion over the status
of the Negro, some white men held that the theory of natural rights
entitled the freed Negroes to the suffrage. This view was opposed by
many, particularly in the South. Nevertheless, in 1868 the Fourteenth
Amendment to the Constitution provided that any state denying any of
its male adult citizens the right to vote might suffer a reduction in
its congressional representation. Two years later (1870) the Fifteenth
Amendment went a step further, and declared that the right of citizens
of the United States to vote might not be denied or abridged on
account of race, color, or previous condition of servitude.
The nineteenth century also witnessed an increased interest in woman
suffrage. The proposition was not unknown even in colonial times, but
the earlier state constitutions and statutes had almost invariably
excluded women from the vote. After the middle of the century the
woman suffrage movement grew rapidly, stimulated, to a considerable
extent, by the movement for abolition and Negro suffrage. In 1852
Susan B. Anthony assumed leadership of the woman suffrage movement,
and in 1875 she drafted a proposed amendment to the Federal
Constitution which would provide for woman suffrage throughout the
country. The territory of Wyoming had extended women full suffrage in
1869, and a decade later the right to vote in school elections had
been extended the women of Michigan, Minnesota, and several other
States. By 1896 Colorado, Idaho, and Utah had extended full suffrage
to women.
413. DECLINE OF THE NATURAL RIGHTS THEORY.--During the latter half of
the nineteenth century the doctrine of natural rights was of declining
importance as a basis of the suffrage. The doctrine was illogical, for
not even its most ardent advocates would go so far as to maintain that
paupers and mental defectives had an inherent right to vote. Nor did
anyone claim that persons under twenty-one years of age had such a
right.
As time went on, the connection between the suffrage and the doctrine
of natural rights seemed more and more remote. Men came gradually to
believe that the suffrage was not a right but a _privilege_, and that
the capacity of the individual to use the vote in the public interest
was the factor which should determine whether or not he should enjoy
the suffrage. This changed viewpoint reflected itself in several
important shifts in the suffrage movement.
414. SHIFTS IN THE SUFFRAGE MOVEMENT.--To a considerable extent the
decline of the doctrine of natural rights was accompanied by increased
restrictions upon the right to vote. We have noted that many western
and a few southern states formerly made a practice of extending the
vote to aliens who had announced their intention of becoming citizens.
After the seventies there was a tendency for such states to withdraw
this privilege, and to make citizenship a prerequisite to voting. One
reason for this changed attitude was that as time went on immigrant
labor was less in demand in the West and South. Still another factor,
however, was the abuse of the ballot among unassimilated immigrant
groups in our cities.
After the middle of the nineteenth century, there was a growing
feeling, originating in New England and spreading westward, that
illiterate voters were a menace to sound government. Accordingly,
educational tests were imposed in a number of states. These tests
generally require voters to be able to read and write.
The enfranchisement of the Negro was followed by reaction. The
exercise of the suffrage by ignorant Negroes suddenly admitted to full
suffrage, resulted in gross abuses of political power. As a result
many southern states eventually passed laws which virtually deny the
vote to the larger part of the possible Negro electorate. In some
cases white election officials administer the educational test so
strictly as to exclude most Negroes. In other cases a property or poll
tax qualification has been used to exclude large groups of shiftless
Negroes. In still other cases a "grandfather clause" in the state
constitution exempts from the educational test all who are descendants
of persons voting before the Civil War. This allows white illiterates
to vote, but excludes illiterate Negroes.
On the other hand, the cause of woman suffrage was greatly stimulated
by the decline of the doctrine of natural rights and the rise of the
theory that civic capacity should determine the suffrage. Particularly
after 1900 did the agitation take on national importance. A national
Woman Suffrage Association was organized, and powerful pressure was
brought to bear upon persons of political influence. Between 1910 and
1912 Washington, California, Oregon, Kansas, and Arizona were won to
the cause of woman suffrage. Finally in August, 1920, the amendment
which Miss Anthony had drafted in 1875 was ratified and declared in
force. Women are now allowed the vote on the same terms as men.
415. PRESENT RESTRICTIONS ON THE RIGHT TO VOTE.--The suffrage in the
several states at the present time may be summarized as follows:
In every state voters must be at least 21 years of age. In a few
states the vote is extended to aliens who have declared their
intention of becoming citizens. In every state a period of residence
is required of voters, the usual period being between six months and a
year. Educational qualifications are imposed in about a third of the
states. A number of southern and a few northern states require voters
to be assessed for a poll tax. In practically every state such
abnormal persons as the feeble-minded, the insane, paupers in
institutions, and certain types of criminals are excluded from the
suffrage. Untaxed Indians, and foreign-born Chinese and Japanese do
not enjoy the suffrage.
416. PRESENT STATUS OF THE SUFFRAGE MOVEMENT.--The suffrage movement
has steadily increased the number of potential voters until at the
present time there are more than 30,000,000 persons in the United
States who are entitled to the vote. The important groups of the adult
population have been enfranchised, but the suffrage movement still
involves important problems. In view of our changing attitude toward
the suffrage we face four unanswered questions:
First, should the present restrictions on the suffrage be lowered?
Second, should they be made more severe? Third, in view of the fact
that naturalization automatically makes voters of many individuals, to
what extent ought the grant of citizenship to be determined by the
individual's promise as a voter? Fourth, what should be our attitude
toward Negro suffrage?
Let us summarize the fundamental considerations which must be borne in
mind in discussing the four problems suggested above. This done, we
may briefly consider the most pressing of these questions, _i.e._ that
involving Negro suffrage.
417. THE SUFFRAGE IS A PRIVILEGE AND NOT RIGHT.--The significance of
the difference between citizenship and the suffrage should be clearly
understood. Citizenship is a fundamental matter. In return for
allegiance to his government, the citizen may be considered as being
entitled to that measure of protection which is deemed necessary to
his safety and well-being. But though we speak loosely of the "right"
of suffrage, the suffrage is a privilege, not a right. The individual
cannot claim it as a corollary of citizenship. Nor does mere residence
in a democratic country entitle the individual to the ballot. The
safety and well-being of the citizen are not necessarily dependent
upon his exercise of the vote. Indeed, incapable persons may be better
off if they are excluded from the suffrage, provided, of course, that
the voting class holds itself responsible for the government of the
excluded groups. Fitness alone justifies the suffrage.
418. WHAT CONSTITUTES FITNESS?--The ballot cannot be exercised by the
unfit without endangering the whole fabric of government. But what is
the standard of fitness? The history of the suffrage in the United
States throws some light upon this question. In colonial times the
plea of the propertied classes was that fitness was primarily a matter
of racial origin, the ownership of property, or church affiliation.
According to the theory of natural rights, fitness was vaguely
associated with manhood and citizenship. More recently we have come to
believe that while many factors influence the capacity of the voter,
such factors as religion, racial origin, and ownership of substantial
amounts of property, are not vital. A definite standard of fitness has
never been established, but at least we can say that fitness means
both the desire and the capacity to serve the state by an honest and
intelligent use of the ballot.
419. THE QUESTION OF NEGRO SUFFRAGE.--We are beginning to suspect that
the attention attracted by Negro suffrage is due, not so much to the
injustice of disfranchising the Negro as to the spectacular
circumstances surrounding the American Negro. It is unjust, of course,
to exclude the Negro from the vote merely because of his race. But
exclusion of Negroes not qualified to make an intelligent use of the
ballot is no more unfair than are the educational tests imposed by
many northern states. To exclude illiterate Negroes from the vote, and
at the same time to allow illiterate whites the ballot, is, on the
other hand, manifestly unfair. But far more productive of good than
debating this unfairness is the attempt to fit the Negro for the vote
as a prerequisite to his exercise of it. During this preparation the
Negro should have before him the incentive of securing the ballot when
he has made sufficient progress in education and civic responsibility.
420. PROBLEM OF AN INTELLIGENT ELECTORATE.--The problem of building up
an intelligent electorate gives rise to two additional questions:
First, how may the enfranchised classes be trained to a full
realization of their civic responsibilities? Second, to what extent is
intelligent voting dependent upon actual exercise of the suffrage? The
first question has been treated elsewhere, and we may close this
chapter with a brief consideration of the second question.
It is maintained by some that no one should be admitted to the
suffrage who has not first demonstrated his capacity to use the vote
intelligently. Others reply that this capacity comes only through
actual exercise of the vote. The solution of this problem probably
lies in a judicious combination of theory and practice. A boy cannot
learn to swim by standing on the bank and forever listening to
theoretical instruction; on the other hand, it may prove fatal to push
him into deep water without preparation for that step. Instruction and
practice must go hand in hand, wisely interwoven and harmonized.
Similarly, it would seem, one way to secure an intelligent electorate
is to admit individuals to the suffrage only when they demonstrate a
minimum capacity for civic service, but at the same time to recognize
that _full_ moral development can come only through actual exercise of
the vote.
QUESTIONS ON THE TEXT
1. Distinguish between citizenship and the suffrage.
2. Why is the suffrage important in a representative democracy?
3. Discuss the suffrage in colonial times.
4. What was the probable extent of the suffrage in 1789?
5. What is the doctrine of natural rights?
6. How was this doctrine applied to the question of the suffrage?
7. Why was the suffrage in the eastern states widened in the
nineteenth century?
8. Discuss the suffrage in the new West.
9. Describe the enfranchisement of the Negro.
10. Outline the early development of the woman suffrage movement.
11. Discuss the decline of the natural rights theory.
12. Outline some recent shifts in the suffrage movement.
13. Enumerate the present restrictions on the right to vote.
14. What is the present status of the suffrage movement?
15. What is meant by saying that the suffrage is a privilege and not a
right?
16. What is meant by saying that "fitness" is the basis of the
suffrage?
17. What can be said as to the question of Negro suffrage?
18. To what extent does intelligent voting depend upon actual exercise
of the ballot?
REQUIRED READINGS
1. Williamson, _Readings in American Democracy,_ chapter xxxiii.
Or all of the following:
2. Beard, _American Citizenship,_ chapter vi.
3. Cleveland, _Organized Democracy,_ chapters x and xii.
4. Porter, _A History of Suffrage in the United States,_ chapter i.
5. Seymour, _How the World Votes,_ vol. i, chapters i and ii.
QUESTIONS ON THE REQUIRED READINGS
1. What is the relation of political to civil liberty? (Beard, pages
64-65.)
2. Name some groups of people who were excluded from the suffrage in
colonial times. (Porter, page 5.)
3. What were some of the early arguments for giving propertyless men
the vote? (Beard, pages 66-67.)
4. What was Dorr's Rebellion? (Beard, page 69.)
5. What is the significance of the "foreign vote"? (Beard, pages 73-
74.)
6. What are the four theories of suffrage? (Seymour, pages 1-2.)
7. In what form did the suffrage enter the American colonies?
(Seymour, page 9.)
8. What theory of suffrage supplanted the theory of natural rights?
(Seymour, pages 13-14.)
9. What effect has the suffrage upon the individual? (Seymour, pages
15-16.)
10. Discuss the educational test. (Cleveland, pages 172-174.)
11. To what extent is bearing arms against the country a
disqualification for voting? (Cleveland, page 176.)
12. What is the purpose of compulsory voting? (Cleveland, pages 176-
178.)
TOPICS FOR INVESTIGATION AND REPORT
I
1. Civil rights guaranteed by the constitution of your state.
2. History of woman suffrage in your state.
3. Citizenship as a prerequisite for voting in your state.
4. Present restrictions on the right to vote in your state.
5. List the groups or classes of people in your community who are not
allowed to vote. What is the proportion of these classes to the total
population of the community? What per cent of these excluded classes
are aliens? What is the basis for exclusion in each case? Would you
favor the extension of the vote to any of these groups? Explain.
II
6. Colonial suffrage. (McKinley, _The Suffrage Franchise in the
Thirteen English Colonies in America_; Cleveland, _Organized
Democracy_, chapter x.)
7. Dorr's Rebellion. (Consult any standard text on American history or
an encyclopedia.)
8. Suffrage and the frontier. (Seymour, _How the World Votes_, vol. i,
chapter xi.)
9. Property and tax-paying qualifications in the nineteenth century.
(Porter, _A History of Suffrage in the United States_, chapters ii-
iv.)
10. Woman suffrage in the nineteenth century. (Consult Porter,
Seymour, or the _Cyclopedia of American Government_. [Footnote:
Throughout the remainder of this text the student will find it to his
advantage to make frequent use of the _Cyclopedia of American
Government_, edited, in three volumes, by A. C. McLaughlin and A. B.
Hart. N.Y. 1914. Appleton and Company. This cyclopedia will furnish
considerable material for students seeking either general information
on political subjects, or special information for topic work. ])
11. History of the Nineteenth Amendment. (Consult American Yearbooks,
and also newspaper files for August, 1920.)
12. Effect of the Fourteenth and Fifteenth Amendments upon the
suffrage. (Kaye, _Readings in Civil Government_, pages 113-116.)
13. Negro suffrage. (Consult an encyclopedia, or any standard work on
American government.)
14. Types of individuals who are excluded from the suffrage.
(Cleveland, _Organized Democracy_, chapter xii.)
15. Duties of the American voter. (Forman, _The American Democracy_,
pages 14-15.)
FOR CLASSROOM DISCUSSION
16. To what extent is the doctrine of natural rights still influential
in American political discussions?
17. Do you favor an amendment to the Federal Constitution, providing
that no state may extend the suffrage to persons who are not citizens
of the United States?
18. How long should a potential voter be required to live in a state
before being allowed to exercise the ballot?
19. To what extent does the educational test show the fitness of the
individual to make the right use of his vote?
20. Should all convicted criminals be denied the vote during the
remainder of their lives?
21. Just what constitutes fitness for the suffrage?
CHAPTER XXXIV
THE POLITICAL PARTY
421. NATURE OF THE POLITICAL PARTY.--A political party may be defined
as a voluntary association of voters, entered into for the purpose of
influencing elections to public office. The individuals comprising a
party have certain broad political principles in common, and these
they seek, by organized effort, to have applied to actual government.
Just as individuals differ on matters of business or religion, so it
is human nature for the voters of a community to form varying opinions
as to the nature, functions, and methods of government. And just as
men tend to draw away from those with whose opinions they do not
agree, so they tend to draw toward those with whom they are in
agreement, and with whose co÷peration they may advance principles of
mutual interest. It is this natural tendency of men, first, to differ
with one another, and second, to form associations for the advancement
of mutual aims, that has led to the formation of political parties.
422. DEVELOPMENT OF PARTIES IN THE UNITED STATES.--The American
political party is older than the nation. Differences of political
opinion divided the American colonists into Whigs and Tories. Later,
party spirit was manifested in the formation of the Revolutionary
committees of correspondence. The struggle over the Constitution of
1787 divided men into Federalists and Anti-Federalists. The question
of a broad or a strict construction of the constitution, the tariff,
and the problem of slavery in the territories,--these are a few of the
great national issues that have influenced party lines. Before the
Civil War party spirit had extended to all parts of the country,
evidencing itself in a number of party organizations. Many of these
organizations proved temporary, but since the Civil War party lines
have been relatively fixed. For more than a half century there have
been two great parties, the Democratic and the Republican. Third
parties have been either temporary or relatively unimportant.
423. PARTY ORGANIZATION.--There is no constitutional basis or
provision for American political parties, nevertheless each of the
great parties has built up a powerful organization which co÷rdinates
party members in every part of the country. In practically every
township, village, election district, and city ward there are party
agents and local committees whose work it is to promote the interests
of the party both at election time and between elections. The local
party workers constitute a link between individual voters and the
county or State committees, while these latter groups in turn connect
with the national committee of the party.
It is the work of all those officially connected with this centralized
organization to win adherents to the party standard, to place issues
before the voters, to stimulate interest in candidates, to organize
meetings and clubs, to collect funds for party support, to secure the
registration of voters, and to see that they get to the polls. Party
opinion is formed by means of personal contacts, campaign literature,
speeches, parades, and every manner of propaganda. Party opinion is
formally expressed through the caucus, the primary, the convention,
and the regular election. (See Sections 435-438.)
424. SERVICES PERFORMED BY THE POLITICAL PARTY.--The political party
performs three great services. [Footnote: The following arrangement of
the services of the political party was suggested to me by Professor
W. B. Munro, of Harvard University. For a fuller discussion see
Chapter XXII of his _The Government of the United States_, The
Macmillan Company, New York, 1919.]
The first of these is that the party provides machinery which bridges
over the gaps between local, state, and National government.
Similarly, it often serves to bring the executive, legislative, and
judicial branches of government into harmony with one another. The
check and balance system so divides authority in American government
that in many ways the different branches and divisions of government
are unco÷rdinated. The party facilitates the working of American
government because party members affiliated with one division of
government will tend to co÷perate with members of the same party who
may be in control of other divisions of government. For example, a
Democratic governor tends to co÷perate with the Democratic members of
the state legislature. Similarly, a Republican President will tend to
work in harmony with those members of his party who are in control of
purely state government.
The second great service performed by the party is that it formulates
public issues and presents them in concrete shape to the voters. Just
as in industry it is the function of the entrepreneur to co÷rdinate
the other factors of production, so in government it is the function
of the politician to act as a co÷rdinator. Indeed, President Lowell
calls the politician a broker, without whose services popular
government would be impossible. If voters went to the polls with no
previous agreement as to candidates or issues, but each determined to
vote for whomever he liked, thousands of names might be found on the
ballot. If a majority were required to elect, no individual would be
chosen. The party thus performs a valuable service by formulating
those principles which will attract the greatest number of voters, and
by definitely associating those principles with particular candidates.
These issues and these candidates the party places squarely before the
electorate, to the exclusion of minor issues and unimportant
candidates. The party is thus a means whereby democracy makes up its
mind, and expresses that mind with a minimum of confusion and
disorder.
The third great service of the political party is that it provides a
means of collective and continuing responsibility in politics. If a
candidate were not affiliated with any political party, misbehavior in
office might result in his removal or in his failure to secure
reŰlection. But here responsibility would end. When, on the other
hand, the party selects, supports, and vouches for a candidate, the
party constitutes a definite and permanent pledge to the voters. Thus
the party is stimulated to select its candidates carefully, lest their
incompetence or dishonesty fatally injure the reputation of the party.
The past exploits of the party are appropriated for future campaigns;
conversely, the failure or misbehavior of an officeholder will be
pointed out by his political enemies as typical of the party to which
the unfortunate man belongs.
425. THE ABUSE OF PARTY POWER.--Though party government confers
substantial benefits, it is likewise true that the power of the
political party has been frequently abused. American party
organizations sprang up silently, and developed largely without legal
control. Increased power has been accompanied by diffused
responsibility; increased power and diffused responsibility have led
to the abuse of power. The evils of the party are numerous, and only
those of fundamental importance can be discussed in this text. Some of
these evils will appear in successive chapters; a few may be treated
here. In every case, it should be borne in mind, the basic defect of
party government is that the party has tended to use its power
primarily for private rather than public ends.
426. CAMPAIGN CONTRIBUTIONS.--Throughout much of our national history
one of the great evils of the political party has had to do with
contributions to the campaign fund. A few decades ago it was the
custom of parties, not only to accept large sums of money from special
interests, but actually to demand substantial contributions from
railroad and other corporations on pain of unfriendly legislation when
the party got into power. In our cities gambling houses and other
vicious interests habitually contributed to the campaign fund of the
party, with the understanding that the party so supported would, if
successful at the polls, protect these unlawful businesses. Large
amounts were also secured from officeholders who feared to incur the
ill will of the party by refusing to contribute to the campaign fund.
The enormous sums got together from these various sources were used to
finance election contests, the peak being reached when in the
presidential election of 1896 the Republican party is said to have
spent more than $7,000,000. The source of most of this sum was unknown
to the general public.
Fortunately, recent legislation has remedied a considerable measure of
the evils attending unrestricted contributions to the campaign fund.
Laws now prohibit party agents from seeking contributions from the
holders of Federal civil service offices. In 1910 and 1911 Congress
passed Acts providing that a candidate for Representative to Congress
may not expend more than $5000 toward his election, while a United
States Senator may not spend more than $10,000 for a similar purpose.
Other laws specify the purposes for which campaign money may be spent.
In presidential and congressional elections the treasurer of the
national committee of each party must now report the entire campaign
fund contributed and expended, giving the name of every individual
contributing over $1000, and also furnishing an itemized statement of
all expenditures over $10. This report is filed with the clerk of the
House of Representatives, and is open to the public.
There can be no doubt but that these and similar laws have operated to
deprive the campaign fund of many of its illegitimate features. Most
of the money now expended by parties is secured from a large number of
small contributions. This not only lessens the control of party
policies by special interests, but it also serves to make the party
more responsible to the rank and file of the organization.
427. PARTY DOMINATION OF NOMINATIONS AND ELECTIONS.--A great problem
of party government is to prevent parties from unduly influencing the
choice of public officials. Leaving until later the general question
of nominations and elections, it may be pointed out here that very
often the whole weight of party power is directed toward securing the
election to office of candidates deemed desirable by the party
machine. The political "boss" has consistently used his power to
manipulate the caucus or the primary so as to advance his own
interests at public expense. Caucuses have been held without proper
notice being given, and party henchmen have been employed to work for
an inside clique or ring. Formerly the rolls of party members were
padded with the names of men dead or absent. Too often elections were
characterized by the stuffing of ballot boxes, the intimidation or
bribery of voters, and the practice of voting more than once. The
effect of these and similar practices has been to thwart the will of
the majority of party members, and to elevate self-interest above the
general welfare.
The last few decades of American political history have been
characterized by a number of laws designed to safeguard the process of
nomination and election. In practically every state in the Union there
are corrupt practices acts which aim not only to prevent the misuse of
the campaign fund, but to control the party in other respects also. In
all but two states registration is a prerequisite to voting. The
introduction into this country of the Australian ballot, and its rapid
spread among the states after 1890, has made the ballot secret. By
preventing the intimidation of the voter, and by otherwise
safeguarding his rights at the polls, ballot reform has remedied many
abuses which formerly resulted in illegal and unrepresentative
elections. Bribery and illegal voting are no longer glaring evils. It
is now the general practice for state laws to provide definite polling
places, and to guard the receiving and counting of the ballots.
428. THE SPOILS SYSTEM.--During the first forty years of our national
life it was taken for granted that subordinate executive officials
should continue in office during good behavior, regardless of a change
of administration. After President Jackson's first term, however, it
became the general practice for the incoming party to use offices to
reward party supporters. Senator Marcy's original declaration that "to
the victor belongs the spoils," was accepted by both Democratic and
Republican parties. Each party, upon coming into power, habitually
turned out appointive officials placed in office by the opposition
party. The positions thus made vacant were filled by individuals from
the ranks of the victorious party.
The spoils system is a serious evil for which party spirit must be
held accountable. By virtue of their patronage, party leaders have
exercised an undue influence over the rank and file of the party.
Frequently a candidate has been named for office, not because he
possessed marked capacity for public service, but because he showed
promise of being a good vote-getter at election time. Very frequently,
therefore, officeholders have secured their positions as the reward of
party support, rather than because of merit. The spoils system has
encouraged the holders of executive offices to pay more attention to
the political fortunes of their party than to their public duties.
Knowing that with a change of administration they would probably be
ousted to make room for the supporters of the rival party, officials
have been tempted to use public office for personal ends.
The spoils system still constitutes a defect in American government.
Nevertheless something has been done toward eliminating its worst
features. The Civil Service Act of 1883 provided that more than 12,000
Federal executive offices should be filled by competitive examinations
rather than by political appointment. The Federal Civil Service System
has been subsequently extended until at the present time about two
thirds of the administrative offices in the Federal government are
filled on the merit plan. In many sections of the country the merit
plan has also been used to fill state and municipal offices. Though as
yet limited in scope, it would appear that the future will see a
steady expansion of the merit plan in local and state as well as in
the National government.
The essential feature of this system, whether in local, state or
National government, is that officeholders secure their positions on
the basis of individual merit. In theory at least, they are little
affected by changes of administration. Both retention of office and
promotion are on the basis of merit, though the standards by which
appointees are judged have not yet been perfected.
429. EXTENSION OF FAVORS TO SPECIAL INTERESTS.--The tendency of the
political party to extend special favors to private corporations has
constituted a serious evil in American politics. In some instances
powerful corporations have corrupted party politics; in other cases
party organizations have blackmailed corporations under the threat of
unfriendly legislation; in many other cases both party and
corporations have been to blame. In every case, however, the essential
fact is that often the party has been used for the advancement of
special interests rather than to promote the general welfare.
Unfavorable legislation has been bought off and favorable laws secured
by trusts, public service corporations, and other large industrial
interests. Exemption from prosecution has been purchased by gambling
houses and other illegal businesses. Public service corporations have
secured valuable franchises for inadequate consideration. Contracts
for paving and other public works have many times been awarded, not to
firms offering the best work at the lowest price, but to incompetent
or dishonest corporations. Such contracts have been secured by these
corporations because of favoritism shown them by political henchmen
holding office under the spoils system.
Notable headway has been made in checking these evils. The regulation
of the railroads by the Interstate Commerce Commission renders it
difficult for railroad corporations unduly to influence party
policies. Anti-trust legislation has similarly checked the political
activities of other great industrial combinations. There is a growing
tendency for states to pass laws forbidding or restricting the
maintenance of lobbies in legislative halls. Many recent state
constitutions narrowly restrict the franchise-granting power. Corrupt
practices acts forbid party contributions from corporations. The Civil
Service System renders less easy the unfair award of government
contracts to private corporations.
430. DECLINE OF PARTY ABUSES.--It is clear that the development of
party government in this country has been attended by important
benefits and serious evils. But the best authorities agree that the
merits of the party system outweigh its defects. Hence our problem is
not how to destroy the system, but how to regulate it so that we may
secure the benefit of its services and avoid the evil results of its
defects. The experience of the last half century is heartening, and it
must be admitted, not only that party abuses have declined, but that
there is good reason to believe that they will continue to decline. In
our attitude toward the political party we must distinguish, as Burke
distinguished, between the legitimate form of the party and its
perverted form. The perverted forms of party organization call for
censure and attack; the legitimate features of the party deserve our
appreciation and support.
431. DUTY OF PARTY SUPPORT.--Parties seem to be inevitable, for no one
has yet shown how representative government can be carried on without
them. Since the average voter cannot make his influence felt except
through organization and mass action, it is, as a rule, as futile for
the individual to cast his vote regardless of party affiliations as it
is for a soldier to fight without regard for army discipline and
organization. Parties are the result of compromises, and the
individual must be willing to shelve minor issues for the sake of
uniting with his fellows upon vital issues. Ordinarily, the individual
will best perform his civic duties by affiliating himself with some
political party.
But we are coming to believe that the necessity of party support in
National and state elections does not imply that party support is
necessary in local elections. In National politics each party
generally has a definite policy with regard to taxation, the tariff,
armaments, and other debatable issues. Support of the party for the
realization of its program on these matters may be justifiable; on the
other hand, loyalty to party in local politics may be an evil. There
is no Democratic way of cleaning a street, and no Republican method of
fighting a fire. Thus the same citizen who may be under a moral
obligation to support some party in National and state politics, may
be under a similar obligation to make his choice of local candidates
independent of party. A desirable development, in this regard, is the
recent tendency for some municipal elections to be decided regardless
of the party affiliations of the candidates.
432. INTEGRITY IS ABOVE PARTY.--Young people are commonly advised to
affiliate themselves with that political party which seems most
adequately to express their political ideals. But though this is a
method of conserving political energy, no citizen ought to support a
party which has ceased to represent him on matters which he considers
of vital importance. When the party machine sets itself up as an end
rather than a means, and when it emphasizes gain to a few rather than
benefits to the party as a whole, then it is time for honest men to
abandon their party. Integrity is above party. The slogan, "My party
right or wrong" is not only stupid but treasonable. Let the citizen be
eager to co÷perate with his fellows for the advancement of common
political views, but let the corrupt party be abandoned.
433. RESPONSIBILITY OF THE INDIVIDUAL FOR PARTY ABUSES.--Nothing
could be more mistaken than the belief that defective government is
due primarily to the existence of an entity known as the political
party. The party is merely an association of individuals, and if it is
corrupt it is so because of the corruption of the individuals
comprising it. It is time that political pessimists stopped blaming
the party for the defects of party government, and time they began to
see that the indifference and shortsightedness of the individual voter
is at the bottom of the trouble. One of the greatest sources of
corruption in American life is the knowledge of political bosses that
many of their adherents will follow the party standard regardless of
its platform and no matter what the character of its candidates. The
party boss is given an opening when individuals neglect to perform
their civic duties. The failure to vote, or to serve in office when
the opportunity offers, the failure either to protest against
candidates chosen unfairly, or to demand an accounting of
officeholders, spell corruption and inefficiency in government.
QUESTIONS ON THE TEXT
1. Define a political party. Why have parties arisen?
2. Trace briefly the development of parties in the United States.
3. Outline the organization of a political party.
4. Explain clearly the three great benefits of party organization.
5. What is the basic defect of party government?
6. What can be said as to contributions to the campaign fund of
political parties?
7. Name some methods whereby the party boss may dominate nominations
and elections. Outline some laws designed to safeguard nominations and
elections.
8. What is the spoils system and when did it arise?
9. What effect has the merit plan had upon the spoils system?
10. Are party abuses declining or increasing?
11. Distinguish between the duty of party support in National and
perhaps State elections, and the duty of such support in local
elections.
12. Under what circumstances should an individual abandon his party?
13. To what extent is the individual responsible for party abuses?
REQUIRED READINGS
1. Williamson, _Readings in American Democracy_, chapter xxxiv.
Or all of the following:
2. Bryce, _Modern Democracies_, vol. i, chapter ii; vol. ii, chapter
xl.
3. Guitteau, _Government and Politics in the United States_, chapter
xxxvi.
4. Munro, _The Government of the United States_, chapters xxii and
xxiii.
5. Woodburn, _Political Parties and Party Problems_, chapter xv.
QUESTIONS ON THE REQUIRED READINGS
1. What was Washington's opinion of the political party? (Munro, page
313.)
2. Who were the Federalists? (Guitteau, pages 455-456.)
3. Discuss the principles of the Democratic-Republican party.
(Guitteau, pages 456-457.)
4. What was the origin of the National-Republican party? (Guitteau,
pages 457-458.)
5. What was the origin of the Democratic party? (Guitteau, page 457.)
6. What part have third parties played in our history? (Guitteau,
pages 459-460.)
7. What three sets of men exist in every party? (Bryce, vol. i, pages
126-127.)
8. What are the three contributions of the United States to political
science? (Bryce, vol. ii, page 27.)
9. What are the two aims of party organization? (Bryce, vol. ii, page
32.)
10. What is the relation of the party to national unity? (Bryce, vol.
ii, pages 43-44-)
11. In what way does the party stabilize popular government? (Bryce,
vol. ii, pages 44-45.)
12. What is the relation of constancy and faithfulness to the safety
of the Republic? (Woodburn, page 338.)
TOPICS FOR INVESTIGATION AND REPORT
I
1. Which party occupies the dominant position in the political life of
your community? Find out why it holds this position.
2. The history of third parties in your section, _i.e._, parties other
than the Democratic and Republican parties.
3. The organization of any political party having official
representatives in your community.
4. The work of local political committees in your community
immediately preceding election.
5. Corrupt practices acts in your state.
6. The Civil Service System in your state.
7. Make a study of the different political parties with a view to
determining which you would prefer to join.
II
8. Origin and growth of parties in the United States. (Beard,
_American Government and Politics_, pages 103-108; Guitteau,
_Government and Politics in the United States_, chapter xxxvi; Bryce,
_The American Commonwealth_, vol. ii, chapters liii and liv; Ford,
_The Rise and Growth of American Politics_, chapter vii.)
9. Characteristics of the political party. (Ray, _Introduction to
Political Parties and Practical Politics_, chapter i.)
10. Distrust of parties in our early history. (Jones, _Readings on
Parties and Elections in the United States_, pages 28 36.)
11. The spoils system. (Bryce, _The American Commonwealth_, vol. ii,
chapters lxv and lxvii; Ray, _Introduction to Political Parties and
Practical Politics_, chapter xiv.)
12. "Why the best men do not go into politics." (Bryce, _The American
Commonwealth_, vol. ii, chapter lviii.)
13. Campaign contributions. (Brooks, _Corruption in American Politics
and Life_.)
14. The party ring. (Bryce, _The American Commonwealth_, vol. ii,
chapters lxiii and lxiv.)
15. The state boss. (Reinsch, _Readings on American State Government_,
pages 432-434; Ray, _Introduction to Political Parties and Practical
Politics_, chapter xvi.)
16. How the party machine works. (Ford, _The Rise and Growth of
American Politics_, pages 294-333; Kaye, _Readings in Civil
Governments_, pages 373-377; Jones, _Readings on Parties and
Elections in the United States_, pages 175-178; Lowell, _Public
Opinion and Popular Government,_ chapter vi.)
17. Party government in England and in the United States. (Jones,
_Readings on Parties and Elections in the United States_, pages I-II.)
18. Necessity of strong parties in the United States. (Jones,
_Readings on Parties and Elections in the United States_, pages 20-
27.)
19. The struggle for good government. (Hammond and Jenks, _Great
American Issues_, chapter v.)
20. The citizen and the party. (Bryce, _Hindrances to Good
Citizenship_, all; _Hughes, _Conditions of Progress in Democratic
Government_, lectures in and iv; Root, _Addressee on Government and
Citizenship_, pages 1-77.)
FOR CLASSROOM DISCUSSION
21. Do third parties serve a useful purpose?
22. Should we pass laws limiting the total amount which any political
candidate may spend in the campaign for nomination and election?
23. What are the advantages and disadvantages of placing party emblems
at the head of ballots?
24. To what extent will civic education remedy the evils of the spoils
system?
25. How will you determine which party you prefer to affiliate with,
when you become of age?
26. How would you determine whether or not an individual ought to
abandon his party? Suppose that an individual has severed connections
with a party which he had reason to suppose was corrupt. Under what
circumstances should he return to the ranks of that party?
CHAPTER XXXV
CHOOSING THE AGENTS OF GOVERNMENT
434. THE PROBLEM.--In an important sense, good government is a matter
of getting the right men into office, hence one of the most vital
problems in American democracy has to do with the choice of public
officials. In any representative democracy nominations and elections
must be a difficult and complex matter; in the United States the
problem is rendered doubly difficult by the great size of the country,
and by the rapidity with which its population is increasing. In this
country hundreds of thousands of public officials are placed in office
annually, all of them either elected at the polls, or chosen by agents
who are themselves elected.
The problem before us involves four questions: First, how can we
perfect the mechanism by means of which the officers of government are
selected? Second, how can we elect officials who represent a
_majority_, rather than a _plurality_ [Footnote: See Section 444.], of
those actually voting? Third, how can voters be helped to make
intelligent choices at the polls? Fourth, how can we encourage
qualified voters to make an habitual use of the ballot?
435. NOMINATION BY CAUCUS.--One of the earliest methods of choosing
party candidates in this country was by means of the caucus. The
caucus was an informal meeting in which the local members of a
political party nominated candidates for town and county offices.
Candidates for state offices were named by a legislative caucus, in
which legislators belonging to the same party came together and
determined their respective nominations. The legislative caucus spread
to all of the states, and in 1800 was transferred to Congress as a
mode of nominating the President and Vice-President.
After 1825 the caucus declined in importance. In the lawmaking
bodies of both nation and states there continues to be a legislative
caucus, but its influence upon the choice of public officials has
greatly diminished. Outside of the state and National legislatures the
caucus is now found only in towns, wards, and other small areas. In
these areas it is used for the purpose of nominating candidates for
local offices, and for the purpose of electing delegates to nominating
conventions. Except in some parts of New England, it should be noted,
this local caucus is now generally known as the primary.
436. RISE OF THE NOMINATING CONVENTION.--After 1825 the caucus was
largely superseded by the convention. The convention is a relatively
large meeting of party delegates chosen for the express purpose of
deciding upon party policies and candidates. The convention device was
developed, partly because party bosses had come to dominate the
caucus, and partly because the increasing population of the country
necessitated larger congregations of party members. The convention was
made possible by improved means of transportation, which allowed
relatively large groups of individuals to come together for
deliberative purposes. By 1850 all of the political parties had
adopted the convention plan for the nomination of candidates for most
local, state, and National offices.
437. DECLINE OF THE CONVENTION.--The convention was an improvement
upon the caucus in that it allowed a greater number of party members
to participate in nominations. Unfortunately, delegates to the
convention continued to be chosen in local caucuses, where the party
"ring" or machine usually determined the choice of delegates. Bosses
prepared "slates," bribed delegates, and otherwise manipulated what
was supposed to be an expression of the party will in convention. In
many cases the convention became-merely a cut-and-dried affair in
which party members ratified nominations previously agreed upon by
party leaders.
In the latter part of the nineteenth century, and especially after
1900, these defects stimulated the development of measures designed to
reduce or eliminate the abuses of the convention system. The most
important of these reform measures is the Direct Primary.
438. NATURE OF THE DIRECT PRIMARY.--The terms caucus, primary, and
direct primary are easily confused. We have seen that the local caucus
is now generally known as the primary. The essential difference
between this caucus or primary and the Direct Primary is this: in the
Direct Primary, party members vote directly for the party's candidates
at the forthcoming election; in the caucus or primary, on the other
hand, party members do not vote directly for the more important of
these candidates, but instead vote for delegates to a convention.
Later these delegates meet in convention and there vote directly for
party candidates. Thus the Direct Primary is really an election within
the party, held for the purpose of allowing party members to choose
the candidates who will represent the party at the approaching regular
election. When adopted, the Direct Primary abolishes the convention by
allowing party members to cast their ballots directly for their
party's candidates. Those individuals are nominated who receive a
plurality of all votes cast.
In most states the Direct Primary has recently been placed under
detailed legal control. Such laws generally prescribe the time and
place of holding the Direct Primary, the qualifications of those who
may participate, and the organization and general management of this
party election. There is provision for polling places, official
ballots, and election of officials, just as there is provision for
similar machinery in the regular election which follows the Direct
Primary.
439. EXTENT OF THE DIRECT PRIMARY.--Heralded as a cure for the defects
of the convention, the Direct Primary spread rapidly after 1900. By
1919 every state in the Union had adopted it in some form, and about
forty states were applying the state-wide primary. At first the Direct
Primary was used only to nominate candidates for local offices, but at
the present time state officers, and even Federal Senators and
Representatives, are often nominated by this method. In more than a
third of the states the voters at the Direct Primary are allowed to
express their preference directly for one of the candidates for the
presidential nomination. Altogether, the Direct Primary has largely
supplanted the convention in about three fourths of the states.
440. ADVANTAGES CLAIMED FOR THE DIRECT PRIMARY.--A number of important
advantages are claimed for the Direct Primary. It is said that the
device reduces the power of the party boss, and insures democratic
control within the party. Party members are more interested in the
Direct Primary than in the local caucus or primary because in the
Direct Primary they actually aid in the direct selection of party
candidates. The local caucus or primary, on the other hand, does not
directly select the more important party candidates, but can only
choose delegates to a nominating convention. Because the Direct
Primary increases the control of the individual over party policies,
it encourages active political work on the part of the rank and file.
It is maintained that the Direct Primary brings out a larger vote than
would otherwise be possible. Better candidates are secured by means of
the Direct Primary, it is claimed, because the nomination of
individuals depends upon the presentation of their claims to the
voters, rather than upon winning the favor of party bosses.
441. OBJECTIONS URGED AGAINST THE DIRECT PRIMARY.--The opponents of
the plan claim that the Direct Primary has serious faults. It is said
that in supplanting the convention the Direct Primary has made more
difficult the exchange of views and opinions among party members. It
is declared that the Direct Primary has disorganized the party and has
therefore broken down party responsibility. It is claimed that the
Direct Primary has not eliminated the boss, for rather than voting
directly for candidates of their own choice, electors must make a
selection from a list of candidates previously arranged by party
leaders. All of these candidates may be objectionable to the voter. It
is also pointed out that many worthy candidates have not the money to
defray the expense of competing in the Direct Primaries. Frequently
the "ring" brings out a number of candidates to divide the voters,
while the henchmen of the ring concentrate their votes upon one
man. Lastly, it is pointed out, the excessive number of candidates to
be selected renders it impossible for the average individual to make
an intelligent selection. In such a case, the average individual
attends the Direct Primary only to confirm the choice of party
leaders.
442. OUTLOOK FOR THE DIRECT PRIMARY.--Although there is much to be
said for and against the Direct Primary, the belief is gaining ground
that this device does not offer the final solution of the difficulty
which led to its establishment. After an exhaustive study of the
subject, Professor Munro concludes as follows: "In a word, the primary
seems to afford protection against the worst fault of the convention,
which was the frequent selection of incapable and corrupt candidates
at the behest of a few political leaders. But it has not, in twenty
years or more of experience, demonstrated that it can achieve positive
results of a measurably satisfactory character. It has not rid the
state of boss domination; it has increased the expense which every
candidate must incur, and it gives a marked advantage to the man whose
name is well known to the voters, whether he be a professional
politician or not. To say that the primary secures on the average
somewhat better results than the old convention may be stating the
truth, but it is not high praise."
443. NOMINATION BY PETITION.--The system of nomination by petition
came into use between 1880 and 1890. It provides that candidates may
be placed in nomination by filing with some specified officer
nomination papers, or petitions, signed by a specified number of
qualified voters. The filing of these papers entitles the candidates
named thereon to have their names printed upon the official ballot.
The merit of this device is that it prevents the party machine from
dictating the choice of candidates, and that it enables independent
candidates to be brought forward. On the other hand, it has encouraged
the circulation of petitions for hire.
On the whole this method of nomination is proving more and more
popular in local elections. It seems well adapted to the needs of
municipalities, for it reduces partisanship to a minimum. It is said
that in some cases it practically eliminates national politics from
local elections. The supporters of nomination by petition are
increasing, and it is now proposed to apply it to all local and state
nominations. In such an event the Direct Primary would be radically
modified, or even abolished.
444. MAJORITY REPRESENTATION.--How can we make certain that an
individual nominated or elected represents a majority of those voting?
When there are only two candidates, the one receiving the largest
number of votes receives both a plurality and a majority. But when
there are several candidates, it often happens that the individual
receiving the largest number of votes does not receive a majority.
Suppose, for example, that 100,000 votes are cast, and that A receives
20,000, B 25,000 C 30,000 and D 25,000. Ordinarily C will be declared
successful because he has received a _plurality_ of the votes cast.
But he has not received a _majority_ of the votes cast. This custom of
declaring successful the candidate receiving a plurality constitutes a
defect in our representative system, since a plurality candidate may
represent only a small minority of those actually voting.
Several attempts have been made to remedy this defect. In some
southern states it is the practice to require an absolute majority for
election. If no aspirant receives a majority, a second ballot is taken
on the two candidates standing highest on the list. In a number of
northern cities, the evil of plurality voting has been attacked
through the _preferential voting_ device. This system of voting allows
the voter to designate not only his first, but his second and third
choices as well. If any candidate receives a clear majority of first
choice votes, he is declared elected. But if no one receives such a
majority, the second choices are added to the first choices. If this
further calculation does not give any candidate a majority, third
choices are resorted to. In cities where the plan has been tried,
preferential voting is said to have proved markedly successful.
445. MINORITY REPRESENTATION.--Related to the question of making sure
that successful candidates represent a majority of those voting is the
problem of the adequate representation of the minority. The most
notorious phase of this problem has grown out of our custom of
electing one national Representative from each of the congressional
districts into which every state is divided. Often gerrymandering
[Footnote: The origin and nature of "gerrymandering" are discussed in
Chapter XLII, Sections 542 and 543.] is resorted to, that is to say,
congressional districts are so arranged as to give the minority party
overwhelming majorities in a few districts, while the dominant party
is allowed to carry the remaining districts by very small majorities.
The result is gross misrepresentation in Congress, because the party
having a bare majority often secures a large percentage of the
representatives, while the minority is very inadequately represented.
Such misrepresentation also appears in connection with the choice of
representatives to the state legislatures.
In the attempt to remedy this type of misrepresentation various plans
of _proportional representation_ have been put forth. In Illinois
members of the lower house of the state legislature have long been
chosen as follows: Each state senatorial district is given the right
to elect three assemblymen. Every elector in the district has the
right to cast three votes, one each for three different persons, or
two votes for one candidate and one for another, or all for one
candidate. By concentrating its votes upon one candidate, an average
minority can be sure of at least one representative in each district.
A plan employed in several other states likewise aims to give each
political party representation proportional to the number of votes
cast by the party, regardless of whether the number is a minority or a
majority. The principle of proportional representation, if fully
worked out, and if made simple enough to be comprehended by the
average voter, would insure majority rule and at the same time allow
the adequate representation of minorities.
446. OBSTACLES TO INTELLIGENTY VOTING.--Several obstacles to
intelligent voting in this country are intimately connected with the
long ballot. [Footnote: The term "long ballot" refers to the fact that
so many officials are elective that the ballot on which their names
appear is often of great length. The term "short ballot" refers to a
reduction of the length of this ballot by making fewer officers
elective.] The wave of democracy which swept the country in the last
century had the double effect of increasing the number of elective
offices, and of shortening the terms during which officials were
allowed to hold office. A greatly lengthened ballot, together with the
great frequency of elections, has made it impossible for the average
voter to exercise proper judgment at the polls. The difficulty of
investigating the merits of the numerous candidates, or even of
becoming familiar with their names, has discouraged many from voting.
Of those who still pretend to reach independent decisions regarding
candidates and issues, a considerable number really rely upon the
direction and advice of professional politicians. The long ballot is
the enemy of democracy, since it allows politicians, rather than the
masses, to control actual government.
447. SHORTENING THE BALLOT.--The chief remedy for these evils is the
short ballot. The essential features of the short ballot plan are as
follows: Popular elections should be resorted to only for the purpose
of choosing those officials who have to do with public policies. For
example, state voters ought to select only the governor, lieutenant
governor, and members of the legislature; city voters ought to choose
only the mayor and council; [Footnote: Where this form of municipal
government is still employed.] while county voters ought to confine
their attention to a small group of county commissioners or
supervisors. All other officials ought to be appointed, either
directly by chief executive officers, or by means of the merit plan.
Along with the shortening of the ballot, we should be increasingly
willing to allow officials to hold office for longer terms. A
supplementary feature of great value would be the establishment of
such means of popular control as would protect the public against
abuse of power by officials to whom these longer terms had been
extended.
448. MERITS OF THE SHORT BALLOT.--There can be little doubt that a
drastic shortening of the ballot would work a great improvement in our
electoral system. If the vast majority of officials were made
appointive, the voter could give more time and thought to the
consideration of a few important elective officials. A short ballot
would lessen the possibilities of manipulation by rings and bosses.
Unquestionably the interest of the voter would be quickened, since his
influence upon the political life of his community would be more
apparent. And not only would the short ballot make government more
representative, but it would help to make it more responsible.
If the majority of the administrative officials who are now elected
were made appointive, responsibility for their conduct in office could
be concentrated upon the chief executive officer appointing them.
449. THE NEGLECT TO VOTE.--The last of the vital questions arising in
connection with the choice of public officials is the matter of
encouraging the enfranchised classes to use the ballot. The long
ballot and the domination of party politics by rings and bosses
discourage many from voting, nevertheless it is probably true that the
slackness of the individual is the chief reason why voters neglect to
use the ballot. This slackness may take the form of personal
indolence, or of indifference to civic duty, or of preoccupation with
the press of personal business. When individuals are busy with their
private affairs the time needed for intelligent political action is
often begrudged. Again, the duty to vote is not always a compelling
one. When a duty is shared with innumerable other people, it appears
less of a personal duty; when the individual notes that his fellow-
citizens neglect that duty, his own tendency toward slackness is
encouraged. In a democracy, as Lord Bryce points out, "everybody's
business becomes nobody's business."
450. IMPORTANCE OF CIVIC EDUCATION.--The perfecting of our nominating
and elective machinery, together with the shortening of the ballot, is
doing a good deal to awaken interest in the proper use of the vote.
But the problems of democracy cannot be solved by purely mechanical
means. If our voters are to regard the use of the ballot as a civic
duty, we must rely largely upon civic education. Young people, soon to
be voters, must be impressed with the responsibilities of democracy.
They must be taught the vital importance of using the vote. In Belgium
and Spain it is customary to penalize individuals for neglecting to
vote, but the idea of compulsory voting is repugnant to the American
spirit. Moreover, law alone can neither build up nor sustain
individual morality. The remedy for indifference to the ballot would
seem to be not law, but the education of voters to their moral
obligation toward the government under which they live.
QUESTIONS ON THE TEXT
1. What four questions arise in connection with the choice of public
officials?
2. Describe nomination by caucus. To what extent is this method still
used?
3. Why did the nominating convention arise?
4. What forces were responsible for the decline of the convention?
5. What is the nature and purpose of the Direct Primary?
6. To what extent is the Direct Primary used in this country?
7. What are the chief advantages of this device?
8. What defects are urged against the Direct Primary?
9. What does Professor Munro conclude as to the value of the Direct
Primary?
10. What is nomination by petition?
11. What is the problem of majority representation?
12. Discuss the nature and purpose of the preferential voting device.
13. What is the purpose of gerrymandering?
14. What is the nature and purpose of proportional representation?
15. What is the relation of civic education to the proper use of the
ballot?
REQUIRED READINGS
1. Williamson, _Readings in American Democracy,_ chapter xxxv.
Or all of the following:
2. Bryce, _The American Commonwealth_ vol. ii, chapter lxvi.
3. Guitteau, _Government and Politics in the United States,_ chapter
xxxvii.
4. Ray, _Introduction to Political Parties and Practical Politics,_
chapter iv.
5. Reed, _Form and Functions of American Government,_ chapter vii.
QUESTIONS ON THE REQUIRED READINGS
1. Is the number of elective officers in the United States greater or
less than in Europe? (Bryce, page 146.)
2. How is the caucus used at the present time? (Ray, page 75.)
3. What is a "self-announced" candidate? (Ray, page 75.)
4. Describe the workings of the "nomination by petition" device. (Ray,
page 76.)
5. What evils attend the unregulated caucus or primary? (Ray, pages
80-83.)
6. Describe the work of the state nominating convention. (Guitteau,
pages 467-468.)
7. Outline the procedure in the national convention. (Guitteau, pages
471-472.)
8. What are the two chief types of Australian ballot? (Reed, pages 82-
84.)
9. What is the chief weakness of the Direct Primary? (Reed, page 87.)
10. Name some states in which the presidential preference primary is
used. (Reed, page 87.)
11. How is a typical presidential preference primary conducted? (Reed,
page 87.)
TOPICS FOR INVESTIGATION AND REPORT
I
1. Use of the caucus or primary in your community.
2. The nominating convention in your state.
3. The Direct Primary in your state or community.
4. Legal control of the Direct Primary in your state.
5. The extent to which nomination by petition is employed in your
state.
6. The representation of minorities in your state legislature.
7. Recent ballot reform in your state.
II
8. The framework of the convention. (Ford, _Rise and Growth of
American Politics_, chapter xvi; Ray, _Introduction to Political
Parties and Practical Politics_, chapter v; Woodburn, _Political
Parties and Party Problems in the United States_, chapters xi-xiii.)
9. The nominating convention at work. (Bryce, _The American
Commonwealth_, vol. ii, chapter lxx; Ray, _Introduction to Political
Parties and Practical Politics_, chapter viii.)
10. Structure of the Direct Primary. (Ray, _Introduction to Political
Parties and Practical Politics_, chapter vi.)
11. How the Direct Primary works. (Cleveland, _Organised
Democracy,_ chapter xvii; Woodburn, _Political Parties and Party
Problems in the United States,_ chapter xxi.)
12. Effect of the Direct Primary upon party organization. (Holcombe,
_State Government in the United States,_ pages 193-204.)
13. Direct nominations. (Reinsch, _Readings on American State
Governments,_ pages 383-394)
14. Tyranny of the majority. (Bryce, _The American Commonwealth,_ vol.
ii, chapter lxxxiv.)
15. Safeguarding the rights of the minority. (Gettell, _Readings in
Political Science,_ pages 322-325.)
16. The nature of proportional representation. (Jones, _Readings on
Parties and Elections in the United States,_ pages 164-168; Commons,
_Proportional Representation._)
17. Objections to the principle of proportional representation.
(Gettell, _Readings in Political Science,_ pages 324-325.)
18. Preferential voting. (_Massachusetts Constitutional Convention
Bulletins,_ 1917.)
19. The gerrymander. (Woodburn, _Political Parties and Party Problems
in the United States,_ chapter xx.)
20. The short ballot. (Childs, _Short Ballot Principles;_
Massachusetts Constitutional Convention Bulletins, 1917.)
21. What proportion of qualified voters actually use the ballot?
(Hart, _Practical Essays on American Government,_ No. 2.)
FOR CLASSROOM DISCUSSION
22. The desirability of extending the Direct Primary in your state.
23. The closed versus the open primary.
24. Advantages and disadvantages of nomination by petition.
25. Advantages and disadvantages of holding local, state and National
elections at different times.
CHAPTER XXXVI
HONESTY AND EFFICIENCY IN OFFICE
451. MAGNITUDE OF THE PROBLEM.--How can we insure the honest and
efficient administration of American government? Civic education and
the perfection of nomination and election devices will do much toward
securing this end, but there remains a troublesome question. This has
to do with reorganizing our legislative and administrative machinery,
so that public officials may be allowed or encouraged to perform their
duties in a responsible and effective manner.
The problem is a vast one, the adequate treatment of which would
require volumes. In this chapter, therefore, it will be necessary to
confine the discussion to a few of the more pressing aspects of the
problem. Of these the following are perhaps the more important: First,
the defects in legislative procedure; second, the reorganization of
state administration; third, budget reform; and fourth, the reform of
municipal government.
A. DEFECTS IN LEGISLATIVE PROCEDURE
452. AMERICAN LEGISLATURES ARE OVERWORKED.--It has frequently been
pointed out that in the United States both state and National
legislatures are overwhelmed with work. One reason for this is that
the extension of government control over industrial corporations has
rendered legislation more complex and greater in volume. The
development of public interest in health, education, and related
fields has 'of recent years markedly increased the amount of
legislation. The custom which many legislators have of attempting to
get as much special legislation for their respective districts as
possible has likewise increased the number of laws upon the statute
books. Lastly, it should be borne in mind that throughout our history
we have tended to believe legislation a cure-all for the defects of
American life. This attitude has led to an excessive number of laws on
subjects which in European countries are ordinarily left to the
discretion of administrative officials.
The combined effect of these developments has been to confront our
legislatures with so much business that honest and efficient
legislation has been rendered exceedingly difficult.
453 THE COMMITTEE SYSTEM.--The chief defects of American legislation
appear in connection with the committee system which exists in both
National and state legislatures. The committee system is the practice
of dividing the legislative body into a large number of small groups
or committees whose duty it is to consider various types of
legislative business. The great merit of this device is that it
expedites business. Indeed, the membership of our legislatures has
become so large, and the amount of legislative business has increased
so rapidly, that it is difficult to see how the committee system could
be dispensed with. Without some such division of labor, chaos and
endless delay would result. [Footnote: For the part played by the
committee system in the actual making of a law, see Chapter XLIIL]
At the same time, the committee system has numerous faults. As Lord
Bryce has pointed out, it destroys the unity of the legislature by
breaking it up into a number of small groups among which there is no
appreciable degree of co÷rdination. The committee system limits
debate. Since most committee business is transacted in secret session,
the public is deprived of light upon public affairs. So minutely does
the committee system divide legislative labor that even the most
important piece of legislation cannot secure the attention of the best
men. There is a diffusion of responsibility when various committees
work upon related problems without regard for the work being done by
one another. Finally, the committee system throws power, unaccompanied
by adequate responsibility, into the hands of the committee chairman.
454 LOG-ROLLING. Log-rolling is the trading of votes among individual
legislators. Many of the faults of our state and National legislatures
are connected with this practice. Some legislators are so intent upon
securing the passage of bills in which they are personally interested
that they are willing to vote for a fellow-legislator's pet bills,
regardless of merit, provided that legislator will return the favor.
In this way special legislation often displaces bills which are drawn
in a wider interest,--taxation, education, and other vital matters
being neglected so that members may pursue personal ends.
There is as yet no limit to the number of bills which may be
introduced by state or National legislators. As a result there is a
large number of unnecessary and hastily framed bills for which no one
is definitely responsible. It is supposed to be the duty of all
legislators to weed out bills which are poorly framed, or which are
designed to promote special interests. But in this case everybody's
business becomes nobody's business. Such machine-like formalities as
repeated readings of a bill, and a series of committee reports upon
it, are generally substituted for individual scrutiny of a measure.
455. LEGISLATIVE REFORM.--The reform of legislative procedure is
attracting an increasing amount of attention among students of
American politics. Many recent state constitutions define in detail
the powers and procedure of the state legislature. A considerable
number of states now have legislative reference bureaus, which enable
legislators to keep track of legislation in other states, as well as
to have ready access to important data bearing upon their own
problems. There is a growing tendency for state legislatures to employ
expert bill drafters to draw up laws on technical and highly-complex
subjects. The expert bill drafter and the legislative bureau help
materially to reduce the amount of defective and unwise legislation on
the statute books.
Much remains to be done, however. Important public bills ought
invariably to be given first consideration by legislators, instead of,
as is still many times the case, being put off until the end of the
session in order to allow time for log-rolling. Filibustering and
other time-wasting tactics should be curbed, because they tend to
obstruct legislation. Many students of government advocate the
extension of a plan already adopted in Massachusetts and a few other
states, whereby all bills are given a public hearing. It is also clear
that some method ought to be devised whereby the work of the various
committees dealing with related subjects could be correlated and
harmonized. Lastly, any measures which will reduce the amount of
unnecessary and ill-advised legislation must prove of great value.
B. THE REORGANIZATION OF STATE ADMINISTRATION
456. DEFECTS IN STATE ADMINISTRATION.--Originally the state
administration consisted of the Governor and a few elective officers,
notably a Secretary of State, a Treasurer, and an Attorney-General.
With the rapid development of the country, education, health,
dependency, corporations, and similar matters have required more and
more attention from state governments. To perform a host of new
functions the state administration has expanded to include numerous
commissioners, boards, and departments, some of them elected by the
people, and some of them appointed by the Governor.
This development has been haphazard, rather than orderly and planned.
As a result, the administrative department is in most states a
confused and tangled mass of boards and commissions, departments and
single offices, often duplicating the work of one another, and largely
working without any appreciable degree of co÷rdination. In most states
numerous administrative officers are elective, rather than appointive.
This situation has two drawbacks: In the first place elective
officials are responsible to no one but the people at large, and
therefore these officials cannot be _efficiently directed or
supervised_ by the Governor. In the second place, no definite person
or persons can be held _responsible_ for the conduct of this numerous
body of elective administrative officials.
457. THE REFORM OF STATE ADMINISTRATION.--The reorganization and
consolidation of state administrative offices is attracting an
increasing amount of attention. In New Jersey, Massachusetts,
Illinois, and several other states, administration has been notably
simplified and systematized. The Illinois Administrative Code of 1917,
for example, consolidated the work of more than a hundred
administrative offices into nine main departments. Each department is
in charge of a director, appointed by the Governor, and each
department is responsible to the Governor. Co÷rdination of this type
economizes time and energy, and saves the state's money by reducing
the number of salaried officials. The centralization of the entire
administration under the Governor not only allows efficient
supervision, but permits the people to hold this official strictly
accountable for the administration.
The need of reform in state administration is recognized throughout
the Union, but in most states the reorganization of administrative
offices is retarded in two ways: First, the movement is opposed by
officeholders who fear that their positions will be abolished by a
consolidation of departments; second, in many states the consolidation
of administrative offices is impossible without substantial amendments
to the state constitution.
C. BUDGET REFORM
458. THE QUESTION OF A BUDGET.--In contrast to the leading countries
of Europe, our National government until very recently had no budget
system. Some of the estimates were prepared by the administrative
departments, under the direction of the President, while other
estimates were prepared by various committees in the House of
Representatives. In Congress there was little or no co÷rdination
between the various committees considering different appropriations.
Nor were these committees properly co÷rdinated with the administrative
departments which were responsible for the original estimates.
After appropriations had been granted, Congress had no scrutiny over
the actual expenditure of the money. Thus the administrative
departments might waste their appropriations, and then secure the
passage of deficiency bills to make up the shortage. At no time did
the various departments and committees considering appropriations take
into careful account the amount of government revenue. For this reason
it was purely an accident if appropriations kept within the limits set
by available revenue.
A similar situation formerly prevailed in many of the states. The
various administrative departments transmitted to the legislature an
estimate of what each required for the coming year. These estimates,
together with an unlimited number of appropriation bills introduced by
individual members, were referred to various committees. Whether
particular appropriations were granted depended, not upon the amount
of state revenue, but upon the political pressure brought to bear in
favor of those measures. As in Congress, neither the executive nor
legislative branch of government, neither particular committees nor
individual legislators, could be held wholly responsible for any
appropriation measure. Excessive waste of public funds was the result.
459. BUDGET REFORM.--The last two decades have witnessed a growing
demand for a national budget. Under the direction of President Taft a
commission investigated the general question of responsibility in the
handling of Federal finances. The report of the committee favored a
national budget, but the unfriendly attitude of Congress checked the
movement. Interest in a national budget increased during the two terms
of President Wilson, stimulated, especially, by the wave of postwar
economy which swept the country after the signing of the armistice in
November, 1918. In the spring of 1921, a bill establishing a budget
system for the National government passed both houses of Congress, and
on June 10, 1921, the bill became law by the signature of President
Harding. This system is expected markedly to improve Federal finances.
Practically unknown a few years ago, the budget movement among the
states has spread so rapidly that at the present time almost all of
the commonwealths have some sort of budget system. Three methods of
preparing the budget are found among the several states. In some
states, as in New York, budget-making is in the hands of the
legislature; in other states, as in Wisconsin, both legislature and
executive participate in budget-making; in still other states, as
in Illinois, the executive alone is responsible for the preparation of
the budget. Many authorities claim that the last-named type of budget
preparation is preferable but, in many states it is objected to as
giving too much power to the executive.
D. THE REFORM OF MUNICIPAL GOVERNMENT
460. MUNICIPAL REFORM: CHANGES IN THE MAYOR-COUNCIL PLAN.--Until the
opening of the twentieth century practically every American city was
governed under what is known as the mayor-council plan. This plan
provides for a council to make the laws, and a mayor to act as
executive. Formerly the council of the larger cities was very often
composed of two chambers, a board of aldermen and a common council,
but of late years the single-chambered council has become more and
more common.
The mayor-council plan still prevails in most American cities,
particularly in the larger municipalities. But everywhere the growing
demand for honesty and efficiency in government is leading to the
reform of this system. In order to reduce the length of the ballot,
the appointive power of the mayor is being increased. In the interests
of economy and responsibility the administrative offices are in many
cities being consolidated, co÷rdinated and centralized under the
mayor. To guard against the abuse of financial power there is in many
commonwealths a tendency for state constitutions and statutes to limit
the debt-incurring and franchise-granting powers of city councils.
461. MUNICIPAL REFORM: THE COMMISSION PLAN.--In September, 1900, a
tidal wave seriously demoralized the mayor-council form of government
in Galveston, Texas. To meet the emergency, the state legislature
authorized the establishment of a new type of government, known as the
commission plan. Instead of selecting a mayor and councilmen, the
voters of Galveston now choose a commission of five officials. All of
these commissioners are equal in power, except that one presides as
mayor-president. The commission form of government spread rapidly,
chiefly among the smaller cities, until in 1921 there were more than
300 municipalities governed under this plan. In every case the
commission has both legislative and executive powers. Collectively the
commissioners act as a legislative body for the city, individually
they head the various administrative departments.
A number of important advantages are claimed for the commission form
of city government. Responsibility is no longer divided among mayor
and councilmen, but can be definitely placed upon the small group of
commissioners. It is believed by many that commission government
allows a greater harmony of action than is possible under the mayor-
council plan. Finally, it is declared, a group of five or seven
commissioners can administer city government with more efficiency than
can a mayor and a numerous council.
The opponents of commission government maintain, on the other hand,
that the plan is undemocratic and oligarchical because it centralizes
great power in the hands of a small group. The plan is said to
increase the danger of corruption, since appropriating and spending
powers are placed in the same hands. The opponents of this form of
government also maintain that it renders easier the corruption of the
city administration, since party bosses may easily gain control of a
few commissioners. A final, and perhaps the most serious, objection is
that commission government does not go to the logical conclusion in
concentrating responsibility. There is no head to the administration,
and no way of preventing the diffusion of responsibility among the
commissioners. Jealousy among the commissioners has often led to
friction and to working at cross-purposes. [Footnote: Of recent years
a number of cities have abandoned commission government for either the
mayor-council or the city manager plan.]
462. MUNICIPAL REFORM: THE CITY MANAGER PLAN.--A recent modification
of commission government is the city manager plan. This provides for a
small elective commission, which does not itself administer the
government of the city, but which chooses, instead, an experienced
executive or city manager. The city manager is supposed to be a non-
partisan expert whose duty it is to administer the city in accordance
with business principles. As the agent of the commission choosing him,
the city manager enforces all ordinances, prepares annual estimates,
and appoints all other city officials and employees. He also accepts
full responsibility for the administration of the city's affairs.
The first city to apply the city manager plan was Dayton, Ohio, which
began the experiment on January 1, 1914. Since that date the plan, or
some variation of it, has been established in about a hundred cities.
The city manager plan is an improvement over the commission plan, in
that it allows a greater concentration of responsibility. Another
advantage over commission government is that the city manager plan
insures a high grade of professional skill at the apex of the city's
administration. The plan appears to work well in the smaller cities,
provided a high grade manager can be found, and provided, also, that
his position can be safeguarded against corrupting political
influences.
QUESTIONS ON THE TEXT
1. What four questions are discussed in this chapter?
2. Why are American legislatures overwhelmed with work?
3. What are the merits and defects of the committee system?
4. What is log-rolling, and why is it objectionable?
5. What is the purpose of the legislative bureau?
6. What is the function of the expert bill drafter?
7. What are the chief defects of state administration?
8. What has been done to correct these defects?
9. Discuss the movement toward a national budget.
10. What are the three forms of budget making in state government?
11. What is the mayor-council plan, and what changes are being brought
about in it?
12. What is the commission plan of city government? How did it arise?
What can be said for and against it?
13. Compare the commission plan with the city manager plan.
14. What is the chief merit of the city manager plan?
Required Readings
1. Williamson, _Readings in American Democracy_, chapter xxxvi.
Or all of the following:
2. Bryce, _The American Commonwealth_, vol. i, chapter xlv.
3. Munro, _The Government of the United States_, chapter xxxi.
4. Reed, _Form and Functions of American Government_, chapter xli.
5. Illinois Efficiency and Economy Committee, Report, 1915, pages 18-
24 and 74-77.
QUESTIONS ON THE REQUIRED READINGS
1. What are the chief defects of state government in general? (Bryce,
page 556.)
2. What is a book of estimates? (Reed, page 483.)
3. Describe the procedure in Congress with regard to appropriation
bills. (Reed, page 484.)
4. How are provisions against special legislation evaded in some
states? (Bryce, page 559.)
5. Enumerate and briefly characterize the chief administrative offices
in the various states. (Munro, pages 447-457.)
6. What are the two distinctive features of state administration?
(Munro, pages 457-458.)
7. What are the chief defects of state administration? (Illinois
Report, pages 18-24.)
8. Summarize the advantages of a reorganized and consolidated state
administration. (Illinois Report, pages 74-77.)
9. What is the purpose of a "state auditing" system? (Reed, page 489.)
10. Explain the need for uniform accounts for cities and counties?
(Reed, pages 491-492.)
TOPICS FOR INVESTIGATION AND REPORT
I
1. Interview any citizen of your community who has served in the state
legislature. Ask for his personal opinion concerning the amount of
legislative business to be transacted, the workings of the committee
system, and the practice of log-rolling.
2. Status of the expert bill-drafter and the legislative reference
bureau in your state. If these devices have not been adopted,
interview or write to a member of the state legislature concerning his
opinion of these legislative aids.
3. The enactment of appropriation bills in your state legislature.
4. The development of the administrative department in your state.
5. Make a diagram showing the relations of the various boards and
commissions embraced in the administrative department of your state.
Point out instances of duplication and lack of co÷rdination. Draw up a
plan for consolidating these boards and commissions.
6. The budget in your state.
7. Form of government in your municipality.
II
8. The business of Congress. (McCall, _The Business of Congress_.)
9. The faults of state legislatures. (Kaye, _Readings in Civil
Government_, pages 282-295.)
10. The legislative reference bureau. (Reinsch, _Readings on American
State Government_, pages 63-74.)
11. History of state administration. (Illinois Constitutional
Convention Bulletins, 1920, pages 623-709.)
12. The reorganization of state government. (Munro, _The Government of
the United States_, chapter xxxvi.)
13. A National budget. (Cleveland and Buck, _The Budget and
Responsible Government_, chapters xviii-xx.)
14. State budgets. (Cleveland and Buck, _The Budget and Responsible
Government_, part iii; Munro, _The Government of the United States_,
pages 466-469.)
15. Revenues and expenditures of cities. (Beard, _American City
Government_, chapter v.)
16. Home rule for cities. (Beard, _American City Government_, chapter
ii.)
17. The mayor-council plan. (Munro, _The Government of American
Cities_, chapters viii and ix.)
18. The commission plan of city government. (Munro, _The Government of
American Cities_, chapter xii; Massachusetts Constitutional Convention
Bulletins.)
19. The city manager plan. (Munro, _The Government of American
Cities_, chapter xv; Massachusetts Constitutional Convention
Bulletins.)
20. The civil service as a career. (Foltz, _The Federal Civil Service
as a Career_.)
FOR CLASSROOM DISCUSSION
21. Would shortening the length of the legislative session improve the
quality of legislation? (See Bryce, _The American Common-wealth_, vol.
i, chapter xlv.)
22. Should there be a limit to the number of bills which a legislator
may introduce?
23. Methods of co÷rdinating committees in your state legislature.
24. Advantages and disadvantages of the commission form of government.
(See the Debaters' Handbook Series.)
25. Advantages and disadvantages of the city manager plan. (See the
Debaters' Handbook Series.)
CHAPTER XXXVII
THE EXTENSION OF POPULAR CONTROL
463. BASIS OF POPULAR CONTROL.--The fact that our government is a
representative democracy entitles the voters to choose, direct, and
control the public officials who act for the people at large. We have
discussed a few of the methods whereby the nomination and election
machinery might be improved; we must now go a step further and examine
the means by which officeholders may be controlled.
Supposedly, officials are chosen because the people believe them able
and willing to discharge public duties with honesty and efficiency.
But after officials have taken office it may develop that they have
secured their positions by unfair means, or that they are dishonest,
or that they are inefficient or otherwise unsatisfactory. Wherever it
develops that officeholders no longer meet with the approval of the
people, truly representative government is impossible unless some
method of effective popular control is found.
A. INDIRECT METHODS OF CONTROL
464. REFUSAL TO RE╦LECT.--If the voters are dissatisfied with the
conduct of their representatives, they may express their disapproval
by refusing to reŰlect those representatives. This effects a measure
of control, even though it is negative and not immediate.
465. REMOVAL BY THE APPOINTIVE AUTHORITY.--If satisfaction is not
rendered by subordinate administrative officials who have secured
office through appointment, such officials may be removed from office
by the authority appointing them. The power of the President,
Governor, or mayor to appoint generally carries with it the power
to remove from office. Such removal may be on the initiative of the
appointing authority, or it may be in response to a popular demand.
From the standpoint of the voters at large, however, this method of
removal is indirect and often ineffective.
466. IMPEACHMENT.--Unsatisfactory officials are sometimes removed by
the impeachment process. In the various states either a part or the
whole of the legislature may sit as a court of impeachment for the
trial of certain important officials accused of serious crime. In the
National government the House of Representatives may initiate
impeachment proceedings against the President, Vice-President, and all
other civil officers of the United States. In such cases the Senate
acts as a court of trial.
Yet as a method of popular control impeachment is unsatisfactory. It
is indirect, since a part or the whole of the legislature acts for the
people. It is slow and cumbersome. It does not extend over the entire
list of public officials, nor over the entire range of offenses.
467. CONTROL THROUGH THE AMENDING PROCESS.--The powers and duties of
public officials may be partially controlled through the formal
amending process. In all states except New Hampshire the constitution
may be amended through legislative action, subsequently ratified by
popular vote. About two thirds of the states also provide for
amendment by a constitutional convention composed of delegates elected
by the voters. In a number of states, as we shall see a little later,
constitutional amendment may also be secured by means of the
Initiative and Referendum.
The Federal Constitution may be formally amended in four different
ways. The two most important methods are, first, by a two-thirds vote
in each house of Congress, and second, by a convention called by
Congress upon application of the legislatures of two thirds of the
states. In either case the amendment must be ratified by the
legislatures of three fourths of the states.
The formal amending process is an important part of our governmental
machinery, but as a method of popular control it is open to a number
of criticisms. It is slow. It is indirect, for the people must rely
chiefly upon their legislatures. Constitutional amendment cannot
remedy all of the abuses of office. Furthermore, it is too drastic and
far-reaching a remedy for many of the minor abuses of office.
B. DIRECT METHODS or CONTROL
468. THE INITIATIVE.--In more than a third of the states popular
discontent with the state legislature, together with the growing self-
confidence of the voters, has led to the adoption of the Initiative.
The Initiative is a device whereby any person or group of persons may
draft a statute, and, on securing the signatures of a certain
percentage of the voters, compel the state officials to submit the
measure to popular vote. If at this voting the measure secures the
required popular approval, it becomes law.
When the measure is submitted to the voters directly after the
fulfilment of the petition requirements, the device is known as the
Direct Initiative. When, after passing the petition stage, the measure
goes to the legislature and does not come before the people at the
polls unless the legislature fails to accept it, the device is known
as the Indirect Initiative. In a dozen states, chiefly in the West,
the Initiative is also used to propose amendments to the state
constitution.
469. THE REFERENDUM.--Early in our national history, it became an
established principle that proposed constitutions or constitutional
amendments should be referred to the voters for ratification. Of
recent years about a third of the states, chiefly in the West, have
extended the referendum device to cover ordinary legislation. This
type of referendum may be defined as a plan whereby a small percentage
of the voters may demand that practically any statute passed by the
legislature must be submitted to the voters and approved by a
specified majority before going into effect. [Footnote: A few types of
laws are not subject to the Referendum.]
The Referendum is variously applied. In the Compulsory Referendum,
which is the most common form, a measure must be submitted to the
people whenever a designated number of voters petition that this step
be taken. The Optional Referendum allows the state legislature to
decide whether or not an enacted measure should be submitted to the
people. The Statutory Referendum applies only to proposed statutes,
while the Constitutional Referendum is limited to proposed amendments
to the state constitution.
470. DIRECT LEGISLATION.--The Initiative and the Referendum are found
together in more than a dozen states. The two devices are
supplementary: the Initiative is a positive instrument which may be
used to set the wheels of direct legislation in motion; the Referendum
is a negative measure which gives the people a potential veto on laws
passed by the legislature. The Initiative and the Referendum are known
collectively as Direct Legislation, that is, legislation directly by
the people, as opposed to legislation enacted entirely through the
legislature.
471. ADVANTAGES CLAIMED FOR DIRECT LEGISLATION.--Important advantages
are claimed for Direct Legislation. It is declared that the Initiative
and Referendum keep lawmaking from being dominated by special
interests. Because it constitutes a check upon constitutional
conventions and state legislatures, Direct Legislation is said to make
government more truly responsive to public opinion. It is claimed that
Direct Legislation does not supplant, but rather supplements,
improves, and renders more democratic, the formal legislative
machinery. In several states, and especially in Oregon, it is claimed
that the device stimulates political interest on the part of the
voters. In Oregon the authorities print a pamphlet containing a
statement of proposed laws, and summarizing the arguments of both
advocates and opponents of each measure. Some weeks before the measure
is to be decided at the polls this pamphlet is sent at public expense
to every registered voter in the state.
472. OBJECTIVES URGED AGAINST DIRECT LEGISLATION.--Critics of the
Initiative and the Referendum maintain that Direct Legislation has
many serious defects. It is declared that by breaking down and
weakening the state legislature, this type of legislation threatens
the integrity of the framework of government established by the state
constitution. It is pointed out that Direct Legislation shifts
lawmaking from a definite group (the state legislature), to a large
and indefinite group of persons (the voters as a class), upon whom
responsibility cannot be fixed. By robbing the legislature of power
and responsibility, the Initiative and Referendum are said to degrade
rather than to improve that body: the best class of men is not
attracted to a legislature which has been shorn of dignity and
influence, and if the people rely upon the Initiative and Referendum,
the voters deem it less necessary to choose honest, capable
legislators.
It is also maintained that the Initiative and Referendum do not
promote independence of political thought, since only a mechanical
"Yes" or "No" is demanded of the voters. In all states where Direct
Legislation is applied, it is said, so few persons actually vote that
legislation is really determined by a small minority of the voters.
Again, the ease with which the Initiative and Referendum may be set in
motion allows so many measures to be brought before the people that
they cannot vote upon them intelligently. It is also said that Direct
Legislation is primarily the instrument of the propagandist, because
in many cases cranks and professional agitators monopolize the
privilege of circulating petitions.
A serious defect of Direct Legislation is that the drafting of many
laws requires detailed and technical information which the average
voter is in no position to secure. In several states, notably in
Maine, the recognition of this difficulty has led to the adoption of a
modified Initiative. According to this plan, the state legislature may
examine any measure proposed by the voters, enact an alternative
measure of its own, and submit both to popular approval. The voters
decide between the two. The difficulty with this plan is that it is
not only expensive, but that by doubling the number of measures to be
weighed and studied it imposes an added burden upon the voter at the
polls.
473. THE RECALL.--The Recall is a device whereby certain elective
officials who have not given satisfaction in office may be required to
stand for reŰelection before the end of their terms. The Recall is set
in motion when a petition has been duly signed by a specified
percentage of the voters, usually at least twenty-five per cent. The
Recall cannot be employed until the official in question has been in
office a specified period, so that he shall have had an opportunity to
give satisfaction before being subject to recall. Accused officials
may forestall the Recall by resigning when a petition is launched
against them, otherwise they must stand for reŰlection. The ballot
which goes to the people contains, in brief, the objections to the
official, and, in some states, also the reply of the accused
officeholder. If defeated at the polls the accused official must
retire from office; if vindicated, he continues in office during the
remainder of his term.
The principle of the Recall was recognized in American state
government before the end of the eighteenth century, but in its
present application it is much younger. In its modern form the Recall
was first used in 1903, when the city of Los Angeles applied it to
elective municipal officials. Five years later Oregon adopted it for
all state officers, and since 1908 it has spread to a number of other
states, most of them in the western part of the country. The Recall
has been used chiefly against city officials, though in several states
it may be applied to a majority of both local and state officials. In
Oregon, California, Arizona, Colorado, and Nevada, the Recall may also
be used against judges.
474. ARGUMENTS FOR THE RECALL.--Those favoring the Recall maintain
that it is the natural and legitimate expression of the right to
remove unsatisfactory officials. It is pointed out that the Recall
permits longer terms for elective officials, for if the voters know
that they can use the Recall to remove officials who prove
unsatisfactory, they will feel safe in electing those officials for
relatively long terms. By reducing the number of elections, the device
lightens the burdens of the voter. The Recall is said to be a
wholesome reminder of preŰlection promises. It is also maintained that
since the Recall is a threat, it encourages officeholders to be honest
and efficient.
475. OBJECTIONS URGED AGAINST THE RECALL.--In answer to the above
arguments, the opponents of the Recall claim that the device
encourages officials to curry popular favor, regardless of public
duty. It may also place officials at the mercy of popular passion and
caprice. When it is applied to judges, the Recall threatens the
integrity and independence of a branch of government which ought to be
removed from popular clamor and prejudice. This last is a serious
objection, for it may happen that judges subject to the Recall will
hesitate to hand down decisions that may prove unpopular, however just
those decisions may be. For this reason the extension of the Recall to
judges is being strongly resisted. Even the most ardent advocates of
the device are beginning to admit that the Recall is more applicable
to administrative officials than to judges.