201. Budgetary

Estimates.

A brief survey will demonstrate how the exercise of the legislative function of financial control

is limited in this direction and in that by restrictive clauses in the various commonwealth constitutions which represent so fully the political liberty and the political convictions of the American people.1

In the picture set forth "can be traced not only the lines of hope and achievement but also those of disappointment and failure."

2

Beyond a few meager provisions the constitutions of the states make no requirements that attempt to secure the first Reports and requisite of budget-making-accurate and complete information concerning resources and needs brought together in the office of the governor or the chief financial officer. In one state, however, each officer of the executive department must make to the governor at the beginning of each regular session a report "of the requirements" of his office; which the governor must lay before the legislature and about which the legislature may call for additional information. Nine constitutions, moreover, require the governor to submit estimates of the amount of money required to be raised by taxation and a tenth requires the comptroller to prepare and report estimates of revenue and expenditures. Frequent provisions are found requiring reports of administrative officers and state institutions; regular reports of their actions by administrative officers, or reports when required by the governor or legislature.1

202.

Administration Bills.

Perhaps the most interesting of these constitutional clauses is the provision that

the Governor, Auditor and Attorney General shall, before each regular session of the Legislature, prepare a general revenue bill, to be sub

1Agger, op. cit., 41-42.

2Fla., IV, 27.

Ala. V, 123; Colo. IV. 8; Ida. IV, 8; III. V, 7; Mo. V, 10; Mont. VII, 10; Nebr. V, 7; Tex. IV, 9; W. Va. VII, 6.

4Md. VI, 2. The comptroller, in Maryland, is given general superintendence of the "fiscal affairs" of the state.

Concerning the general powers of the governor to send messages to the legislature, see, supra, ch. 12.

e. g., Mich. X, 18; Tex. IV, 24.

e. g., Ill. V, 20; N. M. V, 9; S. C. IV, 14.

se. g., N. C. III, 7; N. M. V, 9.

c. g., Ind. V, 15; Ky. 78; Tenn. III, 8.

1Fla. IV, 27; Nebr. V, 22.

2Ala. IV, 70. In practice the administration bills have little influence upon legislative enactment.

mitted to the Legislature for its information, and the Secretary of State shall have printed for the use of the Legislature a sufficient number of copies of the bill so prepared, which the Governor shall transmit to the House of Representatives as soon as organized to be used or dealt with as that House may elect.

The interest, however, lies rather in its possibilities in the hands of a thoroughly appreciative governor with a harmonious party backing in the legislatures than in any actual results it has had upon the state's finances. What the provision really makes mandatory is a thoroughly comprehensive set of recommendations concerning one element of budget-making from the highest administrative officers of the state. But officers whose reports

are not influential and who are not themselves given the privi lege of defending them in person before an inquisitive and critical legislative body, are likely to allow them to lapse into careless and perfunctory documents.*

203. Regulation

priations.

Unlike the means for securing information on which to base them, appropriation bills in the legislature form the subject of Appro of not a few constitutional specifications. In the first place, in order to lessen the danger of rushing such bills without consideration through the legislature during its closing hours, several states forbid the introduction of appropriation bills within a certain number of days preceding the close of the session or after a certain day of the session. The effect is somewhat nullified, however, by the exception of general governmental expenses and, sometimes, the permission to disregard the prohibition by unanimous consent."

7

Needless to say, in the absence of specified exceptions, the universal practice is that no money shall be paid out of the treasury unless appropriated by the legislature. There are five constitutions which make no requirement of this, but legisla

See infra, for mention of the situation in California, suggested by this sen

tence.

"To be sure of the highest type of report, the governor must, apparently, have complete administrative control over all officials of the administration. This would require extensive reorganization in most states. See Agger, op. cit., 51.

For provisions regarding legislative procedure in general, see, supra, ch. 10. "Mont. V, 21; N. D. II. 60; Wyo. III, 22; N. M. IV, 19. There are occasional similar provisions concerning all bills,-e. g., Tex. III, 37; Wash. II, 36. See also Colo. V, 19.

'See, e. g., Mont. V, 34; N. J. IV, sec. VI, 2.

Conn., Mass., Miss., R. I., Utah. Md. (III. 32) forbids appropriation by resolution; Minn (IV, 12) except by bill; Ill. forbids it by private bill (IV, 16)

tive statutes may forbid the treasurer from acting otherwise than under the direction of the legislature.

Appropriations for specified purposes, as for education," claims, or internal improvements, are sometimes separately regulated and appropriations for certain purposes are frequently forbidden;3 even the order in which appropriations may be made is prescribed in one constitution.*

The total amount of money appropriated for ordinary expenses is limited by a few constitutions to the amount of revenue provided for. Thus one state ordains that

no appropriation shall be made nor any expenditure authorized by the General Assembly whereby the expenditure of the State during any fiscal year, shall exceed the total tax then provided for by law and ap. plicable for such appropriation or expenditure unless the General Assembly making such appropriation shall provide for levying a sufficient tax not exceeding the rates allowed in section eleven of this Article," to pay such appropriation or expenditure within such fiscal year. This provision shall not apply to appropriations or expenditures to suppress insurrection, defend the State, or assist in defending the United States in time of war.

In another the amount of the annual appropriation for ordinary and contingent expenses must not be increased over that of the preceding year without the approval of two-thirds of the members elected to each house.

A number of constitutions contain provisions designed to prevent general appropriation bills from becoming the vehicles for getting through the legislature provisions for miscellaneous orders on the treasury which would never be passed if voted upon separately. Such clauses and various other "riders" are frequently tacked on in committee rooms to suit the whim of powerful individual legislators who are perfectly aware that

e. g., Ariz. XI, 10; N. Y. VIII, 9; Pa. III, 17; Va. IX, 141.

1e. g., N. Y. III, 19; VII, 6.

2e. g., Texas XI, 8.

se. g., Del. VIII, 4; Ky. 177; S. D. XIII, 1.

"Mo. IV, 43.

"Colo. X. 16: Ida. VII, 11; Ill. IV, 18; Mont. XII, 12; Utah XIII, 9; see also Nebr. III, 19.

"X. 11. "The rate of taxation on property for state purposes shall never exceed four mills on each dollar of valuation."

Colo. X. 16. The object is, of course, to prevent careless legislatures from appropriating money without providing means for raising it.

Ill. IV, 18.

such proposals could never be passed on their own merits, but can ride safely into law upon the strength of a bill that is sure of passage for other reasons. One of the newer states9 provides that nothing but appropriations for the ordinary expenses of the executive, legislative and judicial departments, for payments of interest and upon the sinking fund of public indebtedness, for public schools and other expenses required by existing law, shall be contained in such a bill;1 and prudently adds that only such parts of the bill as consist of forbidden matter shall be declared unconstitutional should the bill come before the court. Three other constitutions forbid bills containing appropriations for paying members and officers of the legislature and other government officials to contain any provision upon any other subject. A very different line of thought is evident in the provisions that general appropriation bills

may embrace various subjects and accounts for and on account of which moneys are appropriated."

One-fourth of the states require all appropriations not contained in the general appropriation bill to be made by separate bills, each embracing but one subject. In one state legislation must not be engrafted upon appropriation bills and another enjoins that

no provision or enactment shall be embraced in the annual appropriation or supply bill, unless it relates specifically to some particular appropriation in the bill; and any such provision or enactment shall be limited in its operation to such appropriation.

Specification of the amount' and purposes of particular appropriations is occasionally required. Thus in Louisiana' no appropriation may be made

"N. M., IV, 16.

"There are varyingly similar provisions in Ala. IV, 71; Ariz. IV, 20; Ark. V, 30; Cal. IV, 29; Colo. V, 19, 32; Fla. III, 30; Ga. III, sec. VII, 9; La. 55; Miss. IV, 69; Mont. V. 33; N. D. II, 62; Okla. V, 56; Ore. IX, 7; Pa. III, 15; S. D. XII, 2: Wyo. III, 34.

2Ill. IV, 16; Nebr. III, 19; W. Va. VI, 42.

Mo. IV, 28; Tex. III, 35.

Ala. IV. 71: Ariz. IV, 20; Ark. V, 30; Colo. V, 32; Ga. III, Sec. VII, 9; La. 55; Miss. IV, 69; Mont. V, 33; Ñ. D. II, 62: Okla. V, 56; Pa. III, 15; S. D. XII, 2; Wyo. III, 34. See also, similarly, Cal. IV, 34; N. M. IV, 16. "Miss. IV, 69.

N. Y. III, 22.

1e. g., Md. III, 32; Miss. IV, 63; S. C. IV, 23.

"e. g., Ark. V, 29; III. V, 16; N. Y. III, 21; Mo. X, 19.

204. Extraordi

under the head or title of contingent, nor shall any officer or department of government receive any amount from the treasury for contingencies or for a contingent fund,

and in several states1 a law making, containing or reviving an appropriation must distinctly specify the sum appropriated and it is not sufficient to refer to any other law to fix such sum. Itemizing appropriations is required in Louisiana.2

4

New York and Wisconsin, which ordinarily require a majority of each house to make a quorum, require three-fifths of

nary Proced- the members elected to each house for the consideration of ap

ure for

Enactment

of Appropri

ation Bills.

205. Veto of Items.

propriation bills. Extraordinary majorities, usually two-thirds, are required by a few constitutions for the passage of appropriation bills. There are, also, a few requirements of especial precaution in recording the vote upon such bills. Appropriation bills are often exempted, wholly or partially, from its operation in those states which allow a referendum of legislative acts."

In thirty-five states the governor is authorized to veto one or more items in an appropriation bill while approving the remainder of the bill. In case the legislature reconsiders the items vetoed, it must in twelve states take up each one separately. In Texas1 if an appropriation bill containing several items is presented to the governor less than ten days, Sundays excepted, prior to adjournment, and is in his hands at the time of adjournment, he has twenty days thereafter within which to make his objection to any item of the bill and make proclamation thereof.

In order that the governor may consider each item of the ordinary general appropriation bill, several weeks' time must be allowed him; hence the extraordinary periods needed for the

1e. g., Wash. VIII, 4.

255, 82.

III. 25.

4VIII, 8.

"Ark. V, 31; Ia. III, 31; Ky. 46; Mich. V. 24; Miss. IV, 64, 66; Nebr. III, 19; N. Y. III, 20; R. I. IV, 14: S. D. XII, 2; Va. IV, 50.

"Ga. III, sec. VII, 12; N Y. III, 25; Tenn. II, 21; Va. IV, 50; Wis. VIII, 8. e. g., N. M. IV, 23.

Ala., Ariz., Ark., Cal., Colo., Del., Fla., Ga., Ida., Ill., Kan., Ky., La., Md., Mich., Minn., Miss., Mo., Mont., Nebr., N. J., N. M., N. Y., N. D., O., Okla., Pa., S. C., S. D.. Tex., Utah, Va., Wash., W. Va., Wyo.

e. g., Cal. IV, 16; N. Y. IV, 9.

1IV, 14