The Politics of Court Budgeting in the States:
Is Judicial Independence Threatened by the
Budgetary Process?
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Abstract
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Introduction
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Judicial Independence and Budget Politics
Judicial Independence
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FKHHGTGPEGUJCXGNGFVQPWOGTQWUEQPVTQXGTUKGUCPFQWVETKGUCDQWVYJGVJGTUVCVGLWFIGUCTG
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Threats to Judicial Independence
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PGGFHQTHWPFKPIKPQTFGTVQECTT[QWVKVUQRGTCVKQPUCPFTGNKCPEGWRQPVJGQVJGTVYQ
DTCPEJGUHQTOQUVQHKVUTGUQWTEGU6JGDWFIGVCT[RQYGTUVJCVECPDGWUGFCICKPUVVJGEQWTVU
D[VJGGZGEWVKXGCPFNGIKUNCVKXGDTCPEJGUCTGEQPUKFGTCDNG%QPITGUUCPFOQUVUVCVG
NGIKUNCVWTGUJCXGVJGCWVJQTKV[VQEWVEQWTVURGPFKPIKPVJGKTCRRTQRTKCVKQPUDKNNUCPFNKOKV
EQWTVURGPFKPIFKUETGVKQPVJTQWIJVJGWUGQHTGUVTKEVKXGNKPGKVGOUKPVJQUGDKNNU/GCPYJKNG
VJGRTGUKFGPVCPFOCP[IQXGTPQTUJCXGVJGCWVJQTKV[VQCNVGTEQWTVDWFIGVTGSWGUVUKPVJGKT
GZGEWVKXGDWFIGVUCPFXGVQURGPFKPICNNQECVGFVQVJGEQWTVUKPCRRTQRTKCVKQPUDKNNU5QOG
VJGPCTIWGVJCVVJGUGDWFIGVCT[RQYGTURNCEGVJGKPFGRGPFGPEGQHVJGLWFKEKCT[CVVJGOGTE[
QHVJGGZGEWVKXGCPFNGIKUNCVKXGDTCPEJGU1VJGTUJQYGXGTJCXGFGUETKDGFVJGUGRQYGTUCU
EJGEMUCPFJCXGGORJCUK\GFVJCVVJGUGRQYGTUQHIQXGTPOGPVCTGUJCTGF
UGG(KUJGT
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CTIWGFVJCV
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RTCEVKEGVJGEQORNGVGUGRCTCVKQPQHVJGLWFKEKCNHTQOVJGNGIKUNCVKXGRQYGTKPCP[U[UVGO
YJKEJNGCXGUVJGHQTOGTFGRGPFGPVHQTRGEWPKCT[TGUQWTEGUQPVJGQEECUKQPCNITCPVUQHVJG
NCVVGT 6JGHTCOGTURNCEGFEQPUVKVWVKQPCNRTQVGEVKQPUHQTHGFGTCNLWFIGUHTQOVJGYJKOU
QHVJGGNGEVQTCVGCUYGNNCUVJGCDKNKV[QHQVJGTDTCPEJGUVQRWPKUJVJGOYKVJRC[FGETGCUGU
,WFIGUVJGPYGTGKUQNCVGFKPUWEJCYC[VJCVVJG[EQWNFHGGNNGUURTGUUWTGVQOCMGFGEKUKQPU
CICKPUVVJGYKNNQHRWDNKEOCLQTKVKGU
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UQDGECWUGVJGCFOKPKUVTCVKXGEQUVUQHVJGEQWTVUYGTGTGNCVKXGN[NQYFWTKPIVJGGCTN[[GCTUQH
VJGPCVKQP6JGGZRNQUKQPKPLWFKEKCNTGURQPUKDKNKVKGUCPFEQWTVCFOKPKUVTCVKXGEQUVUVJCVJCXG
QEEWTTGFKPTGEGPV[GCTUEQWNFPQVJCXGDGGPHQTGUGGPD[VJGHQWPFGTU1PGEQWNFTGCUQPCDN[
CTIWGVJCVVJTGCVUD[VJGGZGEWVKXGCPFQTNGIKUNCVKXGDTCPEJGUCICKPUVLWFKEKCNDWFIGVUEQWNF
TGUWNVKPRTGUUWTGUQPVJGLWFKEKCT[UKOKNCTVQVJQUGHGCTGFD[VJGHQWPFGTUUJQWNFLWFIGU
UCNCTKGUDGUWDLGEVVQEWVU+PQVJGTYQTFUVJGTGCUQPU
CUPQVGFD[VJGHQWPFGTUHQT
DGNKGXKPIVJCVLWFIGU UCNCTKGUUJQWNFDGRTQVGEVGFCTGGSWCNN[XCNKFHQTCTIWOGPVUKPHCXQTQH
2
RTQVGEVKPILWFKEKCNDWFIGVUVQFC[KPQTFGTVQOCKPVCKPLWFKEKCNKPFGRGPFGPEG#HVGTCNNKVKU
RQUUKDNGVJCVVJTGCVUD[VJGNGIKUNCVWTGVQEWVLWFKEKCNUVCHHCPFTGUQWTEGUEQWNFECWUGLWFIGUVQ
MGGRNGIKUNCVKXGRTGTQICVKXGUKPOKPFYJGPOCMKPITWNKPIUQTRQNKE[
4GEGPVN[VJGTGJCU
DGGPCPQTICPK\GFECORCKIPD[CFXQECVGUHQTVJGEQWTVUVQCXGTVDWFIGVCT[CUUCWNVUQPVJG
KPFGRGPFGPEGQHVJGLWFKEKCT[,WFKEKCNRTQHGUUKQPCNUCPFUEJQNCTUJCXGFGOQPUVTCVGF4WUUGNN
9JGGNGT U
CUUGTVKQPVJCVGHHGEVKXGCFOKPKUVTCVKQPECPUGEWTGLWFKEKCNKPFGRGPFGPEGCPF
RTQVGEVEQWTVUHTQOFGRGPFGPEGQPQVJGTDTCPEJGU#UCTGUWNVKPJKIJNKIJVKPIVJTGCVU
CICKPUVLWFKEKCNKPFGRGPFGPEGQTICPK\CVKQPUUWEJCUVJG#OGTKECP$CT#UUQEKCVKQPCPFVJG
#OGTKECP,WFKECVWTG5QEKGV[JCXGECNNGFCVVGPVKQPVQVJGRTQDNGOUKPJGTGPVKPJCXKPICP
KPFGRGPFGPVLWFKEKCT[VJCVKUFGRGPFGPVWRQPCVNGCUVQPGQHVJGQVJGTDTCPEJGUHQTKVU
HWPFKPI6YQGZCORNGUKPENWFGGFKVQTKCNUD[VJG#OGTKECP,WFKECVWTG5QEKGV[
CPFTGEGPVRWDNKECVKQPUD[VJG#OGTKECP$CT#UUQEKCVKQP
#$#&KXKUKQPHQT2WDNKE
'FWECVKQP#OGTKECP$CT#UUQEKCVKQPVJCVCFXQECVGLWFKEKCNKPFGRGPFGPEG6JG
#OGTKECP,WFKECVWTG5QEKGV[U%GPVGTHQT,WFKEKCN+PFGRGPFGPEGKPENWFGU RWPKVKXGEWVUKPVJG
DWFIGVUQHVJGHGFGTCNCPFUVCVGLWFKEKCT[ COQPIKVUNKUVQHVJTGCVUVQVJGLWFKEKCT[
-CWHOCP
#OGTKECP$CT#UUQEKCVKQPRWDNKECVKQPUFGVCKNUKOKNCTEQPEGTPUCVVJGHGFGTCNCPFUVCVG
NGXGNUKPENWFKPICIGPGTCNNCEMQHHWPFKPIHQTVJGEQWTVU
#$#&KXKUKQPHQT2WDNKE'FWECVKQP
#OGTKECP$CT#UUQEKCVKQP
Judicial Budgeting and Inter-Branch Relations
+PIGPGTCNUVWFKGUQPVJGRQNKVKEUQHUVCVGEQWTVHWPFKPICTGNKOKVGFCPFYQTMUQPJQY
VJGDTCPEJGUKPVGTCEVVQUGEWTGLWFKEKCNHWPFKPICTGTCTG5VWFKGUQHUVCVGEQWTVDWFIGVKPI
JQYGXGTFQGZKUV5QOGYQTMUJCXGFGUETKDGFCPFFGVCKNGFVJGHTCOGYQTMCPFRTQEGUUQH
UVCVGEQWTVDWFIGVKPI
$CCT.KO6QDKPCD1VJGTYQTMURTKOCTKN[
FGUETKDGCPFCFXQECVGCRRTQCEJGUVJCVUVCVGUJCXGCFQRVGFVQHWPFVJGKTEQWTVHCEKNKVKGU
6QDKP
6JGTGKUCNUQYQTMVJCVFKUEWUUGUVJGIGPGTCVKQPQHTGXGPWGUD[EQWTVUCPFVJG
CRRTQRTKCVGPGUUQHWUKPIVJGUGHKPGUHGGUCPFHQTHGKVWTGU
$TGUPKEM&KOQPF
#IQQFFGCNQHTGUGCTEJJCUCNUQCPCN[\GFVJGTGHQTOQHUJKHVKPIHTQONQECNHWPFKPIQHUVCVG
VTKCNEQWTVUVQWPKVCT[UVCVGDWFIGVKPIU[UVGOU
UGG$CCT5VQWV6QDKPC6QDKP
CPF*WF\KM5ECPVCVVGPVKQPJQYGXGTJCUDGGPRCKFVQVJGSWGUVKQPQHJQYUVCVG
EQWTVUFGCNYKVJCPFCTGCHHGEVGFD[VJGRQNKVKEUQHDWFIGVKPIYKVJTGURGEVVQVJGQVJGT
DTCPEJGU
5EJQNCTUJCXGIKXGPUQOGCVVGPVKQPVQVJGUVTCVGIKGUWUGFD[HGFGTCNEQWTVUVQQDVCKP
CFGSWCVGHWPFKPI
9CNMGTCPF$CTTQY;CTYQQFCPF%CPQP#FFKVKQPCNN[VYQ
UVWFKGUHQEWUKPIQPVJGDWFIGVCT[UVTCVGIKGUQHUVCVGEQWTVU
&QWINCUCPF*CTVNG[
&QWINCUHQTVJEQOKPICPFQPG
$CCTGZCOKPKPIVJGFGVGTOKPCPVUQHUWEEGUUQHUVCVG
EQWTVUFWTKPIVJGDWFIGVCT[RTQEGUUJCXGDGGPEQPFWEVGF6JGUGJQYGXGTFKFPQVGZCOKPG
VJGGZVGPVVQYJKEJGZGEWVKXGCPFNGIKUNCVKXGDWFIGVCT[RQYGTUYGTGCHHGEVKPILWFKEKCN
KPFGRGPFGPEG
4QDGTV96QDKP
JCUUJQYPJQYNQECNHWPFKPIQHUVCVGEQWTVUJCFFCOCIGF
LWFKEKCNKPFGRGPFGPEGKPVJGUVCVGU6QDKPGZRNCKPUVJCVVJKUVJTGCVVQLWFKEKCNKPFGRGPFGPEG
YCUQPGQHVJGTGCUQPUOQUVUVCVGUOQXGFVQVCMGQXGTVJGOCLQTKV[QHVJGHWPFKPI
TGURQPUKDKNKVKGUHQTVJGKTLWFKEKCTKGU%QWTVDWFIGVKPIUEJQNCTUJCXGFKUEWUUGFVJGRQVGPVKCN
3
GHHGEVUQHUVCVGHKPCPEKPIWRQPLWFKEKCNKPFGRGPFGPEG(QTKPUVCPEG6QDKPCPF*WF\KM
CTIWGVJCVUVCVGHWPFKPIOC[KPETGCUGLWFKEKCNKPFGRGPFGPEG1PGEQWNFCNUQCTIWGJQYGXGT
VJCVYKVJVJGKPETGCUGFTGNKCPEGWRQPIQXGTPQTUCPFUVCVGNGIKUNCVWTGUHQTEQWTVTGUQWTEGUUVCVG
EQWTVUJCXGDGEQOGOQTGXWNPGTCDNGVQDWFIGVCT[KPEWTUKQPUD[GZGEWVKXGCPFNGIKUNCVKXG
QHHKEKCNU+PHCEV6QDKP
JCURTQXKFGFUQOGGXKFGPEGVJCVVJGDWFIGVCT[RQYGTUQH
UQOGUVCVGNGIKUNCVWTGUJCXGDGGPWUGFCICKPUVVJGEQWTVUKPTGVCNKCVKQPHQTEGTVCKPEQWTV
TWNKPIU4GEGPVGXGPVUKP0GY;QTMYJGTGVJGEJKGHLWFIGQHVJGUVCVGHKNGFUWKVCICKPUVVJG
IQXGTPQTKPQTFGTVQQDVCKPOQTGHWPFKPICNUQKNNWUVTCVGJQYDWFIGVCT[KUUWGUKPUVCVGHWPFGF
U[UVGOUECPNGCFVQDCVVNGUDGVYGGPVJGLWFKEKCT[CPFVJGQVJGTDTCPEJGUQHIQXGTPOGPV
UGG
)NCUGT
#UUVCVGFGCTNKGTVJGDWFIGVCT[RQYGTUVJCVECPDGWUGFCICKPUVVJGEQWTVUD[VJG
GZGEWVKXGCPFNGIKUNCVKXGDTCPEJGUCTGEQPUKFGTCDNG+VKUYGNNFQEWOGPVGFVJCVIQXGTPQTUCPF
UVCVGNGIKUNCVWTGUCTGOQTGVJCPYKNNKPIVQWUGVJGDWFIGVCT[RQYGTUCVVJGKTFKURQUCNVQHQTEG
GCEJQVJGTVQUWDOKVVQRQNKE[FGOCPFU
HQTGZCORNGUGG%N[PEJCPF.CWVJ#DPG[CPF
.CWVJ#PGZEGNNGPVGZCORNGQHVJKUDGJCXKQTKUFKURNC[GFKPVJGWUGQHIWDGTPCVQTKCN
NKPGKVGOXGVQGU#DPG[CPF.CWVJ
HQWPFVJCVIQXGTPQTUVGPFVQWUGVJGKTNKPGKVGO
XGVQRQYGTOQTGCUCVQQNVQKPHNWGPEGNGIKUNCVQTUVQUWRRQTVVJGKTRQNKEKGUVJCPCUCP
KPUVTWOGPVQHHKUECNTGUVTCKPV)KXGPVJGRTQRGPUKV[QHIQXGTPQTUCPFNGIKUNCVQTUVQDGJCXGKP
UWEJCOCPPGTVJGTGKUPQTGCUQPVQDGNKGXGVJCVVJG[YKNNPQVDGJCXGUKOKNCTN[YJGPFGCNKPI
YKVJVJGEQWTVU6JGEQWTVUCHVGTCNNKPHNWGPEGRQNKE[VJTQWIJVJGKTTWNKPIU1PGYC[HQT
VJGGZGEWVKXGCPFNGIKUNCVKXGDTCPEJGUVQJCXGCUC[TGICTFKPIVJKULWFKEKCNKPHNWGPEGKUD[
GORNQ[KPIVJGKTDWFIGVCT[RQYGTU6JTGCVUVQLWFKEKCNDWFIGVUEQWNFRGTUWCFGLWFIGUVQVCMG
VJGEQPEGTPUQHVJGQVJGTVYQDTCPEJGUKPVQCEEQWPVYJGPOCMKPIVJGKTTWNKPIULWUVCUNKPG
KVGOXGVQVJTGCVUCICKPUVNGIKUNCVKXGRGVRTQLGEVUECPRGTUWCFGKPFKXKFWCNNGIKUNCVQTUVQVCMG
IWDGTPCVQTKCNEQPEGTPUKPVQCEEQWPVYJGPXQVKPIQPNGIKUNCVKQP
1PN[QPGUVWF[JCUCVVGORVGFVQNKPMVJGRQNKVKEUQHHWPFKPIEQWTVUVQLWFKEKCN
KPFGRGPFGPEGKPCPGORKTKECNHCUJKQP
&QWINCUCPF*CTVNG[6JGUGTGUGCTEJGTURQUGVJG
SWGUVKQPQHYJGVJGTUVCVGEQWTVUCTGDGKPICUUCKNGFQPVJGHTQPVQHDWFIGVCT[RQNKVKEU/CMKPI
WUGQHGNKVGKPVGTXKGYUQHUVCVGEQWTVCFOKPKUVTCVQTUGZGEWVKXGDWFIGVQHHKEGTUCPFNGIKUNCVKXG
DWFIGVCPCN[UVUKP1MNCJQOCCPF8KTIKPKCVJG[HQWPFVJCVVJGEQWTVUKPVJGUGUVCVGUCTGPQV
DGKPIJGNFJQUVCIGD[VJGDWFIGVCT[RQYGTUQHVJGQVJGTDTCPEJGU+PIGPGTCNVJGCDUGPEGQH
CVVCEMUQPVJGEQWTVUYGTGNGHVVQHQWTHCEVQTUTGURGEVHQTVJGLWFKEKCT[CUCPKPFGRGPFGPV
DTCPEJTWNGUCPFRTQEGFWTGUHCXQTCDNGVQVJGEQWTVUEQWTVDWFIGVCT[UVTCVGIKGUCPF
NGIKUNCVKXGCNNKGU6JGTGYCUJQYGXGTXCTKCVKQPKPVJGUGHCEVQTUDGVYGGP1MNCJQOCCPF
8KTIKPKC
)KXGPVJGNCEMQHTGUGCTEJKPVJKUCTGCQHEQWTVHKPCPEKPICPFVJGURQVV[GXKFGPEGVJCV
GZKUVUCEQORTGJGPUKXGGZCOKPCVKQPQHVJGUVCVGUKUPGGFGFVQFGVGTOKPGVJGGZVGPVVQYJKEJ
VJGDWFIGVCT[RQYGTUQHIQXGTPQTUCPFNGIKUNCVWTGUCTGVJTGCVGPKPILWFKEKCNKPFGRGPFGPEGKP
VJGUVCVGU6JGTGOCKPFGTQHVJKUCTVKENGKUFGXQVGFVQGZCOKPKPIVJKUKUUWG
Methodology
6JGFCVCWUGFKPVJKUCTVKENGEQOGHTQOUWTXG[UYJKEJYGTGOCKNGFVQMG[LWFKEKCN
GZGEWVKXGCPFNGIKUNCVKXGQHHKEKCNUKPGCEJQHVJGUVCVGU'CEJUWTXG[CUMGFCFKUVKPEVUGVQH
4
SWGUVKQPURGTVCKPKPIVQEQWTVDWFIGVRTQEGFWTGUCPFLWFKEKCNKPFGRGPFGPEG'CEJITQWRQH
UWDLGEVUYCUUGPVCWPKSWGUWTXG[FGUKIPGFVQCFFTGUUKUUWGURGTVKPGPVVQVJGITQWR5QOG
QXGTNCRKPVJGSWGUVKQPKPIFKFQEEWT
KGUGXGTCNSWGUVKQPUCRRGCTGFQPCNNVJTGGQHVJG
UWTXG[U6JGVJTGGITQWRUUWTXG[GFKPENWFGFVJGEJKGHEQWTVCFOKPKUVTCVQTUVJGFKTGEVQTUQH
VJGGZGEWVKXGDWFIGVQHHKEGUCPFVJGFKTGEVQTUQHVJGNGIKUNCVKXGDWFIGVQHHKEGU6JGUGITQWRU
YGTGUGNGEVGFFWGVQVJGKTXCUVMPQYNGFIGCPFGZRGTKGPEGKPFGCNKPIYKVJLWFKEKCN
CRRTQRTKCVKQPUKPVJGKTUVCVGU
6JGUWTXG[UYGTGOCKNGFVQGCEJITQWRKPGCTN[,WN[#UGEQPFOCKNKPIYCUUGPV
QWVQPGOQPVJNCVGT#HVGTVJGUGEQPFOCKNKPIGOCKNCPFVGNGRJQPGEQPVCEVUYGTGOCFGVQ
CNNPQPTGURQPFGPVU6JGUGEQPVCEVUYGTGHQNNQYGFWRYKVJCVJKTFOCKNKPIKP,CPWCT[
6JGUWTXG[UGNKEKVGFCTGURQPUGTCVGQHRGTEGPVHQTEQWTVCFOKPKUVTCVQTURGTEGPVHQT
GZGEWVKXGDWFIGVQHHKEGTUCPFRGTEGPVHQTNGIKUNCVKXGDWFIGVQHHKEGTU
6JGUWTXG[URTQFWEGFFGUETKRVKXGFCVCTGICTFKPIVJGCEVKXKVKGUCUUQEKCVGFYKVJEQWTV
DWFIGVKPI9GWUGVJGUGFCVCVQVGUVYJGVJGTVJTGGFKHHGTGPVCURGEVUQHEQWTVDWFIGVKPI
VJTGCVGPLWFKEKCNKPFGRGPFGPEG6JGUGKPENWFGEQORGVKPIHQTUECTEGTGUQWTEGUKPVGT
DTCPEJEQORGVKVKQPCPFRTGUUWTGVQTCKUGTGXGPWGU$WFIGVCT[VJTGCVUVQLWFKEKCN
KPFGRGPFGPEGGOCPCVKPIHTQONQECNQHHKEKCNUYKNNCNUQDGGZCOKPGFDTKGHN['CEJQHVJGUG
VJTGCVUYKNNDGFGHKPGFDGNQY
$GHQTGRTQEGGFKPIQPGKORQTVCPVVJTGCVVQVJGKPVGTPCNXCNKFKV[QHVJGUVWF[OWUVDG
JKIJNKIJVGF(QTUGXGTCNSWGUVKQPUTGURQPFGPVUYGTGCUMGFKHVQVJGKTMPQYNGFIGRCTVKEWNCT
GXGPVUJCFGXGTQEEWTTGFKPVJGKTUVCVGU3WGUVKQPUYGTGCUMGFKPVJKUOCPPGTDGECWUGKVKU
NKMGN[VJCVOCP[QHVJGGXGPVUKPSWGUVKQPQEEWTCVTGNCVKXGN[KPHTGSWGPVKPVGTXCNU6JKU
RTGUGPVUCRTQDNGOIKXGPVJCVVJGXCTKQWUTGURQPFGPVUCTGWPNKMGN[VQJCXGUGTXGFGSWCN
COQWPVUQHVKOGKPVJGKTUVCVGU6JGTGHQTGTGURQPFGPVUYKVJNQPIGTVGPWTGUKPQHHKEGOC[DG
OQTGNKMGN[VQCPUYGTVJGUGSWGUVKQPUKPVJGCHHKTOCVKXG4GCFGTUUJQWNFMGGRVJKURTQDNGOKP
OKPFYJGPTGXKGYKPIVJGTGUWNVUQHVJGCTVKENG
Findings
Competing for Scarce Resources
)KXGPVJGUECTEKV[QHTGUQWTEGUKPUVCVGIQXGTPOGPVCPFVJGXCTKGV[QHFGOCPFURNCEGF
WRQPVJQUGTGUQWTEGUKVKUFKHHKEWNVVQCTIWGVJCVVJGLWFKEKCNDTCPEJUJQWNFDGIKXGPCDNCPM
EJGEMKPQTFGTVQUCVKUH[KVUTGUQWTEGPGGFU'NGEVGFQHHKEKCNUJCXGCTGURQPUKDKNKV[VQVJG
EKVK\GPT[VQEQPUKFGTECTGHWNN[CNNQHVJGFGOCPFURNCEGFWRQPVJGDWFIGVCNNQECVGHWPFKPIUQ
VJCVKVOGGVUVJGJKIJGUVPGGFUQHVJGUVCVGCPFGPUWTGVJCVCRRTQRTKCVGFHWPFUCTGURGPVKPC
EQORGVGPVCPFRTWFGPVOCPPGT6JKUTGURQPUKDKNKV[CVVKOGUJCUECWUGFGNGEVGFQHHKEKCNU VQ
VCMGDWFIGVCT[CEVKQPUYJKEJCTGWPHCXQTCDNGVQVJGEQWTVU(QTGZCORNGLWFKEKCNDWFIGV
TGSWGUVUJCXGDGGPTGFWEGFVQOCMGHWPFKPICXCKNCDNGHQTQVJGTIQXGTPOGPVCEVKXKVKGUCPF
NKPGKVGOTGUVTKEVKQPUJCXGDGGPKPENWFGFKPEQWTVDWFIGVUVQRTQOQVGCEEQWPVCDKNKV[
$CCT
6QDKP9JKNGVJGCWVJQTKV[VQEQPVTQNLWFKEKCNDWFIGVUFQGURTQXKFGIQXGTPQTU
CPFUVCVGNGIKUNCVWTGUYKVJCPCYGUQOGRQYGTYJKEJRQVGPVKCNN[EQWNFDGWUGFVQKPVGTHGTG
YKVJEQWTVRTGTQICVKXGUCEVKQPUUWEJCUVJQUGOGPVKQPGFCDQXGCTGPQVPGEGUUCTKN[CPCVVCEM
WRQPLWFKEKCNKPFGRGPFGPEG5WEJCEVKQPUCTGOQTGNKMGN[VQDGVCMGPKPCPGHHQTVVQHTGGWR
TGUQWTEGUHQTRTKQTKVKGUGNUGYJGTGKPIQXGTPOGPV
5
6JGRTQDNGOHQTVJGEQWTVUKUVJCVVJG[JCXGHGYCNNKGUKPVJGRQNKVKECNRTQEGUUQH
DWFIGVKPI.CEMKPICUVTQPIEQPUVKVWGPE[RNCEGUVJGEQWTVUCVCFKUCFXCPVCIGYJGPEQORGVKPI
YKVJGZGEWVKXGDTCPEJCIGPEKGUHQTTGUQWTEGU
9CNMGTCPF$CTTQY'NGEVGFQHHKEKCNU
QHVGPJCXGNKVVNGKPEGPVKXGVQFKXGTVTGUQWTEGUVQVJGLWFKEKCNDTCPEJCVVJGGZRGPUGQHRTQLGEVU
VJCVOKIJVDGPGHKVVJGKTEQPUVKVWGPVUOQTGFKTGEVN[5VCVGLWFIGUEQORNCKPVJCVVJKUQHVGP
OCMGUKVFKHHKEWNVVQHWPFVJGXCTKGV[QHCEVKXKVKGUCUUQEKCVGFYKVJCOQFGTPU[UVGOQHLWUVKEG
UWEJCUKPFKIGPVFGHGPUGRTQDCVKQPQHHKEGTUUWHHKEKGPVEQWTVTQQOUCPFEKXKNEQWTVU
9QNHUQP
%CTN$CCT
CUUGTVUVJCVVJKUXWNPGTCDKNKV[ECPGPFCPIGTLWFKEKCNKPFGRGPFGPEG
DGECWUGKVECPRTGXGPVVJGEQWTVUHTQOCESWKTKPIVJGHWPFKPIVJG[PGGFVQECTT[QWVVJGKT
EQPUVKVWVKQPCNHWPEVKQPURTQRGTN[+PVJKUUGEVKQPYGCVVGORVVQFGVGTOKPGVJGGZVGPVVQ
YJKEJVJKUXWNPGTCDKNKV[GZKUVUD[GZCOKPKPIVJGCOQWPVQHEQPVTQNIQXGTPQTUCPFUVCVG
NGIKUNCVWTGUVGPFVQCUUGTVQXGTLWFKEKCNDWFIGVKPIQPC[GCTVQ[GCTDCUKU
1PGYC[VQGPUWTGVJCVLWFKEKCNPGGFUCTGEQPUKFGTGFD[GNGEVGFQHHKEKCNUYJGPRWVVKPI
VQIGVJGTVJGUVCVGDWFIGVKUHQTGZGEWVKXGCPFNGIKUNCVKXGDTCPEJQHHKEGTUVQJQNFJGCTKPIUQT
OGGVKPIUYKVJLWFKEKCNQHHKEGTU%QWTVQHHKEKCNUECPWUGUWEJOGGVKPIUVQRTQXKFGFGVCKNGF
KPHQTOCVKQPCDQWVVJGKTDWFIGVTGSWGUVUCPFFGCNYKVJCP[EQPEGTPUQTSWGUVKQPUGZGEWVKXG
CPFNGIKUNCVKXGQHHKEKCNUOKIJVJCXGCDQWVVJGLWFKEKCNDWFIGVCPFEQWTVURGPFKPIRTCEVKEGU
6JGNGIKUNCVKXGDWFIGVQHHKEGTUTGRQTVGFVJCVCNNUVCVGNGIKUNCVWTGUJQNFDWFIGVJGCTKPIUYKVJ
LWFKEKCNRGTUQPPGNGXGT[[GCTQTVYQFGRGPFKPINCTIGN[QPYJGVJGTCRRTQRTKCVKQPUCTGOCFG
QPCPCPPWCNQTDKGPPKCNDCUKU*GCTKPIUYKVJGZGEWVKXGDTCPEJQHHKEKCNUCTGCDKVNGUU
EQOOQP1PN[RGTEGPV
QHVJGTGURQPFGPVUTGRQTVGFVJCVGZGEWVKXGQHHKEKCNUJGNF
DWFIGVJGCTKPIUYKVJVJGEQWTVUCVNGCUVQPEGGXGT[VYQ[GCTU6JKTV[VJTGGRGTEGPVKPFKECVGF
VJCVUWEJJGCTKPIUCTGJGNFNGUUVJCPQPEGGXGT[HKXG[GCTU6JKUJQYGXGTKUPQVUWTRTKUKPI
IKXGPVJCVHGYGTVJCPJCNHQHVJGUVCVGURGTOKVVJGKTIQXGTPQTUVQCNVGTLWFKEKCNDWFIGVTGSWGUVU
YJGPRWVVKPIVQIGVJGTVJGKTGZGEWVKXGDWFIGVU #FFKVKQPCNN[VJGIQXGTPQTUKPQPN[UVCVGU
CTGGXGPUGPVCEQR[QHVJGLWFKEKCNDWFIGVTGSWGUV9JKNGVJKUFKOKPKUJGUVJGTQNGQHUQOG
IQXGTPQTUKPLWFKEKCNDWFIGVKPIVJGNCEMQHJGCTKPIUYKVJGZGEWVKXGDTCPEJQHHKEKCNUEQWNF
YQTMVQVJGFKUCFXCPVCIGQHVJGLWFKEKCNDTCPEJUJQWNFVJGNGIKUNCVWTGVCMGCPWPHCXQTCDNG
RQUKVKQPTGICTFKPIVJGLWFKEKCNDWFIGV#NCEMQHEQPVCEVYKVJVJGGZGEWVKXGDTCPEJEQWNF
FKUUWCFGVJGIQXGTPQTHTQOKPVGTXGPKPIQPVJGEQWTVU DGJCNH
#HVGTUWDOKVVKPIVJGKTTGSWGUVUCPFRNGCFKPIVJGKTECUGHQTYJ[VJGTGSWGUVUUJQWNF
TGOCKPWPCNVGTGFEQWTVQHHKEKCNUOWUVYCKVVQUGGYJCVEJCPIGUKHCP[GNGEVGFQHHKEKCNUOCMG
VQVJGKTDWFIGVU6JGEQWTVCFOKPKUVTCVQTUTGRQTVGFVJCVIQXGTPQTUCPFNGIKUNCVWTGUDQVJVGPF
VQOCMGEJCPIGUVQLWFKEKCNTGSWGUVU4GURQPUGUHTQOEQWTVCFOKPKUVTCVQTUYGTGTGEGKXGF
HTQOQHVJGUVCVGUYJGTGIQXGTPQTUCTGRGTOKVVGFVQCNVGTVJGLWFKEKCNDWFIGVTGSWGUVU
6CDNGUJQYUVJCVHQWTVGGP
RGTEGPVQHVJGUGTGURQPFGPVUTGRQTVGFVJCVKVKUXGT[
EQOOQPHQTVJGIQXGTPQTUKPVJGKTUVCVGUVQOCMGEJCPIGUVQVJGEQWTVDWFIGVYJGTGCUQPN[
RGTEGPVKPFKECVGFVJCVUWEJEJCPIGUCTGTCTGCVDGUV%QWTVCFOKPKUVTCVQTUTGRQTVGF
HWTVJGTVJCVVJGOGFKCPEJCPIGOCFGD[IQXGTPQTUKPVJGUGUVCVGUKURGTEGPVQHVJGLWFKEKCN
TGSWGUV.GIKUNCVWTGUCRRGCTVQDGGXGPOQTGYKNNKPIVQOCMGEJCPIGUVQEQWTVTGSWGUVU
6CDNGUJQYUVJCVNGIKUNCVKXGEJCPIGUCTGEQOOQPKPCNNDWVRGTEGPV
QWVQHQHVJG
UVCVGUTGURQPFKPI6JGOGFKCPEJCPIGOCFGD[NGIKUNCVWTGUKPVJGUGUVCVGUKURGTEGPV#
HWTVJGTKPFKECVKQPQHNGIKUNCVKXGKPVGTXGPVKQPKPVQVJGEQWTVU DWFIGVUKUVJGFGITGGVQYJKEJ
6
TGUVTKEVKXGNKPGKVGOUCTGWUGFD[VJGNGIKUNCVWTGVQNKOKVLWFKEKCNURGPFKPIFKUETGVKQP
=6CDNGJGTG?
.GIKUNCVKXGQHHKEGTUYGTGSWGTKGFKPVJKUTGICTFCPFVJGKTTGURQPUGUCTGUJQYPKP6CDNG6JG
VCDNGTGXGCNUVJCVNKPGKVGOUCTGCVNGCUVUQOGYJCVTGUVTKEVKXGKPOQUVUVCVGU
RGTEGPV
*QYGXGTCRRTQZKOCVGN[QWVQHNGIKUNCVKXGQHHKEGTUTGRQTVGFVJCVKVKUGCU[HQTVJGEQWTVUKP
VJGKTUVCVGUVQUJKHVOQPG[DGVYGGPQDLGEVUQHGZRGPFKVWTGFWTKPIVJGHKUECN[GCT+PTGICTFVQ
NKPGKVGOUEQWTVCFOKPKUVTCVQTUYGTGCUMGFKHVJGLWFKEKCT[HGNVQDNKICVGFVQCFJGTGVQUWEJ
TGUVTKEVKQPURNCEGFWRQPVJGKTCRRTQRTKCVKQPU5KZ
RGTEGPVQHVJGTGURQPFGPVUKPFKECVGF
VJCVVJGEQWTVUKIPQTGFUWEJTGUVTKEVKQPDGECWUGVJG[KPHTKPIGFWRQPVJGEQWTVU KPFGRGPFGPV
UVCVWU6JKUUWIIGUVUVJCVVJGEQWTVUKPUQOGUVCVGUHGNVVJCVNKPGKVGOTGUVTKEVKQPUYGTG
KPCRRTQRTKCVGHQTLWFKEKCNDWFIGVUDGECWUGVJGLWFKEKCT[KUCUGRCTCVGDTCPEJ
=6CDNGJGTG?
6JGHKPFKPIUFKUEWUUGFCDQXGUJQYVJCVGNGEVGFQHHKEKCNURCTVKEWNCTN[VJQUGKPVJG
NGIKUNCVWTGCTGYKNNKPIVQCNVGTCPFEQPHKPGLWFKEKCNDWFIGVU6QIGVCPKFGCQHJQYVJKU
KORCEVUEQWTVHWPFKPINGXGNUNGIKUNCVKXGDWFIGVQHHKEGTUYGTGCUMGFVQRTQXKFGVJGCOQWPVUQH
VJGNGIKUNCVKXGCRRTQRTKCVKQPHQTVJGLWFKEKCT[HQTHKUECN[GCTUCPFCPFVJGLWFKEKCN
DWFIGVTGSWGUVUHQTHKUECN[GCT(QTV[QPGQHVJGNGIKUNCVKXGQHHKEGTURTQXKFGFVJKU
KPHQTOCVKQP6JGFCVCTGXGCNVJCVQPCXGTCIGVJGLWFKEKCNDTCPEJJCFKVUDWFIGVTGSWGUVUEWV
D[QPN[RGTEGPV+PQHUVCVGUVJGNGIKUNCVWTGCEVWCNN[ICXGVJGEQWTVUOQTGVJCPYJCV
YCUTGSWGUVGF
QPCXGTCIGRGTEGPVOQTGCPQEEWTTGPEGVJCVFQGUPQVJCRRGPXGT[QHVGP
HQTGZGEWVKXGDTCPEJCIGPEKGU#FFKVKQPCNN[FGURKVGVJGEWVUKPVJGKTTGSWGUVUVJGUVCVGEQWTVU
TGEGKXGFCPCXGTCIGDWFIGVKPETGCUGQHRGTEGPVHQTHKUECN[GCT6JGTGHQTGKVCRRGCTU
VJCVGNGEVGFQHHKEKCNUKPVJGUVCVGUCTGOQTGVJCPYKNNKPIVQKPETGCUGLWFKEKCNDWFIGVUCPF
RTQXKFGVJGEQWTVUYKVJOQUVQHYJCVVJG[CUMHQTKPVJGCIITGICVG
*QYFQGUVJKUYKNNKPIPGUUVQHWPFVJGEQWTVUEQORCTGYKVJVJGYKNNKPIPGUUQHGNGEVGF
QHHKEKCNUVQHWPFCIGPE[CEVKXKVKGU!6QHKPFQWVYGCUMGFCNNVJTGGTGURQPFGPVITQWRUVQ
EQORCTGEQWTVCPFTGIWNCTCIGPEKGUKPVGTOUQHVJGCFGSWCE[QHVJGKTHWPFKPIVQGPCDNGVJGO
VQECTT[QWVVJGKTHWPEVKQPU6CDNGUJQYUVJCVVJGGZGEWVKXGCPFNGIKUNCVKXGDTCPEJQHHKEGTU
KPOQUVUVCVGUTCVGFVJGKTEQWTVU[UVGOUCUDGKPIDGVVGTHWPFGFKPIGPGTCNVJGPTGIWNCT
CIGPEKGU%QWTVCFOKPKUVTCVQTUYGTGNGUUGPVJWUKCUVKEKPVJKUTGICTF*QYGXGTQXGTCSWCTVGT
RGTEGPVCEMPQYNGFIGFVJCVVJGLWFKEKCNDTCPEJVGPFGFVQDGUQOGYJCVDGVVGTHWPFGF
VJCPTGIWNCTCIGPEKGUKPVJGKTUVCVGU/QUV
RGTEGPVRNCEGFVJGNGXGNQHLWFKEKCNCPF
CIGPE[HWPFKPICUDGKPICDQWVVJGUCOG6JGUGHKPFKPIUTGICTFKPILWFKEKCNHWPFKPINGXGNU
KPFKECVGVJCVVJGKPCDKNKV[QHUVCVGEQWTVUVQRTQXKFGFKTGEVGNGEVQTCNDGPGHKVU
UWEJCURQTMVQ
GNGEVGFQHHKEKCNUKUPQVYQTMKPICICKPUVVJGEQWTVUVQCP[ITGCVGZVGPVFWTKPIVJGDWFIGVCT[
RTQEGUU6JGEQWTVUCTGTGEGKXKPIUWDUVCPVKCNDWFIGVCT[KPETGCUGUCPFCTGHWPFGFCVNGXGNU
EQPUKUVGPVYKVJGZGEWVKXGDTCPEJCIGPEKGU
=6CDNGJGTG?
7
1PGRQUUKDNGGZRNCPCVKQPHQTVJGCRRCTGPVJGCNVJ[HWPFKPINGXGNUHQTUVCVGEQWTVUKU
VJCVOCP[UVCVGEQPUVKVWVKQPUCPFUVCVWVGUOCPFCVGEGTVCKPGZRGPFKVWTGUHQTVJGEQWTVU6JKU
KUQHVGPVJGECUGHQTLWFIGU UCNCTKGU6JGEQWTVCFOKPKUVTCVQTUYGTGCUMGFVQRTQXKFGVJGKT
DGUVGUVKOCVGQHVJGRGTEGPVCIGQHCNNLWFKEKCNGZRGPFKVWTGUVJCVCTGOCPFCVGFO[NCY6JKTV[
HQWTEQWTVCFOKPKUVTCVQTUTGURQPFGFVQVJKUSWGUVKQP6JG[TGRQTVGFCTCPIGQHRGTEGPVVQ
RGTEGPVYKVJCOGCPUEQTGQHRGTEGPV+PUVCVGUYJGTGVJGRGTEGPVCIGQHOCPFCVGF
GZRGPFKVWTGUKUJKIJGNGEVGFQHHKEKCNUJCXGVJGKTJCPFUVKGFVQCNCTIGFGITGGKPJQYOWEJVJG[
ECPCNVGTVJGLWFKEKCNDWFIGV)KXGPVJCVHGYGZGEWVKXGDTCPEJCIGPEKGUJCXGNCTIGRGTEGPVCIGU
QHVJGKTDWFIGVUOCPFCVGFD[NCYVJGLWFKEKCNDTCPEJICKPUCPCFXCPVCIGYJGPEQORGVKPIHQT
TGUQWTEGUYJGPKVJCUCRQTVKQPQHKVUHWPFKPIOCPFCVGF6YGNXGQHVJGUVCVGU
RGTEGPVTGURQPFKPIVQVJKUSWGUVKQPKPFKECVGFVJCVQXGTRGTEGPVQHVJGKTGZRGPFKVWTGUYGTG
OCPFCVGF
#PQVJGTRQUUKDNGGZRNCPCVKQPHQTVJGCRRCTGPVJGCNVJ[HWPFKPINGXGNUHQTUVCVGEQWTVUKU
VJGFGFKECVKQPQHEQWTVEQNNGEVGFHWPFUVQLWFKEKCNCEVKXKVKGU%QWTVUEQNNGEVHKPGUHGGUCPF
HQTHGKVWTGUFWTKPIVJGKTFC[VQFC[QRGTCVKQPU6JGUGHWPFUECPGKVJGTTGXGTVDCEMVQVJG
IGPGTCNHWPFQTDGGCTOCTMGFVQVJGEQWTVUHQTVJGKTWUG9JGPHWPFUCTGGCTOCTMGFVJG
EQWTVUICKPCEEGUUVQTGUQWTEGUVJCVECPPQVDGFKXGTVGFVQQVJGTRWTRQUGUD[GNGEVGFQHHKEKCNU
6JKUKPGHHGEVITCPVUVJGLWFKEKCT[UQOGKPFGRGPFGPEGQXGTKVUDWFIGV6JKTV[UGXGPEQWTV
CFOKPKUVTCVQTUTGURQPFGFYJGPCUMGFVQRTQXKFGVJGRGTEGPVCIGQHEQWTVEQNNGEVGFHWPFUVJCV
CTGGCTOCTMGFVQVJGEQWTVU4GURQPUGUTCPIGFHTQORGTEGPVVQRGTEGPVYKVJCOGCP
UEQTGQHRGTEGPV(QWTQHVJGTGURQPFGPVU
RGTEGPVKPFKECVGFVJCVQXGT
RGTEGPVQHEQWTVEQNNGEVGFHWPFUYGTGGCTOCTMGFVQVJGEQWTVU(QWTVGGP
RGTEGPV
KPFKECVGFVJCVPQEQWTVEQNNGEVGFHWPFUYGTGUQGCTOCTMGF1HVJGVYGPV[VJTGGUVCVGUYJGTG
CVNGCUVUQOGHWPFUYGTGGCTOCTMGFEQWTVCFOKPKUVTCVQTU
RGTEGPVTGRQTVGFVJCVVJG
LWFKEKCT[KUTGUVTKEVGFKPJQYKVECPURGPFVJGHWPFU(QTGZCORNGVJGEQWTVUOKIJVDG
TGSWKTGFVQURGPFVJGGCTOCTMGFHWPFUQPURGEKHKEKVGOUUWEJCULWFIGU UCNCTKGUQTNCY
NKDTCTKGU#FFKVKQPCNN[QHVJGEQWTVCFOKPKUVTCVQTU
RGTEGPVQHUVCVGUTGEGKXKPI
GCTOCTMGFHWPFUTGRQTVGFVJCVVJGNGIKUNCVWTGOWUVCRRTQXGCVNGCUVUQOGQHVJGURGPFKPI
FGTKXGFHTQOEQWTVEQNNGEVGFHWPFU6JWUCUWDUVCPVKCNPWODGTQHUVCVGLWFKEKCTKGUJCXGCV
NGCUVUQOGQHVJGKTEQWTVEQNNGEVGFTGXGPWGUGCTOCTMGFVQVJGO+PVJGUGKPUVCPEGUJCXKPIC
IWCTCPVGGFTGXGPWGUQWTEGOC[UVTGPIVJGPEQWTVHWPFKPI*QYGXGTFKUETGVKQPQXGTJQY
VJGUGIWCTCPVGGFHWPFUOC[DGURGPVKUNKOKVGFKPUQOGUVCVGUFWGVQNGICNTGUVTKEVKQPU
6JKUUGEVKQPJCUUJQYPVJCVIQXGTPQTUCPFUVCVGNGIKUNCVQTUFQKPVGTXGPGKPEQWTV
DWFIGVKPI/QFGUVCFLWUVOGPVUCTGOCFGVQVJGDWFIGVTGSWGUVUQHVJGLWFKEKCNDTCPEJCPF
UQOGTGUVTKEVKQPUCTGRNCEGFWRQPLWFKEKCNCRRTQRTKCVKQPU9JKNGVJGUGEJCPIGUCPF
TGUVTKEVKQPUNKOKVLWFKEKCNFKUETGVKQPQXGTEQWTVURGPFKPIVQCVNGCUVUQOGFGITGGKPOQUVUVCVGU
VJGGXKFGPEGRTGUGPVGFCDQXGEQPEGTPKPIHWPFKPINGXGNUUWIIGUVUVJCVUVCVGEQWTVUCTGPQV
DGKPIVTGCVGFWPHCKTN[KPEQORCTKUQPVQGZGEWVKXGDTCPEJCIGPEKGUFWTKPIVJGDWFIGVCT[
RTQEGUU2TCEVKEGUUWEJCUOCPFCVKPITGUQWTEGUCPFGCTOCTMKPIHWPFUCKFVJGEQWTVUKPOCP[
UVCVGU6JGUGHKPFKPIUECNNKPVQSWGUVKQPVJGCUUGTVKQPVJCVVJGKPFGRGPFGPEGQHUVCVGEQWTVUKU
DGKPIVJTGCVGPGFFWGVQVJGFKHHKEWNVKGUCUUQEKCVGFYKVJEQORGVKPIHQTUECTEGTGUQWTEGUCICKPUV
GZGEWVKXGDTCPEJCIGPEKGUKPCRQNKVKECNGPXKTQPOGPV
Inter-Branch Competition
8
#UGEQPFCPFRGTJCRUOQTGQOKPQWUDWFIGVCT[VJTGCVVQLWFKEKCNKPFGRGPFGPEG
EQOGUHTQOVJGRQYGTUVTWIINGDGVYGGPVJGDTCPEJGUQHIQXGTPOGPV#UUVCVGFGCTNKGTVJG
EQWTVUOCMGTWNKPIUYJKEJJCXGCPKORCEVWRQPRWDNKERQNKE[6JGEQWTVUCTGCNUQFGRGPFGPV
WRQPVJGQVJGTDTCPEJGUHQTVJGKTHWPFKPI6JKUHWPFKPIKUXKVCNVQOCKPVCKPVJGHWPEVKQPKPI
QHVJGLWFKEKCNDTCPEJQHIQXGTPOGPV)KXGPCNNQHVJGUGHCEVQTUKVKUPQVWPTGCUQPCDNGVQ
CUUWOGVJCVIQXGTPQTUCPFUVCVGNGIKUNCVWTGUWUGVJGKTDWFIGVCT[RQYGTUVQKPHNWGPEGEQWTV
TWNKPIUCPFRQNKEKGU#HVGTCNNIQXGTPQTUCPFNGIKUNCVWTGUJCXGWUGFVJGKTDWFIGVCT[RQYGTU
CICKPUVGCEJQVJGTVQKPHNWGPEGRQNKE[HQTFGECFGU
%N[PEJCPF.CWVJ6JKUUGEVKQP
GZRNQTGUYJGVJGTVJGDWFIGVCT[RQYGTUQHVJGGZGEWVKXGCPFNGIKUNCVKXGDTCPEJGUCTGWUGFVQ
KPHNWGPEGEQWTVTWNKPIUCPFRQNKEKGU
$GHQTGGZCOKPKPIYJGVJGTDWFIGVCT[RQYGTUCTGWUGFVQKPHNWGPEGVJGEQWTVUKVOWUV
DGFGVGTOKPGFKHUWEJCEVKQPUCTGEQPUVTWGFVQDGCTGCNVJTGCVVQLWFKEKCNKPFGRGPFGPEG+VKU
RQUUKDNGVJCVVJGXCTKQWUDWFIGVKPICEVQTUDGNKGXGVJCVUWEJCEVKQPUCTGCNGIKVKOCVGEJGEM
WRQPLWFKEKCNRQYGT+HVJKUKUUQVJGPVJGKORNKECVKQPQHCP[CEVKQPUVCMGPCICKPUVVJG
EQWTVU DWFIGVDGEQOGUNGUUOGPCEKPI$WFIGVQHHKEGTUHTQOCNNVJTGGUWTXG[ITQWRUYGTG
CUMGFVQIKXGVJGKTRGTEGRVKQPUQHDWFIGVCT[CEVKQPUVCMGPCICKPUVVJGEQWTVU#UWDUVCPVKCN
PWODGTQHTGURQPFGPVUEJQUGPQVVQCPUYGTVJKUSWGUVKQP
UGG6CDNG1HVJQUGVJCVFKF
TGURQPFVJGOCLQTKV[KPFKECVGFVJCVVJG[XKGYGFDWFIGVCT[CEVKQPUD[VJGGZGEWVKXGCPF
NGIKUNCVKXGDTCPEJGUVCMGPVQKPHNWGPEGEQWTVTWNKPIUCPFRQNKEKGUVQKPHTKPIGWRQPVJG
KPFGRGPFGPEGQHVJGLWFKEKCNDTCPEJ0QVUWTRTKUKPIN[EQWTVCFOKPKUVTCVQTUYGTGOQUVNKMGN[
VQXKGYUWEJDWFIGVCT[CEVKQPUCUCPKPHTKPIGOGPV+VKUKPVGTGUVKPIVQPQVGJQYGXGTVJCV
GZGEWVKXGDTCPEJQHHKEKCNUYGTGNGCUVNKMGN[VQXKGYUWEJCEVKQPUKPVJGUCOGNKIJV'ZGEWVKXG
QHHKEGTUKPHCEVYGTGCNOQUVGXGPN[URNKVQPVJGKUUWG
=6CDNGJGTG?
#RQUUKDNGKPFKECVQTQHWUGQHDWFIGVCT[RQYGTUCICKPUVVJGEQWTVUEQWNFDGVJG
EQPFKVKQPQHVJGTGNCVKQPUJKRDGVYGGPVJGLWFKEKCT[CPFVJGQVJGTVYQDTCPEJGU6CDNG
UJQYUVJGTGURQPUGUQHGZGEWVKXGCPFNGIKUNCVKXGQHHKEGTUEQPEGTPKPIVJGTGNCVKQPUJKRDGVYGGP
VJGLWFKEKCT[CPFGNGEVGFQHHKEKCNU+PIGPGTCNTGNCVKQPUDGVYGGPVJGGNGEVGFDTCPEJGUCPFVJG
LWFKEKCT[CTGIQQF6JGLWFKEKCNDTCPEJCRRGCTUVQOCKPVCKPDGVVGTTGNCVKQPUYKVJIQXGTPQTU
VJCPYKVJNGIKUNCVWTGUCURGTEGPVQHNGIKUNCVKXGTGURQPFGPVUTGRQTVGFVJCVTGNCVKQPU
DGVYGGPVJGNGIKUNCVWTGCPFVJGEQWTVUCTGUVTCKPGFYJGTGCUQPN[RGTEGPVQHGZGEWVKXG
QHHKEGTUTGRQTVGFVJCVTGNCVKQPUDGVYGGPVJGIQXGTPQTCPFVJGEQWTVUCTGUVTCKPGF6JKU
UWIIGUVUVJCVNGIKUNCVWTGUOKIJVDGOQTGNKMGN[VJCPIQXGTPQTUVQWUGVJGKTDWFIGVCT[RQYGTU
VQKPHNWGPEGEQWTVCEVKQPU
=6CDNGJGTG?
Gubernatorial Action5QVQYJCVGZVGPVFQIQXGTPQTUCPFNGIKUNCVWTGUWUGVJGKT
DWFIGVCT[RQYGTUCICKPUVVJGEQWTVU!4GURQPFGPVUHTQOCNNVJTGGITQWRUYGTGCUMGFYJGVJGT
VQVJGKTMPQYNGFIGCP[QHCNKUVQHDWFIGVCT[RQYGTUJCFGXGTDGGPGORNQ[GFD[VJGKT
IQXGTPQTUQTNGIKUNCVWTGUVQKPHNWGPEGQTRTQVGUVEQWTVTWNKPIUQTRQNKE[6CDNGUJQYUVJG
9
TGURQPUGUQHEQWTVCFOKPKUVTCVQTUCPFGZGEWVKXGDWFIGVQHHKEGTUTGICTFKPIIWDGTPCVQTKCN
RQYGTU#VHKTUVINCPEGKVFQGUPQVCRRGCTVJCVIQXGTPQTUWUGVJGKTDWFIGVCT[RQYGTUCUC
RQNKE[VQQNCICKPUVVJGEQWTVU(QTGCEJQHVJGIWDGTPCVQTKCNRQYGTUNKUVGFHGYEQWTV
CFOKPKUVTCVQTUQTGZGEWVKXGDWFIGVQHHKEGTUTGRQTVGFJCXKPICP[GZRGTKGPEGUYKVJVJG
IQXGTPQTUKPVJGKTUVCVGUWUKPIVJGOVQKPHNWGPEGQTRTQVGUVEQWTVTWNKPIUQTRQNKEKGU%QWTV
CFOKPKUVTCVQTUYGTGOQTGNKMGN[VJCPGZGEWVKXGQHHKEGTUVQENCKOVJCVVJGNKUVGFRQYGTUJCF
DGGPWUGFCICKPUVEQWTVDWFIGVU
=6CDNGJGTG?
4GFWEKPIVJGHWPFKPIQHVJGLWFKEKCT[KPVJGGZGEWVKXGDWFIGVOGCPKPITGFWEKPILWFKEKCN
TGSWGUVUCRRGCTUVQDGWUGFOQTGVJCPCP[QVJGTIWDGTPCVQTKCNDWFIGVRQYGTVQKPHNWGPEG
EQWTVTWNKPIUCPFRQNKEKGU(QWTGZGEWVKXGDWFIGVQHHKEGTU
RGTEGPVQHCPFUGXGPEQWTV
CFOKPKUVTCVQTU
RGTEGPVQHKPFKECVGFVJCVIQXGTPQTUKPVJGKTUVCVGUJCFWUGFVJKURQYGT
VQKPHNWGPEGVJGEQWTVU0QOQTGVJCPRGTEGPVQHVJGEQWTVCFOKPKUVTCVQTUCPFRGTEGPV
QHVJGGZGEWVKXGQHHKEGTUTGRQTVGFVJCVCP[QHVJGQVJGTNKUVGFRQYGTUJCFDGGPWUGFKPVJGKT
UVCVGU1HVJGTGURQPFGPVUTGRQTVKPIVJCVVJGUGQVJGTRQYGTUJCFDGGPWUGFKPVJGKTUVCVGU
QXGTRGTEGPVECOGHTQOUVCVGUYJGTGVJGIQXGTPQTFQGUPQVRQUUGUUVJGCWVJQTKV[VQEJCPIG
LWFKEKCNDWFIGVTGSWGUVUYJGPRWVVKPIVQIGVJGTVJGGZGEWVKXGDWFIGV6JGTGHQTGYJGP
IQXGTPQTUWUGVJGKTDWFIGVCT[RQYGTUCICKPUVVJGEQWTVUVJG[CRRGCTVQRTGHGTVQTGFWEG
URGPFKPIKPVJGGZGEWVKXGDWFIGVHQTVJGEQWTVU*QYGXGTYJGPVJKURQYGTKUPQVYKVJKP
VJGKTCWVJQTKV[IQXGTPQTUTGUQTVVQQVJGTDWFIGVCT[FGXKEGUWPFGTVJGKTEQPVTQN
1XGTCNNPQIWDGTPCVQTKCNDWFIGVKPIRQYGTGPLQ[UYKFGURTGCFWUGVJTQWIJQWVVJG
UVCVGUVQKPHNWGPEGEQWTVTWNKPIUCPFRQNKEKGU(GYTGURQPFGPVURGTEGPVQHVJGEQWTV
CFOKPKUVTCVQTUCPFRGTEGPVQHVJGGZGEWVKXGQHHKEGTUTGRQTVGFVJCVCVNGCUVQPG
IWDGTPCVQTKCNCEVKQPJCFVCMGPRNCEGKPVJGKTUVCVGU#FFKVKQPCNN[QPN[UKZEQWTV
CFOKPKUVTCVQTU
RGTEGPVCPFQPGGZGEWVKXGQHHKEGT
RGTEGPVTGRQTVGFVJGWUGQHOQTG
VJCPQPGIWDGTPCVQTKCNRQYGTKPVJGKTUVCVGU6JGTGHQTGKVCRRGCTUVJCVIQXGTPQTUKPOQUV
UVCVGUFQPQVWUGDWFIGVCT[RQYGTUKPYC[UVJCVOKIJVKPHTKPIGWRQPLWFKEKCNKPFGRGPFGPEG
+PHCEVOCP[TGURQPFGPVUPQVGFVJCVUWEJCEVKQPUYQWNFDGKPEQPEGKXCDNGIKXGPVJGFGHGTGPEG
IQXGTPQTUKPVJGKTUVCVGUJCFHQTVJGLWFKEKCNDTCPEJ*QYGXGTVJGKPFGRGPFGPEGQHVJG
EQWTVUKPCHGYUVCVGUFQGUCRRGCTVQDGCVTKUMHTQOVJKUHTQPV7PHQTVWPCVGN[PQSWGUVKQPU
YGTGCUMGFTGICTFKPIVJGHTGSWGPE[YKVJYJKEJIWDGTPCVQTKCNCEVKQPUCTGVCMGPCICKPUVVJG
EQWTVU6JGTGHQTGYGCTGWPCDNGVQRCKPVCENGCTGTRKEVWTGEQPEGTPKPIVJGGZVGPVVQYJKEJVJG
KPFGRGPFGPEGQHVJGEQWTVUKPVJGUGUVCVGKUDGKPIVJTGCVGPGFD[GZGEWVKXGDWFIGVKPIRQYGTU
Legislative Action4GURQPUGUQHEQWTVCFOKPKUVTCVQTUCPFNGIKUNCVKXGDWFIGVQHHKEGTU
TGICTFKPIVJGWUGD[VJGNGIKUNCVWTGQHKVUDWFIGVCT[RQYGTUVQKPHNWGPEGEQWTVCEVKQPUCPF
RQNKEKGUCTGSWKVGFKHHGTGPVHTQOVJQUGEQPEGTPKPIIWDGTPCVQTKCNDGJCXKQT6CDNGTGXGCNUVJCV
CPWODGTQHDWFIGVKPIRQYGTUTGEGKXGWUCIGD[NGIKUNCVWTGUKPCUWDUVCPVKCNPWODGTQHUVCVGU
VQKPHNWGPEGQTRTQVGUVEQWTVTWNKPIUQTRQNKEKGU%QWTVCFOKPKUVTCVQTUYGTGOQTGNKMGN[VJCP
NGIKUNCVKXGQHHKEGTUVQENCKOVJCVVJGNKUVGFRQYGTUJCFDGGPWUGFCICKPUVEQWTVDWFIGVU$QVJ
TGURQPFGPVITQWRUTGRQTVGFVJCVVJGOQUVEQOOQPOGVJQFUWUGFD[NGIKUNCVWTGUYGTG
6JTGCVGPKPIVQTGFWEGVJGLWFKEKCT[ UDWFIGV#EVWCNN[TGFWEKPIVJGLWFKEKCT[ UDWFIGVCPF7UKPI
10
TGUVTKEVKXGNKPGKVGOUVQKPJKDKVLWFKEKCNURGPFKPIFKUETGVKQP6JTGCVGPKPIVQTGFWEGVJG
LWFKEKCT[ UDWFIGVYCUVJGOQUVRQRWNCTVCEVKEWUGFD[NGIKUNCVWTGUYKVJRGTEGPV
QWV
QHUVCVGUQHVJGEQWTVCFOKPKUVTCVQTUCPFRGTEGPV
QWVQHUVCVGUNGIKUNCVKXG
DWFIGVQHHKEGTUKPFKECVKPIVJCVVJKUCEVKQPJCUDGGPWUGFD[VJGNGIKUNCVWTGUKPVJGKTUVCVGUVQ
KPHNWGPEGQTRTQVGUVEQWTVTWNKPIUQTRQNKEKGU4GURQPFGPVUHTQODQVJITQWRUCNUQTGXGCNGF
VJCV#VVGORVUVQFGRTKXGVJGLWFKEKCT[QHCPCRRQTVKQPOGPV#VVGORVUVQRTGXGPVVJGLWFKEKCT[HTQO
VTCPUHGTTKPIHWPFUYKVJKPKVUDWFIGVCPF1VJGTDWFIGVCT[CEVKQPUYGTGWUGFD[TGNCVKXGN[HGY
UVCVGNGIKUNCVWTGUVQKPHNWGPEGEQWTVTWNKPIUCPFRQNKEKGU
=6CDNGJGTG?
6JGPWODGTQHUVCVGUYJGTGNGIKUNCVWTGUJCXGVCMGPDWFIGVCT[CEVKQPCICKPUVVJGEQWTVU
KUOQTGVJCPFQWDNGVJGPWODGTYJGTGIQXGTPQTUJCXGVCMGPCEVKQP%QWTVCFOKPKUVTCVQTU
HTQOUVCVGU
RGTEGPVQHCPFNGIKUNCVKXGDWFIGVQHHKEGTUHTQOUVCVGU
RGTEGPV
QHCEMPQYNGFIGFVJCVCVNGCUVQPGDWFIGVKPIOGVJQFJCFDGGPWUGFD[VJGNGIKUNCVWTGUKP
VJGKTUVCVGUVQKPHNWGPEGEQWTVTWNKPIUQTRQNKEKGU(WTVJGTOQTG6CDNGUJQYUVJCVC
UWDUVCPVKCNPWODGTQHUVCVGNGIKUNCVWTGUJCXGWUGFOQTGVJCPQPGQHVJGKTDWFIGVCT[RQYGTUVQ
KPHNWGPEGVJGEQWTVU#RRTQZKOCVGN[RGTEGPVQHEQWTVCFOKPKUVTCVQTUCPFRGTEGPVQH
NGIKUNCVKXGQHHKEGTUTGRQTVGFVJCVVJGKTUVCVGNGIKUNCVWTGUJCFWUGFOQTGVJCPQPGDWFIGVCT[
RQYGT
=6CDNGJGTG?
6YQCFFKVKQPCNHKPFKPIUQHKPVGTGUVTGICTFKPINGIKUNCVKXGDWFIGVCT[CEVKQPUCICKPUVVJG
EQWTVUCTGYQTVJPQVKPI(KTUVKPGXGT[UVCVGYJGTGVJGEQWTVCFOKPKUVTCVQTUTGRQTVGF
IWDGTPCVQTKCNCEVKQPUCICKPUVVJGEQWTVUVJG[CNUQTGRQTVGFNGIKUNCVKXGCEVKQPUCICKPUVVJG
EQWTVU#RQUUKDNGGZRNCPCVKQPHQTVJKUHKPFKPIEQWNFDGVJCVEQWTVTWNKPIUQTRQNKEKGUKPVJGUG
UVCVGUCPIGTGFVJGGNGEVQTCVGEQORGNNKPIGNGEVGFQHHKEKCNUHTQODQVJDTCPEJGUVQVCMGCEVKQP
#PCNVGTPCVKXGGZRNCPCVKQPEQWNFDGVJCVVJGRQNKVKECNEWNVWTGKPVJGUGUVCVGURGTOKVUUWEJ
CEVKQPUVQVCMGRNCEGGXGPYJGPVJG[CTGXKGYGFVQDGCPKPHTKPIGOGPVWRQPLWFKEKCN
KPFGRGPFGPEG
5GEQPFYGWUGFCEJKUSWCTGUVCVKUVKEVQFGVGTOKPGYJGVJGTCTGNCVKQPUJKRGZKUVU
DGVYGGPVJGUVCVWUQHVJGTGNCVKQPUJKRDGVYGGPVJGNGIKUNCVWTGCPFVJGLWFKEKCT[KPGCEJUVCVG
CPFVJGPWODGTQHDWFIGVCT[OGVJQFUWUGFD[VJGUVCVGNGIKUNCVWTG6JGTGUWNVUQHVJGEJK
USWCTGVGUVTGXGCNGFVJCVCUWDUVCPVKCN
RTGNCVKQPUJKRGZKUVU#UVJGTGNCVKQPUJKR
DGVYGGPVJGVYQDTCPEJGUQHIQXGTPOGPVDGEQOGUOQTGUVTCKPGFVJGNGIKUNCVWTGVGPFUVQWUG
OQTGQHKVUDWFIGVCT[RQYGTUCICKPUVVJGEQWTVU 6JGHKPFKPIUEQPEGTPKPINGIKUNCVKXGCEVKQPKPFKECVGVJCVNGIKUNCVKXGDWFIGVKPIRQYGTU
RQUGCOWEJITGCVGTTKUMVQLWFKEKCNKPFGRGPFGPEGVJCPIWDGTPCVQTKCNDWFIGVKPIRQYGTU
5GXGTCNNGIKUNCVKXGDWFIGVKPIRQYGTUJCXGDGGPWUGFKPCUWDUVCPVKCNPWODGTQHUVCVGUCPF
UGXGTCNUVCVGNGIKUNCVWTGUJCXGWUGFOQTGVJCPQPGQHVJGKTDWFIGVKPIRQYGTUCICKPUVVJG
EQWTVU#FFKVKQPCNN[CRRTQZKOCVGN[RGTEGPVQHVJGTGURQPFGPVUTGRQTVGFVJCVVJGKTUVCVG
NGIKUNCVWTGUJCXGWUGFDWFIGVKPIRQYGTUVQKPHNWGPEGQTRTQVGUVEQWTVTWNKPIUQTRQNKEKGU+V
11
UJQWNFDGPQVGFJQYGXGTVJCVCPWODGTQHTGURQPFGPVUHTQOUVCVGUYJGTGUWEJCEVKQPUYGTG
PQVTGRQTVGFVQVCMGRNCEGEQOOGPVGFVJCVVJGNGIKUNCVKXGDQFKGUKPVJGKTUVCVGUJGNFCJKIJ
TGICTFHQTVJGEQWTVUCPFYQWNFPGXGTEQPUKFGTWUKPIVJGKTDWFIGVCT[RQYGTUVQKPHNWGPEGVJG
EQWTVU
What Court Actions are Likely to Induce Budget Action Against the Judiciary?
)KXGP
VJGGXKFGPEGVJCVGNGEVGFQHHKEKCNUFQCVVKOGUWUGVJGKTDWFIGVCT[RQYGTUVQKPHNWGPEGEQWTV
CEVKXKVKGUQTRQNKEKGUYJCVV[RGUQHLWFKEKCNCEVKQPUCTGNKMGN[VQKPFWEGIQXGTPQTUCPFUVCVG
NGIKUNCVWTGUVQVCMGCEVKQPCICKPUVEQWTVDWFIGVU!+PCPGHHQTVVQCPUYGTVJKUSWGUVKQPYG
CUMGFEQWTVCFOKPKUVTCVQTUYJQTGRQTVGFDWFIGVCT[CEVKQPUCICKPUVEQWTVDWFIGVUKPVJGKT
UVCVGUVQTCVGXCTKQWUEQWTVCEVKQPUDCUGFWRQPVJGNKMGNKJQQFQHVJQUGCEVKQPUVQKPFWEG
GNGEVGFQHHKEKCNUVQWUGVJGKTDWFIGVCT[RQYGTUCICKPUVVJGEQWTVU(QTGCEJEQWTVCEVKQPYG
CUMGFVJGTGURQPFGPVUVQTCVGVJGKVGOWUKPICRQKPVUECNG
DGKPIXGT[WPNKMGN[DGKPI
XGT[NKMGN[6CDNGRTQXKFGUVJGTCPIGCPFOGCPUEQTGUHQTVJGXCTKQWUEQWTVCEVKQPU
KFGPVKHKGFKPVJGUWTXG[5EQTGUCTGDTQMGPFQYPD[UVCVGUYJGTGIQXGTPQTUVQQMDWFIGVCT[
CEVKQPCPFUVCVGUYJGTGNGIKUNCVWTGUVQQMDWFIGVCT[CEVKQP
=6CDNGJGTG?
0QPGQHVJGEQWTVCEVKQPUHQTGKVJGTITQWRKUTCVGFRCTVKEWNCTN[JKIJ6JKUEQWNF
KPFKECVGVJCVVJGPWODGTQHKPEKFGPVUYJGTGGNGEVGFQHHKEKCNUVCMGCEVKQPCICKPUVLWFKEKCN
DWFIGVUKUNQY(QTIQXGTPQTUVJGJKIJGUVTCVKPIYCUIKXGPVQ4WNKPIUQXGTVJG
EQPUVKVWVKQPCNKV[QTNGICNKV[QHCNCYQTUVCVGCEVKQPYJKEJJCUDWFIGVCT[KORNKECVKQPUCPF4WNKPIU
YJKEJJCXGCFKTGEVKORCEVWRQPVJGIQXGTPQTRGTUQPCNN[$QVJQHVJGUGCEVKQPUJCFCOGCPUEQTG
QH/GCPUEQTGUHQTNGIKUNCVWTGUVGPFGFVQDGUNKIJVN[JKIJGTVJCPUEQTGUHQTIQXGTPQTU
DWVVJG[TGOCKPGFNQYQXGTCNN6JGJKIJGUVTCVKPIUHQTNGIKUNCVWTGUOKOKEMGFVJQUGHQT
IQXGTPQTU4WNKPIUQXGTVJGEQPUVKVWVKQPCNKV[QTNGICNKV[QHCNCYQTUVCVGCEVKQPYJKEJJCU
DWFIGVCT[KORNKECVKQPUCPF4WNKPIUYJKEJJCXGCFKTGEVKORCEVWRQPKPFKXKFWCNOGODGTQHVJG
NGIKUNCVWTGRGTUQPCNN[
Pressure to Raise Revenue
6JGPGGFHQTGNGEVGFQHHKEKCNUVQKPETGCUGTGXGPWGUYKVJQWVTCKUKPIVCZGURQUGUCP
CFFKVKQPCNVJTGCVVQLWFKEKCNKPFGRGPFGPEG5EJQNCTUCTGEQPEGTPGFVJCVGNGEVGFQHHKEKCNUOC[
RWVRTGUUWTGQPEQWTVUVQFQOQTGVQKPETGCUGTGXGPWGUFGTKXGFHTQOEQWTVHGGUHKPGUCPF
HQTHGKVWTGU5WEJQEEWTTGPEGUCTGVTQWDNKPIDGECWUGJKIJHGGUOCMGKVFKHHKEWNVHQTNQYGT
KPEQOGEKVK\GPUVQICKPCEEGUUVQVJGEQWTVU
&KOQPFCPFRTGUUWTKPIEQWTVUVQTCKUG
OQTGOQPG[ETGCVGUVJGRQVGPVKCNHQTDKCUKPIEQWTVFGEKUKQPUHQTGZCORNGLWFIGUOKIJVDG
KPENKPGFVQKORQUGVJGOCZKOWOHKPGKPCNNECUGUKPQTFGTVQKPETGCUGHWPFKPI
0CUG
6JGUGQWVEQOGUYQWNFVJTGCVGPLWFKEKCNKPFGRGPFGPEGDGECWUGVJG[YQWNFNKOKVEQWTV
FKUETGVKQPCPFGHHGEVKXGPGUU+PTGICTFUVQVJGKORQTVCPEGQHCXQKFKPIVJGHQTOGTQWVEQOG
9KNUQP
YTQVG
VJGEQWTVUUJQWNFKPHCEVDGQRGPVQCNNGSWCNN[CEEGUUKDNGCPFUGTXKEGCDNGVQGXGT[
OCP+HKVDGVTWGVJCVQWTEQWTVUCTGUGTXKEGCDNGQPN[VQVJGTKEJQWTU[UVGOKU
KORCKTGFCVKVUXGT[JGCTVKVURQKUGCPFDCNCPEGCTGIQPG
6JGTGKUPQIWCTCPVGG
12
QHNKDGTV[WPFGTCU[UVGONKMGQWTUKHVJGEQWTVUDGPQVCUCEEGUUKDNGCPFCUUGTXKEGCDNG
VQVJGRQQTOCPCUVQVJGTKEJ
6QCUEGTVCKPVJGGZVGPVVQYJKEJUVCVGLWFKEKCTKGUCTGEQORGNNGFVQKPETGCUGEQWTV
IGPGTCVGFTGXGPWGUGZGEWVKXGCPFNGIKUNCVKXGDWFIGVQHHKEGTUYGTGCUMGFYJGVJGTIQXGTPQTU
CPFNGIKUNCVWTGUKPVJGKTUVCVGUJCFGXGTRTGUUWTGFVJGEQWTVUVQTCKUGOQTGOQPG[KPQTFGTVQ
JGNREQXGTEQUVU4GURQPFGPVUYGTGCNUQCUMGFYJGVJGTIQXGTPQTUCPFNGIKUNCVWTGUYGTG
UWEEGUUHWNKPVJGKTCVVGORVUVQIGVVJGEQWTVUVQKPETGCUGEQWTVEQNNGEVKQPU1PN[RGTEGPV
QWVQHQHVJGGZGEWVKXGQHHKEGTUKPFKECVGFVJCVIQXGTPQTUKPVJGKTUVCVGUJCFRTGUUWTGFVJG
EQWTVUVQTCKUGOQTGOQPG[#NNQHVJGUGTGURQPFGPVU
RGTEGPVKPFKECVGFVJCVRTGUUWTG
HTQOVJGIQXGTPQTECWUGFVJGEQWTVUVQVT[VQTCKUGOQTGOQPG[QPVJGKTQYP+PEQPVTCUV
RGTEGPV
QWVQHQHNGIKUNCVKXGQHHKEGTUTGRQTVGFVJCVVJGKTUVCVGNGIKUNCVWTGUJCF
RTGUUWTGFVJGEQWTVUVQTCKUGOQTGOQPG[.GIKUNCVWTGUYGTGUNKIJVN[NGUUUWEEGUUHWNVJCP
IQXGTPQTUKPVJKUTGICTF1PN[RGTEGPV
QWVQHQHVJGNGIKUNCVKXGQHHKEGTUKPFKECVGF
VJCVRTGUUWTGHTQOVJGNGIKUNCVWTGECWUGFVJGEQWTVUVQVT[VQTCKUGOQTGOQPG[QPVJGKTQYP
6JGUGPWODGTUKPFKECVGVJCVVJGEQWTVUCTGEQOKPIWPFGTUQOGRTGUUWTGVQTCKUGOQTG
TGXGPWGUHQTVJGKTUVCVGU#FFKVKQPCNN[YJGPVJG[CTGRTGUUWTGFVQKPETGCUGTGXGPWGUVJG[
VGPFVQEQORN[VQCVNGCUVUQOGGZVGPV6JGFCVCCNUQUJQYVJCVNGIKUNCVWTGUCTGOQTGRTQ
CEVKXGVJCPIQXGTPQTUKPVJKUTGICTF
Threats and Actions by Local Governments Against Court Budgets
(KPCNN[QWTUWTXG[KPENWFGFKVGOUCDQWVDWFIGVVJTGCVUVQLWFKEKCNKPFGRGPFGPEGD[
NQECNIQXGTPOGPVU/CP[UVCVGEQWTVUCTGUVKNNHWPFGFCVNGCUVKPRCTVD[NQECNEQWPVKGUCPF
EKVKGU6JGUGGPVKVKGUVJGPOC[JCXGUQOGKPHNWGPEGQXGTEQWTVUIKXGPVJCVVJG[CTGC
HWPFKPIUQWTEG9JKNGVJKUUVWF[FKFPQVUWTXG[NQECNIQXGTPOGPVCEVQTUYGFKFCUMUVCVG
EQWTVCFOKPKUVTCVQTUUGXGTCNSWGUVKQPUTGICTFKPIFKHHKEWNVKGUCUUQEKCVGFYKVJNQECNN[HWPFGF
EQWTVU(KHVGGP
RGTEGPVQHQHVJGEQWTVCFOKPKUVTCVQTUTGRQTVGFVJCVCVNGCUVUQOGQH
VJGHWPFKPIHQTVJGKTUVCVGEQWTVUYCUFGTKXGFHTQONQECNIQXGTPOGPVU
(KTUVEQWTVCFOKPKUVTCVQTUYGTGCUMGFKHNQECNIQXGTPOGPVUVTKGFVQKPHNWGPEGEQWTV
TWNKPIUYKVJDWFIGVVJTGCVU1PN[
RGTEGPVQHTGRNKGFVJCVEQWTVUKPVJGKTUVCVGUJCF
DGGPUWDLGEVVQUWEJRTGUUWTG5GEQPFEQWTVCFOKPKUVTCVQTUYGTGCUMGFKHNQECNIQXGTPOGPV
QHHKEKCNUJCFGXGTCEVWCNN[FGPKGFHWPFKPIVQVJGLWFKEKCT[FWGVQCFKUCITGGOGPVQXGTCEQWTV
TWNKPIQTRQNKE[1PN[
RGTEGPVQHTGRQTVGFVJCVNQECNQHHKEKCNUJCFVCMGPUWEJCEVKQP
6JKTFEQWTVCFOKPKUVTCVQTUYGTGCUMGFKHNQECNQHHKEKCNUJCFGXGTRWVRTGUUWTGQPVJGEQWTVUVQ
TCKUGOQTGOQPG[VQJGNREQXGTEQUVU'KIJV
RGTEGPVQHTGURQPFGFVJCVRTGUUWTGJCF
DGGPRNCEGFQPVJGEQWTVUVQTCKUGOQTGOQPG[(KPCNN[EQWTVCFOKPKUVTCVQTUYGTGCUMGF
YJGVJGTNQECNHKPCPEKPIHQTUVCVGEQWTVUOCFGKVFKHHKEWNVHQTVTKCNEQWTVUKPRQQTFKUVTKEVUVQ
CESWKTGCFGSWCVGHWPFKPI'NGXGP
RGTEGPVQHKPFKECVGFVJCVNQECNHKPCPEKPIFQGUJWTV
VJGHWPFKPIQHVTKCNEQWTVUKPRQQTFKUVTKEVU
6JGPWODGTUKPVJKUUGEVKQPKPFKECVGVJCVNQECNHWPFKPIHQTUVCVGEQWTVUFQGUVJTGCVGP
VJGKPFGRGPFGPEGQHVJGLWFKEKCT[9JKNGFKTGEVCVVCEMUCICKPUVEQWTVDWFIGVUFQPQVCRRGCT
VQDGEQOOQPVJG[JCXGQEEWTTGFKPUQOGUVCVGU.GUUFKTGEVVJTGCVUCRRGCTVQDGCNCTIGT
RTQDNGOHQTVJGEQWTVUYJGPFGCNKPIYKVJNQECNQHHKEKCNU6JGFCVCKPFKECVGVJCVRTGUUWTKPI
13
EQWTVUVQIGPGTCVGOQTGOQPG[CPFWPFGTHWPFKPIEQWTVUKPRQQTFKUVTKEVUQEEWTUKPCOCLQTKV[
QHUVCVGUYJGTGNQECNHWPFKPIGZKUVU6JGUGVJTGCVUJCXGVJGRQVGPVKCNVQNKOKVVJGGHHGEVKXGPGUU
CPFFKUETGVKQPQHVJGLWFKEKCNDTCPEJ
Conclusion
4CKUKPICPFURGPFKPIOQPG[CTGETWEKCNGNGOGPVUQHIQXGTPOGPVCNRQYGT&QGU
DWFIGVRQNKVKEUVJTGCVGPVJGKPFGRGPFGPEGQHEQWTVU!6JGGXKFGPEGKPVJKUCTVKENG
FGOQPUVTCVGUVJCVLWFKEKCNKPFGRGPFGPEGKUVJTGCVGPGFVQCVNGCUVUQOGGZVGPVD[GNGOGPVUQH
VJGDWFIGVCT[RTQEGUU9GHKPFVJCVVJGFKHHGTGPVCURGEVUQHDWFIGVKPIHQTVJGEQWTVU
EQORGVKPIHQTUECTEGTGUQWTEGUKPVGTDTCPEJEQORGVKVKQPCPFRTGUUWTGUVQTCKUGTGXGPWGU
CHHGEVLWFKEKCNKPFGRGPFGPEGVQFKHHGTGPVFGITGGU
+PIGPGTCNQWTGXKFGPEGUWIIGUVUVJCVQPGCURGEVQHEQWTVDWFIGVKPIEQORGVKPIHQT
UECTEGTGUQWTEGUKUPQVRCTVKEWNCTN[VJTGCVGPKPIVQLWFKEKCNKPFGRGPFGPEG5VCVGIQXGTPQTUCPF
NGIKUNCVWTGUECPKPVGTXGPGKPVJGHWPFKPIQHUVCVGEQWTVU9JKNGEJCPIGUKPDWFIGVTGSWGUVUCPF
TGUVTKEVKQPUQPCRRTQRTKCVKQPUNKOKVLWFKEKCNFKUETGVKQPQXGTEQWTVURGPFKPIKPUVCVGUQWTFCVC
KPFKECVGVJCVUVCVGEQWTVUCTGPQVDGKPIVTGCVGFWPHCKTN[KPVJGDWFIGVCT[RTQEGUUKP
EQORCTKUQPVQGZGEWVKXGDTCPEJCIGPEKGU5RGEKCNKPUVKVWVKQPCNCVVGPVKQPUWEJCU
EQPUVKVWVKQPCNN[OCPFCVKPITGUQWTEGUCPFGCTOCTMKPIHWPFURTQVGEVUVJGEQWTVUKPOCP[
UVCVGU6JGUGHKPFKPIUECNNKPVQSWGUVKQPVJGCUUGTVKQPVJCVVJGKPFGRGPFGPEGQHUVCVGEQWTVUKU
DGKPIVJTGCVGPGFFWGVQVJGFKHHKEWNVKGUCUUQEKCVGFYKVJEQORGVKPICICKPUVGZGEWVKXGDTCPEJ
CIGPEKGUHQTUECTEGTGUQWTEGU5QOGJQYGXGTOC[CTIWGVJCVVJGKORQTVCPEGQHVJGLWFKEKCT[
CUCEQPUVKVWVKQPCNN[ETGCVGFDTCPEJQHIQXGTPOGPVYCTTCPVUURGEKCNCVVGPVKQPYKVJTGICTFVQ
HWPFKPI'ZGEWVKXGCIGPE[EQORCTKUQPUVJGPOC[PQVUCVKUH[RTQRQPGPVUQHVJGEQWTVU
$G[QPFTQWVKPGFGEKUKQPUEQPEGTPKPIYJQIGVUYJCVFWTKPIVJGCRRTQRTKCVKQPU
RTQEGUUYGHQWPFVJCVLWFKEKCNKPFGRGPFGPEGKUVJTGCVGPGFVQCNCTIGTFGITGGD[VYQCURGEVUQH
EQWTVDWFIGVKPI(KTUVKPVGTDTCPEJEQPHNKEVCRRGCTUVQJCXGKPFWEGFGNGEVGFQHHKEKCNUKPC
UWDUVCPVKCNPWODGTQHUVCVGUVQWUGVJGKTDWFIGVCT[RQYGTUKPQTFGTVQKPHNWGPEGEQWTV
FGEKUKQPU1WTFCVCUJQYVJCVNGIKUNCVWTGUCTGOQTGCEVKXGVJCPIQXGTPQTUKPVJKUTGICTF
%QWTVCEVKQPUHQWPFVQDGOQUVNKMGN[VQKPFWEGUWEJDGJCXKQTCTGTWNKPIUQXGTVJG
EQPUVKVWVKQPCNKV[QTNGICNKV[QHNCYUQTUVCVGCEVKQPYJKEJJCXGDWFIGVCT[KORNKECVKQPUCPF
TWNKPIUYJKEJJCXGCFKTGEVKORCEVWRQPVJGIQXGTPQTCPFQTNGIKUNCVQTURGTUQPCNN[6JGUG
HKPFKPIUUWRRQTVVJGCTIWOGPVUQH-CWHOCP
CPF$GTOCPVCPF9JGGNGT
VJCV
CUUCWNVUQPUVCVGLWFKEKCTKGUKPENWFGCEVKQPUCICKPUVLWFKEKCNDWFIGVU9JKNGVJGUGRCTCVKQPQH
RQYGTUPGEGUUKVCVGUDTCPEJGUQHIQXGTPOGPVEQOKPIKPVQEQPHNKEVQWTTGUGCTEJJCUFKUEQXGTGF
VJCVDWFIGVRQNKVKEUJCUVJGRQVGPVKCNVQNGCFVQCPGZEGUUKXGGPVCPINGOGPVQHVJGQVJGT
DTCPEJGUKPVQVJGCFOKPKUVTCVKQPQHEQWTVU5GEQPFEQPHKTOKPI&KOQPF
CPF0CUG U
HGCTUYGHQWPFVJCVVJGEQWTVUKPCUWDUVCPVKCNPWODGTQHUVCVGUJCXGDGGPRTGUUWTGF
RCTVKEWNCTN[D[NGIKUNCVWTGUCPFNQECNQHHKEKCNUVQKPETGCUGEQWTVIGPGTCVGFTGXGPWGU9JKNGVJG
HTGSWGPE[YKVJYJKEJVJGUGUQTVUQHDGJCXKQTUQEEWTKPVJGUGUVCVGUYCUPQVFGVGTOKPGFVJGKT
GZKUVGPEGTCKUGUSWGUVKQPUEQPEGTPKPIVJGHKTOPGUUQHLWFKEKCNKPFGRGPFGPEGKPVJGUVCVGU
6JG(TCOGTUQHVJG%QPUVKVWVKQPUGVWRCU[UVGOQHIQXGTPOGPVYJGTGVJGDTCPEJGU
YQWNFJCXGFKUVKPEVRQYGTUCPFEQORGVGHQTCWVJQTKV[+P(GFGTCNKUV/CFKUQP
TGOKPFUWUQHVJGKORQTVCPEGQHVJGEQWTVUCUCUGRCTCVGCPFFKUVKPEVDTCPEJQHIQXGTPOGPV
14
*COKNVQP
KP(GFGTCNKUVCPFCNUQTGOKPFUWUVJCVPQVCNNDTCPEJGUCTGETGCVGF
GSWCN6JGEQWTVUCEEQTFKPIVQ*COKNVQPYQWNFDGNGUUKPUWNCVGFHTQOVJGRQYGTUQHVJG
QVJGTDTCPEJGUQHIQXGTPOGPVRCTVKEWNCTN[YKVJTGICTFVQTGUQWTEGU+POQFGTPVKOGUVJGTG
JCUDGGPKPETGCUGFUCNKGPE[QHVJGKUUWGQHVJGKPFGRGPFGPEGQHEQWTVU+PVJGTGURQPUGVQ
TGEGPVRGTEGRVKQPUQHCVVCEMUQPLWFKEKCNKPFGRGPFGPEG6CTT
TGCUUGTVUVJCVVJG
FGHKPKVKQPQHLWFKEKCNKPFGRGPFGPEGKPENWFGUCPKPUWNCVKQPQHEQWTVUHTQOVJGKPHNWGPEGQH
QVJGTRQNKVKECNKPUVKVWVKQPU
,CEMUQP
CNUQCTIWGUVJCVEQWTVTGUQWTEGUCTGQPGQHVJG
GUUGPVKCNGNGOGPVUQHLWFKEKCNKPFGRGPFGPEG
+PUQOGYC[UVJGRQYGTQHEQWTVUJCUCFXCPEGFKPOQFGTP#OGTKECYKVJITGCV
GZRCPUKQPUKPDQVJLWTKUFKEVKQPCPFDWTGCWETCVKEUK\G9JGGNGT
VJQWIJVGNNUWUVJCV
VJKUKPETGCUGKPLWFKEKCNCFOKPKUVTCVKQPFQGUPQVPGEGUUKVCVGLWFKEKCNKPFGRGPFGPEGDWVFQGU
RTQXKFGCOGCPUHQTEQWTVUVQRTQVGEVKVUKPFGRGPFGPEG=CICKPUV?VJGQVJGTDTCPEJGU! 1WTYQTMUWIIGUVUVJCVVJGKPUWNCVKQPQHUVCVGEQWTVUHTQOQVJGTRQNKVKECNKPUVKVWVKQPUKU
UQOGVKOGUVJKPYJGPKVEQOGUVQDWFIGVRQNKVKEU9JKNGDWFIGVRQNKVKEUCUCEJGEMQPVJG
RQYGTUQHQVJGTDTCPEJGUOC[EGTVCKPN[QEEWTKPVJGHWPFKPIQHUVCVGCIGPEKGUCIGPEKGU
WPNKMGEQWTVUCTGETGCVWTGUQHNGIKUNCVKXGCPFGZGEWVKXGRQNKVKEU6JGVJTGCVQHDWFIGVCT[
GPVCPINGOGPVKPVQVJGCFOKPKUVTCVKQPQHEQWTVUFQGUPQVUWRRQTVVJGUGRCTCVGLWFKEKCNYKNNCU
GNKEKVGFD[/CFKUQPKP(GFGTCNKUVDWVOQTGUWRRQTVUVJGKFGCUQH*COKNVQPKP(GFGTCNKUV
VJCVVJGLWFKEKCT[JCUPGKVJGTHQTEGPQTYKNNDWVOGTGN[LWFIGOGPV6JKUCTVKENGEQPENWFGU
VJCVKPDWFIGVRQNKVKEUUVCVGEQWTVUUQOGVKOGUHKPFVJGOUGNXGUUWDLGEVVQVJGKPHNWGPEGQH
QVJGTIQXGTPOGPVKPUVKVWVKQPUKPQTFGTVQGZGTVVJGKTYKNNCUCEQWPVGTOCLQTKVCTKCPDTCPEJ
6JKUKUVJGHKTUVUVWF[VQRTQXKFGGXKFGPEGUJQYKPIVJCVVJTGCVUVQLWFKEKCNDWFIGVUFQ
GZKUVKPOCP[UVCVGU+VKUVJGHKTUVUVCIGQHCNCTIGTTGUGCTEJRTQLGEV(WVWTGTGUGCTEJUJQWNF
KPXQNXGDQVJECUGUVWFKGUCPFOWNVKXCTKCVGCPCN[UKU%CUGUVWFKGUUJQWNFWPEQXGTFGVCKNGF
KPHQTOCVKQPTGICTFKPIVJGGZVGPVVQYJKEJUWEJVJTGCVUQEEWTKPXCTKQWUUVCVGUYJCVHQTOU
VJGVJTGCVUVGPFVQVCMGCPFVJGKPHNWGPEGUWEJVJTGCVUJCXGWRQPLWFKEKCNFGEKUKQPOCMKPI
/WNVKXCTKCVGCPCN[UKUUJQWNFTGXGCNVJGKPHNWGPEGMG[DWFIGVKPICPFKPUVKVWVKQPCNXCTKCDNGU
JCXGWRQPLWFKEKCNDWFIGVU
15
References
#DPG[)NGPPCPF6JQOCU2.CWVJ6JG.KPG+VGO8GVQKPVJG5VCVGU#P+PUVTWOGPV
HQT(KUECN4GUVTCKPVQTCP+PUVTWOGPVHQT2CTVKUCPUJKR!2WDNKE#FOKPKUVTCVKQP4GXKGY
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16
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17
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18
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19
Table 1
How Common it is for Governors and Legislatures to Make Changes
to Judicial Budget Requests
Court Administrators Responding
Governors
Legislatures
60.9%
(14)
72.5%
(29)
17.4%
(4)
17.1%
(7)
0%
(0)
2.4%
(1)
Rarely
13.0%
(3)
4.9%
(2)
Never
8.7%
(2)
2.4%
(1)
Missing
(0)
(1)
N
23
41
Very Common
Somewhat Common
Somewhat Uncommon
Table 2
Extent to which Legislatures Inhibit Judicial Spending Discretion
by Using Restrictive Line-Items when Appropriating Funds to the Courts
Legislative Budget Officers Responding
Line-Items are Very Restrictive
6.7%
(3)
Line-Items are Somewhat Restrictive
53.3%
(24)
Line-Items are Not Very Restrictive
26.7%
(12)
Line-Items are Not Restrictive At All
11.1%
(5)
Missing
(1)
N
45
Table 3
Judicial Funding Levels in Comparison with Regular Agencies
in Terms of the Adequacy of Their Funding to Enable Them to
Carry Out Their Functions
Responses of:
Court
Administrators
Executive
Budget Officers
Legislative
Budget Officers
0%
(0)
8.9%
(4)
11.1%
(5)
The Courts are Somewhat
Better Funded
26.8%
(11)
51.1%
(23)
42.2%
(19)
The Courts are Funded at about
the Same Level
58.5%
(24)
31.1%
(14)
42.2%
(19)
The Courts are Somewhat
Worse Funded
7.3%
(3)
0%
(0)
0%
(0)
The Courts are Much
Worse Funded
0%
(0)
0%
(0)
0%
(0)
Missing
(3)
(4)
(2)
N
41
45
45
The Courts are Much
Better Funded
Table 4
Are the Use of Gubernatorial and Legislative Budgetary Powers to Potentially
have an Impact on Court Rulings and Policies a Legitimate Check on Judicial Power
or on Infringement upon the Independence of the Judicial Branch?
Responses of:
Court
Administrators
Executive
Budget Officers
Legislative
Budget Officers
Use of Budget Powers is
a Legitimate Check on Judiciary
11.4%
(4)
44.4%
(16)
34.2%
(13)
Use of Budget Powers is
an Infringement upon
Judicial Independence
88.6%
(31)
55.6%
(20)
65.8%
(25)
Total:
100%
(35)
100%
(36)
100%
(38)
Table 5
Nature of the Relations between Governor/Legislature and the Judiciary
Governors
Legislatures
Responses of Executive Officers
Responses of Legislative Officers
Excellent
33.3%
(15)
13.3%
(6)
Good
37.8%
(17)
46.7%
(21)
Neutral
17.8%
(8)
20.0%
(9)
Somewhat Strained
4.4%
(2)
11.1%
(5)
Very Strained
0%
(0)
2.4%
(1)
Missing
(3)
(3)
N
45
45
Table 6
Budgetary Powers Used by Governors
to Influence or Protest Court Rulings or Policies
Responses of:
Court
Administrators
Executive
Budget Officers
Threatened (directly or indirectly) to use veto power on
the Judiciary’s budget
7.3%
(3)
2.2%
(1)
Actually used the veto power on the Judiciary’s Budget
7.3%
(3)
2.2%
(1)
Attempted to deprive the Judiciary of on apportionment
0%
(0)
0%
(0)
Attempted to prevent the Judiciary from transferring
funds from within its budget during the fiscal year
2.4%
(1)
2.2%
(1)
Threatened (directly or indirectly) to reduce funding for
the Judiciary in the executive budget recommendation
7.3%
(3)
2.2%
(1)
Actually reduced the funding for the Judiciary in the
executive budget recommendation
17.1%
(7)
8.9%
(4)
The Governor has taken Other budgetary actions
against the Judiciary’s budget
2.4%
(1)
4.8%
(2)
N
41
45
"Other" budget actions included: action against judicial salaries and by merely commenting on
judicial budgets.
Table 7
Budgetary Powers Used by Legislatures
to Influence or Protest Court Rulings or Policies
Responses of:
Court
Administrators
Legislative
Budget Officers
Threatened (directly or indirectly) to reduce the
Judiciary’s Budget
36.6%
(15)
28.9%
(13)
Actually Reduced the Judiciary’s budget
26.8%
(11)
17.8%
(8)
Attempted to deprive the Judiciary of an apportionment
4.9%
(2)
6.7%
(3)
Attempted to prevent the Judiciary from transferring
funds from within its budget during the fiscal year
9.8%
(4)
6.7%
(3)
Inhibited Judicial spending discretion by using
restrictive line-items when appropriating funds to the
courts
19.5%
(8)
17.8%
(8)
The Legislature has taken other budgetary actions
against the Judiciary’s budget
12.2%
(5)
2.2%
(1)
N
41
45
"Other" budget actions included: asking for very specific expenditure information for those
judges who issue unpopular rulings, stalling or acting against judicial pay legislation, reductions
in response to judicial corruption/indictment, not funding requests for new judgeships, and
acting against benefit changes.
Table 8
Number of States Where Legislature has Used
More than One Budgetary Power Against the Judiciary
Number of Budgetary
Powers Used by Legislature
N
Responses of Court
Administrators
Responses of Legislative
Budget Officers
0
46.3%
(19)
53.3%
(24)
1
22.0%
(9)
26.7%
(12)
2
14.6%
(6)
13.3%
(6)
3
12.2%
(5)
2.2%
(1)
4
2.4%
(1)
2.2%
(1)
5
2.4%
(1)
2.2%
(1)
41
45
Table 9
Court Actions Likely to Induce Governors and Legislatures
to Take Action against the Judiciary’s Budget
Responses of Court Administrators from States where such actions have taken place
Court Actions
Likelihood of
Gubernatorial Action
Range, Mean, (n)
Likelihood of
Legislative Action
Range, Mean, (n)
Rulings over the constitutionality or legality of
a law or state action which has no budgetary
implications
1-4
2.14
(7)
1-4
2.69
(16)
Rulings over the constitutionality or legality of
a law or state action which has budgetary
implications
1-5
2.50
(6)
1-5
2.93
(14)
Rulings which affect the balance of power
between the Governor and Legislature
1-4
2.17
(6)
1-5
2.42
(12)
Rulings which have a direct impact upon the
Governor or individual member of the
Legislature such as rulings over their salaries
1-5
2.50
(6)
1-5
2.79
(14)
Rulings which go against the client(s) of
individual legislators who practice law
N/A
1-3
1.50
(12)
Policy disagreements with the Courts
1-4
2.13
(8)
1-5
2.63
(16)
N
9
22
The following question was posed to legislative analysts and court administrators:
"Which types of court actions are likely to induce the legislature to take action against the
Judiciary’s budget? Rank items on a scale of 1 to 5, (1 being very unlikely, 5 being very
likely)."