Policy and Politics in State Budgeting

by Thurmaier,Kurt M.

• ISBN13: 9780765602930
• ISBN10: 0765602938
• Format: Hardcover
• Copyright: 2001-03-31
• Publisher: Routledge

Summary

This path-breaking study examines state budget offices as institutional actors, with special attention to the role of budget examiners. Drawing on findings from field studies of eleven states in the American heartland, the authors demonstrate how budgeting at the state level has become more policy-oriented, requiring more complex decision making by budget analysts. The incrementalist model of budgetary decision-making thus gives way to a multiple rationalities model. The authors illustrate the new model with the story of two budget office examiners who have distinctly different styles as they begin their work, and contrast the different decision rationalities that come into play for them at different points in a typical budget cycle.

Author Biography

Kurt M. Thurmaier is an associate professor in the public administration department at the University of Kansas Katherine G. Willoughby is an associate professor in the department of public administration and urban studies in the Andrew Young School of Policy Studies at Georgia State University

Table of Contents

List of Tables, Figures, and Boxes	xiii
Preface	xv
Acknowledgments	xix
Acronyms	xxi
Introduction	3	(27)
The Purpose of This Research	3	(4)
The State Government Setting: Factors Influencing Budgeters' Decisions	7	(9)
Financial Condition	7	(1)
Political Factors	8	(4)
Organizational Setting of the State Budget Office	12	(3)
Personal Characteristics of Budget Examiners	15	(1)
State Sample Characteristics	16	(4)
Fiscal and Economic	16	(1)
Politics, Budget Powers, and Organizational Factors	17	(3)
Comparison of the Sample States	20	(2)
Interview Methodology	22	(5)
Summary: Using This Text Effectively	27	(3)
The State Budget Office and the Budget Problem	30	(40)
The Budget Problem: Funding Policies and Programs	30	(16)
The Governor's Budget and Policy Problems	31	(3)
Policy Change and the Agenda-Setting Model	34	(6)
PAS and State Policy-Making	40	(4)
The Treatment of Time and Timing in Decision Models	44	(2)
Synthesis of Change Models	46	(6)
Incrementalism Models	47	(2)
GCM-RTB---Incrementalism Synthesis and Implications	49	(3)
The Budget Decision Agenda	52	(2)
The SBO as Gatekeeper	54	(3)
Flows of Information	57	(2)
Top-Down Flows	57	(2)
Bottom-Up Flows	59	(1)
Coupling Macro and Micro Decisions	59	(3)
Development-Phase Decisions	62	(4)
The First Decision Level	62	(3)
The Second Decision Level	65	(1)
The Third Decision Level	66	(1)
Execution-Phase Decisions	66	(1)
Summary: The Foundations for a Model of Budget Rationality	67	(3)
Budget Rationalities: Effectiveness Decisions	70	(28)
Why Propose a Budget Rationalities Model?	70	(1)
Is There Such a Thing as Budget Rationality?	71	(10)
Toward a Concept of Budgetary Rationality: The Limits of the ECM	72	(5)
Demands of a Model of Budget Rationality	77	(2)
Empirical Support for a Model of Budget Rationality	79	(2)
Effectiveness Decisions	81	(15)
Social Rationality	82	(4)
Political Rationality	86	(1)
Budget Process: Decision-Making Structures Associated with Political Rationality	87	(2)
Choosing Peripheral Policies and Programs	89	(1)
Political Feasibility Frontier	90	(2)
The Politics of Substantive Policy Areas	92	(2)
Legal Rationality	94	(2)
Summary: Conclusions About Effectiveness Decisions	96	(2)
Budget Rationalities: Efficiency Decisions	98	(31)
The Efficiency/Effectiveness Cleavage	98	(1)
Efficiency Decisions	99	(3)
Economic Rationality	99	(2)
Technical Rationality	101	(1)
The Limitations of Efficiency Decisions	102	(2)
The Rationalities Framework	104	(5)
Multiple Rationalities at Work	107	(2)
Problem Framing: Simplifying Decision Rules to Reduce Complexity	109	(1)
The Rational Analyst and Budget Rationality	109	(15)
Budget Problem Representation: Framing Decisions	110	(8)
The Credibility of the Issue Framer	118	(2)
A Multidimensional View of the Budget Problem	120	(4)
Summary: Complex Problems Require Complex Analysis	124	(5)
Budget Office Orientations and Decision Contexts	129	(44)
A Typology of Budget Office Decision Contexts	129	(2)
Gubernatorial Activism and Policy Influence	131	(2)
SBO Orientations	133	(20)
Midwestern States	133	(4)
Control Orientation	137	(2)
Weak Policy Model	139	(2)
Strong Policy Model	141	(4)
Southern States	145	(3)
Control Orientation	148	(2)
Transition (Weak Policy) Model	150	(1)
Strong Policy Model	151	(2)
Policy Distances in State Budgeting	153	(17)
Policy Consonance and Priorities	154	(1)
Working for the Governor	155	(4)
Nurturing a Policy Orientation	159	(4)
Affirmation Rates of Examiners	163	(3)
Patterns of Communication Flow in SBOs	166	(4)
Summary: Policy Problems Become Budget Problems in a Decision Context	170	(3)
The Anatomy of a Policy-Oriented Budget Recommendation	173	(63)
Shadowing the SBO Examiner	173	(1)
The Task of the Policy-Oriented SBO	174	(2)
Predevelopment-Phase Analysis	176	(30)
Social Facets of Budget Problems	179	(8)
Political Facets of Budget Problems	187	(12)
Legal Facets of Budget Problems	199	(4)
The Effectiveness Framework and Efficiency Rationalities	203	(3)
Development-Phase Analysis	206	(5)
Technical Rationality	207	(2)
Economic Rationality	209	(2)
Crafting the Examiner's Recommendation	211	(22)
Simplifying Decision Rules	217	(4)
Briefing the Governor	221	(12)
Control in Policy-Oriented SBOs	233	(1)
A Note About Legislative-Phase Analysis	234	(1)
Summary: A Decision Process with Multiple Rationalities	235	(1)
The Anatomy of a Control-Oriented Budget Recommendation	236	(31)
The Task of the Control-Oriented Office	236	(3)
Predevelopment-Phase Analysis	239	(18)
Social and Legal Facets of Budget Problems	239	(4)
Talking with Agency Personnel	243	(3)
Making Site Visits	246	(3)
Political Facets of Budget Problems	249	(1)
Agency Priorities	250	(1)
SBO Priorities: Communicating with the Section Manager	251	(2)
Gubernatorial Priorities	253	(3)
Budget Hearings	256	(1)
Development-Phase Analysis	257	(3)
Receiving the Agency Budget Request	257	(2)
The Revenue Constraint	259	(1)
Crafting a Recommendation	260	(5)
Summary: Constraints on a Multiple-Rationalities Approach to Budget Decisions	265	(2)
Changing Roles: From Guarding the Purse to Guarding the Policy	267	(68)
Historical Evolution of the Budget Examiner Role	267	(7)
The Roles Typology from Examiner Interviews	274	(27)
Adversary	276	(4)
Conduit	280	(1)
Facilitator	281	(2)
Policy Analyst	283	(8)
Advocate	291	(3)
The Issue of Neutral Competency	294	(2)
Examiner Role Complexity	296	(5)
A Model of Budgetary Roles	301	(26)
Different Budget Phases Require Different Examiner Roles	303	(2)
Different Decision Contexts Require Different Roles	305	(5)
Examiner Roles in a Policy-Oriented SBO	310	(6)
Examiner Roles in a Control-Oriented SBO	316	(4)
Compare and Contrast: Control- Versus Policy-Oriented SBOs	320	(4)
Educational and Professional Backgrounds of Budget Examiners	324	(3)
Different Roles Require Different Types of Decision-Making	327	(6)
Decision Context Matters	330	(1)
Relationships Matter	331	(2)
Summary: Decision Context, Communication, and Budget Roles of SBOs	333	(2)
Conclusion	335	(16)
Why Examine Examiners?	335	(2)
Methodology, Sample States, and Decision Environment	337	(3)
Characterization of SBO Contexts on a Control-Policy Continuum	340	(3)
Research Questions Answered	343	(7)
Current Contextual Considerations	347	(2)
Future Research Activities	349	(1)
Summary: Enlightening Decision-Making in SBOs	350	(1)
References	351	(12)
Index	363	(12)
About the Authors	375