Item Details

Policy and Politics in State Budgeting

Kurt M. Thurmaier and Katherine G. Willoughby
Format
Book
Published
Armonk, N.Y. : M.E. Sharpe, c2001.
Language
English
Series
Bureaucracies, Public Administration, and Public Policy
ISBN
0765602938 (alk. paper)
Contents
  • State Government Setting: Factors Influencing Budgeters' Decisions 7
  • Financial Condition 7
  • Political Factors 8
  • Organizational Setting of the State Budget Office 12
  • Personal Characteristics of Budget Examiners 15
  • State Sample Characteristics 16
  • Fiscal and Economic 16
  • Politics, Budget Powers, and Organizational Factors 17
  • Comparison of the Sample States 20
  • Interview Methodology 22
  • Summary: Using This Text Effectively 27
  • Chapter 2. State Budget Office and the Budget Problem 30
  • Budget Problem: Funding Policies and Programs 30
  • Governor's Budget and Policy Problems 31
  • Policy Change and the Agenda-Setting Model 34
  • PAS and State Policy-Making 40
  • Treatment of Time and Timing in Decision Models 44
  • Synthesis of Change Models 46
  • Incrementalism Models 47
  • GCM--RTB--Incrementalism Synthesis and Implications 49
  • Budget Decision Agenda 52
  • SBO as Gatekeeper 54
  • Flows of Information 57
  • Top-Down Flows 57
  • Bottom-Up Flows 59
  • Coupling Macro and Micro Decisions 59
  • Development-Phase Decisions 62
  • First Decision Level 62
  • Second Decision Level 65
  • Third Decision Level 66
  • Execution-Phase Decisions 66
  • Summary: The Foundations for a Model of Budget Rationality 67
  • Chapter 3. Budget Rationalities: Effectiveness Decisions 70
  • Why Propose a Budget Rationalities Model? 70
  • Is There Such a Thing as Budget Rationality? 71
  • Toward a Concept of Budgetary Rationality: The Limits of the ECM 72
  • Demands of a Model of Budget Rationality 77
  • Empirical Support for a Model of Budget Rationality 79
  • Effectiveness Decisions 81
  • Social Rationality 82
  • Political Rationality 86
  • Budget Process: Decision-Making Structures Associated with Political Rationality 87
  • Choosing Peripheral Policies and Programs 89
  • Political Feasibility Frontier 90
  • Politics of Substantive Policy Areas 92
  • Legal Rationality 94
  • Summary: Conclusions About Effectiveness Decisions 96
  • Chapter 4. Budget Rationalities: Efficiency Decisions 98
  • Efficiency/Effectiveness Cleavage 98
  • Efficiency Decisions 99
  • Economic Rationality 99
  • Technical Rationality 101
  • Limitations of Efficiency Decisions 102
  • Rationalities Framework 104
  • Multiple Rationalities at Work 107
  • Problem Framing: Simplifying Decision Rules to Reduce Complexity 109
  • Rational Analyst and Budget Rationality 109
  • Budget Problem Representation: Framing Decisions 110
  • Credibility of the Issue Framer 118
  • A Multidimensional View of the Budget Problem 120
  • Summary: Complex Problems Require Complex Analysis 124
  • Chapter 5. Budget Office Orientations and Decision Contexts 129
  • A Typology of Budget Office Decision Contexts 129
  • Gubernatorial Activism and Policy Influence 131
  • SBO Orientations 133
  • Midwestern States 133
  • Control Orientation 137
  • Weak Policy Model 139
  • Strong Policy Model 141
  • Southern States 145
  • Control Orientation 148
  • Transition (Weak Policy) Model 150
  • Strong Policy Model 151
  • Policy Distances in State Budgeting 153
  • Policy Consonance and Priorities 154
  • Working for the Governor 155
  • Nurturing a Policy Orientation 159
  • Affirmation Rates of Examiners 163
  • Patterns of Communication Flow in SBOs 166
  • Summary: Policy Problems Become Budget Problems in a Decision Context 170
  • Chapter 6. Anatomy of a Policy-Oriented Budget Recommendation 173
  • Shadowing the SBO Examiner 173
  • Task of the Policy-Oriented SBO 174
  • Predevelopment-Phase Analysis 176
  • Social Facets of Budget Problems 179
  • Political Facets of Budget Problems 187
  • Legal Facets of Budget Problems 199
  • Effectiveness Framework and Efficiency Rationalities 203
  • Development-Phase Analysis 206
  • Technical Rationality 207
  • Economic Rationality 209
  • Crafting the Examiner's Recommendation 211 --l Simplifying Decision Rules 217
  • Briefing the Governor 221
  • Control in Policy-Oriented SBOs 233
  • A Note About Legislative-Phase Analysis 234
  • Summary: A Decision Process with Multiple Rationalities 235
  • Chapter 7. Anatomy of a Control-Oriented Budget Recommendation 236
  • Task of the Control-Oriented Office 236
  • Predevelopment-Phase Analysis 239
  • Social and Legal Facets of Budget Problems 239
  • Talking with Agency Personnel 243
  • Making Site Visits 246
  • Political Facets of Budget Problems 249
  • Agency Priorities 250
  • SBO Priorities: Communicating with the Section Manager 251
  • Gubernatorial Priorities 253
  • Budget Hearings 256
  • Development-Phase Analysis 257
  • Receiving the Agency Budget Request 257
  • Revenue Constraint 259
  • Crafting a Recommendation 260
  • Summary: Constraints on a Multiple-Rationalities Approach to Budget Decisions 265
  • Chapter 8. Changing Roles: From Guarding the Purse to Guarding the Policy 267
  • Historical Evolution of the Budget Examiner Role 267
  • Roles Typology from Examiner Interviews 274
  • Adversary 276
  • Conduit 280
  • Facilitator 281
  • Policy Analyst 283
  • Advocate 291
  • Issue of Neutral Competency 294
  • Examiner Role Complexity 296
  • A Model of Budgetary Roles 301
  • Different Budget Phases Require Different Examiner Roles 303
  • Different Decision Contexts Require Different Roles 305
  • Examiner Roles in a Policy-Oriented SBO 310
  • Examiner Roles in a Control-Oriented SBO 316
  • Compare and Contrast: Control- Versus Policy-Oriented SBOs 320
  • Educational and Professional Backgrounds of Budget Examiners 324
  • Different Roles Require Different Types of Decision-Making 327
  • Decision Context Matters 330
  • Relationships Matter 331
  • Summary: Decision Context, Communication, and Budget Roles of SBOs 333
  • Why Examine Examiners? 335
  • Methodology, Sample States, and Decision Environment 337
  • Characterization of SBO Contexts on a Control-Policy Continuum 340
  • Research Questions Answered 343
  • Current Contextual Considerations 347
  • Future Research Activities 349
  • Summary: Enlightening Decision-Making in SBOs 350.
Description
xxi, 374 p. : ill. ; 24 cm.
Notes
Includes bibliographical references (p. 351-361) and index.
Technical Details
  • Access in Virgo Classic

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    t| State Government Setting: Factors Influencing Budgeters' Decisions g| 7 -- t| Financial Condition g| 7 -- t| Political Factors g| 8 -- t| Organizational Setting of the State Budget Office g| 12 -- t| Personal Characteristics of Budget Examiners g| 15 -- t| State Sample Characteristics g| 16 -- t| Fiscal and Economic g| 16 -- t| Politics, Budget Powers, and Organizational Factors g| 17 -- t| Comparison of the Sample States g| 20 -- t| Interview Methodology g| 22 -- t| Summary: Using This Text Effectively g| 27 -- g| Chapter 2. t| State Budget Office and the Budget Problem g| 30 -- t| Budget Problem: Funding Policies and Programs g| 30 -- t| Governor's Budget and Policy Problems g| 31 -- t| Policy Change and the Agenda-Setting Model g| 34 -- t| PAS and State Policy-Making g| 40 -- t| Treatment of Time and Timing in Decision Models g| 44 -- t| Synthesis of Change Models g| 46 -- t| Incrementalism Models g| 47 -- t| GCM--RTB--Incrementalism Synthesis and Implications g| 49 -- t| Budget Decision Agenda g| 52 -- t| SBO as Gatekeeper g| 54 -- t| Flows of Information g| 57 -- t| Top-Down Flows g| 57 -- t| Bottom-Up Flows g| 59 -- t| Coupling Macro and Micro Decisions g| 59 -- t| Development-Phase Decisions g| 62 -- t| First Decision Level g| 62 -- t| Second Decision Level g| 65 -- t| Third Decision Level g| 66 -- t| Execution-Phase Decisions g| 66 -- t| Summary: The Foundations for a Model of Budget Rationality g| 67 -- g| Chapter 3. t| Budget Rationalities: Effectiveness Decisions g| 70 -- t| Why Propose a Budget Rationalities Model? g| 70 -- t| Is There Such a Thing as Budget Rationality? g| 71 -- t| Toward a Concept of Budgetary Rationality: The Limits of the ECM g| 72 -- t| Demands of a Model of Budget Rationality g| 77 -- t| Empirical Support for a Model of Budget Rationality g| 79 -- t| Effectiveness Decisions g| 81 -- t| Social Rationality g| 82 -- t| Political Rationality g| 86 -- t| Budget Process: Decision-Making Structures Associated with Political Rationality g| 87 -- t| Choosing Peripheral Policies and Programs g| 89 -- t| Political Feasibility Frontier g| 90 -- t| Politics of Substantive Policy Areas g| 92 -- t| Legal Rationality g| 94 -- t| Summary: Conclusions About Effectiveness Decisions g| 96 -- g| Chapter 4. t| Budget Rationalities: Efficiency Decisions g| 98 -- t| Efficiency/Effectiveness Cleavage g| 98 -- t| Efficiency Decisions g| 99 -- t| Economic Rationality g| 99 -- t| Technical Rationality g| 101 -- t| Limitations of Efficiency Decisions g| 102 -- t| Rationalities Framework g| 104 -- t| Multiple Rationalities at Work g| 107 -- t| Problem Framing: Simplifying Decision Rules to Reduce Complexity g| 109 -- t| Rational Analyst and Budget Rationality g| 109 -- t| Budget Problem Representation: Framing Decisions g| 110 -- t| Credibility of the Issue Framer g| 118 -- t| A Multidimensional View of the Budget Problem g| 120 -- t| Summary: Complex Problems Require Complex Analysis g| 124 -- g| Chapter 5. t| Budget Office Orientations and Decision Contexts g| 129 -- t| A Typology of Budget Office Decision Contexts g| 129 -- t| Gubernatorial Activism and Policy Influence g| 131 -- t| SBO Orientations g| 133 -- t| Midwestern States g| 133 -- t| Control Orientation g| 137 -- t| Weak Policy Model g| 139 -- t| Strong Policy Model g| 141 -- t| Southern States g| 145 -- t| Control Orientation g| 148 -- t| Transition (Weak Policy) Model g| 150 -- t| Strong Policy Model g| 151 -- t| Policy Distances in State Budgeting g| 153 -- t| Policy Consonance and Priorities g| 154 -- t| Working for the Governor g| 155 -- t| Nurturing a Policy Orientation g| 159 -- t| Affirmation Rates of Examiners g| 163 -- t| Patterns of Communication Flow in SBOs g| 166 -- t| Summary: Policy Problems Become Budget Problems in a Decision Context g| 170 -- g| Chapter 6. t| Anatomy of a Policy-Oriented Budget Recommendation g| 173 -- t| Shadowing the SBO Examiner g| 173 -- t| Task of the Policy-Oriented SBO g| 174 -- t| Predevelopment-Phase Analysis g| 176 -- t| Social Facets of Budget Problems g| 179 -- t| Political Facets of Budget Problems g| 187 -- t| Legal Facets of Budget Problems g| 199 -- t| Effectiveness Framework and Efficiency Rationalities g| 203 -- t| Development-Phase Analysis g| 206 -- t| Technical Rationality g| 207 -- t| Economic Rationality g| 209 -- t| Crafting the Examiner's Recommendation g| 211 --l t| Simplifying Decision Rules g| 217 -- t| Briefing the Governor g| 221 -- t| Control in Policy-Oriented SBOs g| 233 -- t| A Note About Legislative-Phase Analysis g| 234 -- t| Summary: A Decision Process with Multiple Rationalities g| 235 -- g| Chapter 7. t| Anatomy of a Control-Oriented Budget Recommendation g| 236 -- t| Task of the Control-Oriented Office g| 236 -- t| Predevelopment-Phase Analysis g| 239 -- t| Social and Legal Facets of Budget Problems g| 239 -- t| Talking with Agency Personnel g| 243 -- t| Making Site Visits g| 246 -- t| Political Facets of Budget Problems g| 249 -- t| Agency Priorities g| 250 -- t| SBO Priorities: Communicating with the Section Manager g| 251 -- t| Gubernatorial Priorities g| 253 -- t| Budget Hearings g| 256 -- t| Development-Phase Analysis g| 257 -- t| Receiving the Agency Budget Request g| 257 -- t| Revenue Constraint g| 259 -- t| Crafting a Recommendation g| 260 -- t| Summary: Constraints on a Multiple-Rationalities Approach to Budget Decisions g| 265 -- g| Chapter 8. t| Changing Roles: From Guarding the Purse to Guarding the Policy g| 267 -- t| Historical Evolution of the Budget Examiner Role g| 267 -- t| Roles Typology from Examiner Interviews g| 274 -- t| Adversary g| 276 -- t| Conduit g| 280 -- t| Facilitator g| 281 -- t| Policy Analyst g| 283 -- t| Advocate g| 291 -- t| Issue of Neutral Competency g| 294 -- t| Examiner Role Complexity g| 296 -- t| A Model of Budgetary Roles g| 301 -- t| Different Budget Phases Require Different Examiner Roles g| 303 -- t| Different Decision Contexts Require Different Roles g| 305 -- t| Examiner Roles in a Policy-Oriented SBO g| 310 -- t| Examiner Roles in a Control-Oriented SBO g| 316 -- t| Compare and Contrast: Control- Versus Policy-Oriented SBOs g| 320 -- t| Educational and Professional Backgrounds of Budget Examiners g| 324 -- t| Different Roles Require Different Types of Decision-Making g| 327 -- t| Decision Context Matters g| 330 -- t| Relationships Matter g| 331 -- t| Summary: Decision Context, Communication, and Budget Roles of SBOs g| 333 -- t| Why Examine Examiners? g| 335 -- t| Methodology, Sample States, and Decision Environment g| 337 -- t| Characterization of SBO Contexts on a Control-Policy Continuum g| 340 -- t| Research Questions Answered g| 343 -- t| Current Contextual Considerations g| 347 -- t| Future Research Activities g| 349 -- t| Summary: Enlightening Decision-Making in SBOs g| 350.
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