The New Politics of the Budgetary Process

Among the new class of inductees into the "Longman Classics in Political Science" Series, this Fifth Edition updates and revises Aaron Wildavsky's classic exposition of how federal budget decisions are made and how formal budget institutions and processes are interwoven with political dynamics. This text explains how thefederalbudget process has evolved and analyzes recent developments in key areas: entitlements, defense, deficit/surplus and reforms. Its critical and stimulating approach and clear, readable explanations make it essential reading for students of politics and public administration, as well as anyone trying to understand a decision-making process that affects virtually all Americans.

Aaron Wildavsky: University of California, Berkeley Naomi Caiden: California State University, Los Angeles

Foreword

xi

Preface to the Fifth Edition

xix

Preface to the First Edition

xxvii

Biographical Note

xxxiii

Budgeting as Conflicting Promises

1

(24)

Budgets Are Conflicting Commitments

7

(4)

Tax Preferences

11

(2)

Appropriations: The Power of Congress and Power Within Congress

13

(3)

The President Is Both Rival and Partner of Congress

16

(3)

Conflicting Promises: The Multiple Meanings of Budgetary Control

19

(6)

Budgets as Struggles for Power: A Historical Perspective

25

(17)

Colonial Origins

26

(4)

Turning Points: Civil War through World War I

30

(3)

The Executive Budget Movement

33

(7)

Dislocation and Continuity: Depression and War

40

(2)

The Dance of the Dollars: Classical Budgeting

42

(26)

Calculations

44

(2)

Complexity

44

(1)

Aids to Calculation

45

(1)

Incremental Budgeting

46

(4)

Roles and Perspectives

50

(7)

The Agency

50

(4)

The Bureau of the Budget

54

(2)

The Appropriations Committees

56

(1)

Strategies

57

(11)

Be a Good Politician

58

(1)

Clientele

58

(2)

Confidence

60

(2)

Congressional Committee Hearings

62

(1)

Strategies Designed to Capitalize on the Fragmentation of Power in National Politics

62

(6)

The Collapse of Consensus

68

(15)

The Growth of Entitlements

69

(1)

Economic Activism

70

(1)

Federal Credit

71

(1)

Priorities

72

(1)

Impoundment

73

(2)

The Budget Act: More Checks, More Balances, but Not More Control

75

(4)

Impoundment Again

75

(1)

Congressional Budget Office

76

(1)

Senate Budget Committee and House Budget Committee

76

(1)

Scheduling

76

(1)

Resolutions

77

(1)

Reconciliation

78

(1)

Complexity

78

(1)

A Congressional Budget, or Merely More Budgeting?

78

(1)

The Budget Process, 1975-1979: Making Totals Stick

79

(2)

Classical Budgeting Withers Without Quite Disappearing

81

(2)

The Politics of Dissensus

83

(20)

Why Budget Decisions Became So Difficult

84

(4)

The Focus on Totals

84

(1)

The End of Economic Management

85

(1)

Dominance of the Deficit

86

(1)

Polarization of the Parties

87

(1)

The Congressional Budget Act in the 1980s

88

(5)

R and R: Resolution and Reconciliation

88

(2)

Deferral and Rescission Redux

90

(1)

The Shifting Budgetary Base

91

(1)

Continuing Omnibus Resolutions

92

(1)

OMB in an Era of Perennial Budgeting

93

(4)

Top-Down Policy Making

94

(1)

Continuous Budgeting

94

(1)

Negotiating with Congress

95

(1)

Implications for OMB

96

(1)

Dissensus in Congress

97

(6)

Role Reversal

97

(1)

Rolled on the Floor

98

(2)

Budgeting Penetrates Congress

100

(1)

Gimmicks

100

(3)

The Politics of Balancing Budgets

103

(20)

Gramm--Rudman--Hollings

105

(1)

The Budget Enforcement Act of 1990

106

(2)

The Clinton Budget of 1993

108

(3)

The Politics of Radical Reversal 1995

111

(9)

Prologue: Constitutional Amendment and Rescission

112

(1)

Budgets and Counterbudgets: The President's Budget and the Congressional Resolution

113

(1)

Incrementalism in Mirror Image: Appropriations

114

(1)

Confrontation: Continuing Resolutions and the Debt Limit

115

(3)

Reconciliation and Intransigence

118

(2)

The Balanced Budget Act of 1997

120

(3)

Entitlements

123

(29)

The ``Ought'' and ``Is'' of Entitlements

124

(5)

Entitlements and Budgeting

129

(3)

How Do Entitlements Start?

132

(3)

Why Do Entitlements Grow?

135

(9)

Maintaining Commitment: Social Security

136

(2)

Escalating Costs: Medicare

138

(2)

Expanding Eligibility: Medicaid

140

(2)

Provider Pressures: End-Stage Renal Disease

142

(2)

How Have Entitlements Been Controlled?

144

(4)

Declining Need: Black Lung Disease

145

(1)

Ending an Entitlement: Welfare

146

(2)

Entitlements and Others

148

(4)

Appropriations: Head Start and WIC

148

(1)

Tax Expenditures: Earned Income Tax Credit (EITC)

149

(1)

Formula Grants to States: Adoption Assistance Program, Individuals With Disabilities Education Act, and the Ryan White Care Act

149

(3)

Budgeting for Defense

152

(29)

Dimensions of Defense

153

(2)

Defense Strategy and Funding

155

(6)

The Internal Budget Process

161

(9)

Planning, Programming, Budgeting

161

(4)

Acquisitions

165

(5)

The Congressional Budget Process

170

(11)

Reprogramming

173

(2)

Secrecy

175

(1)

Cuts

176

(3)

Contingencies

179

(2)

Reform

181

(24)

Norms of Budgetary Behavior

181

(3)

Forms of Budgeting

184

(1)

Reform Without Conflict

184

(2)

The Politics in Budget Reform

186

(5)

Unit of Measurement: Cash or Volume

187

(1)

Time Span: Months, One Year, Many Years

188

(1)

Calculation: Incremental or Comprehensive

189

(2)

Management Reforms

191

(6)

Performance and Budgeting

191

(2)

Centralization and Decentralization: The Role of OMB

193

(2)

Credit Reform

195

(1)

Financial Management

196

(1)

Capital Budgeting

197

(1)

Limits

198

(2)

The Line-Item Veto

200

(5)

From Surplus to Deficit

205

(20)

The Disappearing Deficit

205

(3)

The Politics of Budget Surplus

208

(4)

The End of the Surplus

212

(7)

Afterword

219

(1)

Characteristics of the Budget Process

219

(6)

The Budgetary Process Is Powerful Yet Impotent

220

(1)

The Budgetary Process Is Structured Yet Formalistic

220

(1)

The Budgetary Process Is Complex Yet Segmented

221

(2)

Budgetary Politics Are Polarized but Moderated

223

(2)

Glossary

225

(5)

Guide to Acronyms

230

(1)

Select Bibliography

231

(14)

Credits

245

(1)

Index

246

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The New Politics of the Budgetary Process (Longman Classics Series)

Summary

Author Biography

Table of Contents

Supplemental Materials