Federal Criminal Justice Budget Process and Policy Challenges

Overview of Federal Criminal Justice Budgeting

The process of preparing a budget for the federal criminal justice system begins with an examination of the generalized policies underlying the operation of the system. Such policies span a variety of issues including correctional planning, overall program evaluation, how to address possible jail overcrowding, treatment of prisoners, staff morale, and allocation of resources. Ideally, each of these policy issues should be supported with sufficient data to enable policy decision makers to adequately understand the problems facing the system and how the system should adjust to address them (Brennan, 2001). In all justice systems there must be a careful balancing of needs, goals, and available funding, but this is particularly true in the federal system due to its size and complexity. There is never an unlimited source of funding, and the federal criminal justice system must accomplish as much as it can within the limits set by taxpayers.

Making a determination as to the proper allocation of funds can be a frustrating and contentious process. The needs of the different segments of the system are too often seen as being in conflict with each other, and the budget process is viewed as a competition between those segments for available funds. Each agency of the criminal justice system is concerned with accountability and maintaining the funding viewed as necessary for achieving public demands. Additionally, the different agencies often fail to appreciate the goals and responsibilities of one another, creating misperceptions and misunderstandings. These misunderstandings can create tensions between agencies that become the responsibility of administrators and policy makers to resolve or minimize. Failure to properly handle such situations can cause a severe breakdown in the process, and the entire system suffers.

The inherent nature of the criminal justice system also creates problems for the budgetary process. Traditionally, certain parts of the system — specifically the judicial, prosecutorial, police, and corrections components — are conservative in philosophy, while others, such as the public defender's office and probation departments, are more liberal in outlook. The conservative segments tend to be rigid in their views and reluctant to accept change, even when there is overwhelming evidence of such need. Meanwhile, public defender and probation agencies may be constantly seeking and advocating change. This dichotomy can be a source of considerable controversy, and it is imperative that administrators responsible for balancing these concerns find a way to satisfy all agencies regardless of their philosophical orientation.

There is increasing pressure being applied against administrators and policy makers involved in the public arena. The sources of these pressures come from a variety of locations both inside and outside the justice system. The focus of these pressures is on the expenditure of funds, the attainment and proper selection of policy, and the achievement of prior goals. Against these pressures, administrators and policy makers must possess the necessary data to forestall criticism.

Pressures on Administrators and Policy Makers

The U.S. Congress is heavily involved in the justice system's budgetary process (U.S. Advisory Commission on Intergovernmental Relations, 1993). It is Congress that enacts the necessary revenue-producing bills and laws that determine how the different departments and agencies within the criminal justice system operate. New and pre-existing revenue sources place increasing demands upon administrators and policy decision makers to provide Congress with documentation relative to the operation of the criminal justice system's various agencies. This scrutiny is caused by public concern over accountability and the collateral concern over seemingly ever-increasing costs. Against this background, administrators and policy makers must still find a way to operate a viable system.

The preparation of each agency's budgetary needs is not an easy or straightforward process. The crunching of numbers is only a small — and probably the easiest — part of the process. More significant and more problematic are the public policy considerations that underlie the preparation of each agency's budget. As noted, each agency competes for the limited dollars that are available, and policy plays a key role in determining what each agency receives in funding.

The actual preparation of the federal budget begins with the Office of the President. The President is required by law to formally prepare a yearly budget that specifies how much money the federal government should spend on public purposes, how much the government should take in as tax revenues, and whether the proposed spending and revenue gathering will result in a deficit or surplus. In most years, the budget proposed by the President results in a deficit, and the government is forced to borrow in order to fully fund its programs.

The Presidential Budget Proposal

The budget submitted to Congress by the President is very specific relative to each agency, outlining the precise funding levels for each program and department. It is through this process of establishing individual agency budgets that the executive branch imparts its policy decisions. Each agency within the federal criminal justice system prepares its own budget under guidelines issued by the Office of Management and Budget and forwards its budgetary needs to the President for incorporation within the overall federal budget (Office of Management and Budget, 2008).

Once the President's proposed budget is submitted to Congress, it becomes Congress's responsibility to review and consider the President's proposals and enact the necessary legislation to provide funding for the budget that is ultimately approved. Approval, however, can be quite acrimonious and usually involves a significant degree of give and take between the President's office, the various agencies involved, and the respective chambers of Congress. Through this process of preparation, review, and discussion, the federal government determines how much money to spend, what to spend it on, and how the money is to be raised.

In preparing the federal budget, consideration is given not only to the current needs of agencies but also to future needs and past expenditures. Doing so allows decision makers to draw on the experience of past budgets and evaluate how effectively each specific agency utilized the funding allocated to it. Future needs are also considered in order to allow the government to plan for each agency's anticipated financial requirements.

Although the process of budget presentation, review, and approval may seem rather straightforward, it is actually a complicated process that involves various levels and the input of a wide variety of individuals and agencies. Budget preparation is an ongoing process that never ends for most federal agencies, including those involved in the federal criminal justice system.