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2007 Assessment

United States: Integrity Indicators Scorecard

United States: Integrity Scorecard Report > Sub-Category: Budget Processes
Indicators   Score
37 Can the legislature provide input to the national budget? 100
38 Can citizens access the national budgetary process? 92
39 In law, is there a separate legislative committee which provides oversight of public funds? 100
40 Is the legislative committee overseeing the expenditure of public funds effective? 81

Indicator and sub-Indicator Details

37 Can the legislature provide input to the national budget?
 
  37a: In law, the legislature can amend the budget.
 
Score: YES  NO score
  Comments:

References: As the National Democratic Institute (NDI) notes, the U.S. Congress plays a far greater role in budgeting decisions that do legislatures in most other democracies, "possessing virtually unlimited amendment powers in the budget process." John Whaley, "Strengthening Legislative Capacity in Legislative-Executive Relations," 2000, p. 14. See also: U.S. Office of Management and Budget, The Budget System and Concepts: Budget of the United States Government, Fiscal Year 1999 (Washington, DC: U.S. Government Printing Office, 1998), p. 2.

  37b: In practice, significant public expenditures require legislative approval.
 
Score: 100  75  50  25  0  score
  Comments:

References: The NDI report notes "Congress considers the Presidents budget proposals and approves, modifies, or disapproves them. It can change funding levels, eliminate programs, or add programs not requested by the President. It can add or eliminate taxes and other sources of receipts, or make other changes that affect the amount of receipts collected."

  37c: In practice, the legislature has sufficient capacity to monitor the budget process and provide input or changes.
 
Score: 100  75  50  25  0  score
  Comments:

References: Each chamber has a budget committee with a large number of full-time professional staff. Congress also receives budget assistance from the nonpartisan Congressional Budget Office (CBO). As NDI notes, "the CBO provides Congress the necessary expertise to assess and often counter the Presidents budget. Its staff of economists and public policy experts provide Congress with cost estimates of various policy options, as well as multi-year projections of government income. The CBO is an expensive resource, however. Its fiscal year 2000 appropriation totaled $26.1 million (of which 87% went to personnel costs)." "Strengthening Legislative Capacity," p. 15.

38 Can citizens access the national budgetary process?
 
  38a: In practice, the national budgetary process is conducted in a transparent manner in the debating stage (i.e. before final approval).
 
Score: 100  75  50  25  0  score
  Comments:

References: The majority of the budget process is transparent, with congressional debate and key hearings often televised. However, certain budget items related to intelligence and national security concerns are unknown to the public. For example, the Washington Post notes "the Counterintelligence Field Activity, or CIFA, is a three-year-old agency whose size and budget remain secret. It has grown from an agency that coordinated policy and oversaw the counterintelligence activities of units within the military services and Pentagon agencies to an analytic and operational organization with nine directorates and ever-widening authority. "Pentagon's Intelligence Authority Widens," December 19, 2005. It should be noted, however, that the Senate Select Committee on Intelligence has recently acted to require more transparency in intelligence budgets. "Panel Requires Annual Disclosure of Intelligence Budget," Washington Post, May 28, 2006, p. A6. A budgeting practice known as "earmarking" has also earned considerable scrutiny, as anonymous authors could drop in specifically targeted measures for their constituents.

New ethics rules seek to end (or at least shine light on) this practice, although critics remain unconvinced that much will change. See for, example, "Draining the 'Swamp' Is Not So Easy; Skeptics Question Bite of Ethics Rules," The Washington Post, August 7, 2007

  38b: In practice, citizens provide input at budget hearings.
 
Score: 100  75  50  25  0  score
  Comments:

References: A list of witnesses who have testified recently at House budget committee hearings can be found at: [ LINK ].

  38c: In practice, citizens can access itemized budget allocations.
 
Score: 100  75  50  25  0  score
  Comments:

References: The federal government makes current and past budgets available online: [ LINK ]

39 In law, is there a separate legislative committee which provides oversight of public funds?
 
  39: In law, is there a separate legislative committee which provides oversight of public funds?
 
Score: YES  NO score
  Comments:

References: Scores of committees and subcommittees hold hearings on proposals under their jurisdiction. The House and Senate Armed Services Authorizing Committees, and the Defense and Military Construction Subcommittees of the Appropriations Committees, for instance, hold hearings on the Pesident's defense plan. To consider the budget's proposed changes in taxes, the House Ways and Means and the Senate Finance Committees will hold hearings. "Citizen's Guide to the Federal Budget," General Printing Office, p. 16. [ LINK ]

40 Is the legislative committee overseeing the expenditure of public funds effective?
 
  40a: In practice, department heads regularly submit reports to this committee.
 
Score: 100  75  50  25  0  score
  Comments:

References: Reports can be found at: [ LINK ]

  40b: In practice, the committee acts in a non-partisan manner with members of opposition parties serving on the committee in an equitable fashion.
 
Score: 100  75  50  25  0  score
  Comments:

References: The party in power occupies a greater number of committee slots on every congressional committee, with the ethics committees being the sole exception. On Appropriations, for example, the House committee responsible for writing each of the 13 annual federal spending bills, Democrats enjoy a 37 to 29 advantage.

[ LINK ]

  40c: In practice, this committee is protected from political interference.
 
Score: 100  75  50  25  0  score
  Comments:

References: For most of the post-WWII era, the U.S. had a "divided government" in which the president and Congress were from separate parties. This trend has been reestablished with the recent election which brought about Democratic control of Congress. This dynamic ensures that at the very least there will be political competition over the budget. While the Republicans controlled both houses of Congress and the presidency, critics accused the President of "rubber stamping" the appropriations of his fellow Republicans in Congress. "Democrats Pledge to Restrain Spending; Critics Say Party's Goals Are Too Lofty," The Washington Post, December 26, 2006.

For a review of the latter period, see: Thomas E. Mann and Norman J. Ornstein, The Broken Branch: How Congress is Failing America and How to Get it Back on Track. Oxford University Press (2006).

Peer Review Comments: I am probably misunderstanding this question, but legislative committees are intensely political and operate within the political process. The president, congressional leaders and others will praise or criticize their actions. I do not believe that "improper" motives (family ties, corruption) animate committee members in the overwhelming majority of circumstances, but party and geographic motives do.

  40d: In practice, when necessary, this committee initiates independent investigations into financial irregularities.
 
Score: 100  75  50  25  0  score
  Comments:

References: On a formal level, congressional committees conduct a large number of investigations and hearings on fiscal improprieties. See, for example: [ LINK ]. The GAO also serves as an investigatory arm of Congress. As the willingness of Congress to investigate the executive branch is directly tied to its willingness to be independent of the executive branch, 2007 has seen far more investigative initiative than in the previous year (with the House Oversight and Government Reform Committee leading the way). "Revival of Oversight Role Sought; Congress Hires More Investigators, Plans Subpoenas," The Washington Post, April 25, 2007.

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