CJMS 620-KB Assignment 2

Paper 2 (15 %) – Research Paper: Budget Constraints

Background: Fiscal management is one of the most important policy decisions that a top prison administrator must deal with in the course of employment. Fiscal management is a combination of budgeting skills, political acumen, and operational experience and understanding. The fiscal environment is very dynamic and altered by monetary realities, executive branch and legislative branch goals, judicial intervention, stakeholder pressure, operational realities, and operational (health and safety) necessities. The budget calendar is always in play and the prison chief executive\’s job often depends on fiscal outcomes. Although at first blush it may appear that there are few options in managing fiscal resources, this is far from the truth. Great administrators are extremely creative and resourceful. They recognize that all options are always in play.

The chief executive of the system relies upon each facility administrator to plan and submit a budget that will be included in the overall departmental presentation to the governor and ultimately to the legislature for review, negotiation and adjustment, and final fiscal authorization in the form of an overall budget bill. This is generally initiated in the house rather than the senate. Once approved, it is the chief executive\’s responsibility to hold each administrator accountable for the overall implementation of the budget allotment for his or her facility.

Assignment: You are the warden of a state department of corrections prison, responsible for operating the state prison under your command within the budget process. Your prison inmate count has increased each of the last five years and the prison is thus overcrowded. The legislature does not want to have a tax increase to fund the increasing corrections budget. The result is that your budget for the upcoming fiscal year has not increased with the exception of the inflationary increases to maintain the same budget levels as during the last year. The legislature has made it clear that the prison administrators must find a way to reduce the cost of operations over the previous year in order to operate within the current budget. Once the appropriation is approved by the legislature, there is no returning for a \”second bite of the apple.\” The budget negotiations are over until the next legislative cycle. Your boss, the director/commissioner, has asked you to develop and implement a proactive plan to operate your facility for the next year within the budget restrictions funded by the legislature. If you fail to operate your facility within the appropriation, you will probably be removed from your position as a warden. Although you must reduce the increased budget needs, you must also still operate the prison in a safe and effective manner. Discuss the steps you would take to operate within the legislatively approved budget.

This essay must respond to this question. First, provide a solid, detailed discussion of the issues and challenges associated with this budgetary problem. Such a discussion might include (this is certainly not an exhaustive list) political realities, legal responsibilities, and some recognition of the extent of authority that the warden has both from a legal and a practical perspective. Second, discuss the options that appear to be available to you as the prison warden. Third, identify the options you intend to adopt. This paper must be a minimum of five pages and must include a plan to insure the budget realities are met. This 5-page total does not include the title page and the reference page. Include some in-text citations to support your statements, but do not allow the citations to be the bulk of your explanation. Use the library to meet the minimum of three peer review (refereed) or scholarly journals. This exercise involves the examination of a very practical and real problem one can expect to face at the upper management levels. Keep the following thoughts in mind while framing a response. Remember to avoid the use of personal pronouns, even though it may appear that this question requires a first person response. Do not use subheadings or lists to respond to this question. Discuss each option using graduate level rhetoric and transition from one recommendation to the next. Summarize all of the recommendations in the conclusion paragraph of the essay.

There are always many ways to approach this problem. Think outside the box if you have to.
Consider the role of both the executive and legislative branch in the budget process.
The past does not always dictate the future.
Sometimes solutions demand approval from the director/commissioner and sometimes they do not. Are there any operational steps that might help relief the fiscal crisis?
Every management decision at this level can generate new opportunities for an agency.
Keep in mind that the yearly budget is similar to a home checkbook. You cannot overdraw the remaining balance, since that is illegal in most jurisdictions without legislative approval. Since that money now has to go a little further than the previous year, you obviously need to find some operational ways to cut the facility spending.
It would be helpful to start with a list of expenses such as staff salaries, staffing levels, medical costs, food costs, etc. Conduct research on what items are included in the operating budget for a facility.
There may be solutions that would save the department money but would also take the approval and implementation by the system executive (the director or commissioner).
Do not suggest any ways to cut recidivism. This is a problem with your current budget (1 year) and no changes in sentencing laws or programs aimed at reducing recidivism can affect your current budget.
If some solutions require departmental approval (director/commissioner) and are not under the warden\’s complete control, discuss that.
You do not have any money to spend for items not in the current budget. Do not suggest spending more money to save money unless the savings is immediate and the return can be demonstrated.
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