Bill Text: NY S04006 | 2011-2012 | General Assembly | Amended


Bill Title: Creates the New York state independent budget office to provide objective, non-partisan and timely analyses of state revenue, expenditures and management practices to members of the legislature for any legislation with fiscal impact or at the request of a leader or a committee; establishes the New York state independent budget office, enacts a balanced budget requirement; relates to budget reform and enacting performance budgets.

Spectrum: Bipartisan Bill

Status: (Introduced - Dead) 2012-01-04 - REFERRED TO FINANCE [S04006 Detail]

Download: New_York-2011-S04006-Amended.html
                           S T A T E   O F   N E W   Y O R K
       ________________________________________________________________________
                                        4006--A
                              2011-2012 Regular Sessions
                                   I N  S E N A T E
                                    March 12, 2011
                                      ___________
       Introduced  by  Sen.  SKELOS -- read twice and ordered printed, and when
         printed to be committed to  the  Committee  on  Finance  --  committee
         discharged, bill amended, ordered reprinted as amended and recommitted
         to said committee
       AN ACT to amend the legislative law, in relation to establishing the New
         York  state  legislative budget office; to amend the state finance law
         and the legislative law, in relation to  enacting  a  balanced  budget
         requirement; and to amend the state finance law, in relation to budget
         reform and enacting performance budgets
         THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
       BLY, DO ENACT AS FOLLOWS:
    1    Section 1. The legislative law is amended by adding a new article  4-B
    2  to read as follows:
    3                                  ARTICLE 4-B
    4                  NEW YORK STATE LEGISLATIVE BUDGET OFFICE
    5  SECTION  75. POWERS  AND DUTIES OF THE NEW YORK STATE LEGISLATIVE BUDGET
    6                OFFICE.
    7          76. DIRECTOR OF THE NEW YORK STATE LEGISLATIVE BUDGET OFFICE.
    8    S 75. POWERS AND DUTIES OF  THE  NEW  YORK  STATE  LEGISLATIVE  BUDGET
    9  OFFICE.  THERE  SHALL  HEREBY  BE  ESTABLISHED AN OFFICE OF THE NEW YORK
   10  STATE LEGISLATURE TO BE KNOWN AS THE NEW YORK STATE  LEGISLATIVE  BUDGET
   11  OFFICE.    1.  IT SHALL BE THE PRIMARY DUTY AND FUNCTION OF THE NEW YORK
   12  STATE LEGISLATIVE BUDGET OFFICE TO PROVIDE THE MEMBERS AND COMMITTEES OF
   13  THE LEGISLATURE WITH INFORMATION WHICH WILL ASSIST  SUCH  OFFICIALS  AND
   14  BODIES  IN THE DISCHARGE OF MATTERS WITHIN THEIR JURISDICTION PERTAINING
   15  TO THE BUDGETARY PROCESS INCLUDING:
   16    (A) INFORMATION WITH RESPECT TO THE BUDGET, APPROPRIATIONS  BILLS  AND
   17  OTHER   BILLS   AUTHORIZING   OR   PROVIDING   FOR   EXPENDITURES   FROM
   18  GOVERNMENT-WIDE FUNDS OR REVENUES TO THOSE FUNDS;  INCLUDING  ANY  BILLS
   19  THAT  HAVE  A  DIRECT  OR INDIRECT FISCAL IMPACT IN TERMS OF SPENDING OR
   20  REVENUE;
        EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                             [ ] is old law to be omitted.
                                                                  LBD10223-04-1
       S. 4006--A                          2
    1    (B) INFORMATION WITH RESPECT TO ESTIMATED REVENUES AND  RECEIPTS,  AND
    2  CHANGING REVENUE CONDITIONS;
    3    (C)  INFORMATION  WITH RESPECT TO THE PERFORMANCE AND EFFECTIVENESS OF
    4  STATE AGENCIES AND PROGRAMS; AND
    5    (D) TO THE EXTENT PRACTICABLE, SUCH OTHER INFORMATION OR  ANALYSES  AS
    6  MAY BE REQUESTED BY SUCH OFFICIALS AND BODIES, AND THE GENERAL PUBLIC.
    7    REQUESTS MADE BY THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF
    8  THE ASSEMBLY, THE CHAIR OF THE SENATE FINANCE COMMITTEE AND THE CHAIR OF
    9  THE ASSEMBLY WAYS AND MEANS COMMITTEE REGARDING THE BUDGET, REVENUES AND
   10  EXPENDITURES SHALL RECEIVE PRIORITY ATTENTION.
   11    2.    THE  LEGISLATIVE  BUDGET  OFFICE  SHALL COMPLETE A FISCAL IMPACT
   12  STATEMENT: (A) FOR ANY BILL BEING CONSIDERED ON  AN  ASSEMBLY  WAYS  AND
   13  MEANS  COMMITTEE  AGENDA  OR  A  SENATE FINANCE COMMITTEE AGENDA, TO THE
   14  EXTENT POSSIBLE; (B) FOR ANY BILL AT  THE  REQUEST  OF  THE  SPEAKER  OR
   15  MINORITY  LEADER  OF THE ASSEMBLY OR THE TEMPORARY PRESIDENT OR MINORITY
   16  LEADER OF THE SENATE; AND (C) AT THE REQUEST OF  A  COMMITTEE  CHAIR  OR
   17  RANKING  MEMBER OF A COMMITTEE FOR ANY BILL REFERRED TO THEIR RESPECTIVE
   18  COMMITTEE.  FISCAL IMPACT STATEMENTS SHALL ESTIMATE THE IMPACT ON  STATE
   19  REVENUES OR EXPENDITURES.
   20    3.    THE  LEGISLATIVE  BUDGET  OFFICE SHALL SUBMIT AN ANALYSIS OF THE
   21  EXECUTIVE BUDGET BY MARCH FIRST OF EACH  YEAR  TO  THE  MEMBERS  OF  THE
   22  ASSEMBLY  WAYS AND MEANS COMMITTEE AND THE SENATE FINANCE COMMITTEE, AND
   23  MAKE COPIES OF SUCH ANALYSIS AVAILABLE  TO  ALL  OTHER  MEMBERS  OF  THE
   24  LEGISLATURE  AND  ALL  OTHER INDIVIDUALS, UPON REQUEST.  THE LEGISLATIVE
   25  BUDGET OFFICE SHALL ALSO SUBMIT AN  ANALYSIS  OF  AGENCY  STRATEGIC  AND
   26  PERFORMANCE  PLANS  DEVELOPED  PURSUANT  TO  SECTION TWENTY-EIGHT OF THE
   27  STATE FINANCE LAW.
   28    4. THE LEGISLATIVE BUDGET OFFICE SHALL,  TO  THE  EXTENT  PRACTICABLE,
   29  DEVELOP  PROPOSALS FOR COST EFFECTIVE ALTERNATIVE APPROACHES TO MEET THE
   30  FINANCIAL OBLIGATIONS OF  THE  STATE,  INCLUDING  BUT  NOT  LIMITED  TO,
   31  REVIEWING BOND REQUIREMENTS AND DEBT OBLIGATIONS OF THE STATE AND PUBLIC
   32  AUTHORITIES.
   33    5.  THE  LEGISLATIVE BUDGET OFFICE SHALL PUBLISH A REPORT WITH RESPECT
   34  TO THE EXPECTED LEVELS OF STATE REVENUES BY THE FIRST  DAY  OF  JANUARY,
   35  THE FIRST DAY OF APRIL, THE FIRST DAY OF JULY AND THE FIRST DAY OF OCTO-
   36  BER OF EACH YEAR.
   37    6.  THE  LEGISLATIVE  BUDGET OFFICE SHALL PUBLISH BY DECEMBER FIRST OF
   38  EACH YEAR A REPORT ANALYZING THE FISCAL OUTLOOK OF  THE  STATE  FOR  THE
   39  NEXT FIVE YEARS.
   40    7.  AT  THE  REQUEST  OF  ANY MEMBER OR COMMITTEE OF THE SENATE OR THE
   41  ASSEMBLY, THE LEGISLATIVE BUDGET OFFICE SHALL, TO THE  EXTENT  PRACTICA-
   42  BLE,  CONSULT  WITH AND ASSIST SUCH COMMITTEE IN ANALYZING THE BUDGETARY
   43  OR FINANCIAL IMPACT OF ANY PROPOSED LEGISLATION THAT MAY HAVE:
   44    (A) A SIGNIFICANT BUDGETARY IMPACT ON LOCAL OR TRIBAL GOVERNMENTS;
   45    (B) A SIGNIFICANT FINANCIAL IMPACT ON THE PRIVATE SECTOR; OR
   46    (C) A SIGNIFICANT EMPLOYMENT IMPACT ON THE PRIVATE SECTOR.
   47    8. (A) THE DIRECTOR OF THE LEGISLATIVE  BUDGET  OFFICE  SHALL  CONDUCT
   48  CONTINUING  STUDIES  ON FISCAL MATTERS INCLUDING WAYS TO ENHANCE COMPAR-
   49  ISONS OF BUDGET AUTHORITY AND OUTLAYS, DEBT AUTHORITY, AND TAX POLICY.
   50    (B) (1) AT THE REQUEST OF ANY CHAIR OR RANKING MEMBER OF THE  MINORITY
   51  OF A COMMITTEE OF THE SENATE OR THE ASSEMBLY, THE DIRECTOR SHALL, TO THE
   52  EXTENT PRACTICABLE, CONDUCT A STUDY OF A LEGISLATIVE PROPOSAL CONTAINING
   53  A STATE MANDATE.
   54    (2)  IN  CONDUCTING  A  STUDY ON INTERGOVERNMENTAL MANDATES UNDER THIS
   55  PARAGRAPH, THE DIRECTOR SHALL:
       S. 4006--A                          3
    1    (I) SOLICIT AND CONSIDER INFORMATION OR COMMENTS  FROM  ELECTED  OFFI-
    2  CIALS  (INCLUDING  THEIR DESIGNATED REPRESENTATIVES) OF STATE, LOCAL, OR
    3  TRIBAL GOVERNMENTS AS MAY PROVIDE HELPFUL INFORMATION OR COMMENTS;
    4    (II)  CONSIDER  ESTABLISHING  ADVISORY  PANELS OF ELECTED OFFICIALS OR
    5  THEIR DESIGNATED REPRESENTATIVES, OF LOCAL OR TRIBAL GOVERNMENTS IF  THE
    6  DIRECTOR  DETERMINES  THAT  SUCH  ADVISORY  PANELS  WOULD  BE HELPFUL IN
    7  PERFORMING RESPONSIBILITIES OF THE DIRECTOR UNDER THIS SECTION; AND
    8    (III) IF, AND TO THE EXTENT THAT THE DIRECTOR DETERMINES THAT ACCURATE
    9  ESTIMATES ARE REASONABLY FEASIBLE, INCLUDE ESTIMATES OF:
   10    (A) THE FUTURE DIRECT COST OF THE STATE MANDATE  TO  THE  EXTENT  THAT
   11  SUCH  COSTS  SIGNIFICANTLY  DIFFER  FROM  OR EXTEND BEYOND THE FIVE-YEAR
   12  PERIOD AFTER THE MANDATE IS FIRST EFFECTIVE; AND
   13    (B) ANY DISPROPORTIONATE BUDGETARY  EFFECTS  OF  STATE  MANDATES  UPON
   14  PARTICULAR  INDUSTRIES  OR SECTORS OF THE ECONOMY, REGIONS, AND URBAN OR
   15  RURAL OR OTHER TYPES OF COMMUNITIES, AS APPROPRIATE.
   16    (3) IN CONDUCTING A STUDY ON STATE MANDATES UNDER SUBPARAGRAPH ONE  OF
   17  THIS  PARAGRAPH,  THE  DIRECTOR  SHALL  PROVIDE ESTIMATES, IF AND TO THE
   18  EXTENT THAT THE DIRECTOR DETERMINES THAT SUCH ESTIMATES  ARE  REASONABLY
   19  FEASIBLE, OF:
   20    (I)  FUTURE  COSTS  OF  STATE  MANDATES ON PRIVATE SECTOR ENTITIES AND
   21  LOCAL GOVERNMENTS TO THE EXTENT THAT SUCH MANDATES DIFFER  SIGNIFICANTLY
   22  FROM  OR EXTEND BEYOND THE FIVE-YEAR TIME PERIOD REFERRED TO IN ITEM (A)
   23  OF CLAUSE (III) OF SUBPARAGRAPH TWO OF THIS PARAGRAPH;
   24    (II) ANY DISPROPORTIONATE FINANCIAL EFFECTS OF  STATE  PRIVATE  SECTOR
   25  MANDATES  AND  OF  ANY  STATE  FINANCIAL ASSISTANCE IN THE BILL OR JOINT
   26  RESOLUTION UPON ANY PARTICULAR INDUSTRIES OR  SECTORS  OF  THE  ECONOMY,
   27  REGIONS, AND URBAN OR RURAL OR OTHER TYPES OF COMMUNITIES; AND
   28    (III)  THE EFFECT OF STATE MANDATES IN THE BILL OR JOINT RESOLUTION ON
   29  THE ECONOMY OF THE STATE, INCLUDING THE EFFECT ON PRODUCTIVITY, ECONOMIC
   30  GROWTH, FULL EMPLOYMENT, CREATION OF PRODUCTIVE JOBS,  AND  COMPETITIVE-
   31  NESS OF GOODS AND SERVICES.
   32    9.  THE  LEGISLATIVE  BUDGET  OFFICE SHALL, FROM TIME TO TIME, PUBLISH
   33  SUCH REPORTS AS MAY BE APPROPRIATE TO ENHANCE THE  OFFICIAL  AND  PUBLIC
   34  UNDERSTANDING OF THE BUDGETARY PROCESS AND OF THE BUDGET DOCUMENTS. SUCH
   35  OFFICE  SHALL,  FROM TIME TO TIME, PUBLISH SUCH REPORTS AS MAY BE NECES-
   36  SARY OR APPROPRIATE TO PROVIDE SUCH INFORMATION, DATA  AND  ANALYSIS  AS
   37  WILL  ENHANCE  OFFICIAL  AND PUBLIC UNDERSTANDING OF MATTERS RELATING TO
   38  STATE REVENUES, EXPENDITURES, MANAGEMENT PRACTICES AND RELATED MATTERS.
   39    10. ALL INFORMATION, DATA, ESTIMATES AND STATISTICS, AND  ALL  STUDIES
   40  AND  REPORTS  PREPARED  BY  THE  LEGISLATIVE BUDGET OFFICE SHALL BE MADE
   41  AVAILABLE TO THE PUBLIC AND SHALL ALSO BE MADE AVAILABLE  BY  ELECTRONIC
   42  MEANS TO THE EXTENT PRACTICABLE OVER THE INTERNET.
   43    11.  NOTHING  HEREIN  SHALL  BE CONSTRUED TO REQUIRE THE DISCLOSURE OF
   44  INFORMATION  THAT  IS  OTHERWISE  PROTECTED  AS  CONFIDENTIAL  BY  OTHER
   45  PROVISIONS OF STATE OR FEDERAL LAW.
   46    S  76.    DIRECTOR OF THE NEW YORK STATE LEGISLATIVE BUDGET OFFICE. 1.
   47  THE NEW YORK STATE LEGISLATIVE BUDGET OFFICE SHALL BE HEADED BY A DIREC-
   48  TOR WHO SHALL BE APPOINTED, FROM ONE OR MORE CANDIDATES  RECOMMENDED  BY
   49  THE  LEGISLATIVE  BUDGET  OFFICE  BOARD  OF  DIRECTORS (ALSO REFERRED TO
   50  INTERCHANGEABLY AS THE "BOARD"), BY THE SPEAKER OF THE ASSEMBLY AND  THE
   51  TEMPORARY  PRESIDENT  OF THE SENATE. THE RECOMMENDATIONS FOR THE INITIAL
   52  APPOINTMENT OF SUCH  DIRECTOR  SHALL  BE  MADE  NO  LATER  THAN  JANUARY
   53  FIFTEENTH,  TWO  THOUSAND  TWELVE  TO  THE SPECIAL COMMITTEE. SUBSEQUENT
   54  RECOMMENDATIONS  SHALL  BE  MADE  BETWEEN  JANUARY  SECOND  AND  JANUARY
   55  FIFTEENTH  EVERY  SIXTH YEAR THEREAFTER. THE SPEAKER OF THE ASSEMBLY AND
   56  TEMPORARY PRESIDENT OF THE SENATE SHALL APPOINT THE INITIAL DIRECTOR  NO
       S. 4006--A                          4
    1  LATER  THAN  FEBRUARY  FIFTEENTH,  TWO  THOUSAND TWELVE AND SUCH INITIAL
    2  DIRECTOR SHALL TAKE OFFICE BEGINNING APRIL FIRST, TWO  THOUSAND  TWELVE.
    3  SUBSEQUENT  APPOINTMENTS  SHALL BE MADE NO LATER THAN FEBRUARY FIFTEENTH
    4  EVERY SIXTH YEAR THEREAFTER.
    5    2.  (A)  THERE SHALL BE A LEGISLATIVE BUDGET OFFICE BOARD OF DIRECTORS
    6  CONSISTING OF (1) ONE PERSON APPOINTED BY EACH OF  THE  FOLLOWING  OFFI-
    7  CIALS  AND  WHO SHALL SERVE AT THE PLEASURE OF SUCH OFFICIALS; THE CHAIR
    8  AND RANKING MEMBER OF THE ASSEMBLY WAYS  AND  MEANS  COMMITTEE  AND  THE
    9  CHAIR  AND  RANKING  MEMBER OF THE SENATE FINANCE COMMITTEE, AND (2) SIX
   10  OTHER MEMBERS JOINTLY APPOINTED BY THE SPEAKER OF THE ASSEMBLY  AND  THE
   11  TEMPORARY  PRESIDENT  OF THE SENATE, WHO SHALL SERVE FOR SIX YEAR TERMS,
   12  PROVIDED, HOWEVER THAT OF THE MEMBERS FIRST APPOINTED, TWO  SHALL  SERVE
   13  FOR  TERMS  EXPIRING  ON  MARCH THIRTY-FIRST, TWO THOUSAND THIRTEEN; TWO
   14  SHALL SERVE FOR TERMS  EXPIRING  ON  MARCH  THIRTY-FIRST,  TWO  THOUSAND
   15  FIFTEEN;  AND  TWO SHALL SERVE FOR TERMS EXPIRING ON MARCH THIRTY-FIRST,
   16  TWO THOUSAND SEVENTEEN. THE MEMBERS SHALL ALL BE INDIVIDUALS WITH EXTEN-
   17  SIVE EXPERIENCE AND KNOWLEDGE  IN  THE  FIELDS  OF  FINANCE,  ECONOMICS,
   18  ACCOUNTING,  PUBLIC  ADMINISTRATION AND PUBLIC POLICY ANALYSIS INCLUDING
   19  AT LEAST ONE NATIONALLY RECOGNIZED EXPERT IN THE FIELDS OF BUDGET THEORY
   20  AND THE BUDGET PROCESS; ONE DEAN OR DIRECTOR OR FORMER DEAN OR  DIRECTOR
   21  OF  A  GRADUATE  SCHOOL  OF  BUSINESS  ADMINISTRATION, PUBLIC AFFAIRS OR
   22  PUBLIC ADMINISTRATION LOCATED IN NEW YORK STATE; ONE OFFICER  OR  FORMER
   23  OFFICER  OR  ECONOMIC  ADVISOR  OF  A LABOR UNION; ONE OFFICER OR FORMER
   24  OFFICER OR ECONOMIC ADVISOR TO A BUSINESS CORPORATION;  ONE  OFFICER  OR
   25  FORMER  OFFICER  OF A CITY WITH A POPULATION OF ONE MILLION OR MORE, ONE
   26  OFFICER OR FORMER OFFICER OF A COUNTY; AND ONE OFFICER OR FORMER OFFICER
   27  OF A CIVIC OR PUBLIC INTEREST ADVOCACY ORGANIZATION DIRECTLY INVOLVED IN
   28  BUDGET MATTERS.  NO INDIVIDUAL SHALL SERVE CONSECUTIVE TERMS.
   29    (B) THE LEGISLATIVE BUDGET OFFICE BOARD  OF  DIRECTORS  SHALL  DEVELOP
   30  GUIDELINES  FOR THE BEST PRACTICES OF THE LEGISLATIVE BUDGET OFFICE. THE
   31  LEGISLATIVE BUDGET OFFICE BOARD OF DIRECTORS SHALL  MEET  ANNUALLY  WITH
   32  THE  DIRECTOR  TO  REVIEW  SUCH  GUIDELINES  AND  TO  MAKE  COMMENTS AND
   33  SUGGESTIONS ON THE OVERALL PRACTICES  OF  THE  OFFICE.    IN  DEVELOPING
   34  GUIDELINES  FOR  BEST  PRACTICES,  SUCH STANDARDS SHALL BE IN COMPLIANCE
   35  WITH STANDARDS PROMULGATED  BY  THE  GOVERNMENTAL  ACCOUNTING  STANDARDS
   36  BOARD  OR  ANOTHER  COMPARABLE STANDARD SETTING ENTITY WHEN PRACTICABLE.
   37  NOTHING IN THIS SECTION SHALL PRECLUDE THE BOARD FROM  USING  PRONOUNCE-
   38  MENTS;  STANDARDS  AND  OTHER OTHER DOCUMENTS DEVELOPED AND PUBLISHED BY
   39  ORGANIZATIONS THAT ARE  NATIONALLY  RECOGNIZED  AUTHORITIES  IN  MATTERS
   40  PERTAINING  TO  PUBLIC  FINANCE EXCEPT THAT THE BOARD SHALL DEVELOP SUCH
   41  BEST PRACTICES WITH  THE  INTENT  OF  COMPLYING  WITH  THE  GOVERNMENTAL
   42  ACCOUNTING STANDARDS BOARD WHERE PRACTICABLE AND APPLICABLE.
   43    (C)  MEMBERS  OF  THE BOARD OF DIRECTORS SHALL RECEIVE NO COMPENSATION
   44  BUT SHALL BE REIMBURSED FOR REASONABLE EXPENSES INCURRED  IN  CONNECTION
   45  WITH THEIR DUTIES.
   46    3.  THE  DIRECTOR  OF THE LEGISLATIVE BUDGET OFFICE SHALL BE APPOINTED
   47  WITHOUT REGARD TO POLITICAL AFFILIATION  AND  SOLELY  ON  THE  BASIS  OF
   48  FITNESS  TO  PERFORM  THE  DUTIES  ASSIGNED BY THIS ARTICLE. THE TERM OF
   49  OFFICE  OF  THE  DIRECTOR  FIRST  APPOINTED  SHALL  EXPIRE  ON  FEBRUARY
   50  FIFTEENTH,  TWO  THOUSAND EIGHTEEN, AND THE TERMS OF OFFICE OF DIRECTORS
   51  SUBSEQUENTLY APPOINTED SHALL EXPIRE ON SUCH  DATE  IN  EACH  SIXTH  YEAR
   52  THEREAFTER.  ANY  INDIVIDUAL  APPOINTED  TO  FILL A VACANCY PRIOR TO THE
   53  EXPIRATION OF A TERM SHALL SERVE ONLY FOR THE UNEXPIRED PORTION OF  SUCH
   54  TERM.  AN  INDIVIDUAL  SERVING AS DIRECTOR AT THE EXPIRATION OF THE TERM
   55  MAY CONTINUE TO SERVE UNTIL A SUCCESSOR  IS  APPOINTED.    ANY  DIRECTOR
   56  SERVING CONSECUTIVE TERMS SHALL BE RECOMMENDED BY THE LEGISLATIVE BUDGET
       S. 4006--A                          5
    1  OFFICE  BOARD  OF DIRECTORS AND APPOINTED BY THE SPEAKER OF THE ASSEMBLY
    2  AND THE TEMPORARY PRESIDENT OF THE SENATE FOR THE SECOND TERM. NO DIREC-
    3  TOR SHALL SERVE MORE THAN TWO TERMS CONSECUTIVELY.
    4    4.  TWENTY  PERCENT  OF THE APPROPRIATIONS MADE TO THE DIVISION OF THE
    5  BUDGET SHALL BE AVAILABLE TO PAY FOR THE  EXPENSES  OF  THE  LEGISLATIVE
    6  BUDGET  OFFICE  DURING  EACH FISCAL YEAR BEGINNING WITH THE FIRST DAY OF
    7  APRIL AFTER THIS SECTION SHALL HAVE BECOME A LAW. THE  DIRECTOR  OF  THE
    8  LEGISLATIVE  BUDGET  OFFICE SHALL APPOINT SUCH PERSONNEL AND PROCURE THE
    9  SERVICES OF SUCH EXPERTS  AND  CONSULTANTS,  WITHIN  THE  APPROPRIATIONS
   10  AVAILABLE  THEREFOR,  AS MAY BE NECESSARY FOR SUCH DIRECTOR TO CARRY OUT
   11  THE DUTIES AND FUNCTIONS  ASSIGNED  PURSUANT  TO  THIS  ARTICLE.    SUCH
   12  PERSONNEL  AND  EXPERTS  SHALL PERFORM SUCH DUTIES AS MAY BE ASSIGNED TO
   13  THEM BY THE DIRECTOR.
   14    5. THE DIRECTOR MAY BE REMOVED BY EITHER A  JOINT  RESOLUTION  OF  THE
   15  SENATE  AND  ASSEMBLY  OR  BY  A VOTE OF SEVEN OUT OF TEN MEMBERS OF THE
   16  BOARD.
   17    6. (A) THE DIRECTOR AND DEPUTY DIRECTOR SHALL RECEIVE COMPENSATION  IN
   18  AN  AMOUNT  TO  BE  DETERMINED  PURSUANT TO A CHAPTER OF THE LAWS OF TWO
   19  THOUSAND ELEVEN.
   20    (B) THE DIRECTOR SHALL  APPOINT  AND  FIX  THE  COMPENSATION  OF  SUCH
   21  PERSONNEL  AS  MAY BE NECESSARY TO CARRY OUT THE DUTIES AND FUNCTIONS OF
   22  THE OFFICE. ALL PERSONNEL OF  THE  OFFICE  SHALL  BE  APPOINTED  WITHOUT
   23  REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE BASIS OF THEIR FITNESS
   24  TO  PERFORM  THEIR  DUTIES.  THE  DIRECTOR  MAY PRESCRIBE THE DUTIES AND
   25  RESPONSIBILITIES OF THE PERSONNEL OF THE OFFICE, AND  DELEGATE  TO  THEM
   26  AUTHORITY TO PERFORM ANY OF THE DUTIES, POWERS, AND FUNCTIONS IMPOSED ON
   27  THE  OFFICE OR ON THE DIRECTOR. FOR PURPOSES OF PAY AND EMPLOYMENT BENE-
   28  FITS, RIGHTS, AND PRIVILEGES, ALL  PERSONNEL  OF  THE  OFFICE  SHALL  BE
   29  TREATED AS IF THEY WERE EMPLOYEES OF NEW YORK STATE.
   30    7.  THE DIRECTOR OF THE LEGISLATIVE BUDGET OFFICE SHALL HAVE ACCESS AT
   31  ALL REASONABLE TIMES  TO  OFFICES  OF  STATE  DEPARTMENTS,  COMMISSIONS,
   32  BOARDS,  BUREAUS  AND OFFICES, TO INSTITUTIONS AND TO ALL STATE AUTHORI-
   33  TIES AND PUBLIC WORKS OF THE STATE AND THEY  MAY,  FOR  THE  PURPOSE  OF
   34  OBTAINING  INFORMATION AS TO THE METHOD OF OPERATION, GENERAL CONDITION,
   35  MANAGEMENT AND NEEDS THEREOF,  EXAMINE  THE  BOOKS,  PAPERS  AND  PUBLIC
   36  RECORDS  THEREIN.  NOTWITHSTANDING ANY OTHER PROVISION OF LAW SUCH STATE
   37  DEPARTMENTS, COMMISSIONS, BOARDS,  BUREAUS,  DIVISIONS,  OFFICES,  STATE
   38  AUTHORITIES  AND OTHER INSTITUTIONS SHALL, THROUGH THEIR PROPER OFFICERS
   39  OR DEPUTIES, FURNISH TO THE DIRECTOR SUCH DATA,  INFORMATION  OR  STATE-
   40  MENTS  AS  MAY BE NECESSARY FOR THE PROPER EXERCISE OF HIS OR HER POWERS
   41  AND DUTIES AND FOR THE PURPOSE OF CARRYING INTO EFFECT THE PROVISIONS OF
   42  THIS ARTICLE.
   43    8. FOR THE PURPOSES OF REVENUE LEGISLATION WHICH IS INCOME, ESTATE AND
   44  GIFT, EXCISE, AND PAYROLL TAXES, CONSIDERED OR ENACTED IN ANY SESSION OF
   45  THE LEGISLATURE, THE LEGISLATIVE BUDGET  OFFICE  SHALL  CONSIDER  DURING
   46  THAT  LEGISLATIVE SESSION REVENUE ESTIMATES PROVIDED TO IT BY THE OFFICE
   47  OF THE STATE COMPTROLLER. DURING THAT SESSION OF  THE  LEGISLATURE  SUCH
   48  REVENUE  ESTIMATES SHALL BE TRANSMITTED BY THE LEGISLATIVE BUDGET OFFICE
   49  TO ANY COMMITTEE OF THE ASSEMBLY OR THE  SENATE  REQUESTING  SUCH  ESTI-
   50  MATES,  AND  SHALL  BE USED BY SUCH COMMITTEES IN DETERMINING SUCH ESTI-
   51  MATES. THE FISCAL COMMITTEES OF THE SENATE AND ASSEMBLY SHALL  DETERMINE
   52  ALL  ESTIMATES  WITH  RESPECT  TO  THE EXECUTION OF THE PURPOSES OF THIS
   53  ARTICLE.  THIS SUBDIVISION SHALL NOT REQUIRE NOR PRECLUDE  THE  LEGISLA-
   54  TIVE  BUDGET OFFICE FROM USING ESTIMATES OF THE STATE COMPTROLLER IN THE
   55  CALCULATION OF THE REVENUE FORECAST AS STIPULATED IN SUBDIVISION FIVE OF
   56  SECTION SEVENTY-FIVE OF THIS ARTICLE.
       S. 4006--A                          6
    1    S 2. Section 22 of the state finance law is amended by adding two  new
    2  subdivisions 17 and 18 to read as follows:
    3    17. DEVELOPMENT OF THE EXECUTIVE BUDGET SUBMISSION AND ENACTED BUDGET.
    4  FOR  FISCAL  YEARS  BEGINNING  ON  AND  AFTER  APRIL FIRST, TWO THOUSAND
    5  TWELVE, THE EXECUTIVE BUDGET SUBMISSION AND THE ENACTED BUDGET  COVERING
    6  ALL EXPENDITURES OTHER THAN CAPITAL ITEMS SHALL BE PREPARED AND BALANCED
    7  SO THE RESULTS THEREOF WOULD NOT SHOW A DEFICIT WHEN REPORTED IN ACCORD-
    8  ANCE WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES AS DEFINED IN SECTION
    9  TWO OF THIS CHAPTER.
   10    18.  NOTWITHSTANDING  ANY  PROVISION  OF  LAW TO THE CONTRARY, BUDGETS
   11  SUBMITTED PURSUANT TO THIS SECTION SHALL INCLUDE:
   12    A. A DESCRIPTION OF ALL OF  THE  EXPENDITURES  ESTIMATED  TO  BE  MADE
   13  BEFORE  THE CLOSE OF THE CURRENT FISCAL YEAR AND ALL OF THE EXPENDITURES
   14  PROPOSED TO BE MADE DURING THE ENSUING FISCAL YEAR, BOTH  IN  ACCORDANCE
   15  WITH  GENERALLY ACCEPTED ACCOUNTING PRINCIPLES AS DEFINED IN SECTION TWO
   16  OF THIS CHAPTER; AND
   17    B. A DESCRIPTION OF ALL THE REVENUES ESTIMATED TO  ACCRUE  BEFORE  THE
   18  CLOSE  OF  THE  CURRENT  FISCAL YEAR AND DURING THE ENSUING FISCAL YEAR,
   19  INCLUSIVE OF ANY REVENUES WHICH ARE EXPECTED TO RESULT FROM THE PROPOSED
   20  LEGISLATION WHICH THE  GOVERNOR  DEEMS  NECESSARY  TO  PROVIDE  RECEIPTS
   21  SUFFICIENT TO MEET PROPOSED DISBURSEMENTS, ALL IN ACCORDANCE WITH GENER-
   22  ALLY  ACCEPTED  ACCOUNTING  PRINCIPLES AS DEFINED IN SECTION TWO OF THIS
   23  CHAPTER.
   24    S 3. Paragraph (a) of subdivision 2 of section 54 of  the  legislative
   25  law,  as  added  by chapter 1 of the laws of 2007, is amended to read as
   26  follows:
   27    (a) The legislature shall enact a budget for the upcoming fiscal  year
   28  that  it  determines is balanced [in the] ON A general fund, STATE FUNDS
   29  AND ALL FUNDS BASIS. THE LEGISLATURE SHALL MAKE  THIS  DETERMINATION  IN
   30  ACCORDANCE  WITH  GENERALLY ACCEPTED ACCOUNTING PRINCIPLES AS DEFINED IN
   31  SECTION TWO OF THE STATE FINANCE LAW.
   32    S 4. Subdivision 2 of section 54 of the legislative law is amended  by
   33  adding a new paragraph (d) to read as follows:
   34    (D)  NOTWITHSTANDING  ANY  PROVISION  OF  LAW TO THE CONTRARY, BUDGETS
   35  SUBMITTED PURSUANT TO THIS SECTION SHALL INCLUDE:
   36    (I) ALL OF THE EXPENDITURES ESTIMATED TO BE MADE BEFORE THE  CLOSE  OF
   37  THE  CURRENT FISCAL YEAR AND ALL OF THE EXPENDITURES PROPOSED TO BE MADE
   38  DURING THE ENSUING  FISCAL  YEAR,  BOTH  IN  ACCORDANCE  WITH  GENERALLY
   39  ACCEPTED  ACCOUNTING  PRINCIPLES  AS DEFINED IN SECTION TWO OF THE STATE
   40  FINANCE LAW; AND
   41    (II) A DESCRIPTION OF ALL OF THE REVENUES ESTIMATED TO  ACCRUE  BEFORE
   42  THE CLOSE OF THE CURRENT FISCAL YEAR AND DURING THE ENSUING FISCAL YEAR,
   43  INCLUSIVE OF ANY REVENUES WHICH ARE EXPECTED TO RESULT FROM THE PROPOSED
   44  LEGISLATION  WHICH  THE  LEGISLATURE DEEMS NECESSARY TO PROVIDE RECEIPTS
   45  SUFFICIENT TO MEET PROPOSED DISBURSEMENTS, ALL IN ACCORDANCE WITH GENER-
   46  ALLY ACCEPTED ACCOUNTING PRINCIPLES AS DEFINED IN  SECTION  TWO  OF  THE
   47  STATE FINANCE LAW.
   48    S  5.  Section  22 of the state finance law is amended by adding a new
   49  subdivision 19 to read as follows:
   50    19. THE DIVISION OF THE BUDGET SHALL PREPARE THE  REPORTS,  SCHEDULES,
   51  AND OTHER INFORMATION DESCRIBED BELOW IN THIS SUBDIVISION. TO THE EXTENT
   52  PRACTICABLE,  SUCH  REPORTS,  SCHEDULES,  AND  INFORMATION SHALL BE IN A
   53  FORM, AND PRESENTED AT A LEVEL OF DETAIL, THAT FACILITATES COMPARISON ON
   54  AN ANNUAL BASIS AND AGAINST ACTUAL RESULTS, AS  APPROPRIATE,  AND  IN  A
   55  MANNER  CONSISTENT  WITH  THE OTHER REPORTING REQUIREMENTS ENUMERATED IN
   56  THIS SECTION. THE REPORTS, SCHEDULES, AND OTHER INFORMATION REQUIRED  BY
       S. 4006--A                          7
    1  THIS  SUBDIVISION  SHALL BE SUBMITTED TO THE CHAIR OF THE SENATE FINANCE
    2  COMMITTEE, THE CHAIR OF THE  ASSEMBLY  WAYS  AND  MEANS  COMMITTEE,  THE
    3  MINORITY  LEADERS  OF  BOTH HOUSES, AND THE COMPTROLLER ACCORDING TO THE
    4  SCHEDULES  SET  FORTH  IN  THIS  SUBDIVISION.  IN  DETERMINING THE FINAL
    5  CONTENT AND FORMAT OF THE INFORMATION  REQUIRED  BY  THIS  SECTION,  THE
    6  DIVISION  SHALL  CONSULT  ANNUALLY  WITH THE DIRECTOR OF THE LEGISLATIVE
    7  BUDGET OFFICE, THE DESIGNEES OF THE TEMPORARY PRESIDENT OF  THE  SENATE,
    8  THE  SPEAKER  OF  THE ASSEMBLY, THE MINORITY LEADERS OF BOTH HOUSES, AND
    9  THE COMPTROLLER. ALL INFORMATION DESCRIBED IN THIS SUBDIVISION SHALL  BE
   10  MADE AVAILABLE TO THE PUBLIC.
   11    A.  THE SUMMARY FINANCIAL PLAN SUBMITTED BY THE GOVERNOR TO THE LEGIS-
   12  LATURE, IN ADDITION TO THE INFORMATION DESCRIBED IN SUBDIVISION  ONE  OF
   13  THIS SECTION, SHALL INCLUDE:
   14    (1)  A  SCHEDULE  OF  RECEIPTS  FOR  THE PRIOR, CURRENT, AND NEXT FIVE
   15  FISCAL YEARS. SUCH SCHEDULE SHALL PRESENT THE MAJOR REVENUE SOURCES  FOR
   16  EACH  FUND,  INCLUDING DETAIL FOR EACH MAJOR TAX AND MAJOR COMPONENTS OF
   17  MISCELLANEOUS RECEIPTS.
   18    (2) A DESCRIPTION OF EMPLOYMENT  LEVELS  FOR  EACH  STATE  DEPARTMENT,
   19  DIVISION  OR OFFICE FOR THE PRIOR, CURRENT, AND NEXT ENSUING FISCAL YEAR
   20  CONTAINING (A) SEPARATE SCHEDULES FOR EACH FUND  TYPE  AND  (B)  AN  ALL
   21  FUNDS SUMMARY. SUCH INFORMATION SHALL BE PRESENTED IN A FORM THAT FACIL-
   22  ITATES  COMPARISONS  AMONG  AGENCIES  AND ACROSS FISCAL YEARS, AND SHALL
   23  INCLUDE (I) ACTUAL AND PROJECTED FULL-TIME EQUIVALENTS AND (II) PROPOSED
   24  CHANGES TO THE WORKFORCE IN THE EXECUTIVE BUDGET,  INCLUDING  NEW  POSI-
   25  TIONS,  LAYOFFS,  ATTRITIONS,  AND  CHANGES  IN  FUNDING SOURCES. TO THE
   26  EXTENT PRACTICABLE, THE DIVISION OF  THE  BUDGET  SHALL  FACILITATE  THE
   27  PROVISION OF OTHER RELEVANT INFORMATION ON EMPLOYMENT TO THE LEGISLATURE
   28  IN A TIMELY MANNER DURING THE STATE FISCAL YEAR.
   29    B.  THE EXECUTIVE BUDGET, THE ENACTED BUDGET REPORT AND EACH QUARTERLY
   30  UPDATE TO THE FINANCIAL PLAN SHALL INCLUDE THE FOLLOWING INFORMATION, IN
   31  ADDITION TO THE INFORMATION REQUIRED ELSEWHERE IN THIS SECTION AND OTHER
   32  SECTIONS OF LAW.
   33    (1) AN UPDATED GENERAL FUND FORECAST OF RECEIPTS AND DISBURSEMENTS FOR
   34  THE CURRENT AND FIVE SUCCEEDING  FISCAL  YEARS.  SUCH  UPDATED  FORECAST
   35  SHALL  CLEARLY  IDENTIFY  AND  EXPLAIN THE REVISIONS TO THE RECEIPTS AND
   36  DISBURSEMENTS PROJECTIONS FROM THE  MOST  RECENT  PRIOR  UPDATE  TO  THE
   37  FINANCIAL  PLAN, AND ANY SIGNIFICANT REVISIONS TO THE UNDERLYING FACTORS
   38  AFFECTING RECEIPTS AND DISBURSEMENTS BY MAJOR FUNCTION, AND MAY INCLUDE,
   39  BUT NOT BE LIMITED TO: CASELOAD, SERVICE, AND UTILIZATION  RATES;  DEMO-
   40  GRAPHIC TRENDS; ECONOMIC VARIABLES; PENSION FUND PERFORMANCE; INCARCERA-
   41  TION   RATES;  PRESCRIPTION  DRUG  PRICES;  HEALTH  INSURANCE  PREMIUMS;
   42  INFLATION; CONTRACTUAL OBLIGATIONS;  LITIGATION;  AND  STATE  EMPLOYMENT
   43  TRENDS.
   44    (2)  A  REVISED  MONTHLY GENERAL FUND CASH FLOW PROJECTION OF RECEIPTS
   45  AND DISBURSEMENTS FOR THE CURRENT FISCAL YEAR THAT (A)  COMPARES  ACTUAL
   46  RESULTS TO (I) ACTUAL RESULTS THROUGH THE SAME PERIOD FOR THE PRIOR YEAR
   47  AND  (II)  THE MOST RECENT PRIOR UPDATE TO THE FINANCIAL PLAN AND TO THE
   48  ENACTED BUDGET FINANCIAL PLAN, (B) SUMMARIZES THE REASONS FOR ANY  VARI-
   49  ANCES, AND (C) DESCRIBES THE REVISIONS TO THE CASH FLOW PROJECTIONS. THE
   50  MONTHLY GENERAL FUND CASH FLOW PROJECTION SHALL BE STATED BY MAJOR CATE-
   51  GORY OF LOCAL ASSISTANCE, PERSONAL SERVICE, NONPERSONAL SERVICE, GENERAL
   52  STATE CHARGES, AND DEBT SERVICE, AND BY MAJOR CATEGORY OF REVENUE.
   53    C.  THE  CAPITAL  PROGRAM  AND  FINANCING  PLAN  SUBMITTED PURSUANT TO
   54  SECTION TWENTY-TWO-C OF THIS ARTICLE, AND THE  UPDATE  THERETO  REQUIRED
   55  PURSUANT TO SECTION TWENTY-THREE OF THIS ARTICLE, SHALL INCLUDE A REPORT
   56  ON  THE MANAGEMENT OF STATE-SUPPORTED DEBT. SUCH REPORT MAY INCLUDE, BUT
       S. 4006--A                          8
    1  IS NOT LIMITED TO: (1) AN ASSESSMENT OF THE AFFORDABILITY OF STATE DEBT,
    2  INCLUDING DEBT AS A PERCENT OF PERSONAL INCOME,  DEBT  PER  CAPITA,  AND
    3  DEBT  SERVICE COSTS AS A PERCENT OF THE BUDGET, (2) A SUMMARY AND ANALY-
    4  SIS OF THE INTEREST RATE EXCHANGE AGREEMENTS AND VARIABLE RATE EXPOSURE,
    5  AND  (3) AN ASSESSMENT OF FINANCING OPPORTUNITIES RELATED TO THE STATE'S
    6  DEBT PORTFOLIO.
    7    S 6. The state finance law is amended by adding a new  section  28  to
    8  read as follows:
    9    S  28.  AGENCY STRATEGIC AND PERFORMANCE PLANS AND PERFORMANCE BUDGET-
   10  ING REQUIREMENTS.  1. DEFINITIONS. WHEN USED IN THIS SECTION:
   11    (A) "AGENCY" MEANS AND INCLUDES "STATE AGENCY" AND "COVERED AUTHORITY"
   12  AS DEFINED IN SECTION TWO-A OF THIS CHAPTER;
   13    (B) "OUTCOME MEASURE" MEANS AN ASSESSMENT OF THE RESULTS OF A  PROGRAM
   14  ACTIVITY COMPARED TO ITS INTENDED PURPOSE;
   15    (C)  "OUTPUT  MEASURE" MEANS THE TABULATION, CALCULATION, OR RECORDING
   16  OF ACTIVITY OR EFFORT AND CAN BE EXPRESSED IN A QUANTITATIVE OR QUALITA-
   17  TIVE MANNER;
   18    (D) "PROGRAM ASSESSMENT RATING TOOL" MEANS A  TOOL  DEVELOPED  BY  THE
   19  DIVISION  OF  THE  BUDGET  TO EVALUATE THE EFFECTIVENESS OF PROGRAMS AND
   20  PROGRAM ACTIVITY;
   21    (E) "PERFORMANCE GOAL" MEANS A TARGET LEVEL OF  PERFORMANCE  EXPRESSED
   22  AS  A  TANGIBLE,  MEASURABLE OBJECTIVE, AGAINST WHICH ACTUAL ACHIEVEMENT
   23  CAN BE COMPARED, INCLUDING A GOAL EXPRESSED AS A QUANTITATIVE  STANDARD,
   24  VALUE, OR RATE;
   25    (F) "PERFORMANCE INDICATOR" MEANS A PARTICULAR VALUE OR CHARACTERISTIC
   26  USED TO MEASURE OUTPUT OR OUTCOME;
   27    (G)  "PROGRAM  ACTIVITY"  MEANS  A SPECIFIC ACTIVITY OR PROJECT OF THE
   28  PROGRAM AND MEANS AND INCLUDES ANY EXPENDITURE FOR ANY  PURPOSE  TO  ANY
   29  CLASS OR GROUPING OF VENDORS THAT INCLUDES MORE THAN ONE VENDOR; AND
   30    (H)  "PROGRAM EVALUATION" MEANS AN ASSESSMENT, THROUGH OBJECTIVE MEAS-
   31  UREMENT AND SYSTEMATIC ANALYSIS, OF  THE  MANNER  AND  EXTENT  TO  WHICH
   32  PROGRAMS ACHIEVE INTENDED OBJECTIVES.
   33    2.  STRATEGIC  PLAN.  (A)  NOT LATER THAN THE START OF THE FISCAL YEAR
   34  BEGINNING IN TWO THOUSAND TWELVE EACH AGENCY SHALL SUBMIT TO THE  DIREC-
   35  TOR OF THE BUDGET AND TO THE DIRECTOR OF THE LEGISLATIVE BUDGET OFFICE A
   36  STRATEGIC PLAN FOR PROGRAM ACTIVITIES. SUCH PLAN SHALL INCLUDE:
   37    (1) A COMPREHENSIVE MISSION STATEMENT COVERING THE MAJOR FUNCTIONS AND
   38  OPERATIONS OF THE AGENCY;
   39    (2)  GENERAL GOALS AND OBJECTIVES, INCLUDING OUTCOME-RELATED GOALS AND
   40  OBJECTIVES, FOR THE MAJOR FUNCTIONS AND OPERATIONS OF THE AGENCY;
   41    (3) A DESCRIPTION OF HOW THE GOALS AND OBJECTIVES ARE TO BE  ACHIEVED,
   42  INCLUDING  A  DESCRIPTION OF THE OPERATIONAL PROCESSES, SKILLS AND TECH-
   43  NOLOGY,  AND  THE  HUMAN,  CAPITAL,  INFORMATION,  AND  OTHER  RESOURCES
   44  REQUIRED TO MEET THOSE GOALS AND OBJECTIVES;
   45    (4)  A  DESCRIPTION  OF  HOW  THE  PERFORMANCE  GOALS  INCLUDED IN THE
   46  PERFORMANCE PLAN REQUIRED BY THIS SECTION SHALL BE RELATED TO THE GENER-
   47  AL GOALS AND OBJECTIVES IN THE STRATEGIC PLAN;
   48    (5) AN IDENTIFICATION OF KEY FACTORS EXTERNAL TO THE AGENCY AND BEYOND
   49  ITS CONTROL THAT COULD  SIGNIFICANTLY  AFFECT  THE  ACHIEVEMENT  OF  THE
   50  GENERAL GOALS AND OBJECTIVES; AND
   51    (6)  A  DESCRIPTION OF THE PROGRAM EVALUATIONS USED IN ESTABLISHING OR
   52  REVISING GENERAL GOALS  AND  OBJECTIVES,  WITH  A  SCHEDULE  FOR  FUTURE
   53  PROGRAM EVALUATIONS.
   54    (B)  THE  STRATEGIC  PLAN  SHALL  COVER A PERIOD OF NOT LESS THAN FIVE
   55  YEARS FORWARD FROM THE FISCAL YEAR IN WHICH IT IS SUBMITTED,  AND  SHALL
   56  BE UPDATED AND REVISED AT LEAST EVERY THREE YEARS.
       S. 4006--A                          9
    1    (C)  WHEN  DEVELOPING  A STRATEGIC PLAN, THE AGENCY SHALL CONSULT WITH
    2  THE APPROPRIATE COMMITTEE OR COMMITTEES OF  THE  LEGISLATURE,  INCLUDING
    3  COMMITTEES  WHICH  OVERSEE  THEIR AREA OF OPERATIONS PROGRAMMATICALLY OR
    4  FISCALLY, AND SHALL SOLICIT AND CONSIDER THE VIEWS  OF  ENTITIES  POTEN-
    5  TIALLY AFFECTED BY OR INTERESTED IN SUCH A PLAN.
    6    3.  PERFORMANCE  PLANS  AND  REPORTS.   (A) ANY OTHER PROVISION OF ANY
    7  OTHER LAW TO THE CONTRARY NOTWITHSTANDING, BEGINNING  WITH  FISCAL  YEAR
    8  TWO THOUSAND TWELVE, THE DIRECTOR OF THE BUDGET SHALL INCLUDE A PERFORM-
    9  ANCE  PLAN  AS  PART OF THE BUDGET SUBMITTED ANNUALLY BY THE GOVERNOR TO
   10  THE LEGISLATURE, IN ACCORDANCE WITH ARTICLE SEVEN OF  THE  CONSTITUTION.
   11  IN  SUCH  SUBMISSION,  THE DIRECTOR SHALL REPORT TO THE GOVERNOR AND THE
   12  LEGISLATURE CONCERNING ANY SIGNIFICANT DIFFICULTIES EXPERIENCED BY AGEN-
   13  CIES IN PREPARING PLANS AND REPORTS AND SET FORTH ANY RECOMMENDED CHANG-
   14  ES IN THE REQUIREMENTS OF THIS SECTION. THE DIRECTOR OF THE  BUDGET  MAY
   15  EXEMPT  FROM  THE  REQUIREMENTS  OF  THIS  SECTION  ANY  AGENCY  WITH AN
   16  ALL-FUNDS ANNUAL BUDGET OF TEN MILLION DOLLARS OR LESS.
   17    (B) THE PERFORMANCE PLAN SUBMITTED BY EACH AGENCY SHALL BE  CONSISTENT
   18  WITH  THE AGENCY'S STRATEGIC PLAN. A PERFORMANCE PLAN MAY NOT BE SUBMIT-
   19  TED FOR A FISCAL YEAR NOT COVERED BY A CURRENT STRATEGIC PLAN UNDER THIS
   20  SECTION. IN ADDITION TO ANY OTHER  REQUIREMENTS  OF  THIS  SECTION,  THE
   21  PERFORMANCE  PLAN SHALL USE THE PROGRAM ASSESSMENT RATING TOOL TO EVALU-
   22  ATE ITS PROGRAMS.
   23    (C) ON AND AFTER FISCAL YEAR TWO THOUSAND TWELVE, THE DIRECTOR OF  THE
   24  BUDGET  SHALL  REQUIRE EACH AGENCY TO PREPARE AN ANNUAL PERFORMANCE PLAN
   25  COVERING EACH PROGRAM ACTIVITY SET FORTH IN THE BUDGET OF  SUCH  AGENCY.
   26  SUCH PLAN SHALL:
   27    (1)  ESTABLISH PERFORMANCE GOALS TO DEFINE THE LEVEL OF PERFORMANCE TO
   28  BE ACHIEVED BY A PROGRAM ACTIVITY;
   29    (2) EXPRESS SUCH GOALS IN AN OBJECTIVE, QUANTIFIABLE,  AND  MEASURABLE
   30  FORM  UNLESS  AUTHORIZED  TO  BE IN AN ALTERNATIVE FORM PURSUANT TO THIS
   31  SUBDIVISION;
   32    (3) BRIEFLY DESCRIBE THE OPERATIONAL PROCESSES, SKILLS AND TECHNOLOGY,
   33  AND THE HUMAN, CAPITAL, INFORMATION, OR OTHER RESOURCES REQUIRED TO MEET
   34  THE PERFORMANCE GOALS;
   35    (4) ESTABLISH PERFORMANCE  INDICATORS  TO  BE  USED  IN  MEASURING  OR
   36  ASSESSING  THE  RELEVANT  OUTPUTS,  SERVICE LEVELS, AND OUTCOMES OF EACH
   37  PROGRAM ACTIVITY;
   38    (5) PROVIDE A BASIS FOR COMPARING  ACTUAL  PROGRAM  RESULTS  WITH  THE
   39  ESTABLISHED PERFORMANCE GOALS; AND
   40    (6)  DESCRIBE  THE  MEANS  TO  BE USED TO VERIFY AND VALIDATE MEASURED
   41  VALUES.
   42    (D) IF AN AGENCY, IN CONSULTATION WITH THE  DIRECTOR  OF  THE  BUDGET,
   43  DETERMINES  THAT IT IS NOT FEASIBLE TO EXPRESS THE PERFORMANCE GOALS FOR
   44  A PARTICULAR PROGRAM ACTIVITY IN AN OBJECTIVE, QUANTIFIABLE, AND MEASUR-
   45  ABLE FORM, THE DIRECTOR MAY AUTHORIZE AN ALTERNATIVE FORM. SUCH ALTERNA-
   46  TIVE SHALL BE IN A FORM AUTHORIZED BY THE DIRECTOR, AND
   47    (1) SHALL HAVE SUFFICIENT PRECISION AND BE IN TERMS THAT ALLOW FOR  AN
   48  ACCURATE,  INDEPENDENT  DETERMINATION  OF WHETHER THE PROGRAM ACTIVITY'S
   49  PERFORMANCE MEETS THE CRITERIA OF THE DESCRIPTION; OR
   50    (2) BE A STATEMENT AS TO WHY IT IS INFEASIBLE OR IMPRACTICAL  FOR  THE
   51  AGENCY  TO EXPRESS A PERFORMANCE GOAL IN ANY FORM FOR THE PROGRAM ACTIV-
   52  ITY.
   53    (E) FOR THE PURPOSE OF COMPLYING WITH  THIS  SECTION,  AN  AGENCY  MAY
   54  AGGREGATE,  DISAGGREGATE, OR CONSOLIDATE PROGRAM ACTIVITIES, EXCEPT THAT
   55  ANY AGGREGATION OR CONSOLIDATION MAY NOT OMIT OR  MINIMIZE  THE  SIGNIF-
       S. 4006--A                         10
    1  ICANCE  OF  ANY PROGRAM ACTIVITY CONSTITUTING A MAJOR FUNCTION OR OPERA-
    2  TION FOR THE AGENCY.
    3    (F)  ON  A  DATE  SET BY THE DIRECTOR OF THE BUDGET, EACH AGENCY SHALL
    4  PREPARE AND SUBMIT TO THE DIRECTOR A REPORT ON PROGRAM  PERFORMANCE  FOR
    5  THE  PREVIOUS  FISCAL  YEAR  FOR INCLUSION IN THE STATE BUDGET SUBMITTED
    6  ANNUALLY BY THE GOVERNOR TO THE LEGISLATURE, IN ACCORDANCE WITH  ARTICLE
    7  SEVEN OF THE CONSTITUTION.
    8    (G)  EACH  PROGRAM  PERFORMANCE REPORT SHALL SET FORTH THE PERFORMANCE
    9  INDICATORS ESTABLISHED IN THE AGENCY PERFORMANCE PLAN,  ALONG  WITH  THE
   10  ACTUAL  PROGRAM PERFORMANCE ACHIEVED COMPARED WITH THE PERFORMANCE GOALS
   11  EXPRESSED IN THE PLAN FOR THE PRECEDING FISCAL YEAR.
   12    (H) IF PERFORMANCE GOALS ARE  SPECIFIED  IN  AN  ALTERNATIVE  FORM  AS
   13  AUTHORIZED  BY  THIS  SECTION,  THE  RESULTS  OF  SUCH  PROGRAM SHALL BE
   14  DESCRIBED IN RELATION TO SUCH SPECIFICATIONS.
   15    (I) THE REPORT FOR FISCAL YEAR TWO THOUSAND TWELVE SHALL INCLUDE ACTU-
   16  AL RESULTS FOR THE PRECEDING FISCAL YEAR, THE REPORT FOR FISCAL YEAR TWO
   17  THOUSAND THIRTEEN SHALL INCLUDE ACTUAL RESULTS  FOR  THE  TWO  PRECEDING
   18  FISCAL  YEARS,  AND THE REPORT FOR FISCAL YEAR TWO THOUSAND FOURTEEN AND
   19  ALL SUBSEQUENT REPORTS  SHALL  INCLUDE  ACTUAL  RESULTS  FOR  THE  THREE
   20  PRECEDING FISCAL YEARS.
   21    4. EACH REPORT SHALL: (A) REVIEW THE SUCCESS OF ACHIEVING THE PERFORM-
   22  ANCE GOALS OF THE FISCAL YEAR;
   23    (B) EVALUATE THE PERFORMANCE PLAN FOR THE CURRENT FISCAL YEAR RELATIVE
   24  TO  THE  PERFORMANCE ACHIEVED TOWARD THE PERFORMANCE GOALS IN THE FISCAL
   25  YEAR COVERED BY THE REPORT;
   26    (C) EXPLAIN AND DESCRIBE, WHERE A PERFORMANCE GOAL HAS  NOT  BEEN  MET
   27  WHY  THE  GOAL WAS NOT MET, PLANS AND SCHEDULES FOR ACHIEVING THE ESTAB-
   28  LISHED PERFORMANCE GOAL, AND IF THE PERFORMANCE GOAL IS  IMPRACTICAL  OR
   29  INFEASIBLE, WHY THAT IS THE CASE AND WHAT ACTION IS RECOMMENDED; AND
   30    (D)   INCLUDE  THE  SUMMARY  FINDINGS  OF  THOSE  PROGRAM  EVALUATIONS
   31  COMPLETED DURING THE FISCAL YEAR COVERED BY THE REPORT.
   32    5. MANAGERIAL ACCOUNTABILITY AND FLEXIBILITY. (A) ANY OTHER  PROVISION
   33  OF  ANY  OTHER  LAW  TO  THE CONTRARY NOTWITHSTANDING, PERFORMANCE PLANS
   34  REQUIRED HEREUNDER MAY INCLUDE PROPOSALS TO WAIVE ADMINISTRATIVE  PROCE-
   35  DURAL  REQUIREMENTS  AND  CONTROLS  IN RETURN FOR SPECIFIC INDIVIDUAL OR
   36  ORGANIZATION ACCOUNTABILITY TO ACHIEVE A PERFORMANCE GOAL. IN  PREPARING
   37  AND  SUBMITTING  THE  PERFORMANCE  PLAN THE DIRECTOR OF THE BUDGET SHALL
   38  REVIEW AND MAY APPROVE ANY PROPOSED WAIVERS. A WAIVER SHALL TAKE  EFFECT
   39  AT THE BEGINNING OF THE FISCAL YEAR FOR WHICH THE WAIVER IS APPROVED.
   40    (B)  ANY  SUCH  PROPOSAL  FOR  WAIVER  SHALL  DESCRIBE THE ANTICIPATED
   41  EFFECTS ON PERFORMANCE RESULTING FROM GREATER  MANAGERIAL  OR  ORGANIZA-
   42  TIONAL  FLEXIBILITY,  DISCRETION,  AND AUTHORITY, AND SHALL QUANTIFY THE
   43  EXPECTED IMPROVEMENTS IN PERFORMANCE  RESULTING  FROM  ANY  WAIVER.  THE
   44  EXPECTED  IMPROVEMENTS  SHALL BE COMPARED TO CURRENT ACTUAL PERFORMANCE,
   45  AND TO THE PROJECTED LEVEL OF PERFORMANCE THAT WOULD BE  ACHIEVED  INDE-
   46  PENDENT OF ANY WAIVER.
   47    (C)  A  PROPOSED WAIVER OF PROCEDURAL REQUIREMENTS OR CONTROLS IMPOSED
   48  SHALL NOT BE INCLUDED IN A PERFORMANCE PLAN UNLESS IT IS ENDORSED BY THE
   49  AGENCY THAT ESTABLISHED THE REQUIREMENT, AND THE ENDORSEMENT INCLUDED IN
   50  THE PROPOSING AGENCY'S PERFORMANCE PLAN.
   51    (D) A WAIVER SHALL BE IN EFFECT FOR ONE OR TWO YEARS AS  SPECIFIED  BY
   52  THE  DIRECTOR  OF  THE  BUDGET  IN APPROVING THE WAIVER. A WAIVER MAY BE
   53  RENEWED FOR A SUBSEQUENT YEAR. AFTER A WAIVER HAS  BEEN  IN  EFFECT  FOR
   54  THREE  CONSECUTIVE YEARS, THE PERFORMANCE PLAN MAY PROPOSE THAT A WAIVER
   55  BE MADE PERMANENT.
       S. 4006--A                         11
    1    (E) THE DIRECTOR  SHALL  NOT  BE  EMPOWERED  TO  WAIVE  ANY  STATUTORY
    2  REQUIREMENT,  BUT  MAY  SUBMIT  LEGISLATION WITH THE BUDGET ALLOWING FOR
    3  SUCH WAIVER.
    4    6.  PERFORMANCE  BUDGETING.  (A)  THE  DIRECTOR  OF  THE BUDGET, AFTER
    5  CONSULTATION WITH EACH AGENCY AND THE DIRECTOR OF THE LEGISLATIVE BUDGET
    6  OFFICE, SHALL DESIGNATE NOT LESS THAN FIVE AGENCIES AS PILOT PROJECTS IN
    7  PERFORMANCE BUDGETING FOR FISCAL YEARS TWO  THOUSAND  THIRTEEN  AND  TWO
    8  THOUSAND FOURTEEN.  THE AGENCIES SHALL REFLECT A REPRESENTATIVE RANGE OF
    9  GOVERNMENT FUNCTIONS AND CAPABILITIES IN MEASURING AND REPORTING PROGRAM
   10  PERFORMANCE.
   11    (B) PILOT PROJECTS IN THE DESIGNATED AGENCIES SHALL COVER THE PREPARA-
   12  TION  OF  PERFORMANCE  BUDGETS.   SUCH BUDGETS SHALL PRESENT, FOR ONE OR
   13  MORE OF THE MAJOR FUNCTIONS AND OPERATIONS OF THE  AGENCY,  THE  VARYING
   14  LEVELS OF PERFORMANCE, INCLUDING OUTCOME-RELATED PERFORMANCE, THAT WOULD
   15  RESULT FROM DIFFERENT BUDGETED AMOUNTS.
   16    (C) THE DIRECTOR OF THE BUDGET SHALL INCLUDE, AS AN ALTERNATIVE BUDGET
   17  PRESENTATION  IN THE BUDGET SUBMITTED FOR FISCAL YEAR TWO THOUSAND THIR-
   18  TEEN, THE PERFORMANCE BUDGETS OF THE DESIGNATED AGENCIES FOR THIS FISCAL
   19  YEAR.
   20    (D) NO LATER THAN  MARCH  THIRTY-FIRST,  TWO  THOUSAND  FOURTEEN,  THE
   21  DIRECTOR  OF  THE  BUDGET  SHALL  TRANSMIT A REPORT TO THE GOVERNOR, THE
   22  LEGISLATURE AND THE LEGISLATIVE BUDGET OFFICE ON PERFORMANCE  BUDGETING.
   23  SUCH REPORT SHALL:
   24    (1) ASSESS THE FEASIBILITY AND ADVISABILITY OF INCLUDING A PERFORMANCE
   25  BUDGET AS PART OF THE ANNUAL BUDGET;
   26    (2)  DESCRIBE  ANY DIFFICULTIES ENCOUNTERED IN PREPARING A PERFORMANCE
   27  BUDGET;
   28    (3) RECOMMEND WHETHER LEGISLATION REQUIRING PERFORMANCE BUDGETS SHOULD
   29  BE PROPOSED AND THE GENERAL PROVISIONS OF ANY LEGISLATION; AND
   30    (4) SET FORTH ANY RECOMMENDED CHANGES IN  THE  OTHER  REQUIREMENTS  OF
   31  THIS SECTION.
   32    7.  REPORT BY THE DIVISION OF THE BUDGET.  THE DIRECTOR OF THE BUDGET,
   33  AFTER CONSULTATION WITH EACH AGENCY, SHALL ESTABLISH  TIMELINES,  PROCE-
   34  DURES, FORMS AND OTHER NECESSARY MEASUREMENTS AND DOCUMENTATION REQUIRED
   35  BY THIS SECTION NOT LATER THAN SEPTEMBER FIRST, TWO THOUSAND ELEVEN, AND
   36  SHALL  SHARE  SUCH  SCHEDULES AND DATA WITH THE FISCAL COMMITTEES OF THE
   37  LEGISLATURE AND THE LEGISLATIVE BUDGET OFFICE. SUCH REPORT SHALL INCLUDE
   38  THE PROGRAM ASSESSMENT RATING TOOL.
   39    8. TRAINING. THE DIRECTOR OF THE BUDGET AFTER  CONSULTATION  WITH  THE
   40  OFFICE  OF  EMPLOYEE RELATIONS, THE DEPARTMENT OF CIVIL SERVICE, AND THE
   41  DEPARTMENT OF LABOR, SHALL DEVELOP A STRATEGIC PLANNING AND  PERFORMANCE
   42  MEASUREMENT  TRAINING  COMPONENT  FOR  MANAGEMENT  TRAINING PROGRAMS AND
   43  OTHERWISE PROVIDE MANAGERS WITH AN ORIENTATION ON  THE  DEVELOPMENT  AND
   44  USE OF STRATEGIC PLANNING AND PROGRAM PERFORMANCE MEASUREMENT.
   45    9.  APPLICATION.  NO PROVISION OR AMENDMENT MADE BY THIS SECTION SHALL
   46  BE CONSTRUED AS CREATING ANY RIGHT, PRIVILEGE, BENEFIT,  OR  ENTITLEMENT
   47  FOR  ANY  PERSON  WHO  IS NOT AN OFFICER OR EMPLOYEE OF THE STATE OF NEW
   48  YORK ACTING IN SUCH CAPACITY, AND NO PERSON WHO IS  NOT  AN  OFFICER  OR
   49  EMPLOYEE  OF  THE  STATE  OF NEW YORK ACTING IN SUCH CAPACITY SHALL HAVE
   50  STANDING TO FILE ANY CIVIL ACTION IN A COURT OF THIS  STATE  TO  ENFORCE
   51  ANY PROVISION OR AMENDMENT MADE BY THIS SECTION.
   52    S 7. This act shall take effect immediately.
feedback