S. 7038 2
REQUESTS MADE BY THE SPEAKER OF THE ASSEMBLY, THE TEMPORARY PRESIDENT
OF THE SENATE, THE CHAIR OF THE ASSEMBLY WAYS AND MEANS COMMITTEE AND
THE CHAIR OF THE SENATE FINANCE COMMITTEE REGARDING THE BUDGET, REVENUES
AND EXPENDITURES SHALL RECEIVE PRIORITY ATTENTION.
2. THE INDEPENDENT BUDGET OFFICE SHALL COMPLETE A FISCAL IMPACT
STATEMENT: (A) FOR ANY BILL BEING CONSIDERED ON AN ASSEMBLY WAYS AND
MEANS COMMITTEE AGENDA OR A SENATE FINANCE COMMITTEE AGENDA, TO THE
EXTENT POSSIBLE; (B) FOR ANY BILL AT THE REQUEST OF THE SPEAKER OR
MINORITY LEADER OF THE ASSEMBLY OR THE TEMPORARY PRESIDENT OR MINORITY
LEADER OF THE SENATE; AND (C) AT THE REQUEST OF A COMMITTEE CHAIR OR
RANKING MEMBER OF A COMMITTEE FOR ANY BILL REFERRED TO THEIR RESPECTIVE
COMMITTEE. FISCAL IMPACT STATEMENTS SHALL ESTIMATE THE IMPACT ON STATE
REVENUES OR EXPENDITURES.
3. THE INDEPENDENT BUDGET OFFICE SHALL SUBMIT AN ANALYSIS OF THE
EXECUTIVE BUDGET BY MARCH FIRST OF EACH YEAR TO THE MEMBERS OF THE
ASSEMBLY WAYS AND MEANS COMMITTEE AND THE SENATE FINANCE COMMITTEE, AND
MAKE COPIES OF SUCH ANALYSIS AVAILABLE TO ALL OTHER MEMBERS OF THE
LEGISLATURE AND ALL OTHER INDIVIDUALS, UPON REQUEST.
4. THE INDEPENDENT BUDGET OFFICE SHALL, TO THE EXTENT PRACTICABLE,
DEVELOP PROPOSALS FOR COST EFFECTIVE ALTERNATIVE APPROACHES TO MEET THE
FINANCIAL OBLIGATIONS OF THE STATE.
5. THE INDEPENDENT BUDGET OFFICE SHALL PUBLISH A REPORT WITH RESPECT
TO THE EXPECTED LEVELS OF STATE REVENUES BY THE FIRST DAY OF JANUARY,
THE FIRST DAY OF APRIL, THE FIRST DAY OF JULY AND THE FIRST DAY OF OCTO-
BER OF EACH YEAR.
6. THE INDEPENDENT BUDGET OFFICE SHALL PUBLISH BY DECEMBER FIRST OF
EACH YEAR A REPORT ANALYZING THE FISCAL OUTLOOK OF THE STATE FOR THE
NEXT FIVE YEARS.
7. AT THE REQUEST OF ANY MEMBER OR COMMITTEE OF THE SENATE OR THE
ASSEMBLY, THE INDEPENDENT BUDGET OFFICE SHALL, TO THE EXTENT PRACTICA-
BLE, CONSULT WITH AND ASSIST SUCH COMMITTEE IN ANALYZING THE BUDGETARY
OR FINANCIAL IMPACT OF ANY PROPOSED LEGISLATION THAT MAY HAVE:
(A) A SIGNIFICANT BUDGETARY IMPACT ON LOCAL OR TRIBAL GOVERNMENTS;
(B) A SIGNIFICANT FINANCIAL IMPACT ON THE PRIVATE SECTOR; OR
(C) A SIGNIFICANT EMPLOYMENT IMPACT ON THE PRIVATE SECTOR.
8. (A) THE DIRECTOR OF THE INDEPENDENT BUDGET OFFICE SHALL CONDUCT
CONTINUING STUDIES ON FISCAL MATTERS INCLUDING WAYS TO ENHANCE COMPAR-
ISONS OF BUDGET AUTHORITY AND OUTLAYS, DEBT AUTHORITY, AND TAX POLICY.
(B) (1) AT THE REQUEST OF ANY CHAIR OR RANKING MEMBER OF THE MINORITY
OF A COMMITTEE OF THE SENATE OR THE ASSEMBLY, THE DIRECTOR SHALL, TO THE
EXTENT PRACTICABLE, CONDUCT A STUDY OF A LEGISLATIVE PROPOSAL CONTAINING
A STATE MANDATE.
(2) IN CONDUCTING A STUDY ON INTERGOVERNMENTAL MANDATES UNDER THIS
PARAGRAPH, THE DIRECTOR SHALL:
(I) SOLICIT AND CONSIDER INFORMATION OR COMMENTS FROM ELECTED OFFI-
CIALS (INCLUDING THEIR DESIGNATED REPRESENTATIVES) OF STATE, LOCAL, OR
TRIBAL GOVERNMENTS AS MAY PROVIDE HELPFUL INFORMATION OR COMMENTS;
(II) CONSIDER ESTABLISHING ADVISORY PANELS OF ELECTED OFFICIALS OR
THEIR DESIGNATED REPRESENTATIVES, OF LOCAL OR TRIBAL GOVERNMENTS IF THE
DIRECTOR DETERMINES THAT SUCH ADVISORY PANELS WOULD BE HELPFUL IN
PERFORMING RESPONSIBILITIES OF THE DIRECTOR UNDER THIS SECTION; AND
(III) IF, AND TO THE EXTENT THAT THE DIRECTOR DETERMINES THAT ACCURATE
ESTIMATES ARE REASONABLY FEASIBLE, INCLUDE ESTIMATES OF:
(A) THE FUTURE DIRECT COST OF THE STATE MANDATE TO THE EXTENT THAT
SUCH COSTS SIGNIFICANTLY DIFFER FROM OR EXTEND BEYOND THE FIVE-YEAR
PERIOD AFTER THE MANDATE IS FIRST EFFECTIVE; AND
S. 7038 3
(B) ANY DISPROPORTIONATE BUDGETARY EFFECTS OF STATE MANDATES UPON
PARTICULAR INDUSTRIES OR SECTORS OF THE ECONOMY, REGIONS, AND URBAN OR
RURAL OR OTHER TYPES OF COMMUNITIES, AS APPROPRIATE.
(3) IN CONDUCTING A STUDY ON STATE MANDATES UNDER SUBPARAGRAPH ONE OF
THIS PARAGRAPH, THE DIRECTOR SHALL PROVIDE ESTIMATES, IF AND TO THE
EXTENT THAT THE DIRECTOR DETERMINES THAT SUCH ESTIMATES ARE REASONABLY
FEASIBLE, OF:
(I) FUTURE COSTS OF STATE MANDATES ON PRIVATE SECTOR ENTITIES AND
LOCAL GOVERNMENTS TO THE EXTENT THAT SUCH MANDATES DIFFER SIGNIFICANTLY
FROM OR EXTEND BEYOND THE FIVE-YEAR TIME PERIOD REFERRED TO IN ITEM (A)
OF CLAUSE (III) OF SUBPARAGRAPH TWO OF THIS PARAGRAPH;
(II) ANY DISPROPORTIONATE FINANCIAL EFFECTS OF STATE PRIVATE SECTOR
MANDATES AND OF ANY STATE FINANCIAL ASSISTANCE IN THE BILL OR JOINT
RESOLUTION UPON ANY PARTICULAR INDUSTRIES OR SECTORS OF THE ECONOMY,
REGIONS, AND URBAN OR RURAL OR OTHER TYPES OF COMMUNITIES; AND
(III) THE EFFECT OF STATE MANDATES IN THE BILL OR JOINT RESOLUTION ON
THE ECONOMY OF THE STATE, INCLUDING THE EFFECT ON PRODUCTIVITY, ECONOMIC
GROWTH, FULL EMPLOYMENT, CREATION OF PRODUCTIVE JOBS, AND COMPETITIVE-
NESS OF GOODS AND SERVICES.
9. THE INDEPENDENT BUDGET OFFICE SHALL, FROM TIME TO TIME, PUBLISH
SUCH REPORTS AS MAY BE APPROPRIATE TO ENHANCE THE OFFICIAL AND PUBLIC
UNDERSTANDING OF THE BUDGETARY PROCESS AND OF THE BUDGET DOCUMENTS. SUCH
OFFICE SHALL, FROM TIME TO TIME, PUBLISH SUCH REPORTS AS MAY BE NECES-
SARY OR APPROPRIATE TO PROVIDE SUCH INFORMATION, DATA AND ANALYSIS AS
WILL ENHANCE OFFICIAL AND PUBLIC UNDERSTANDING OF MATTERS RELATING TO
STATE REVENUES, EXPENDITURES, MANAGEMENT PRACTICES AND RELATED MATTERS.
10. THE INDEPENDENT BUDGET OFFICE MAY PROCURE UP-TO-DATE COMPUTER
EQUIPMENT, OBTAIN THE SERVICES OF EXPERTS AND CONSULTANTS IN COMPUTER
TECHNOLOGY, AND DEVELOP TECHNIQUES FOR THE EVALUATION OF REVENUE PROJEC-
TIONS AND BUDGETARY REQUIREMENTS.
11. ALL INFORMATION, DATA, ESTIMATES AND STATISTICS, AND ALL STUDIES
AND REPORTS PREPARED BY THE INDEPENDENT BUDGET OFFICE SHALL BE MADE
AVAILABLE TO THE PUBLIC AND SHALL ALSO BE MADE AVAILABLE BY ELECTRONIC
MEANS OVER THE INTERNET.
S 76. DIRECTOR OF THE NEW YORK STATE INDEPENDENT BUDGET OFFICE. 1.
THE NEW YORK STATE INDEPENDENT BUDGET OFFICE SHALL BE HEADED BY A DIREC-
TOR WHO SHALL BE APPOINTED, FROM ONE OR MORE CANDIDATES RECOMMENDED BY
THE INDEPENDENT BUDGET OFFICE BOARD OF DIRECTORS (ALSO REFERRED TO
INTERCHANGEABLY AS THE "BOARD"), BY THE SPEAKER OF THE ASSEMBLY AND THE
TEMPORARY PRESIDENT OF THE SENATE. THE RECOMMENDATIONS FOR THE INITIAL
APPOINTMENT OF SUCH DIRECTOR SHALL BE MADE NO LATER THAN JANUARY
FIFTEENTH, TWO THOUSAND ELEVEN TO THE SPECIAL COMMITTEE. SUBSEQUENT
RECOMMENDATIONS SHALL BE MADE BETWEEN JANUARY SECOND AND JANUARY
FIFTEENTH EVERY SIXTH YEAR THEREAFTER. THE SPEAKER OF THE ASSEMBLY AND
TEMPORARY PRESIDENT OF THE SENATE SHALL APPOINT THE INITIAL DIRECTOR NO
LATER THAN FEBRUARY FIFTEENTH, TWO THOUSAND ELEVEN AND SUCH INITIAL
DIRECTOR SHALL TAKE OFFICE BEGINNING APRIL FIRST, TWO THOUSAND ELEVEN.
SUBSEQUENT APPOINTMENTS SHALL BE MADE NO LATER THAN FEBRUARY FIFTEENTH
EVERY SIXTH YEAR THEREAFTER.
2. (A) THERE SHALL BE AN INDEPENDENT BUDGET OFFICE BOARD OF DIRECTORS
CONSISTING OF (1) ONE PERSON APPOINTED BY EACH OF THE FOLLOWING OFFI-
CIALS AND WHO SHALL SERVE AT THE PLEASURE OF SUCH OFFICIALS; THE CHAIR
AND RANKING MEMBER OF THE ASSEMBLY WAYS AND MEANS COMMITTEE AND THE
CHAIR AND RANKING MEMBER OF THE SENATE FINANCE COMMITTEE, AND (2) SIX
OTHER MEMBERS JOINTLY APPOINTED BY THE SPEAKER OF THE ASSEMBLY AND THE
TEMPORARY PRESIDENT OF THE SENATE, WHO SHALL SERVE FOR SIX YEAR TERMS,
S. 7038 4
PROVIDED, HOWEVER THAT OF THE MEMBERS FIRST APPOINTED, TWO SHALL SERVE
FOR TERMS EXPIRING ON MARCH THIRTY-FIRST, TWO THOUSAND THIRTEEN; TWO
SHALL SERVE FOR TERMS EXPIRING ON MARCH THIRTY-FIRST, TWO THOUSAND
FIFTEEN; AND TWO SHALL SERVE FOR TERMS EXPIRING ON MARCH THIRTY-FIRST,
TWO THOUSAND SEVENTEEN. THE MEMBERS SHALL ALL BE INDIVIDUALS WITH EXTEN-
SIVE EXPERIENCE AND KNOWLEDGE IN THE FIELDS OF FINANCE, ECONOMICS,
ACCOUNTING, PUBLIC ADMINISTRATION AND PUBLIC POLICY ANALYSIS INCLUDING
AT LEAST ONE NATIONALLY RECOGNIZED EXPERT IN THE FIELDS OF BUDGET THEORY
AND THE BUDGET PROCESS; ONE DEAN OR DIRECTOR OR FORMER DEAN OR DIRECTOR
OF A GRADUATE SCHOOL OF BUSINESS ADMINISTRATION, PUBLIC AFFAIRS OR
PUBLIC ADMINISTRATION LOCATED IN NEW YORK STATE; ONE OFFICER OR FORMER
OFFICER OR ECONOMIC ADVISOR OF A LABOR UNION; ONE OFFICER OR FORMER
OFFICER OR ECONOMIC ADVISOR TO A BUSINESS CORPORATION; ONE OFFICER OR
FORMER OFFICER OF A CITY WITH A POPULATION OF ONE MILLION OR MORE, ONE
OFFICER OR FORMER OFFICER OF A COUNTY; AND ONE OFFICER OR FORMER OFFICER
OF A CIVIC OR PUBLIC INTEREST ADVOCACY ORGANIZATION DIRECTLY INVOLVED IN
BUDGET MATTERS. LOBBYING STATE OR LOCAL ENTITIES AS DEFINED BY SECTION
ONE-C OF THIS CHAPTER SHALL NOT BE CONSTRUED AS DIRECT INVOLVEMENT FOR
THE PURPOSE OF THIS PARAGRAPH. NO INDIVIDUAL SHALL SERVE CONSECUTIVE
TERMS.
(B) THE INDEPENDENT BUDGET OFFICE BOARD OF DIRECTORS SHALL DEVELOP
GUIDELINES FOR THE BEST PRACTICES OF THE INDEPENDENT BUDGET OFFICE. THE
INDEPENDENT BUDGET OFFICE BOARD OF DIRECTORS SHALL MEET ANNUALLY WITH
THE DIRECTOR TO REVIEW SUCH GUIDELINES AND TO MAKE COMMENTS AND
SUGGESTIONS ON THE OVERALL PRACTICES OF THE OFFICE. IN DEVELOPING
GUIDELINES FOR BEST PRACTICES, SUCH STANDARDS SHALL BE IN COMPLIANCE
WITH STANDARDS PROMULGATED BY THE GOVERNMENTAL ACCOUNTING STANDARDS
BOARD OR ANOTHER COMPARABLE STANDARD SETTING ENTITY WHEN PRACTICABLE.
NOTHING IN THIS SECTION SHALL PRECLUDE THE BOARD FROM USING PRONOUNCE-
MENTS; STANDARDS AND OTHER OTHER DOCUMENTS DEVELOPED AND PUBLISHED BY
ORGANIZATIONS THAT ARE NATIONALLY RECOGNIZED AUTHORITIES IN MATTERS
PERTAINING TO PUBLIC FINANCE EXCEPT THAT THE BOARD SHALL DEVELOP SUCH
BEST PRACTICES WITH THE INTENT OF COMPLYING WITH THE GOVERNMENTAL
ACCOUNTING STANDARDS BOARD WHERE PRACTICABLE AND APPLICABLE.
(C) MEMBERS OF THE BOARD OF DIRECTORS SHALL RECEIVE NO COMPENSATION
BUT SHALL BE REIMBURSED FOR REASONABLE EXPENSES INCURRED IN CONNECTION
WITH THEIR DUTIES.
3. THE DIRECTOR OF THE INDEPENDENT BUDGET OFFICE SHALL BE APPOINTED
WITHOUT REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE BASIS OF
FITNESS TO PERFORM THE DUTIES ASSIGNED BY THIS ARTICLE. THE TERM OF
OFFICE OF THE DIRECTOR FIRST APPOINTED SHALL EXPIRE ON FEBRUARY
FIFTEENTH, TWO THOUSAND SEVENTEEN, AND THE TERMS OF OFFICE OF DIRECTORS
SUBSEQUENTLY APPOINTED SHALL EXPIRE ON SUCH DATE IN EACH SIXTH YEAR
THEREAFTER. ANY INDIVIDUAL APPOINTED TO FILL A VACANCY PRIOR TO THE
EXPIRATION OF A TERM SHALL SERVE ONLY FOR THE UNEXPIRED PORTION OF SUCH
TERM. AN INDIVIDUAL SERVING AS DIRECTOR AT THE EXPIRATION OF THE TERM
MAY CONTINUE TO SERVE UNTIL A SUCCESSOR IS APPOINTED. ANY DIRECTOR
SERVING CONSECUTIVE TERMS SHALL BE RECOMMENDED BY THE INDEPENDENT BUDGET
OFFICE BOARD OF DIRECTORS AND APPOINTED BY THE SPEAKER OF THE ASSEMBLY
AND THE TEMPORARY PRESIDENT OF THE SENATE FOR THE SECOND TERM. NO DIREC-
TOR SHALL SERVE MORE THAN TWO TERMS CONSECUTIVELY.
4. TWENTY PERCENT OF THE APPROPRIATIONS MADE TO THE DIVISION OF THE
BUDGET SHALL BE AVAILABLE TO PAY FOR THE EXPENSES OF THE INDEPENDENT
BUDGET OFFICE DURING EACH FISCAL YEAR BEGINNING WITH THE FIRST DAY OF
APRIL AFTER THIS SECTION SHALL HAVE BECOME A LAW. THE DIRECTOR OF THE
INDEPENDENT BUDGET OFFICE SHALL APPOINT SUCH PERSONNEL AND PROCURE THE
S. 7038 5
SERVICES OF SUCH EXPERTS AND CONSULTANTS, WITHIN THE APPROPRIATIONS
AVAILABLE THEREFOR, AS MAY BE NECESSARY FOR SUCH DIRECTOR TO CARRY OUT
THE DUTIES AND FUNCTIONS ASSIGNED PURSUANT TO THIS ARTICLE. SUCH
PERSONNEL AND EXPERTS SHALL PERFORM SUCH DUTIES AS MAY BE ASSIGNED TO
THEM BY THE DIRECTOR.
5. THE DIRECTOR MAY BE REMOVED BY EITHER THE SENATE OR ASSEMBLY BY
RESOLUTION.
6. (A) THE DIRECTOR SHALL RECEIVE COMPENSATION AT AN ANNUAL RATE OF
PAY THAT IS EQUAL TO THE LOWER OF:
(1) THE HIGHEST ANNUAL RATE OF COMPENSATION OF ANY OFFICER OF THE
SENATE; OR
(2) THE HIGHEST ANNUAL RATE OF COMPENSATION OF ANY OFFICER OF THE
ASSEMBLY.
(B) THE DEPUTY DIRECTOR SHALL RECEIVE COMPENSATION AT AN ANNUAL RATE
OF PAY THAT IS ONE THOUSAND DOLLARS LESS THAN THE ANNUAL RATE OF PAY
RECEIVED BY THE DIRECTOR, AS DETERMINED UNDER PARAGRAPH (A) OF THIS
SUBDIVISION.
(C) THE DIRECTOR SHALL APPOINT AND FIX THE COMPENSATION OF SUCH
PERSONNEL AS MAY BE NECESSARY TO CARRY OUT THE DUTIES AND FUNCTIONS OF
THE OFFICE. ALL PERSONNEL OF THE OFFICE SHALL BE APPOINTED WITHOUT
REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE BASIS OF THEIR FITNESS
TO PERFORM THEIR DUTIES. THE DIRECTOR MAY PRESCRIBE THE DUTIES AND
RESPONSIBILITIES OF THE PERSONNEL OF THE OFFICE, AND DELEGATE TO THEM
AUTHORITY TO PERFORM ANY OF THE DUTIES, POWERS, AND FUNCTIONS IMPOSED ON
THE OFFICE OR ON THE DIRECTOR. FOR PURPOSES OF PAY (OTHER THAN PAY OF
THE DIRECTOR AND DEPUTY DIRECTOR) AND EMPLOYMENT BENEFITS, RIGHTS, AND
PRIVILEGES, ALL PERSONNEL OF THE OFFICE SHALL BE TREATED AS IF THEY WERE
EMPLOYEES OF NEW YORK STATE.
7. THE DIRECTOR OF THE INDEPENDENT BUDGET OFFICE SHALL HAVE ACCESS AT
ALL REASONABLE TIMES TO OFFICES OF STATE DEPARTMENTS, COMMISSIONS,
BOARDS, BUREAUS AND OFFICES, TO INSTITUTIONS AND TO ALL STATE AUTHORI-
TIES AND PUBLIC WORKS OF THE STATE AND THEY MAY, FOR THE PURPOSE OF
OBTAINING INFORMATION AS TO THE METHOD OF OPERATION, GENERAL CONDITION,
MANAGEMENT AND NEEDS THEREOF, EXAMINE THE BOOKS, PAPERS AND PUBLIC
RECORDS THEREIN. NOTWITHSTANDING ANY OTHER PROVISION OF LAW SUCH STATE
DEPARTMENTS, COMMISSIONS, BOARDS, BUREAUS, DIVISIONS, OFFICES, STATE
AUTHORITIES AND OTHER INSTITUTIONS SHALL, THROUGH THEIR PROPER OFFICERS
OR DEPUTIES, FURNISH TO THE DIRECTOR SUCH DATA, INFORMATION OR STATE-
MENTS AS MAY BE NECESSARY FOR THE PROPER EXERCISE OF HIS OR HER POWERS
AND DUTIES AND FOR THE PURPOSE OF CARRYING INTO EFFECT THE PROVISIONS OF
THIS ARTICLE.
8. FOR THE PURPOSES OF REVENUE LEGISLATION WHICH IS INCOME, ESTATE AND
GIFT, EXCISE, AND PAYROLL TAXES, CONSIDERED OR ENACTED IN ANY SESSION OF
THE LEGISLATURE, THE INDEPENDENT BUDGET OFFICE SHALL USE EXCLUSIVELY
DURING THAT LEGISLATIVE SESSION REVENUE ESTIMATES PROVIDED TO IT BY THE
OFFICE OF THE STATE COMPTROLLER. DURING THAT SESSION OF THE LEGISLATURE
SUCH REVENUE ESTIMATES SHALL BE TRANSMITTED BY THE INDEPENDENT BUDGET
OFFICE TO ANY COMMITTEE OF THE ASSEMBLY OR THE SENATE REQUESTING SUCH
ESTIMATES, AND SHALL BE USED BY SUCH COMMITTEES IN DETERMINING SUCH
ESTIMATES. THE FISCAL COMMITTEES OF THE SENATE AND ASSEMBLY SHALL DETER-
MINE ALL ESTIMATES WITH RESPECT TO THE EXECUTION OF THE PURPOSES OF THIS
ARTICLE. THIS SUBDIVISION SHALL NOT REQUIRE NOR PRECLUDE THE INDEPEND-
ENT BUDGET OFFICE FROM USING ESTIMATES OF THE STATE COMPTROLLER IN THE
CALCULATION OF THE REVENUE FORECAST AS STIPULATED IN SUBDIVISION FIVE OF
SECTION SEVENTY-FIVE OF THIS ARTICLE.
S 2. This act shall take effect immediately.