Relates to contingency planning by state agencies for extended federal government shutdowns; requires the secretary to oversee development of shutdown contingency plans.
NEW YORK STATE ASSEMBLY MEMORANDUM IN SUPPORT OF LEGISLATION submitted in accordance with Assembly Rule III, Sec 1(f)
BILL NUMBER: A7067A
SPONSOR: Buchwald (MS) TITLE OF BILL: An act to amend the executive law, in relation to
contingency planning by state agencies for extended federal government
shutdowns
PURPOSE OR GENERAL IDEA OF BILL:
This bill would establish a systematic, flexible and effective planning
process for actions state agencies can take to mitigate the adverse
impacts on New Yorkers of extended Federal government shutdowns.
SUMMARY OF PROVISIONS:
Section 1 sets forth legislative findings regarding the increasing
frequency and duration of shutdowns of operations by Federal agencies,
the financial hardships and adverse impacts of such events, the steps
taken and not taken by New York State to mitigate these hardships and
impacts, the lack of a formal planning process for evaluation and coor-
dination of potential mitigation measures, and the benefits of a system-
atic, flexible and effective shutdown contingency planning effort.
Section 2 adds a new § 94-c to the Executive Law entitled "State agency
contingency planning for extended Federal shutdowns" with the following
provisions:
(1) Definitions of terms. Significant definitions include: "Extended
Federal shutdown" (one that continues for 2 weeks or more); "Federal
shutdown contingency plan" (a document setting forth the measures that a
state agency may take to mitigate the adverse impacts of an extended
Federal shutdown on employees and contractors of Federal agencies and
businesses and members of the public in this state), and "Agency" (any
state board, bureau, committee, commission, council, department, public
authority, public benefit corporation, division, office or any other
governmental entity performing a governmental or proprietary function
for the state of New York, except the judiciary, the state legislature,
any unit of local government or district attorneys).
(2) Federal shutdown contingency planning process.
The Secretary of State shall oversee the development of Federal shutdown
contingency plans by state agencies and shall solicit information from
each agency that operates programs that may be impacted by a Federal
shutdown or that may undertake efforts to mitigate the impact of an
extended shutdown on employees and contractors of Federal agencies and
businesses or members of the public in this state.
An agency shall respond to such solicitation with a draft Federal shut-
down contingency plan, including information on programs or activities
of the agency that may be impacted by a loss of ongoing Federal funding
or by the cessation or curtailment of Federal activities (other than
Federally excepted or exempted activities) and identifying any that
could be impacted to the extent that the health, safety or economic
well-being of the people of this state or the natural resources of the
state could be substantially impaired and any Federally-funded positions
at the agency. The draft shall also identify the actions the agency
could take to mitigate the impacts of an extended Federal shutdown, any
actions needed to resume orderly operations post-shutdown and other
information deemed appropriate. The Secretary may determine an agency's
submission is complete or may solicit additional information, and upon
receipt of a complete submission shall approve an agency's Federal shut-
down contingency plan or identify any deficiencies that must be
addressed. The secretary shall issue guidance to agencies on the process
and shall consult with the Director of the Budget on any actions with
fiscal or budgetary implications.
Each agency shall utilize its Federal shutdown contingency plan to
enable a rapid and effective response to any extended Federal shutdown,
but shall not be required to undertake all actions or any specific
action that has been identified in its plan. Plans shall be updated as
frequently as necessary and copies of current Federal shutdown contin-
gency plans shall be available on agency websites and linked to the
Secretary's website.
Section 3 sets the effective date.
JUSTIFICATION:
Lapses in Federal appropriations and discontinuance of operations were
once almost unheard of, but are now occurring with greater frequency and
duration. In the recent Federal shutdown of 2018-2019, tens of thousands
of Federal workers and Federal contractors were unpaid. There were also
potentially dire impacts on the public that could affect everything from
tax refunds to air traffic safety to food stamps.
This time around, New York State undertook various actions to mitigate
impacts, such as assistance with utility bills for affected families,
directing tuition deferrals at SUNY and CUNY colleges, and expanding
help to those seeking unemployment insurance or public assistance bene-
fits. However, actions taken or planned by other states suggest that New
York may have overlooked areas of needed assistance - including partner-
ing with banks for no-cost loans, providing for breaks on credit card
and auto payments and committing to paying unemployment insurance for
Federal excepted employees who must report to work without being paid,
even if it would mean New York could lose the Federal share of UI admin-
istrative costs.
In other states, such as Massachusetts, a formal Federal shutdown
contingency planning process has already been implemented. This bill
would improve New York's efforts by establishing a systematic, flexible
and effective planning process for actions state agencies can take to
mitigate the adverse impacts on New Yorkers of extended Federal govern-
ment shutdowns. It would require each potentially affected state agency,
under the direction of the Secretary of State, to use existing resources
to develop a "Federal shutdown contingency plan," a document setting
forth the measures it may take to mitigate adverse impacts of an
extended Federal shutdown (one that continues for 2 weeks or more). Once
adopted, these plans can be used to enable a rapid and effective
response to any extended Federal shutdown. The plans, updated as neces-
sary, will be posted on websites of agencies and the Secretary of State.
FISCAL IMPLICATIONS:
None. A cost-effective planning process will ensure that in the future
New York State is ready to take actions to minimize any adverse fiscal
impact of any extended Federal shutdown.
IMPACT ON REGULATION OF BUSINESSES AND INDIVIDUALS:
None.
IMPACT ON FINES, TERMS OF IMPRISONMENT AND OTHER PENAL
SANCTIONS:
None.
LEGISLATIVE HISTORY:
New bill.
EFFECTIVE DATE:
This act shall take effect immediately.
EXPLANATION OF THE AMENDMENT:
The bill is amended to make clear that federal shutdown contingency
plans should include planning for the consequences of a failure to
increase the Federal debt limit.
STATE OF NEW YORK
________________________________________________________________________
7067--A
2019-2020 Regular Sessions
IN ASSEMBLY
April 4, 2019
___________
Introduced by M. of A. BUCHWALD, ROZIC, CRUZ, RIVERA, GOTTFRIED, FALL,
SAYEGH, COOK, SCHMITT, HYNDMAN, STIRPE, DICKENS, MOSLEY, JAFFEE,
ASHBY, ARROYO, SANTABARBARA, BLAKE, GALEF, GRIFFIN, CRESPO, STECK,
RAMOS -- Multi-Sponsored by -- M. of A. EPSTEIN -- read once and
referred to the Committee on Governmental Operations -- reported and
referred to the Committee on Ways and Means -- committee discharged,
bill amended, ordered reprinted as amended and recommitted to said
committee
AN ACT to amend the executive law, in relation to contingency planning
by state agencies for extended federal government shutdowns
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. Legislative intent. The legislature finds that:
2 a. Shutdowns of operations by federal agencies, once unthinkable
3 events, are now occurring with increasing frequency and duration;
4 b. Such shutdowns may cause financial hardships in this state to
5 federal employees, whether furloughed or required to report to work
6 without pay, and to businesses and their employees involved in the
7 provision of goods and services to federal agencies, and may also
8 adversely impact New York's economy, environment, and the people and
9 institutions in this state who rely on programs and services provided by
10 the federal government;
11 c. In recent federal shutdowns New York state has properly taken
12 several steps to mitigate adverse impacts, but has not undertaken other
13 remedial actions that have been determined to be essential in similarly
14 impacted states;
15 d. The use of short-term continuing resolutions has made the federal
16 budget process unpredictable, yet unlike other states New York state
17 currently has no formal planning process for evaluation and coordination
18 of potential mitigation measures; and
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD09834-04-9
A. 7067--A 2
1 e. Federal employees and contractors and the general public in this
2 state would benefit from a systematic effort to develop informed contin-
3 gency plans to ensure state agencies are prepared to initiate proactive
4 measures to mitigate the impacts of an extended federal shutdown.
5 Therefore the legislature intends by this act to provide for a flexi-
6 ble and effective contingency planning effort to provide guidance and
7 information to each appropriate state agency on the activities it should
8 be prepared to undertake in the event of any future extended federal
9 shutdown.
10 § 2. The executive law is amended by adding a new section 94-c to read
11 as follows:
12 § 94-c. State agency contingency planning for extended federal shut-
13 downs. 1. Definitions. As used in this section, the following terms
14 shall have the following meanings:
15 a. "Federal shutdown" means a lapse in funding for one or more oper-
16 ations of the federal government due to the failure of the executive and
17 congress to appropriate funding or to increase the federal debt limit;
18 b. "Extended federal shutdown" means a federal shutdown that continues
19 for a period of two weeks or more;
20 c. "Federal shutdown contingency plan" means a document setting forth
21 the measures that a state agency may take to mitigate the adverse
22 impacts of an extended federal shutdown on employees and contractors of
23 federal agencies and businesses or members of the public in this state;
24 d. "Secretary" means the secretary of state;
25 e. "Agency" means any state board, bureau, committee, commission,
26 council, department, public authority, public benefit corporation, divi-
27 sion, office or any other governmental entity performing a governmental
28 or proprietary function for the state of New York, except the judiciary
29 or the state legislature or any unit of local government and shall not
30 include offices of district attorneys.
31 2. Federal shutdown contingency planning process. a. The secretary of
32 state shall oversee the development of federal shutdown contingency
33 plans by state agencies. The secretary shall solicit information from
34 each state agency that operates programs that may be impacted by a
35 federal shutdown or that may undertake efforts to mitigate the impact of
36 an extended shutdown on employees and contractors of federal agencies
37 and businesses or members of the public in this state. Such information
38 shall be submitted by the agency in such form and manner as the secre-
39 tary shall prescribe.
40 b. Each state agency shall respond to such solicitation by providing
41 the secretary with a draft federal shutdown contingency plan, which
42 shall include information as appropriate on:
43 (i) any programs or activities of the agency that may be impacted by a
44 loss of ongoing federal funding;
45 (ii) any programs or activities of the agency that may be impacted by
46 the cessation or substantial curtailment of federal activities that are
47 not identified as excepted or exempted activities in the most recent
48 shutdown contingency plan filed by a federal agency with the office of
49 management and budget;
50 (iii) any programs identified in subparagraphs (i) or (ii) of this
51 paragraph that could be impacted to the extent that the health, safety
52 or economic well-being of the people of this state or the natural
53 resources of the state could be substantially impaired;
54 (iv) any positions at the agency that are federally funded and the
55 ability of the agency to pay such employees during the shutdown subject
56 to future reimbursement;
A. 7067--A 3
1 (v) any actions that could be taken by the agency to mitigate the
2 impacts of an extended federal shutdown, including any actions that
3 could be taken by the agency or by entities under the jurisdiction of
4 the agency that could mitigate any financial hardships on federal
5 employees or by businesses impacted by the shutdown;
6 (vi) any actions that will be necessary to resume orderly operations
7 upon cessation of the federal shutdown; and
8 (vii) any other information that the secretary or the agency deter-
9 mines is appropriate for inclusion in the plan.
10 c. After reviewing the information submitted by an agency, the secre-
11 tary:
12 (i) shall determine that the submission is complete or shall solicit
13 additional information from the agency to permit such a determination;
14 and
15 (ii) upon receipt of a complete submission shall approve an agency's
16 federal shutdown contingency plan, or shall identify any deficiencies
17 precluding such approval and direct the agency to submit a revised plan
18 that addresses such deficiencies.
19 d. The secretary shall issue guidance to agencies on the federal shut-
20 down contingency planning process.
21 3. Before taking any action that may have a fiscal or budgetary impli-
22 cation the secretary shall consult with the director of the budget.
23 4. Each agency shall utilize its federal shutdown contingency plan to
24 enable a rapid and effective response to any extended federal shutdown;
25 provided, however, that no agency shall be required to undertake all
26 actions or any specific action that has been identified in its plan.
27 5. Each agency shall review its federal shutdown contingency plan and
28 submit updates to the secretary for approval as frequently as necessary,
29 and upon request of the secretary shall conduct such a review and submit
30 an updated plan or advise the secretary that no revision is necessary.
31 Each agency shall maintain a copy of its current federal shutdown
32 contingency plan on its website, and the secretary shall maintain a
33 webpage on the department of state's website with information on the
34 federal shutdown contingency planning process and a link to each agen-
35 cy's current plan.
36 § 3. This act shall take effect immediately.
