Occ. Code 2001500

PRINCIPAL BUDGET EXAMINER, M-4

New York State Department of Civil Service

Classification Standard

Employees in this class supervise the review, analysis, and development of recommendations on assigned State agencies’ plans for the funding and operation of their programs or capital improvement programs; the monitoring of expenditures of approved resources for effective and efficient utilization; the conduct of in-depth studies of related issues, programs and operations; and the analysis and development of recommendations on legislation in functional areas. They may also personally perform these activities in especially sensitive or critical areas.

Positions in this class are found only in the Executive Department, Division of the Budget.

Under the supervision of a Budget Examiner at the Assistant Chief level or above, positions in the class of Principal Budget Examiner serve as section heads in budget examination units, or as sub-section heads in the largest units, and typically supervise two to four subordinates in examining the budgets of a group of State agencies having significant financial and/or program implications in relation to the total Executive Budget or the financial operations of several significant authorities or other similar agencies. Budgets are assigned on a functional basis, and Examiners at this level are assigned agencies or groups of agencies having complex program operations (complexity is determined by factors including the number of different funds, number of employees, range of occupations, geographic dispersal of facilities and employees, and variety of services provided). Positions at this level work closely with unit heads in the development of new budget policies and the review of State agency policies and programs, and assist in the planning of formal budget hearings and the negotiation of new or expanded agency programs.

Positions classified as Associate Budget Examiner, Grade 27 are responsible for the examination of budgets of agencies or groups of agencies having complex program operations, and may supervise a small number of lower level Examiners.

Positions classified as Assistant Chief Budget Examiner, Grade 33, serve as heads of a major section within a unit or may serve as the head of a smaller examining unit. They typically supervise between four and twelve Examiners, and make independent budgetary decisions, within general policy guidelines.

Positions which perform budget-related functions within a specialized field are classified under parenthetics such as Budget Examiner (Public Finance).

Positions involved in preparation of State agency budget estimates and justifications are classified in the Budgeting Analyst Series.

Directs staff in the analysis of annual, supplemental and deficiency budget requests and the formulation of recommendations on appropriations.

• Reviews summaries of incoming budget requests to determine the need for further analysis.
• Establishes a timetable and determines priority order of subordinate staff activity.
• Meets with subordinate staff to explain assignments, and provides continued guidance during the analysis process.
• Formulates methods to be used in evaluating particularly complex or novel requests.
• Conducts informal budget hearings and meetings with high-level agency officials, to clarify and obtain further information on requests.
• Directs the preparation of questions for use at formal budget hearings, and attends hearings to advise the Unit Head and Director of the Budget on technical matters.
• Reviews subordinates’ budget recommendations to ensure correct interpretation of program and fiscal impact, consistency with established guidelines, soundness, and defensibility.
• Meets with Unit Head, Deputy Director, and Director of the Budget to assist in determining final Division recommendations.
• Approves, modifies, or disapproves staff drafts of Executive Budget narrative "stories," to ensure accuracy and sufficiency.
• Reviews and prepares drafts of appropriation bills and other budget legislation.
• Briefs agency officials on the content of final budget recommendations.

Directs the monitoring of assigned agencies’ program and fiscal operations to assure adherence to established plans and guidelines.

• Evaluates subordinate examiners’ summaries of reports, and related recommendations.
• Reviews staff recommendations on problem areas to be considered for special studies.
• Reviews and approves or disapproves staff recommendations on selected agency fiscal, program, and personnel transactions.
• Evaluates requests for major changes in agencies’ planned operations, to determine impact.
• Meets with supervisors and agency officials to negotiate details of new or expanded programs.
• Assigns, conducts, and supervises field study visits to observe agency operations.
• Analyzes proposals for and suggests organizational changes which might improve agency program or fiscal operations.
• Determines the impact of budgetary actions and decisions occurring during the execution phase of the budget process on future budget requests.

Directs, performs, or participates in in-depth studies of issues, programs, or operations of assigned agencies or in assigned functional areas, in order to recommend policy or procedural changes.

• Identifies problem areas hindering achievement of agency objectives, in order to recommend areas for study.
• Explains approved projects to subordinate staff, and meets with superiors and other interested parties in order to ensure project progress.
• Monitors study work process to ensure progress and quality.
• Meets with supervisors, project staff, and other affected parties to discuss the impact of study findings on assigned budgets, and develop appropriate implementation guidelines.

Coordinates the development of proposed Division of the Budget recommendations on legislation, for review by higher level Budget officials.

• Reviews assigned materials to assess sensitivity and complexity.
• Assigns staff to prepare draft memoranda, and provides guidance on possible approaches.
• Reviews, edits, and approves or disapproves subordinates’ draft memoranda.

Directs the development of or prepares draft responses to inquiries received by the Director of the Budget, or assigned to the Budget Division by the Executive Chamber.

Supervises the staff of a section or sub-section in a budget examining unit.

• Interviews or assists unit head in interviewing prospective unit employees.
• Evaluates work performance of subordinate probationary employees in order to recommend retention, dismissal, or reassignment.
• Appraises subordinate employees’ work performance in order to formulate recommendations on assignment, promotion, or training.
• Evaluates governmental or other publications to determine their value as source material for use by subordinate staff.
• Evaluates training opportunities in order to formulate recommendations for staff participation in programs.
• Evaluates resources necessary to ensure adequate section work performance, in order to formulate recommendations for proposed unit budget.

The incumbent has continuous communication, mostly oral, with top-level agency administrative staff, to explain Division of the Budget policies and recommendations and to foster an atmosphere of cooperation between the agency and the Division. The Principal conducts informal hearings on agency budget requests, asking questions of top-level agency personnel in order to clarify written requests. The incumbent periodically meets with agency officials and Department of Civil Service representatives on program changes and proposed reorganizations. In conducting periodic field studies of assigned agency programs, the Principal meets various on-site program supervisors and occasionally members of client populations served.

Within the Division of the Budget, the incumbent has daily face-to-face contact with supervisory and subordinate staff, and meets with top level Budget officials to assist in formulating final Division recommendations. The Principal frequently prepares and/or reviews written communications and reports. The incumbent also has periodic, mostly oral communication with other budget units and may attend meetings with legislators, to help clarify the Governor’s budget proposals.

Positions in this class are supervised by a Budget Examiner at the Chief or Assistant Chief level, who makes assignments, gives general direction and policy guidelines, is available for advice and assistance in problem areas, and reviews work performance for compliance with policy and established guidelines.

Incumbents of positions in this class usually supervise a small group of lower level Examiners, making assignments, providing guidance on work plans and methods, and reviewing recommendations and written reports. They assess subordinates’ work performance on the basis of personal observation at conferences and meetings, the soundness and clarity of written reports and recommendations, and comments from the assigned agency regarding rapport and effectiveness.

• Good knowledge of the organization of State Government and the budgetary effects of the interrelationships of specific agencies.
• Good knowledge of the Budget Examiner’s Manual, Budget Policy and Reporting Manual, Budget Request Manual and current Budget policy.
• Good knowledge of pertinent portions of the Civil Service Law, State Finance Law and the Comptroller’s Rules and Regulations.
• Good knowledge of State and federal budget processes.
• Good knowledge of the implications of State and federal laws and guidelines pertaining to assigned agencies and/or functional area.
• Good knowledge of assigned agencies’ programs, operations, goals, objectives and general background.
• Good knowledge of effective organization, management and budgetary principles and practices.
• Good knowledge of effective techniques and methods of conducting interviews and studies.
• Good knowledge of approved organizational structures and staffing patterns.
• Good knowledge of current reporting systems for program expenditures.
• Working knowledge of the principles and practices of supervision.
• Ability to determine priorities and schedule work.
• Ability to apply organizational and budgetary principles in the evaluation of agency proposals.
• Ability to plan the gathering of data and evaluate subordinates’ findings and recommendations.
• Ability to recognize the implications of present and projected resources in evaluating existing and proposed programs and legislation.
• Ability to supervise a staff of Examiners.

One year in a budgeting, examining or research position allocated at Grade 27 or above.

Reviewed: 9/02

NOTE: Classification Standards illustrate the nature, extent and scope of duties and responsibilities of the classes they describe. Standards cannot and do not include all of the work that might be appropriately performed by a class. The minimum qualifications above are those which were required to appointment at the time the Classification Standard was written. Please contact the Division of Staffing Services for current information on minimum qualification requirements for appointment or examination.