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ANDREW M.

CUOMO
Governor
ROBERT F. MUJICA JR
Director of the Budget

BUDGET BULLETIN D-1135 April 12, 2017

TO: ALL DEPARTMENT AND AGENCY HEADS

FROM: Robert F. Mujica Jr.

SUBJECT: Management/Confidential Salary Actions: General Salary Increases; Parity


Increase; Performance Advances; and Longevity Payments

Pursuant to Part B of Chapter 8 of the Laws of 2017 (M/C Pay Bill) as well as Part H of Chapter 55 of
the Laws of 2015 (M/C Parity Bill), this bulletin provides guidelines for the payment of General Salary
Increases, a Parity Increase, Performance Advances and Longevity Payments to eligible
Management/Confidential (M/C) employees and other unrepresented employees in the Executive
Branch.

Please note that agency-recommended withholdings of these increases must be received by the
Division of the Budget no later than April 21, 2017.

2% General Salary Increases: Effective April 1, 2016 and April 1, 2017

Eligible M/C employees will receive a 2% General Salary Increase, retroactive to April 1, 2016, and a
2% General Salary Increase starting April 1, 2017, as follows:

Retroactive April 1, 2016 2% General Salary Increase

Employees who were on payroll as of March 3, 2017 (the date of enactment of Chapter 8 of
the Laws of 2017) are eligible for this retroactive payment to the later of (1) their date of hire or
(2) March 31, 2016 (Institutional Payroll) and April 7, 2016 (Administration Payroll);

Provided, however, that employees appointed via the BDA process to a position in the Exempt
or Pending Exempt Jurisdictional classes and whose basic annual salary is at or above
$100,000/year will not automatically receive this increase if they already received a salary
increase, other than a parity payment or prior general salary increase, during FY 2017. If the
employing agency would like to request a salary increase for such individuals, such request
should be made to the Center for Recruitment and Public Service, subject to final approval by
the Division of the Budget;

Individuals who left State service, or employees who are no longer in M/C positions as of
March 3, 2017, are not eligible for this payment;
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Employees who were on a leave of absence without pay, or not yet on payroll, on March 31,
2016 (Institutional Payroll) and April 7, 2016 (Administration Payroll) are eligible to receive
payment to reflect a salary increase at the time of their return to the payroll/date of hire in an
M/C position; and,

This payment is expected to be made on May 25, 2017 (Institutional Payroll) and May 31, 2017
(Administration Payroll).

April 1, 2017 2% General Salary Increase

Employees who were on the payroll as of March 30, 2017 (Institutional Payroll) and April 6,
2017 (Administration Payroll) are eligible for this payment;

Employees who were on a leave of absence without pay, or not yet on payroll, on March 30,
2017 (Institutional Payroll) and April 6, 2017 (Administration Payroll) are eligible to receive
payment to reflect a salary increase at the time of their return to the payroll/date of hire;

Employees appointed via the BDA process to a position in the Exempt or Pending Exempt
Jurisdictional classes and whose basic annual salary is at or above $100,000/year will not
automatically receive this increase if they already received a salary increase, other than a
parity payment or prior general salary increase, during FY 2018. If the employing agency
would like to request a salary increase for such individuals, such request should be made to
the Center for Recruitment and Public Service, subject to final approval by the Division of the
Budget; and,

This payment is expected to be made on June 8, 2017 (Institutional Payroll) and June 14, 2017
(Administration Payroll).

2% Parity Increase: Effective April 1, 2017

Eligible M/C employees will receive a 2% Parity Increase, effective April 1, 2017, as follows:

Employees who were on the payroll as of March 30, 2017 (Institutional Payroll) and April 6,
2017 (Administration Payroll) are eligible for this payment;
Employees who were on a leave of absence without pay, or not yet on payroll, on March 30,
2017 (Institutional Payroll) and April 6, 2017 (Administration Payroll) are eligible to receive
payment to reflect a salary increase at the time of their return to the payroll/date of hire;

Employees appointed via a Budget Directors Approval (BDA) to a position in the Exempt or
Pending Exempt Jurisdictional classes and whose basic annual salary is at or above
$100,000/year will not automatically receive this increase if they already received a salary
increase, other than a parity payment or prior general salary increase, during FY 2018. If the
employing agency would like to request a salary increase, such request should be made to the
Center for Recruitment and Public Service, subject to final approval by the Division of the
Budget; and,
This payment is expected to be made on June 8, 2017 (Institutional Payroll) and June 14, 2017
(Administration Payroll).
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Additionally, the parity legislation provides a situation where certain M/C employees are NOT eligible
to receive the increase and a situation where others may only receive a partial increase. The intent is
to prevent State employees who received the collectively negotiated General Salary Increases in their
union-represented positions from receiving them again as parity increases in their
Management/Confidential positions.

The two situations include:

1. Not Eligible for 2% Parity Increase. M/C officers or employees who were promoted or
appointed to M/C positions from positions represented by one of the States public employee
unions and whose salary, immediately prior to April 1, 2017, is at or above the job rate of their
M/C salary grade when the April 1, 2016 M/C Salary Schedule is increased by the April 1,
2017 2% parity increase are not eligible to receive the 2% parity increase; or,
2. Eligible for Partial Parity Increase. M/C officers or employees who were promoted or
appointed to M/C positions from positions represented by one of the States public employee
unions are prohibited from receiving any portion of the increase which causes such officers or
employees salary to exceed the job rate of the April 1, 2016 M/C salary schedule when
increased by the April 1, 2017 2% parity increase. Such employees may only receive a partial
increase capped at the job rate of their salary grade or equated grade when the April 1, 2016
M/C Salary Schedule is increased by the April 1, 2017 2% parity increase.

Nevertheless, even in these two situations, it may be appropriate to provide the 2% parity
increase if the employees salary does not properly reflect the effect of previous general salary
or parity increases. For these cases, or other situations that may transpire, agencies will be
contacted to review the salary histories of certain employees and will work with the Division of
the Budget to provide these increases, if appropriate, retroactive to April 1, 2017.

Notification Requirement: The statute requires that agencies notify such officers/employees
deemed not eligible for the parity increase or deemed only eligible for a partial increase in
writing two weeks prior to the scheduled payment dates. As such, written notification must be
provided no later than May 25, 2017 for employees on the Institutional Payroll, and no later
than May 31, 2017 for employees on the Administration Payroll. To facilitate this
notification, please contact your budget examiner for further guidance. For impacted
agencies, the Office of the State Comptroller is preparing a list of employees who are ineligible
to receive -- in whole or in part -- the 2% Parity Increase. Your budget examiner will also be
provided such list.

FY 2018 Performance Advances and Longevity Payments

Eligible M/C employees may receive a Performance Advance if they were on the payroll as of March
30, 2017 (Institutional Payroll) and April 6, 2017 (Administration Payroll). Such increases will be paid
to eligible graded and grade-equated employees on June 8, 2017 (Institutional Payroll) and June 14,
2017 (Administration Payroll). Eligible M/C employees may receive a Longevity Payment if they were
on the payroll as of March 31, 2017 - such payments will be made on June 8, 2017 (Institutional
Payroll) and June 14, 2017 (Administration Payroll). Eligible employees who are on a leave of
absence without pay on these dates will receive payment at the time of their return to the payroll.
Otherwise, actual payment dates vary depending on the characteristics of the positions (e.g.,
statutory salary-graded). Please see Attachment A for key dates associated with these payments.
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Longevity Payments. DOB approval is not required for Longevity Payments to eligible M/C
employees (i.e., those employees at or below Grade 17). Such payments shall be made in the
amount of $1,250 to eligible employees with at least five, but less than ten, years of continuous
service at or above the job rate and in the amount of $2,500 to eligible employees with ten or more
years of continuous service at the job rate. Such payments will be in addition to and will not be
considered part of basic annual salary and shall be made by separate check.

Performance Advances Statutory Salary-Graded and Grade-Equated Positions. Advances


will be paid automatically, without additional DOB review, to all eligible M/C employees, in positions
with statutorily established Salary Ranges or in Non-Statutory (NS) positions with Salary Ranges that
were Equated-to-Grade on April 1, 2017. Employees must have served in an advance-eligible
position for 13 payroll periods prior to April 1, 2017 and have a salary within the salary range for their
position.

M/C NS Performance Advance Plans

New Automated Process for Agencies in NYSTEP

With the automation of Budget Directors Approval (BDA) forms, the majority of personnel information
is now available within the NYSTEP system. The Division of the Budget (DOB) has collaborated with
the Department of Civil Service and the Office of Information Technology Services to use this
information in an application within NYSTEP that mimics the appearance and purpose of the paper
M/C NS Performance Advance Plans. This process was piloted to eleven agencies last year with
great success.

Instead of the customary process (described below for non-NYSTEP agencies) of creating a plan in
Excel, then submitting it to DOB for approval, your agencys plan will be initiated and submitted to
DOB through NYSTEP. Agencies can go into NYSTEP on June 16, 2017 to begin generating plans.
You will need to verify that the employees listed on the electronic plan served the requisite 13 payroll
periods in an eligible position, and indicate if anyone is entitled to an advance, but the bulk of the
position data will be pre-entered. The system will accommodate specific situations, such as
withholdings approved by the Budget Director, which would impact employee salary information on
the automated plan. We will ask that you review this information and then route it to your Budget
Examiner for his/her review. If you notice any errors in the information, please contact your Budget
Examiner for assistance. Agencies should submit their completed plans to their Budget Examiner by
June 30, 2017.

The goal of this automated process is to reduce workload for all impacted agencies and reduce the
likelihood of human error in providing position and salary information for this group of M/C employees.

Training on this new process will be available to agency staff on Friday, June 16 (SLMS code DOB
NYSTEP Training 061617 AM) and Monday, June 19 (SLMS code DOB NYSTEP Training 061917
AM) at 9am in Agency Building 1, 7th Floor Training Room. There will also be a WebEx on Monday,
June 19 (SLMS code DOB NYSTEP Training 061917 Web) at 2pm for staff outside the Capital
Region. Please register using the Statewide Learning Management System (SLMS) at
https://nyslearn.ny.gov/ using the SLMS Class Code provided above for the session you would like to
attend. If possible, please limit attendance for the Training Room sessions to three staff per agency.
Hard-copy training materials will be available in mid-May in the NYSTEP/TPM User's Manual located
on the Civil Service website, https://www.cs.ny.gov/businesssuite/Publications-and-Forms/Manuals/.
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If you have any questions before the training sessions, please contact the Labor Relations Section
through Kim Simmons at: 518-474-0429.

Plans for Non-NYSTEP Agencies

For agencies not in NYSTEP, the customary plan process remains available. To facilitate the
payment of Performance Advances to M/C employees who are not in statutory salary-graded or
grade-equated positions (AND NOT IN NYSTEP), agencies must submit M/C NS Performance
Advance Plans for DOB approval using Attachment B (in Excel). Such plans must be e-mailed to
your Budget Examiner by June 30, 2017 (hard copy submissions are not required).

The plans must be completed accurately and in their entirety. Copies of DOB-approved plans are
required by the Office of the State Comptroller (OSC) to provide the necessary authorization for
payment. OSC will issue a Payroll Bulletin detailing further procedures for processing such
payments. After being notified that the plan has been approved by DOB, agencies must process all
necessary transactions associated with the approved plans. In addition, agencies will not be able to
initiate Compensation Adjustment GSI and NSA transactions in NYSTEP until their plan has been
approved by DOB.

Agencies should not submit plans directly to OSC. Your Budget Examiner will contact you
when the plan has been approved and transmitted to OSC.

Plan Requirements:

Include all filled NS positions that are not equated to a grade (those with Discretionary Salary
Ranges, Flat Salaries or Not-to Exceed Amounts) in all Jurisdictional Classes - note, there is
no longer the requirement to list vacant positions on these plans.
For NS positions with Discretionary Salary Ranges, provide the range that was in effect on
April 1, 2017 (inclusive of the retroactive April 1, 2016 2% General Salary Increase, April 1,
2017 2% General Salary Increase and April 1, 2017 2% Parity Increase).
Salary Ranges for NS positions subject to DOB approval through the Budget Directors
approval process. NS Salary Ranges are either Equated to a Statutory Salary Grade (e.g.,
Equated to Grade 18 $55,082 to $68,351) or Not Equated (e.g., Discretionary Salary Range
of $90,000 to $100,000). Your plan should not include positions with Equated Grades that are
recognized in PayServ.
NS employees in Flat-salaried positions (no salary range exists), or in positions with Not-to-
Exceed Amounts (salary ceilings with no salary ranges) are not eligible to receive a
Performance Advance.
Also, provide the position's salary as of April 1, 2017, inclusive of all salary increases. Note, in
the proper column, whether the employee is advance eligible (i.e., whether the employee
worked in an advance eligible position for 13 Payroll Periods prior to April 1, 2017).
Other than application of the authorized salary increases, these plans may not be used to
make substantive changes to Salary Ranges or Salaries (i.e., Budget Director's Approval-type
actions).
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Agency Withholding Recommendations

Recommendations to withhold any/all of the aforementioned salary increases (General Salary


Increases, Parity Increase, Performance Advance, Longevity) from individual employees must be
based on a documented record of unsatisfactory job performance or other factors that an
agency head deems relevant during the period April 1, 2015 to March 31, 2017. All
recommendations are subject to the approval of the Director of the Budget.

Agencies must e-mail all withholdings to their Budget Examiner using Attachment C (in Excel
format) by April 21, 2017. Signed (by appropriate agency manager) cover letters, with appropriate
justification, must be attached to the e-mail in PDF format.

Questions

Please direct all questions to your Budget Examiner.


Budget Bulletin D-1135: Attachment A

Key Dates for Management/Confidential Salary Actions:

April 1, 2016 2% General Salary Increase; April 1, 2017 2% Parity Increase; April 1, 2017 2% General Salary
Increase; FY 2017 Performance Advances and Longevities

Action Date
Agencies Submit All Withholding April 21, 2017
Recommendations to DOB
Notification of Employees Ineligible for May 25, 2017 (Institution Payroll)
Parity/Partial Parity May 31, 2017 (Administration Payroll)
Payment of Retroactive April 1, 2016 2% General May 25, 2017 (Institution Payroll)
Salary Increase May 31, 2017 (Administration Payroll)
Payment of April 1, 2017 2% General Salary June 8, 2017 (Institution Payroll)
Increase June 14, 2017 (Administration Payroll)
Payment of April 1, 2017 2% Parity Increase June 8, 2017 (Institution Payroll)
June 14, 2017 (Administration Payroll)
Payment of April 1, 2017 Longevities & June 8, 2017 (Institution Payroll)
Performance Advances for Statutory Positions and June 14, 2017 (Administration Payroll)
Non-Statutory Positions with PayServ
Recognizable Grade Equations
Training for Agencies on NYSTEP NS June 16 and June 19, 9am - Agency Building 1, 7th Floor Training
Performance Advance Plans Room. WebEx June 19, 2pm - register in SLMS: Class Codes
DOB NYSTEP Training 061617 AM; DOB NYSTEP Training
061917 AM; or DOB NYSTEP Training 061917 Web
Agencies may start generating NS Performance June 16, 2017
Advance Plans in NYSTEP
Agencies Submit NYSTEP (or paper, if agency June 30, 2017
doesn't use NYSTEP) M/C NS Performance
Advance Plans to DOB by:
Payment of M/C NS Performance Advance Plans Following approval of each respective plan
Budget Bulletin D-1135 ATTACHMENT B

FY 2018 M/C NS PERFORMANCE ADVANCE PLAN (FOR AGENCIES NOT IN NYSTEP)


DUE TO DOB by 6/30/2017
AGENCY NAME:

AGENCY CODE:

DATE SUBMITTED:

APRIL 1, 2017 SALARY RANGE


SALARY IN EFFECT IN EFFECT -- 4/1/2017
(Include 2% (Include All Salary Increases)
Retroactive to
4/1/16; 2% Parity PROPOSED
MARCH 31, 2017 Increase effective ADVANCE PROPOSED
PAYROLL SALARY IN EFFECT 4/1/17; 2% General SERVED AT LEAST ADVANCE (1/6th of NEW SALARY
ITEM CYCLE NYS EMPLOYEE NAME JURISDICTIONAL (Prior to Any Salary Salary Increase HIRING JOB SALARY 13 PAY PERIODS ELIGIBLE SALARY WITH
NUMBER (Admin./Instit.) EMPLID (LAST, FIRST) POSITION TITLE CLASS Increase) effective 4/1/17) RATE RATE RANGE IN FY 2017 (Y/N) (Y/N) RANGE) ADVANCE COMMENTS ON PERFORMANCE ADVANCE ELIGIBILITY
00001 Admin. N0XXXXXXX Employee A Special Assistant Exempt Class $103,800 $110,153 $110,153 $142,287 $32,134 Y Y $5,356 $115,509 Employee's current salary is within the salary range
established for the position, and the increases resulting from
the advances would not result in the employee having a salary
greater than the job rate established for the position.

00002 Admin. N0XXXXXXX Employee B Project Coordinator Competitive Class $51,500 $54,652 $54,652 $54,652 ($0) Y N 0 $54,652 The employee's position has a flat salary (no salary range).
Positions without salary ranges are not eligible to receive
performance advances.

00003 Admin. N0XXXXXXX Employee C Secretary Exempt Class $56,650 $60,117 $58,375 $72,918 $14,543 Y Y, but not at the $10,000 $70,117 The requested advance of $10,000 would exceed the standard
requested amount (ERROR) (ERROR) advance amount of 1/6th of the employee's salary range.
Discretionary salary increases may not be effectuated via
this plan; such salary increases may only be approved via
BDA.

00004 Admin. N0XXXXXXX Employee D Deputy Director Exempt Class $108,150 $114,770 $106,970 $135,835 $28,865 Y N; Performance 0 $114,770 A withholding of the advance has been approved by the
Advance has Budget Director because the employee received an
(1) unsatisfactory performance rating. Therefore, no advance is
been Withheld
proposed.

00005 Admin. N0XXXXXXX Employee E Special Assistant Exempt Class $72,549 $76,990 $80,000 NTE Y N; a Not-to- 0 $76,990 The employee's position is "Not-to-Exceed" (NTE: no salary
Exceed does not range). Positions without salary ranges are not eligible to
constitute a receive performance advances.
salary range

This plan must include filled (as of March 30 for employees on the Institution payroll cycle and as of April 6 for employees on the Administration payroll
cycle) M/C NS Non-Equated Salary Range positions with flat salaries, salary ranges or NTE, regardless of performance advance eligibility. Positions that are
Equated-to-Grade on March 30 or April 6 or Vacant do not need to appear on this list.

NOTES:

(1) DOB approved withholdings of performance advances should be demonstrated in the mathematical presentation and explained in the Comments column. ERROR: These entries must be corrected prior to submission of the plan to DOB.

BY
Chief Budget Examiner

DATE
Budget Bulletin D-1135 ATTACHMENT C

Recommended Withholding of the


April 1, 2016 2% General Salary Increase, April 1, 2017 2% Parity Increase, April 1, 2017 2% General Salary Increase and/or Performance Advances, Longevities
DUE TO DOB by April 21, 2017

AGENCY NAME:

AGENCY CODE:

DATE SUBMITTED:

SALARY RANGE
IN EFFECT 4/1/2017
(Include All Salary
Increases, including: April 1, 2016 April 1, 2017
4/1/16 2% GSI; 4/1/17 2% 2% GENERAL SALARY April 1, 2017 2% GENERAL SALARY FY 2018 FY 2018
Parity; 4/1/17 2% GSI) INCREASE 2% PARITY INCREASE INCREASE PERFORMANCE ADVANCE LONGEVITY

Withhold Withhold
4/1/2016 Withhold 4/1/2017 Withhold
General 4/1/2017 General 4/1/2017 Withhold
POSITION TYPE SALARY PRIOR Salary Amount Parity Amount Salary Amount Performance Amount 4/1/2017 Amount TOTAL
ITEM PAYROLL CYCLE NYS EMPLOYEE POSITION JURISDICTIONAL (Graded, TO ANY HIRING JOB Increase to be Increase to be Increase to be Advance to be Longevity to be AMOUNT
NUMBER (Admin./Instit.) EMPLID NAME TITLE CLASS NS - Type of Salary Range) INCREASE RATE RATE (Yes/No) Withheld (Yes/No) Withheld (Yes/No) Withheld (Yes/No) Withheld (Yes/No) Withheld WITHHELD Resulting Salary COMMENTS

00001 Admin. N0XXXXXXX Example Secretary 1 Competitive Class Grade 11 $46,761 $39,396 $49,623 No $0 No $0 No $0 Not Eligible $0 Y $1,250 $1,250 $49,623 Withhold Full Longevity; Unsatisfactory Performance Rating

00002 Admin. N0XXXXXXX Example Assistant Director Competitive Class M-5 $109,487 $116,189 $146,795 No $0 No $0 No $0 Yes(2) $3,000 Not Eligible $0 $3,000 $118,289 Partial Withhold of Performance Advance; Unsatisfactory
Performance Rating.2

00003 Admin. N0XXXXXXX Example Assistant Counsel Exempt Class NS, Flat Salary $90,000 $90,000 $90,000 Yes $1,800 Yes $1,800 Yes $1,800 Not Eligible $0 Not Eligible $0 $5,400 $90,000 Full Withhold of All Potential Increases; Unsatisfactory Performance
Rating

00004 Admin. N0XXXXXXX Example Special Assistant Exempt Class NS, NTE $100,000 NTE NTE No $0 Yes $2,040 No $0 Not Eligible $0 Not Eligible $0 $2,040 $104,040 Withhold of Full 2% Parity Increase; Not Warranted or Appropriate

NOTES
1. This form should include all M/C employees (graded, equated to grade, non-equated, flat salaried positions) for whom withholds are recommended.
2. Partial withholds are permitted (e.g., withhold only fraction of performance advance).

Robert F. Mujica Jr.


Budget Director