SENATE BILL 83
50th legislature - STATE OF NEW MEXICO - first session, 2011
INTRODUCED BY
John M. Sapien and Luciano "Lucky" Varela
AN ACT
RELATING TO GOVERNMENT ACCOUNTABILITY; CREATING THE STATE INSPECTOR GENERAL AND THE OFFICE OF GOVERNMENT ACCOUNTABILITY; PROVIDING POWERS AND DUTIES; PROVIDING FOR PROGRAM EVALUATION BY THE LEGISLATIVE FINANCE COMMITTEE OF AGENCIES AND ENTITIES THAT RECEIVE STATE FUNDING; PROVIDING FOR THE RECEIPT AND PROTECTION OF CONFIDENTIAL MATERIAL BY THE LEGISLATIVE FINANCE COMMITTEE; TRANSFERRING DUTIES OF THE OFFICE OF EDUCATION ACCOUNTABILITY OF THE DEPARTMENT OF FINANCE AND ADMINISTRATION TO THE OFFICE OF GOVERNMENT ACCOUNTABILITY; ELIMINATING THE OFFICE OF EDUCATION ACCOUNTABILITY; TRANSFERRING THE DUTIES OF INSPECTORS GENERAL, INTERNAL AUDIT AND ACCOUNTABILITY FUNCTIONS FROM CERTAIN AGENCIES TO THE OFFICE OF GOVERNMENT ACCOUNTABILITY; PROVIDING FOR TRANSFERS OF FUNCTIONS, PERSONNEL, APPROPRIATIONS, MONEY, PROPERTY, CONTRACTUAL OBLIGATIONS AND REFERENCES; AMENDING, REPEALING AND ENACTING SECTIONS OF THE NMSA 1978.
BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF NEW MEXICO: SECTION 1. [NEW MATERIAL] SHORT TITLE.--Sections 1 through 4 of this act may be cited as the "State Inspector General Act".
SECTION 2. [NEW MATERIAL] STATE INSPECTOR GENERAL--OFFICE OF GOVERNMENT ACCOUNTABILITY--CREATED--PERSONNEL.--
A. The "office of government accountability" is created as an adjunct agency as provided in the Executive Reorganization Act. The office shall be headed by the "state inspector general".
B. The state inspector general shall be appointed by the governor with the consent of the senate, without regard to political affiliation and solely on the basis of integrity and demonstrated ability in accounting, auditing, financial analysis, law, management analysis, public administration or investigations. The state inspector general shall serve for six years and may be reappointed for succeeding six-year terms.
C. The state inspector general may be removed by the governor for incompetency, malfeasance or willful neglect of duty. If the governor seeks to remove the state inspector general from office, the governor shall communicate in writing the reasons for removal to the legislature not later than thirty days before the removal. The governor shall not remove the state inspector general unless the removal is approved by a two-thirds vote of the members of the senate.
D. Within available appropriations, the state inspector general may employ such professional and clerical assistants as deemed necessary.
SECTION 3. [NEW MATERIAL] OFFICE OF GOVERNMENT ACCOUNTABILITY--DUTIES.--The office of government accountability shall:
A. have general oversight authority over the executive branch's implementation of the Accountability in Government Act and the State Inspector General Act, including the authority to conduct internal audits and investigations;
B. have the authority to audit and investigate executive branch agencies and programs, school districts, state-chartered charter schools, state educational institutions, including community colleges and branch campuses, and all other recipients of state funding, including government contractors, to ensure efficient and effective operations, the proper use of public funding and the detection and prevention of fraud, waste and abuse;
C. provide an independent evaluation of the Assessment and Accountability Act and the School Personnel Act by:
(1) monitoring the implementation of those acts;
(2) verifying the accuracy of reports of public school, school district and state performance; and
(3) conducting studies of other states' efforts at assessment, accountability and other educational reforms and reporting its findings to the legislative education study committee and legislative finance committee;
D. plan and coordinate the work of the office of government accountability and the work of inspectors general from individual agencies with the legislative finance committee and report the results to the governor, the legislative finance committee and the legislature;
E. act as inspector general to conduct internal audit and accountability functions of the public education department, the higher education department, the department of health, the human services department, the corrections department and the children, youth and families department;
F. review and approve work plans and reports relating to the inspector general, internal audits and accountability functions in the workforce solutions department, the taxation and revenue department and the department of transportation, including approving the hiring of inspectors general and staff;
G. coordinate activities with the medicaid fraud and elder abuse division of the attorney general's office;
H. be responsible for recommending changes or corrective action and for reporting on progress made to improve operations and to recover misspent public funding;
I. refer potential criminal matters to the attorney general or local district attorneys;
J. as requested by the governor or an interim legislative committee, gather state agency information and analyze and validate the information; provided, however, that this duty shall not affect the duty of a state agency to otherwise provide information in a timely manner upon request of an interim legislative committee;
K. perform other duties that may be assigned by the governor;
L. assist state agencies in resolving audit findings and reviewing performance measures;
M. contract for special audits and investigations as necessary;
N. have the authority to accept federal funds to perform duties consistent with the State Inspector General Act; and
O. promulgate rules necessary to carry out the duties of the office.
SECTION 4. [NEW MATERIAL] STATE INSPECTOR GENERAL--COOPERATION OF STATE AGENCIES.--
A. Inspectors general and internal auditors of state agencies shall report to the state inspector general periodically and as requested.
B. The medicaid fraud and elder abuse division of the attorney general's office shall cooperate with the office of government accountability.
SECTION 5. A new section of Chapter 2, Article 5 NMSA 1978 is enacted to read:
"[NEW MATERIAL] LEGISLATIVE FINANCE COMMITTEE--PROGRAM EVALUATION AND REVIEW.--
A. As used in this section, "agency" means any department, agency, institution or instrumentality of the state or a political subdivision of the state.
B. The legislative finance committee shall establish a "program evaluation division" staffed by persons knowledgeable and proficient in program and performance evaluation, research or policy analysis. The committee shall appoint program evaluation division staff without regard to party affiliation and solely on the appointees' fitness to perform the duties of the positions for which they are hired.
C. The program evaluation division shall conduct program evaluations, information technology evaluations and special reviews of agencies to provide policymakers with objective, independent and credible assessments of those agencies to allow policymakers to:
(1) determine whether expenditures of public funds are producing desired results;
(2) determine whether agencies are complying with state and federal procedures relevant to their operation and funding;
(3) determine whether policy alternatives could improve operations and save money; and
(4) assess the effect of agency operations on state finances.
D. The program evaluation division shall report the results of work performed pursuant to this section to the legislative finance committee and shall make final reports available to the legislature and the public. Background material, including working papers and notes, used as part of any program evaluation or review are not public records for the purpose of the Inspection of Public Records Act."
SECTION 6. Section 2-5-7 NMSA 1978 (being Laws 1957, Chapter 3, Section 6, as amended) is amended to read:
"2-5-7. COOPERATION.--[Each]
A. An agency [or institution of the state and its political subdivisions] shall, upon request, furnish and make available to the legislative finance committee such documents, material or information as may be requested by [the members of] the committee or its director or staff [which are not made confidential by law]. Information provided by an agency under this section that is confidential by law or exempt from public inspection under the Inspection of Public Records Act shall not be disclosed by members of the committee, its director or staff.
B. As used in this section, "agency" means any department, agency, institution or instrumentality of the state or a political subdivision of the state."
SECTION 7. Section 6-3A-1 NMSA 1978 (being Laws 1999, Chapter 5, Section 1 and Laws 1999, Chapter 15, Section 1) is amended to read:
"6-3A-1. SHORT TITLE.--[Sections 1 through 8 of this act] Chapter 6, Article 3A NMSA 1978 may be cited as the "Accountability in Government Act"."
SECTION 8. Section 6-3A-3 NMSA 1978 (being Laws 1999, Chapter 5, Section 3 and Laws 1999, Chapter 15, Section 3, as amended) is amended to read:
"6-3A-3. DEFINITIONS.--As used in the Accountability in Government Act:
A. "agency" means a branch, department, institution, board, bureau, commission, district or committee of the state;
B. "approved program" means a program included in an approved list of programs issued by the division pursuant to Section 6-3A-4 NMSA 1978;
C. "baseline data" means the current level of a program's performance measures established pursuant to guidelines established by the division in consultation with the committee;
D. "committee" means the legislative finance committee or a designated member of its staff;
E. "division" means the state budget division of the department of finance and administration;
F. "outcome" means the measurement of the actual impact or public benefit of a program;
G. "output" means the measure of the volume of work completed or the level of actual services or products delivered by a program;
H. "performance-based program budget" means a budget that identifies a total allowed expenditure for a program and includes performance measures, performance standards and program evaluations;
I. "performance measure" means a quantitative or qualitative indicator used to assess the output or outcome of an approved program;
J. "performance target" means the expected level of performance of a program's performance measures; and
K. "program" means a set of activities undertaken in accordance with a plan of action organized to realize identifiable goals and objectives based on legislative authorization."
SECTION 9. A new section of the Accountability in Government Act is enacted to read:
"[NEW MATERIAL] EFFECT ON APPROPRIATIONS.--Nothing in the Accountability in Government Act prevents the legislature from changing appropriation patterns, programs or performance measures in a general appropriation act."
SECTION 10. Section 6-3A-7 NMSA (being Laws 1999, Chapter 5, Section 7 and Laws 1999, Chapter 15, Section 7, as amended) is amended to read:
"6-3A-7. PERFORMANCE-BASED PROGRAM BUDGET REQUESTS.--
A. The division, in consultation with the committee, shall develop instructions for those agencies required to submit performance-based program budget requests. The instructions shall be sent to the agencies on or before June 15 of each year and shall be in addition to any other forms required by Section 6-3-18 NMSA 1978. The instructions shall require that performance-based program budget requests contain the following:
(1) a summary of each approved program, including a justification for the program;
(2) for each approved program, an evaluation of the agency's progress in meeting the performance targets. The evaluation shall be developed as prescribed in the budget instructions;
(3) for each approved program, the outputs, outcomes, baseline data, performance measures and historic and proposed performance targets;
[(4) if a performance audit has been conducted on an approved program during either the present or any of the immediately preceding two fiscal years, any responses that the agency may have to the audit and any actions that the agency has taken as a result of the audit; and]
(4) progress reports on the corrective actions taken in response to recommendations made by the program evaluation division of the committee and audits by the office of government accountability; and
(5) any other information that the division believes may be useful to the division or the legislature in developing a budget for the agency."
SECTION 11. Section 22-1-11 NMSA 1978 (being Laws 2010, Chapter 112, Section 1) is amended to read:
"22-1-11. EDUCATIONAL DATA SYSTEM.--
A. As used in this section:
(1) "council" means the data system council;
(2) "data system" means the unified pre- kindergarten through post-graduate education accountability data system;
(3) "data system partners" means the public education department and the higher education department;
(4) "educational agencies" means other public agencies and institutions that provide educational services for resident school-age persons and children in state-funded private pre-kindergarten programs; and
(5) "pre-kindergarten through post-graduate system" means an integrated, seamless pre-kindergarten through post-graduate system of education.
B. The data system partners, in consultation with the council, shall establish a data system, the purpose of which is to:
(1) collect, integrate and report longitudinal student-level and educator data required to implement federally or state-required education performance accountability measures;
(2) conduct research and evaluation regarding federal, state and local education and training programs at all levels; and
(3) audit and ensure compliance of those programs with applicable federal or state requirements.
C. The components of the data system shall include the use of a common student identifier for the pre-kindergarten through post-graduate system and an educator identifier, both of which may include additional identifiers, with the ability to match educator data to student data and educator data to data from schools, post-secondary education programs and other educational agencies.
D. The data system partners shall convene a "data system council" made up of the following members:
(1) the secretary of public education or the secretary's designee;
(2) the secretary of higher education or the secretary's designee;
(3) the secretary of children, youth and families or the secretary's designee;
(4) the secretary of workforce solutions or the secretary's designee;
(5) the secretary of economic development or the secretary's designee;
(6) the secretary of information technology or the secretary's designee;
(7) the secretary of human services or the secretary's designee;
(8) the secretary of health or the secretary's designee;
[(9) the director of the office of education accountability or the director's designee;
(10)] (9) the director of the public school facilities authority or the director's designee;
[(11)] (10) a representative from the office of the governor;
[(12)] (11) the presidents or their designees of one research university, one four-year comprehensive university, two branch colleges and two independent community colleges; provided that the presidents shall be selected by the data system partners in collaboration with organizations that represent the presidents of those institutions;
[(13)] (12) at least six public school superintendents or their designees; provided that the appointments by the data system partners shall be made so that small, medium and large school districts are equally represented on the council at all times;
[(14)] (13) at least three charter school administrators or their designees appointed by the data system partners;
[(15)] (14) the director of the legislative education study committee or the director's designee; and
[(16)] (15) the director of the legislative finance committee or the director's designee.
E. The council shall:
(1) meet at least four times each calendar year;
(2) create a management plan that assigns authority and responsibility for the operation of the data system among the educational agencies whose data will be included in the data system;
(3) assist the educational agencies whose data will be included in the data system in developing interagency agreements to:
(a) enable data to be shared across and between the educational agencies;
(b) define appropriate uses of data;
(c) assure researcher access to data;
(d) assure the security of the data system;
(e) ensure that the educational system agencies represented on the council, the legislative education study committee, the legislative finance committee and other users, as appropriate, have access to the data system; and
(f) ensure the privacy of any person whose personally identifiable information is contained in the data system;
(4) develop a strategic plan for the data system; and
(5) create policies that ensure users have prompt and reasonable access to reports generated from the data system, including:
(a) identification of categories of data system users based on security level;
(b) descriptions of the reports that the data system is capable of generating on demand; and
(c) definitions of the most timely process by which users may retrieve other reports without compromising the security of the data system or the privacy of any person whose personally identifiable information is contained in the data system.
F. The data system strategic plan shall include:
(1) the development of policy and practical goals, including time lines and budget goals, that are to be met through the implementation of the data system; and
(2) the training and professional development that the data system partners will provide to users who will be analyzing, accessing or entering data into the data system.
G. The confidentiality of personally identifiable student and educator data shall be safeguarded consistent with the requirements of state and federal law. To the extent permitted by the data system partners in conformance with state and federal law, public entities participating in the data system may:
(1) disclose or redisclose data for educational purposes and longitudinal comparisons, analyses or studies, including those authorized by law;
(2) enter into agreements with other organizations for research studies to improve instruction for the benefit of local educational agencies, public schools and post-secondary educational institutions, subject to safeguards to ensure that the research organization uses the student records only for the authorized study purposes; and
(3) disclose education records to a student's former secondary school or school district upon request solely for purposes of evaluation or accountability for its programs.
H. Nothing in this section precludes the data system partners, in consultation with school districts, charter schools and public post-secondary educational institutions, from collecting and distributing aggregate data about students or educators or data about an individual student or educator without personally identifiable information.
I. The data system partners, in consultation with school districts, charter schools and public post-secondary educational institutions, shall jointly adopt rules to carry out the provisions of this section, including security administration requirements and the provision of training for data entry personnel at all levels.
J. By December 31 of each year, the data system partners shall submit a data system status report to the legislature and to the governor. Prior to submission and publication of the report referred to in Subsection K of this section, the data system partners shall distribute a draft of the report to school districts, charter schools and all public post-secondary educational institutions to allow comment on the draft report.
K. The data system partners, in consultation with school districts, charter schools and public post-secondary educational institutions, shall develop and adopt the content and a format for the report, including the ability of the data system to:
(1) connect student records from pre-
kindergarten through post-graduate education;
(2) connect public school educator data to student data;
(3) match individual public school students' test records from year to year to measure academic growth, including student-level college and career readiness test scores;
(4) report the number and percentage of untested public school students by school district and by school and by major ethnic group, special education status, poverty status and gender;
(5) report high school longitudinal graduation and dropout data, including information that distinguishes between dropouts or students whose whereabouts are unknown and students who have transferred to other schools, including private schools or home schools, other school districts or other states;
(6) provide post-secondary remediation data, including assessment scores on exams used to determine the need for remediation;
(7) provide post-secondary remedial course enrollment history, including the number and type of credit and noncredit remedial courses being taken;
(8) report post-secondary retention data that indicate whether students are returning the second fall term after being enrolled as full-time first-time degree-seeking students;
(9) report to New Mexico public high schools on their students who enroll in a public post-secondary educational institution within three years of graduating or leaving the high school regarding freshman-year outcomes;
(10) provide post-secondary student completion status, including information that indicates if students are making annual progress toward their degrees;
(11) include data regarding students who have earned a general educational development certificate in reporting post-secondary outcomes;
(12) report data collected for the educator accountability reporting system;
(13) report pre-kindergarten through post-graduate student-level enrollment data, demographic information and program participation information;
(14) report pre-kindergarten through post-graduate student-level transcript information, including information on courses completed, grades earned and cumulative grade point average;
(15) connect performance with financial information;
(16) establish and maintain a state data audit system to assess the quality, validity and reliability of data; and
(17) provide any other student-level and educator data necessary to assess the performance of the pre-kindergarten through post-graduate system."
SECTION 12. TEMPORARY PROVISION--TRANSFER OF FUNCTIONS, APPROPRIATIONS, PERSONNEL AND PROPERTY--CONTRACTUAL OBLIGATIONS--STATUTORY REFERENCES.--
A. On July 1, 2011, all appropriations, money, personnel, furniture, equipment and other property of the office of education accountability of the department of finance and administration shall be transferred to the office of government accountability.
B. On July 1, 2011, contractual obligations of the office of education accountability shall be binding on the office of government accountability.
C. On July 1, 2011, all references in the law to the office of education accountability shall be deemed to be references to the office of government accountability.
D. On July 1, 2011, all functions, appropriations, money, personnel, records, furniture, equipment and other property dedicated to the inspector general, internal audit and other accountability functions of the public education department and the higher education department shall be transferred to the office of government accountability.
E. On July 1, 2011, contractual obligations relating to the inspector general, internal audit and other accountability functions of the public education department and the higher education department shall be binding on the office of government accountability.
F. On July 1, 2011, all references in the law to the inspector general, internal audit and other accountability functions of the public education department and the higher education department shall be deemed to be references to the office of government accountability.
G. No later than July 1, 2012, all functions, appropriations, money, personnel, records, furniture, equipment and other property dedicated to the inspector general, internal audit and other accountability functions of the following agencies shall be transferred to the office of government accountability:
(1) the department of health;
(2) the human services department;
(3) the corrections department; and
(4) the children, youth and families department.
H. No later than July 1, 2012, contractual obligations relating to the inspector general, internal audit and other accountability functions of the following agencies shall be binding on the office of government accountability:
(1) the department of health;
(2) the human services department;
(3) the corrections department; and
(4) the children, youth and families department.
I. No later than July 1, 2012, all references in the law to the inspector general, internal audit and other accountability functions of the following agencies shall be deemed to be references to the office of government accountability:
(1) the department of health;
(2) the human services department;
(3) the corrections department; and
(4) the children, youth and families department.
SECTION 13. REPEAL.--Section 9-6-15 NMSA 1978 (being Laws 2003, Chapter 153, Section 69) is repealed.
SECTION 14. EFFECTIVE DATE.--The effective date of the provisions of this act is July 1, 2011.
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