Senate Bill S4000

                            
 
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   4000
 
                        2019-2020 Regular Sessions
 
                             I N  S E N A T E
 
                             February 22, 2019
                                ___________
 
 Introduced by Sens. KRUEGER, HOYLMAN, LIU, MONTGOMERY, SERRANO, STAVISKY
   -- read twice and ordered printed, and when printed to be committed to
   the Committee on Finance
 
 AN  ACT  to  amend  the  executive  law, in relation to establishing the
   empire state performance commission in the  executive  department  for
   the purpose of designing and advising the governor and the legislature
   on  the  implementation  of  a performance-management and performance-
   budgeting system
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section  1.  Short  title. This act shall be known and may be cited as
 the "empire state performance commission act".
   § 2. Legislative intent. New York's lack of  a  comprehensive  perfor-
 mance-budgeting  scheme  for state-funded programs often leads to irreg-
 ular appropriation practices and rigid  across-the-board  cuts,  without
 regard  to  the  programs'  effectiveness.  A performance-management and
 performance-budgeting system that ties program funding  to  the  results
 the  programs  achieve  would provide lawmakers with more flexibility in
 making budget decisions and provide the public with  a  means  by  which
 they can evaluate how their tax dollars are being spent.
   The legislature recognizes that implementing and maintaining a compre-
 hensive  system of performance-management and performance-budgeting is a
 complicated process that will require cooperation between  the  legisla-
 tive  and  executive  branches  in  order to be successful. Unilaterally
 imposing performance-management and  performance-budgeting  requirements
 on  executive  agencies  would  likely  be unproductive and ineffective.
 Reforming the state budget process requires  careful  deliberation  that
 includes  feedback from the various stakeholders in the process, includ-
 ing the public.
   This legislation creates a blue ribbon commission that will be charged
 with designing a performance-management and performance-budgeting  model

  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
              

                                                            LBD08607-01-9

 S. 4000                             2
 
 for New York to adopt. The commission is structured to elicit input from
 both  houses  of  the legislature, the governor, executive agencies, and
 the public. Additionally,  it  is  expected  that  the  commission  will
 consult   with   performance-management   and/or   performance-budgeting
 experts, other state governments, and/or academic  research  on  perfor-
 mance-management  and  performance-budgeting. The intent of the legisla-
 ture in creating this  commission  is  to  have  legislation  ready  for
 passage  in  2019  that  implements a performance-management and perfor-
 mance-budgeting system starting with the 2021-2022 budget.
   § 3. The executive law is amended by adding a new article 51  to  read
 as follows:
                                ARTICLE 51
                    EMPIRE STATE PERFORMANCE COMMISSION
 SECTION 1010. EMPIRE STATE PERFORMANCE COMMISSION; PURPOSE.
         1011. MEMBERSHIP; TERMS; CHAIRMAN AND VICE CHAIRMAN.
         1012. DUTIES OF THE COMMISSION.
         1013. DELIBERATIONS OF THE COMMISSION; ADVISORY COMMITTEES.
         1014. STAFF; COOPERATION AND ASSISTANCE.
   § 1010. EMPIRE STATE PERFORMANCE COMMISSION; PURPOSE. THE EMPIRE STATE
 PERFORMANCE COMMISSION IS ESTABLISHED AS A BLUE RIBBON COMMISSION IN THE
 EXECUTIVE  DEPARTMENT.  THE  PURPOSE  OF THE COMMISSION IS TO DESIGN AND
 ADVISE THE GOVERNOR AND THE  LEGISLATURE  ON  THE  IMPLEMENTATION  OF  A
 PERFORMANCE-MANAGEMENT  AND  PERFORMANCE-BUDGETING  SYSTEM. WHEN USED IN
 THIS ARTICLE,  THE  TERM  "PERFORMANCE-MANAGEMENT"  MEANS  A  MANAGEMENT
 SYSTEM  CONSISTING  OF  STRATEGIC  PLANNING,  STRATEGIC  PERFORMANCE AND
 PRODUCTIVITY MEASUREMENT, PROGRAM EVALUATION, AND PERFORMANCE BUDGETING,
 AND THE TERM "PERFORMANCE-BUDGETING" MEANS A SYSTEMIC  INCORPORATION  OF
 PLANNING,   STRATEGIC  PERFORMANCE  AND  PRODUCTIVITY  MEASUREMENT,  AND
 PROGRAM EVALUATION INFORMATION INTO THE BUDGETARY PROCESS.
   § 1011. MEMBERSHIP; TERMS; CHAIRMAN AND VICE CHAIRMAN. 1. THE  COMMIS-
 SION  SHALL  BE COMPOSED OF FIFTEEN MEMBERS THAT INCLUDE SIX LEGISLATIVE
 MEMBERS AND NINE NON-LEGISLATIVE MEMBERS AS FOLLOWS:
   (A) THE GOVERNOR;
   (B) THE COMPTROLLER;
   (C) THE SPEAKER OF THE ASSEMBLY;
   (D) THE MINORITY LEADER OF THE ASSEMBLY;
   (E) THE CHAIRMAN OF THE ASSEMBLY WAYS AND MEANS COMMITTEE;
   (F) THE TEMPORARY PRESIDENT OF THE SENATE;
   (G) THE MINORITY LEADER OF THE SENATE;
   (H) THE CHAIRMAN OF THE SENATE FINANCE COMMITTEE;
   (I) ONE NON-LEGISLATIVE CITIZEN MEMBER APPOINTED BY THE SPEAKER OF THE
 ASSEMBLY;
   (J) ONE NON-LEGISLATIVE CITIZEN  MEMBER  APPOINTED  BY  THE  TEMPORARY
 PRESIDENT OF THE SENATE;
   (K) THE DIRECTOR OF THE DIVISION OF THE BUDGET;
   (L) TWO EXECUTIVE DEPARTMENT HEADS APPOINTED BY THE GOVERNOR; AND
   (M) TWO NON-LEGISLATIVE CITIZEN MEMBERS APPOINTED BY THE GOVERNOR.
   2.  THE  LEGISLATIVE  LEADERS  SHALL  SUBMIT THEIR APPOINTMENTS TO THE
 GOVERNOR, AND THE GOVERNOR SHALL MAKE HIS OR HER APPOINTMENTS, NO  LATER
 THAN  THIRTY DAYS AFTER THE EFFECTIVE DATE OF THIS ARTICLE.  IF ANY SUCH
 APPOINTMENT IS NOT MADE BY SUCH DATE, THE APPOINTING  OFFICER  MAY  MAKE
 THE  APPOINTMENT  AFTER  THAT DATE, BUT THE VACANT APPOINTMENT SHALL NOT
 COUNT FOR CALCULATION OF A QUORUM UNTIL IT IS FILLED. THE  GOVERNOR  AND
 THE  COMPTROLLER  SHALL  SERVE  ON  THE COMMISSION COINCIDENT WITH THEIR
 TERMS OF OFFICE. LEGISLATIVE MEMBERS, THE DIRECTOR OF  THE  DIVISION  OF
 THE  BUDGET,  AND  THE  TWO  EXECUTIVE DEPARTMENT HEADS APPOINTED BY THE

 S. 4000                             3
 
 GOVERNOR SHALL SERVE ON THE COMMISSION  COINCIDENT  WITH  THEIR  HOLDING
 THEIR  RESPECTIVE  POSITIONS.    IN  THE EVENT THAT A LEGISLATIVE MEMBER
 HOLDS MORE THAN ONE OF THE POSITIONS LISTED IN SUBDIVISION ONE  OF  THIS
 SECTION,  SUCH  LEGISLATIVE  MEMBER  SHALL DESIGNATE ANOTHER LEGISLATIVE
 MEMBER OR MEMBERS, AS APPLICABLE, TO SERVE AS THE REPRESENTATIVE FOR THE
 OTHER POSITION OR POSITIONS. NON-LEGISLATIVE CITIZEN  MEMBERS  SHALL  BE
 APPOINTED FOR A TERM ENDING ONE YEAR SUBSEQUENT TO THE EFFECTIVE DATE OF
 THIS  ARTICLE,  OR  JUNE FIRST, TWO THOUSAND TWENTY, WHICHEVER IS LATER.
 VACANCIES SHALL BE FILLED IN THE SAME MANNER AS  THE  ORIGINAL  APPOINT-
 MENTS.  THE  GOVERNOR SHALL SERVE AS THE CHAIRMAN OF THE COMMISSION. THE
 COMMISSION SHALL ELECT A VICE CHAIRMAN FROM ITS MEMBERSHIP.
   3. THE MEMBERS OF THE COMMISSION SHALL  RECEIVE  NO  COMPENSATION  FOR
 THEIR  SERVICES AS MEMBERS, BUT SHALL BE ALLOWED THEIR ACTUAL AND NECES-
 SARY EXPENSES INCURRED IN THE PERFORMANCE OF THEIR  DUTIES.  MEMBERS  OF
 THE  COMMISSION  SHALL  BE  CONSIDERED  PUBLIC  OFFICERS FOR PURPOSES OF
 SECTION SEVENTEEN OF THE PUBLIC OFFICERS LAW.
   § 1012. DUTIES OF  THE  COMMISSION.  THE  COMMISSION  SHALL  HAVE  THE
 FOLLOWING DUTIES:
   1.  DESIGN  A  PERFORMANCE-MANAGEMENT AND PERFORMANCE-BUDGETING SYSTEM
 FOR THE STATE WHICH MAY INCLUDE, BUT IS NOT LIMITED TO, THE FOLLOWING:
   (A) STRATEGIC PLANNING;
   (B) PERFORMANCE MEASUREMENT;
   (C) PROGRAM EVALUATION;
   (D) UNIFORM STANDARDS FOR MEASURING, COMPILING, AND REPORTING PERFORM-
 ANCE INFORMATION;
   (E) A WEBSITE OR OTHER APPROPRIATE MEANS FOR DISSEMINATING INFORMATION
 ABOUT THE PERFORMANCE-MANAGEMENT AND PERFORMANCE-BUDGETING SYSTEM TO THE
 PUBLIC; AND
   (F) A CONTINUING OVERSIGHT AND ADVISORY ROLE FOR THE COMMISSION.
   2. ESTABLISH A TIMETABLE FOR PHASING IN  AND  ESTABLISHING  A  PERFOR-
 MANCE-MANAGEMENT AND PERFORMANCE-BUDGETING SYSTEM.
   3.  PROVIDE ADVICE ON THE IMPLEMENTATION OF THE PERFORMANCE-MANAGEMENT
 AND PERFORMANCE-BUDGETING SYSTEM ACROSS STATE GOVERNMENT.
   4. RECOMMEND A SYSTEMATIC PROCESS FOR THE PERIODIC EVALUATION  OF  THE
 PERFORMANCE-MANAGEMENT  AND  PERFORMANCE-BUDGETING SYSTEM WHICH PROVIDES
 FOR ENHANCED OPPORTUNITIES FOR PUBLIC PARTICIPATION AND INPUT.
   5. SOLICIT PUBLIC INPUT ON APPROPRIATE ASPECTS OF  PERFORMANCE-MANAGE-
 MENT AND PERFORMANCE-BUDGETING AS DETERMINED BY THE COMMISSION.
   6. ON OR BEFORE MARCH FIRST, TWO THOUSAND TWENTY, THE COMMISSION SHALL
 RECOMMEND TO THE GOVERNOR AND THE LEGISLATURE LEGISLATION IMPLEMENTING A
 PERFORMANCE-MANAGEMENT  AND  PERFORMANCE-BUDGETING  SYSTEM FOR THE STATE
 STARTING WITH FISCAL YEAR TWO THOUSAND TWENTY-ONE--TWO THOUSAND  TWENTY-
 TWO.   AT THE SAME TIME, THE COMMISSION SHALL SUBMIT TO THE GOVERNOR AND
 THE LEGISLATURE A SUMMARY REPORT OF THE ACTIVITY  AND  FINDINGS  OF  THE
 COMMISSION.  THE COMMISSION SHALL DISSOLVE AT THE EXPIRATION OF ONE YEAR
 SUBSEQUENT TO THE EFFECTIVE DATE OF THIS ARTICLE,  OR  JUNE  FIRST,  TWO
 THOUSAND TWENTY, WHICHEVER IS LATER.
   §  1013. DELIBERATIONS OF THE COMMISSION; ADVISORY COMMITTEES.  1. THE
 COMMISSION SHALL MEET AT LEAST FOUR TIMES. THE MEETINGS OF  THE  COMMIS-
 SION  SHALL BE HELD AT THE CALL OF THE CHAIRMAN OR WHENEVER FIVE OR MORE
 MEMBERS SO REQUEST. A  MAJORITY  OF  MEMBERS  OF  THE  COMMISSION  SHALL
 CONSTITUTE  A  QUORUM. APPROVAL OF ANY MATTER SHALL REQUIRE THE AFFIRMA-
 TIVE VOTE OF A MAJORITY OF  THE  MEMBERS  VOTING  THEREON.  MEMBERS  MAY
 DESIGNATE  AND  AUTHORIZE ANOTHER PERSON TO ACT FOR HIM OR HER BY PROXY.
 PROXIES SHALL BE REVOCABLE AT THE PLEASURE OF THE MEMBER EXECUTING IT.

 S. 4000                             4
 
   2. THE DELIBERATIONS, MEETINGS AND OTHER PROCEEDINGS OF THE COMMISSION
 AND ANY COMMITTEE THEREOF SHALL BE GOVERNED  BY  ARTICLE  SEVEN  OF  THE
 PUBLIC  OFFICERS LAW. ANY ONE OR MORE MEMBERS MAY PARTICIPATE IN A MEET-
 ING BY MEANS OF A CONFERENCE  TELEPHONE,  CONFERENCE  VIDEO  OR  SIMILAR
 COMMUNICATIONS EQUIPMENT ALLOWING ALL PERSONS PARTICIPATING IN THE MEET-
 ING  TO  HEAR  EACH OTHER AT THE SAME TIME.  PARTICIPATION BY SUCH MEANS
 SHALL CONSTITUTE PRESENCE IN PERSON AT A MEETING. AT ANY MEETINGS OF THE
 COMMISSION CONDUCTED BY MEANS  OF  A  CONFERENCE  TELEPHONE,  CONFERENCE
 VIDEO   OR   SIMILAR  COMMUNICATIONS  EQUIPMENT,  OTHER  THAN  EXECUTIVE
 SESSIONS, THE PUBLIC SHALL BE GIVEN AN OPPORTUNITY TO LISTEN. IF A MEET-
 ING OTHER THAN AN EXECUTIVE SESSION IS TO BE CONDUCTED  BY  MEANS  OF  A
 CONFERENCE  TELEPHONE, CONFERENCE VIDEO OR SIMILAR COMMUNICATIONS EQUIP-
 MENT, THE PUBLIC NOTICE FOR THE MEETING SHALL  INFORM  THE  PUBLIC  THAT
 SUCH  EQUIPMENT WILL BE USED, AND IDENTIFY THE MEANS BY WHICH THE PUBLIC
 MAY LISTEN TO SUCH MEETING.
   3. THE COMMISSION MAY FORM SUCH ADVISORY COMMITTEES AS IT DEEMS NECES-
 SARY, CONVENIENT, OR DESIRABLE TO ADVISE AND ASSIST  IN  PERFORMING  THE
 DUTIES CONFERRED BY THIS ARTICLE.
   §  1014.  STAFF;  COOPERATION AND ASSISTANCE.   1. THE DIVISION OF THE
 BUDGET SHALL PROVIDE STAFF ASSISTANCE TO  THE  COMMISSION.    ADDITIONAL
 ASSISTANCE  AS  NEEDED  SHALL  BE PROVIDED BY THE STAFFS OF THE ASSEMBLY
 WAYS AND MEANS COMMITTEE AND THE SENATE FINANCE COMMITTEE. ALL AGENCIES,
 AUTHORITIES, AND INSTITUTIONS OF THE STATE SHALL COOPERATE  AND  PROVIDE
 SUCH ASSISTANCE TO THE COMMISSION AS THE COMMISSION MAY REQUEST.
   2.  THE  CHAIRMAN,  IN  CONSULTATION  WITH THE COMMISSION, MAY HIRE OR
 APPOINT AN EXECUTIVE DIRECTOR FOR THE COMMISSION IF DEEMED NECESSARY.
   § 4. This act shall take effect immediately.