S T A T E O F N E W Y O R K
________________________________________________________________________
3301
2021-2022 Regular Sessions
I N A S S E M B L Y
January 22, 2021
___________
Introduced by M. of A. EPSTEIN -- read once and referred to the Commit-
tee on Governmental Operations
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
for New York to adopt. The commission is structured to elicit input from
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD02027-01-1
A. 3301 2
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 2021 that implements a performance-management and perfor-
mance-budgeting system starting with the 2023-2024 budget.
§ 3. The executive law is amended by adding a new article 49-C to read
as follows:
ARTICLE 49-C
EMPIRE STATE PERFORMANCE COMMISSION
SECTION 996. EMPIRE STATE PERFORMANCE COMMISSION; PURPOSE.
996-A. MEMBERSHIP; TERMS; CHAIRMAN AND VICE CHAIRMAN.
996-B. DUTIES OF THE COMMISSION.
996-C. DELIBERATIONS OF THE COMMISSION; ADVISORY COMMITTEES.
996-D. STAFF; COOPERATION AND ASSISTANCE.
§ 996. 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.
§ 996-A. 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
GOVERNOR SHALL SERVE ON THE COMMISSION COINCIDENT WITH THEIR HOLDING
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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-TWO, WHICHEVER IS
LATER. VACANCIES SHALL BE FILLED IN THE SAME MANNER AS THE ORIGINAL
APPOINTMENTS. THE GOVERNOR SHALL SERVE AS THE CHAIRMAN OF THE COMMIS-
SION. 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.
§ 996-B. 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-TWO, THE COMMISSION
SHALL RECOMMEND TO THE GOVERNOR AND THE LEGISLATURE LEGISLATION IMPLE-
MENTING A PERFORMANCE-MANAGEMENT AND PERFORMANCE-BUDGETING SYSTEM FOR
THE STATE STARTING WITH FISCAL YEAR TWO THOUSAND TWENTY--THREE TWO THOU-
SAND TWENTY-FOUR. AT THE SAME TIME, THE COMMISSION SHALL SUBMIT TO THE
GOVERNOR AND THE LEGISLATURE A SUMMARY REPORT OF THE ACTIVITY AND FIND-
INGS 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-TWO, WHICHEVER IS LATER.
§ 996-C. 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.
2. THE DELIBERATIONS, MEETINGS AND OTHER PROCEEDINGS OF THE COMMISSION
AND ANY COMMITTEE THEREOF SHALL BE GOVERNED BY ARTICLE SEVEN OF THE
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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.
§ 996-D. 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.