S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                 1476--A

                       2013-2014 Regular Sessions

                            I N  S E N A T E

                               (PREFILED)

                             January 9, 2013
                               ___________

Introduced  by  Sens.  KRUEGER,  HOYLMAN,  MONTGOMERY, PERKINS, SERRANO,
  STAVISKY -- read twice and ordered printed, and  when  printed  to  be
  committed  to the Committee on Finance -- recommitted to the Committee
  on Finance in accordance with Senate  Rule  6,  sec.  8  --  committee
  discharged, bill amended, ordered reprinted as amended and recommitted
  to said committee

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".
  S 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

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

                                                           LBD01249-02-4

S. 1476--A                          2

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
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 2014 that implements  a  performance-management  and  perfor-
mance-budgeting system starting with the 2015-2016 budget.
  S  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.
  S 1010. EMPIRE STATE PERFORMANCE COMMISSION; PURPOSE. THE EMPIRE STATE
PERFORMANCE COMMISSION (THE 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 IMPLEMENTA-
TION  OF A PERFORMANCE-MANAGEMENT AND PERFORMANCE-BUDGETING SYSTEM. WHEN
USED IN THIS ARTICLE, THE TERM "PERFORMANCE-MANAGEMENT" MEANS A  MANAGE-
MENT  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.
  S 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

S. 1476--A                          3

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
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 FIFTEEN, 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.
  S 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 FIFTEEN, 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  SIXTEEN--TWO  THOUSAND
SEVENTEEN. 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 FIFTEEN, WHICHEVER IS LATER.
  S  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-

S. 1476--A                          4

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
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.
  S 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.
  S 4. This act shall take effect immediately.