1     
JOINT RULES RESOLUTION ON PERFORMANCE NOTES

2     
2016 GENERAL SESSION

3     
STATE OF UTAH

4     
Chief Sponsor: Lyle W. Hillyard

5     
House Sponsor: Dean Sanpei

6     

7     LONG TITLE
8     General Description:
9          This joint resolution amends joint legislative rules addressing performance notes.
10     Highlighted Provisions:
11          This resolution:
12          ▸     provides for notice when a performance note is not needed for a piece of legislation;
13          ▸     provides for notice when a performance note is required for a piece of legislation
14     and what is to be included in the notice; and
15          ▸     makes technical changes.
16     Special Clauses:
17          None
18     Legislative Rules Affected:
19     AMENDS:
20          JR4-2-404
21     

22     Be it resolved by the Legislature of the state of Utah:
23          Section 1. JR4-2-404 is amended to read:
24          JR4-2-404. Performance review notes -- Review of performance measures.
25          (1) As used in this section:
26          (a) (i) "New agency" means:
27          (A) a state governmental entity that did not previously exist;
28          (B) a governmental entity that requires a new appropriation for new funding;
29          (C) a governmental entity that is modified by legislation to add significant services or
30     benefits that were not previously offered by the governmental entity; or
31          (D) a governmental entity that is modified by legislation to substantially expand the
32     scope of individuals or entities that are entitled to receive the services or benefits offered by the
33     governmental entity.
34          (ii) "New agency" does not mean a governmental entity that has been renamed or
35     moved to another organizational position within that branch of government unless the
36     governmental entity meets the criteria in Subsection (1)(a)(i)(C) or (D).
37          (b) (i) "New program" means a program:
38          (A) created by statute that did not previously exist;
39          (B) that requires a new appropriation or an increased appropriation for the purpose of
40     adding significant services or benefits that were not previously offered;
41          (C) that is modified by legislation to add significant services or benefits that were not
42     previously offered by the program; or
43          (D) that is modified by legislation to substantially expand the scope of individuals or
44     entities that are entitled to receive the services or benefits offered by the program.
45          (ii) "New program" does not mean a program that has been renamed or moved to
46     another organizational position within that branch of government unless the governmental
47     entity meets the criteria in Subsection (1)(b)(i)(C) or (D).
48          (c) "Performance note" means the statement of performance measures and information
49     that may be required to be printed with certain legislation according to the requirements of this
50     rule.
51          (2) (a) When the legislative fiscal analyst receives the electronic copy of approved
52     legislation from the Office of Legislative Research and General Counsel, the legislative fiscal
53     analyst shall, within one business day, review and analyze the legislation to determine if it
54     creates a new program or a new agency.
55          (b) If the legislative fiscal analyst determines that the legislation does not create a new
56     agency or a new program, the legislative fiscal analyst shall print a performance note with the
57     legislation that, notwithstanding Subsection (6), indicates only that the legislation does not
58     create a new agency or a new program.
59          [(b)] (c) If the legislative fiscal analyst determines that the legislation creates a new
60     agency or a new program, the legislative fiscal analyst shall:
61          (i) notify the sponsor of the legislation that the legislation qualifies for a performance
62     note;
63          (ii) notify the governmental entity that will supervise the new agency, or the
64     governmental entity that will administer the new program, that the governmental entity must
65     submit a performance note that meets the requirements of Subsection (6) to the legislative
66     fiscal analyst within three business days; [and]
67          (iii) prepare a notice [that contains the information required by Subsection (2)(c) and
68     print the notice with the legislation.] disclosing:
69          [(c) The notice shall:]
70          [(i) disclose that a performance note is required, disclose the name of the governmental
71     entity required to provide the performance note, and disclose the date on which the
72     performance note is to be provided by the governmental entity; or]
73          [(ii) disclose that a performance note is not required because the legislation does not
74     create a new program or new agency.]
75          (A) that a performance note is required;
76          (B) the name of the governmental entity required to provide the performance note; and
77          (C) the date on which the performance note is to be provided by the governmental
78     entity; and
79          (iv) print the notice with the legislation.
80          (d) [(i)] The legislative fiscal analyst may extend the deadline for the governmental
81     entity's submission of the performance note if:
82          [(A)] (i) the governmental entity requests that the deadline be extended to a date certain
83     in writing before the performance note is due; and
84          [(B)] (ii) the sponsor of the legislation agrees to extend the deadline.
85          [(ii) If the deadline is extended, the legislative fiscal analyst shall indicate the extended
86     deadline as part of the performance note that is ultimately printed with the legislation.]
87          (3) If the sponsor of the legislation disputes the legislative fiscal analyst's
88     determination as to whether a performance note is required, the sponsor shall contact the
89     legislative fiscal analyst to discuss that disagreement and provide evidence, data, or other
90     information to support a different determination.
91          (4) (a) (i) When a governmental entity provides a performance note to the legislative
92     fiscal analyst, the legislative fiscal analyst shall provide a copy of the performance note to the
93     sponsor.
94          (ii) The sponsor of the legislation shall either approve the release of the performance
95     note or reject the performance note.
96          (b) If the sponsor approves the performance note provided by the governmental entity,
97     the legislative fiscal analyst shall print the performance note with the legislation.
98          (c) If the sponsor rejects the performance note provided by the governmental entity, the
99     legislative fiscal analyst shall print the following with the legislation:
100          (i) the performance note provided by the governmental entity, with a notation that the
101     sponsor rejected the submission; and
102          (ii) if the sponsor provides an alternative performance note to the legislative fiscal
103     analyst within three business days of receiving the performance note, the alternative
104     performance note, with a notation that the sponsor provided the alternative note due to the
105     sponsor's rejection of the governmental entity's submission.
106          (5) If the governmental entity does not provide a performance note by the submission
107     deadline, the legislative fiscal analyst shall print a performance note with the legislation that
108     indicates only that the governmental entity did not submit performance measures by the
109     submission deadline.
110          (6) A performance note shall contain the following information:
111          (a) the name of the governmental entity submitting the performance note, as applicable;
112          (b) the names and titles of the individuals who prepared the performance note; and
113          (c) a statement of performance measures that:
114          (i) explains the purpose and duties of the new program or agency;
115          (ii) lists the services that will be provided by the new program or agency;
116          (iii) lists the goals and proposed impacts that the new program or agency intends to
117     achieve within one, two, and three years;
118          (iv) lists the resources and steps required to achieve the goals and proposed impacts;
119          (v) lists the benchmarks that the new program or agency will monitor to measure
120     progress toward the goals and outcome;
121          (vi) lists the performance measures that will be used to evaluate progress toward the
122     goals and proposed impacts; and
123          (vii) states how information on progress and performance measures will be gathered in
124     a reliable, objective fashion.
125          (7) The performance note is not an official part of the legislation.
126          (8) After legislation that creates a new program or a new agency has gone into effect,
127     the legislative auditor general shall, subject to the procedures and requirements of Utah Code
128     Section 36-12-15:
129          (a) provide an outline of best practices to the governmental entity that administers the
130     new program or to the new agency;
131          (b) include in the outline information to assist that governmental entity or new agency
132     with the creation of:
133          (i) policies that promote best practices;
134          (ii) performance measures; and
135          (iii) data collection procedures; and
136          (c) for a new program or a new agency that was created by legislation where the
137     governmental entity failed to provide a performance note:
138          (i) provide a notice to the governmental entity that administers the new program or to
139     the new agency that the governmental entity or agency is required to submit a performance note
140     to the legislative auditor general within 30 calendar days of the date of the notice;
141          (ii) retain the performance note that is received from the governmental entity or new
142     agency and forward a copy of the note to:
143          (A) the primary sponsor of the legislation;
144          (B) the opposite house sponsor of the legislation;
145          (C) the president of the Senate and speaker of the House; and
146          (D) the Senate minority leader and House minority leader; and
147          (iii) if the governmental entity or new agency fails to provide a performance review
148     note within the required deadline, provide notice to those listed in Subsection (8)(c)(ii) that a
149     performance note was requested from, but was not received from, the governmental entity that
150     administers the new program or the new agency.
151          (9) The legislative auditor general may use the performance note in its review of new
152     programs and agencies under Utah Code Section 36-12-15.





Legislative Review Note
Office of Legislative Research and General Counsel