Local Government Efficiency Grant Program Ruth Noem Coln

Local Government Efficiency Grant Program Ruth Noemí Colón Acting Secretary of State George Stafford Deputy Secretary of State

Department of State Community Development Programs • Local Government Efficiency Program - LGE • Local Waterfront Revitalization Program - LWRP • Brownfield Opportunity Area Program - BOA • Appalachian Regional Commission Program – ARC

DOS Expanding Partnerships • Building long-term relationships with local governments • Aggressively exploring the integration of state and federal programs • Effectively deploying public resources • Leveraging regional opportunities, consistent with local needs

Local Government Efficiency Program (LGE) • • • Improving services Increasing Competitiveness Reducing local costs Coordinating solutions Focusing resources

Property Taxes

Local Government Services

LGE Grant Assistance • For consolidation and dissolution studies • Help communities find new competitive advantages • Objective information for voters and officials to evaluate and consider • Indentify options to reduce local costs

LGE Grant Program Eligibility • Local Governments (counties, cities, towns, villages, school districts, BOCES, fire districts, special improvement districts, public libraries, association libraries, regional planning boards, water and sewer authorities) Funding • Up to $50, 000 for planning • $200, 000 per applicant, up to $1, 000 for implementation

LGE Grant Program • 2010 -2011 Local Government Efficiency Grants • Competitive Deadline December 1, 2010 • High Priority Deadlines – 3 nd Wednesdays – October - March – 4: 00 PM

Local Government Efficiency Grants FY 05 FY 06 FY 07 FY 08 FY 09 Awards 22 72 67 88 46 Amount $2. 446 M $13. 622 M $13. 695 M $11. 322 M $4. 992 M Estimated Savings N/A $160. 42 M $84. 73 M $106. 54 M $66. 67 M Savings Ratio N/A $11. 78/1 $6. 19/1 $9. 29/1 $16/1

LGE Technical Assistance • • • Sharing of other municipal experiences Completed projects Case studies Publications Technical assistance

New York State Department of State LOCAL GOVERNMENT REORGANIZATION

Reasons to Consider Reorganization • • • Loss of population… Decreased civic engagement… Concern with taxes and costs… Assumptions of lower taxes… Increase efficiencies… A study provides a good, objective analysis – business decision.

Government Reorganization Study • Can result in: – Elimination of the original local governments and the formation of a new local government; – One surviving governmental entity with the others absorbed into it; or, – A set of additional options for cost savings and service delivery efficiencies.

Consolidations and Dissolutions Board Initiated Voter Initiated • Initiated when a resolution • Vote petition initiates: endorsing a proposed – Lesser of 10% of voters or 5, 000 signatures consolidation agreement or – 20% of voters where there are dissolution plan is adopted 500 or fewer registered • Referendum is held for voters town or village • Consolidation petitions consolidation must be coordinated • No referendum for district • Forces referendum consolidation • Plan subject to permissive referendum

Voter-Initiated Consolidation Day 1 Within 10 Days Within 30 Days Within 60 to 90 days Within 30 Days, Board Must Meet Within 180 Days Petition Filed Signatures Verified Petition Rejected Referendum Date Set Appeal Possible Referendum Held Referendum Passes Proposed Plan Approved Within 35 to 90 Days Within 60 Days After 45 Days Within 30 Days Within 60 to 90 Days Referendum Fails Hearing Held Proposed Plan Amended Consolidation Occurs Passes: Consolidation Occurs Four Year Waiting Period Final Plan Approved Petitions Filed for Permissive Referendum Fails: No Consolidation

Board-Initiated Consolidation Day 1 Proposed Consolidation Agreement Adopted Within 35 to 90 Days Hearing Held Within 5 Days Proposed Agreement Amended Process Ends Final Agreement Approved Within 180 Days Special District Consolidated Referendum Date Set Within 60 to 90 Days Referendum Held Referendum Passes Referendum Fails Town/Village Consolidated Four Year Waiting Period

TOWN AND CITY OF BATAVIA

Batavia: Project Summary • Co-Applicant: Town of Batavia • Awarded $93, 670. 12 grant from 2007 -2008 Shared Municipal Services Incentive Program • Plan for consolidation with Town – would be first city/town consolidation in New York State • http: //www. cgr. org/bataviaconsolidationplan

City of Batavia: Challenges • Businesses relocating from City to Town, pressuring City’s property tax rate • City required to submit annual plan to Office of State Comptroller to restore fiscal stability • Increased commercial activity in Town creates need for more community services

City of Batavia Consolidation Study • Three-tiered tax structure to reflect different levels of services • Taxpayer Impact: $943, 000 per annum or $1. 10 per $1, 000 assessed value (equalized) for all City and Town residents savings • Consolidated as a city: Greater organizational flexibility and ability to collect sales tax

Batavia: Outcome • Created commission to draft new charter for consolidated City of Batavia • Must seek Legislative authority under Municipal Home Rule Law to authorize vote • Upon approval, City and Town would hold referendum, possibly in November 2012

New York State Department of State ALTERNATIVES TO LOCAL GOVERNMENT REORGANIZATION

Functional Cooperation • Service agreements – One municipality agrees to provide services to another for a fee. Fees are sometimes transferred through a swap of resources or exchange of services. • Joint agreements – Municipalities work together to provide services.

Functional Cooperation • One size does not fit all • Municipalities can customize agreements to fit local conditions • Contracts may include service swaps, fees for service and equipment exchange • Cooperative services can be shared by contiguous and non- contiguous entities

General Municipal Law Article 5 -G • Empowers “municipal corporations” and “districts” to jointly undertake any activity or service that each participant has the power to provide separately. • Municipal corporations include counties outside of NYC, cities, towns, villages, BOCES, fire districts and school districts. • Districts refer to county or town improvement districts.

Projects • Onondaga County CNYLEADS (‘ 06) – Countywide criminal information system • Franklin County Shared Equipment (‘ 07) – 16 participating municipalities • Herkimer County Road Consolidation (‘ 07) – 2 co-applicants, expanded to 11 • Tompkins County Health Consortium (‘ 06)

Projects • Jefferson County EMS Planning Initiative (‘ 08) – Develop a single county-wide EMS cooperative • Lewis County Water and Sewer (‘ 08) – Study for a county water & sewer authority • St. Lawrence County Highway Services (‘ 08) – Analysis of shared local facilities • Washington County Snow Removal Optimization (‘ 08)

2010 -2011 Local Government Efficiency Grants Application Step-by-Step

Overview • Grant Categories – High Priority Planning – General Efficiency Planning – Efficiency Implementation – 21 st Century Demonstration • Grant Application • Questions & Answers

Shared Service Planning Grants Up to $750, 000 available • High Priority Planning Grants – Non-Competitive, $50 K Maximum • General Efficiency Planning Grants – Competitive, $25 K to $35 K

High Priority Planning Grants • City and County Charter Revisions – Functional Consolidation – Increased Shared Service • • Municipal Consolidations or Dissolutions County-Wide Shared Service Transfer of Local Functions to the County or Regional Level Sustainable reductions in the cost of police, fire and highway services for municipalities in the top 25% of comparable municipalities

General Efficiency Planning Grants • Competitive Grants – $25, 000 to $35, 000 • To help identify and study opportunities to improve efficiency and cost savings

Shared Service Implementation Grants Efficiency Implementation • Efficiency Implementation Grants – Up to $2. 125 million available – Competitive, up to $1 million – Capital Costs integral to consolidated service – Transitional personnel costs – $200, 000 per municipality

Efficiency Implementation Grants • Implementation of Plans To Improve Efficiency and Cost Savings – Capital Projects – Equipment Purchase with Functional Consolidation – Transitional Costs • Credit for Local Cost Share from Prior Related SMSI Planning Grants Different picture

st 21 Century Demonstration Project Grants – Up to $2. 125 million available – Support and encourage local leaders to undertake changes outside of traditional ideas: • • Regional school district support services Police and fire consolidations Regional and multi-county services Regional smart growth compacts. – Applicants will have to meet additional program requirements and participation thresholds.

21 st Century Demonstration Projects Type of 21 st Century Project Creation of Regional Smart Growth Compacts Maximum Award Amount $200, 000 per application plus $50, 000 for each participating city/town/village having a population in excess of 30, 000 and $25, 000 for each participating city/town/village with a population of 30, 000 or less, not to exceed $800, 000. $400, 000 per county, not to exceed $1, 000 Consolidation of Services on a Multi. County Basis Creation of a Regional Entity Providing $500, 000 per application Multiple Functions Creation of a Regional or City-County $800, 000 per application Consolidated Government

21 st Century Demonstration Projects Type of 21 st Century Project Consolidation of School District Support Services Maximum Award Amount $400, 000 per BOCES plus $50, 000 per co-applicant school district within that BOCES, not to exceed $1, 000 Consolidation of Multiple Police Forces $600, 000 per application plus $50, 000 for each participating county/city/town/village/police district not to exceed $1, 000 Consolidation of Multiple Fire $350, 000 per application plus $20, 000 for each Organizations participating fire district and $50, 000 for each participating (all or mostly) career fire department, not to exceed $1, 000

2010 -2011 Local Government Efficiency Grant PREPARING AN APPLICATION

Two-Part Application Part 1: Applicant & Overview Part 2: Category-Specific • ALL applicants will complete the same Part 1 application • General information about the applicant and coapplicant(s) • Brief overview of the proposed project • Complete the appropriate part for your project’s category • Criteria Questions including a Work Plan • Intermunicipal Agreements • Budget Summary & Detail • Resolution & Certification

Application Submission • Complete and submit an original application (signature in blue ink) and 3 copies. • Must be received before the deadline at: Contract Administration Unit Attn: Local Government Efficiency Grants New York State Department of State, Bureau of Fiscal Management One Commerce Plaza, 11 th Floor, Suite 1110 99 Washington Avenue Albany, NY 12231

Application Deadlines • High Priority Planning Grants – October 20, 2010 at 4: 00 pm – November 17, 2010 at 4: 00 pm – December 15, 2010 at 4: 00 pm – January 19, 2011 at 4: 00 pm – February 16, 2011 at 4: 00 pm – March 16, 2011 at 4: 00 pm • All other LGE Grants – December 1, 2010 at 4: 00 pm

2010 -2011 Local Government Efficiency Grant PART 1: APPLICANT & PROJECT OVERVIEW

Part 1: Applicant & Project Overview Lead Applicant Information Name of Municipality Chief Administrative Official Mailing Address Type of Municipality Federal Tax ID Number Telephone & Fax Numbers County Senate & Assembly Districts Lead Applicant Contact Person Name & Title of Contact Person Address, Phone, Fax & E-Mail General Project Information Grant Category Project Costs (Local Share Is At Least 10%) Project Title & Description Additional Information

Part 1: Applicant & Project Overview Co-Applicants Name of Municipality Chief Administrative Official Mailing Address Type of Municipality Federal Tax ID Number Telephone & Fax Numbers County Senate & Assembly Districts Each Applicant Must Provide A Resolution Applicants and Co-Applicants: Counties, cities, towns, villages, special improvements districts, fire districts, school districts, BOCES, public libraries, association libraries, water authorities, sewer authorities and regional planning and development boards.

2010 -2011 Local Government Efficiency Grant PART 2 A: HIGH PRIORITY PLANNING GRANTS

Part 2 A: High Priority Planning Project Information Intermunicipal Agreements Work Program Budget Summary

Part 2 A: High Priority Planning Budget Detail Application Checklist Resolution & Certification

2010 -2011 Local Government Efficiency Grant PART 2 B: GENERAL EFFICIENCY PLANNING GRANTS

Part 2 B: General Efficiency Planning • Project Information • Intermunicipal Agreements • Project Need, Municipal Benefits and Expected Outcomes • Project Integrity and Budget • Cost Savings and Return on Investment • Project Self Sufficiency and Management Capability • Budget Summary

Project Need, Municipal Benefits and Expected Outcomes

Project Integrity and Budget

Cost Savings and Return on Investment

Project Self Sufficiency and Management Capability

Part 2 B: General Efficiency Planning • Budget Detail • Application Checklist • Resolution & Certification

2010 -2011 Local Government Efficiency Grant PART 2 C: EFFICIENCY IMPLEMENTATION GRANT

Part 2 C: Efficiency Implementation • Project Information • Intermunicipal Agreements • Project Need, Municipal Benefits and Expected Outcomes • Project Integrity and Budget • Cost Savings and Return on Investment • Project Self Sufficiency and Management Capability • Budget Summary

Project Need, Municipal Benefits and Expected Outcomes

Project Integrity and Budget

Cost Savings and Return on Investment

Project Self Sufficiency and Management Capability

Part 2 C: Efficiency Implementation • Budget Detail • Application Checklist • Resolution & Certification

Measure Savings in Municipal Budgets Functional Category Municipal Services OSC Codes General Government Support Legislative, Judicial, Executive 1000 - 1999 Education Community Colleges 2000 - 2999 Public Safety Police, Fire, Animal Control 3000 - 3999 Health Hospital, Ambulance 4000 - 4999 Transportation Highway, Public Transportation 5000 - 5999 Econ. Assistance & Opportunity Social Serv. , Econ. Development 6000 - 6999 Culture and Recreation Parks, Library, Seniors Programs 7000 - 7999 Home and Community Services Water, Sanitation, Planning 8000 - 8999 Undistributed Benefits, Debt Service 9000 - 9999

Municipal Budgets • Each functional category can be further subdivided: – Public Safety Administration Law Enforcement Traffic Control Fire Prevention and Control • Animal Control • Other Protection • • Functional Category OSC Codes Existing Budget General Govt. Support 1000 -1999 1, 000 Education 2000 -2999 200, 000 Public Safety 3000 -3999 2, 500, 000 Health 4000 -4999 100, 000 Transportation 5000 -5999 2, 000 Econ. Assistance & Opp. 6000 -6999 500, 000 Culture & Recreation 7000 -7999 750, 000 Home & Comm. Services 8000 -8999 2, 250, 000 Undistributed 9000 -9999 700, 000

Municipal Budgets • Within each of these subdivisions, there is an account with a unique 4 -digit code. – Public Safety • Administration – Public Safety Communications System (911) – Public Safety Equipment and Capital Outlay 3010 3020 3097 • Every municipal expenses and expenditure must be allocated to an OSC account.

Cost Savings/Benefit Estimate • Reduction in municipal expenses (operating costs) and expenditures (capital costs). • Directly attributable to implementation of a shared services project. • SHALL include temporary implementation costs/expenditures and potential costs saved. • SHALL NOT include the amount of the LGE grant.

Cost Savings/Benefit Estimate • May be temporary or permanent. – Temporary Costs or Savings: • One-time or limited number of occurrences. • Associated with implementation of project. • Purchase or sale of a building, surplus equipment, etc. – Permanent Savings: • Expected to occur on an ongoing basis. • Primary rationale for shared services projects. • Reduction in staffing, insurance costs, etc.

Cost Savings/Benefit Estimate • Example - Functional Consolidation: – $500, 000 Efficiency Implementation Grant – Implementation (Temporary) Costs or Savings • $50, 000 expenses for applicant • $70, 000 expenses for partner municipality • $100, 000 gain on sale of surplus equipment – Ongoing (Permanent) Savings • $10, 000 in reduced need for office space • $65, 000 in reduced administration expenses

Functional Category OSC Codes Existing Budget General Govt. Support 1000 -1999 1, 000 Education 2000 -2999 200, 000 Public Safety 3000 -3999 2, 500, 000 Health 4000 -4999 100, 000 Transportation 5000 -5999 2, 000 Econ. Assistance & Opp. 6000 -6999 500, 000 Culture & Recreation 7000 -7999 750, 000 Home & Comm. Services 8000 -8999 2, 250, 000 Undistributed 9000 -9999 700, 000 Partner Savings/(Costs) Total Savings Temporary Savings Permanent Savings (50, 000) 10, 000 100, 000 65, 000 (70, 000) Sum from Above (20, 000) 75, 000

Functional Category OSC Code Existing Budget General Govt. Support 1000 -1999 1, 000 Education 2000 -2999 200, 000 Public Safety 3000 -3999 2, 500, 000 Health 4000 -4999 100, 000 Transportation 5000 -5999 2, 000 Econ. Assistance & Opp. 6000 -6999 500, 000 Culture & Recreation 7000 -7999 750, 000 Home & Comm. Services 8000 -8999 2, 250, 000 Undistributed 9000 -9999 700, 000 Partner Savings/(Costs) Total Savings Permanent Savings (50, 000) 10, 000 100, 000 65, 000 (70, 000) Sum from Above Multiplication Factor Projected Total Cost Savings Temporary Savings (20, 000) 75, 000 x 10 (20, 000) + 750, 000

Cost Savings/Benefit Estimate • Grant: $500, 000 • Savings: $730, 000 • Savings per Grant Dollar: – $730, 000/$500, 000 – $1. 46 saved per grant dollar spent or – 146% return

2010 -2011 Local Government Efficiency Grant PART 2 D: 21 ST CENTURY DEMONSTRATION PROJECT

Part 2 D: 21 st Century Demonstration Project • Project Information • • Consolidation of School District Support Services Consolidation of Multiple Police Forces Consolidation of Multiple Fire Organizations Creation of Regional Smart Growth Compacts Consolidation of Services on a Multi-County Basis Creation of a Regional Entity Providing Multiple Functions Creation of a Regional or City-County Consolidated Government • Intermunicipal Agreements • Project Need, Municipal Benefits and Expected Outcomes • Project Integrity and Budget • Cost Savings and Return on Investment • Project Self Sufficiency and Management Capability • Budget Summary

Project Need, Municipal Benefits and Expected Outcomes

Project Integrity and Budget

Cost Savings and Return on Investment

Project Self Sufficiency and Management Capability

Part 2 D: 21 st Century Demonstration Project • Budget Detail • Application Checklist • Resolution & Certification

General Tips • Complete all parts of the application: Part 1 and Part 2. • Part 1 and one Part 2 must be submitted with each application submission. • Keep the application in order. • Label all attachments clearly. Attach additional pages at the end of the application. Begin numbering additional pages with 1. • Re-check your budget for accuracy. Give as much relevant detail as possible. • Answer all questions, even though similar information may be found elsewhere in the application materials such as in an excerpted or attached study.

2010 -2011 Local Government Efficiency Grant CONGRATULATIONS! YOU’VE BEEN FUNDED. NOW WHAT?

Formalize Your Partnership • Memorandum of Understanding (MOU) – Required for studies and plans, first step in implementation-type grants – Identify roles, responsibilities and expectations including fiscal responsibility • Intermunicipal Agreements (IMA) – Formal contracts for shared services – Authorized by GML Article 5 -G, no more than 5 years in length and must terminate or be renewed – Required for implementation-type grants • All should be reviewed by counsel prior to signing.

Execute Your State Contract • Review state contract, budget and terms. • Develop final work plan for the grant. • Return contract with 3 original signatures pages. • Approximately 6 to 8 weeks later: notification from NYSDOS. • Upon approval of contract, voucher and claim information will be provided.

Report Your Progress • Project Status Reports – With every payment request or every 6 months, whichever is sooner • Your Project Manager – Periodic updates, information on upcoming meetings, questions • Project Documentation – Take pictures of your project’s progress – Help us showcase your work!

99 Washington Ave, Suite 1010 Albany, NY 12231 (518) 473 -3355 • (800) 367 -8488 http: //www. dos. state. ny. us LGEProgram@dos. state. ny. us