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

3. 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

4. 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 DOS Expanding Partnerships

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

6. Property Taxes

7. Local Government Services

8. 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

9. 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 $1,000,000 for implementation

10. 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

11. Local Government Efficiency Grants GrantsFY 05FY 06FY 07FY 08FY 09 Awards2272678846 Amount$2.446 M$13.622M$13.695M$11.322M$4.992M Estimated Savings N/A$160.42M$84.73M$106.54M$66.67M Savings RatioN/A$11.78/1$6.19/1$9.29/1$16/1

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

14. LOCAL GOVERNMENT REORGANIZATION New York State Department of State

15. 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.

16. 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.

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

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

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

20. TOWN AND CITY OF BATAVIA

21. 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

22. 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

23. 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

24. 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

25. ALTERNATIVES TO LOCAL GOVERNMENT REORGANIZATION New York State Department of State

26. 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.

27. 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

28. 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.

29. 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)

30. 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)

31. 2010-2011 Local Government Efficiency Grants Application Step-by-Step

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

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

34. 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

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

36. 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

37. 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

38. 21 st 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.

39. 21 st Century Demonstration Projects Type of 21 st Century ProjectMaximum Award Amount Creation of Regional Smart Growth Compacts $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. Consolidation of Services on a Multi- County Basis $400,000 per county, not to exceed $1,000,000 Creation of a Regional Entity Providing Multiple Functions $500,000 per application Creation of a Regional or City-County Consolidated Government $800,000 per application

40. 21 st Century Demonstration Projects Type of 21 st Century ProjectMaximum Award Amount Consolidation of School District Support Services $400,000 per BOCES plus $50,000 per co-applicant school district within that BOCES, not to exceed $1,000,000 Consolidation of Multiple Police Forces $600,000 per application plus $50,000 for each participating county/city/town/village/police district not to exceed $1,000,000 Consolidation of Multiple Fire Organizations $350,000 per application plus $20,000 for each participating fire district and $50,000 for each participating (all or mostly) career fire department, not to exceed $1,000,000

41. PREPARING AN APPLICATION 2010-2011 Local Government Efficiency Grant

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

43. 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, 11th Floor, Suite 1110 99 Washington Avenue Albany, NY 12231

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

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

46. 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

47. 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.

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

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

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

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

52. Part 2B: 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

53. Project Need, Municipal Benefits and Expected Outcomes

54. Project Integrity and Budget

56. Cost Savings and Return on Investment

57. Project Self Sufficiency and Management Capability

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

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

60. Part 2C: 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

61. Project Need, Municipal Benefits and Expected Outcomes

62. Project Integrity and Budget

64. Cost Savings and Return on Investment

65. Project Self Sufficiency and Management Capability

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

67. Measure Savings in Municipal Budgets Functional CategoryMunicipal ServicesOSC Codes General Government SupportLegislative, Judicial, Executive1000 - 1999 EducationCommunity Colleges2000 - 2999 Public SafetyPolice, Fire, Animal Control3000 - 3999 HealthHospital, Ambulance4000 - 4999 TransportationHighway, Public Transportation5000 - 5999 Econ. Assistance & OpportunitySocial Serv., Econ. Development6000 - 6999 Culture and RecreationParks, Library, Seniors Programs7000 - 7999 Home and Community ServicesWater, Sanitation, Planning8000 - 8999 UndistributedBenefits, Debt Service9000 - 9999

68. 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 CategoryOSC CodesExisting Budget General Govt. Support1000-19991,000,000 Education2000-2999200,000 Public Safety3000-39992,500,000 Health4000-4999100,000 Transportation5000-59992,000,000 Econ. Assistance & Opp. 6000-6999500,000 Culture & Recreation7000-7999750,000 Home & Comm. Services 8000-89992,250,000 Undistributed9000-9999700,000

69. Municipal Budgets Within each of these subdivisions, there is an account with a unique 4-digit code. – Public Safety Administration – Public Safety Administration 3010 – Public Safety Communications System (911)3020 – Public Safety Equipment and Capital Outlay3097 Every municipal expenses and expenditure must be allocated to an OSC account.

70. 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.

71. 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.

72. 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

73. Functional CategoryOSC CodesExisting Budget Temporary Savings Permanent Savings General Govt. Support1000-19991,000,000(50,000)10,000 Education2000-2999200,000 Public Safety3000-39992,500,000100,00065,000 Health4000-4999100,000 Transportation5000-59992,000,000 Econ. Assistance & Opp.6000-6999500,000 Culture & Recreation7000-7999750,000 Home & Comm. Services8000-89992,250,000 Undistributed9000-9999700,000 Partner Savings/(Costs)(70,000) Total SavingsSum from Above(20,000)75,000

74. Functional CategoryOSC Code Existing Budget Temporary Savings Permanent Savings General Govt. Support1000-19991,000,000(50,000)10,000 Education2000-2999200,000 Public Safety3000-39992,500,000100,00065,000 Health4000-4999100,000 Transportation5000-59992,000,000 Econ. Assistance & Opp.6000-6999500,000 Culture & Recreation7000-7999750,000 Home & Comm. Services8000-89992,250,000 Undistributed9000-9999700,000 Partner Savings/(Costs)(70,000) Total SavingsSum from Above(20,000)75,000 Multiplication Factorx 1x 10 Projected Total Cost Savings(20,000)+ 750,000

75. 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

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

77. Part 2D: 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

78. Project Need, Municipal Benefits and Expected Outcomes

79. Project Integrity and Budget

81. Cost Savings and Return on Investment

82. Project Self Sufficiency and Management Capability

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

84. 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.

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

86. 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.

87. 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.

88. 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!

89. 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