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

Local Government EfficiencyGrant Program

Ruth Noemí ColónActing Secretary of State

George StaffordDeputy 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

• 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

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 ProgramEligibility• 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

LGE Grant Program• 2010-2011 Local

Government Efficiency Grants

• Competitive Deadline December 1, 2010

• High Priority Deadlines– 3nd Wednesdays– October - March– 4:00 PM

Local Government Efficiency Grants

Grants FY 05 FY 06 FY 07 FY 08 FY 09

Awards 22 72 67 88 46

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 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

LOCAL GOVERNMENT REORGANIZATION

New York State Department of State

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 DissolutionsBoard 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

Petition FiledPetition Filed

Signatures Verified

Referendum Date Set

Referendum Held

Referendum PassesReferendum Passes

Hearing Held

Petition Rejected

Appeal Possible

Referendum FailsReferendum Fails

Four YearWaitingPeriod

Voter-Initiated Consolidation

Proposed Plan AmendedFinal PlanApproved

Consolidation OccursConsolidation OccursPetitions Filed for

Permissive ReferendumPasses:

Consolidation OccursPasses:

Consolidation Occurs Fails: No ConsolidationFails: No Consolidation

Day 1Day 1

Within 180 DaysWithin 180 Days


Within 60 to 90 daysWithin 60 to 90 days


Proposed Plan Approved


Within 30 Days, Board Must MeetWithin 30 Days, Board Must Meet

Within 35 to 90 DaysWithin 35 to 90 Days



After 45 DaysAfter 45 Days


Proposed ConsolidationAgreement Adopted

Proposed ConsolidationAgreement Adopted

Hearing Held

ProposedAgreementAmended

Process Ends

FinalAgreementApproved

ReferendumDate Set

Special DistrictConsolidated

Referendum Held

Referendum PassesReferendum Passes Referendum FailsReferendum Fails

Town/VillageConsolidated

Four YearWaiting Period

Board-Initiated ConsolidationDay 1Day 1





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

ALTERNATIVES TO LOCAL GOVERNMENT REORGANIZATION

New York State Department of State

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

ApplicationStep-by-Step

Overview

• Grant Categories– High Priority Planning – General Efficiency Planning– Efficiency Implementation – 21st Century Demonstration

• Grant Application• Questions & Answers

Shared ServicePlanning Grants

Planning GrantsUp to $750,000 available

• High Priority Planning Grants– Non-Competitive, $50K Maximum

• General Efficiency Planning Grants– Competitive, $25K to $35K

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 ServiceImplementation 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

21st CenturyDemonstration 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.

21st Century Demonstration ProjectsType of 21st Century Project Maximum 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

21st Century Demonstration ProjectsType of 21st Century Project Maximum 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

PREPARING AN APPLICATION2010-2011 Local Government Efficiency Grant

Two-Part ApplicationPart 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

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 ManagementOne Commerce Plaza, 11th Floor, Suite 1110

99 Washington AvenueAlbany, NY 12231

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

PART 1: APPLICANT & PROJECT OVERVIEW

2010-2011 Local Government Efficiency Grant

Part 1: Applicant & Project OverviewLead Applicant Information

Name of MunicipalityChief Administrative OfficialMailing AddressType of MunicipalityFederal Tax ID NumberTelephone & Fax NumbersCountySenate & Assembly Districts

Lead Applicant Contact PersonName & Title of Contact PersonAddress, Phone, Fax & E-Mail

General Project InformationGrant CategoryProject Costs (Local Share Is At Least 10%)Project Title & DescriptionAdditional Information

Part 1: Applicant & Project OverviewCo-Applicants

Name of MunicipalityChief Administrative OfficialMailing AddressType of MunicipalityFederal Tax ID NumberTelephone & Fax NumbersCountySenate & 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.

PART 2A: HIGH PRIORITY PLANNING GRANTS


Part 2A: High Priority Planning

Project InformationIntermunicipal AgreementsWork ProgramBudget Summary

Part 2A: High Priority PlanningBudget DetailApplication ChecklistResolution & Certification

PART 2B: GENERAL EFFICIENCY PLANNING GRANTS


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

Project Need, Municipal Benefits and Expected Outcomes

Project Integrity and Budget

Cost Savings and Return on Investment

Project Self Sufficiency and Management Capability

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

PART 2C: EFFICIENCY IMPLEMENTATION GRANT


Part 2C: EfficiencyImplementation

•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





Part 2C: EfficiencyImplementation

•Budget Detail•Application Checklist•Resolution & Certification

Measure Savings in Municipal BudgetsFunctional 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 1,000,000

Education 2000-2999 200,000

Public Safety 3000-3999 2,500,000

Health 4000-4999 100,000

Transportation 5000-5999 2,000,000

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 Administration 3010– Public Safety Communications System (911) 3020– Public Safety Equipment and Capital Outlay 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.


• 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

Temporary Savings

Permanent Savings

General Govt. Support 1000-1999 1,000,000 (50,000) 10,000

Education 2000-2999 200,000

Public Safety 3000-3999 2,500,000 100,000 65,000

Health 4000-4999 100,000


Econ. Assistance & Opp. 6000-6999 500,000


Home & Comm. Services 8000-8999 2,250,000


Partner Savings/(Costs) (70,000)

Total Savings Sum from Above (20,000) 75,000

Functional Category OSC Code Existing Budget

Temporary Savings

Permanent Savings

General Govt. Support 1000-1999 1,000,000 (50,000) 10,000

Education 2000-2999 200,000

Public Safety 3000-3999 2,500,000 100,000 65,000

Health 4000-4999 100,000


Econ. Assistance & Opp. 6000-6999 500,000


Home & Comm. Services 8000-8999 2,250,000


Partner Savings/(Costs) (70,000)

Total Savings Sum from Above (20,000) 75,000

Multiplication Factor x 1 x 10

Projected Total Cost Savings (20,000) + 750,000


• Grant: $500,000• Savings: $730,000• Savings per Grant Dollar:

– $730,000/$500,000– $1.46 saved per grant dollar spent

or

– 146% return

PART 2D: 21ST CENTURY DEMONSTRATION PROJECT


Part 2D: 21st 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





Part 2D: 21st 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.

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 1010Albany, NY 12231

(518) 473-3355 • (800) 367-8488

http://[email protected]

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

Documents

government serviceschart111

new local governmentone

original local governments

local needs dos

public libraries

fy 09awards2272678846amount

regional opportunities

public safety5