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 30 DaysWithin 30 Days
Within 60 to 90 daysWithin 60 to 90 days
Within 60 DaysWithin 60 Days
Proposed Plan Approved
Within 10 DaysWithin 10 Days
Within 30 Days, Board Must MeetWithin 30 Days, Board Must Meet
Within 35 to 90 DaysWithin 35 to 90 Days
Within 45 DaysWithin 45 Days
Within 60 to 90 DaysWithin 60 to 90 Days
After 45 DaysAfter 45 Days
Within 30 DaysWithin 30 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
Within 180 DaysWithin 180 Days
Within 35 to 90 DaysWithin 35 to 90 Days
Within 5 DaysWithin 5 Days
Within 60 to 90 DaysWithin 60 to 90 Days
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
2010-2011 Local Government Efficiency Grant
Part 2A: High Priority Planning
Project InformationIntermunicipal AgreementsWork ProgramBudget Summary
Part 2A: High Priority PlanningBudget DetailApplication ChecklistResolution & Certification
PART 2B: GENERAL EFFICIENCY PLANNING GRANTS
2010-2011 Local Government Efficiency Grant
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
2010-2011 Local Government Efficiency 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
Project Need, Municipal Benefits and Expected Outcomes
Project Integrity and Budget
Cost Savings and Return on Investment
Project Self Sufficiency and Management Capability
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.
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
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
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
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
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
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
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
PART 2D: 21ST CENTURY DEMONSTRATION PROJECT
2010-2011 Local Government Efficiency Grant
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
Project Need, Municipal Benefits and Expected Outcomes
Project Integrity and Budget
Cost Savings and Return on Investment
Project Self Sufficiency and Management Capability
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?
2010-2011 Local Government Efficiency Grant
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]
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