New York Codes, Rules and Regulations (NYCRR)
Title 19 Part 814
Department of State
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19 NYCRR 814.1 - Purpose
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Jun 30, 2022
The purpose of this regulation is to implement the requirements of State Finance Law, section 54(10)(h) which established a competitive grant program for two or more municipalities to cover costs associated with mergers, consolidations, cooperative agreements, dissolutions and shared services. It directed the Secretary of State to adopt rules and regulations to implement the program.
19 NYCRR 814.2 - Definitions
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Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Jun 30, 2022
As used in this Part, the following words and terms shall have the stated meaning:
(a)Consolidation means two or more adjoining towns in the same county consolidate as one town pursuant to article 5-B of the Town Law; two or more adjoining villages consolidate as one village pursuant to article 18 of the Village Law, or; for the purpose of applications submitted prior to April 1, 2007 two or more school districts consolidate as one district pursuant to article 31 of the Education Law. For the purpose of grant applications submitted after April 1, 2007, pursuant to State Finance Law section 54(10) as amended by chapter 56 of the Laws of 2007, consolidation shall also include consolidation of two or more special improvement districts or fire districts.
(b)Cooperative agreement means an agreement entered into by two or more municipalities pursuant to article 5-G of the General Municipal Law or other authorizing statutes for the performance among themselves or one for the other of their respective functions, powers and duties on a contract or cooperative basis.
(c)Dissolution means the dissolution of a town pursuant to article 5-A of the Town Law or the dissolution of a village pursuant to article 19 of the Village Law.
(d)Merger means the transfer of functions, powers or duties of a city, town or village within the same county, to each other or to the county, pursuant to the Alternate County Government Law, or; pursuant to any other legislative authority which may be enacted after the effective date hereof for such transfers of functions, powers or duties or for the merger of a county, city, town or village with any of such other units of local government.
(e)Municipality means a county, city, town, village and school district; for the purpose of grant applications submitted after April 1, 2007, pursuant to State Finance Law section 54(H) as amended by chapter 56 of the Laws of 2007, municipality shall also include special improvement districts and fire districts, and provided that for the purpose of such applications a school district shall be considered a municipality only in instances where a school district advances an application for a grant to cover costs associated with cooperative agreements or shared services, and further provided that for the purpose of such applications, a board of cooperative educational services shall be considered a municipality only in instances where such board of cooperative educational services advances a joint shared service application on behalf of school districts and other municipalities within the board of cooperative educational services region; provided, however, that any shared services agreements with a board of cooperative educational services:
(1)shall not generate additional state aid;
(2)shall be deemed not to be a part of the program, capital and administrative budgets of the board of cooperative educational services for the purposes of computing charges upon component school districts pursuant to subparagraph seven of paragraph b of subdivision four of section 1950 of the Education Law;
(3)shall be deemed to be a cooperative municipal service for purposes of subparagraph two of paragraph d of subdivision four of section 1950 of the Education Law.
(f)Secretary means the New York State Secretary of State.
(g)Shared services means the joint provision, performance or delivery of a service, facility, activity, project or undertaking by two or more municipalities which each may lawfully undertake separately.
19 NYCRR 814.3 - Eligibility
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Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Jun 30, 2022
(a)Applications for assistance under this Part may be made only by two or more municipalities which jointly submit requests on forms established by the secretary.
(b)Grants may be used to cover legal and consultant services, feasibility studies, capital improvements and other necessary expenses related to costs associated with mergers, consolidations, cooperative agreements, dissolutions and shared services by municipalities.
19 NYCRR 814.4 - Grant awards
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Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Jun 30, 2022
(a)Subject to annual appropriations by the Legislature, grants will be made to successful applicants pursuant to the review and approval criteria set forth herein, in an amount not to exceed $100,000 per municipality, provided, however, for the purpose of grant applications submitted after April 1, 2007 pursuant to State Finance Law section 54(H) as amended by chapter 56 of the Laws of 2007, the maximum grant award shall not exceed $200,000 per municipality.
(b)Applicants will be required to provide matching funds, equal to ten percent of the total approved cost.
(c)State assistance shall be available on a reimbursement basis. Grantees shall submit periodic invoices and requests for payment as work is performed and costs incurred.
(d)For the purpose of applications submitted prior to April 1, 2007, grantees may request an advance payment in an amount not to exceed 25 percent of the total amount of State assistance for the project.
(e)No part of a grant shall be used by the grantee for recurring expenses such as salaries, utilities and fuel.
(f)Prior to the final reimbursement payment, grant recipients shall submit to the secretary copies of studies, agreements and other products resulting from the grant award.
19 NYCRR 814.5 - Review and approval criteria
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Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Jun 30, 2022
(a)All applications will be rated in accordance with the rating system established by the secretary. Criteria used to rate applications will generally include the following:
(1)Demonstrated need for the project.
(2)The likelihood of timely completion of the project.
(3)The potential for municipal cost savings, productivity enhancement or streamlined administration.
(4)The number of municipalities involved or the size of the service area.
(5)The likelihood of instituting permanent changes to municipal structure or service delivery resulting in cost savings, enhanced productivity or streamlined administration over the long term.
(6)The ability of the project to serve as a demonstration program for other municipalities to reduce costs, enhance productivity or streamline administration.
(7)Whether the project would advance other State or municipal programs for municipal efficiency and cost savings.
(8)The geographic distribution of other fundable projects in any given application cycle.
(b)In the selection of grant awards for applications submitted on or after April 1, 2007, priority shall be given to applications that:
(1)Include a municipality that meets any of the following fiscal distress criteria;
(i)Full valuation per capita less than 50 percent of the average full valuation per capita for municipalities in New York State.
(ii)A population at least 10 percent less than the population as reported in the 1970 Federal decennial census.
(iii)Greater than 60 percent real property tax limit exhausted in the most recent local fiscal year as reported to the Division of the Budget by the State Comptroller.
(iv)A percentage of individuals living below the poverty level, as reported for a municipality in the most recent Federal decennial census, in excess of 150 percent of the average percentage of individuals living below the poverty level as reported for municipalities in the most recent Federal decennial census.
(2)Plan or implement the consolidation, merger or dissolution of municipalities.
(3)Share services between school districts and other municipalities, including application submitted by boards of cooperative educational services.
(4)Share highway services, including joint highway equipment purchases, capital improvements that benefit two or more municipal highway departments, contractual services between two or more municipal highway departments or for the consolidation of two or more municipal highway departments.
(5)Consolidate health benefit plans offered by two or more municipalities.
(6)Encourage countywide shared services, where a county develops a countywide shared services plan under which municipalities in such county agree to participate in shared services, including, but not limited to, public safety, purchasing, payroll and real property tax assessment.
(c)Awards shall be granted only for services that would otherwise be individually provided by each grantee and for which demonstrable financial savings result from such sharing, unless awards are for feasibility studies.
19 NYCRR 814.6 - Contents of application and procedures
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Jun 30, 2022
(a)Application for assistance shall be on forms prescribed by the secretary. Applications shall contain the following:
(1)The names and contact information for each municipality applying for assistance.
(2)Designation of contact person or grant administrator.
(3)Identification of key personnel who will work on the project for the municipalities.
(4)A resolution of each municipality's governing body requesting such assistance.
(5)A detailed description of the proposed activity to be funded.
(6)A work program including time periods for achieving stated objectives.
(7)A budget including identification of all funding sources and local matching funds.
(8)Any inter-municipal agreements entered into or proposed to be entered into to carry out the activity.
(9)A description of how the proposal responds to each of the rating and approval criteria described in this Part.
(b)Application information and procedures.
(1)The Department of State will provide outreach services to inform municipalities of the availability of funding and provide information to applicants concerning application preparation and submission.
(2)Project time periods and work programs may be adjusted by the Department of State as a condition of entering in to a contract for State assistance, to ensure the timely and successful completion of a project for which funds are awarded. The Department of State may, in its discretion, choose not to enter into contracts and cancel grant awards which do not contain mutually established time periods and work programs.
(3)All projects must be undertaken pursuant to a contract with the Department of State which shall require, in addition to the requirements of the Department of State, Attorney General and State Comptroller, that all contracts not to be performed by the officials and employees of the grantee be entered into in accordance with General Municipal Law, sections 103 and 104-b.