NYSAC County Mandate Report

Reforming
Mandates,
Reducing
Costs
A Preliminary Report
to Governor
Andrew Cuomo’s
Mandate Relief Team
Submitted by the
New York State
Association of Counties
February 2011
1
Reforming Mandates, Reducing Costs NYSAC • February 2011
Reforming
T h e N e w Yo r k S t a t e
Association of Counties
is a bipartisan municipal
Mandates,
association ser ving the
counties of New York State
including the City of New York.
Organized in 1925, NYSAC’s
Reducing
mission is to represent,
educate and advocate for
member counties and the
thousands of elected and
Costs
appointed county officials
who serve the public.
County Leadership Team

Hon. William J. Ryan (Westchester)
President
New York State Association of Counties
Hon. Maggie Brooks (Monroe)

President
New York State County Executives Association
Hon. A. Douglas Berwanger (Wyoming)

President
New York State Association of County Board Chairs
Charles Nesbit (Orleans)

President
New York State Association of County Administrators and Managers
Stephen J. Acquario
Executive Director
February 2011
© 2011 New York State Association of Counties
Executive Summary
As the administrative arm of State government, Our costliest mandates are rooted in the direct
delivery of State programs, not in the labor-
counties are in a position to partner with Governor
Andrew Cuomo to transform the public service related mandates that impact other local
delivery process in New York State. We are on the governments.
front lines of delivering these services every day,
and as such we know where the system works well, In the pages that follow we describe hundreds
where it breaks down and how to make it more of Mandate reform ideas that could reduce
efficient and effective. the cost of government by billions of dollars.
These ideas are organized according to the
NYSAC embraces the Governor’s call to reduce nine mandates that consume 90 percent of the
the State mandates that dominate virtually every property tax levy statewide, beginning with the
aspect of county government. largest mandate, Medicaid.
Since the creation of Medicaid in 1966 through Our top mandate relief priority is to reform
the past five decades, these mandates have grown Medicaid in a way that reduces costs for the
annually, and the costs that have been passed State and reinvests these savings for a gradual
to county property taxpayers have increased State takeover of county Medicaid costs. Only
unsustainably. then can we reduce property taxes and improve
New York’s economic competitiveness.
All of us who labored to compile and produce this
report over the past month recognize that reversing The enormity of the state-imposed fiscal burden
50 years of shifting mandated costs to county on counties is so severe we remain concerned
property taxpayers will take more than 90 days. that even if a large share of the mandate reform
However, the exercise of compiling these mandate and cost reduction proposals in this document
relief ideas is critical to transforming government in are implemented, we may still fall short of our
a way that cuts costs and reduces the property tax mutual goal of reducing property taxes.
burden for all homeowners and businesses.
We are under no illusions that this task will
Counties are required under State law to implement be simple or easily accomplished. But, at the
and finance numerous State mandated health and same time, we firmly believe that it must begin
human services programs including Medicaid, now and continue over the next three years to
public assistance for adults and families, child return New York State to its rightful place as a
welfare and preschool special education, among leader in government service and economic
others. competitiveness.
In 2010, nine State mandates consume 90 percent It is with that sense of urgency that the New
of the county property tax levy statewide. These York State Association of Counties, on behalf
mandates have been a direct cause of property tax of our members who serve the people of
increases over the past five decades. this great state, respectfully submit these
recommendations. With them, we pledge our
This statutory relationship that connects counties tireless support for this effort and stand ready
and the State through these programs is what sets and willing to work with Governor Cuomo and
our mandates apart from those imposed on other the State Legislature to make real mandate relief
local governments. at long last, a reality.
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State/County Partnership
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NYSAC • February 2011 Reforming Mandate, Reducing Costs
Medicaid
Background: The Medicaid program that exists in New York today bears little resemblance to the program
initiated by Governor Rockefeller and the State Legislature in the mid-1960s. That program was a simple
healthcare safety net built on the platform of county services to provide for the health and welfare of its
residents. More than four decades later, Medicaid in New York has grown into the nation’s largest, and most
complex state system of healthcare funding and finance. County officials, who once directed Medicaid
resources to meet the needs of their citizens, are now carried away by an avalanche of State and Federal
mandates, rules and paperwork—unable to provide any meaningful direction or control. And yet, with the
exception of a cap on the level of cost growth, the county role in financing this radically different program
has remained essentially unchanged.
Priority: Counties believe that now is the time to recognize that Medicaid is a State program, and that the
non-Federal share of its cost is most-appropriately financed solely at the State level, where virtually all
the capacity for control and direction resides. It cannot be ignored that the current financing structure
which splits shares between the federal government, state and counties of New York contributes directly
to the unsustainable size, cost and scope of the program today. For too long, the State Legislature and
Governor have expanded benefits, services and coverage of Medicaid to more people knowing full well
that the State General Fund would be responsible for funding only a portion of the costs of these many
expansions. This “off-budget” financing has built a program that promises to deliver far more service than
taxpayers have the means to support.
Moreover, we believe that, as part of the Governor’s Medicaid Re-design initiative and the implementation
of the Federal Affordable Care Act, the resources can be created to support this critical change.
Mandate recommendations: In the nearer term, county officials from the across the state have
identified the following specific mandate relief opportunities that would save money, improve service, or
both.
1. First, do no harm. This mainstay of the Hippocratic Oath is especially relevant to today’s Medicaid policy.
In the context of a property tax cap, counties simply lack the capacity to continue to shoulder increases in
the Medicaid cost burden. The county property tax base is too narrowly distributed to effectively finance
a program the size of Medicaid.
Recommendation: As a prelude to the full State assumption of costs, implement a hard cap on the county
share of Medicaid (i.e., eliminate the mandated 3 percent annual county share increase), effective January 1,
2012. This will centralize the responsibility of financing the Medicaid program with the level of government
that has decision-making authority over those services, aligning accountability for program design and
scope with the fiscal responsibility for those program decisions. Over time we believe that removing
counties from the financing of Medicaid will reduce the overall size, scope and expense of New York’s
Medicaid program to the net benefit of the State’s taxpayers. Appropriate financing is a fundamental tenet
of responsible governing and the lack thereof in New York has delivered a Medicaid program that all agree
is unsustainable.
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2. Create a rational and sustainable benefit structure and eligibility criteria. New York State must reinvent
the benefit design and eligibility for Medicaid. This should include a review of optional benefits, optional
populations and income eligibility levels.
3 The State must also make a clear policy decision, once the Affordable Care Act (ACA) is implemented, to
no longer use State resources to pay for health insurance coverage or fund health related programs that
the federal government will fully fund. As an example, the federal government will provide 95 percent
subsidized health insurance coverage for people between 133 percent and 400 percent of the federal
poverty level – as a result of this policy New York should end its Medicaid program for any above 133
percent of the federal poverty level that can attain federally subsidized health care.
4. The State should determine the cost savings from modifying or eliminating certain optional benefits, i.e.
podiatry, optometry, adult dental, etc. This should be done in direct response to the mission of Governor
Cuomo’s Medicaid Redesign Team, which has been charged with meeting a $2.85 billion fiscal target in
the SFY 2011-12 budget.
5. Medicaid income eligibility thresholds should also be examined immediately and in the future. While the
Affordable Care Act does limit the ability of states to change eligibility levels, by our understanding, it does
allow states that are facing deficits to modify eligibility for non-pregnant, non-disabled individuals above
133 percent of the federal poverty level. New York currently spends more than $550 million in general
fund for this group overall. The Department of Health should provide estimates to the Mandate Relief
Team and Medicaid Redesign Team on potential savings in this area that can be attained immediately and
in the future when broader eligibility changes are allowed under the Affordable Care Act.
6. The Medicaid benefit structure should be altered to mirror what is generally available in the private sector,
including adjusting co-pays and deductibles to the maximum amount allowed under federal law. Other
reforms to consider should include:
7. Require that generic drugs be prescribed for Medicaid recipients where it is medically possible.
8 Institute family premiums for Medicaid Managed Care Plans. Specifically, in a household of more than one,
each person should not be covered by a single plan. As a result multiple premiums are being paid when
in every other health insurance situation there would be one family plan with one premium paid.
9. Place a cap on the length of treatment for substance and alcohol abuse. Again this would be in line with
most health insurance programs. This would be a significant cost savings in that the cost for this care is
extremely expensive and there are many clients who end up going in and out of treatment programs
multiple times.
10. Review eligibility for nursing home care by tightening restrictions on transfer of assets to maximum federal
limits, but especially prohibit setting up annuities to avoid paying for nursing home care.
11. Promote and incentivize the purchase of long term care insurance, so that the health care costs can be
better managed over time and fewer people will shield their assets and get on Medicaid for long term
care.
12. Eliminate Personal Care Aide Level 1 services.
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13. Maximize use of Managed Care by ending mandated carve-outs of certain populations and services. The
mandatory use of managed care providers has been a great success in New York. Not only has it saved
money, but its emphasis on prevention and case management has improved the quality of care. Yet, two
State mandates prohibit this approach from reaching its full potential. One is the requirement of Provider
Choice, where at least two plans must be available before enrollment in Managed Care can be mandatory.
The second is the “carve-out” of a variety of specialized medical conditions and services from the Managed
Care requirement. Counties believe it is time to re-visit both of these restrictions.
14. Eliminate the Provider Choice mandate. In the areas of the State where competitive access to managed
care exists, the State should either submit a federal waiver to provide managed care through the single
managed care provider model or provide choice by establishing its own preferred provider organization
to be run by the State, similar to the state of Delaware.
15. Re-evaluate the Managed Care exclusions in light of new provider models available and results in other
states. This includes the expanded use of managed care for the aged, blind and disabled as provider network
capacity is able. The use of behavioral health managed care should also be expanded, taking advantage
of temporarily available higher federal matching funds. Also, carving out pharmacy and supplies from
managed care should end.
16. Put Personal Care under Medicaid Managed Care.
17. End restrictions that lead to the Underutilization of Generic Prescription Drugs in Medicaid. The current
practice of carving out pharmacy from managed care and limitations on more aggressive Medicaid
pharmacy management must be implemented. A 2010 report from the Lewin Group estimates that New
York State could save hundreds of millions of dollars annually by maximizing the use of generic drugs and
implementing better Medicaid pharmacy management techniques.
18. Much of this can be achieved by ending the carve-out of pharmacy and supplies from managed care.
19. Revisit dispensing fees to encourage generic dispensing.
20. Stabilize the Rate-Setting Process for County Nursing Homes by finalizing the Rebasing State Plan
Amendment, allowing federally approved intergovernmental transfers to occur at the county level. The
State has failed to implement a two year old law that called for the rebasing of nursing facility costs to
more appropriately recognize the true expenses incurred by nursing homes across the State. Counties
support the enactment of this “rebasing” methodology, which can be accomplished at no cost to the
State and would help county nursing homes better manage their finances. The final implementation of
the rebasing rate setting methodology would also allow counties to move forward with federally-allowed
intergovernmental transfers that would bring in hundreds of millions of dollars (potentially annually) to
county nursing facilities without any cost to the State. Governor Cuomo’s Budget proposes to delay, again,
the implementation of this improved reimbursement methodology and we urge reconsideration.
21. Provide incentives/sanctions to redirect urgent but non emergency care away from emergency rooms, and
support a network of urgent care walk-in clinics. Anyone who has been to a hospital Emergency Room in
recent years knows that they are often woefully overburdened. One reason is the number of non-emergency
cases that clog their waiting and treatment rooms. Aside from the risk to the treatment of the critically ill
and injured, this practice is an expensive and inefficient delivery system for primary healthcare—and one
for which Emergency Rooms were not designed.
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22. Eliminate non-emergency Emergency Room services as eligible Medicaid services,
23. Enhance incentives/sanctions for Managed Care providers to eliminate such ER visits.
24. Redirect a portion of the savings to increase access to primary care walk-in clinics.
25. Build on successful models for county control of transportation services. Under current State mandates,
counties are not currently allowed to “mix rides” with Medicaid and other people traveling to and/or from
the same locations. So separate arrangements must be made. Working with the New York State Health
Department, a group of counties in the Hudson Valley developed the Hudson Valley Transportation Project.
This project demonstrated the feasibility and cost savings of coordinating mixed-rides for various county-
supported transportation.
26. Eliminate or waive the Freedom of Choice mandate and permit counties to use a capitated reimbursement
model for transportation services, give counties enhanced authority to enter into more flexible non-
emergency transportation agreements with providers, and review feasibility of one statewide or regional
contracts, to handle non-emergency Medicaid transportation services using a fully capitated model with
a waiver from Freedom of Choice.
27. Simplify and enhance county capacity to conduct Medicaid audits. County officials are often better
positioned to identify fraud, waste and abuse of the Medicaid system in their localities than the State.
Additionally, in many cases, Medicaid providers are also vendors for other county-funded programs and
activities for which they may be subject to audit. While the State Office of the Medicaid Inspector General
(OMIG) allows counties to participate in Medicaid audits, the procedures to do so are cumbersome and do
not adequately reflect county costs.
28. Streamline the OMIG county Audit Planning mandates to make them easier to implement and manage.
29. Revise the OMIG cost regulations so that counties can recover the full cost of audit activities.
30. Reinstate face-to-face interviews for reauthorizations. Counties must be allowed to conduct means testing
and require proof of eligibility.
31. Establish county-developed and State-supported methods of directly working with Medicaid recipients
to combat provider fraud and abuse and access all private insurances where cost effective.
32. Combat provider fraud through personal contacts (phone or face-to-face) with recipients to determine
whether billed services were provided and whether there are any questions as to the service being
needed.
33. Restore New York State’s Compliance with Federal Medicaid Program rules for billing Special Education
preschool services. New York State has been out of compliance with Federal Medicaid billing practices for
certain services provided in a school-based setting, the Special Education Preschool (3-5 year olds) program.
Counties followed State practices for billing for these services, but recently the State made retroactive
adjustments to the billing process that makes it nearly impossible for counties to legally bill for what are
reimbursable services. The State Department of Health and State Education Department should work with
counties to develop a transition period so these claims can be filed and reimbursed.
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Miscellaneous Medicaid Actions
34. Government should work toward removing barriers that restrict options for alternatives to nursing home
care. We recommend ending restrictions for the new Nursing Home Without Walls program that has been
closed to program expansion for many years. There is a need to look at the many regulations in the NYS
DOH that have prevented the development of long-term care options in the home and in less expensive,
but appropriate community-based settings. These regulations have caused a high price tag. Check some
of the home care options offered in the state of Oregon for models.
35. Maximize veterans’ benefits to avoid Medicaid costs. Personnel should refer recipients that are veterans
to the County Veterans or State Veterans service office. If the veteran is eligible for VA Medical assistance
then they don’t need Medicaid.
36. NYS should work with non profits with existing programs such as the Lions Clubs. The Lions Clubs’ collection
of used eyeglasses and recycled frames could prove to be excellent examples of reusing durable medical
goods.
37. Eliminate the Medicaid prior approval process for non-emergency transportation and personal care aides.
This process consumes a great amount of staff time and does not provide any integrity to the process. Most
authorizations are blanket approvals and do nothing to ensure the vendors are billing for actual services
provided, it is truly a ministerial process that does not achieve what might have been the original intended
outcomes. Require Medicaid-funded case managers to perform representative payee tasks so that local
districts are not forced to pick up this portion of case management work from those funded to do it.
38. Streamline and consolidate the State Health Department’s operation. It is composed of 46 councils, 6
committees, 17 boards, 5 institutions, 2 task forces and 5 facilities.
39. Eliminate the 90 day requirement Medicaid claiming limit for counties and make the claiming limit
commensurate with Federal Medicaid rules.
Public Assistance
Background: Public assistance includes a variety of programs in New York but the core Family Assistance
Program provides time-limited cash assistance and support services to low income families to help them
achieve self-sufficiency. Support programs can range from work supports like child care, transportation
assistance, skills development and mentoring; housing assistance; providing information on personal
financial management; emergency services in cases of domestic violence or abuse including shelter and
counseling, among other things. Funding for Family Assistance (TANF) in New York is currently split 50
percent federal, 25 percent State and 25 percent county and New York City.
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In addition, New York also has a Safety Net Program that provides assistance to non-families (childless
adult couples, single adults, people that have exceeded their five year limit on Family Assistance and
others). Cash assistance and other supportive services similar to Family Assistance are provided in this
program. This program is funded 50 percent by the State and 50 percent by counties and New York City.
The Governor’s proposed 2011-2012 budget would change the current 50/50 State/Local distribution of
“Safety Net Assistance” Program costs to a 30/70 State/Local distribution.
In addition to these major programs, counties are required by the State to administer the federal food stamp
program (SNAP), child support enforcement, Low Income Home Energy Assistance Programs (LIHEAP) and
other social service programs designed to help low income individuals and families achieve self-sufficiency
and/or maintain their own safety and well being. New York provides no funding for administrative costs for
Food Stamps and HEAP. There is an open-ended 50 percent federal funding for Food Stamps administration
and federal funds for HEAP is capped—some years it is sufficient to cover all costs, other years it covers
half or less.
Priority: The State should refocus efforts on the overall goal of self-sufficiency. State policy and fiscal
decisions should reflect this goal. New York State has been on a dangerous trend of removing its fiscal
involvement in a number of State-mandated public assistance programs. If this is the path the State
pursues, State agencies, as well as their efforts, should be consolidated and reassigned to ensure the best
and most efficient delivery of services. Reform efforts should be realigned to focus on the core mission of
self-sufficiency and cut bureaucracy.
Mandate recommendations: In the nearer term, county officials from across the State have identified
the following specific mandate relief opportunities that would save money, improve service, or both.
40 New York State must re-examine the Safety Net Assistance program benefits in order to promote greater
self-sufficiency.
41. Establish “waiting period” from state to state (say 6 months) and from county to county (say 60 days).
42. Provide any surplus TANF money to local districts to use in serving families on the TANF caseload. Too often
these funds are directed to State contracts that are serving families at 200% of poverty but not those at
greatest risk.
43. Allow for work experience in the private sector for safety net individuals.
44. Regulate WIC, food stamps.
45. New York should consider that single, childless couples without any medical exemptions not be eligible
for cash assistance. This is being done in Pennsylvania, Michigan and Ohio, resulting in considerable cost
savings and greater accountability. With greater collaboration between drug and alcohol treatment agencies
providing services to Safety Net single and childless couples cleared for employment but the providers want
this group to stay in supportive housing at a cost of over $1,000 per month for a single person, considerable
cost savings can be achieved.
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46. Restrict benefits for continued drug and alcohol abuse for those not participating in rehabilitation, and tie
incentives to completion of programs.
47. Full family sanctions allowed, with a maximum lifetime eligibility just like TANF.
48. Count emergency relief toward the five year clock.
49. Implement ARC and Head Start-like transportation system that takes adults to structured work site and/or
educational site Mondays through Fridays, while children are transported for daycare/Head Start Mondays
through Fridays.
50. The eligibility standards need to be modified to permit a range of eligibility depending upon the county
and its unique circumstances and conditions. There is a huge disparity between what constitutes a safety
net in New York City and what is needed in more rural counties. The local authorities should be granted
significant discretion to determine the eligibility and level of benefits for their own county. This would also
encourage initiative and creativity by local officials. It would also enable local legislators to tailor the benefits
provided to what the working taxpayers are making themselves, so there is no incentive for individuals to
go on Public Assistance and cease working. This is a current problem in poorer areas.
51. Incorporate healthy food choices at higher discounts on food stamp program.
52. Provide more discretion to counties in meeting the work requirements; the departments should be allowed
to determine if an individual is making an effort to either work or is being prepared to work.
53. Unemployed recipients of Public Assistance should volunteer for government agencies to receive
assistance, i.e. janitorial responsibilities at DSS, landscaping at NYS parks. Anywhere that would save the
State money.
54. Increased funding to counties for investigation and prosecution of fraud and abuse.
55. Allow the counties to contract with ARC and Head Start for transportation.
56. New York State’s artificial employment goals vs. local options and lack of real job growth in the economy
should not be reasons for penalizing counties.
57. Increase the assistance to help move clients from Safety Net to SSI.
58. New York State should provide enhanced technology to better coordinate services across programs and
agencies. The Department of Health’s 11/30/10 report on the takeover of Medicaid administration has a
comprehensive section on the inadequacies of the current system and potential benefits of a modern,
unified software system.
59. Enhance the resources for counties to step up their efforts to employ recipients. Assess the value of
disbanding VESID (Vocational and Educational Services to Individuals with Disabilities) and distributing
those resources to counties or workforce investment areas.
60. Eliminate the Automated Finger Imaging System requirement.
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61. Consideration should be given to eliminating the six-month utility guarantee requirement for SSI recipients
when we provide an emergency utility payment. This provides an incentive not to pay bills prospectively,
even if money is available to such recipients.
62. Allow/incentivize public-private partnerships to provide sheltered or DSS-supervised work in private

settings.
63. Establish/support counties that want to offer public or public-private work options in lieu of Public
Assistance.
64. End direct State contracts in favor of moving funds into local performance-based contracts. Counties are
in the best position to decide where limited dollars are most needed to provide essential services. They
can hold local not-for-profit agencies to performance-based outcomes. In recognition of fewer resources,
we need more local authority to make choices on how money is spent.
65. The State should remove mandates that control local decisions on TANF spending such as the child welfare
spending threshold.
66. The State should purchase an electronic eligibility program for TANF. This program area is full of complex
rules that create hours of work and unavoidable errors.
67. Change the rules of unmarried couples who cohabitate—that one may collect benefits and one may work
and have a full-time job.
Child Welfare
Background: Counties administer and fund a share of the costs of providing child welfare services to
children and families in need. These activities include services, interventions and investigations designed
to help prevent child abuse and protect children’s welfare. Prevention services can cover a wide array of
activities and family supports. Child protection services are required in more intensive cases and are often
provided at the direction of the court system.
Cuts to child welfare services are short-sighted. The State should recognize that quality preventive services
can dramactically improve outcomes and save money in the long run. Evidence-based preventive services
should be fully supported to reduce the long term costs of family disruption, institutionalization and
incarceratoin.
Currently, the State funds about 62 percent of the non-federal share of these services and counties and
New York City cover 38 percent. In recent years the State Legislature and Governor have cut State support
for child welfare services and forced counties and New York City to make up the cuts out of local budgets.
Over the last two budget cycles the State has cut its share of funding from about 65 percent of costs down
to 62 percent, shifting about $60 million in costs to counties. These cost shifts and cuts have come with
minimal relief from State mandates in these programs resulting in direct cost increases for local taxpayers
to support State programs.
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Priority: The State must end cost shifting in child welfare area. The State is simply cutting their commitment
to fund child prevention and protection services, while effectively requiring counties to increase their
shares. In many cases, counties have limited flexibility, or none at all in the case of a court order, to provide
these essential services. State efforts to control costs in this program should work toward solutions that
streamline services, increase efficiencies, leverage federal resources and ensure that the program is fiscally
sustainable for counties and the State. With decreased State funding, there should be a corresponding
reduction and/or consolidation within the overseeing State agency.
68. The State should permit counties to fix their own staffing and performance criteria. By permitting local
flexibility the local leadership would be encouraged to find ways to be more efficient and to innovate with
new and better models for service.
69. Encourage and increase incentives for permanent adoption.
70. Maintain 62-38 percent child welfare financing formula for local prevention services/alternatives to State
training schools, etc.
71. The reporting and regulatory procedures put enormous burdens upon the Child Protective Services Unit,
the entire Department of Social Services, and the County Attorney’s Office. These agencies need to be given
more flexibility to determine what is needed, and how to perform essential services. That could result in
reduced costs, and increase efficiency.
72. Simplify the investigations required of repeat unfounded CPS investigations. Allow caseworkers to put
their efforts on cases that really need it.
73. Permit county health departments, departments of social services, and offices for the aging to conduct
uniform assessments and share the information.
74. Counties need greater flexibility in the design of child protection services. Counties should be permitted
greater discretion regarding how to achieve the mission-focused results. This would reduce the need for
the massive staffing in the various departments at the State level, creating savings at both the State and
local levels.
75. County discretion in setting and determining caseload standards.
76. Eliminate acceptance of CPS reports on educational neglect for middle school and high school students.
This would reduce caseloads/reports both for the State, county and Family Courts. This would allow for
greater efficiencies on all three levels. The Family Assessment Response pilot should be implemented
statewide for educational neglect cases involving middle school and high school students and low level
CPS cases. This pilot has demonstrated progress, reduces CPS reports/caseloads and improved outcomes
for families, resulting in greater efficiencies and better outcomes.
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77. Stop the State Kinship Guardianship Assistance Program from being implemented on April 1, 2011.
Subsidized guardianship requires the same State reimbursement as subsidized adoption. However, the
State is providing no funding and is imagining savings that do not exist. The Foster Care Block Grant is
tapped out and cannot be used to fund this new program.
78. Eliminate the cumbersome format of the Consolidated Services Plan.
79. Eliminate the Informal Day Care “certification” regulation. The process is full of loopholes that compromise
the integrity of it. It is also labor intensive.
80. Restore child protective/preventive funding to 65 percent.
81. Repeal § 390-h of the Social Services law, which requires that in a city having a population of one million
or more, if the social services district seeks to close a child day care center under contract, it shall provide at
least six months written notice to the child day care center and the parents or persons legally responsible
for children enrolled in such centers, prior to the closing.
82. Repeal the New York State Law on medical child support orders, Chapter 215 of the Laws of 2009, which
is now outdated and based on obsolete federal regulations. Chapter 215 of the Laws of 2009, amends
section 413 of the Family Court Act (FCA) and section 240 of the Domestic Relations Law (DRL), section
416 of the FCA and section 240 of the DRL, section 416(e)(2)(iii) of the FCA and section 240(1)(c)(2)(iii) of the
DRL, section 416(f) of the FCA and section 240(1)(d) of the DRL, 514 and 545 of the FCA, section 5241(b)(2)
(i) of the Civil Practice Law and Rules (CPLR), and section 5241(h) of the CPLR.
83. Pass and sign into law legislation that requires the guardian of a deceased incapacitated person to notify
the local department of social services within twenty days of such death. S.5883/A.8771 (of 2009).
84. Expand the Services Random Moment Study to include all social services districts, and give each district
its own quarterly claiming percentages so that local decisions about staff/program allocations are better
reflected in reimbursement claims.
Preschool Special Education

Background: Chapter 23 of the Laws of 1989 established the Preschool Program for Children with
Handicapping Conditions-Educational Program as Section 4410 of the Education Law. This law included
a provision to reduce the county fiscal liability to 25 percent by the 1993-94 school year. Instead, counties
now pay 40.5 percent of the program costs and 100 percent of the costs over the State mandated cap on
the costs for transporting these children to their service providers. Beginning with the Deficit Reduction
Act of 1990, the State has reneged on its statutory assurances of increased State fiscal participation in the
program. The State has consistently resorted to balancing its own budget in part by decreasing the State’s
portion of these costs.
At the same time that counties’ share has grown, the total costs for this mandated program have grown
exponentially, from $96 million in 1989 to over $1 billion in 2010, with the county’s 40.5 percent share being
$420 million.
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In 2007, the Governor and State Legislature established the Temporary Task Force on Preschool Special
Education, which recommended that county fiscal participation be capped and county programmatic and
administrative involvement be eliminated by 2013.
In 2009, a moratorium on Medicaid reimbursement for covered services under the Preschool Supportive
Health Services Program was placed for services delivered on or after July 1, 2009. This moratorium was
subsequently raised but only allows for the submission of claims for services delivered on or after September
1, 2009 that meet the new Medicaid billing rules. This action makes it difficult for counties to claim Medicaid
reimbursement for the services during this time period.
The federal and state law places responsibility for the program with the educational system and gives
decision-making authority to school districts, even though counties continue to bear the financial burden
for service and programmatic decisions.
Priority: The State should implement the recommendations of the Temporary Task Force on Preschool
Special Education and remove counties from the fiscal, contractual and programmatic responsibilities of
the Pre-School Special Education Program by 2013.
85. If counties are not removed from the fiscal, contractual and programmatic responsibilities of the program,
State Education Department reimbursement to counties must be increased to the 75 percent, which was
the original percentage of reimbursement promised to counties from the start.
86. Medicaid should not be applying requirements retroactively for services already claimed for the Preschool
Supportive Health Services Program since New York State did not make those requirements clear in the
past. Medicaid should publish the requirements in a new Medicaid Handbook, and ensure that they are
clear and consistent moving forward for 2010-11 school year.
87. Limit eligibility to individuals that have greater delays in development.
88. Require some family financial participation, based on income. This could be through third party insurance
payments to the county/State.
89. Fee schedule for services.
88. Increase county role in developing and writing Individual Education Plans.
89. Flexibility in implementation, appointment to Special Education Committee as a voting member.
90. If counties are to pay they should have the final say in services to be provided. If they cannot have the say,
the costs should be paid by the school districts who determine the level of services.
91. Counties bear the cost of Pre-K transportation which is a very large portion of their budgets. There is also
a cap on reimbursement for this. Counties should not be responsible to contract with bus companies to
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transport Pre-K students when the school districts already transport children. One county pays about $350
per day per bus. Because they are a rural area, sometimes there is only one child per bus.
92. If a county has to stay involved in the program, the school districts should be responsible for transportation
(bus and parent reimbursed)—there would be economy of scale because they already have a transportation
system in place and have appropriate personnel to carry out the support functions for transportation.
93. Transportation guidelines for preschoolers with a disability should be clearly defined - parents MUST
transport if they are able and be reimbursed at the standard IRS mileage rate.
94. Increase the availability of Universal Pre-K to enable families to access nursery school experiences, increase
learning in group settings. This would cut down on number of children in 4410 because there would be
other options.
95. If a county is to be involved in preschool, consider ways to include the county in decisions on IEP amendments
that can be done by agreement between the parent and CPSE chair. This would help to control unnecessary
increase or addition of services.
96. Eliminate the requirement for counties to pay for Administrative Overhead and 4408. Counties have no
input nor control over these expenses. In addition services for 5-21 (4408) should not be the responsibility
of the county.
97. SEIT should be a fee for service. Counties are paying for services not being delivered at a substantial
cost.
98. Provide services to preschoolers for one 12 month period non working parents need to be present and
take part in child’s therapy.
99. The preschool program should be centralized per county, not per district to be more efficient, effective
and consistent.
Indigent Defense
Background: In 1965, as required by constitutional mandate, New York enacted Article 18-B of the County
Law. This law required each county and New York City to establish a plan to provide counsel to indigent
defendants. The law allowed these municipalities to choose among several options to provide such service
including; 1. public defender office, 2. designation of a legal aid society, 3. adopt a local bar association
plan, or 4. a combination of the above options. The law mandated that each plan provide for investigative,
expert and other services necessary for adequate defense. One of the major problems with this system
was that it placed significant financial burden on the counties.
Though challenged legally and criticized through reports of the statewide associations and the chief judge,
this system is still in place. However, the statewide partial reimbursement mechanism has been changed
for the 2011 fiscal year. In addition a new oversight body has been created.
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Priority: Though a newly implemented reimbursement and oversight mechanism has been put into
place NYSAC believes that there are still additional statutory and regulatory changes that can be made
to produce county savings. A significant portion of NYSAC’s proposals include increased local discretion
in the implementation of indigent defense services. Increased discretion would allow for a higher quality
of services by allowing counties to recognize localized differences and specialized needs of the indigent
within their locality. In addition, such discretion would also allow for considerable cost savings which would
be passed down to the taxpayer.
Mandate recommendations: County officials have identified the following specific mandate relief
opportunities that would save money and improve service.
100. The rates payable to individual assigned attorneys and others should be subject to local control.
101. Counties should have authority/discretion in determining indigence.
102. Counties should have the authority and/or discretion to implement a conflict defender.
103. Stable and predictable funding by the State through ILSF $ for local/county indigent defense activity.
104. Decriminalize the Vehicle and Traffic Law Section 511.1(a), Aggravated Unlicensed Operation in the Third
Degree. Make it an infraction so there is no right to counsel at the county expense for this offense.
105. Institute a filing fee of no more than $25 for commencement of an action in Family Court, amending the
CPLR and the FCA to allow for such fees. Provide that these fees are used in the county where they are
generated for indigent defense services.
106. Make arbitration mandatory for first time filers in Family Court by amending the FCA. This will encourage
parties to work out a solution in a high percentage of cases.
107. Raise standard to receive relief in Family Court on ex parte petitions for custody by amending the FCA.
108. If counsel is required at every arraignment, incarcerations will increase, not decrease. It takes time (24 to 48
hours) to find and assign an attorney, and for the attorney to get to the arraignment. Many more defendents
will be unnecessarily incarcerated while waiting for their attorney to show up.
109. Require a fiscal impact statement for legislation impacting indigent defense.
110. Allow the ability to collect expended funds from future earnings of formerly indigent persons.
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Probation
Background: Probation services are provided by counties and the City of New York as mandated under
NYS Executive Law. Local probation departments provide services including intake, diversion, investigation,
supervision of probationers and other special or related programs. Probation supervision is performed by
probation officers to ensure probationers abide by and remain accountable for the conditions set forth by
the court in their sentence. Probation is a rehabilitative service and a critical alternative to the incarceration
program in New York State.
Over the last several decades, State reimbursement to counties for probation has dwindled, leaving counties
to shoulder an increasing share of the costs for this program. In 1989 state reimbursement was 46.5. Over
the years, it has eroded to the current level of 15 percent, and the Governor’s budget further reduces
this to 10 percent, so that a vast majority of costs are now supported by county taxpayers. Meanwhile,
probation officers are enduring greater caseloads due to the creation of more State programs which have
increased the number of individuals sentenced to probation. These include the ignition interlock monitoring
program created under Leandra’s Law, and the Rockefeller Drug Law reforms, which changed sentencing
requirements for drug offenders.
Priority: The time is right to reinvest in probation and give counties the resources required to carry out
mandated probation programs and services. Since the State continues to decrease funding for probation,
counties should be able to charge fees for probation supervision in order to offset the costs of providing
this important public service. See below for a detailed fee proposal.
Mandate relief recommendations: County officials have identified the following specific
mandate relief opportunities that would save money and improve service.
Fee Proposals
111. Create a $25 probation registration fee to help offset the continuous reduction in funding for local probation
departments. This additional fee is estimated to generate $1 million in revenue and while this additional
fee is not insignificant, it does not offset the years of cuts in State aid, and it barely scratches the surface of
actual needs. Accordingly, imposing a $25 probation discharge fee in addition to the proposed probation
registration fee will raise another $1 million towards the restoration of necessary funding for local probation
departments. Imposing such a fee at discharge from probation will ease collection of the fee because
defendants will have the incentive of leaving probation to encourage payment of the fee and will make
payment of the fee less objectionable. Furthermore, there is plenty of precedent for fees of this nature,
most notably, the $50 fee to the Department of Motor Vehicles for restoration of a suspended license.
112. Impose a fee on offenders that take advantage of Electronic Enhancements Benefits. Many local probation
departments currently provide defendants with the option of utilizing certain state-of-the-art advancements
in supervision which facilitate compliance with conditions of probation. These include voice recognition
check-in systems, kiosks, and other similar innovations. These innovations provide a benefit to the offender
in that they make it more convenient for offenders to comply with their probation requirements. In addition
to the convenience factor, these innovations also make it possible for offenders to maintain employment
and to be productive citizens. Utilizing these services is an option which the defendant may choose if the
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defendant finds that these services are beneficial in assisting him or her in complying with applicable
conditions of probation. The provision of these services can be costly for local probation departments and
counties should be authorized to charge a fee to recoup costs expended to provide these convenience
services to the defendant. Counties should be given the option of charging a monthly fee for the utilization
of certain electronic enhancements. An individual monthly fee not to exceed $10 could be charged for
each enhancement which the defendant chooses to utilize.
113. Impose an Electronic Monitoring and Alcohol/Drug Testing Fee. Many local probation departments, by
order of the sentencing court, currently place defendants on electronic monitoring which helps to facilitate
compliance with conditions of probation. Probation also provides mandated alcohol/drug testing for
defendants. For electronic monitoring, and drug/alcohol testing, counties should be given the option of
charging a fee not to exceed the actual cost to the county of providing the service.
114. Impose a general supervision fee on all offenders undergoing probation supervision. Currently, offenders
convicted of driving while intoxicated offenses can be charged a probation supervision fee of $30 per month
(Section 257-c of the Executive Law). Authorizing a similar probation supervision fee, at local option, to be
assessed against all defendants sentenced to probation, thereby allowing local probation departments to
recoup some of the costs associated with supervising defendants.
115. Impose a Supervision Fee on Sex Offenders and Domestic Violence Offenders. Currently, offenders convicted
of driving while intoxicated offenses can be charged a probation supervision fee of $30 per month (Section
257-c of the Executive Law). Authorizing a similar probation supervision fee, at local option, to be assessed
against defendants convicted of sex offenses or offenses relating to domestic violence, thereby allowing
local probation departments to recoup some of the costs associated with supervising these defendants.
Additional State rules and requirements relating to these defendants make this population among the
most costly to supervise. These fees would help offset the additional costs.
116. Reallocate State collected DWI fees to county DWI prevention programs to offset the costs associated with
Leandra’s Law. If this funding does not become available, repeal the provision regarding county monitoring
of ignition interlock devices.
117. Allow an automatic 10 percent surcharge for collection of restitution.
General Fiscal Relief (non-fee)

118. When funding is attached to a new initiative, all counties, regardless of their size, should receive proportionate
reimbursement.
119. Probation should have direct access to any OCFS funding streams when probation is providing the direct
service.
120. Return to the counties one-half of the fee paid by the offender for taking of their DNA which probation
officers perform (currently 100 percent of this fee goes to the State).
121. Pursue the OCA takeover of probation services which will stop the decline of state aid to Probation and
will eventually lead to an increase in State funding for Probation services.
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122. Pursue OCA financial support for probation’s collaboration in all specialty courts.
123. Reimburse counties for supervision of offenders in the community due to the repeal of the Rockefeller
Drug Laws that reduced the State’s expense to incarcerate.
Leandra’s Law
124. Make modifications to Leandra’s Law to ensure that evidence based practice research results are being
implemented in the decisions made about who should be ordered to install ignition interlock devices.
Currently all first-time offenders who are convicted of DWI must install ignition interlock devices on their
cars even though research shows that only 25 percent of that population will reoffend. Ensure that probation
is compensated 100 percent for the extra work they must do for the courts and to monitor the offenders
placed on ignition interlock.
125. Transfer responsibility for monitoring offenders who are released from NYSDOCS with Leandra’s Law
requirements to Division of Parole.
General Probation Recommendations

126. With reimbursement rates at all-time lows, all the State requirements are a burden. If the State wants to set
standards, probation should be funded more fairly. Leandra’s Law is a perfect example of a well-intended
law with no funding and an increasing burden on probation. Drug court is another example of a good
program with no funding for counties. With 14 percent reimbursement the State shouldn’t be regulating
Probation except to require counties to provide the service.
127. Legal minimum qualification requirements for probation should be re-evaluated.
128. Increase county flexibility in deciding what programs are needed for each probationer.
129. Discourage mandating probation for people who commit minor, non-violent crimes.
130. Enact a moratorium on all new legislation that impacts the workload of probation without 100 percent
funding being attached up front.
131. Establish a moratorium on all new policies and guidelines issued by regulatory agencies.
Youth Related Probation Recommendations

132. Fund youth prevention programs that decrease caseload for probation in the long run.
133. Enact time frame for Person in Need of Supervision (PINS) diversion cases. These are presently open-
ended.
134. Change laws/regulations to allow for the dissemination of information between probation and other
law enforcement agencies on persons sentenced as Youthful Offenders (YO). Current rules mandate that
probation not share information when a person has YO status.
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135. Probation should no longer be a sentencing option for offenders who are in violation of child support
payments. Counties have support collection units that are already equipped to oversee payment of support
and file violations of the support order. Probation should return to the core focus of community safety.
Administrative Relief
136. Streamline Pre-Sentence Investigation (PSI) report process: eliminate the requirement for PSI when a
defendant is to be sentenced to time served, is convicted of a crime that occurred while an inmate in a
state correctional facility, and where the sole purpose is to determine Youth Offender (YO) status.
137. Allow probation the flexibility to use the Probation Officer Trainee (POT) or Probation Officer (PO) eligible
civil service list at their discretion.
138. Change laws and regulations to allow for the intrastate transfers of people sentenced to Interim Supervision.
Currently probation can transfer Interim Supervision cases to other states but we cannot transfer them to
the next county.
139. Instead of pressuring local probation departments to purchase a data management system as recommended
by the State, these systems should be provided to each county to make the systems uniform.
140. Eliminate mandated contact requirements for differential supervision.
Sex Offender Supervision

141. Require anyone arrested for a sex offense as defined by Penal Law Section 130.00-130.96, who is allowed to
plea to a non-sex offense and register as a sex offender in accordance with the New York State Sex Offender
Registration Act, Corrections Law 6-C.
142. Refine and/or eliminate sex offender housing regulations.
143. Remove responsibility of probation for Sex Offender Quarterly address verification.
Early Intervention
Background: The New York State Early Intervention Program (EIP) is part of the national Early Intervention
Program for infants and toddlers with disabilities and their families. First created by Congress in 1986
under the Individuals with Disabilities Education Act (IDEA), the EIP is administered by the New York State
Department of Health through the Bureau of Early Intervention. In New York State, the Early Intervention
Program is established in Article 25 of the Public Health Law and has been in effect since July 1, 1993. To be
eligible for services, children must be under three years of age and have a confirmed disability or established
developmental delay, as defined by the State, in one or more of the following areas of development:
physical, cognitive, communication, social-emotional, and/or adaptive. There is no income eligibility for
the Early Intervention Program.
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Counties are responsible to pay 100 percent of the cost of Early Intervention services in the first instance,
which by statute cannot be claimed, until nine months into the current school year, and frequently remains
unreimbursed for more than one year. Legislation designed to close loopholes in existing law and mandate
reimbursement by commercial health insurers for Early Intervention services has been introduced in
successive State legislative sessions, but has been unsuccessful to date.
Counties and the City of New York are billing more than ever before and in amounts exceeding the amounts
billed to Medicaid, but the percentage of recoupment remains low. The most recent data shows a total of
approximately $95.5 million was billed to commercial insurers and only $10.6 million was recouped, the
same 14 percent collection rate as in 2000. These collections rates barely cover the costs of the commercial
insurance billing functions; however, when the cost of services and billing were considered together, the
return was thirteen cents for every one dollar spent by counties overall.
Priority: All Early Intervention services for children with special needs should be covered by commercial health
insurers. The Governor and the State Legislature need to require third party health insurance coverage to
ensure that county claims are accepted as medically necessary and paid at the Early Intervention approved
rate. Although 48 percent of the children served are covered by private insurers, those private plans cover
only 2 percent of the cost. This reform would ensure the fiscal and programmatic integrity of the program
for State and local taxpayers and the growing number of families who have children who need these vital
services.
Mandate recommendations: In the nearer term, county officials from across the State have
identified specific mandate relief opportunities that would save money, improve service, or both.
144. Coordinate transportation services with other health and human services programs.
145. Include means testing and require parental contribution.
146. Permit counties to obtain and analyze income and to establish local standards governing contributions
from families.
147. Counties should have control of Individualized Education Plan decisions.
148. Mandate attendance at “closest certified program available” for Committee on Special Education assignment
purposes.
149. The county may need to be involved in the administration of this program; however, counties should be
permitted to tailor the program so that it reflects the counties’ economic and societal values and standards.
At present counties have very little control; Albany sets one standard that applies on a statewide basis.
Our income and wealth levels are very different from most urban or suburban counties. Counties should
be permitted to adjust to reflect these differences.
150. Offer insurance, similar to Medicaid, at a sliding scale fee for families that are over the income limit of “free”
Medicaid but cannot afford an insurance policy.
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151. Use a capitation method to reimburse for Service Coordination. This eliminates the minutia of calculating
“minutes” for reimbursement and allows agencies to mange Service Coordination in a better manner. It
also enables counties to calculate costs for budgeting purposes and should eliminate the building up of
“unnecessary units.”
152. Require screening as opposed to evaluation for all children referred to EI who are suspected of having a
disability and have no diagnosis. This will provide a more appropriate use of EI qualified personnel and cut
unnecessary cost of MDE.
153. Define the EI models to focus on family training as opposed to “therapy.” This should result in less services
but more appropriate services based on the intent of EI.
154. The evaluator should not be the service provider. The State should consider evaluation centers, which
would result in more open dialogue related to determination of appropriate services that should result in
fewer services.
155. Define use of “informed clinical opinion” in all developmental areas more clearly. This should be based
on research as opposed to list of “quality of” statements which have no verification other than opinion
of provider doing evaluation. It would result in elimination of children who do not meet EI standards for
eligibility getting services in EI having an IFSP. There are community options for families to access for
children who do not meet eligibility in EI (private insurance, language based nursery schools, library story
hours, etc.).
156. Eliminate the option of children staying in EI past the third birthday. It is very often done to ensure “summer
services” or “keep service coordination” and is often not appropriate based on the unique needs of the
child. This would result in cost saving as children would not get summer services unless it was absolutely
necessary, and would cut out the cost of Service Coordination.
157. NYSDOH and NYSED should review and reissue the joint memorandum on transition since the process has
changed significantly in the EI regulations and these changes do not concur with NYSED guidance. Payment
is made to Service Coordinators to clarify the inconsistencies with parents, CPSE chairs and providers due
to confusion on the issues such as transition conferences, attendance at CPSE meetings, etc.
158. Consider possibility of changing eligibility requirement to requiring a 50 percent developmental delay for
initial eligibility, 33 percent for continued eligibility.
159. Address issue of “clinical opinion.” Current regulations allow eligibility under clinical opinion.
160. Provide ONLY EIP services that are entitled by the federal government, that is, Child Find, Evaluation, Service
Coordination and the development of the Individualized Family Services Plan.
161. Allow an initial screening of the referred child by an Initial Service Coordinator to determine if the child
needs to have a full multidisciplinary evaluation.
162. Change the service delivery model to a family training model; that is, allow a primary interventionist to
work with the family one time a week rather than a disciplinary specific provider. This will decrease the
number of providers needed for one child and will increase provider capacity in difficult to find professions
such as physical therapists, teachers of the deaf, or teachers of the visually impaired.
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Youth Detention
Background: The State’s Youth Detention Programs provide care and maintain custody of youth ages
8 through 18 during the court process, including adjudication and disposition by family and/or criminal
courts. Counties pay the State for these services based on a rate set forth by the New York State Office of
Children and Families (OCFS).
The 2010-11 State Budget contained an unexpected $69 million cost shift to counties for youth facility
chargeback rates—this is on top of similar cost shifts in the prior year.
The Legislature cites the justification for the most recent cost shift on a not-yet-finalized (or released) State
Comptroller’s audit about the OCFS youth facilities’ rates. This audit finds that OCFS has had no statutory
authority to provide annual credits to counties’ youth facility rates over the last several years using federal
TANF funds as the source of the credit. This “credit” was provided to counties without their knowledge. As
a result of a State agency’s unauthorized use of federal funds, the State Legislature and Governor recouped
all of the unauthorized State expenditures from counties in the current budget—a $42 million cost shift,
in addition to $27 million for youth facilities’ past due bills, for a total of $69 million in either county fiscal
year 2010 or 2011. Going forward, because of the OCFS misuse of funds, counties will receive a reduction
of $6 million annually, in their youth facilities reimbursements.
In addition, the State has consistently raised its per diem rates charged to counties and New York City, even
though the State maintains fewer State-operated youth facilities than they did just a decade ago. Counties
are being charged average daily rates by the State to cover State costs of maintaining and operating half full
and completely empty State facilities. The State must end the practice of having county property taxpayers
support the costs of clearly unnecessary State bureaucracy.
Priority: The State should hold counties harmless for poor and illegal management decisions at the State
level regarding the rates for youth facilities. The decision by the State to recoup these funds should be
reversed immediately. Additionally, it should be recognized that counties do not place children in these
facilities—that is the full discretion of the family court judge. Counties are highly successful in using
evidence-based and diversion programs; however, the assumption that counties are the sole controller of
these children is wildly untrue.
Mandate relief recommendations: In the nearer term, county officials from across the State
have identified the folllowing specific mandate relief opportunities that would save money, improve
service, or both.
163. County discretion to determine location of appropriate services for juvenile offenders to best accommodate
county of residence.
164. Close State facilities at every level below the limited secure level. Allow voluntary agencies to assume this
responsibility.
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165. Discontinue detention except for those youth who are harmful to themselves or others. There is no value
putting a marginally bad kid in with other bad kids. We have seen no salvation in detention.
166. Use more restorative practices counseling, addiction services, etc. rather than detention and pair it with
ankle bracelet monitoring, volunteering, etc.
167. Greater role in the discharge process for the county. Counties should have a greater role in discharge. Funds
should be used to provide community-based programs such as mentoring, family therapy, community
service, etc.
168. Diversion and alternatives at local level and placement without county involvement and coordination has
to stop.
169. Continue the 50 percent uncapped State share funding of these services.
170. Re-examine the rate setting methodology.
171. The Youthful Offender status should be eliminated. It used to be when a kid got in trouble, people would
watch the kid, and if he did it again, he would get his hands slapped right then. Now the general public
never knows if there is a problem kid, and they are constantly blindsided and the kid gets away with it.
Pensions
Background: Counties participate in the New York State Public Employees Retirement System, along
with many other local governments; however, counties have no control over the pension benefits awarded
to their own employees. A combination of significant pension benefit enhancements over the last 10
years and poor investment returns the last few years has led to significant increases in employer pension
contributions. For most counties these costs have doubled over the last two years and will double and
possibly triple over the next several years.
In 2009, the cost to counties for their required pension contributions consumed just under 9 percent of
the county property tax levy statewide (outside of NYC). By 2014, State-required contributions for county
pensions will consume nearly 25 percent of the entire county property tax levy statewide, under a recent
Senate passed property tax cap bill. The required contributions and the limit on county property tax
revenue increases to support the cost of this State mandate are unsustainable under this scenario.
Priority: While recent pension reforms under Tier 5 will provide much needed long term relief for local
governments, related to State mandated pension contributions, significant additional reforms are required
at this time to place this program on a fiscally sustainable path for taxpayers and pension recipients.
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Mandate relief recommendations
Promote Long Term Fiscal Sustainability
172. Reform the State pension system so it more closely mirrors what is available in the private sector
173. Create a Tier VI that eliminates the defined benefit for newly hired employees and replaces it with a
defined contribution plan (that allows for flexible employee/employer matching arrangements within
set parameters), or allow new hires the option of defined benefit or defined contribution. The employee
option will enhance pension portability for an increasingly mobile workforce, especially in areas of
information technology and management/system redesign.
174. Re-evaluate pension return guarantee.
175. Consider a Tier VI wherein employee contributions should be capped no lower than 7.5 percent unless
the total contribution required to the plan is less than 7.5 percent.
176. Once a NYSLRS Defined Contribution Plan is established for all future participants, provide portability
between it and private plans as well as NYS Teachers Retirement System Plan.
177. Pensions should be based on base salary only, absolutely no overtime should be calculated toward
retirement.
178. Pursue a constitutional amendment to reduce/restore pension benefits to pre-2000 levels.
179. Allow Tiers 3, 4, 5 and new 6 to make additional contributions, above restored 3 percent requirement.
180. Restore 3 percent contributions for Tiers 3 and 4 for entire time in State service. Other states with
constitutional guarantees related to pensions have reversed recent benefit enhancements successfully in
the courts and New York State should also consider this option. Consider a three-year phase-in to restore
this required employee contribution (adding one percent each year for three years).
181. Reduce yearly multiplier pension percentages for future hires by implementing a 1.67 percent multiplier
throughout entire state service connection.
182. The State should raise the minimum retirement age for new employees to mirror Social Security benefit
eligibility.
183. Alow counties to amortize pension costs above currently designated thresholds at no interest, versus the
five percent rate in current law.
Administrative recommendations
184. Extend the “make-up” time within which municipalities can contribute to make up losses from 2008. Having
to do this during a five-year period when the stock market is not performing well is totally unreasonable.
185. Redefine types of investments allowable within the fund. Reduce risk where possible.
186. Re-examine the actuarial calculation used to forecast employer pension contributions.
187. NYS sole trustee needs to have a panel of recognized experts (actuaries).
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188. Legislation to allow tiers 3, 4, 5 to make additional contributions.
189. Alow counties to amortize pension costs above currently designated thresholds at no interest, versus the
five percent rate in current law.
Other Mandate Relief Ideas

General Mandate Reform
190. Cap all existing State mandates as of April 1, 2011, particularly the 9 State mandates that consume 90 percent
of the property tax levy statewide. This will encourage and empower the State to reform these programs
once increased costs are taken over by the State.
191. No new unfunded mandates.
192. Give counties permanent authority to determine a local sales tax rate up to a total of 4.5 percent.
193. Create a “Consolidated Balance Sheet” at the State level as a way to look at the total cost of providing
services to the public—Federal, State and local. Too often the State makes decisions that will save funds
in the State budget, but passes those costs to a different level of government. The cost of the program is
still the same, it’s just that more of the funding comes from the property tax, instead of the State’s general
fund.
194. Force elimination of town/city collection and assessment. This should be a county responsibility and
function.
195. Repeal Wicks Law in its entirety. It’s an anachronism.
196. Counties should be held to actual regional prevailing wages in their communities.
197. Eliminate the requirement to file all county appointments with the Governor’s Office.
198. Eliminate the $25 mortgage tax exemption.
199. Electronic recording of land records—including deeds and mortgages—should be allowed to be submitted
to County Clerks as “digitized paper documents” and “electronic records.”
200. Amend requirement for legal notices to be printed in newspapers and allow municipalities to decide on
their own media methodology.
201. Eliminate the mandate requiring counties to make school districts whole for delinquent property taxes.
There is no cost to the State and it will lower county property tax levy by hundreds of millions of dollars.
Education
202. Eliminate community college chargebacks for students currently enrolled in high school.
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203. Require students to pay community college fees if he/she fails to achieve passing grade.
Elections
204. Counties should have more control over Board of Elections Commissioners and their staff.
205. NY Election Law 3-400 (3)a sets the number of voters per election district at no more than 1150. This is a
vestige born by the capabilities of the old lever machines. We no longer need that limit because the new
machines can handle multitudes of more voters.
206. The county Boards of Election should be able to set the number of voters per Election District, allowing
them to cut back on an already dwindling pool of Election Inspectors that must be employed each year.
Inspectors are a major expense for Boards of Election.
Health & Social Services

207. Allow health insurance consortiums to be established between municipalities, counties, and private sector
entities.
208. Stop Department of Health planned implementation of new lead poisoning prevention regulations. The
regulations as currently drafted defy common sense in the current fiscal environment, placing an additional
unfunded mandate on counties and an unrealistic burden on NYS homeowners.
209. OCFS/DSS: Provide for the complete and comprehensive takeover of all local Social Service District operations
and costs by NYS.
210. If State funding or other reimbursement does not keep pace with all costs for mandated public health
expenditures, then the mandates must be removed and counties must be given the ability to limit the
amount of services.
Justice & Corrections

211. Repeal the drug dealer protection act of 2009 which placed tremendous unfunded burdens on counties
to defend newly created rights to “diversion” and sealing of predicate felony convictions.
212. Amend Civil Service Law to allow county sheriffs to hire State Troopers without a 211 waiver. This will save
on pension and health care costs for counties and can reduce the ranks of the State Police and enable the
State to recruit troopers at a lower salary.
213. Give counties greater authority to determine housing of inmates in county jails.
214. Taylor Law and ability to pay must be reformed to fit 21st century reality and public sector fiscal constraints
for jail staffing requirements. Allow flexibility based on inmate population mix and safety performance.
215. Allow county jails to refuse a parole violator unless for a short-term emergency.
216. Allow a judge to dispense with the need for a personal court appearance by a defendant when a video
teleconference is deemed appropriate. This will reduce the cost and difficulty associated with securely
transporting the defendant to court.
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217. Allow jails to house men and women receiving care or treatment in a facility-operated infirmary, provide.
that proper separation is maintained. This will eliminate the requirement for duplicative facilities.
218. Create regional revocation centers that can house parole violators and state ready inmates in state prisons
slated for closure. This would Get them out of our jails. Lower staff time and cost on our end.
Procurement
219. Allow counties to use best value/low price in procuring services/goods.
220. Modernize procurement: any municipality can buy off any federal/state/municipal contract.
221. Allow for reverse auctions.
222. Increase procurement bidding thresholds for goods and services from public works contracts from $35,000
to $100,000 and purchasing contracts from $20,000 to $50,000.
Transportation
223. Eliminate the unfunded mandate which prohibits local governments from using their own employees,
equipment and materials on repairing road and bridge projects exceeding $100,000 in value. Currently
the projects exceeding this cost must be turned over to private sector contractors. County officials would
like to see that threshold raised to $250,000.
224. Streamline Right of Way acquisition process to allow municipalities to purchase small parcels (less than 1
acre) using local methodology when State or Federal funding is involved
225. Storm Water Regulation—exempt linear road projects.
226. Streamline DOT’s Design Development Process for federal aid projects.
227. Prevailing wage/Wicks Law—set minimum threshold to use when prevailing wage are necessary.
228. Allow municipalities to distribute fuel to other municipalities and not-for-profits without subject to sales
tax.
229. Work with our federal representative to revise Federal Highway Administration (FHWA) Mandates. Examples
include uniform process for Right of Way acquisitions, revision of FHWA’s Manual on Uniform Traffic Control
Devices, and uniform traffic sign regulations.
230. Enact the minimum low volume rural road standards.
County 911 Operations

231. Allow counties to use existing State funding streams for investment in 911 infrastructures such as the
continued development/creation of county owned and operated Statewide Master Street Access Guide
(MSAG) for 911 operations. These databases help 911 dispatchers locate callers and connect relevant
information, such as caller identity and location. Investment in county MSAGs would yield a recurring
savings in every county’s 911 operating budgets and could save millions across all the counties in NYS, e.g.
an estimated savings for Monroe County alone is $250,000 per year. This investment would set up New
York counties to be prepared for the advancements of Next Generation 911 (NG-911).
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January 2011
© 2011 New York State Association of Counties
32

NYSAC County Mandate Report

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NYSAC County Mandate Report

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Reforming

County Leadership Team

Hon. Maggie Brooks (Monroe)

Hon. A. Douglas Berwanger (Wyoming)

Charles Nesbit (Orleans)

12. Eliminate Personal Care Aide Level 1 services.

16. Put Personal Care under Medicaid Managed Care.

19. Revisit dispensing fees to encourage generic dispensing.

44. Regulate WIC, food stamps.

48. Count emergency relief toward the five year clock.

60. Eliminate the Automated Finger Imaging System requirement.

62. Allow/incentivize public-private partnerships to provide sheltered or DSS-supervised work in private

69. Encourage and increase incentives for permanent adoption.

75. County discretion in setting and determining caseload standards.

78. Eliminate the cumbersome format of the Consolidated Services Plan.

80. Restore child protective/preventive funding to 65 percent.

Preschool Special Education

87. Limit eligibility to individuals that have greater delays in development.

89. Fee schedule for services.

89. Flexibility in implementation, appointment to Special Education Committee as a voting member.

101. Counties should have authority/discretion in determining indigence.

117. Allow an automatic 10 percent surcharge for collection of restitution.

General Fiscal Relief (non-fee)

General Probation Recommendations

127. Legal minimum qualification requirements for probation should be re-evaluated.

Youth Related Probation Recommendations

140. Eliminate mandated contact requirements for differential supervision.

Sex Offender Supervision

142. Refine and/or eliminate sex offender housing regulations.

145. Include means testing and require parental contribution.

147. Counties should have control of Individualized Education Plan decisions.

170. Re-examine the rate setting methodology.

174. Re-evaluate pension return guarantee.

178. Pursue a constitutional amendment to reduce/restore pension benefits to pre-2000 levels.

Other Mandate Relief Ideas

191. No new unfunded mandates.

195. Repeal Wicks Law in its entirety. It’s an anachronism.

198. Eliminate the $25 mortgage tax exemption.

Health & Social Services

Justice & Corrections

221. Allow for reverse auctions.

225. Storm Water Regulation—exempt linear road projects.

230. Enact the minimum low volume rural road standards.

County 911 Operations

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