nys local government handbook 6th edition [2009]

Department of StateDepartment of StateDepartment of StateDepartment of StateDepartment of State

LACOL LACOLGOVERNMENT

HANDBOOK

Andrew M. CuomoGovernorGovernor

Local Government Handbook

6th Edition

2009

State of New York Department of State

Andrew M. Cuomo Governor

Table of ContentsPage

Chapter I The Origins of Local Government—and the Federal System 1 The Heritage of History Some Basic Beliefs The Land and the People The Federal System

Chapter II The State Government 11 The Legislature and the Legislative Process The Governor Lieutenant Governor State Comptroller Attorney General State Agencies

Chapter III The Judicial System 19

Chapter IV Local Government Home Rule Power 29 Constitutional and Statutory Sources of Local Authority Local Legislative Power

Chapter V County Government 39 The Changing Nature of County Government

County Government Organization The Functions of County Government

Chapter VI City Government 51 Home Rule and the Cities—Historical Development The Forms of City Government Contents of City Charters Decentralization and Urban Problems New York City

Chapter VII Town Government 59 The Beginnings of Town Government Characteristics of Towns Government Organization Operations and Services Summary

i

Chapter VIII Village Government 67Creation and OrganizationFinancing Village ServicesVillage DissolutionTrends

Chapter IX Special Purpose Units of Government 75Public Education

Organizing for Fire Protection Public Benefit Corporations

Chapter X Citizen Participation and Involvement 85 The Electoral Process Referenda Facilitating Citizen Participation Public Information and Reporting Handling Citizen Complaints

Chapter XI Financing Local Government 93Local Expenditures in New YorkLocal Government RevenuesProperty TaxationLocal Non-Property TaxesSpecial Charges, Fees and EarningsState AidFederal Aid

Chapter XII Administering Local Finances 105Tax and Debt LimitsBorrowings and Debt ManagementMunicipal Finance Administration

Chapter XIII Personnel Administration 113Historical DevelopmentNew York State Civil Service LawLocal Civil Service AdministrationFederal Acts Affecting Personnel AdministrationState Assistance and TrainingSummary

ii

Chapter XIV Labor-Management Relations 121Historical BackgroundThe Public Employment Relations BoardElements in the Bargaining ProcessImproper PracticesContract AdministrationSummary

Chapter XV Public Services 129State Agency OperationsSocial Service and Public Health ProgramsCommunity DevelopmentPublic SafetyEnvironmental ProtectionTransportationConsumer Protection ServicesLabor and Working ConditionsOther ServicesThe Future

Chapter XVI Land Use Planning and Regulation 147The Police PowerThe Planning BoardComprehensive PlanningCounty PlanningZoning and Related Regulatory ControlsOther Land Use ControlsSupplementary Controls

Chapter XVII Public Authorities, Regional Agencies and Intergovernmental Cooperation 159Public AuthoritiesRegional AgenciesThe Regional Planning CouncilsRegional Solutions Through Intergovernmental Cooperation

Acknowledgments 169Web Sites for Local Government Offices 171

iii

List of Tables

Table Page

1 Distribution of New York Towns and Villages by Population Category 5

2 Population Change by Type of Municipality, 1990 - 2000 6

3 New York State Court System Characteristics 21

4 Constitutional Provisions Relating to Local Government 31

5 Consolidated Laws Relating to Local Government 32

6 New York State Counties 40

7 Charter Counties in New York 42

8 Trends in County Expenditures by Purpose 48

9 Form of City Government 54

10 Town Special Districts and Fire Districts by Type of District 65

11 Village Incorporations since 1940 69

12 Villages Which Have Administrators/Managers 71

13 Village Dissolutions in New York State 73

14 New York State School Districts, as of July 2004 76

15 Local Authorities and Other Special Purpose Entities 81

16 Local Government Current Expenditures by Function, 2005 94

17 Local Government Current Expenditures, 2000 and 2005 95

18 Local Taxes in New York State, 2000 and 2005 96

19 2005 Local Government Revenue Sources Percent Distribution 96

20 Local Government Real Property Tax Revenue by Type of Government, 2000 and 2005 97

21 Local Non-Property Tax Revenue, 2000 and 2005 101

22 State Aid Payments to Local Governments by Type of Government, 2000 and 2005 102

23 Federal Aid Payments to Local Governments, 2000 and 2005 by Type of Unit 104

24 Steps to Resolve Bargaining Deadlocks 124

25 Public Authorities by Date Created 159

26 Revised Breakdown of Public Authorities by Class 161

27 Regional Planning Commissions and Councils 165

iv

v

List of Figures

Figure Page1 Map of New York State Towns by Population 2000 6

2 Map of New York State Towns by Population Density, 2000 7

3 Course of Bill Through New York State Legislature 14

4 New York State Unified Court System 20

5 Judicial Districts of the State of New York 23

6 County Government County Law Form Organization Chart 46

7 County Government Executive Form Organization Chart 47

8 County Government Manager Form Organization Chart 47

Local Government Handbook 1

CHAPTER I

The Origins of Local Government — and the Federal System

Local government in New York has evolved over centuries of experience that Empire State residentshave had in dealing with the land and its resources. The governmental forms created by the people reflectfunctional concerns, a fear of concentrated governmental power and a sustained dedication to basicideas of representative government.

Although we often speak of three “levels” of government, the United States Constitution mentions onlytwo: the federal government and the state governments. The federal system, however, implicitly includesthe idea that the states, in the exercise of powers reserved to them by the United States Constitution, wouldprovide for local governments in ways that would take into account local diversities and needs. To theextent that the states have made such provisions in the form of state constitutional grants of home-rulepower to the local units, such as in New York, local governments have become, in fact as well as in theory,a third level of the federal system.

Approximately four hundred years have passed sincethe first Europeans settled in what is now New York State.The experiences of the millions who have lived in thisstate have provided the raw materials for the creation ofpresent-day social and governmental institutions.

This chapter reviews some basic considerations thatare relevant to the following questions:

• Why did New Yorkers of long ago create local gov-ernments?

• What types of governments did they establish?• What did they believe about governmental power

and its uses?• How did the land, its climate and its diversities con-

tribute to the shaping of governmental patterns?• How did New Yorkers mesh their governmental

patterns with those of the emerging nation?

The Heritage of History“Before the first Roman soldier stepped on the shore

of England…” are the words which open a “History ofthe County Law” in the 1950 edition of McKinney’sCounty Law of the State of New York.

The origins of local government in New York Statemay be traced to that moment in ancient history. A histo-rian of county government will find, for example, that thefamiliar office of sheriff existed in England over one thou-sand years ago — as did the reeve (tax collector) of theshire or “shire-reeve.”1

Of course, long before the early European settlersbegan to plan their particular forms of governmental or-ganization in New York State, the Iroquois Confederacyexisted as a relatively sophisticated system of govern-ment. The Iroquois Confederacy included extensive in-tergovernmental cooperation and operated effectivelyfrom the mouth of the Mohawk River to the GeneseeRiver. The Iroquois had found it advantageous to substi-tute intertribal warfare and strife for a cooperative ar-rangement in which each of the six tribes carried out as-signed functions and duties on behalf of all. The federalarrangement in the United States Constitution was pat-terned after the Iroquois Confederacy. The familiar pat-terns of local government in New York today, however,stem largely from the colonial period.

Colonial Government in New YorkEstablished by the Dutch, the first local governments

in New York began as little more than adjuncts to a fur-trading enterprise. Under a charter from the governmentof the Netherlands, the Dutch West India Company ruledthe colony of New Netherland from 1609 until the Brit-ish seized it in 1664.

At first the Dutch concentrated almost wholly on com-merce and trade, particularly the fur trade. As early as1614 and 1615, they established trading posts at FortNassau, near the present Albany, and on Manhattan Is-land. Serious efforts to colonize began in 1624, whenNew Netherland became a province of the Dutch Re-

NYS Department of State2

public. Beginning in 1629 the Dutch established feudalmanors, called “patroonships,” to expedite the effort ofpermanent settlement. That system bestowed vast landgrants upon individual “patroons,” who were expectedto populate their holdings with settlers who would culti-vate the lands on their behalf.

The Dutch rulers of New Netherland initially did notdraw a sharp line between their overall colonial or pro-vincial government and that of their major settlement,which was called New Amsterdam. It was not until 1646that the Dutch West India Company granted what ap-pears to have been certain municipal privileges to the“Village of Breuckelen” — lineal ancestor of the present-day Brooklyn — located across the East River from NewAmsterdam. Fort Orange, which later became the Cityof Albany, obtained similar municipal privileges in 1662.In 1653, the “Merchants and Elders of the Communityof New Amsterdam” won the right to establish what wascalled “a city government.” This was the birth of the mu-nicipality which would later become New York City.

The Dutch colonial period lasted for more than 50years. In 1664, during hostilities leading up to the secondAnglo-Dutch War, Peter Stuyvesant, the last Dutch gov-ernor, surrendered New Netherland to James II of En-gland, who came to be known as James, Duke of York.The British easily adapted the governments previouslyestablished by the Dutch to their own patterns and thenfurther modified them to meet the needs of colonial NewYorkers.

Pressed to name a single source for the present pat-tern of local government in New York, a historian cancite a number of dates and places and can argue thateach has validity. However, the most prominent singleevent in the development of contemporary forms of localgovernment in colonial New York was the “Convention”of delegates, which took place in 1665 at Hempstead, inwhat is now Nassau County. Its purpose was to proposelaws for the colony which had only the year before passedfrom Dutch to British rule. The laws proposed by thesedelegates were adopted for the most part and came tobe called the Duke of York’s laws. They recognized theexistence of 17 towns and created one county, calledYorkshire. Thus, the beginnings of town and county gov-ernment in New York reflected colonial policies of theEnglish government, certain Dutch patterns, and Britishcolonial experience.

At an historic “General Assembly of Freeholders” con-vened in 1683 by Governor Thomas Dongan, partici-pants passed a charter outlining the principles by which

the colony ought to be governed. Known as the Charterof Liberties and Privileges, its principles were drawn fromthe Magna Carta and closely resembled our modern con-stitutions. Among other important actions, the Assemblydivided the province of New York into 12 counties. Thecounty became the basis of representation in the Colo-nial Assembly and also the unit of administration for thesystem of courts that was established at the same time.The charter was signed by the Duke of York and thenvetoed by him five months later when he ascended to thethrone as King James II. He abandoned the throne in1688, and in 1691, a new assembly, elected under Gov-ernor Henry Sloughter, passed new statutes reassertingthe principles contained in the original charter.

The office of town supervisor also originated at thistime in a directive to each town to elect a freeholder, tobe called the “town treasurer,” “to supervise and exam-ine the publique and necessary charge of each respectivecounty.” It is of interest to note that the original functionof this office, called the “town supervisor” after 1703,was to allocate county expenses among the towns. Countyboards of supervisors and county legislatures developedfrom the meetings of the colonial town supervisors forthe purpose of apportioning county expenses.

In 1686, the British Crown issued charters, known asthe “Dongan Charters,” to the cities of New York andAlbany. A century would pass before another city waschartered in New York. The City of Hudson received itscharter in 1785 by an act of the State Legislature andthus became the first city to be chartered in the new UnitedStates.

It is apparent that many of the basic patterns and forms,as well as some of the practices, of local government inthe Empire State already existed at the time of the Revo-lution. The first State Constitution, which became effec-tive in 1777, recognized counties, towns and cities as theonly units of local government.

The village emerged as a fourth unit of local govern-ment in the 1790s through a series of legislative enact-ments granting recognition and powers to certain hamlets(see Chapter VIII). This trend culminated in 1798, whenthe Legislature incorporated the villages of Troy andLansingburgh. Neither now exists as a village;Lansingburgh was long ago absorbed into what has be-come the City of Troy.

Some Basic BeliefsLocal governments in the Empire State are more than

merely products of four centuries of history; they also


reflect basic beliefs and perceptions that are deeply heldby past and present residents of the State.

There is a fundamental perception, widely sharedamong Americans, that although governmental power canbe used to benefit the people, it can also be used to harmthem. This awareness has fostered a firm conviction inNew Yorkers that the people must not only promote thedesirable uses of governmental power, they must alsocarefully protect themselves from the abuse of such power.

For this reason, many protective mechanisms havebeen put in place to hedge the constitutional and statu-tory provisions that authorize the use of power for spe-cific purposes. These mechanisms are designed to as-sure that power will only be used for generally accept-able purposes and in ways which will not infringe undulyupon either the dignity or the established rights of the in-dividuals, on whose behalf the power is presumed to beexercised.

Later chapters will identify and describe such protec-tive measures as the judicial system, due process of law,certain constitutional protections, instruments of direct de-mocracy (such as referenda, citizen boards and commis-sions), and other mechanisms of representative self gov-ernment — all of which reflect a basic belief that we mustsubject governmental power to tight controls if we wantto protect the people against tyranny, whether it is thetyranny of a king, a dictator or a political majority.

The people’s strong attachment to representative gov-ernment has greatly influenced the organization and op-eration of local government. The Charter of Liberties andPrivileges (also known as “Dongan’s Laws”) declared in1683 that the supreme legislative authority, in what wasthen the colony, “under his Majesty and Royal Highnessshould forever be and reside in a Governor, Council, andthe people met in General Assembly.” The Council andthe Assembly, thus endowed with supreme legislativeauthority, constituted a bicameral (two-chambered) leg-islature in which at least the Assembly reflected a belief inrepresentative government. In this particular case, repre-sentation was by counties. From the very earliest days,the forms of local government in New York have demon-strated the people’s firm belief in representative govern-ment.

In addition, New Yorkers have always regarded gov-ernment in a very practical way. Conceiving of govern-ments as instruments to carry out duties and functions tomeet specific needs, they created local governments tocarry out particular activities. The Constitution, the stat-

utes, and the charters of the cities, a few villages andsome counties, spell out these duties and functions.

Since New Yorkers have typically created local gov-ernments to meet generally recognized needs, it followsthat they would see the forms, powers and operationalarrangements of local governments as devices to accom-plish specific ends.

Constitutional amendments, changes in state laws, andlocal legislative and administrative action have all facili-tated the adjustment of form to function. Such measureshave kept local governments responsive to the practicalneeds of the people that are served by such governments.Of course, it is not always easy to make such adjust-ments and later chapters will identify and describe ten-sions which develop when adjustments lag behind per-ceived needs.

The Land and the PeopleThe functions of local governments reflect not only the

history and beliefs of the people, but also their interests,how they go about the business of conducting their livesand the characteristics of their physical environment.

New York State encompasses an enormous variety ofnatural environments. While many local governments onLong Island are concerned with beach erosion and masstransit, those of the North Country often focus on suchissues as winter recreation development and snow con-trol.

New York State’s location and geography has influ-enced the shaping of local government in several funda-mental ways. Occupying a prominent position among the13 original colonies, New York firmly held its position asthe nation expanded over the two centuries that followed.More than one-third of the battles of the American Revo-lution were fought in New York, including two decisivebattles in the Town of Stillwater and the resulting Britishsurrender at Saratoga, which collectively became the turn-ing point of the war. In New York City, the Federal Unioncame into being in 1789.

From the start, New York has been the nation’s mostimportant roadway to its interior, and its primary gate-way from and to the rest of the world. The harbor ofNew York City and the waterways, railroads and high-ways of New York have provided the arteries over andthrough which a large portion of the nation’s commercehas flowed. Airline route maps for the United States andthe world illustrate the convergence of transportation inNew York State and New York City. New York’s natu-


ral resources and its people have maintained New York’sstanding as one of the nation’s largest manufacturing states,and as the undisputed financial center of the nation.

The observer who generalizes about New Yorkers andtheir state does so at his/her peril. If there is a single at-tribute that characterizes New York, it is diversity.Montauk Point at the eastern tip of Long Island, RousesPoint at the state’s northeastern corner, and Bemus Pointnear the southwestern corner share little beyond theirdesignation as “Points,” and all abut bodies of water whichare themselves diverse — the Atlantic Ocean, LakeChamplain and Chautauqua Lake, respectively.

The LandNew York has an area of 53,989 square miles, of which

6,765 square miles are water. Two masses of mountains— the Adirondacks and the Catskills — stand out in NewYork’s topography, while Long Island, a 1,701-square-mile glacial terminal moraine, juts 118 miles into the At-lantic Ocean from the mouth of the Hudson River at thetip of Manhattan Island. New York is additionally uniquein that its 75 miles of shoreline on Lake Erie, more than200 miles on Lake Ontario and approximately 165 mileson the Atlantic shore make New York the only state thatis both a Great Lakes state as well as an Eastern Sea-board state.

The waters of New York drain literally in all directions:southward to the Hudson, Delaware and SusquehannaRivers; westward to Lake Erie; and northward to LakeOntario and the St. Lawrence River. Also, a small part ofthe state’s southwest corner lies in the Mississippi Riverwatershed. Those New York waters drain eastward intothe Alleghany River and onward into the Ohio River. TheOhio River empties into the Mississippi River, and ulti-mately, New York waters discharge into the Gulf ofMexico.

The rivers and waterways of New York greatly influ-enced the development of local government in the state.Settlement followed the waterways and hence river val-leys saw the earliest local governments. Most prominentamong the rivers, the Hudson is navigable by ocean-go-ing vessels for nearly 150 miles inland to Albany. Also,near Albany, the Mohawk River and the Erie Barge Ca-nal extend westward from the Hudson River to form awater transportation route from eastern to western NewYork. In the southern tier region of the state theSusquehanna River, and to some extent the DelawareRiver, provided waterways along which commerce, tradeand settlement moved. In the northern and northwesternparts of the state, Lakes Erie, Ontario, and Champlain,

as well as the St. Lawrence River provided additionalavenues for development.

The ClimateMeteorologists describe the climate of New York State

as “broadly representative of the humid continental typewhich prevails in the northeastern United States, but itsdiversity is not usually encountered within an area of com-parable size.”2 This means that New York enjoys a cli-mate of extremes — hot in the summer and cold in thewinter.

Immediately east of Lake Erie, in the Great Lakes plainof western New York, and in those areas influenced bythe Atlantic Ocean, such as Long Island, winter tempera-tures are often substantially more moderate. Long Islandand New York City, for example, record below-zero tem-peratures in only two or three winters out of ten.

To understand the significance of this climatic diversityone need only glance at the average length of the frost-free season, which varies from 100 to 120 days in theAdirondacks, Catskills and higher elevations of the west-ern plateau, to 180 to 200 days on Long Island. With itsobvious implications for the agricultural and other eco-nomic interests of New Yorkers, the climate directly af-fects local government. In parts of the state that are re-ferred to as “snowbelt” regions, the average yearly snow-falls exceed 90 inches. In these areas, a local govern-ment must devote a major portion of its time and munici-pal budget to snow control on the highways and relatedchallenges of highway maintenance.

The PeopleNowhere is the essential diversity of New York more

clearly demonstrated than in the ethnic and national ori-gins of its people. From the earliest days of colonial settle-ment, the multiplicity of people coming to the great har-bor at the mouth of the Hudson River nurtured the growthof the nation’s largest city. Immigrants from all over theworld flowed through the vast funnel of New York City.While many went on to populate the nation, others re-mained residents of the city or the state. The languages ofthe world continue to echo on the streets of Manhattan.

For 16 decades prior to 1970, more residents of theUnited States lived in New York than in any other state.After 1980, New York was supplanted by California asthe most populous state. With a 2000 Census populationof 18,976,457, New York now ranks third to Californiaand Texas, which have 2000 Census populations of33,871,648 and 20,851,820, respectively.3


The downstate counties — Nassau, Suffolk,Westchester and the five boroughs of New York City —account for over 60 percent of the state’s population.

Table 1 reveals the diverse sizes of New York’s townsand villages. The largest number of towns and villages fall

SOURCE: 2000 Census of the Population, courtesy of the Empire State Development.

VillagesTowns

These population statistics and those of Figure 1 andTable 2 reveal a great deal about local government activ-ity. In some areas of the state, the local governments ha-bitually deal with issues of expansion and growth. Theymust provide basic public services and amenities, underconditions of rapid expansion, and somehow finance these

TABLE 1Distribution of New York Towns and Villages by Population Category

activities. In other areas, local governments oversee staticcommunities where little or no growth is taking place. Afew areas face issues associated with contraction, where,for instance, excess school facilities are visible in com-munities with declining populations of school-age chil-dren.

Population

Up to 500

500 - 2,499

2,500 - 4,999

5,000 - 9,999

10,000 - 14,999

15,000 - 19,999

20,000 - 24,999

25,000 - 49,999

More than 50,000

Total

13.0

49.2

19.0

12.5

2.9

1.6

0.7

0.9

0.2

100.0

Percent

72

272

105

69

16

9

4

5

1

553

Number

3.2

41.3

22.5

17.1

5.5

2.6

1.4

4.2

2.3

100.0

Percent

30

385

210

160

51

24

13

39

21

933

Number

in the 500 to 2,499 population grouping. However, someNew York villages have more than 25,000 people andsome towns have populations over 50,000.


FIGURE 1Map of New York State Towns by Population 2000

1 Includes villages.2 Includes the five boroughs of New York City.

SOURCE: 2000 Census of the Population, cited in the 2005 Annual Report, Office of the State Comptroller

TABLE 2

Population Change by Type of Municipality, 1990 - 2000

Towns1

Villages

Towns outside of Villages

Cities other than NYC

New York City2

Total

45.8

9.9

35.9

11.9

42.2

100.0

Percent ofTotal Population

4.9

2.2

5.7

-4.9

9.4

5.5

Percent Change

8,692,132

1,871,947

6,820,185

2,265,897

8,008,278

18,976,457

2000

8,286,227

1,832,430

6,453,797

2,381,664

7,322,564

17,990,455

1990


FIGURE 2Map of New York State Townsby Population Density, 2000

The People’s InterestsIf government does indeed exist to serve the practical

needs of the people, it follows that local governmentsshould reflect the desires of the people and devote ef-forts to the concerns of the people.

New Yorkers, like most people, are vitally concernedwith issues related to making a living. Government at alllevels has a role in maintaining an environment that is con-ducive to such pursuit. Accordingly, some basic economicstatistics concerning New Yorkers are in order.

More than one-sixth of those employed in New YorkState work for federal, state or local government. Whetheror not employees of local school districts are included,local governments employ far more people in New YorkState than the state and federal governments combined.

The total non-agricultural labor force of the state inJune of 2005 was estimated at 8,608,800; an 87,600job increase over June of 1999. Service industries, in-cluding wholesale and retail trade, financial, transporta-tion and other services, lead the way with over 89 per-

cent of the non-agricultural employment in New YorkState.

New York State agriculture is surprisingly diverse andvibrant. Agriculture is not only a vitally important elementof New York’s total economic life, it is often times thesocio-economic backbone of New York’s rural commu-nities. The positive impact that New York State agricul-ture has on the local economic multiplier estimates farexceeds the local economic multipliers of many otheremployment sectors.4 Agriculture also provides manyvaluable quality-of-life benefits such as open space, habitatprotection, agri-tourism and recreational opportunities inthe form of hunting, fishing and snowmobiling. In 2005,there were 35,600 farms in New York State, comprising7.6 million acres of land or about 25 percent of the state’sland area. The total value of agricultural products sold in2005 was $3.6 billion dollars, which represents an in-crease of 14 percent over 2000 numbers, more than halfof which was derived from dairy cattle and milk produc-tion.5


The Federal SystemAmong the factors that have influenced the nature and

development of local government in New York, one ofthe most important has been the state’s role as a mem-ber—a charter member—of the federal union called theUnited States. The state and its local governments are anintegral element of the federal system.

At the time the people of the United States were cre-ating the Federal Union in 1787-1789, they deeply fearedgreat concentrations of governmental power. Accordingly,the United States Constitution established more than oneprincipal center of sovereign power.

Although the United States Constitution does not men-tion local government, the constitutional fathers were wellaware of its existence and importance; it is clear that theysaw it as a vital and continuing element of American life.The First Congress made the intention of the framers ex-plicit in 1789 when it proposed the Tenth Amendment —all powers which were not delegated to the national gov-ernment would rest with the states.

Among other reserved powers, the states were free tosubdivide, not only their territory, but also their powers,authority, and functional responsibilities, as they believedappropriate to their unique needs and requirements. Ac-cordingly, every state in its own way has provided forlocal governments and has endowed them with relativelyindependent authority to deal with issues that are regardedas local in nature. This has been done within limitationsand according to applicable procedures set forth in theUnited States Constitution. The reapportionment ofcounty legislative bodies to conform with the Equal Pro-tection clause of the 14th Amendment (described inChapter V) provides a clear example.

When, as in New York, the people of a state haveendowed their local governments with extensive home-rule authority through State Constitutional provisions, itis possible to regard the local government as a third levelof the federal system. By delegation from the people ofthe state, the local government constitutes a third centerof sovereign power, energy and creativity.

The Federal IdeaLocal government in New York is more than a me-

chanical device or a set of legal formulas that channelpolitical power toward specific objectives. It includesbeliefs and values that reflect basic ideas, and it embod-ies centuries of practical experience.

In 1789, the people of the several states were awareof and asserted their differences and diversities. If they

were to accept a central government, it would have torecognize that the states would retain and exercise pow-ers and decision-making authority in affairs of immediateand direct importance to the people in the places wherethey lived and worked. The American people still holdfirmly to the idea of federalism. It operates both betweenthe national government and the 50 state governments onthe one hand, and between the individual states and theirlocal governments on the other.

The federal system should not be viewed exclusively,however, as a means for limiting the concentration ofpower. It also permits the people to use power most ef-fectively to deal with problems that are special andunique to different regions of such a highly diverse land.

By leaving the states free to organize and empowerlocal government in response to the demands and needsof local areas, the constitutional framers gave a vast na-tion the capacity to achieve necessary unity without sac-rificing useful diversity. Fostering the unity necessary tohave a nation and giving free play to diversity at the sametime is the essence of the federal system. Over two hun-dred years of American history demonstrate the suitabil-ity of local government for the nation as a whole, and forNew York State in particular.

The National GovernmentA thorough description of the national government

would require several books the size of this one, but weshould note some fundamental facts.

First, the national government is a government of “re-stricted” powers. Over the years, presidential, congres-sional, and judicial interpretations have found constitu-tional authority for adjusting and broadening the specificpowers granted to the national government into functionalareas that the framers could never have foreseen. None-theless, the Tenth Amendment of the United States Con-stitution, which reserves powers to the states, is still ap-plicable.

Article 1, section 8 of the Constitution grants Con-gress the power “to regulate Commerce with foreign na-tions, and among the several states.…” Without formalamendment, this has sufficed to accomplish such diversenational purposes as the assurance of orderly air travel,electronic communication by radio, television and (po-tentially) the internet, and the maintenance of orderly la-bor-management relations in the nation’s industries.

Because the national powers alone cannot direct manyareas of governmental activity efficiently or effectively,there has been a clarification — perhaps even a strength-


ening in some cases — of the roles of states and localgovernments in the federal system. We can see this, forinstance, in some aspects of governmental action regard-ing environmental pollution. The national government hasnot been urged to assume the task of picking up solidwaste matter from the curbs in front of homes throughoutthe country. Nor is this an appropriate matter for thestates. The duty to collect solid waste is, by general agree-ment, a function of local government.

What, then, should the national and state governmentsdo in the area of solid waste management? The nationalgovernment sets standards, conducts and finances re-search to develop new technologies for waste disposal,and provides financial assistance to utilize the new tech-nologies to meet the standards. State governments matchthe research findings to their particular needs, developspecific regulations and operational procedures to meetthe standards, devise optional organizational arrange-ments, and provide technical and financial assistance tolocal governments with issues related to solid waste man-agement.

Collaborative governmental action can also best handlemany other areas of public service.

The Role of the States and Local GovernmentThe states have “residual” powers. In the words of the

Tenth Amendment of the Constitution, the states have “thepowers not delegated to the United States by the Con-stitution, nor prohibited by it.…”

Some people assert that the states have “lost” powerto the national government, as the latter has moved moreand more into areas once regarded as the exclusive prov-ince of the states.

To some extent this may be true, but it is also true thatstate activity has grown. The situation is not so much oneof relative gains or losses of power as it is of expandinggovernmental roles at all levels.

Recent experience shows that even as societal issuesbecome nationwide in scope, they often retain state andlocal dimensions that make it desirable for the states andlocal governments to act in concert with the national gov-ernment.

More and more, contemporary federalism has becomea cooperative arrangement whereby national, state andlocal governments direct their energies toward commonobjectives. Consider the great highway network that nowspans the nation. National, state and local governmentsall help to finance, build and maintain roads.

Any recent state or municipal budget includes a rangeof joint national-state-local actions that extends into fa-miliar areas of modern life — public, health, social ser-vices, education, environmental pollution, and land-useplanning. Local government officials increasingly findthemselves cooperating in enterprises where they mustcoordinate their individual roles with officials who are simi-larly engaged at other levels of government.

The Contemporary Federal SystemFor more than a century and a half, people sought to

clearly distinguish what the national government could dofrom what the states could do. The United States Su-preme Court has filled many shelves with learned dis-courses and decisions related to this purpose.

In recent decades, relationships within the federal sys-tem raise less questions of relative powers, and more ques-tions regarding the portion of an overall governmentalobjective that each level of government can achieve. Sincecontemporary social problems have many facets and di-mensions that cross governmental lines, it is no longerproductive to view the federal system as an arena whereantagonists contend for power. It is far more useful toconsider which government can perform a given func-tion, activity or duty and produce the best results.

The contemporary questions of federalism ask: howbest to spread the costs of certain types of governmentprograms among the tax-payers of the whole nation, howbest to channel the dwindling natural resources of thenation to purposes of greatest benefit to all, how best toensure that the powers of government are not used un-fairly for the benefit of one segment of the society at theexpense of others, and how best to ensure that citizenshave a meaningful role in making decisions that are im-portant to them.

In some ways the contemporary federal system oper-ates in the way the framers envisaged. But we look at thesystem somewhat differently now than we did in the past.The root question of the national-state relationship hasalways been the extent to which the system would becentralized or decentralized. Today we often answer thisquestion in terms of how much centralization or decen-tralization is necessary or desirable to meet agreed upongeneral objectives.

For local officials, one of the most significant attributesof the contemporary federal system is the array of fed-eral financial grant programs that have been authorizedby Congress, especially since World War II. The Cata-log of Federal Domestic Assistance, available from the


Superintendent of Documents, contains more than a thou-sand separate federal aid programs. Many, though notall, are available to local governments.

The fact that a program appears in the Catalog doesnot necessarily mean that funds are readily available.Making a federal grant program operational involves threenecessary steps. Congress must enact legislation that “au-thorizes” a relatively large amount of money for the pro-gram. Congress must then appropriate all or part of theauthorized amount-usually a considerably smaller figurethan the full authorization. Finally, the President must re-lease the appropriated funds through the federal budget-ary control mechanisms for administration by the desig-nated federal agency.

In recent years, many federal categorical assistanceprograms have been consolidated into block grants inresponse to demands for a simpler aid system and greaterflexibility in state and local use of federal funds. Despitethe continued consolidation of domestic assistance fund-ing into block grants, the dollar amounts allocated to vari-ous programs have been continually reduced.

The Future of the Federal SystemThe resolution of public problems often requires a multi-

pronged approach that the federal system not only makespossible, but facilitates. Many of our challenges can onlybe overcome by focusing the efforts of people at all lev-els. This belief has renewed the interest in various formsof decentralization, both of authority and of capacity todeal with specific problems. At the same time, it is real-ized that popular participation in community decisionmaking should always be encouraged in an increasinglypluralistic society.

Proper functioning of the federal system requires citi-zen participation, continual patience and compromise, andtoleration of diverse views and approaches. The federalsystem of government is far from perfect. However, itsinclusion of checks and balances, diffusion of authorityover several levels, and paramount respect foroverarching constitutional principles, makes it the stron-gest bulwark against tyranny that has ever been seen inthe world.

Chapter Endnotes1. Readers interested in the history of local government in New York will find informative the “Early History of Town Government”

in McKinney’s Town law, prepared in 1933 by Frank C. Moore. Moore later became Comptroller and Lieutenant Governor of NewYork, and his essay appeared in all subsequent editions of Mckinney’s Town Law. Also of interest is the “History of the CountyLaw,” prepared by James S. Drake as an Introduction for the 1950 edition of McKinney’s County Law.

2. Climate of New York, U.S. Department of Commerce, NOAA, “Climatography of the United States,” No. 60, p.2.

3. With a 2000 Census population of 18,976,457, New York now ranks third to California and Texas, which have 2000 Censuspopulations of 33,871,648 and 20,851,820, respectively.

4. Policy Issues in Rural Land Use, Vol. 9, No. 2 December, 1996. Department of Agriculture, Resource and Managerial Economics-Cornell Cooperative Extension.

5. New York State Agricultural Statistics 2005-2006 Annual Bulletin, printed and distributed by NYS Department of Agriculture andMarkets.


CHAPTER II

The State Government

Government in New York State is essentially a partnership between the state and the local units ofgovernment — cities, towns and villages. All of the elements of the state government — the Legislature, theoffice of the Governor, the courts and the vast administrative structure — are engaged in activities forwhich the local governments also share responsibility. To understand local government fully, it is neces-sary to gain a basic understanding of the state government and its far-reaching activities.

Our federal system of government divides responsi-bilities between the national and state governments. Thestates, in turn, delegate much power to local governments.The entire system calls for fiscal and political account-ability at each government level — from the White Houseto the village hall.

The interdependence and interrelationships among theOffice of the Governor, the State Legislature, state agen-cies, and local governments are important to know. Wemust understand the grants of authority, the scope of ju-risdiction, the organization and the operative processesof the executive, legislative, judicial and administrativeelements of state government in relation to the other ele-ments and to the local government function. The Gover-nor makes policy and provides administrative leadershipand direction; the Legislature also makes policy and imple-ments it by enacting legislation and appropriating funds.State agencies carry out the actual programs of state gov-ernment, and act as intermediaries and close workingpartners with local governments. By providing a checkand balance on the system, the courts also play an inte-gral part in the operation of state and local government.We will discuss the courts in the following chapter.

The Legislature and the Legislative ProcessThe Constitution of the State of New York vests the

lawmaking power of the state in the Legislature. It is abicameral, or two-house, legislative body consisting ofthe Senate and the Assembly. Bicameralism in the UnitedStates has two major roots: the English Parliament andthe “Great Compromise,” which was advanced by theState of Connecticut at the Constitutional Convention of1787. This compromise resulted in a Congress in whichall states have equal representation in the Senate and rep-

resentation roughly proportional to population in theHouse of Representatives.

CompositionArticle III, section 2 of the State Constitution prescribes

the number and terms of senators and assembly mem-bers. The number of senators varies, but there must be aminimum of 50. At present the Senate membership num-bers 62. Elected for two-year terms, members are cho-sen from senatorial districts established by the Legisla-ture. The presiding officer is the Lieutenant Governor,who may not participate in debates and may vote only inthe case of a tie. This tie-breaking vote applies only toorganizational and procedural matters and may not beexercised on legislation since constitutionally no bill canbecome law “…except by the assent of a majority of themembers elected to each branch of the legislature.”6 TheLieutenant Governor is not regarded as a member of theSenate. In the absence of the Lieutenant Governor, thepresiding officer is the President pro tem, whom the Sen-ate chooses from its own membership. However, thePresident pro tem retains the right to vote on all matters.

The State Constitution specifies that the Assembly shallconsist of 150 members chosen from single-member dis-tricts. Assembly members are elected simultaneously withsenators for two-year terms. The presiding officer of theAssembly is the Speaker, who is elected by members ofthe Assembly.

EligibilityArticle III, section 7 of the State Constitution requires

that legislators be citizens of the United States, state resi-dents for at least five years, and residents of the districtthey represent for at least one year prior to their election.


The Constitution does not specify a minimum age require-ment for members of the Legislature, but the statutes pro-vide that “No person shall be capable of holding a civicoffice who shall not, at the time he shall be chosen thereto,have attained the age of 18 years.”7

CompensationArticle III, section 6 of the State Constitution allows

the Legislature itself, by statutory enactment, to establishrates of legislative compensation. Salary is paid on anannual basis and provision is made for reimbursement ofexpenses. Neither salary nor any other allowance can bealtered during a term of office.

Dual Office HoldingThe State Constitution bars legislators from accept-

ing, during the term for which they are elected, a civilappointment from the Governor, the Governor and theSenate, the Legislature, or from any city government ifthe office is created or if its compensation is increasedduring the term for which the member has been elected.

The Constitution also provides that a legislator electedto a congressional seat or accepting any paid civil or mili-tary office of the United States, New York State (exceptas a member of the National Guard, Naval Militia orReserve Forces), or any city government shall vacate hislegislative seat.

Internal ProceduresThe State Constitution contains provisions regarding

the general organization of the Legislature. Each house:determines its own rules; judges the elections, returns andqualifications of its members; chooses its own officers;keeps and publishes a journal of its proceedings; andkeeps its doors open except when the public welfare mayrequire otherwise.

The Legislative ProcessThe Legislature convenes annually in regular session

on the first Wednesday after the first Monday in January.The Legislature, or the Senate alone, may also be con-vened in special session at the call of the Governor orupon presentation to the Temporary President of the Sen-ate and the Speaker of the Assembly of a petition signedby two-thirds of the members of each house of the Leg-islature.

Introduction of Bills. The introduction of a bill startsthe formal legislative process. In general, members of theLegislature may introduce bills, which often appear si-multaneously in both the Senate and the Assembly, be-

ginning on the date the Legislature convenes. However,the Governor can introduce budget bills under Article VIIof the Constitution without legislative sponsors. Bills maybe presented for “prefiling” on and after November 15for formal introduction when the Legislature convenes thefollowing January. Budget and appropriation bills that theGovernor has submitted pursuant to section 3 of ArticleVII of the Constitution may also be introduced. No billmay be introduced in either house on Fridays except bythe Committee on Rules or if submitted by the Governor.The Temporary President designates the final day for in-troduction of bills in the Senate in each session. In theAssembly, the final day for unlimited introduction is thethird Tuesday of May. After that date, and through thelast Tuesday of May, each member of the Assembly mayintroduce not more than 10 bills. Bills may be introducedafter the final dates for introduction only by unanimousconsent of the houses or by the Committee on Rules ofthe respective houses.

Committees. The rules of each house provide for theestablishment of standing committees to consider andmake recommendations concerning bills assigned to thecommittees according to the subject matter, area affectedor specific function to which the bills relate. A bill intro-duced in the Senate or Assembly is first referred to astanding committee unless, by unanimous consent, it ad-vances without committee reference. A bill begins itscourse through the Legislature when a majority of thecommittee membership votes it out of committee. Figure3 charts the course of a bill through the New York StateLegislature.

Amendment. Bills may be amended an unlimited num-ber of times. In either house the sponsor may amend andrecommit a bill in committee, or the committee may re-port the bill with amendments. Either house may amend abill even after it has passed in the other house.

The originating house must concur on amendmentsadded by the second house and repass the bill before itmay be transmitted to the Governor. Each time the firsthouse amends a bill, it adds a letter of the alphabet, be-ginning with “A,” to the bill number. If the second houseamends a bill, it assigns a print number to the bill. Eitherhouse may substitute, on a motion from the floor, an iden-tical bill from the other house.

Action by the Governor. Ordinarily the Governormust sign a bill which has passed both houses of the Leg-islature before it becomes a law. While the Legislature isin session, the Governor has 10 days, excluding Sun-days, to approve or veto a bill. If the Governor signs the


bill, or does not take action within the 10 days, the billbecomes a law. If the Governor vetoes the bill, it diesunless it is repassed and becomes law by approval oftwo-thirds of the members of each house.

All bills passed or returned to the Governor during thelast 10 days of the session are treated as “30-day” bills.On such bills, the Governor has 30 calendar days, in-cluding Sundays, after the Legislature adjourns, withinwhich to act. If the Governor does not act on a bill duringthe 30-day period, it is dead. Such bills are said to havebeen “pocket vetoed”, since the Governor is not requiredto act upon them and does not have to give reasons forhis failure to act.

Constitutional AmendmentsA concurrent resolution proposing an amendment to

the State Constitution is considered by the Legislature inthe same manner as a bill. The Legislature must, how-ever, transmit the proposed amendment to the AttorneyGeneral for an opinion as to its possible effect upon otherprovisions of the Constitution. The Attorney General mustreturn the proposal within 20 days. Failure of the Attor-ney General to render an opinion does not affect the pro-posal or action thereon. If adopted by both houses, it is

sent to the Secretary of State for filing. No action by theGovernor is required. The proposal must again be sub-mitted in the first year of the term of the next succeedingLegislature. If adopted a second time, it is submitted tothe people for consideration and vote. If approved, itbecomes part of the Constitution as of the following Janu-ary first.

A concurrent resolution ratifying a proposed amend-ment to the United States Constitution is treated in thesame manner as a bill. If adopted by the Legislature, theresolution is delivered to the New York State Secretaryof State, who forwards it to the United States GeneralServices Administration.

Sources of LegislationA characteristic of our relatively open society in the

United States is that an idea for legislation, and indeed abill itself, may originate from almost any source. Sourcesof legislative proposals include the Governor’s annual leg-islative program, the legislative programs of the variousstate departments, individual legislators, special interestgroups, municipal associations, local governments, indi-vidual citizens and various committees of the Legislature.


Legislation — Local Government RoleThe legislative process provides local officials and the

public with the opportunity to express their views on pend-ing legislation to the Legislature and to the Governor. In-dividuals can have an impact on legislation; it does nottake an accomplished lobbyist to point out to legislatorsand legislative leaders the advantages or deficiencies of aparticular bill. Officials and citizens alike should not be

* The State Constitution requires the printed bill to be on Members’ desks for three calendar legislative days. This proceduremay only be shortened by a “Message of Necessity” for immediate vote from the Governor.

** If changed, the house of origin must concur before it goes to the Governor.*** The Governor has 10 days, excluding Sundays, to act on bills sent to him or her prior to by 10 days before adjournment. If the

Governor does not act in that time, the bills automatically become law. The Governor has 30 calendar days after the Legislatureadjourns to act on bills passed during the last 10 days of the session. These bills may not become law without the Governor’sapproval (“pocket veto”).

FIGURE 3Course of Bill Through New York State Legislature

A Senator inthe Senate

A Member in theAssembly

Is Referred to: Is Referred to:

An AppropriateStanding Committee

PossibleCommitteeAction

Public HearingAmendmentReportDefeatHold for ConsiderationDual Referral

If Reported, Goes to: If Reported, Goes to:

Senate GeneralOrders Calendar

Assembly SecondReading Calendar

If Advanced, Goes to: If Advanced, Goes to:

Senate Third Reading Calendar forFinal Vote on Senate Floor

Assembly Third Reading Calendar forFinal Vote on Assembly Floor

Must “age” for three legislative days.* Subject here toAmendment, Star, Lay Aside, Recommittal, Loss, orTabling. If Passed, it goes to other house, where it istreated as a new bill as noted above.

If Senate, passes bill unchanged,** it returnsto Assembly for transmittal to:

Governor,***for signature, making it a

“Chapter” (law), or for Veto.

A Bill isIntroduced by

An AppropriateStanding Committee

If Assembly, passes bill unchanged,** itreturns to Senate for transmittal to:

. .. .

dissuaded from making their views known merely be-cause they are unfamiliar with the legislative process. Localofficials can turn to their municipal associations for guid-ance on legislative matters, and citizens have the oppor-tunity to work with an array of public and special interestgroups.

In many cases, the task of making one’s views knownmay begin before specific legislation has been introduced.


Legislative commissions and committees frequently holdpublic hearings on particular problems at which the viewsof public officials and citizens are sought. Also, individuallegislators often actively seek out the views of their con-stituents as to needed legislation.

The best time to make one’s views known about aparticular bill is when it is under consideration by the Leg-islature, particularly while the bill is in committee. Writtencomments given to the committee’s chairperson, with suf-ficient copies for committee members and staff, will helpaccomplish this purpose.

After a bill is reported out of committee, getting anopinion across becomes increasingly difficult, because, iffor no other reason, a vast number of bills come beforeeach house. At this point it is best to direct comments tothe leaders of each house. Anyone wishing to expressviews on a bill should remember that even if a bill passesone house prior to becoming a law, the other house mustalso consider it, first in committee and then on the floor.

After a bill has passed both houses, comments shouldbe directed to the Governor or his or her Counsel. Here,again, time is of the essence. If the bill is passed early inthe session, the Governor has only 10 days in which tosign or veto it.

In the Assembly, the news media and the public arenow provided access to all standing committee meetings.The committee chairpersons have the option to closemeetings or hold executive sessions in accordance withthe Open Meetings Law, but roll call votes must be avail-able to the press and to the public as soon as practicable.The public may also check committee attendance records.The Assembly public information office provides the publicwith a variety of materials relating to standing committees(schedules of meetings, hearings, etc.), sponsor’s memo-randa on bills, transcripts of debates, daily calendars andother relevant information. The Assembly also maintainsa home page on the internet.

The Senate has also adopted “open Senate” rules.These rules provide that all committee meetings must beopen to the news media (although committee chairper-sons may call special closed meetings in accordance withthe Open Meetings Law). The rules also provide that agen-das for committee meetings must be made available tothe news media and to the public, and provide that stand-ing committees must serve all year. The Senate JournalClerk’s office provides, or helps the public to obtain,materials similar to those available from the AssemblyPublic Information Office. The Senate also maintains ahome page on the internet. Both houses provide a tele-

phone “hotline” service during sessions, from which any-one can obtain information on the current status of anybill.

The GovernorThe Governor is the central figure in the state’s public

affairs. The Governor initiates programs and executesthem; guides the Legislature; appoints and removes keyofficials; and represents the state and its people. TheGovernor has a very strong role in the State of New Yorksince the office includes policy development, legislativeleadership, executive control, and sovereign responsibili-ties.

Policy DevelopmentThe policymaking role derives from the Governor’s

responsibilities and position as chief executive officer ofthe state. The role of chief policymaker is therefore moreimplied than explicitly stated in either the State Constitu-tion or other state laws. As the state’s activities havegrown, the Governor’s concerns have become broader.Today they include economic and community develop-ment, transportation, education, environmental conser-vation, health, criminal justice, drug abuse, housing andother matters affecting daily life. The people look to theGovernor for leadership and direction in these areas, butthe Constitution does not explicitly vest the office withsuch powers. It is of particular significance, however, thatthe Constitution mandates that the Governor annuallypresent a “State of the State” message and an executivebudget to the Legislature.

Legislative LeadershipOf course, legislative authority is often required to

implement executive policy proposals. To achieve imple-mentation the Governor has substantial constitutional,statutory and other, less formal resources. The Governornot only has influence with legislators and with the public,but he or she also has constitutional authority to con-vene, and specify the agenda of, special legislative ses-sions. Via messages of necessity, the Governor also hasthe power to clear bills for consideration. With these pow-ers, the Governor has a key role in establishing the agendafor decision making and in shaping such decisions. TheGovernor serves as a public leader as well as the chiefadministrator of the State of New York.

Executive ControlThe State Constitution provides that “the executive

power shall be vested in the Governor,” who “shall takecare that the laws are faithfully executed.”8 The Consti-


tution also empowers the Governor to appoint and re-move the heads of most state agencies and to proposethe budget. These provisions form the basis for guberna-torial direction of state activities.

The executive budget is perhaps the strongest mana-gerial tool that the Constitution provides the Governor.Since 1927, Article VII of the New York Constitutionhas conferred on the Governor initial responsibility forproposing to the Legislature a coherent statewide planfor government spending. Under this system, the State’sbudget originates with the Governor, and he must submitto the Legislature proposed legislation, including “appro-priation bills,” to put his or her proposed budget into ef-fect. The Legislature may not alter an appropriation billthe Governor has submitted, except to strike out or re-duce items. The Legislature may, however, add items ofappropriation, provided that each such item is stated sepa-rately and distinctly from the original items and that eachrefer to a single object or purpose. “Such an appropria-tion bill shall when passed by both houses be a law im-mediately without further action by the governor, exceptthat separate items added to the governor’s bills by thelegislature shall be subject to [the governor’s line-itemveto].” Gubernatorial direction over administrative agen-cies centers in the Division of the Budget, which bothrecommends to the Governor how much state agenciesshould be allowed in appropriations and exercises con-siderable authority over how agencies spend the fundsappropriated by the Legislature. The Governor’s spe-cific constitutional powers for administrative control, how-ever, are not extensive and do not include complete ad-ministrative and managerial powers. Constitutionally, theGovernor does not control the entire executive branch.Both the State Comptroller and the Attorney General arepopularly elected, and the Legislature chooses the Re-gents of the University of the State of New York, whosupervise the Education Department. The Governor pri-marily concentrates on policy, and focuses gubernatorialadministrative attention on overall direction.

Sovereign ResponsibilitiesThe Governor has the power to grant reprieves, com-

mutations and pardons after conviction for all offensesexcept treason or in cases of impeachment. The Gover-nor also may remove certain local officials, particularlythose concerned with law enforcement, and may appointcertain judges and local officials to complete terms in somecases and to fill vacancies pending election in others. Fi-nally, the Governor is commander-in-chief of the state’smilitary and naval forces.

EligibilityThe Governor must be a citizen of the United States,

not less than 30 years old, and must have resided in thestate for at least five years at the time of election.

SuccessionIf the Governor dies, resigns or is removed from of-

fice, the Lieutenant Governor becomes Governor. If theGovernor is absent from the state, under impeachment,or is otherwise unable to discharge the duties of the of-fice, the Lieutenant Governor acts as Governor until theinability ceases. The Temporary President of the Senateand the Speaker of the Assembly are next in the line ofsuccession respectively.

Lieutenant GovernorThe Constitution assigns the Lieutenant Governor only

the role of serving as President of the Senate. The Gov-ernor and the Legislature may, however, make other as-signments, and traditionally Governors have turned to theLieutenant Governor for help of various kinds, ceremo-nial and otherwise.

State ComptrollerThe State Comptroller is the state’s chief fiscal officer.

The Office of the State Comptroller: maintains accountsand makes payments on behalf of the state; audits thefinances and management of state agencies, New YorkCity and public authorities; examines the fiscal affairs oflocal governments; provides fiscal legal advice to stateagencies and local governments; trains local officials infiscal matters; and administers the state’s retirement sys-tems. The State Comptroller’s Office publishes a widerange of materials on fiscal matters, including annual re-ports on state and local government finances, as well asan annual volume of legal opinions on local governmentoperations.

Attorney GeneralThe Attorney General is the state’s chief legal officer.

The Office of the Attorney General prosecutes and de-fends actions and proceedings for and against the state,and defends the constitutionality of state law. Local gov-ernment legal officers may obtain informal, written Opin-ions from the Attorney General. These opinions, whilenot binding on the local government, are nonetheless ex-tremely useful, and may be given great weight by thecourts. The Attorney General’s responsibilities also in-clude supervising the Organized Crime Task Force; pro-tecting consumers against fraud; safeguarding civil rights


and the rights of workers; condemning property; andcollecting debts. Specialized bureaus handle: criminalprosecutions, antitrust cases, investor protection, envi-ronmental protection, consumer fraud and protection, civilrights, worker protection, regulation of cooperative andcondominium housing, charities, and trusts and estatematters.

State AgenciesThe State Constitution provides that there shall be no

more than 20 civil departments in the state government.These departments previously were specified by name,but the Constitution was amended in 1961 to eliminatethe specification of departments and to set the maximumnumber of departments at 20.

The Legislature is authorized by law to assign new pow-ers and functions to departments, offices, boards, com-missions, or executive offices of the Governor, and toincrease, modify, or diminish such powers and functions.The Legislature is further authorized to create temporarycommissions for special purposes or executive “offices”in the Executive Department. Numerous state agenciesfall into the latter two categories — that is, temporarycommissions and “offices” in the Executive Department.

Generally speaking, the heads of all departments,boards and commissions (except the State Comptroller,Attorney General and members of the Board of Regents)must be appointed by the Governor with the advice andconsent of the Senate, and may be removed by the Gov-ernor in a manner prescribed by law. Another exception

involves the authority of the Board of Regents to appointand remove the Commissioner of Education

A final exception pertains to the Commissioner of theDepartment of Agriculture and Markets. The Constitu-tion provides that this department head shall be appointedas provided by law, which presently provides for theGovernor to make this appointment. While this mannerof appointment is consistent with the general manner ofappointment of department heads, the Governor’s ap-pointment power is statutory rather than constitutional.

The administrative structure of New York State gov-ernment currently consists of 20 state departments and agreat number of other agencies, such as public authori-ties, temporary state commissions, and various divisionsand offices in the Executive Department. Each depart-ment and agency has been established for a particularpurpose, and each functions in a particular way within alegally prescribed area of operation. Each departmentdirectly or indirectly affects local governments of the statein terms of jurisdictional or regulatory authority, advisoryservices, aid programs and other related functions, de-pending on its program responsibilities.

Some state agencies were created in response to fed-eral mandates requiring that a particular type of state-wide agency handle a particular program. Pressures fromwithin the state for new agencies to furnish specializedservices led to the establishment of other agencies. Therelationships between these agencies and local govern-ments in the provision of public services are discussed inChapter XV.

Chapter Endnotes6. Article III, §2; see also Public Officer’s Law §3.

7. See N.Y.S. Constitution, Article VII, §4.

8. Article III, §2; see also Public Officer’s Law §3.


CHAPTER III

The Judicial System

The State Constitution establishes a unified court system for New York State. All courts, except those oftowns and villages, are financed by the state in a single court budget. Administration of the courts is theresponsibility of a single administrator, having statewide authority, who acts in accordance with policydirection supplied by the Chief Judge of the Court of Appeals.

The courts that compose the state’s judicial system generally may be arranged on three functionallevels: (1) appellate courts, including the Court of Appeals and the Appellate Divisions of Supreme Court;(2) trial courts of superior jurisdiction, including the Supreme Court and various county level courts; and(3) trial courts of inferior jurisdiction, including the New York City civil and criminal courts and variousdistrict, city, town and village courts upstate.

The court system in New York is one of the three sepa-rate branches of state government (Executive, Legisla-tive and Judicial), and it plays an integral role in both stateand local governmental operations. The courts are chargedwith: interpreting provisions of the State Constitution andlaws enacted by state and local governments; resolvingdisputes between private citizens or between a privatecitizen and a state agency; exercising jurisdiction overpersons accused of crimes and other violations of law;and adjudicating claims of individuals against state andlocal governments.

In 1962, New York made its first court reorganizationin more than a century by completely revising the judi-ciary article of the State Constitution (Article VI). Thisnew article continued or established the various courtsthat now comprise the New York court system. It alsoprescribed the number of judges and justices for each ofthese courts, their method of selection, and their terms ofoffice (Table 3). The new article also created an adminis-

trative structure responsible for administering the courtsand for disciplining judges.

In November 1977, the people of the state approveda series of amendments to the judiciary article that: (1)changed the manner in which Judges of the Court of Ap-peals are selected from statewide popular election, togubernatorial appointment; (2) established a new, cen-tralized system of court administration; and (3) stream-lined procedures for disciplining judges. These amend-ments took effect on April 1, 1978.

Of great importance to the operation of the court sys-tem was the 1976 enactment by the State Legislature ofa unified court budget for all courts of the unified courtsystem, except town and village courts. Whereas for-merly both state and local government sources had fundedthe affected courts in over 120 different court budgets,effective April 1, 1977, the state funded them entirely in asingle court budget.


FIGURE 4New York State Unified Court System

Current Trial Court Structure

Court of Appeals

Appellate Divisions

NYC Civil Court

NYC Criminal Court

Court of Claims

Surrogate’s Court

County Court— also hears appeals fromtown, village and city courtsin the 3rd & 4th Depts.

Supreme Courts

Family Courts

City CourtsTown CourtsVillage Courts

District Courts(2nd Dept. Only)

Appellate Terms(1st & 2nd Depts.)


TABLE 3

New York State Court System Characteristics

Court No. of Judges How Selected TermCourt of Appeals 7 Gubernatorial appointment with advice 14 years1

and consent of Senate upon recommendationof a commission on judicial nomination

Appellate Division 24 permanent; Gubernatorial designation from among duly Presiding justice: 14 years,number of elected Supreme Court justices or balance of term astemporary Supreme Court justice1

judges Associate justice (perma-nent): 5 years or balanceof term as Supreme Courtjustice1

Appellate Term Varies Designated by Chief Administrator of Courts, Varies1

with approval of presiding justice of theDepartment, from among duly electedSupreme Court justices

Supreme Court 3282 Elected 14 years1

Court of Claims 26 Gubernatorial appointment with advice and 9 years or, if appointed toconsent of Senate fill a vacancy, the period

remaining in that term1

Surrogate’s Court 313 Elected 14 years in New YorkCity1 10 years outsidethe City1

County Court 1294 Elected 10 years1

Family Court 127 Mayoral appointment in New York City. 10 years or, if appointed toElected outside the City fill a vacancy, the period


Civil Court of 120 Elected 10 years1

New York CityCriminal Court of 107 Mayoral appointment 10 years or, if appointed toNew York City fill a vacancy, the period


District Court 50 Elected 6 years1

City Court 162 Most elected, some appointed by Mayor Varies1

of Common CouncilTown Court Approx. 2,000 Elected 4 yearsVillage Court Approx. 570 Elected Varies; most are 4 years

1 Mandatory retirement at end of year in which Judge reaches age 70, with limited potential exceptions for Supreme,Appellate and Court. of Appeals justices.

2Includes justices designated to the Appellate Division and Terms. Does not include certified justices of the Supreme Court(which number may vary significantly each year).

3 Includes only separately elected surrogates.4

Includes 72 county judges and 57 multi-hatted county-level judgeships.


Court of AppealsEstablished in 1846, the New York Court of Appeals

has emerged as the great common law court at the apexof the state court system. In criminal cases where thejudgment is death, appeals may be taken directly to theCourt of Appeals from a court of original jurisdiction; inother cases appeals may be taken as the Legislature pro-vides. Review of death judgments includes both ques-tions of law and fact. Otherwise, review is usually limitedto questions of law. In civil cases, appeals may be takenas of right or by permission, depending on the finality ofthe determination from which an appeal is sought, theissues involved, the court in which the action or proceedingoriginated, and whether there was disagreement in thecourt below.

The Court of Appeals consists of a Chief Judge andsix Associate Judges. Each judge serves a term of 14years or until the end of the calendar year in which he orshe reaches age 70, whichever occurs first. Vacancieson the court are filled by gubernatorial appointment fromamong individuals found to be qualified by a nonpartisanCommission on Judicial Nomination. In order to be eli-gible for appointment, candidates must have been admit-ted to the practice of law in New York for at least 10years. All appointments must be approved by the StateSenate. The Governor is empowered to designate jus-tices of the Supreme Court to serve as additional Asso-ciate Judges on the Court of Appeals during times of heavycaseload.

Generally, all seven judges of the Court of Appealshear each case, although the Constitution requires only aquorum of five judges. In every case the concurrence ofat least four judges is necessary for a decision.

The operations of the Court of Appeals are super-vised and controlled by the court itself, the Chief Judge,and the clerk of the court. The Chief Judge serves as theprincipal officer of the court and oversees its maintenanceand operation. The Chief Judge presides at the hearingof arguments and at the conference of judges during whichdecisions are reached.

Appellate DivisionEstablished in 1894, the Appellate Division of the Su-

preme Court serves a very important function in the ad-ministration of justice in New York State. The four courtsof the Appellate Division correspond geographically tothe four Judicial Departments on the map in Figure 3.1.They are constituted as courts of intermediate appellatejurisdiction. For all practical purposes, however, they

serve as courts of last resort; 90 percent of the casesthey hear are not subsequently reviewed by the Court ofAppeals.

Under the State Constitution and implementing stat-utes, appeals in civil matters are taken to the AppellateDivisions from each of the trial courts in the unified courtsystem, except the New York City Civil Court, and dis-trict, town, village and city courts outside the City of NewYork. On an appeal, the Appellate Division reviews ques-tions of law and questions of fact. Appeals in criminalmatters are taken to the Appellate Division from Countyand Supreme Courts. As in civil cases, the AppellateDivision reviews questions of fact and questions of law incriminal appeals. The Appellate Division also has origi-nal jurisdiction in a limited number of cases.

The State Constitution authorizes the First and Sec-ond Judicial Departments to have seven justices whilethe Third and Fourth Judicial Departments are each au-thorized to have five justices. The Governor can assignadditional justices to each of the courts to assist with thecase load. Justices of the Appellate Division, other thanthe presiding justice, are designated by the Governor fromamong the justices elected to the Supreme Court. Theterm of office of each justice is five years, but is limited tothe end of the calendar year in which the justice reachesage 70. However, Associate Justices who have beencertified for continued service may be designated to re-main on an Appellate Division bench beyond this retire-ment age. While the Governor is not generally limited tochoosing justices who reside in the Judicial Departmentwhere a vacancy exists, the Constitution requires that amajority of the justices designated to sit in any AppellateDivision shall be residents of that Department.

The presiding justice of each Appellate Division is des-ignated by the Governor from among the Supreme Courtjustices in that Department. The term of office of the pre-siding justice equals the period of time remaining in his orher term as a Supreme Court justice. From time to time,as terms expire or vacancies occur, the Governor makesnew designations. The Governor is also empowered tomake additional designations during times of heavycaseload or when a sitting justice is unable to serve for aperiod of time.

The Appellate Division courts generally sit in panels offive justices, although panels of four justices are autho-rized. In every case the concurrence of at least three jus-tices is necessary for a decision. The operations of theAppellate Division are supervised and controlled by eachcourt itself, its presiding justice, and the clerk of the court.


Appellate TermThe Constitution authorizes the Appellate Division in

each judicial Department to establish an Appellate Termfor that Department or a part of that Department. TheAppellate Terms are conducted by no more than threeSupreme Court justices who have been specially assignedto the terms. Two justices constitute a quorum, and theconcurrence of at least two is necessary for a decision.Where they have been established, Appellate Terms ex-ercise jurisdiction over civil and criminal appeals fromlocal courts and certain appeals from county courts. Atthe present time, Appellate Terms have been establishedonly in the First and Second Departments.

Supreme CourtThe Supreme Court, as presently constituted, was es-

tablished in 1846. Formed by the consolidation of theoffices of circuit judge and chancery judge with the pre-existing Supreme Court, it is now considered a single courthaving general original jurisdiction in law and equity.

Under this broad constitutional grant of jurisdiction,the Supreme Court may hear any criminal or civil action

FIGURE 5Judicial Districts of the State of New York

or proceeding irrespective of its nature or amount, ex-cept claims against the State. In practice, however, theSupreme Court outside New York City principally hearscivil matters, and the County Courts hear criminal mat-ters. In New York City, the Supreme Court sits in bothcivil and criminal parts.

Justices are elected for 14-year terms by electors withintheir judicial districts. Retirement is mandatory at theend of the calendar year in which a justice reaches age70, but justices can be certified for up to three two-yearperiods after reaching 70. A justice of the Supreme Courtmust have been admitted to practice law in the state forat least 10 years before assuming office. The number ofjustices for each judicial district is prescribed by the StateLegislature, subject to a constitutionally prescribed maxi-mum number.

Court of ClaimsFrom 1777 until 1897, New York State did not per-

mit any claim for damages to be asserted against it in anycourt. During that period, the state was entirely immunefrom suit in its courts. Individuals suffering injury to their

First Department – I, XIISecond Department – II, IX, X, XIThird Department – III, IV, VIFourth Department – V, VII, VIII


persons or property through the activities of public em-ployees were not however, wholly without remedy, asthey could petition the Legislature for redress in the formof private legislation. In 1817, an administrative remedywas made available for some claims related to the ErieCanal. From this modest 1817 provision, the Court ofClaims evolved through many enactments, culminating inChapter 36 of the Laws of 1897.

Article VI, section 9, of the Constitution provides:

“The Court shall have jurisdiction to hear anddetermine claims against the state or by the stateagainst the claimant or between conflicting claim-ants as the legislature may provide.”

Implementing this grant of authority, the Legislature hasprovided that the Court of Claims shall have jurisdictionover claims against the State for appropriation of real orpersonal property, breaches of contract, and torts. TheLegislature also has specifically granted the court juris-diction to hear claims involving: wrongful acts by mem-bers of the military; military employees in the operationof any vehicle or aircraft; and claims of imprisoned con-victs later pardoned as innocent by the Governor. Thecourt serves as a forum for claims by or against the Stateand certain public authorities. It does not possess thepower to grant claims against political subdivisions suchas counties, cities, towns and villages. These claims arelitigated in the Supreme Court.

The Court of Claims currently consists of 26 judges,who hear claims against the State. The court holds twotrial terms each year in each of its 9 districts throughoutthe state. Claims are usually tried and decided by onejudge, unless the presiding judge appoints up to threejudges to sit in a particular case. Judges of the Court ofClaims are appointed by the Governor, by and with theconsent of the Senate, for nine year terms (although re-tirement is mandatory at the end of the calendar year inwhich the judge reaches age 70). A judge must have beenadmitted to practice law in the state for at least 10 yearsbefore he or she may begin to serve on the bench.

County CourtA County Court sits in each of the 57counties of the

state outside the City of New York. Under the State Con-stitution, they have unlimited criminal jurisdiction, but theircivil jurisdiction is limited to money claims for not morethan $25,000. The County Court also has limited appel-late jurisdiction; in the Third and Fourth Judicial Depart-ments, it hears appeals from civil and criminal judgmentsof justice courts and city courts.

The State Constitution of 1846 declared that thereshould be elected in each of the counties of the state,except the City and County of New York, one countyjudge, who should hold office for four years. The term ofoffice has been changed to 10 years, but the office hasremained elective. A candidate, to be eligible for elec-tion, must have been admitted to practice law in the statefor at least five years and must be a resident of the county.Retirement is mandatory at the end of the calendar yearin which a judge turns 70 years of age.

The Constitution authorizes the Legislature to providethat the same individual may hold two or all of the posi-tions of county, surrogate and family court judge at thesame time. There are many so-called “two-hat” and“three-hat” judges in upstate counties.

Surrogate’s CourtThe existence of the Surrogate’s Court in New York

can be traced back to colonial times, when early Dutchofficials exercised jurisdiction over estate matters. Thispractice continued through the British colonial period. Thegranting of letters of administration and the probate ofwills in the State of New York became the responsibilityof the Governor. In discharging this responsibility, theGovernor was authorized to appoint a delegate to act inhis stead. One of the early delegates used the title of “sur-rogate.”

The State Constitution (Article VI, section 12) pro-vides that the Surrogate’s Court shall have jurisdictionover all actions and proceedings relating to:

• the affairs of decedents, probate of wills andadministrtion of estates;

• the guardianship of the property of minors; and• such other actions and proceedings, not within

the exclusive jurisdiction of the Supreme Court,as may be provided by law.

In practice, the court’s jurisdiction, which includes suchequity jurisdiction as may be provided by law, extendsto, among other proceedings: the probate and construc-tion of wills; grants of letters testamentary to executors;grants of letters of administration; proceedings for thepayment of creditors’ claims; proceedings by fiduciariesand claimants to determine the ownership of property;proceedings for the payment of bequests; grants of let-ters of trusteeship; appointment of guardians for infantsand their property; and accountings by executors, ad-ministrators, trustees and guardians.

The State Constitution provides that there shall be atleast one judge of the Surrogate’s Court in each county


and such number of additional judges as may be pro-vided by law. Each judge of the Surrogate’s Court, alsoknown as a “surrogate,” must be a resident of the countyin which the surrogate serves and elected by the votersof that county. The term of office is 14 years within thefive counties of the City of New York and 10 years in theother 57 counties. All surrogates are subject to manda-tory retirement at the close of the calendar year in whichthey turn 70 years of age.

There is no constitutional requirement that the surro-gate be a separately elected position. The Legislaturehas provided that where it is not, the county court judgeshall discharge the duties of the surrogate, as well as thoseof the County Court.

Family CourtViewed as one of the major accomplishments of the

1962 constitutional reorganization of the judiciary, theFamily Court has emerged as a major entity in dealingwith difficult issues involving children and families. Thecourt sits in every county in the state outside of NewYork City and citywide in New York City.

The Family Court’s jurisdiction is divided between mat-ters that originate as provided by law and those that arereferred to it from the Supreme Court. The court’s origi-nal jurisdiction includes authority to adjudicate mattersrelated to the:

• protection, treatment, correction, and commit-ment of minors;

• custody of minors;• adoption of persons (shared concurrently with

Surrogate’s Court);• support of dependents;• establishment of paternity; and• proceedings for conciliation of spouses and fam-

ily offenses (shared concurrently with courts withcriminal jurisdiction).

The Family Court, when exercising its jurisdiction overmatters referred to it from the Supreme Court, has thesame powers possessed by the Supreme Court.

In New York City, judges of the Family Court are ap-pointed by the mayor for terms of 10 years. In countiesoutside the City of New York, judges of the Family Courtare elected by the voters of the counties for terms of 10years. All judges of the Family Court must retire at theend of the calendar year in which they turn 70 years ofage.

Criminal Court of the City of New YorkThe Criminal Court of the City of New York is the

busiest criminal court in the world. Constituted in itspresent form in 1962, the court has its roots in colonialdays and is the product of an evolutionary process thatculminated in the abolition of two court systems in theCity — the Magistrates Court and the Court of SpecialSessions — and their replacement by the Criminal Courtof the City of New York. The court now has an autho-rized complement of 107 judges.

The Criminal Court of the City of New York has juris-diction to adjudicate misdemeanors and offenses less thanmisdemeanors, and to conduct pre-indictment felony hear-ings. Most of the court’s business consists of traffic vio-lations, and violations of the Administrative Code of NewYork City or the Multiple Dwelling Law.

Judges of the Criminal Court must be residents of NewYork City. They are appointed for terms of 10 years bythe mayor. Where a vacancy occurs for reasons otherthan expiration of a 10-year term, the mayor appoints ajudge to fill the position for the balance of the unexpiredterm. Retirement is mandatory at the end of the calendaryear in which the judge turns 70 years of age.

Civil Court of the City of New YorkThe Civil Court of the City of New York came into

existence on September 1, 1962, when it was establishedthrough a merger of the City and Municipal Courts aspart of the state’s plan of court reorganization. The CivilCourt is one of the busiest courts of civil jurisdiction inthe United States. The court has jurisdiction over nu-merous civil actions, including contracts, actions for per-sonal injury, real property actions, and actions in equity.The State Constitution, however, limits the civil jurisdic-tion in actions involving money claims to a maximum of$25,000.

The Civil Court has a special housing part, instituted in1972, to assure the effective enforcement of state andlocal laws for the establishment and maintenance of properhousing standards in New York City.

The Civil Court also has a small claims part. Claimantsmay present a small claim without being represented byan attorney. Corporations, associations and assignees maynot institute actions in the small claims part, although theymay be sued as defendants. They may, however, insti-tute small claims in the Court’s commercial claims part,which observes the same informal, expedited proceduresas the small claims part.


The Civil Court presently consists of 120 judges, se-lected for terms of 10 years by voters within New YorkCity from “districts” established by the State Legislature.Retirement is mandatory at the end of the calendar yearin which a judge turns 70 years of age.

District, Town, Village and City CourtsMinor civil and criminal litigation, as well as the early

stages of major criminal litigation, arising outside NewYork City are handled by district, city, town and villagecourts. These courts of “inferior jurisdiction,” as they aresometimes called, include some of the oldest of the state’scourts — town justices date back to the seventeenth cen-tury — and some of the newest — the Nassau and Suf-folk District Courts were established in 1937 and 1964,respectively. The population centers served by courts ofinferior jurisdiction range from small cities, villages andtowns, many of which have populations under a thou-sand, to counties having more than one million residents.These courts deal with a variety of matters, includingsimple traffic offenses, bill collection cases, felony hear-ings, and complex commercial litigation.

Town and village courts are staffed by full-time or part-time justices, who often are not lawyers. District courtsand some of the city courts are staffed by full time judgeswho are lawyers. Court sessions are held in places rang-ing from the justice’s living room or office, to rooms intown or village halls, to formal court houses. In somelocalities, court records are kept directly by the judicialofficer. In others, records are kept by one or more full-time or part-time clerks.

An initiative to achieve procedural uniformity in thelower courts in New York culminated in the enactment ofsections of the Uniform Court Acts, which assure thatprocedures followed in these courts are substantially thesame throughout the state.

Town Courts. The town justice court is the oldest ofthe “inferior” courts in the state (see also, Chapter VII).Under the original town structure, justices of the peacewere members of the town board and thus had legislativeas well as judicial functions. The Town Law, adopted in1934, substituted town councilmen for justices on thetown board in towns of the first class. In towns of thesecond class, justices remained members of the townboards, although the town boards had the option — byresolution subject to permissive referendum — of pro-viding that justices should not be members of the board.In 1976, the Town Law was amended again to precludeall town justices from serving on town boards during thetenure of their judicial office.

All town justices of the peace formerly ran their courtsindependently, regardless of the number of justices in thesame town. In 1962, however, the Court ReorganizationAmendment integrated town justice courts into the uni-fied court system, and the enactment of the Uniform Jus-tice Court Act firmly established the single court conceptin each municipality. All justices of a town are consideredto be justices of the same court, and the proceedings ofone justice are treated as acts of the whole court. Thesalaries of judicial and non-judicial personnel of a townjustice court are funded by the town.

Village Justice Courts. Although villages appearedas local governmental units as long ago as 1790, villagejustices have not played the same central roles in villageorganization as justices of the peace played in town de-velopment.

The constitutional history of the office of village jus-tice, formerly known as the police justice, starts with theConstitutional Convention of 1846. Until then, villagepolice justices apparently were not the subject of generallegislation. At the convention, a proposal was made toauthorize the Legislature to create inferior local courts ofcivil and criminal jurisdiction in cities and villages. Today’svillage justice court traces its roots to that point in time.

A village justice court has the same jurisdiction withinthe village as a town justice court has within the town.The cost of village justice court operations is funded lo-cally.

City Courts. Since 1846, the Legislature has beenauthorized to create city courts of limited jurisdiction andto establish the tenure of city judges and the method oftheir selection. For many years, the resulting legislativeenactments were framed as individual court acts, eachaffecting only one city. In 1988, however, the Legisla-ture combined all provisions of law regulating city courtsand their judgeships into a single section of law. Also, ashas been done with town and village justice courts andthe district courts, the Legislature has established generalprocedural and jurisdictional regulations in one consoli-dated statute of general applicability to all city courts inthe state outside the City of New York — the UniformCity Court Act.

District Courts. The first district court was estab-lished in Nassau County in 1937, under the provisions ofthe State Constitution and the Alternative County Gov-ernment Law. The only other district court now in exist-ence is the district court of the First Judicial District ofSuffolk County, comprising the towns of Babylon,Brookhaven, Huntington, Islip and Smithtown. It was


created by the Legislature with the approval of the votersof those towns in 1963.

Although there are only two district courts now in op-eration in the state, the State Constitution provides that adistrict court may be established in any area of the statewhere the local governing body of the affected area re-quests the State Legislature to establish such court andwhere both the Legislature and the voters of that areaapprove its establishment.

Jurisdiction. District, town, village and city courtshave limited civil and limited criminal jurisdiction, as de-fined in the Uniform Court Acts. In general, the civil juris-diction of these courts is limited to claims for money dam-ages not exceeding $15,000 in the district court and citycourts, and $3,000 in the town and village justice courts,and to jurisdiction over summary proceedings for the re-covery of real property. Each court also has jurisdictionover small claims, as discussed below. The criminal juris-diction of these courts is identical to that of the New YorkCity Criminal Court.

Small Claims. Each town, village, city and districtcourt has a small claims part where money claims up to amaximum of $5,000 ($3,000 in town and village courts)may be heard and determined in accordance with moreinformal court procedures. Special jurisdictional require-ments must be met before a suit may be brought in asmall claims part. If suit is brought in a town or villagejustice court, the defendant must reside or have an officefor the transaction of business or a regular employmentwithin the municipality in which the court is located. Ifbrought in a city court, the defendant must reside, havean office or be regularly employed within the county inwhich the court is located. If brought in a district court,the defendant must reside, have an office or be regularlyemployed within the territory embraced by the court.

City and district courts also have commercial claimsparts where money claims up to a limit of $5,000 may bebrought by businesses and heard and determined as insmall claims parts.

State rules provide for a simple, informal and inexpen-sive procedure for prompt determination of small claimsand commercial claims. Such claims must receive an earlyhearing and determination, and the hearings must be con-ducted in such a way as to ensure substantial justice be-tween the parties according to the rules of substantivelaw. The parties are not, however, bound by statutoryprovisions or rules of practice, procedure, pleading orevidence.

Court FinancingEffective April 1, 1977, New York adopted a unified

court budget system. Under this system, the state tookover the entire non-capital cost of the operation of allcourts and court-related agencies of the unified court sys-tem, except town and village justice courts.

Disciplining of JudgesEffective April 1, 1978, new constitutionally mandated

procedures for the disciplining of judges were established.A Commission on Judicial Conduct, comprising 11 per-sons selected from the community by the Governor, theChief Judge of the Court of Appeals, and the leadershipof the Legislature, has primary responsibility for the in-vestigation and initial determination of complaints againstjudges. The Commission may admonish, censure, removeor retire judges against whom complaints are sustained.The Court of Appeals may review all determinations.

The State Constitution authorizes two other methodsby which judges who are found guilty of misconduct maybe removed from office, both of which require action bythe Legislature: removal by impeachment and removalby concurrent resolution of the Senate and Assembly. Nei-ther method is frequently used.

Court AdministrationEffective April 1, 1978, the structure of court adminis-

tration in New York changed considerably. The principalfeatures of the new system include:

• appointment of a Chief Administrator of theCourts by the Chief Judge of the Court of Ap-peals, with the advice and consent of an Admin-istrative Board of the Courts;

• central administrative direction of the courts bythe Chief Judge and the Chief Administrator;

• approval by the Court of Appeals of statewidestandards and policies governing the operationof all courts;

• promulgation by the Chief Judge, and approvalby the Court of Appeals, of a code of conductfor judges; and

• frequent consultation with the AdministrativeBoard of the Courts in court management deci-sions.

The Chief Administrator has numerous duties. Amongthe most significant are: preparing the judiciary budget;establishing the terms and parts of court and assigningjudges to them; engaging in labor negotiations with unionsrepresenting non-judicial employees of the courts; and


recommending to the Legislature and Governor changesin laws and programs to improve the administration ofjustice and court operations. To assist in the performanceof these duties, the Chief Administrator has establishedan Office of Court Administration, staffed by lawyers andmanagement experts. The Chief Administrator has alsodelegated responsibility to a cadre of administrativejudges, each serving on a regional basis.

The Office of Court Administration seeks to reducethe caseload in the state’s courts through an alternativeapproach to resolving problems that develop betweenpeople — the Community Dispute Resolution Centers

Program. Under the program, which was authorized bythe Legislature in 1981 and made a permanent part ofthe Unified Court system in 1984, the Chief Administra-tor of the Courts contracts with nonprofit communityagencies to provide mediation assistance to help dispu-tants reach mutual agreement. Now operating statewide,these centers take referrals from judges, law enforce-ment agencies, individuals and others. They handle suchmatters as animal complaints, breaches of contract, do-mestic arguments, harassment, landlord/tenant problems,noise complaints, petty larceny, school problems, smallclaims and ordinance violations.


CHAPTER IV

Local Government Home Rule Power

The constitutional and statutory foundation for local government in New York State provides that coun-ties, cities, towns and villages are “general purpose” units of local government. They are granted broadhome rule powers to regulate the quality of life in communities and to provide direct services to the people.In doing so, local governments must operate within the powers accorded them by statute and the New Yorkand United States Constitutions.

The home rule powers available to New York local governments are among the most far-reaching in thenation. The extent of these powers makes each local government a full partner with the state in the sharedresponsibility for providing services to the people.

Local government in New York State comprises coun-ties, cities, towns and villages, which are corporate enti-ties known as municipal corporations. These units of lo-cal government provide most local governmental services.Special purpose governmental units also furnish somebasic services, such as sewer and water services. Schooldistricts, although defined as municipal corporations, aresingle-purpose units concerned basically with educationin the primary and secondary grades. Fire districts, alsoconsidered local governments in New York State, aresingle-purpose units that provide fire protection in areasof towns. Fire districts are classified as district corpora-tions. There are other governmental entities which haveattributes of local governments, but which are not localgovernments. These miscellaneous units or entities aregenerally special-purpose or administrative units normallyproviding a single service for a specific geographic area.

In this country’s federal system, consisting of the na-tional, state and local governments, local government isthe point of delivery for many governmental services andis the level of government most accessible to and familiarwith residents. Local government is often referred to asthe grass-roots level of government.

New York has many local governmental entities thatpossess the power to perform services in designated geo-graphical areas. While all of these entities fall within thebroad definition of “public corporation,”9 only a verysmall percentage of them are “general purpose” localgovernments — counties, cities, towns and villages —which have broad legislative powers as well as the powerto tax and incur debt. In order to stem the proliferation ofoverlapping and independent local taxing units, the New

York Constitution was amended in 1938 to prohibit thecreation of any new type of municipal or other corpora-tion possessing both the power to tax and to incur debt.10

While New York has long had counties, towns, vil-lages and cities, their powers have increased greatly inthe last century. Originally, each individual local govern-ment was created by a special act of the State Legisla-ture. Each act created the corporate entity, identified thegeographical area that would be served by the entity andgranted powers and duties.11 Over time, the State Legis-lature adopted general laws to govern the nature and ex-tent of local governments’ powers: the Town Law, Vil-lage Law, General City Law and the County Law.12 Thesegeneral laws still apply, and now are augmented by theoverriding constitutional guarantee of “home rule.”13

A local government’s power is primarily exercised byits legislative body. The general composition of legislativebodies for counties, cities, towns and villages is discussedin the individual chapters addressing each particular formof government. The New York State Constitution, how-ever, guarantees and requires that each county, city, townand village have a legislative body elected by the peopleof the respective governments.14 Local legislative bodiesare granted broad powers to adopt local laws in order tocarry out their governmental responsibilities.15

Local governments serve a vital link in the relationshipbetween the states and the federal government under thefederal system. Many governmental services, whetherfrom the national or state level, have implications for, orcall for the involvement of, local government. Addition-ally, in exercising its broad legislative authority, a localgovernment can profoundly impact the quality of life of


its residents. This sharing of responsibility with the otherlevels of government emanates from the federal and stateconstitutions and the various statutory grants of powerthat the State Legislature has passed to local governments.

Constitutional and Statutory Sources ofLocal Authority

Federal Constitutional FoundationBecause the states and, particularly in New York, lo-

cal governments are integral elements of the federal sys-tem, neither state constitutional and statutory provisionsnor local government legislative actions may contravenethe United States Constitution. It is rare for many of thespecific restrictions on state powers and authority, suchas those found in Article I, section 10, of the federal Con-stitution, to affect the day-to-day activities of local gov-ernment, since these restrictions are designed primarilyto ensure the supremacy of the national government inforeign relations. Whenever any local government exer-cises any power accorded it by either the state constitu-tion or by statute it must take care to consider whether itsactions would compromise federal constitutional provi-sions that define the relationship of the state (and, by im-plication, any of its political subdivisions) within the fed-eral system, or guarantee personal liberties to individu-als. For example, Article 1, section 8 of the United StatesConstitution provides Congress with the power to “regu-late Commerce with foreign Nations, and among the sev-eral States, and with the Indian Tribes.” This grant ofpower over commerce among the States has been inter-preted to limit States’ power to adversely impact inter-state commerce. Local regulatory measures that restrictinterstate commerce have been struck down by the UnitedStates Supreme Court as unconstitutional.16

The federal Constitution also guarantees that certainpersonal liberties will not be taken away by the federalgovernment or by any state or local government. Of greatimportance among these are the limitations on state powerthat derives from the language of the Fourteenth Amend-ment, which reads in part:

“No State shall make or enforce any lawwhich shall abridge the privileges or immunitiesof citizens of the United States; nor shall any Statedeprive any person of life, liberty or property,without due process of law; nor deny to anyperson within its jurisdiction the equal protec-tion of the laws.”

It is not practicable here to review the many ways inwhich the Fourteenth Amendment limits and restricts the

exercise of state and local power. Suffice it to say that inexercising the general power to make regulations for the“…health, peace, morals, education, and good order ofthe people…” — the power known as “police power”— the state, as well as its local governments, must becareful to do so only in ways that do not contravene the“due process of law,” “equal protection of the laws,” and“privileges and immunities” provisions of the FourteenthAmendment.

State Constitutional FoundationLocal governments look to the State Constitution for

the basic law which provides for their structure, powersand operational procedures. Two articles of the State Con-stitution concern key local government needs: home rule(Article IX) and finance (Article VIII). Article IX, en-titled “Local Government,” is commonly referred to asthe “Home Rule” article of the State Constitution, for itprovides both an affirmative grant of power to local gov-ernments over their own property, affairs, and govern-ment, and restricts the power of the State Legislature fromacting in relation to a local government’s property, af-fairs, and government only to general laws or to speciallaws upon home rule request.17 This article includes:

• a local government bill of rights;• local government’s power to adopt local laws;• the duty of the State Legislature to provide for the

creation and organization of local governments;• the duty of the Legislature to enact a statute of

local governments;• restrictions upon the power of the Legislature to

act by special legislation in relation to the prop-erty, affairs or government of a local government;

• the power of the Legislature to confer additionalpowers upon local governments.

Article VIII, entitled “Local Finances,” contains theconstitutional powers pertaining to local taxation and theincurring of debt. Among its provisions are the following:

• prohibition on gift and loan of public money orproperty to any private undertakings except forthe care of the needy;

• prohibition of loan or credit to any public or pri-vate individual, corporation or undertaking;

• authorization for two or more local governmentsto incur debt for cooperative arrangements;

• limitations on the amount of debt that counties, cities,towns, villages and school districts may contract


and the purposes for which such debt may be in-curred;

• limitation on the creation of a municipal or othercorporation which would have both the power tolevy taxes and the power to incur debt other thana county, city, town, village, school district or firedistrict;

• the manner of computation of the amount of debtthat may be incurred, including specified exclusionsfrom the total debt-incurring power;

• limitations on the amount of real property taxesthat may be raised for local purposes; and

• the power of the State Legislature to restrict thepowers of taxation and incurring of debt.

Table 4 indicates other articles of the State Constitu-tion that either contain references relating to local gov-ernment powers and operations or place restrictions onthe State Legislature.

Article IX of the State Constitution grants power intwo ways: directly, where the grants are, in effect, self-executing and require no further state legislative imple-mentation; and indirectly, where the grants require fur-ther legislation before they can be exercised.

Examples of direct grants of power are contained insection 1 of Article IX of the State Constitution, entitled“Bill of Rights for Local Governments.” These rights in-clude: (1) the right of a local government to have a legis-lative body elected by the people; (2) the power to elector appoint local government officers whose election orappointment is not otherwise provided for by the Consti-tution; (3) the power to take private property for publicuse by eminent domain; and (4) the right to make a fairreturn on local government utility operations.

In some cases, although the Constitution sets forth di-rect grants of power, these grants may still be subject tostate legislative implementation through the enactment ofprocedural steps for their use. For example, Article IX ofthe State Constitution grants local law powers to localgovernments, but the exercise of the local law power mustbe in accordance with the procedures set forth in theMunicipal Home Rule Law, which was enacted by theState Legislature to implement the constitutional grantsof power.

Some grants of power require additional legislative au-thorization or direction in order for a local government toutilize them. These grants include: (1) the power to en-gage in cooperative undertakings as authorized by theLegislature; (2) the power to apportion the costs of gov-

ernmental services as authorized by the Legislature; and(3) the power for counties to adopt alternative forms ofcounty government under a special law or a general lawenacted by the State Legislature.

These Constitutional references indicated in the fol-lowing table are intended only to acquaint the reader withthe existence of a constitutional base for local govern-ments. Determining whether a local government may ex-ercise a particular power or function requires a greaterfamiliarity with the complete text of the constitutional pro-vision, the state legislative implementation, and judicialinterpretations, if any.

TABLE 4Constitutional Provisions

Relating to Local Government

Subject

Prescribes civil service merit sys-tem.

New York StateConstitution

Article V, §6

Prescribes that after July 1, 1940membership in any pension or re-tirement system of the state or civildivision is a contractual relation-ship and cannot be diminished orimpaired.

Article V, §7

Article VIArticle X, §5

Provides for the court system.Prescribes the power of the StateLegislature to create public cor-porations.Provides for the educational sys-tem.

Article XI

Article XIII Contains several provisions relat-ing to local office holders, includ-ing: filling of vacancies, compen-sation of constitutional officers andelection of city officers.

Article XVI Contains the general provisionsrelating to taxing authority.

Article XVII Contains the basic provisions re-lating to public assistance and thesocial services system.

Article XVIII Provides the authority for the pro-vision of low-rent housing andnursing home accommodationsfor persons of low income and forurban renewal.


The StatutesIn many instances, the Constitutional provisions de-

scribed above direct the State Legislature to adopt lawsthat give local governments the authority to take certainlegislative actions, such as entering into inter-municipalagreements or adopting city or county charters. The StateLegislature also may delegate to local governments addi-tional authorizations as it deems appropriate or neces-sary to enable local governments to fulfill their obligationsin the partnership of government.

The Legislature has enacted a body of law, known asthe Consolidated Laws, containing the statutory provi-sions from which local governments derive most of theirsubstantive and procedural power. The title of each vol-ume of the law generally suggests the subject matter orlevel of government to which it has primary application.Table 5 indicates the Consolidated Laws that are mostrelevant to local government.

TABLE 5

Consolidated Laws Relating to Local Government

Civil ServiceLaw

The state’s merit system; powersand duties of the State Civil Ser-vice Commission; provisions forcivil service administration at thelocal level; the Public Employees’Fair Employment Act, commonlyreferred to as the Taylor Law.

County Law The structure, administrative orga-nization, and power and duties ofcounty government.

Education Law The powers of the State Educa-tion Commissioner; the structure,organization, and powers and du-ties of school districts; and thebasic programs of state aid toschool districts.

Election Law The conduct of elections.

EminentDomainProcedure Law

Procedure for acquiring propertyby exercise of the power of emi-nent domain.

GeneralCity Law

The powers and duties of citiesgenerally, as well as specific au-thorizations of taxation for the Cityof New York.

PublicOfficers Law

GeneralMunicipalLaw

Powers and duties pertaining to alllocal governments and school dis-tricts, including provisions relatingto the maintenance of reservefunds, planning activities, coop-erative undertakings, establish-ment of municipal hospitals, pub-lic bidding requirements, munici-pal airports, local bingo and gamesof chance option, urban renewal,annexation, and conflicts of inter-est.

Highway Law Construction and maintenance ofstate highways and arterials; pow-ers of the State Department ofTransportation; powers and dutiesof county and town superinten-dents of highways; the construc-tion and maintenance of county andtown highways, including limita-tions on expenditures for certainhighway-related purposes, as wellas state aid programs for high-ways.

Local FinanceLaw

Authorizations and proceduresrelating to the incurring of debt bycounties, cities, towns, villages,school districts, fire districts anddistrict corporations.

MunicipalHome RuleLaw —Statute ofLocalGovernments

Basic authorizations, requirementsand procedures for the adoptionof local laws by counties, cities,towns and villages, and the pro-cedures for enactment and revi-sion of county charters and citycharters, as well as the Statute ofLocal Governments.

Provisions applicable to state andlocal officers, including residencyrequirements, official oaths andundertakings, resignations, filling ofvacancies, removal from office,public access to records and openmeetings.

Retirementand SocialSecurity Law

State and local retirement systems.


This listing is not a complete compilation of the lawsapplicable to local government. Many other laws that havesignificance either to a particular level of government orto an individual local government are scattered through-out the statutes. For example: the State Finance Law setsforth the provisions relating to the state’s revenue-shar-ing programs; the Labor Law contains provisions relat-ing to prevailing wage requirements in public works con-tracts; the Agriculture and Markets Law contains provi-sions relating to the establishment of agricultural districts,dog regulation and impoundment and sealers of weightsand measures; the Correction Law contains provisionsrelating to supervision and administration of county jailsand penitentiaries and state supervisory powers over cityjails; the Parks, Recreation and Historic Preservation Law

contains authorizations for historic preservation and lo-cal snowmobile operation regulation; and the Transpor-tation Corporations Law contains local government ap-proval requirements for the formation of private sewerand waterworks corporations. The Social Services Law,Mental Hygiene Law, Real Property Tax Law and Pub-lic Health Law are discussed elsewhere in this book.

Statute of Local GovernmentsArticle IX of the State Constitution required the State

Legislature to enact a “Statute of Local Governments” inorder to grant certain powers to local governments. Thegranted powers include the power to: adopt ordinances,resolutions, rules and regulations; acquire real and per-sonal property; acquire, establish and maintain recre-ational facilities; fix, levy and collect charges and fees;and in the case of a city, town or village, to adopt zoningregulations and conduct comprehensive planning.

The powers granted in the Statute of Local Govern-ments are accorded quasi-constitutional protection byArticle IX; a power so granted cannot be repealed, im-paired or suspended, except by the action of two suc-cessive Legislatures, and with the concurrence of theGovernor. Thus, for example, the repeal of village ordi-nance power by the State Legislature was accomplishedby Chapter 975 of the Laws of 1973 and Chapter 1028of the Laws of 1974.

The Statute of Local Governments reserves certainpowers to the State Legislature, even where the exerciseof these powers could or would diminish or impair a lo-cal power. These include the power to take actions re-lating to the defense of the state, to adopt laws uponlocal home rule request, to adopt laws relating to the cre-ation of alternative forms of county government and toadopt laws relating to matters of overriding state or re-gional concern.

Limitations on the State LegislatureThe powers of the State Legislature are derived from

Article III of the State Constitution, as well as from otherConstitutional provisions. Additional powers, as well asrestrictions thereon, were conferred upon the Legisla-ture by Article IX of the State Constitution, which directsthe State Legislature to adopt certain laws necessary toeffect the local powers granted by that article. Article IXalso restricts the State Legislature from adopting speciallaws that affect a local government’s property affairs orgovernment. Article IX, therefore, serves both as a sourceof authority for local governments and as a shield againstintrusion by the State upon their home rule prerogatives.

TABLE 5

Consolidated Laws Relating to Local Government(Continued)

Second ClassCities Law

The organization of cities whichwere classified as cities of the sec-ond class on December 31, 1923.This law has limited application.

Tax Law General taxation laws of the stateand authorizations for sales anduse taxes by counties, cities andcertain school districts.

Town Law The structure, organization, pro-vision of services, and powers andduties of towns and fire districts,as well as fiscal procedures andrequirements.

Vehicle andTraffic Law

State operation and regulation ofvehicular traffic as well as autho-rizations for regulation by counties,cities, towns and villages.

Village Law The structure, organization, pow-ers and duties of villages.

VolunteerFirefighters’Benefit Law

Disability or death benefits forfirefighters or their families as aresult of injuries or death arisingfrom the performance of duties byvolunteer firefighters.

Workers’CompensationLaw

Workers’ compensation benefitsfor employees of public as well asprivate employers. Also containsauthorizations for self-insuranceplans by local governments.


The restriction on the State Legislature’s legislative pow-ers is predicated upon the phrases “property, affairs orgovernment” and “general law.” The Legislature is spe-cifically prohibited from acting with respect to the prop-erty, affairs or governance of any local government ex-cept by general law, or by special law enacted on a homerule request by the legislative body of the affected localgovernment or, except in the case of the City of NewYork, by a two-thirds vote of each house upon receivinga certificate of necessity from the Governor. The defini-tions of the terms “general law” and “special law” as setforth above also apply in the context of this provision.

Local Laws and OrdinancesLocal legislative enactments must be considered in

order to fully define the power and authority of a localgovernment. City and county charters originally wereadopted by a special act of the State Legislature when acity or county was created. These charters created themunicipal corporation and, importantly, directed its or-ganization, and responsibilities, and accorded its pow-ers. The Municipal Home Rule Law, pursuant to consti-tutional direction, authorizes cities to amend their char-ters and counties to adopt or amend charters by charterlocal law.18 Charters of charter local governments mustbe consulted in order to ascertain the nature and extentof any power held by that government.19

Once a local government adopts an ordinance or locallaw, the government is bound by such legislative enact-ment until it is amended or repealed. Since local lawsmay direct that a local government’s power be exercisedin a certain manner, and, in some instances, may super-sede state law (to be discussed later), the localgovernment’s local laws and ordinances must be con-sulted in order to fully define its powers.

Administrative Rulings and RegulationsLocal government powers also may be expanded, re-

stricted or qualified by the rules and regulations of stateagencies. These rules and regulations are usually adoptedas part of the implementation of a state program havinglocal impact or application. Thus, it is advisable to re-view state regulations on a particular subject in order toascertain the extent of local authorization in undertakinga particular activity or program.

An example is the promulgation of a local sanitary orhealth code. While a local government may promulgatesuch a code, it must first ascertain what areas of regula-tion have been covered by the State Sanitary Code. TheState Sanitary Code and other rules and regulations ap-

pear in the Official Compilation of Codes, Rules andRegulations of the State of New York, which is publishedand continually updated at the direction of the Secretaryof State.

Home Rule and Its LimitationsWhat “home rule” means depends upon the context in

which it is used. Home rule in a broad sense describesthose governmental functions and activities traditionallyreserved to or performed by local governments withoutundue infringement by the state. In its more technical sense,home rule refers to the constitutional and statutory pow-ers given local governments to enact local legislation inorder to carry out and discharge their duties and respon-sibilities. This affirmative grant of power is accompaniedby a restriction upon the authority of the State Legisla-ture to enact special laws affecting a local government’sproperty, affairs or government.

Interpreting Home RuleOriginally, the powers of local legislation were derived

from specific delegations from the State Legislature. Thesedelegations concerned specific subjects and were nar-rowly circumscribed. The courts applied strict rules ofconstruction when called upon to interpret state statutesthat delegated legislative power to local governments.However, with the evolution of the broad home rule pow-ers, which culminated in constitutional grants to all localgovernments in 1964, there emerged a gradual recogni-tion that the rules of strict construction were no longerapplicable to the interpretation of such delegated pow-ers. Rather, the same rules of liberal construction appli-cable to enactments of the State Legislature should beapplied to the local law power.

Judicial interpretations of the Home Rule article illus-trate the tension between the affirmative grant of author-ity to local governments and the reservation of mattersoutside the “property, affairs or government” of local gov-ernments to the State Legislature. In a society where manyissues transcend local boundaries, a growing number ofmatters are considered to be matters of state concern.20

The home rule powers enjoyed by local governmentsin this state are among the most advanced in the nation.By recognizing the extent of their powers and by con-tinuing to exercise them, local governments can best avoidthe erosion of such powers. In this fashion, local govern-ments will not only serve the needs of the people, but willstrengthen state-local relationships as well.


Local Legislative Power

Forms of Local LegislationLocal legislation may take the form of local laws, ordi-

nances and resolutions.A local law is the highest form of local legislation, since

the power to enact a local law is granted to local govern-ments by the State Constitution. In this respect, a locallaw has the same quality as an act of the State Legisla-ture, since they both are exercises of legislative poweraccorded representative bodies elected by the people.Indicative of this is the fact that acts of the State Legisla-ture and local laws are both filed with the Secretary ofState, the traditional record keeper for State government.

An ordinance is an act of local legislation on a subjectspecifically delegated to local governments by the StateLegislature. Counties do not ordinarily possess ordinancepowers and the power of villages to adopt ordinanceswas eliminated in 1974.

A resolution is a means by which a governing bodyor other board expresses itself or takes a particular ac-tion. Unlike local laws and ordinances, which can be usedto adopt regulatory measures, resolutions generally can-not be used to adopt regulatory measures. Exceptionsexist to this rule, however, as authorized by the State Leg-islature. For example, section 153 of the County Lawprovides that a power vested in a county may be exer-cised by local law or resolution.

The Local Law PowerArticle IX of the State Constitution was implemented

in1964 by the State Legislature through the enactment ofthe Municipal Home Rule Law, which reiterates and ex-plicates the constitutional local law powers and providesprocedures for adopting local laws.

Both the Constitution and the Municipal Home RuleLaw provide the following categories of local law pow-ers:

• The power to adopt or amend local laws relatingto their property, affairs or government which arenot inconsistent with the provisions of the Consti-tution or with any general law;

• The power to adopt or amend local laws, not in-consistent with the Constitution or any general law,relating to specifically enumerated subjects,whether or not these subjects relate to the prop-erty, affairs or government of the local government,and subject to the power of the Legislature to re-

strict the adoption of local laws in areas not relat-ing to property, affairs or government; and

• The State Legislature is expressly empowered toconfer upon local governments additional powersnot relating to their property, affairs or governmentand to withdraw or restrict such additional pow-ers.

The phrase “property, affairs or government” is a termof art which has been defined largely by court decisionswhich have determined what it is not — i.e., what are,instead “matters of state concern”. Even where the sub-ject matter of a local law falls instead within the meaningof “property, affairs or government,” the local law mustbe consistent with all general state laws and with the Con-stitution.

The second category of local laws set forth above in-cludes the specifically enumerated topics found in sec-tion 10 of the Municipal Home Rule Law. For example,a county, city, town or village may, by local law, modifythe powers, qualifications, number, mode of selection andremoval, terms of office, compensation and hours of workof its officers and employees. It may: create and discon-tinue departments of its government; decide the mem-bership and composition of its legislative body; and regu-late the acquisition and management of property, the levycollection and administration of local taxes and assess-ments, and the fixing, levying and collecting of local rentalcharges and fees. It may also provide for the protectionof its environment, the welfare and safety of persons andproperty within its boundaries, and the licensing of busi-ness and occupations.

Additional powers are conferred upon counties, cit-ies, towns and villages in section 10 of the Municipal HomeRule Law, for example:

• Counties may assign administrative functions to thechairperson of the county legislative body, createan administrative assistant to the chairperson, andprovide for the control of floods and reforestationof lands owned by the county;

• Cities may revise their charters, as well as autho-rize benefit assessments for local improvements;

• Towns may adopt local laws relating to the prepa-ration, making, and confirmation of assessmentsof real property and the authorization of benefitassessments, consistent with state law. They mayalso supersede any provision of the Town Law inrelation to an authorized area of local legislation,unless such supersession has been restricted by


the State Legislature and except for those provi-sions of the Town Law relating to improvementdistricts, areas of taxation, referenda and town fi-nances;

• Villages may authorize benefit assessments andmay also supersede any provision of the VillageLaw in relation to an authorized area of local leg-islation, unless the State Legislature has restrictedsuch supersession.

The courts also have recognized the extent of locallaw power. In a landmark case, the Court of Appeals,the state’s highest court, upheld a locally enacted countycharter provision that superseded a general state law.21

Similarly, a town’s authority to supersede provisions ofthe Town Law has been upheld.22

It can be readily seen that the grant of local law powerto local governments in New York is quite broad.

Restrictions on Local Law PowersThe local law power is not without its limitations. The

restrictions upon the exercise of the local law power areas follows:

• A local law cannot be inconsistent with the Con-stitution or with any general law. The term “gen-eral law” is defined in the Constitution as a lawenacted by the State Legislature which in termsand in effect applies alike to all counties outsidethe City of New York, to all cities, to all towns orto all villages. Conversely, a special law is definedas one which applies to one or more, but not all,counties, cities, towns or villages;

• A number of specific restrictions or qualificationsare contained in the Constitution or have been en-acted by the State Legislature, such as those setforth in section 11 of the Municipal Home RuleLaw. This section, for example, restricts the adop-tion of a local law if it would remove a restrictionof law relating to the issuance of bonds;

• Local law power is restricted where the subject ofthe local law is one considered to be of “state con-cern.” “Matters of state concern” is a phrase bornin judicial opinions rather than in the Constitutionor statutes. It is a term used by the courts to define

what local governments may not accomplish bylocal law – in other words, what is not within their“property, affairs or government.” Matters of stateconcern are those of sufficient importance to re-quire State legislation. If the matter is to a sub-stantial degree a matter of State interest, it is con-sidered a matter of State concern, even if localconcerns are intermingled with the State con-cerns.23 Court cases construing the home rulegrants have indicated that “state concern” includessuch matters as taxation, incurring of indebtedness,education, water supply, transportation and high-ways, health, social services, aspects of civil ser-vice and banking. As a general principle, a localgovernment may not adopt a local law relating toa “matter of state concern” unless the Legislaturehas specifically granted such power by law; and

• Local law power is restricted where the subject ofproposed local law action has been preempted bythe state. Preemption occurs when the State Leg-islature specifically declares its intent to preemptthe subject matter, or when the Legislature enactssufficient legislation and regulation so as to indi-cate an intent to exclude regulation by any othergovernmental entity. The courts have termed suchindication intent to “occupy the field.”

ReferendaNew York’s governmental heritage is that of a repre-

sentative form of government where most matters are ad-dressed by elected officials. Certain matters of particularimportance, however, are set aside to be confirmed bythe voters through referenda. These matters generally in-clude approval of Constitutional amendments and bond-ing authorizations. The preference for a representativeform of government also carries through to the local level.Matters may be set for local referendum only when au-thorized by state statute. Certain local laws, which aresubject to mandatory referendum, do not become effec-tive until approved by the voters through a referendum.The referendum requirements that apply to local laws areset forth primarily in sections 23 and 24 of the MunicipalHome Rule Law, and are discussed at greater length inChapter X.

Chapter Endnotes9. Public corporations include municipal corporations, district corporations and public benefit corporations. Municipal corpora-

tions are cities, towns, villages, counties and school districts. District corporations are territorial divisions of the state with thepower to contract indebtedness and to levy (or require the levy of) taxes, such as a local fire district. Public benefit corporationsare formed for the purpose of constructing public improvements, such as a local parking authority. District and public benefitcorporations are discussed in Chapter IX.


10. New York Constitution, Article VIII, § 3; see the discussion in Greater Poughkeepsie Library District v. Town of Poughkeepsie,81 N.Y.2d 574 (1993).

11. The 1777 New York State Constitution, Article XXXVI, confirmed land grants and municipal charters granted by the EnglishCrown prior to October 14, 1775. Chapter 64 of the Laws of 1788 organized the state into towns and cities.

12. A small group of villages still operate under their original special act charters. See Chapter VIII, Villages.

13. See the New York Constitution, Article IX, added to the Constitution in 1963 and effective January 1, 1964.

14. New York Constitution, Article IX, § 1(a).

15. New York Constitution, Article IX, § 1(a).

16. A town’s solid waste flow control law which restricted interstate commerce by limiting out-of-state firms’ entry to the unsortedgarbage market was struck down under what is called the “dormant” Commerce Clause. C.& A. Carbone, Inc. v. Town ofClarkstown, 511 U.S. 383 (1994).

17. New York Constitution, Article IX, § 2(b)(2).

18. Municipal Home Rule Law, Article 4.

19. This holds true for any charter village, as well.

20. The most recent home rule cases indicate a growing class of state concerns. City of New York v. State of New York, 76 N.Y.2d 479(1990); Albany Area Builders Association v. Town of Guilderland, 74 N.Y.2d 372 (1989).

21. Town of Smithtown v. Howell, et al., 31 N.Y. 2d 365 (1972).

22. Kahmi v. Town of Yorktown, 74 N.Y.2d 423 (1989).

23. See Adler v. Deegan, 251 N.Y. 467 (1929) and Wambat Realty Corp. v. State of New York, 41 N.Y.2d 490 (1977).


CHAPTER V

County Government

While originally established to serve as instrumentalities of the state existing for state purposes, coun-ties in New York are now full service general purpose units of government that provide a vast array ofservices to their residents.

What is a County?New York counties began as entities established by

the State Legislature to carry out specified functions atthe local level on behalf of the state. During the 20th cen-tury, county government in New York underwent majorchanges in function, form and basic nature.

The counties in New York are no longer merely subdi-visions of the state that primarily exist to perform statefunctions. The county is now a municipal corporation withgeographical jurisdiction, home rule powers and the fis-cal capacity to provide a wide range of services to itsresidents. To some extent, counties have evolved into aform of “regional” government that performs specifiedfunctions and which encompasses, but does not neces-sarily supersede, the jurisdiction of the cities, towns andvillages within its borders.

New York State outside New York City is dividedinto 57 counties. The five boroughs of the City of NewYork function as counties for certain purposes, althoughthey are not organized as such nor do they operate ascounty governments. Unless otherwise indicated, refer-ences to counties in this chapter will apply only to thoseoutside New York City.

Counties in New York are very diverse in populationand demographics. The 2000 Census populations of thecounties vary from Suffolk County’s 1, 419, 369 toHamilton County’s 5, 379. St. Lawrence County is thelargest in geographical area, with over 2, 700 square miles,and Rockland is the smallest, with 175 square miles. Themost densely populated county is Nassau County withmore than 4, 500 people per square mile, and the mostsparsely populated is Hamilton County, with fewer than3 people per square mile. The population of New York’scounties is shown in Table 6.

Of the state’s 57 counties outside New York City, 21contain no cities. All counties include towns and villages,

although the number of each varies widely, from 32 townsin St. Lawrence, Cattaraugus and Steuben counties tothree towns in Nassau County, and from Hamilton andWarren counties’ one village each to Nassau County’s64 villages.

The foregoing statistics indicate that it can be decep-tive to speak of counties in New York State as thoughthey were all alike. New York counties are among themost urban and the most rural in the nation, and the inter-ests, concerns and governmental expectations of their resi-dents are similarly diverse.

Historical DevelopmentThe patterns of county government organization in New

York were set in colonial times. The “Duke’s Laws” of1665 created “ridings,” or judicial districts, which werein effect a system of embryonic counties. In 1683, an actof the first Assembly of the Colony established the first12 counties — adding 2 to the 10 which had previouslycome into existence — and created the office of sheriff ineach county. These original counties were Albany,Cornwall, Dukes, Duchess, Kings, New York, Orange,Queens, Richmond, Suffolk, Ulster, and Westchester.Cornwall and Dukes were deemed part of Massachu-setts after 1691.

County legislative bodies began at the same time, whenfreeholders, later known as supervisors, were elected torepresent each town in the establishment of tax rates todefray the costs of county government, including the op-eration of a court house and a jail.

The reasons for the creation of county governments inthe early colonial period appear to have been practical:to improve protection against enemies and to provide amore broadly based mechanism for maintaining law andorder. The first duties of county government lay in thesefunctional areas. It is of interest to note that the sheriffs in


the first counties were appointed by the Governor andcould serve only one term.

The first State Constitution in 1777, which designatedcounties, towns and cities as the only units of local gov-ernment, recognized the existence of 14 counties that hadbeen established earlier by the colonial Assembly. Twoof those counties were ceded to Vermont in 1790 in thesettlement of the New Hampshire land-grant controversy.All of New York’s other 50 counties were created byacts of the State Legislature. The state’s newest county,Bronx, was established in 1914.

The basic composition of the counties was set in 1788when the State Legislature divided all of the existing coun-ties into towns. Towns, of course, were of earlier origin,but in that year they acquired a new legal status as com-ponents of the counties.

Throughout the nineteenth century, additional countieswere created, usually when an area contained approxi-mately 1,000 residents. New counties were typicallyformed out of existing counties, some of which originallycovered vast geographical areas.

TABLE 6New York State Counties

ChiefCOUNTY Administrative Official Legislative Body Number of Members Population ** Albany* Executive Legislature 39 294,565 Allegany Administrator Legislature 15 49,927Broome* Executive Legislature 19 200,536Cattaraugus Administrator Legislature 21 83,955Cayuga Chair of Legislative Body Legislature 15 81,963Chautauqua* Executive Legislature 25 139,750Chemung* Executive Legislature 15 91,070Chenango Chair of Legislative Body Supervisors 23 51,401Clinton Administrator Legislature 10 79,894Columbia Chair of Legislative Body Supervisors 22 63,094Cortland Chair of Legislative Body Legislature 19 48,599Delaware Chair of Legislative Body Supervisors 19 48,055 Dutchess* Executive Legislature 25 280,150Erie* Executive Legislature 17 950,265Essex Manager Supervisors 18 38,851Franklin Manager Legislature 7 51,134Fulton Chair of Legislative Body Supervisors 20 55,073Genesee Manager Legislature 9 60,370Greene Administrator Legislature 14 48,195Hamilton Chair of Legislative Body Supervisors 9 5,379Herkimer* Administrator Legislature 17 64,427Jefferson Administrator Legislature 15 111,738Lewis Manager Legislature 10 26,944Livingston Administrator Supervisors 17 64,328Madison Chair of Legislative Body Supervisors 19 69,441Monroe* Executive Legislature 29 735,343Montgomery Administrator Supervisors 15 49,708Nassau* Executive Legislature 19 1,334,544Niagara Chair of Legislative Body Legislature 19 219,846Oneida* Executive Legislature 29 235,469Onondaga* Executive Legislature 19 458,336Ontario Administrator Supervisors 21 100,224


ChiefCOUNTY Administrative Official Legislative Body Number of Members Population **Orange* Executive Legislature 21 341,367Orleans Administrator Legislature 7 44,171Oswego Administrator Legislature 25 122,377Otsego Chair of Legislative Body Legislature 14 61,676Putnam* Executive Legislature 9 95,745Rensselaer* Executive Legislature 19 152,538Rockland* Executive Legislature 17 286,753St. Lawrence Administrator Legislature 15 111,931Saratoga Administrator Supervisors 23 200,635Schenectady* Manager Legislature 15 146,555Schoharie Chair of Legislative Body Supervisors 16 31,582Schuyler Chair of Legislative Body Legislature 8 19,224Seneca Manager Supervisors 14 33,342Steuben Administrator Legislature 17 98,762Suffolk* Executive Legislature 18 1,419,369Sullivan Manager Legislature 9 73,966Tioga Chair of Legislative Body Legislature 9 51,784Tompkins* Administrator Legislature 15 96,501Ulster Administrator Legislature 33 177,749Warren Administrator Supervisors 20 63,303Washington Administrator Supervisors 17 61,042Wayne Administrator Supervisors 15 93,765Westchester* Executive Legislature 17 923,459Wyoming Administrator Supervisors 16 43,424Yates Administrator Legislature 14 24,621

* Charter County** 2000 Census.

SOURCE: U.S. Bureau of the Census, courtesy of Empire State Development Corporation.

County government information courtesy New York State Association of Counties.

New York City Boroughs/CountiesBorough Population**Bronx 1,332,650Kings 2,465,326New York 1,537,195Queens 2,229,379Richmond 443,728

** 2000 Census.

SOURCE: U.S. Bureau of the Census, courtesy of Empire State Development Corporation.

TABLE 6New York State Counties

(Continued)


The Changing Nature of County GovernmentThe basic changes in form, powers and functions, which

the counties in New York have been undergoing, havebeen hastened and facilitated by three major develop-ments:

• The rapid urbanization of many areas of the stateafter World War II, particularly in the environs oflarge cities;

• The availability, by general law, of authority for theresidents of a county to draft and adopt a homerule charter to provide whatever form of govern-ment they consider most appropriate to local needs,and through the charter, to assign to the countygovernment duties and functions they want thecounty to undertake — within state Constitutionaland statutory limitations;

• Basic alteration of the representative base forcounty legislative bodies resulting from federal andstate court rulings requiring that such representa-tion comply with the “one person-one vote” prin-ciple.

While county government still must perform as an ad-ministrative arm of state government for many purposes,at the same time it must be an independent unit of gov-ernment exercising powers of its own to meet new, diffi-cult and complex demands.

As the population spilled out from the central cities ofthe metropolitan areas, the towns and the counties occu-pying the periphery had to take on a wide range of newfunctions, services and duties. As a result, the forms andprocedures of county government changed to meet theneeds of the metropolitan areas. At the same time, how-ever, the old forms of county government, which largelyreflected rural needs and county functions as state ad-ministrative units, were retained in areas where they werestill appropriate. Even in the latter case, however, it hasproven convenient for the state to use the counties in newways for new purposes in carrying out new state pro-grams and objectives.

At the present time, most New Yorkers live in coun-ties that are now considered urban because of their popu-lation or proximity to a major city. Some counties aremarginally urban because of their economic orientationand because people journey to work from those coun-ties to larger metropolitan centers that may be some dis-tance away. This very fact, however, lends an urban aurato those counties even though their primary activities maystill have rural characteristics.

The County Charter MovementOne of the developments that has facilitated the chang-

ing nature of county government in New York has beenthe provision of general law authority for counties to draftand adopt home rule charters by local initiative and ac-tion.

Most of the counties of the state still operate, as theydid in the past, under the general provisions of the NewYork State County Law. Even these counties have cer-tain latitude under state law to develop their own organi-zational structures and to provide for the administrationof their services. In fact, a majority of the counties thatoperate under the County Law have a county adminis-trator or comparable position.

Any county, regardless of size, may gain a much widerscope for local initiative and action through the adoptionof a county charter. Table 7 lists the 19 charter countiesin New York and the year of adoption of their currentcharter.

TABLE 7Charter Counties In New York

County Date Charter AdoptedNassau 1936Westchester 1937Suffolk 1958Erie 1959Oneida 1961Onondaga 1961Monroe 1965Schenectady 1965Broome 1966Herkimer 1966Dutchess 1967Orange 1968Tompkins 1968Rensselaer 1972Albany 1973Chemung 1973Chautauqua 1974Putnam 1977Rockland 1983

The spread of the county charter movement in NewYork has been a relatively recent phenomenon. In 1937,the Legislature enacted an Optional County Government


Law which broadened the scope of local choice as toorganization and form. By the early 1950’s only threecounties — Nassau, Monroe and Westchester — hadorganized under optional or special charters granted bythe State Legislature. Because of the counties indifferentresponse to this form, in 1952 the Legislature repealedthe optional County Government Law and enacted theAlternative County Government Law, which extended tothe counties a choice of four optional alternative forms ofgovernment organization. However, no county utilized theprovisions of this law. In 1958, Suffolk County wasgranted an alternative form of county government by spe-cial state legislation.

An amendment to the State Constitution in 1959 pro-vided the necessary constitutional basis for locally devel-oped and adopted charters. With the implementing stat-utes enacted by the State Legislature, the amendmentenabled counties to adopt charters that could supersedethe governmental structures provided in the County Law.The response was immediate; Erie County in 1959 wasthe first to adopt its own charter under the new law. In1961, Oneida and Onondaga Counties followed. Enact-ment in 1963 of the Municipal Home Rule Law, to whichthe County Charter Law provisions were transferred,further facilitated the reorganization by charter of countygovernments. Since that change, the number of countiesoperating under charters has increased to 19. One of thesecounties — Herkimer — chose only to reapportion thecounty legislative body through the county charter methodand left intact the organizational arrangements providedunder the County Law.

Reform of County Legislative BodiesA third recent development that significantly impacted

county government in New York was the reapportion-ment of representation in county legislative bodies in re-sponse to judicial mandates.

From the earliest days of county government, thecounty’s legislative body — and its executive and admin-istrative elements as well — was a board of supervisors.The board of supervisors consisted primarily of the su-pervisors of the towns within the county who were electedsolely as town officers at town elections but who servedex officio as county legislators. In counties containing cit-ies a number of “city supervisors” were elected by cityvoters, usually by wards, to serve solely as county offi-cials and having no other duties as city officials.

In the early 1960’s, the courts found that many of thearrangements in New York for boards of supervisors vio-lated the Equal Protection clause of the Fourteenth

Amendment of the United States Constitution. The basisfor this ruling was the fact that each town in a county,small or large, had one vote in the legislative body. Thus,a voter in a town with a population of a hundred wieldedten times more weight in the county legislative body thandid a voter in a town of a thousand. Accordingly, thecounties were ordered to bring the apportionment of theirlegislative bodies into compliance with the principle ofone person-one vote.

The counties of New York State have used one oftwo basic methods to comply with the Supreme Court’smandate: weighted voting or districting. Some countiesstill retain the board of supervisor’s arrangement, but withan appropriate weighting of the relative voting strength ofeach supervisor. Other counties now elect legislators fromdistricts, which may or may not coincide with town lines.

Variations of these two basic methods have been usedto accommodate local conditions. In some counties,weighted voting provides that each legislator “casts thedecisive vote on legislation in the same ratio which thepopulation of his or her constituency bears to the totalpopulation.” In others, the weighting simply reflects therepresented population. Districting has taken the form ofsingle or multi-member districts or a mix of both.

In many cases, the members of the county legislativebodies now occupy their positions in that capacity alone;they are clearly county legislators, elected as such. Thisis a major change in the basic structure of county gov-ernment, since it can be argued that until the county hadits own independently elected legislative body, it couldnot truly be regarded as a full unit of local governmentwith its own defined powers and its own authority to uti-lize those powers in response to countywide needs.

County Government OrganizationFour organizational elements exist in some form and in

varying degrees among all counties, both charter and non-charter. These are: (1) a form of executive or administra-tive authority, either separate from or as a part of legisla-tive authority; (2) a legislative body; (3) an administrativestructure; and (4) certain elective or appointed officerswho carry out specific optional duties and functions.

Executive and Administrative AuthorityNon-charter Counties. The County Law, which pro-

vides the legal framework for non-charter county gov-ernment, makes no provision for an independent execu-tive or administrative authority. The executive and legis-lative authority remain joined in the legislative body, whichmay exercise that function indifferent ways. The legisla-


tive body may organize its committee structure aroundthe functional areas of county government; each commit-tee or its chairman exercises a certain amount of supervi-sory or administrative authority on behalf of the legisla-tive body over the operational arrangements for the pro-vision of the specific service or activity. The legislaturemay also delegate to its chairman a substantial amount ofadministrative authority to be exercised on its behalf.

As long as the functions of county government wererelatively few and simple, such arrangements assured thelegislature of direct information about day-to-day countyoperations. As county functions and programs increasedin number, diversified in kind, and expanded enormouslyin both complexity and cost, this fragmentation of admin-istrative authority often fell short of providing necessaryoverall supervision and coordinated direction. Partly tocorrect this inadequacy, the county charter movementspread rapidly during the 1950’s and 1960’s among thelarger and rapidly urbanizing counties of the state.

In addition to the internal arrangements whereby acounty legislative body may exercise a certain amount ofexecutive and administrative authority, several provisionsof law authorize the county legislature to establish the of-fice of county administrator or a similar office to carryout, on behalf of the legislature, certain administrativefunctions.

The first of these provisions is section 10(1)(a)(1) ofthe Municipal Home Rule Law, which authorizes localgovernments to enact local laws relating to the powers,duties, qualifications, number, mode of selection and re-moval, and terms of office of their officers and employ-ees. Under this provision, a county may create the officeof county administrator or manager, and assign to the of-fice certain administrative functions and duties to be per-formed on behalf of the county legislature.

A county legislature should keep two factors in mindwhen creating such an office. The first is to determinewhether the powers and functions to be assigned to theoffice would either diminish the powers of any electedcounty official or transfer to such an office any powersand duties presently vested by law in other county of-fices. In such situations, the Municipal Home Rule Lawprovides for a mandatory referendum. The second is todetermine how far the county legislature is empoweredto go in assigning various functions and duties to the of-fice of county administrator. At what point will the legis-lature, in effect, be enacting an alternative form of countygovernment? In other words, how far can the county goin assigning powers and functions before it becomes nec-essary to enact a county charter?

Another option is found in the Municipal Home RuleLaw, section 10(1)(b)(4), which authorizes a county tocreate by local law the position of administrative assis-tant to the chairman of the board of supervisors. Whilesuch a law may assign specified administrative functions,powers, or duties to this office, the board must remainthe final authority with respect to such administrative func-tions and duties.

Finally, section 204 of the County Law provides thatthe county legislative body may establish the position of“executive assistant” by local law, resolution, or by inclu-sion in the county budget.

The foregoing illustrates that a county government with-out a charter still has a number of options through whichit can provide itself with a certain amount of administra-tive leadership and day-to-day direction. However, thelegislative body must retain the executive authority gen-erally embodied in making policy and developing the an-nual budget.

Charter Counties. The principal difference betweena county government operating pursuant to the CountyLaw and one operating pursuant to a charter is that acounty charter ordinarily provides for an executive or ad-ministrator, independent of the legislature, who adminis-ters the day-to-day affairs of county government. Of the19 charter counties in the state, 16 have elected execu-tives, while 2 have professional managers.

Voters in the charter counties of New York, in mostcases, have chosen the elected executive form of countygovernment organization. The creation of the office ofelected executive provides the county with potentiallystrong leadership, because the executive is elected bythe voters of the entire county. Thus, the executive oper-ates from a strong political base to speak for the county,and to exercise leadership in relation to the legislative body.This principle holds true even where the charter does notendow the executive with extensive powers.

The elected executive also provides a focus of publicattention in county government that is lacking in the orga-nization under the County Law. Like elected executivesat other levels, the county executive operates under con-stant scrutiny.

Under most county charters, the elected county ex-ecutive may secure additional professional administrativeassistance, subject to appropriated funds. For example,the executive may provide, within the annual appropria-tion, for the creation of the office of deputy county ex-ecutive for administration or for an executive assistant to


carry out responsibilities that may be delegated by theexecutive.

One of the most influential elements of the electedexecutive’s authority is the budgetary power, an essentialtool of executive participation in policy development andin strong administration. Through the framing of an ex-ecutive budget, the county executive establishes and rec-ommends to the county legislature priorities among pro-grams. If they are approved by the legislative body, thesepriorities provide a direction for the implementation ofpolicies.

Another important element of the authority of the countyexecutive or county manager in charter counties is thepower to appoint and remove department heads. Thecharter may allow the executive to exercise this authoritywithout confirmation or approval by the legislative body,and in other cases, the charter may require the confirma-tion or approval of the action. In either case, the execu-tive must exercise this authority within the scope of theapplicable civil service laws as described in Chapter XIII.

Initially, the size of a county’s population has much todo with whether the county’s voters believe it is neces-sary to provide the county with executive leadership andday-to-day direction of operations by adopting a locallydrafted charter. It is possible, however, that other con-siderations, such as fiscal concerns, are of equal impor-tance. Without a strengthening of executive capacity, theurbanizing counties of the state found themselves severelyhandicapped in meeting and dealing with new and ex-panding service demands. Legal authority to draft andadopt a charter locally, one specifically tailored to fit lo-cal conditions and requirements, has facilitated the ef-forts of counties to meet their rapidly growing responsi-bilities as true units of local government.

County Legislative BodiesEvery county has power to enact laws, adopt resolu-

tions, and take other actions having the force of law withinits jurisdiction. This power, along with the related author-ity to make policy determinations, is vested in a legisla-tive body.

The legislative bodies of the counties are designatedby various names, including Board of Supervisors, Boardof Representatives, Board of Legislators, and CountyLegislature. Originally, the legislative bodies of all coun-ties were boards of supervisors, consisting of the townand city supervisors. With the adoption of various reap-portionment plans and with the spread of home rule char-

ters, however, other designations were developed ac-cording to local preference.

Figure 6 shows the basic makeup of county legislativebodies, along with their 2000 Census populations. Thisfigure illustrates that neither the size of a county’s popula-tion nor the fact of having a charter have little if anythingto do with the size of a county’s legislative body. Legisla-tures range in size from seven members in Franklin andOrleans Counties to 39 in Albany County.

Generally, members of county legislative bodies areelected for either two or four year terms. In counties thathave retained a Board of Supervisors, the term of officefor each member is two years, except in towns that haveexercised the option under the Town Law to extend theterm to four years. Of the 57 county legislative bodies,36 conduct scheduled meetings once a month and 17meet twice a month. Other meeting patterns are prac-ticed by three counties, and one legislative body, Herkimer,conducts a scheduled meeting quarterly, but holds addi-tional meetings as needed. All of the legislative bodiesconvene for special meetings, a fairly frequent occurrencein many counties.

Since the role of the county as a true unit of local gov-ernment continues to evolve, the legislative bodies of NewYork counties are also continuing to change. Their com-mittee structures, rules of procedure, and patterns of ac-tion may reflect some practices of earlier times, but it isclear that adjustments are under way. The heightenedresponsibility of members of county legislative bodies isindicated by the fact that the budgets they must considerand adopt each year range from tens of millions of dol-lars in small counties to hundreds of millions in large coun-ties. Several counties have budgets in excess of one bil-lion dollars, and Nassau County’s budget nears three bil-lion dollars.24

Administrative StructureThe administrative structures of county governments

in New York are generally similar. The basic organiza-tional arrangements and operational procedures of countyadministration were set at a time when the functions andduties were few, relatively simple and largely reflective ofstate objectives. In some counties with smaller and ho-mogeneous populations, the traditional arrangements stillprovide an adequate administrative structure.


In the large counties, however, urbanization has cre-ated a need for new patterns of administration as well asnew leadership arrangements. The result has been a rapidgrowth in both the size and complexity of county admin-istrative structures. These arrangements meet the needsof both ongoing traditional county functions, such as lawenforcement and record keeping, as well as the newercounty functions in such areas as industrial and economicdevelopment, mental health services, and the provisionof recreational facilities and programs.

The administrative structures of New York countiesgenerally fall into three categories: (1) organization underthe County Law; (2) organization with an elected countyexecutive; and (3) organization with an appointed man-ager or administrator. As might be expected, there are

many similarities among these three forms, but there arealso differences. As illustrated in Figures 6, 7, and 8, theprimary differences among the three forms are at the top,in the relationship between the elected representativebody and how the county is functionally administered.The administrative structure of a county government doesnot depend on whether the county elects an executive,appoints a manager, or leaves administrative direction andsupervision to its legislative body. However, most of thelarger counties have found it desirable, if not necessary,to divide their administrative structures into many depart-ments. This organizational structure facilitates proper di-rection and supervision of what have become large-scaleenterprises.

VOTERS

FIGURE 6County Government

County Law Form Organization Chart

ELECTEDOFFICIALS

DISTRICT ATTORNEYTREASURERSHERIFFCORONERSCOUNTY CLERK

COUNTY LEGISLATIVE BODY

FUNCTIONAL COMMITTEES COUNTY ATTORNEY

ADMINISTRATIVEASSISTANT

SPECIAL BOARDS &COMMISSIONS

OPERATING DEPARTMENTS &AGENCIES

AUDITOR

CLERK OF THE LEGISL.

PURCHASING

DATA PROCESSING



Executive Form Organization Chart

ELECTEDOFFICIALS

DISTRICT ATTORNEYTREASURERSHERIFFCORONERSCOUNTY CLERK

VOTERS


Manager Form Organization Chart

ELECTEDOFFICIALS

DISTRICT ATTORNEYTREASURERSHERIFFCORONER(S)COUNTY CLERK


LEGISLATIVE COMMITTEES



LEGISLATIVE COMMITTEES


OTHER AGENCIES, OFFICIALS,BOARDS, COMMISSIONS, ETC.

AUDITOR


VOTERS

EXECUTIVE


COMMUNITYCOLLEGE

COUNTY ATTORNEY

AUDITOR


OTHER AGENCIES, OFFICIALS,BOARDS, COMMISSIONS, ETC.


COMMUNITYCOLLEGE

COUNTY MANAGEREmployed by

Legislative Body


Other Elected and Appointed OfficersIn counties organized under the County Law, the fol-

lowing officials must be elected: district attorney, sheriff,coroner(s)25 and county clerk. Under a home rule char-ter, a county may alter some of these officers’ duties, sub-ject to referendum. The treasurer must also be elected,but this office may be eliminated under either the CountyLaw or a home rule charter.

Many of the charter counties have dropped the officeof treasurer and incorporated its functions with those of adirector of finance. The office of sheriff, although basedin the Constitution, may also be substantially modified. Incounties with county police departments, for example,the office of sheriff has few, if any, law enforcement func-tions, but may retain civil functions and responsibility foroperating a county correctional facility.

The Functions of County GovernmentAt the beginning of this chapter we noted that the prin-

cipal reasons for creating county governments in the co-lonial period were to facilitate the defense of the commu-nity against enemies and to maintain public order.

With the establishment of state government, the coun-ties provided an already existing and readily available ad-ministrative unit through which the state could carry out anumber of its functions and duties. To do this, the coun-ties found themselves keeping records on behalf of thestate, enforcing state laws and conducting elections forthe state, among other state-assigned functions. In NewYork, as in other states, the prevailing view saw county

government as an arm of state government, serving statepurposes.

It is doubtful that many residents of the counties ofNew York ever fully shared this assessment of the natureof the county. The people of the counties appear to havefelt from earliest times that the county, like the city, thetown and the village, was one of “their” local govern-ments, even though it may have performed duties for thestate.

The recent fundamental changes in the nature and formof county government in New York have in some waysbrought the legal concept of a county closer in line withthe concept held by most of the counties’ inhabitants. Theimpetus for this merger of the de jure with the de factoprobably sprang from the rapidly expanding demands forservices, which were stimulated by population growth andurbanization, which often could not be supplied by thetowns, cities, and villages.

The functions of county government at the beginningof the twenty-first century scarcely resemble those of co-lonial times, although the county still enforces laws andmaintains order. In 1980, the total expenditures by countygovernment in New York amounted to $5.5 billion. By2003, this amount had grown to over $16.4 billion. Tosee what counties are doing today and to illustrate thedemands now being placed on county government, it isuseful to examine how county government spends itmoney. Table 8 shows the dollar amount and percent dis-tribution of major expenditures for all counties for 1980and 2003.

TABLE 8Trends in County Expenditures by Purpose

Expenditure Category Amount Distribution Amount Distribution(millions of dollars) (percent) (millions of dollars) (percent)

General Government 504 9.2 2,005 12.2Police and Public Safety 515 9.4 2,924 17.8Health 644 11.8 2,188 13.3Transportation 430 7.9 1,194 7.3Economic Assistance 2,589 47.4 5,852 35.6Culture and Recreation 131 2.4 349 2.1Education 144 2.6 868 5.2Home and Community Services 500 9.2 1,050 6.4Total 5,458 100.0 16,430 100.0

SOURCE: Office of the New York State Comptroller.

1980 2003


Economic assistance, which includes social servicesprograms such as Medicaid and Aid to Dependent Chil-dren, remains the largest category of expenditure forcounty government. However, the share of the distribu-tion of expenditure for this category has declined as ex-penditures in other categories have increased and account-ing for Medicaid expenditures has changed. In 1980,county expenditures for Medicaid reflected the entire costof the program (counties paid the full cost and were thenreimbursed from state and federal sources). In 2003, how-ever, county medical expenditures reflect only the countycontribution (roughly 25 per cent of total Medicaid costs),making comparisons between these years difficult. Thegreatest percentage of growth in dollar terms has been inthe education category, which includes the counties’ ob-ligation to pay for the education of pre-school specialeducation children as well as the costs of providing com-munity college education to county residents. Police andpublic safety has also experienced significant growth andexpenditures accounting for the cost of operating a jail inaddition to the expenses of a sheriff’s department, plusprobation and rehabilitation services. General governmentincludes staffing and administrative costs of county offi-cials, the district attorney, public defenders, maintenanceof buildings and other central operations.

Transfer of FunctionsArticle 9, section 1(h)(l) of the State Constitution au-

thorizes alternative forms of county government26 to trans-fer functions or duties from one unit of local governmentto another, subject to referenda approval. Any such trans-fer, whether included in a proposed county charter orcharter amendment, or by local law through proceduresset forth in section 33-a of the Municipal Home Rule Law,must be approved by separate majorities in the area ofthe county outside the cities, and in all cities in the county,if any, “considered as one unit.” In addition, if a functionor duty is transferred to or from any village, the transfer

must also be approved by a majority of voters in all vil-lages so affected, again “considered as one unit.”

In many cases, counties have assumed new activitieswithout formal transfer of the function. So long as thecounty has power to engage in a specific activity —theprovision of parks, for example — it often does so at thesame time that cities, towns and villages undertake simi-lar activity. This power of the local units to carry out thesame activity presents local taxpayers with recurring policyquestions regarding which units can perform each ser-vice best and at least cost. In many cases cities have urgedcounties to assume activities, such as oversight of parks,zoos, civic centers and the like, not only to spread thecost more equitably, since all county residents are likelyto use such facilities, but also because the county hasgreater ability to finance such activities.

SummaryAlthough the counties still carry out, in one way or

another, their original functions and duties, they also havetaken on a vast array of new ones. As a result, countygovernments in New York have had to adapt so that theycan provide and finance these services for all the cities,towns and villages within their jurisdiction.

County government has been strengthened as a unitbetween the cities, towns and villages on the one handand the state government on the other. The State Legis-lature and the people of the state have made it possible,through the Constitution and statutes, for the counties torestructure themselves, if they choose, to provide theexecutive and administrative leadership, the administra-tive organization and the operational procedures requiredmeeting new demands.

In urban areas, the counties are now major providersof services, and it appears likely that county governmentwill continue to assume new responsibilities.

Chapter Endnotes24. Comptroller’s Special Report on Municipal Affairs for Local Fiscal Year Ended in 2003.

25. Counties may replace the elective position of coroner with the appointive position of medical examiner.

26. See Alternative County Government Law.


CHAPTER VI

City Government

Each of New York State’s 62 cities is a unique governmental entity with its own special charter. Two —New York and Albany — have charters of colonial origin, and the other 60 were chartered separately bythe State Legislature.

Although home rule was a hard-won prize for the cities of New York State, they now have substantialhome rule powers, including authority to change their charters and to adopt new charters by local action.New York State contains all of the major forms of city government: council-manager, strong mayor-coun-cil, weak mayor-council and commission.

New York City was originally established as a consolidated “regional” government and is now the coreof a vast metropolitan region that sprawls over large areas of Connecticut and New Jersey as well as NewYork. In response to swift-moving social and economic changes the government of New York City hasundergone important changes in both structure and allocations of authority.

When the Dutch West India Company granted whatroughly amounted to a charter to New Amsterdam in1653, it established the first city organization in the futurestate. New Amsterdam operated as an arm of a “highergovernment.” The provincial governor — PeterStuyvesant, at the time — appointed local officials. Thesemagistrates were then granted the power to choose theirsuccessors. However, Stuyvesant reserved the right topromulgate ordinances.

The charters granted to New York City and Albanyby English Governor Thomas Dongan in 1686 gave thesecities more privileges and authority which they could ex-ercise independently of the colonial government.

The first State Constitution, adopted in 1777, recog-nized the existing charters of New York and Albany andauthorized the Legislature “…to arrange for the organi-zation of cities and incorporated villages and to limit theirpower of taxation, assessment, borrowing and involve-ment in debt.” Since that time separate special legislativeacts have been necessary to establish each new city, al-though later developments permitted cities to replace oramend their charters by local action.

By 1834, six new cities had been chartered along thestate’s principal trading route, the Hudson-Mohawk ar-terial between New York City and Buffalo. These newcities were Brooklyn, Buffalo, Hudson, Rochester,Schenectady and Troy. Thirty-two more cities were cre-ated between 1834 and 1899, as thousands of immi-

grants were attracted to the state. The most recently char-tered city in New York is the City of Rye, which cameinto being in 1942.

What is a City?Historically, the need to provide services for popula-

tion centers prompted the creation of cities. Beyond thatcommon factor, it is difficult to ascertain common pur-poses or to generalize about their structures, chartersgranted to cities in New York differ widely.

No general law provides authority for the incorpora-tion of cities; there is no statutory minimum size, either inpopulation or geographical area, which must be met foran area to become a city. Furthermore, there is no con-cept of progression from village to city status. The pri-mary difference between a city and a village is that theorganization and powers of cities is set out in their owncharters, while most villages are organized and governedpursuant to provisions of the Village Law. Also, unlike acity, a village is part of a town, and its residents pay towntaxes and receive town services.

The Legislature may incorporate any community of anysize as a city. In fact, most of the state’s 62 cities havepopulations smaller than the population of the largest vil-lage, whereas over 150 of the state’s 556 villages havepopulations greater than that of the smallest city.

As a practical matter, the State Legislature does notcreate cities without clear evidence from a local commu-


nity that its people desire incorporation. This evidenceordinarily is a locally drafted charter submitted to the Leg-islature for enactment and a home rule message from lo-cal governments that would be impacted by the incorpo-ration.

Home Rule and the Cities —Historical Development

Historically, the Legislature enacted a charter to meetthe specific needs of a center of population. As thesecenters grew, expanded and experienced changing needs,these charters were amended by special acts of the Leg-islature. Later on, cities gained the authority to revise andadopt new charters without the approval of the StateLegislature. As a result, there is little uniformity in citycharters throughout the state, as each city has, by trialand error, determined for itself what it believes to be themost effective form of government.

New York cities, as instrumentalities created individu-ally by the Legislature, struggled long and hard for greaterauthority to manage their own affairs as they saw fit. Notuntil the late 1800’s did the Legislature begin to legislatefor cities generally rather than passing specific laws onindividual local matters.

In 1848, the State Constitution was amended to en-sure the integrity of elections of local officials. Prior tothis time, there had been continual battles between theState and the cities of New York and Brooklyn over state-imposed changes of local officials who had been electedby city voters. The state would regularly move in andappoint local officials, thereby nullifying local elections.After 1848 the state could no longer do this, and in 1854the mayor of New York City demanded, and at last re-ceived, authority to appoint agency heads.

Despite such changes, however, cities often were sub-jected to legislative intervention. In 1857, for example,the Legislature created a new police force in New YorkCity and Brooklyn because of allegations of police cor-ruption. Nine years later the state temporarily took overNew York City’s health and excise departments, despitea court battle by the mayor.

Municipal home rule was a major issue at the Consti-tutional Convention of 1894. The Constitution of 1894,as amended in Article 12, section 2, divided cities intothree classes by population: First Class — 250,000 orover; Second Class — 50,000 to 250,000; and ThirdClass — under 50,000. This classification was intendedto provide a scheme whereby the Legislature could leg-islate for municipalities by passing general laws and still

meet the particular problems of each type of city. It wasactually a compromise between those favoring regulationof particular city affairs through special laws, and thosefavoring the covering of all communities in one generalscheme of regulations. In addition, provision was madeto require that any law not applicable to all the cities in aclass had to be submitted for approval to the mayors ofthe cities affected by it. If the mayors disapproved, thelaw was returned to the Legislature for reconsideration.In practice, however, mayoral vetoes seldom were over-ridden. In 1907 a Constitutional amendment altered theclassification of cities so that all cities with a populationover 175, 000 became First Class; this, of course, nar-rowed the population range of Second Class cities.

Over the years, the Legislature has enacted a numberof major general laws affecting cities. The General Mu-nicipal Law enacted in 1892, covered cities as well asother forms of local government. The General City Lawof 1909 applied specifically to cities. It granted certainpowers to cities generally, and at the same time regulatedtheir administration. In 1913 the General City Law wasamended to grant to each city the power “…to regulate,manage, and control its property and local affairs…” aswell as “…the rights, privileges and jurisdiction neces-sary and proper for carrying such power into execution.”27

The General City Law also granted specific powers ina number of areas, such as construction and maintenanceof public works, expenditure of public funds, provisionof pensions for public employees and, by an amendmentin 1917, zoning. This legislation, which is still in effect,authorizes cities to implement these powers by enactingordinances. Since the enactment of the Municipal HomeRule Law in 1964, all of these powers may also be exer-cised by local law.

Home Rule and the Cities — In the 1900’sAttempts by the State Legislature to address the ques-

tion of city government structure included the SecondClass Cities Law of 1906 and the Optional City Govern-ment Law of 1914. The Second Class Cities Law, whichin effect provided a uniform charter for cities of the sec-ond class, is still operative for cities that were cities of thesecond class on December 31, 1923.

The way was opened in 1923 for cities to establish bylocal charter the form of government they wished, for inthat year the voters approved a Home Rule Amendmentto the Constitution and the Legislature enacted a CityHome Rule Law. These actions spelled out the power ofcities to amend their charters or adopt new charters bylocal law, without going to the Legislature. Under the


Home Rule Amendment cities also were empowered toenact local laws dealing with their “property, affairs orgovernment” as long as these laws were not inconsistentwith the Constitution or general laws of the state. TheLegislature was specifically prohibited from legislating onthese matters, except through general laws affecting allcities alike. The tripartite constitutional classification ofcities was abolished, except as it applied to the secondclass cities then in existence. The provisions of the CityHome Rule Law were incorporated without substantialchanges into the present Municipal Home Rule Law whenit was enacted in 1964.

Abolition of the classification of cities in the 1923 con-stitutional amendment raised questions concerning theterms first, second and third class cities, which in somecases still exist. Since 1894 many statutes have referredto one or more of these designated classes of cities. Al-though most of these laws have been amended, revisedor repealed, some are still in effect and statutes using theseterms of classification have been enacted since 1923.Although it has been generally agreed that these statutesare constitutional, the problem arises as to how to inter-pret the classifications in the absence of a constitutionaldefinition. References to classes of cities occurring in stat-utes passed prior to January 1924 are interpreted underthe assumption that the statute effectively incorporatedthe constitutional classification which was in effect on theeffective date of the statute. With respect to laws passedafter 1924, the approach to interpretation is less clear.Often it is assumed that each class means what it hadcome to mean through prior usage.

The Forms of City GovernmentA city’s charter forms the legal basis for the operation

of the city. The charter enumerates the basic authority ofthe city to govern, establishes the form of government,and sets up the legislative, executive and judicial branchesof city government.

Each city has enacted and amended various ordinancesand local laws over time, and has often codified theseenactments into a code of ordinances and/or local laws.Together, the charter and code prescribe the method andextent to which a city carries out its legal powers andduties.

Because all cities have separate charters granted bythe State Legislature, and all now have the power to re-vise their charters by local action, it is difficult to describea common city structure. All cities have elected councils,but elections are by wards, at large, or a combination ofthe two. Most cities have mayors; some mayors are elected

at large by the voters, while others are selected by thecouncil. Otherwise, city government in New York exhib-its a variety of forms. In general, city government fallsinto four broad categories:

• council-manager, under which an appointed pro-fessional manager is the administrative head of thecity, the council is the policymaking body and themayor, if the position exists, is mainly a ceremonialfigure. The manager usually has the power to ap-point and remove department heads and to pre-pare the budget, but does not have veto powerover council actions;

• strong mayor-council, under which an electivemayor is the chief executive and administrative headof the city, and the council is the policy makingbody. The mayor usually has the power to appointand remove agency heads, with or without councilconfirmation; to prepare the budget; and to exer-cise broad veto powers over council actions. Thisform sometimes includes a professional adminis-trator appointed by the mayor and is then calledthe “mayor-administrator plan;”

• weak mayor-council, under which the mayor ismainly a ceremonial figure. The council is not onlythe policy making body, it also provides a com-mittee form of administrative leadership. It appointsand removes agency heads and prepares budgets.There is generally no mayoral veto power; and

• commission, under which commissioners areelected by the voters to administer the individualdepartments of the city government and togetherform the policy making body. In some cases oneof the commissioners assumes the ceremonial du-ties of a mayor, on a rotating basis. This plan some-times includes a professional manager or adminis-trator.

All of these types of city government are found in NewYork State. Thirteen of the 62 cities have council-man-ager arrangements; three utilize the commission plan, oneof which also has a city manager. The remaining 46 citieshave the mayor-council form, three of which also have acity administrator; their governments are located at vari-ous points along a continuum between strong mayor andweak mayor. Within each group there are many hybrids.See Table 9 for a listing of cities, their 2006 populationsand their forms of government.

No new weak mayor-council or commission forms ofcity government have been adopted in recent years, al-though two cities with the council-manager form have


switched to the mayor-council form. At present, the strongmayor-council form is the most popular form of city gov-ernment in New York.

TABLE 9Form of City Government

City* Population Estimates Rank* Form of Government** CouncilJuly 1, 2006* Members**

Albany 93,963 6 Mayor-Council 16Amsterdam 17,758 34 Mayor-Council 5Auburn 27,766 24 Mayor-Council-Manager 4Batavia 15,473 36 Council-Manager 9Beacon 14,908 41 Mayor-Council-Administrator 6Binghamton 45,217 14 Mayor-Council 9Buffalo 276,059 2 Mayor-Council 9Canandaigua 11,317 49 Mayor-Council-Manager 8Cohoes 15,011 40 Mayor-Council 6Corning 10,478 51 Mayor-Council-Manager 7Cortland 18,423 32 Mayor-Council 8Dunkirk 12,299 46 Mayor-Council 5Elmira 29,567 21 Mayor-Council-Manager 5Fulton 11,459 47 Mayor-Council 6Geneva 13,366 44 Mayor-Council-Manager 8Glen Cove 26,438 26 Mayor-Council 6Glens Falls 14,078 43 Mayor-Council 6Gloversville 15,175 37 Mayor-Council 7Hornell 8,705 54 Mayor-Council 10Hudson 6,985 58 Mayor-Council 11Ithaca 29,829 20 Mayor-Council 10Jamestown 29,918 19 Mayor-Council 9Johnstown 8,502 55 Mayor-Council 5Kingston 22,828 29 Mayor-Council 10Lackawanna 17,926 33 Mayor-Council 5Little Falls 4,980 60 Mayor-Council 8Lockport 21,035 30 Mayor-Council 6Long Beach 35,111 15 Council-Manager 5Mechanicville 4,923 61 Mayor-Commission 6Middletown 26,005 27 Mayor-Council 9Mount Vernon 68,395 8 Mayor-Council 5New Rochelle 73,446 7 Mayor-Council 6New York 8,214,426 1 Mayor-Council 51Newburgh 28,345 23 Mayor-Council-Manager 4Niagara Falls 52,326 12 Mayor-Council-Administrator 5North Tonawanda 31,770 17 Mayor-Council 5Norwich 7,203 57 Mayor-Council 6Ogdensburg 11,346 48 Mayor-Council-Manager 6Olean 14,584 42 Mayor-Council 7Oneida 10,935 50 Mayor-Council 6Oneonta 13,238 45 Mayor-Council 7Oswego 17,638 35 Mayor-Council 7


City* Population Estimates Rank* Form of Government** CouncilJuly 1, 2006* Members**

Peekskill 24,601 28 Mayor-Council-Manager 6Plattsburgh 19,298 31 Mayor-Council 6Port Jervis 9,160 53 Mayor-Council 9Poughkeepsie 30,050 18 Mayor-Council-Administrator 8Rensselaer 7,812 56 Mayor-Council 10Rochester 208,123 3 Mayor-Council 9Rome 34,220 16 Mayor-Council 7Rye 15,109 38 Mayor-Council-Manager 6Salamanca 5,762 59 Mayor-Council 5Saratoga Springs 28,499 22 Mayor-Commission 4Schenectady 61,560 9 Mayor-Council 7Sherrill 3,151 62 Mayor-Commission-Manager 4Syracuse 140,658 5 Mayor-Council 10Tonawanda 15,107 39 Mayor-Council 5Troy 47,952 13 Mayor-Council 9Utica 59,082 10 Mayor-Council 10Watertown 26,712 25 Mayor-Council-Manager 4Watervliet 9,802 52 Mayor-Council-Manager 2White Plains 57,081 11 Mayor-Council 6Yonkers 197,852 4 Mayor-Council 7

* Table 5: Annual Estimates of the Population for Minor Civil Divisions in New York, Listed Alphabetically Within County: April1, 2000 to July 1, 2006 (SUB-EST2006-05-36) Source: Population Division, U.S. Census Bureau. Release Date: June 28, 2007.

** NYCOM 2007 Directory of City and Village Officials

The comparatively greater frequency of the mayor-council form among New York cities can likely be attrib-uted to both historic and socio-economic factors. Thecouncil-manager form occurs more frequently in youngercities of a more homogeneous composition found in theMidwest and the Far West. New York cities tend to beolder than those in other parts of the country and tend tohave more heterogeneous populations. In such cities themayor-council form, especially with a strong mayor, hasbeen more prevalent.

Contents of City ChartersAlthough cities have the home rule power to revise

their charters and adopt new charters, this authority isnot unlimited, and must be exercised in accordance withthe State Constitution and the Legislature’s grant of locallaw powers to cities. Cities act by local law, which in-cludes adopting and amending charters that are not in-consistent with the State Constitution and are not incon-sistent with any general law of the State. A city may act inthe interest of good government, its management and

business, the protection of its property, and the health,safety and welfare of its inhabitants.

Generally, city charters address the following topics:Name of the cityBoundariesWards, districts, or other civil subdivisionsCorporate powersFiscal yearLegislative body, e.g., City Council, CommonCouncil, Board of Aldermen

Legislative powersCompositionMeetingsRules of procedure

Chief ExecutiveMayor

Veto power/legislative override Power of ap-pointment

TABLE 9Form of City Government

(Continued)


City ManagerCorporation Counsel or City AttorneyCity ClerkDepartments, offices, agencies and commissionsBudget — financial proceduresTax administration

Decentralization and Urban ProblemsToday New York State has 62 cities, ranging in popu-

lation from 3,151 to over 8,000,000. Thirty cities have apopulation of more than 20,000, including 12 with morethan 50,000. Their geographic areas range from 0.9 to303.7 square miles.

The problems of the large cities in the state reflect manycomplex elements of social change, but populationchanges are often seen as both cause and effect. All ofthe state’s large cities experienced rapid growth between1900 and 1930. In those 30 years the populations of thesix largest cities increased 98 percent — from 4,202,530to 8,303,038 — an increase from 58 percent to 66 per-cent of the state’s total population. This surge in popula-tion was accompanied by a corresponding developmentin city facilities and services. The vast New York CityTransit System was built, for example, and all cities builtschools, roads, libraries, sewers, water systems, parksand a great array of other facilities to accommodate theneeds and demands of their burgeoning populations.

This rapid growth tapered off during the depressiondecade between 1930 and 1940, and came to a halt inthe 30 years from 1940 to 1970. In the period from 1970to 1999 most cities experienced a population decline,and census estimates indicate that this trend has contin-ued through the 2000’s. The population of New YorkCity dropped nearly 11 percent during the period from1970 to 1980, but had recovered nearly half this loss by1996. During the same period, the collective populationof the next five largest cities (Yonkers, Syracuse, Roch-ester, Buffalo, Albany) declined by nearly 23 percent.With the exception of Yonkers, these cities have contin-ued to lose population through 2006.

The stabilization and subsequent decrease of popula-tion in the central cities has been accompanied by growthin the surrounding suburban communities. Followingclosely on the heels of this residential shift to the suburbshas been a decentralization of commerce and industry.Economic considerations have prompted businesses toturn to the suburbs in search of more and cheaper spacefor expansion. The cost savings, coupled with the shift of

the labor supply, have made it increasingly more attrac-tive for industry to locate outside the central cities.

A transformation has occurred over the years in thecharacteristics of urban populations. City populations gen-erally include a comparatively large proportion of immi-grants, persons of lower incomes and persons in theyoungest and oldest age groups (under 5 and over 65),all of whom present city governments with new and spe-cial challenges.

Cities in New York are faced with a gamut of urbanproblems — physical blight, infrastructure deterioration,substandard housing, unemployment, crime and environ-mental pollution. Due to the comparatively greater age ofNew York’s cities, however, these problems, particularlythe physical problems, are often more severe than else-where.

New York CityAlthough New York City is the oldest city in the

country’s 13 original states, its present city government isjust over a century old. The city was assembled from anumber of other counties, cities, towns and villages bythe State Legislature, after a more than 30-year effort byadvocates of consolidation. The result of this governmen-tal reorganization was the creation of five boroughs cote-rminous with county boundaries and the assembling of allfive into the City of New York.

The present City of New York, the land area of whichhas remained basically unchanged since its consolidationin 1898, covers more than 303 square miles. Its popula-tion of over eight million is greater than that of 39 of the50 states.

New York has been the most populous city in the UnitedStates since 1810. It currently has almost as many resi-dents as the combined population of the next three mostpopulous cities in the country. The city’s 2006 popula-tion was estimated at 8,214,426.

The 42 percent of New York State’s citizens who re-side in New York City live in the only consolidated majorlocal government in the state. There are five counties butno county governments. The area of the city contains novillages, no towns and no sub-city self-governing units.

In addition to the mayor, a comptroller and a publicadvocate are elected citywide. The council is composedof the public advocate and 51 council members, each ofwhom represents a council district.

In recent years, New York City has experimented withvarious forms of decentralization to meet a rising tide ofobjections from city residents that the government had


become too remote and inaccessible. The most signifi-cant decentralization development has been the creationof 59 community boards.

The Mayor. The mayor serves as the chief executiveofficer of the city, and with the assistance of four deputymayors, presides over many departments, offices, com-missions and boards. The mayor may create, modify orabolish bureaus, divisions or positions within the city gov-ernment. The mayor, who may be elected to serve amaximum of two four-year terms, is responsible for thebudget and appoints and removes the heads of city agen-cies and other non-elected officials.

The Comptroller. The comptroller, who may beelected to serve a maximum of two four-year terms, servesas the chief fiscal officer of the city. The Comptroller ad-vises the mayor, City Council and public of the city’s fi-nancial condition, and makes recommendations on cityprograms and operations, fiscal policies, and financialtransactions. The Comptroller also audits and examinesall matters relating to the finances of the city, registersproposed contracts, verifies budget authorizations andcodes for contracts, determines credit needs, terms andconditions, prepares warrants for payment, issues andsells city obligations, is responsible for a post-audit, andis an ex officio member of numerous boards and com-missions, most notably the board of estimate. The comp-troller may investigate any financial matter, administersinking funds, keep accounts and publish reports. TheGovernor may remove the comptroller, but only oncharges, after a hearing.

The Public Advocate. The public advocate is electedto a four-year term to represent the consumers of cityservices, in addition to presiding over meetings of the CityCouncil. The public advocate may sponsor local legisla-tion, is an ex officio member of all council committees,and may participate in council discussions but may notvote unless there is a tie. The public advocate reviewsand investigates complaints about city services, assesseswhether agencies are responsive to the public, recom-mends improvements in agency programs and complainthandling procedures, and serves as an ombudsman forpeople who are having trouble obtaining the service theyneed from city agencies.

The Council. The City Council is the city’s legislativebody. It has the power to enact local laws, includingamendments to the city charter and the administrativecode, originate home rule messages, and adopt capitaland expense budgets. Members, who represent districts,are elected to terms of four years. In addition to its legis-

lative role and oversight powers over city agencies, theCouncil approves the city’s budget and has decision-making powers over land use issues.

The Borough Presidents. The five borough presi-dents, who are the executive officials of each borough,are also elected to four-year terms. The borough presi-dents’ chief responsibilities involve working with theMayor to prepare the executive budget and proposeborough budget priorities directly to the Council, reviewand comment on major land use decisions and proposesites for City facilities within their boroughs, monitor andmodify the delivery of City services within their boroughs,and engage in strategic planning for their boroughs.

Borough Board. Each borough has a Borough Boardconsisting of the Borough President, the district councilmembers from the borough, and the chairperson of eachcommunity board in the borough.

Community Boards. The 59 community boards playan advisory role in zoning, other land use issues, commu-nity planning, the city budget process, and coordinatingmunicipal services. Each board comprises up to 50 un-salaried members appointed by the borough president inconsultation with the City Council members who repre-sent any part of the board district.

The Metropolitan Transportation Authority. Oneof the most important governmental agencies in the NewYork City area is the Metropolitan Transportation Au-thority (MTA). This agency was established by the StateLegislature to provide mass transportation services withinand to the City of New York, including the subway andall public bus systems, as well as the commuter systemsof the Long Island Rail Road, Long Island Bus and theMetro-North Railroad. The Metropolitan TransportationAuthority is also responsible for several bridges and tun-nels. The Governor, with Senate advice, appoints theMTA Board which consists of a Chairman, Chief Execu-tive Officer and 18 other members.

New York Metropolitan Transportation Council.The council is the official metropolitan planning organiza-tion for the New York metropolitan area, composed ofelected officials, and transportation and environmentalagencies.

The council is composed of nine members represent-ing the principal jurisdictions involved in transportationplanning in the downstate area: the county executives ofNassau, Putnam, Rockland, Suffolk and Westchestercounties; the chairman of the New York City PlanningCommission and the commissioner of the New York CityDepartment of Transportation; the chairman of the Met-


ropolitan Transportation Authority; and the commissionerof the New York State Department of Transportation (thepermanent co-chairperson of the council). The advisory(nonvoting) members include representatives of the PortAuthority of New York and New Jersey, the U.S. De-partment of Transportation’s Federal Highway Adminis-tration and Federal Transportation Administration, theU.S. Environmental Protection Agency and the NYSDepartment of Environmental Conservation. The chair isshared by the NYS transportation commissioner and oneother council member elected annually.

The council coordinates transportation planning in themetropolitan area, prepares travel-related forecasts forpersonal transportation, serves as a cooperative forumfor regional transportation issues, and collects, analyzesand interprets travel-related data. Major projects includethe five-year Transportation Improvement Program anda long-range transportation plan for the region.

Chapter Endnote27. General City Law §19, added by Chapter 247 of the Laws of 1913.


CHAPTER VII

Town Government

Town government in New York can be traced to both New England and Dutch colonial governmentarrangements in the Hudson Valley. The state’s towns encompass all territory within the state, exceptterritory within cities and Indian reservations. In size, towns are the most diverse of all the units of localgovernment.

Towns existed independently in the colonial period. When New York became a state, towns were gener-ally regarded as creations of the State Legislature that existed to serve state purposes. Town governmentsnow, however, have long been recognized as primary units of local government. They possess authority toprovide virtually the full complement of municipal services. By statutory and constitutional adjustments,towns are flexible units that can function as rural or as highly urbanized general purpose units of gov-ernment, depending on local needs.

Everyone in New York who lives outside a city or anIndian reservation lives in a town. There are more townsin New York than there are cities and villages combined.

In New York, “town government” includes both theTown of Hempstead, with a 2005 estimated populationof 751,276, more than twice that of the City of Buffalo,and taxable real property of over $87 billion, and theTown of Red House, Cattaraugus County, with 37 resi-dents and a taxable real property of $81 million. Betweenthese two extremes are 930 other towns, some of whichprovide to their residents a great number of municipalservices, while others do little more than maintain a fewrural roads.

The Beginnings of Town GovernmentTown government in New York has both Dutch and

English roots, with even earlier antecedents in the Ger-manic tribes — the English word “town” is derived fromthe Teutonic “tun,” meaning an enclosure.

The Dutch communities established in the HudsonValley in the early seventeenth century were easily inte-grated with the strong, tightly knit version of town gov-ernment that was brought a few years later by immigrantsfrom Massachusetts and Connecticut to the eastern shoresof Long Island. In 1664, Charles II claimed the territorybetween the Connecticut and the Delaware rivers by rightof discovery and conveyed it to the Duke of York. Hisagent, Colonel Nicolls, armed with a commission as Gov-ernor, appeared with a fleet off the shore of NewAmsterdam, and the Dutch quickly capitulated.

Immediately after they established British sovereigntyin New York in 1664, the English began to more fullydevelop the patterns of local government. Issued in 1665,the Code of Laws, known as the “Duke’s Laws,” con-firmed the boundaries of 17 existing towns and providedfor basic organization of the town governments. Theselaws gave freeholders the right to vote and provided fora town meeting system resembling that still used in NewEngland.

Town government continued to develop throughout theremainder of the Seventeenth and into the EighteenthCentury. A town court system grew up. Provision wasmade for a chief fiscal officer, known as a town treasurer,a forerunner of the present supervisor. In 1683, the firstgeneral property tax was imposed. In 1703, provisionwas made for a system of highways.

The State Constitution of 1777 recognized the exist-ence of 14 counties and some towns. The Constitutionprovided that “it shall be in the power of the State Legis-latures of this State for the advantages and conveniencesof the good people to divide the same into such otherand further counties and districts as it may then appearnecessary.” Between 1788 and 1801, the Legislature wasespecially active in dividing counties into towns. How-ever, the form of town government remained essentiallythe same as it had been under British rule.

In the early decades of the Nineteenth Century, towngovernment began to assume a more modern form. Inthe Ninth Edition of the Revised Statutes of New York,laws affecting towns were segregated in Chapter 20 of


the General Laws. This chapter was the immediate pre-decessor of the Town Law. The title “Town Law” ap-pears to have been used first in its modern sense whenlaws affecting towns were recodified by Chapter 569 ofthe Laws of 1890 and made applicable to most townswith certain exceptions. In 1909, another recodificationgrouped statutes applicable to towns into Chapter 62 ofthe Consolidated Laws.

Despite these recodifications, the Town Law still con-tained general statutes and special acts which duplicatedeach other. In 1927, a Joint Legislative Committee setabout to recodify the Town Law once again. The resultwas the present Town Law, which is Chapter 634 of theLaws of 1932.

Characteristics of TownsGeography

Towns and cities encompass all the lands within thestate, except Indian reservations, which enjoy special le-gal status. The 932 towns in the state vary greatly in size,ranging from the Town of Webb in Herkimer County(which is larger than 11 counties and covers 451.2 squaremiles) to the Town of Green Island in Albany County(which covers only 0.7 of a square mile).

Towns are not distributed equally among the counties.Nassau County, with a population of 1, 334,544 in 2000,being the second most populous county outside New YorkCity, has only three towns, while Cattaraugus County,with a population of 83,955 (less than one-fifteenth ofNassau County’s population), contains 32 towns.

Legal StatusCourts have determined that towns are true municipal

corporations. Previously the courts had ruled that townswere: “…involuntary subdivisions of the state, constitutedfor the purpose of the more convenient exercise of gov-ernmental functions by the state for the benefit of all itscitizens” (Short v. Town of Orange, 175 A. D. 260,161 N.Y.S. 466 (1916)). The Town Law definition nowconfirms that towns are municipal corporations:

“A town is a municipal corporation compris-ing the inhabitants within its boundaries, andformed with the purpose of exercising such pow-ers and discharging such duties of local govern-ment and administration of public affairs as havebeen, or, maybe conferred or imposed upon itby law.” (section 2, Town Law)

Towns were finally granted full membership in the lo-cal government partnership when, in1964, they were con-stitutionally granted home rule powers (see Chapter IV).

Development — Rural to SuburbanPhysical development came to towns before they

emerged as municipal corporations. Indeed, the pressingneeds arising from physical development gave impetus totheir legal development. For many years towns providedonly basic government functions, such as organizing andsupervising elections, administering judicial functions, andconstructing and maintaining highways. In carrying outthese governmental functions, towns served their ownneeds while also carrying out the state’s purposes. Theelective machinery took care of maintaining local politicalorganizations as well as giving town officials contact with,and an element of control or influence in, county, stateand federal political organizations. The local judicial func-tion, in conjunction with the police function of county sher-iffs and state police or military agencies, gave the peopleof the towns security. Control of highways assured resi-dents of rural towns that they would maintain contact withtheir neighbors and distant urban centers, and that theywould be able to market their crops.

Even in rural areas, however, the increasing popula-tion and its clustering into hamlets gave rise to needs forservices not available at the town level. Towns requiredall-weather roads to assure year-round access to shops,sidewalks to protect pedestrians, public water to protectpublic health, sewers to carry waste away, and police toprotect growing populations and increasingly valuableproperty.

The flight of city dwellers to the suburbs, which beganas early as the second decade of the twentieth century,resulted in a continuous, almost geometric growth in townpopulation. From 1950 to 1990, the population living intowns in New York State increased by 110 percent, whilethe population of cities decreased by 20 percent (ex-cluding New York City). While the past two decadeshave seen a significant slowdown in this shift, an increas-ing proportion of the total outward migration during thistime period has settled in more rural (as opposed to sub-urban) towns. New town-dwellers, whether suburban orrural, have demanded many of the services they had beenaccustomed to in the cities — water, sewage disposal,refuse collection, street lighting, recreational facilities andmany more. Since suburban development in many caseswas formless and without identifiable business centers,village incorporation often proved problematic. The sub-urban challenge has fallen upon town government, a chal-lenge to develop services where needed without losingthe traditional role as the most local of local governments.


Government OrganizationClassification of Towns

The Town Law divides towns into two classes basedon population. All towns of 10,000 or over in populationas shown by the latest federal decennial census, with theexception of towns in Suffolk and Broome Counties andthe towns of Ulster and Potsdam, are by statute towns ofthe first class. All towns in Westchester County, regard-less of population, are towns of the first class.

In addition, any town may become a town of the firstclass by action of the town board, subject to a permis-sive referendum, if it:

• has a population of 5, 000 or more, as shown inany federal census (not necessarily decennial);

• has an assessed valuation over $10 million; or• adjoins a city having a population of 300,000 or

more.All towns which are not first class towns are towns of

the second class. Under the Town Law, there are organi-zational differences between first class and second classtowns. The elected officers of a first class town are itssupervisor, four council persons (unless increased to sixor decreased to two as provided by the Town Law),town clerk, two town justices, a highway superintendent,and a receiver of taxes and assessments. Voters in sec-ond class towns, on the other hand, elect the supervisor,two council persons, two justices of the peace, a townclerk, a highway superintendent, three assessors and acollector.

In 1962, the Legislature created the additional classi-fication of “Suburban Town.” Suburban Towns must betowns of the first class, and must:

• have a population of at least 25,000; or• have a population of at least 7,500, be within 15

miles of a city having at least 100,000 population,and have shown specified growth in populationbetween the 1940 and 1960 decennial censuses.

Provided a town meets the above criteria, it may be-come a Suburban Town at the option of the town board,subject to permissive referendum.

When the classes of towns were originally authorized,there was a fairly clear-cut differentiation between thepowers allotted to the different classes. As town powerswere broadened, differences in powers among classesbecame less clear. For example, the Constitutional HomeRule Amendment in 1964 granted to all towns the locallaw powers formerly possessed only by Suburban Towns.Even organizational differences have become less sharply

defined over time. For example, legislation enacted in1976 granted all towns the authority to create and/orabolish elective as well as appointive offices and to re-structure the administrative agencies of town governmentby local law. Formerly, only Suburban Towns had spe-cific authority to departmentalize town government op-erations. For all intents and purposes, all towns, regard-less of their statutory classification, possess roughlyequivalent legal powers.

Legislative LeadershipThe legislative body of the town is the town board.

Historically, the town board consisted of the supervisorand the town justices of the peace. The dual status ofjustices of the peace (now designated as town justices)as judicial and legislative officers has always concernedstudents of government, but this was accepted in ruraltowns because it was less expensive than separate of-fices. When classification of towns was introduced, thejudiciary was completely separated from the legislativebranch in towns of the first class.

In 1971, the Town Law was amended to allow townboards in towns of the second class to exercise the op-tion of removing town justices from the town board andelecting two additional town councilpersons. In 1976, theLegislature amended the Town Law once again, sepa-rating the legislative and judicial functions in all town gov-ernments by removing town justices from town boards.

One of the distinguishing features of town governmentorganization is the lack of a strong executive branch. Vir-tually all of a town’s discretionary authority rests with thetown board. What little executive power the supervisorhas is granted by specific statute or by the town board.The town board, therefore, exercises both legislative andexecutive functions. This situation is not very different fromthe basic form of government prescribed by state law forcounties, cities and villages. What is different, however,is that until recently, towns did not possess the same de-gree of home rule powers granted to the other units ofgovernment to change the basic prescribed forms of gov-ernment.

It was not until 1964 that home rule was extended totowns. It had previously been extended to villages with apopulation in excess of 5,000 and to counties and cities.While the extension of home rule powers to towns was astep forward in the evolution of towns to the status offull-fledged municipal corporations, towns were still gen-erally bound by a much greater number of specific statu-tory directives than were counties, cities and villages.


Many of these directives fell within the constitutionaldefinition of “general law,” which could not be super-seded by exercising home rule power. In this respecttowns suffered in comparison to counties, cities and vil-lages, each of which possessed extensive grants of au-thority to adopt a structure of government through thehome rule process suitable to their individual needs. In1976, the Legislature remedied the situation by authoriz-ing towns to supersede certain provisions of the TownLaw relating to the property, affairs or government of thetown, notwithstanding the fact that they are “general laws”as defined by the Constitution. This grant of powers canbe viewed as a major expansion of home rule powers fortowns, for it equipped them with powers similar to thoseenjoyed by other units of local government.

Executive LeadershipSupervisor. The Town Law does not provide for a

separate executive branch of town government. Becausethe supervisor occupies the leader’s position on the townboard, and because town residents often turn to the su-pervisor with their problems, many people think thesupervisor’s position is the executive position of towngovernment. But the supervisor is part of the legislativebranch and acts as a member and presiding officer of thetown board. He or she acts as a full member of the board,voting on all questions and having no additional tie-break-ing or veto power.

The supervisor is more of an administrator than an ex-ecutive. The supervisor’s duties under law are to: act astreasurer and have care and custody of monies belongingto the town; disburse monies; keep an accurate and com-plete account of all monies; make reports as required;pay fixed salaries and other claims; and lease, sell, andconvey properties of the town, when so directed by thetown board.

The basic source of the supervisor’s power lies in theposition’s traditional political leadership and the holder’sability to use this leadership. Familiarity with day-to-dayproblems of the town often enables the supervisor to in-fluence the policy decisions of the town board.

In 1938, provision was made in the Town Law for atown manager form of government, which would havemade possible a greater executive coordination of townfunctions. The idea did not catch on at that time, and theprovisions were repealed in 1957. In 1972, however,the State Legislature enacted special legislation authoriz-ing the Town of Fallsburg to adopt a town manager plan.Then, in 1976, Article 3-B of the Town Law was en-acted, once again enabling any town, by local law, to

establish a town manager form of government. Since1998, the Towns of Collins, Erwin, Mount Kisco, Putnamand Southampton have been operating under a townmanager form of government.

By delegating a few more specific powers, the Subur-ban Town Law gives the supervisor a bit more authority.Although designated as “chief executive officer,” how-ever, the Suburban Town supervisor has no major newexecutive powers.

As noted earlier, the Legislature has authorized townsto adopt local laws superseding many specific provisionsof the Town Law. The purpose of this legislation was toallow towns to restructure their form of government toprovide for an executive or administrative branch sepa-rate and apart from the legislative branch of government.Offices such as town executive and town manager maybe established and granted powers similar to those grantedby counties, cities and villages to the offices of countyexecutive or manager, city mayor or manager, and villagemayor or manager.

In addition, section 10 of the Municipal Home RuleLaw authorizes local governments to enact local lawsrelating to the powers, duties, qualifications, number, modeof selection and removal, and terms of office of their of-ficers and employees. Where it is constitutionally per-missible, some offices which are elective by statute maybe made appointive by local law. Conversely, officeswhich are appointive by statute may be made elective bylocal law. Both types of local laws require public refer-enda. A town may also change the term of office of anyof its officers by local law.

JudicialThe state’s judicial system has been described in Chap-

ter III. As was pointed out earlier, all town justices wereoriginally members of the town board, but uneasiness overthis duality of functions led to the gradual phasing out oftheir legislative roles. Also, to enhance the level of pro-fessionalism of local justices, state law now mandates theirtraining. The jurisdiction of the town court system is town-wide, even extending to village territory where it is coin-cident with that of village courts. The cost of the townjudicial system is a town-wide charge.

Operations and ServicesThe operational organization of towns displays the

same lack of sharp definition encountered in the legisla-tive, executive and judicial branches of town government.Although there has been de facto departmentalization bymany towns, and formal departments have been created


in some instances by specific statutory authorization orby home rule enactments, there is no general provisionfor departmental organization.

It is useful to differentiate the town operational struc-ture into two general categories: (1) services providedand functions performed on a town-wide basis, includingservices to villages; and (2) those provided to part of thetown, either to the entire area of the town outside existingvillages (the “TOV”) or to a specific district or area ofthe TOV.

Town-wide Organization and ServicesTowns first emerged to carry out general governmen-

tal functions as distinguished from “proprietary” functions.These general functions cover the basic town-wide ser-vices still provided by the town. The cost is imposed town-wide. Through the years some services have been added,including those which may be carried out by a town withinthe territory of a village, either on a cooperative basis orwith the consent of the village.

Elective Processes. One of the primary functions pro-vided by towns on a town-wide basis is the organizationand supervision of elections. The individual election dis-trict is the primary element in the election machinery.Towns, in all except Monroe, Nassau and Suffolk Coun-ties, must establish and operate all election districts out-side cities. In these districts, all inspection clerks and elec-tion employees are appointed by the town board uponrecommendation from the organized political parties. Partyorganization is also built around the election district. Partycommittee members, elected in each election district, formthe backbone of town, county and state committees.Hence, when politicians talk about the “grassroots of theparty,” they are talking about town party committees.Town officers, who are both products of this party orga-nization and its custodians, often remain closely connectedto it during their political careers. These party ties tend togive town officials advantages in dealing with counties orthe State. It is likely that a town’s greatest strength inmaintaining and promoting its place in the governmentalscheme of things rests with the electoral function. Thisstrength can be brought to bear whenever towns per-ceive they are about to lose power to other units of gov-ernment.

Representative democracy has traditionally beenachieved in almost all towns through the system of elect-ing town board members as at-large representatives.Towns of the first class (generally, towns with a popula-tion of 10,000 or more, or those towns with a smallerpopulation that have chosen to become towns of the first

class pursuant to Town Law sections 12 and 81) usuallyelect a Town Supervisor and four town board membersas the town legislative body, separate from other electiveor appointive town offices such as clerk, justice, and as-sessor.

Under the current at-large system, each voter may casta vote for each vacant seat on the board. Casting mul-tiple votes for one candidate is prohibited. The availabletown board positions are filled by the candidates whoreceive the highest vote total; a candidate need not re-ceive a majority of votes to assume a seat on the board.

The ward system of electing town board members isan alternative to the at-large system of election and isauthorized by sections 81 and 85 of the Town Law. Un-like cities in New York, which have a mix of both at-large and ward-elected board members, only a handfulof towns currently elect board members by ward. As ofthe year 2000, only 10 of 932 towns in New York usethe ward system, and since the mid-1970’s, voters havedefeated its implementation whenever it has been pro-posed on the ballot.

A town of the first class may, upon the vote of thetown board or upon a duly qualified petition, submit aproposition to the voters for establishing the ward sys-tem. If the voters approve the proposition, the countyboard of elections must divide the town into four wardsand fix their boundaries. “So far as possible the divisionshall be so made that the number of voters in each wardshall be approximately equal” (Town Law section 85[1]). The ward system is deemed established only upon thedate the county board of elections duly files a map “show-ing in detail the location of each ward and the boundariesthereof” (Town Law section 85[1] ).

The boundaries of the wards are not generally knownat the time of the ballot, but are fixed by the board ofelections if the proposition is successful. Apart from theconstitutional requirement of “one person one vote” (see,Reynolds v. Sims, 377 U.S. 533, 84 S. Ct. 1964) codi-fied in statute by the requirement that wards contain “ap-proximately” the same number of voters, the voter hasfew assurances regarding how wards will be drawn.

If the ward system is established, the terms of the sit-ting board members end on December 31, after the firstbiennial town election held at least 120 days after theward system is established. The terms of the board mem-bers elected by ward commence January 1 following suchelection.

Only a town of the first class is authorized to bothestablish the ward system and increase the number of


board members from four to six, and such a town maysubmit both propositions at the same election (Op. Atty.Gen. [Inf.] 90-63; 1968 Op. Atty. Gen. [Inf.] 52;13 Op.St. Compt. 223, 1957). May a town of the second class,which is not authorized to increase the number of boardmembers or establish the ward system, submit a propo-sition to the electorate to change its classification to firstclass at the same election it submits the other proposi-tions? Under the authorizing sections of sections 81 and85 of Town Law, the answer is that the electorate mustfirst approve a change in classification to first class, withsubsequent elections necessary to increase the numberof board members and to establish the ward system. TheAttorney General has opined, however, that a town ofthe second class may, by enactment of a local law, in-crease its number of board members and establish theward system (Op. Atty. Gen. [Inf.] 90-63). Under theMunicipal Home Rule Law (MHRL) towns, cities, coun-ties and villages are authorized to adopt local laws notinconsistent with the Constitution or any general law, inrelation to, inter alia, “the powers, duties, qualifications,number, mode of selection and removal, terms of office,compensation, hours of work, protection, welfare andsafety of its officers and employees” (MHRL, section 10[1][ii][a][1], emphasis supplied). Such a local law wouldbe subject to a mandatory referendum (MHRL, section23[2][b], [e], [g] ).

Therefore, if the voters want representation by wardthey have the means to establish it.

Tax Assessment. One of the cornerstones of towngovernment is its authority to assess, levy, collect andenforce payment of taxes. The real property tax remainsthe most important source of locally raised municipal rev-enue despite enactments of sales and use, admissions,off-track betting and income taxes. Another major por-tion of municipal revenue comes from intergovernmentaltransfers. Fundamental to the levy and collection of realproperty taxes is the function of property assessment.The goal of property tax assessment is to value propertyconsistently and fairly. The practice has been to makeuniform assessments at a constant percentage of full valuewithin a municipality, and to equalize these rates amongmunicipalities. This matter is discussed more fully in Chap-ter XI.

Assessing is done in towns by an assessor or board ofassessors. In the past, all towns had to have a board ofthree assessors. Later, towns were permitted to substi-tute a single assessor for the board. Still later, the As-sessment Improvement Act of 1970, which required train-ing and county assistance for local assessors, also stated

that each town had to provide for a single, appointedassessor unless it took positive action, by way of manda-tory referendum, to retain its elected three-member board.All towns also must provide for a board of assessmentreview, consisting of three to five members, to hear griev-ances and appeals from determinations of the assessor.

The assessment roll which the town assessor preparesserves a dual, and sometimes triple, purpose. First, it isthe basis for all town general taxes and county taxes lev-ied within the town. Second, a copy of the roll must bemade available to all school districts within the town andis used, unchanged as to assessments, to prepare theschool district tax roll. Third, any village, wholly or par-tially, within the town may adopt and use the town roll forlevying village taxes instead of assessing its own proper-ties.

Levy of Taxes. The completed tax roll is forwardedto the county together with the town budget and esti-mates of levies required for town purposes. Theseamounts, and the county taxes required within the town,are levied and recorded on the tax roll prior to Decem-ber 31st of each year. At this point, unpaid school taxesfrom the last school tax roll are also re-levied on the towntax roll.

Collection and Enforcement. In towns of the firstclass, the collection of taxes is carried out by a receiverof taxes and assessments, an office that may be eitherelective or appointive by local choice. Normally in suchtowns, the town receiver also collects all school taxes forschool districts located wholly or partially in the town,unless the town and school district have made an agree-ment to the contrary. In towns of the second class, thecollecting officer is the elected town tax collector. How-ever, such towns may abolish the office of collector and,thereafter, the town clerk must collect the taxes.

General Administration. The cost of general admin-istration of town functions, including the salaries of townofficers is levied as town-wide charges even where thefunctions are less than town-wide in scope. For example,the salary of the town superintendent of highways andthe capital cost and operation of the town highway ga-rage are both general (town-wide) charges, even thoughtheir functions basically cover only part of the town (theportion outside villages). On the other hand, the salariesof highway employees may be either general charges orapplied to only part of the town, depending on the high-way item to which their time is charged.


Part-town OrganizationServices for part of the town may be rendered to ei-

ther all of that portion of the town outside villages (TOV),or to particular areas of the town by way of improvementdistricts or improvement areas.

Until recent decades, the only major service that townswere required to provide to town residents living outsidevillages was highway maintenance. Town governmentprovided few services other than general governmentadministration and basic functions, such as justice court.Lately, however, population growth in TOV areas hasresulted in demands for many of the services already pro-vided by villages. It should be noted that these functions,such as waste collection and disposal, can, and often are,provided on either a town-wide or TOV basis. The morecommon TOV functions include:

• Appointment of a planning board to regulate sub-divisions and review site plans, and assist in de-veloping and administering zoning;

• Adoption of zoning regulations, appointment of abuilding inspector or zoning enforcement officerto administer and enforce them, and appointmentof a zoning board of appeals to hear appeals andgrant relief in proper instances;

• Police protection, which may be provided on ei-ther town-wide or TOV basis, depending uponthe availability of police protection within the vil-lages in the town; and

• Highway construction and maintenance, whichmust be considered a TOV function, since it nor-mally encompasses only town streets and highwaysoutside villages. Since the highway function oftowns predated the establishment of villages, cer-tain highway maintenance costs are town-widecharges.

Over the years, village taxpayers’ responsibility forsharing the cost of town highways has been one of themost abrasive factors in town-village relationships. Con-sequently, there has been a continual search for ways ofreducing this friction and promoting equity in the distribu-tion of costs. One compromise permits towns to exemptvillage property from assessment for the cost of acquisi-tion and repair of highway machinery, the cost of snowremoval, and several other miscellaneous items.

Fire Protection. Fire protection is not a town func-tion, since it can only be provided in towns through themedium of districts — fire districts, fire protection dis-tricts and fire alarm districts — all of which are discussedin Chapter IX. Since most TOV areas are covered by

districts, fire protection can be considered, in a sense, aTOV service.

Special Districts. Towns in the path of suburbangrowth were not prepared to provide needed serviceson a town-wide basis. Tax bases were hardly sufficientto support town-wide water or sewer systems. The needwas not general enough throughout the town so as togarner voter support for such town-wide services. Theexpedient answer was, therefore, to create the specialdistrict. Large enough to serve the area of need and sup-ported only by the property owners within the district,the special district required from the rest of the town onlyuse of the town’s credit to financially support its obliga-tions and use of the town’s organization to administer theservices within the district. Districts have worked welland have multiplied in both number and type.

Unlike the districts discussed in Chapter IX, specialdistricts created under the Town Law are not units oflocal government, but instead are administered by the townboard. Town improvement districts have proliferated, withlighting, water supply, sewerage, drainage, park, publicparking, and refuse and garbage districts accounting forover 95 percent of all special districts. The idea hasproved so flexible and has worked so well that it hasbeen used to meet some unusual and unique needs. Es-calator districts have been formed to relieve weary com-muters of their climb to elevated train stations, and dockand erosion control districts have enhanced seaside prop-erties on Long Island.

Special districts have been established, extended andconsolidated until, by the end of 2004, there were ap-proximately 1,987 improvement districts (including firedistricts) in existence — an average of more than two foreach town in the state for 2004.

TABLE 10Town Special Districts and

Fire Districts by Type of DistrictAs of December 31, 2004

Drainage ............................................................. 66Fire .................................................................. 635Lighting ............................................................ 500Park ................................................................... 50Refuse and Garbage ........................................... 81Sewer .............................................................. 315Water ............................................................... 448Parking ............................................................... 11Other ............................................................... 119

TOTAL ................................................ 2,225Source: Comptroller’s Special Report on Municipal Affairs, 1997


Most special districts can be and are established un-der general provisions of Articles12 and 12-A of the TownLaw. Those which cannot must be created by act of theState Legislature.

Under Article 12, a petition from property owners inthe area of the proposed district must specify the bound-aries of the district and state the maximum permissibleexpenditure. For certain types of districts a map showingthe boundaries of the district and the proposed improve-ments must accompany the petition. The petition must besigned by owners of more than one-half of the total as-sessed valuation of taxable property in the proposed dis-trict, including at least one-half of the resident-owned,taxable, assessed valuation therein. When such a petitionis filed, the town board must call a public hearing on theproposal and, after consideration, approve or deny theestablishment of the district. If the town board approvesthe establishment of a district for which the town is toincur indebtedness, it must apply to the State Comptrol-ler for approval. The State Comptroller, after consider-ing the application, must make an independent determi-nation that establishment of the district will serve the publicinterest and that it is not an undue burden on the propertyor property owners who live in the district. After the StateComptroller approves the petition, the town board mayadopt an order establishing the district.

Under Article 12A, a petition is not required to estab-lish a district; the town board may, on its own motion,subject to a permissive referendum, establish a district.All other procedural steps are essentially the same asunder Article 12.

With the exception of 78 older special districts whichretain their separate boards of commissioners, the townboard acts as the administrative body for all improve-ment districts in a town. Specific provisions of the TownLaw authorize a town board to let contracts for the con-struction of district improvements, determine the mannerof levying assessments to cover costs, set water and sewerrents or other service charges, and provide for the issu-ance of obligations to cover capital costs. Although alldistrict costs must be levied against the properties therein,the districts have no debt-incurring powers of their own.

All obligations issued on their behalf must be general ob-ligations of the town, and are chargeable to town debtlimits.

Town Improvements. As towns have continued todevelop in suburban areas, the need for services on atown-wide or at least TOV basis has become morepressing. The “town improvement” is a compromise be-tween the district approach and the provision of servicesas a true town function. This approach allows a townboard to construct infrastructure improvements in spe-cific areas of the town while not establishing a districtwith defined boundaries. First authorized only for Subur-ban Towns, authority for town improvements was laterextended to all towns. In establishing an improvement bythis method, the town board has the option of levying thecapital costs against the entire TOV area, or against thebenefitted areas only, or of allocating it between the twoareas in any way it chooses. The cost of operating andmaintaining the improvement must be levied against theentire TOV area. Thus, the town improvement proce-dure is simpler and more flexible than that available forcreating an improvement district.

SummaryMany towns in New York are still small governments

providing basic services to rural residents and they con-tinue the pattern of town government that originated be-fore the American Revolution. Other town governments,caught in the mass population migrations of the TwentiethCentury, have had to provide services usually associatedwith urban living. Both kinds of town governments —and the gradations between — must deal with problemssuch as protecting the environment and delivering mu-nicipal services against a fiscal background of ever in-creasing costs. Rising costs will probably compel towngovernment to develop new patterns of working with othergovernments and new ways to deliver services. Townresidents and government officials, who have had to re-spond to similar challenges in the past, will doubtless con-tinue town government’s long tradition of responding tochange.


CHAPTER VIII

Village Government

In New York State, the village is a general purpose municipal corporation formed voluntarily by theresidents of an area in one or more towns to provide themselves with municipal services. But when avillage is created, its area still remains a part of the town where it is located, and its residents continue tobe residents and taxpayers of that town.

The first village was incorporated at the end of the eighteenth century. The village form of municipalorganization became a prominent feature of the state’s growing metropolitan areas between 1900 and1940. The patterns of village organization are similar to those of cities.

Many people think of villages as being small, rural com-munities. Population size alone however, does not deter-mine whether one community becomes a village and an-other remains as an unincorporated “hamlet” in a town.In New York State a village is a legal concept; it is amunicipal corporation. The largest village in the state,Hempstead in Nassau County, had more than 56,000residents in 2000, while the smallest city, Sherrill, had3,147. Fifty-two of New York’s 62 cities had popula-tions in the year 2000 that were smaller thanHempstead’s.

Villages were originally formed within towns to pro-vide services for clusters of residents, first in relativelyrural areas and later in suburban areas around large cit-ies. Today, many of the existing 556 villages are in theareas surrounding the state’s larger cities. Many villageshave public service responsibilities that differ little fromthose of cities, towns, and counties, and village officialsface the full range of municipal obligations and challenges.

What is a Village?A village is often referred to as “incorporated.” Le-

gally cities, towns, villages and counties are all “incorpo-rated.” Hence, there are no “unincorporated villages” inNew York State. The vernacular “incorporated village”likely came to be used because villages are areas withintowns for which an additional municipal corporation hasbeen formed.

Many places in the state having large numbers of peopleliving in close proximity are neither villages nor cities. Manyhave names, some have post offices. Some, like Levittownon Long Island, have thousands of residents. If the peoplein such communities have not incorporated pursuant to

the Village law, they do not constitute a village. Whilemany people refer to such places as “hamlets”, the term“hamlet” actually has no meaning under New York law.

By definition, a village is a municipality which, at thetime of its incorporation, met statutory requirements thenestablished as prerequisites to that incorporation. Althoughthe Village Law now sets area and population criteria foran initial village incorporation, a number of existing vil-lages have populations smaller than the present statutoryminimum.

Historical DevelopmentThe earliest villages in the state were incorporated partly

to circumvent the legal confusion about the nature andscope of town government that resulted from legislativemodification of English statutes. Generally, in the decadesafter the Revolution, villages in New York were createdbecause clusters of people in otherwise sparsely settledtowns wanted to secure fire or police protection, or otherpublic services. Those inhabitants receiving the fire orpolice service, and not the whole town, paid for suchservices. A forerunner of villages appears to have been a1787 legislative act granting special privileges to part of atown, entitled “An act for the better extinguishing of firesin the town of Brooklyn.”

The appearance of the village as a formal unit of localgovernment began in the 1790’s. Villages were createdby special acts of State Legislature, but the starting datefor this process is in dispute among historians due to alack of precision in terminology in those early legislativeacts. In 1790, the Legislature granted specific powers tothe trustees of “… part of the town of Rensselaerwyck,commonly called Lansingburgh.” The term “village” first


appeared in state law in a 1794 enactment incorporatingWaterford. The legislative act of 1798, providing for theincorporation of Lansingburgh and Troy as villages, is seenby many historians as the first formal authorization in thestate for the village form of government. This enactmentincluded all of the legal elements (including an incorpora-tion clause and delegation of taxing and regulatory power)deemed necessary for a true unit of local government.

First mention of the village as a constitutional civil divi-sion appeared in a section of the 1821 New York StateConstitution prescribing qualifications of voters. TheConstitution of 1846 required that the Legislature “pro-vide for the organization of cities and incorporated vil-lages.” The Legislature passed a general Village Law in1847, but continued to incorporate villages through theenactment of special charters, as it had for the previoushalf-century. Separate incorporation led to a variety ofvillage government forms, even for villages of similar char-acteristics. In 1874, a revised State Constitution forbadeincorporation of villages by special act of the State Leg-islature. Since that time, New York State villages havebeen formed through local initiative pursuant to the Vil-lage Law.

An 1897 revision of the Village Law required thosevillages with charters to comply with provisions of theVillage Law that were not inconsistent with their char-ters. It also gave the charter villages the option of rein-corporating under the general law. Although numerouscharter villages did reincorporate, 12 villages still oper-ate under charters. These are: Alexander, Carthage,Catskill, Cooperstown, Deposit, Fredonia, Ilion, Mo-hawk, Ossining, Owego, Port Chester and Waterford.

In the first 40 years of the twentieth century, as peoplemoved from cities into the suburbs, more than 160 vil-lages were incorporated under the Village Law. The rapidgrowth of towns in suburban areas in the late 1930’s andfollowing World War II emphasized the need for alterna-tives to villages. To provide services, suburban areas madeincreasing use of the town special district. This had a pro-found effect on the growth of villages. Although more than160 villages were formed from 1900 to 1940, only 31new villages have appeared over the succeeding 66 years,and 24 have dissolved during that period.

There were 556 villages in New York State in 2006.They range in size from the Village of West HamptonDunes with a 2000 Census population of 11, to the Vil-lage of Hempstead, with a 2000 Census population of56,554. The majority of villages have populations under2,500, although there were 25 villages between 10,000

and 20,000 population in 2000 and 10 villages with morethan 20,000 population.

Over 70 villages are located in two or more towns.There are seven villages which are in two counties. Onevillage, Saranac Lake, lies in three towns and two coun-ties. Five villages — Green Island in Albany County, EastRochester in Monroe County, and Scarsdale, Harrisonand Mount Kisco in Westchester County — are cote-rminous with towns of the same name. A coterminoustown-village is a unique form of local government organi-zation. The town and village share the same boundariesand the governing body of one unit of the coterminousgovernment may serve as the governing body of the otherunit (i.e., the mayor serves as town supervisor and trust-ees serve as members of the town board).

Creation and OrganizationThe Village Law governs the incorporation of new vil-

lages and the organization of most existing villages. The12 remaining charter villages are subject to this law onlywhere it does not conflict with their respective charters.

IncorporationA territory of 500 or more inhabitants may incorpo-

rate as a village in New York State, provided that theterritory is not already part of a city or village. The terri-tory must contain no more than five square miles at thetime of incorporation, although it may be larger in landarea if its boundaries are made coterminous with those ofa school, fire, improvement or other district, or the entireboundaries of a town.28

The incorporation process begins when a petition,signed by either 20 percent of the residents of the terri-tory qualified to vote, or by the owners of more than 50percent of the assessed value of real property in the ter-ritory, is submitted to the supervisor of the town in whichall or the greatest part of the proposed village would lie.If the area lies in more than one town, copies of the peti-tion are also presented to the supervisors of the otheraffected towns.

Within 20 days from the filing of the petition, the su-pervisor of each town affected must post and publishnotices indicating that a public hearing will be held on thepetition. Where the proposed village is in more than onetown, the giving of notice and subsequent hearing are ajoint effort of the affected towns. The purpose of the hear-ing is to determine only whether the petition and the pro-posed incorporation are in conformance with the provi-sions of the Village Law. Other considerations and ob-jections to the incorporation are not at issue. This formal


hearing must be held between 20 and 30 days after thedate of posting and publication of notice.

Within 10 days after the conclusion of the hearing, thesupervisor of the affected town(s) must judge the legalsufficiency of the petition. If more than one town is in-volved, and the supervisors cannot agree on a decision,their decision is deemed to be adverse to the petition.Any decision made is subject to review by the courts. Ifno review is sought within 30 days, the decision of thesupervisor(s) is final. If the decision is adverse to the pe-tition, a new petition may be presented immediately. Ifthe decision is favorable to the petition, or if the petitionis sustained by the courts, a referendum is held within theproposed area no later than 40 days after the expirationof 30 days from the first occurring of either the filing ofthe supervisors’ favorable decision or the filing of a finalcourt order favorable to the petition. Only those residingin the proposed area of incorporation and qualified tovote in town elections may vote in the referendum.

Where the proposed area lies in one town, an affirma-tive majority of those voting is required in order to incor-porate. Where more than one town is involved, an affir-mative majority in the area proposed for incorporation ineach town is required. If any required majorities are notobtained, then the question is defeated, and no new pro-ceeding for incorporation of the same territory may beheld for one year. If a majority vote(s) in favor of incor-poration is obtained, and there is no court challenge, thetown clerk of the town in which the original petition wasfiled makes a report of incorporation.

TABLE 11Village Incorporations Since 1940

VILLAGE COUNTY DATE

Florida Orange 08/05/1946Prattsburg Steuben 12/07/1948Tuxedo Park Orange 08/13/1952Sodus Point Wayne 12/30/1957New Square Rockland 11/06/1961Atlantic Beach Nassau 06/21/1962Port Jefferson Suffolk 04/09/1963Amchir Orange 09/09/1964Pomona Rockland 02/03/1967Lake Grove Suffolk 09/09/1968Round Lake Saratoga 08/07/1969Sylvan Beach Oneida 03/17/1971Lansing Tompkins 12/19/1974

VILLAGE COUNTY DATEHarrison Westchester 09/09/1975Pelham* Westchester 06/01/1975Kiryas Joel Orange 03/02/1977Rye Brook Westchester 07/07/1982Wesley Hills Rockland 12/07/1982New Hempstead Rockland 03/21/1983Islandia Suffolk 04/17/1985Cape Vincent* Jefferson 04/15/1986Montebello Rockland 05/07/1986Chestnut Ridge Rockland 05/16/1986West Carthage Jefferson 07/22/1987Pine Valley Suffolk 03/15/1988Kaser Rockland 01/25/1990Bloomfield* Ontario 03/27/1990Airmont Rockland 03/28/1991W. Hampton Dunes Suffolk 11/19/1993East Nassau Rensselaer 01/14/1998Sagaponack Suffolk 09/27/2005S. Blooming Grove Orange 07/14/2006Woodbury Orange 08/28/2006* Cape Vincent was created in 1853 but the proper incorpora-

tion paperwork was not filed until 1986.* Pelham and North Pelham were consolidated into Pelham.* Bloomfield was created by the consolidation of East

Bloomfield and Holcomb.

The report is sent to the Secretary of State, the StateComptroller, the State Office of Real Property Services,the county clerk and county treasurer of each county inwhich the village will be located, and the town clerks ofeach town in which the village will be located.

Upon receipt, the Secretary of State files the report inhis/her office and prepares and sends a Certificate of In-corporation to the clerks of each town in which the vil-lage is located. The village is deemed incorporated onthe date the report is filed with the Secretary of State.Within five days after the filing of the Certificate of Incor-poration, the clerks of each town in which the village islocated jointly appoint a resident of the new village areato serve as village clerk until a successor is chosen by thevillage’s first elected board of trustees. Election of theboard and mayor is held within 60 days of the appoint-ment of the interim village clerk, except in instances wherethe new village embraces the entire territory of a town. Inthat case the election of village officers is held at the next


regular election of town officials, occurring not less than30 days after the filing of the certificate of village incor-poration.

The Legislative BodyThe legislative body of a village — the board of trust-

ees — is composed of the mayor and four trustees. How-ever, the board may increase or decrease the number oftrustees, subject to referendum. Trustees are elected fortwo-year terms unless otherwise provided by the boardof trustees and subject to permissive referendum.

The village board has broad powers to govern the af-fairs of the village, including:

• organizing itself and providing for rules of proce-dure;

• adopting a budget and providing for the financingof village activities;

• abolishing or creating offices, boards, agencies, andcommissions and delegating powers to these units;

• managing village properties; and• granting final approval of appointments of all non-

elected officers and employees made by the mayor.The mayor presides over meetings of the board. A ma-

jority of the board, as fully constituted, is a quorum. Nobusiness may be transacted unless a quorum is present.

Executive BranchThe chief executive officer of most villages in New York

State is the mayor. Unless otherwise provided by theboard of trustees, the mayor is elected for a two-yearterm. In addition to his/her executive duties, the mayorpresides over all meetings of the board of trustees andmay vote on all questions coming before that body. Themayor must vote to break a tie. The mayor is responsiblefor enforcing laws within the village and for supervisingthe police and other officers and employees of the vil-lage. The mayor may share the law enforcement respon-sibility with a village attorney - who may handle prosecu-tions for violations of village laws, and the county districtattorney - who usually handles general criminal prosecu-tions in the county.

At the direction of the board of trustees, the mayormay initiate civil actions on behalf of the village or mayintervene in any legal action “necessary to protect therights of the village and its inhabitants.” Subject to theapproval of the board of trustees, the mayor appoints alldepartment and non-elected officers and employees.Except in villages that have a manager, the mayor acts asthe budget officer. The mayor may, however, designate

any other village officer to be budget officer. The budgetofficer serves at the mayor’s pleasure.29 The mayor en-sures that all claims against the village are properly inves-tigated, executes contracts approved by the board oftrustees and issues licenses. In certain cases, when au-thorized by the board of trustees, the mayor may signchecks and cosign, with the clerk, orders to pay claims.

At the annual meeting of the board of trustees, themayor appoints one of the trustees as deputy mayor. Ifthe mayor is absent or unable to act as mayor, the deputymayor is vested with and may perform all the duties ofthat office.

Village Managers or AdministratorsIn order to provide full-time administrative supervi-

sion and direction, some villages have created the officeof village manager or administrator. The position of vil-lage manager is created by a local law, which fixes thepowers of the office and the term of the incumbent. As analternative to direct adoption of a local law establishing avillage manager, a village may create a commission toprepare a local law establishing a village manager anddefining the manager’s duties and responsibilities. Thecommission must issue a report within the time set forthin the local law, which can be no later than two yearsafter the appointment of its members.30 While there is nomandate that the commission prepare a local law creat-ing a village manager, if the commission does preparesuch a local law, it must be placed before the voters at areferendum; the board of trustees need not approve thelocal law.

The village manager is usually assigned administrativefunctions that would otherwise be performed by the mayor.Under the Village Law, the manager may designate an-other village official as budget officer, to serve at the plea-sure of the manager.

Sixty-seven villages in New York State had an admin-istrator or manager in 2007; they are listed in Table 12.Some of these individuals hold more than one title andsome are known as “coordinator”.


TABLE 12Villages Which Have Administrators/Managers

East RochesterEllenvilleElmsfordFairportFarmingdaleFloral ParkFredoniaGarden CityGreat Neck EstatesGrotonHamburgHastings-on-HudsonHorseheadsHuntington Bay

AkronAldenAmityvilleArdsleyAtticaBlasdellBriarclif ManorBrockportBronxvilleBuchananCroton-on-HudsonDobbs FerryEast AuroraEast Hampton

IrvingtonLake SuccessLawrenceLowvilleMamaroneckMassapequa ParkMassenaMonticelloMount KiscoOakfieldOcean BeachOld WestburyOssiningPelham

Pelham ManorPleasantvillePerryPhoenixPort ChesterPort JeffersonPotsdamRockville CentreRoslynRye BrookScarsdaleSea CliffSeneca FallsSouth Floral Park

SouthamptonSpencerportSpringvilleSylvan BeachTarrytownThomastonValley StreamWaldenWestburyWestfieldWilliamsville

SOURCE: 2007 NYCOM Directory of City & Village Officials, New York State Conference of Mayors and Municipal Officials, 2007.

Other Village OfficersThe village treasurer is the chief fiscal officer of the

village. The treasurer maintains custody of all village funds,issues all checks and prepares an annual report of villagefinances.31

The village clerk has responsibility for maintaining allrecords of the village.32 The clerk collects all taxes andassessments, when authorized by the village board, andorders the treasurer to pay claims. The clerk is required“on demand of any person” to “produce for inspectionthe books, records, and papers of his/her office.”33 Theclerk must keep an index of written notices of defectiveconditions on village streets, highways, bridges, cross-walks, culverts or sidewalks and must bring these no-tices to the attention of the board at the next board meet-ing or within 10 days after their receipt, whichever issooner.34

Unless local law provides otherwise, the mayor ap-points both the clerk and the treasurer with the approvalof the board of trustees. Terms are established at 2 yearsand may be increased. In many villages, the offices ofclerk and treasurer are combined and are held by a singleperson.

Where no village office of justice has been established,or where the office has been abolished, the functions de-volve on the justices of the town or towns in which thevillage is located.

Organization for Service DeliveryDifferences in the size of villages and in the services

they perform make it difficult to describe the organizationof a “typical” village. Larger villages often have multi-departmental organizations similar to cities, while smallvillages may employ only one or two individuals. Func-tions performed by villages range from basic road repairand snow removal to large-scale community develop-ment programs and public utility plants. A number of vil-lages operate their own municipal electric systems.

Financing Village ServicesLike most local governments, villages have a strong

reliance on the real property tax to finance their activities.In the 2004 fiscal year the real property tax accountedfor nearly 45 percent of total village revenues in NewYork State. The balance of the revenues comes from avariety of sources; these include user charges and otherrevenue from water and sewer services, electric systems,airports and marinas, as well as license and rental feesand penalties on taxes. Special activities generated about39 percent of all village revenues in fiscal 2004. Sales taxrevenues in 2004 accounted for 5 percent of total rev-enues for villages. State and federal aid provided 11 per-cent of village revenue in 2004.

State Aid and Village FinanceState aid programs that provide funds to villages are

Aid Incentives for Municipalities (AIM) program, mort-


gage tax, aid for the construction and operation of sew-age treatment plants and aid to youth bureaus and recre-ation programs. A more detailed discussion of revenuesharing and other state aid appears in Chapter XI.

The mortgage tax is a state tax is collected by coun-ties. The allocation to towns is made according to thelocation of the real property covered by the mortgagesupon which the tax was collected. For towns that containa village within its limits, a portion of the town allocationis made to the village according to the proportion theassessed value of the village bears to twice the total as-sessed valuation of the town. While a village under thisformula would receive aid even if no mortgages were reg-istered in a village, the town may receive the greateramount of revenue, even though much of the propertythat yields the revenue may be within villages in the town.35

Village DissolutionJust as villages are formed by local action they can be

dissolved by local action. Article 19 of the Village Lawprovides the procedure for village officials and electorsto disband their village. Since villages are formed withintowns, the underlying town or towns would become fullyresponsible for governing the territory of the former vil-lage after it is dissolved.

The dissolution process may be commenced by thevillage board of trustees on its own motion or through thepresentation of an appropriate petition to the board oftrustees. If a proper petition is presented, the board isobligated to prepare a “dissolution plan” and to submit aproposition for dissolution to the electors. If the boardseeks to initiate the dissolution process on its own mo-tion, it may submit a proposition to dissolve the village tothe electors, again in accordance with a plan for dissolu-tion. In either case, the question must be decided by thevoters of the village at an election.

The village board of trustees is responsible for pre-paring the dissolution plan. The village law lists 8 criteriawhich must be addressed in a plan. The plan must con-tain provisions relating to: (1) the disposition of the prop-erty of the village; (2) the payment of outstanding obliga-tions and the levy and collection of the necessary taxesand assessments or same; (3) the transfer or eliminationof public employees; (4) any agreements entered into withthe town or towns in which the village is situated in orderto carry out the plan for dissolution; (5) whether any lo-cal laws, ordinances or rules and regulations of the vil-lage in effect on the date of the dissolution of the villageshall remain in effect for a period of time other than asprovided by section 19-1910, i.e., two years; (6) the

continuation of village functions or services by the town;(7) a fiscal analysis of the effect of dissolution on the vil-lage and the area of the town or towns outside the vil-lage; and (8) any other matters desirable or necessary tocarry out the dissolution.

The village board of trustees must appoint a study com-mittee to prepare a report on the dissolution of the vil-lage. The study committee must include at least two rep-resentatives, who reside outside the village boundaries,from each town or towns in which the village is situated.A copy of the report must be sent to the village board oftrustees and supervisor of each town in which the villageis situated. The report must address all the topics requiredto be included in the dissolution plan and alternatives todissolution. The committee may also propose a plan fordissolution for consideration by the board of trustees.Prior to submitting its report, the study committee musthold at least one public hearing upon 20 days notice pub-lished in the official village and town newspapers.

The village board of trustees must also hold at leastone public hearing, which must be preceded by noticeprovided by certified mail to the supervisors of the town(s)involved, and published at least 10 days but not morethan 20 days prior to the hearing in the official newspa-per of the town(s) and village. Once the board of trust-ees’ hearing is concluded, the proposition is generallypresented to the village voters at the next regular or spe-cial village election for officers held not less than 30 daysafter the board of trustees hearing.

The proposition to be submitted to the voters mustcontain the question of dissolution and, numbered sepa-rately, a plan for disposition of village property, the pay-ment of its outstanding obligations including the levy andcollection of necessary taxes and assessments and suchother matters as may be necessary. Although all or anypart of such plan can be made the subject of a contractbetween the village and the town prior to submission ofthe proposition, the primary objective of this plan is notto legally bind either the village or the town. Rather, it is adocument that will educate and inform the resident vil-lage electors as to the consequences of their vote. Byoutlining an orderly program for the transfer to the townof village functions, assets and properties, and for thedisposition of any outstanding debts, obligations or taxes,the plan will provide the village residents some picture –incomplete though it may be – of the tangible effects ofthe dissolution.

If the proposition is approved by a majority of thosevoting on the question, a certificate of the election must


be filed with the Secretary of State and clerks of eachtown and county in which any part of the village is situ-ated. The village would then be dissolved as of the thirty-first day of December in the year following the year inwhich the election took place. If the proposition is de-feated, no similar proposition can be submitted within twoyears of the date of the referendum.

TABLE 13

Village Dissolutions in New York StateVillage County DateRoxbury Delaware 04/18/1900Prattsville Greene 03/26/1900Rifton Ulster 08/18/1919Union* Broome 1921LaFargeville Jefferson 04/18/1922Brookfield*** Madison 12/31/1923Oramel Allegany 12/23/1925Eastwood** Onondaga 08/06/1926Newfield Tompkins 12/02/1926Pleasant Valley Dutchess 05/22/1926Marlborough Ulster 04/20/1928Northville Suffolk 05/16/1930Old Forge Herkimer 10/21/1933Forestport Oneida 06/18/1938North Bangor Franklin 03/24/1939The Landing Suffolk 05/25/1939Downsville Delaware 09/21/1950Amchir Orange 04/30/1968Prattsburg Steuben 09/22/1972Pelham Westchester 06/01/1975N. Pelham Westchester 06/01/1975Fort Covington Franklin 04/05/1976Friendship Allegany 04/04/1977Belleville Jefferson 04/20/1979Rosendale Ulster 05/23/1979Savannah Wayne 04/25/1979Elizabethtown Essex 04/23/1981Bloomingdale Essex 02/26/1985Pine Hill Ulster 09/24/1985Woodhull Steuben 01/13/1986East Bloomfield Ontario 03/27/1990Holcomb Ontario 03/27/1990Pine Valley Suffolk 04/04/1990Ticonderoga Essex 05/01/1992

Village County DateWestport Essex 05/29/1992Henderson Jefferson 05/23/1992Schenevus Otsego 03/29/1993Fillmore Allegany 01/13/1994Mooers Clinton 03/31/1994Andes Delaware 12/31/2003* date of 1921 based on the last financial record on file at

OSC; annexed into the village of Endicott, April, 22, 1964** annexed into the city of Syracuse*** based on referendum date

TrendsSeveral significant trends, issues, and problems affecting

village government in New York have become apparentin the last quarter of the Twentieth Century.

ZoningThe power to zone the area of the village separately

from the remainder of the town still provides an incentivefor village incorporation. The 1972 recodification of theVillage Law continues the authority of the board of trust-ees to regulate land use, lot sizes, and density of devel-opment. With certain exceptions, villages that adopt theirfirst zoning law must establish a zoning commission todraft regulations and establish zone boundaries. They mustalso establish a zoning board of appeals to hear appealsfrom decisions made by the village official who enforceszoning regulations. A more detailed discussion of zoningand other aspects of land use regulation appears in Chap-ter XVI. It should be noted that the proliferation of vil-lages in Nassau County resulted in a charter provisionthat grants zoning authority to towns within any territoryincorporated as a village on or after January 1, 1963.

Village -Town RelationsFiscal relations continue to be a source of contention

between towns and villages. Village residents are liablefor payment of taxes to the town in which their village islocated, as well as to the village in which they reside.Before the advent of the automobile, village residentsrarely considered this dual taxation unduly burdensome.However, the need for miles of paved town roads andthe rapid growth of population in towns near the state’smetropolitan areas has greatly increased expenditures fortown highways and highway-related items.

The State Highway Law exempts village residents frompaying the costs of repair and improvement of town high-ways, thus relieving them of a substantial portion of thetown highway maintenance expense. Unless exempted


by the town board, however, village residents must helpbear the costs of town highway equipment and snow re-moval on town roads. Village residents not exempted fromsuch highway costs often feel that they are being taxedfor town services they do not receive or use in additionto being taxed for the same services within their village.Villages also regard as inequitable the rent the town maycharge for village use of the town highway equipment thatthe village residents have already helped pay for throughtaxation.

The question of who should pay for what services hasbeen a source of contention between towns and villages

since the 1950’s, but it can be resolved through localcooperative action. Towns and their constituent villagesoften undertake formal and informal cooperative ventures.Many share municipal buildings as well as officials andemployees, or engage in cooperative purchasing, automaintenance, and emergency vehicle dispatching. Forexample, one government may provide library, ambulance,landfill or recreation programs to the other at a negoti-ated fee. More information on inter-municipal agreementsis found in Chapter XVII.

Chapter Endnotes28. Village Law, Article 2 is the Village Incorporation Law.

29. Village Law, §5-500(2).

30. Village Law, §§18-1820 to 18-1828.

31. Village Law, §4-408.

32. Village Law, §4-402.

33. Village Law, §4-402(e).

34. Village Law, §4-402(g).

35. Tax Law, §261(3).


CHAPTER IX

Special Purpose Units of Government

Local municipal services are provided in New York by general purpose municipal corporations —counties, cities, towns and villages — and by several types of special purpose units of government. Theseinclude school districts, fire districts, and a variety of public benefit corporations.

As demands for municipal services have increased,many new types of public benefit corporations have beenestablished. These entities normally provide a single ser-vice or type of service, such as water and sewer ser-vices, airport management, or industrial development,rather than the gamut of government services providedby the general purpose municipality.

School districts, fire districts and “local” public benefitcorporations, often referred to as authorities, are discussedwithin this chapter.

Public EducationThe constitutional basis for school district organization

appears in Article XI, section 1 of the State Constitution:“The legislature shall provide for the mainte-

nance and support of a system of free commonschools, wherein all the children of the state maybe educated.”

The 1795 legislative session provided, on a five-yearbasis, a statewide system of support for schools, but com-prehensive legislation establishing school districts was notenacted until 1812.

Education in New York State today is a massive en-terprise. It represents the largest single area of expensefor local governments, accounting for approximately one-third of all local government expenditures in the state.

By any measure, the most prominent elements of theeducational effort are the 699 local school districts, whichin 2002-03 enrolled more than 2.8 million pupils and spentover $41 billion.

School districts cover the entire area of New YorkState, frequently crossing city, town, village, and evencounty lines. With the exception of the “big five” cities(over 125,000 in population), where the school budgetis part of the municipal budget, each school district is a

separate governmental unit that has the power to levytaxes and incur debt.

The State Education Department, acting in accordancewith policies determined by the Board of Regents of theUniversity of the State of New York, supervises and pro-vides leadership to the public schools. Some of this re-sponsibility is exercised through supervisory districtsheaded by district superintendents of schools.

Basic School District TypesThere are five different types of school districts in New

York State:

Common School Districts. The common school dis-trict, with its origins in legislation of 1812, is the oldest ofthe existing types. Common school districts do not havethe legal authority to operate high schools but, like allschool districts, they are responsible for ensuring a sec-ondary education for resident children. As a consequence,common school districts send pupils to designated highschools of neighboring school districts. As of July 2004,11 common school districts are operating in the state.One common district, the South Mountain Hickory Dis-trict in the Town of Binghamton, does not directly pro-vide education; it contracts for all education. Commonschool districts are typically governed by either a soletrustee or a three-member board of trustees.

Union Free School Districts. The 1853 session ofthe Legislature established the union free school district,which is generally formed by two or more common schooldistricts joining together for the purpose of providing ahigh school. Many of the early union free districts hadboundaries that were coterminous with, or similar to, thoseof a village or city.

Although the original purpose of the union free districtwas to provide for secondary education, about one-fifth


of these districts currently do not operate high schools.As of July 2004, there are 163 union free school dis-tricts, of which 31 provide only elementary education.Thirteen of the latter are components of central schooldistricts, while the rest provide secondary education bycontracting with neighboring districts. Another 16 unionfree school districts were established solely to serve chil-dren residing in specified child care institutions. Thesedistricts are often referred to as “special act” school dis-tricts. Union free school districts are governed by a boardof education that is composed of between three and ninemembers.

TABLE 14

New York State School Districts, as of July 2004

TotalCommon School Districts ....................................... 11Union Free School Districts ..................................163Central School Districts ........................................460City School Districts ...............................................62Central High School Districts ....................................3Total .....................................................................699SOURCE: N.Y.S. Comptroller’s Office.

Central School Districts. The central school districtis the most common type of school district in New YorkState, with 460 in existence as of July 1, 2004. Theywere established as a means of providing a more com-prehensive and intensive education than was possible inmost of the 10,000 small common districts operating inthe state at the turn of the century. The solution came inthe form of the Central Rural Schools Act of 1914, whichwas revised in 1925. This legislation, together with stateaid incentives, preceded a massive school reorganiza-tion, which resulted in the central school districts of to-day.

A central school district may be formed by any num-ber of common, union free and central districts. As in thecase of union free districts, central school districts havethe authority to operate high schools. The governance ofa central district follows essentially the same laws as aunion free district; thus, it can be viewed as a variation ofthe union free type of district.

One difference between the two types of districts isthe size of the board of education. A central district’s boardmay consist of five, seven or nine members. Within thislimitation, the size of the board or length of term (three,

four or five years) may be changed by the voters of thedistrict.

City School Districts. There are two types of orga-nization for city school districts, the application of whichdepends on population.

School districts in the 57 cities under 125,000 in popu-lation are separate governmental units. Each district isgoverned by its own board of education and has inde-pendent taxing and debt-incurring powers. In all of thesedistricts, the members are elected to the school boards,which may consist of five, seven, or nine members.

Many of these city districts encompass larger geo-graphic areas than their respective cities, and are referredto as “enlarged city school districts.” Seven of these en-larged districts have been reorganized as “central cityschool districts” a designation limited to districts in citieswith less than 125,000 population.

In the state’s five cities of over 125,000 in population(the “Big Five” – Buffalo, Rochester, Syracuse, Yonkers,and New York City), district boundaries are coterminouswith those of their respective cities. Each of these schooldistricts has a board or panel with varying independenceand power to set policy for the school system. However,none of these boards have the power to levy taxes orincur debt for the district. Instead, funding is provided aspart of the overall municipal budget. Buffalo, Rochesterand Syracuse have separately elected boards of educa-tion. In Yonkers, however, the board is appointed by theMayor. Buffalo and Yonkers each have nine-memberboards, while Rochester and Syracuse have seven-mem-ber boards.

Since 2002, the New York City public school systemis run as a city agency, headed by a Chancellor. Insteadof a Board of Education that is responsible for settingbroad policy, the Department of Education has the Panelfor Educational Policy, which advises the Chancellor andapproves major Department of Education initiatives, bud-gets and union agreements. Of the 13-member panel, eachof the five Borough Presidents appoints one member. Theother 8 members (including the Chancellor, who servesas Chairperson) are appointed by the Mayor.

Central High School Districts. The central highschool district is the most unique organization type; as ofJuly 2004 only three exist, all in Nassau County.

Central high school districts provide secondary edu-cation to children from at least two common or unionfree districts, which provide elementary education. Ap-pointed representatives from the component districts’


boards of education comprise the board of education foreach central high school district.

Authorized in 1917, this type of district was seen as apromising way to promote reorganization of smaller schooldistricts. However, central high school districts provedunpopular, resulting in the repeal of authority for the for-mation of additional districts in 1944. Thirty-seven yearslater, in 1981, legislation reinstated the option of centralhigh school districts for Suffolk County only.

The Supervisory District. The supervisory districtwas established in 1910, as a means of providing educa-tional supervision and leadership to the thousands of tinyschool districts then in existence. A district superinten-dent of schools was appointed to head each supervisorydistrict.

At the time of their founding, 208 supervisory districtswere established in the state, with as many as seven lo-cated in a single county. As of July 1, 2004, 38 supervi-sory districts exist, each coterminous with an area servedby one of the 38 Boards of Cooperative EducationalServices (BOCES) in the state.

The district superintendent of schools serves as a localrepresentative of the Education Commissioner and as chiefexecutive officer of the BOCES. Reflecting this dual role,the district superintendent is appointed by the governingbody of the BOCES from a list of candidates approvedby the Education Commissioner.

The BOCES. A BOCES provides a single organiza-tion through which local school districts may pool theirresources to provide services that might ordinarily be be-yond their individual capabilities. A BOCES is formed bya majority vote of the members of local school boardswithin a supervisory district. A board of five to fifteenmembers governs the BOCES organization. Membersare elected for staggered three-year terms at an annualmeeting of the boards of education of the constituent dis-tricts.

A BOCES has no taxing authority; the sources ofBOCES funds are primarily taxes levied by componentdistricts, state aid, and a relatively small amount of fed-eral aid. The component districts’ share of costs is basedeither on full valuation, a pupil count based on enroll-ment, or upon the Resident Weighted Average Daily At-tendance (RWADA) of each district. Currently, allBOCES, except for one, use the RWADA method ofallocating costs.

BOCES services include specialized instructional ser-vices — such as classes for students with disabilities andvocational education — as well as support services such

as data processing, purchasing and the provision of spe-cialized equipment for constituent districts. SpecificBOCES services are financed through contracts betweenthe BOCES and the individual school districts. Thus, aschool district pays only for those services that it uses.The state reimburses a portion of the individual district’spayment to the BOCES for such services.

At the end of the 2003-04 school year, the number ofstudents enrolled in a BOCES from constituent districtsranged from 9,448 to 209,055 students. All but nineschool districts in the state are members of a BOCES.Of the nine, four are eligible to become members ofBOCES; the remaining districts are the five city schooldistricts with populations over 125,000, which are noteligible to join BOCES. The 38 BOCES served a totalof 1,630,671 students in the 2003-04 fiscal year.

Charter Schools. A charter school is an independentpublic school that operates under a “charter,” a type ofcontract issued by the New York State Board of Re-gents.

Charter schools typically provide innovative curriculaor other non-traditional approaches that differentiate themfrom regular public schools. Charter schools are financedby local, state and federal funds, but they have the flex-ibility to operate free of many educational laws and regu-lations.

Each charter school, however, is held accountable toprovisions in the Charter School Law (Article 56 of theEducation Law) and the charter authorizing the school.Every school must also satisfy the same health and safety,civil rights, and student achievement requirements that areapplicable to other public schools. A school’s charter maybe revoked for violation of charter provisions, failure tomeet performance levels on state assessments, seriousviolations of law, fiscal mismanagement, or employee dis-crimination in contravention of the Civil Service Law.

A charter is originally issued for a term of up to fiveyears. Upon the expiration of each term, a charter maybe renewed for five more years. The Board of Regentsmay not issue more than 100 new charters.36 The re-newal of a charter and the conversion of public school toa charter school are not counted toward the current statu-tory limit of 100 charter schools.

Financing EducationProperty Taxes. With few exceptions, property taxa-

tion is the only major local revenue source available toschool districts. Property taxes for schools totaled morethan $19.5 billion in 2002-03, or 50.8 percent of all school


revenues. School districts are not subject to constitutionalor statutory tax limits, but resident district voters approveannual school budgets, except for the “Big Five” cities.The practical effect of this referendum, however, is con-siderably constrained by law. Even if the voters defeat aproposed budget, a school board may still levy sufficienttaxes to meet costs for debt service, teachers’ salariesand a number of “ordinary and contingent” expenses aslong as the board adopted budget does not exceed aspecified percentage increase over the prior year’s bud-get. This percentage is based on 120 percent of the con-sumer price index as specified by law, not to exceed 4percent.

In each of the state’s five largest cities, the city councildetermines the school tax levy. The board of educationprepares its budget for approval by the city council. Thecouncil may increase or decrease the budget as a whole,but it may not change individual items. The levy for schoolsis then included in the overall city tax levy. Furthermore,the school tax levy must be accommodated within thetwo percent city tax limit allowed by the state constitu-tion for Buffalo, Rochester, Syracuse and Yonkers, and2.5 percent allowed for New York City.

Nonproperty Taxes. Nonproperty taxes represent asmall revenue source for school districts. In 2002-03,school districts collected $250.8 million from nonpropertytax sources, or less than one percent of total revenuecollected from taxes.

The only nonproperty tax a school district may levydirectly is a tax on consumers’ utility bills, which may beimposed at a maximum rate of three percent. This tax islimited to school districts with territory in cities of under125,000 population. Of the 66 school districts eligible toimpose this tax in the 2002-03 fiscal year, only 20 actu-ally did so.

While only cities and counties can impose a sales tax,the Tax Law provides that they may distribute all or partof the proceeds to school districts. Five of the countiesthat collected sales taxes in fiscal 2002-03 distributed aportion of the revenue to school districts.

State Aid. Receipts from state aid programs repre-sented the second largest revenue source for school dis-tricts in the 2002-03 school year. Over $14.6 billion wasreceived in that year, representing about 37.9 percent oftotal school revenues. There are two major categories ofstate aid to education: general and special aid. The latteris a group of relatively small programs, generally experi-mental or aimed at meeting the special needs of a specificgroup of pupils.

General aid is paid to all school districts, with varia-tions related to formulas taking into account such itemsas taxable property, income of district residents per pu-pil, and district size and organization. The category ofgeneral aid includes:

• operating expense aid;• BOCES aid;• transportation aid;• high tax rate aid;• growth aid;• building aid; and• reorganization incentive aid.Operating aid, which represents more than one-half of

total aid provided, is for the general operating expendi-tures of a district. Other general aid formulas exist to com-pensate for particular cost factors in school operations,building construction costs, high tax rates, and transpor-tation costs.

Federal Aid. The third largest revenue source, butone far smaller than state aid or local revenues, is federalaid. Federal assistance represented about $2.7 billion inrevenues for the 2002-03 fiscal year, or 7.0 percent oftotal revenues.

Organizing for Fire ProtectionBuildings constructed close to each other are particu-

larly vulnerable to fire. Fire protection services in NewYork have long been viewed as an essential governmen-tal function in densely populated areas. Early on, cities aswell as many villages made provisions for fire depart-ments and the organization of fire companiesusing bothcareer and volunteer services. This did not happen intowns, however, where sparse development made fire,while no less catastrophic to the individuals involved, amore personal than a communal threat. Traditional fireprotection in rural areas consisted of close neighbors form-ing bucket brigades. The era of the bucket brigade wasfollowed by the formation of loosely-knit groups whichaccumulated rudimentary firefighting equipment. Suchgroups were precursors to the modern-day volunteer firecompanies, which have developed a high degree of or-ganization and capability.

For many years volunteer fire companies supplied rea-sonably effective fire protection to rural areas withoutgovernment assistance or support. Gradually, however,greater demands for fire protection service, the high costof modern and specialized equipment, and the need forgiving volunteers economic security in the event of duty-


connected death or injury, forced independent fire ser-vices to request assistance from the government.

In towns, the answer came (as in the case of otherservices) not on a town-wide basis, but through the es-tablishment of special districts on an area-by-area basis.These districts took two basic forms: fire districts, whichwere true district corporations and enjoyed autonomyfrom town government; and other types of districts, in-cluding fire protection districts, fire alarm districts andcertain water supply districts, which were little more thanassessment areas that received fire protection.

Fire DistrictsA fire district is a public corporation established for

the purpose of providing fire protection and respondingto certain other emergencies. The New York State Con-stitution (Article X) recognizes that fire districts have cer-tain characteristics of general purpose municipal corpo-rations, such as powers to incur indebtedness and to re-quire the levy of taxes. Generally, fire district taxes arelevied by the county and collected by the town or townswhere the district exists. A fire district is almost a com-pletely autonomous political entity; it has its own electedgoverning body, its own administrative officers, and it mustobserve its own expenditure limitations. However, it isdependent upon the parent town or towns for its initialcreation, extension, and dissolution.

As of December 31, 2003, New York has 868 firedistricts. They are of varying sizes, including smaller dis-tricts with annual budgets of several thousand dollars andlarge districts, some of which feature departments thathave both career and volunteer firefighters and annualbudgets of several million dollars.

Establishment. A fire district is created to providefire protection to areas of towns outside villages. Villagesusually provide their own fire protection. Towns and vil-lages may establish joint town-village fire districts.

A town board may establish a fire district on its ownmotion or upon receipt of a petition from owners of atleast 50 percent of the resident-owned taxable assessedvaluation in the proposed district. Whichever method isused, the town board must hold a public hearing and de-termine that: all properties in the proposed district willbenefit, all properties that will benefit have been includedand the creation of the district is in the public interest.

If the town board decides to establish a district andproposes to finance an expenditure for the district by theissuance of obligations, it must request approval from theState Comptroller, who must first determine that the public

interest will be served by the creation of the district andthat the cost of the district will not be an undue burden onproperty in the district. If such approval is not required, acertified copy of the notice of hearing must be filed withthe State Comptroller.

After a fire district has been established, the town boardappoints the first temporary board of five fire commis-sioners and the first fire district treasurer. At the first elec-tion, five commissioners are elected for staggered termsof one to five years so that one term expires each year.At each subsequent election, one commissioner is electedfor a full term of five years. The fire district treasurer iselected for three years, although the office may subse-quently be made appointive for a one-year term. A firedistrict secretary is appointed by the board of fire com-missioners for a one-year period.

Operational Organization. After establishment andinitial appointments by the town board, the fire districtbecomes virtually autonomous from the town in its day-to-day operations.

A fire district has only those powers that are expresslygranted by statute, or which are necessarily implied bystatute. Unlike towns, villages, cities and counties, a firedistrict does not possess home rule powers. The powersgranted to a fire district board are extremely specific andnarrowly limited. A listing of some of the more importantand general powers granted to the board of fire commis-sioners in Town Law serves as a quick synopsis of manyof the important areas of operation for fire districts:

• They shall have the power to make any and allcontracts for statutory purposes within the appro-priations approved by the taxpayers or within statu-tory limitations;

• They may organize, operate, maintain and equipfire companies, and provide for the removal ofmembers for cause;

• They may adopt rules and regulations governingall fire companies and departments in the district,prescribe the duties of the members, and enforcediscipline;

• They may purchase apparatus and equipment forthe extinguishment and prevention of fires, for thepurposes of emergency rescue and first aid, andfire police squads;

• They may acquire real property and constructbuildings for preservation of equipment and forsocial and recreational use by firefighters and resi-dents of the district;


• They may construct and maintain fire alarm sys-tems;

• They may purchase, develop, or contract for asupply of water for firefighting purposes; and

• They may contract to provide firefighting or emer-gency services outside the fire district where suchservices can be supplied without undue hazard tothe fire district.

Financing. Fire districts are not governed by the con-stitutional tax or debt limits that restrict most municipalcorporations. However, statutory limitations are imposedon their spending and financing authority.

Under section 176(18) of the Town Law, every firedistrict has a minimum basic spending limitation of $2,000,plus an additional amount related to full valuation of dis-trict taxable real property in excess of one million dollars.Several important expenditures are exempt from thisspending limitation, such as certain insurance costs, sala-ries of career firefighters, most debt service and contractsfor fire protection or water supplies. The basic spendinglimitation may be exceeded only if a proposition for theincrease is approved by the voters of the district. Fur-ther, many capital expenditures proposed for a fire dis-trict, which would exceed the spending limitation, alsorequire voter approval. Certain expenditures that are notchargeable to the spending limitation may also be subjectto voter approval under other provisions of law (e.g.,General Municipal Law section 6-g, relative to capitalreserve funds).

A fire district may incur debt by issuing obligations pur-suant to provisions of the New York State Local FinanceLaw. Fire districts are subject to a statutory debt limit(generally three percent of the full valuation of taxablereal property in the fire district) and mandatory referen-dum requirements.

Within the statutory constraints, the district enjoys gen-eral autonomy in developing its budget. When completed,the budget is filed with the town budget officer of each ofthe towns where the district is located. The town boardcan make no changes in a fire district budget and mustsubmit it with the town budget to the county for levy andspreading on the town tax roll. When the taxes are col-lected, the town supervisor must “immediately” turn overto the district treasurer all taxes levied and collected forthe fire district.

In 1956, the Volunteer Firefighters’ Benefit Law wasenacted to provide benefits similar to those provided byWorkers’ Compensation for volunteer firefighters whoare injured, or die from injuries incurred, in the line of

duty. Cities, towns, villages and fire districts finance thesebenefits through their annual budgets.

Fire Department Organization. The board of firecommissioners exercises general policy control over itsfire department, while the chief of the department exer-cises full on-line authority at emergency scenes. The firedepartment of a fire district encompasses all fire compa-nies organized within the district, together with career em-ployees who may be appointed by the board of fire com-missioners. Fire companies usually are, but need not be,volunteer fire companies incorporated under the provi-sions of the Not-for-Profit Corporation Law. They canbe formed within the fire district only with the consent ofthe board of fire commissioners and, thereafter, newmembers can only be admitted with board consent.

All officers of the fire department must be members ofthe department, residents of the state and, if required bythe board of fire commissioners, residents of the fire dis-trict. Officers are nominated by ballot at fire departmentmeetings, and appointments by the board may be madeonly from such nominated candidates.

Joint Fire Districts in Towns and Villages. Article11-A of the Town Law and Article 22-A of the VillageLaw allow for the establishment of joint fire districts inone or more towns and one or more villages. Under theprovisions of the Town Law, if it appears to be in thepublic interest, the town board(s) and village board(s)shall hold a joint meeting for the purpose of jointly pro-posing the establishment of a joint fire district. If, at thejoint meeting, it is decided by majority vote of each boardto propose a joint district, the boards must hold, uponpublic notice, a joint public hearing at a location withinthe proposed district. If, after the public hearing, the townboard(s) and village board(s) determine that the estab-lishment of the joint fire district is in the public interest,each board may adopt a separate resolution, subject to apermissive referendum, establishing the joint fire district.

A joint fire district established pursuant to Article 11-A of the Town Law is governed by the provisions of Ar-ticle 11 of the Town Law unless there is an inconsistencybetween the two articles. In such case, Article 11-A wouldprovide the prevailing language. Management of the af-fairs of joint fire districts is under a board of fire commis-sioners composed of between three and seven members,who are either appointed by the participating town boardsand/or village boards of trustees in joint session, or electedas provided in Article 11.

Upon the establishment of a joint district, the town boardor village board of trustees of each participating munici-


pality shall by local law dissolve any existing fire, fire alarmor fire protection districts contained within the joint firedistrict. The board of trustees of a village or the board ofcommissioners of a fire district, all of the territory of whichis embraced within the boundaries of a joint fire district,may by resolution authorize the sale or transfer of anyvillage-owned or district-owned fire house, fire appara-tus, and fire equipment to the joint district. Such transfermay occur with or without consideration, and is subjectto the terms and conditions deemed fitting and proper bythe board of trustees or board of commissioners.

Fire Protection and Fire Alarm DistrictsFire protection districts and fire alarm districts are not

public corporations. Both types of districts may be de-scribed as assessment areas within which a town can pro-vide limited services and assess the cost back against thetaxable properties within the district.

Fire protection districts are established for the sole pur-pose of providing fire protection by contract. After es-tablishing a fire protection district, a town board maycontract with any city, village, fire district or incorporatedfire company maintaining suitable apparatus and appli-ances to provide fire protection to the district for a pe-riod not exceeding five years. A town may also acquireapparatus and equipment for use in the district and maycontract with any city, village, fire district or incorporatedfire company for operation, maintenance and repair ofthe apparatus and equipment and for the furnishing of fireprotection in the district. The cost of the contracted ser-vices, together with certain other expenses incurred byreason of the establishment of the district, is then leviedagainst the properties of the district on the annual tax roll.

Fire alarm districts are formed primarily to finance theinstallation and maintenance of a fire alarm system. How-ever, a town board may contract for fire protection forthese districts in a manner that is similar to the way itprovides protection for fire protection districts.

Public Benefit CorporationsThe Nature of Public Benefit Corporations

Public benefit corporations and other special pur-pose entities created for specific limited public purposesare often generically referred to as authorities. Many ofthese entities, however, carry other terms within their titles,such as commissions, districts, corporations, founda-tions, agencies or funds. For the sake of clarity, in thischapter we will limit our discussion to municipal levelauthorities and special purpose entities.

The first public authority in New York State was cre-ated in 1921 by an interstate compact that required theapproval of the United States Congress. However, theidea of public benefit corporations or local authorities withindependent powers, including the ability to incur debtand by extension the power to levy taxes in order to re-tire debt, was not quickly embraced by the public. In1956, only 90 such entities existed in the state. As of2005, 866 such entities, including local housing authori-ties, urban renewal agencies, industrial development agen-cies and others, filed separate financial statements withthe Office of the State Comptroller.37

TABLE 15Local Authorities and otherSpecial Purpose Entities*

Housing authorities ............................................... 120Parking authorities ................................................. 11Urban Renewal Agencies ....................................... 20Industrial Development Agencies .......................... 116Municipal Libraries .............................................. 273Soil & Water Conservation Districts ....................... 53Special Districts ..................................................... 65Consolidated Health Districts ................................. 55All other .............................................................. 153TOTAL ............................................................... 866

* Entity totals reflect units (not including joint activity unitsor component units) that file separate financial state-ments with the Office of the State Comptroller.

The traditional purpose of the public authority was toconstruct, operate and finance specific types of improve-ments. This concept has broadened, however, and manylocal authorities now exist to meet such diverse needs ashousing, parking, water supply, sewage treatment, indus-trial development, solid waste management, urban re-newal, transportation, and community development.

ObjectivesPublic benefit corporations have been created for a

number of reasons, including to:

• overcome jurisdictional problems in the operationof facilities or services that are best provided on aregional, interstate or even international basis;

• provide an administrative entity with the ability tooperate and manage public enterprises, withoutbeing subject to many of the limitations that apply


to the operations of the state and its political sub-divisions;

• facilitate a transition from private to public opera-tion;

• finance public improvements or services by usingrents or user charges from the improvement orservice itself without having to levy additional taxes;

• permit the use of revenue bonds (secured by rev-enues from the improvement) in order to financethe project, rather than general obligation bondsof a municipality;

• permit financing without being subject to voterapproval or constitutional debt limit restrictions;and

• provide a vehicle that can take advantage of cer-tain types of federal grants and loans more easilythan general purpose municipal corporations.

Powers and RestraintsPublic benefit corporations enjoy many of the same

powers as general purpose governments, plus some veryimportant powers that are not enjoyed by general pur-pose governments. In addition, authorities are not sub-ject to some of the traditional constitutional and statutoryrestraints imposed upon general purpose governments,such as:

• constitutional debt limitations, but they may be sub-ject to statutory limits set forth in their own en-abling legislation;

• provisions of the State Finance Law or the LocalFinance Law relating to the issuance and sale ofobligations, except to the extent provided in theirenabling legislation, and they have greater flexibil-ity in scheduling debt payments; and

• the type of public bidding provisions that are ap-plicable to state and municipal governments.

The power of each public benefit corporation is setforth in its own legislative authorization. The tendency hasbeen to put some of the requirements applicable to gen-eral purpose governments (such as the requirement forpublic bidding) into the special acts establishing authori-ties, although often in different forms. In addition, severalprovisions of the Public Authorities Law contain require-ments applicable to all or a class of authorities, such asrequirements to adopt investment guidelines and rules forawarding personal services contracts. However, the ba-sic financial provisions that distinguish authorities from mu-nicipalities, again subject to the requirements of their own

special acts, have been kept reasonably intact. Since en-hanced fiscal powers often are the most important incen-tive for using authorities to provide public services, it isuseful to explore these powers in greater depth.

Fiscal PowersAuthorities generally have one fiscal limitation that dis-

tinguishes them from municipal corporations. No author-ity may be established with both the power to incur debtand the power to levy or require the levy of taxes orassessments.38 This is a constitutional power generallyreserved for true municipal corporations. Also, an au-thority cannot be created with both debt-incurring powerand the power to collect rentals, charges, fees or ratesfor services, except by special act of the State Legisla-ture.

Generally, an authority may not be created within acity with power to both contract indebtedness and col-lect charges from owners or occupants of real propertywithin the city for a service formerly provided by the city,without approval of the electorate.39

Subject to these restrictions, authorities may use theirfiscal power to finance their authorized functions. Theysometimes may even finance improvements and servicesthat cannot be provided directly by the municipal corpo-rations included in the area of the authority. They alsooften enjoy the same income tax exempt status as mu-nicipal corporations for the interest on their obligations.In consideration of these factors, many municipalities turnto authorities to provide capital-intensive improvementsor services.

In the issuance of their financial obligations, authoritiesgenerally are not bound by the maturity and certain otherrequirements in the provisions of the Local Finance Law.Authorities, on the other hand, may have to pay some-what higher interest rates to borrow money, since theirobligations are secured by prospective revenues only andare not backed by the full faith and credit of a municipalcorporation with the ability to levy taxes.

Neither the state nor any municipality may be held li-able for the payment of the obligations of an authority.However, the state or a municipality, if authorized by theLegislature, is not precluded from acquiring the proper-ties of an authority and paying its indebtedness.


Chapter Endnotes36. Education Law, §2852(9).

37. Office of the State Comptroller, 2005.

38. State Constitution, Article VIII, §3.

39. State Constitution, Article X, §5.


CHAPTER X

Citizen Participation and Involvement

If the American system of government is to function properly, citizens must actively participate in itsoperations at all levels, but especially at the local level. Local officials have both a responsibility and astake in keeping citizens fully informed about local programs and activities and giving them clearopportunities to play meaningful roles in determining and implementing local public policy.

The history, tradition, development and patterns of lo-cal government in New York State are based on a beliefthat a responsive and responsible citizenry will maintain avigorous, informed and continuous participation in the pro-cesses of local government. A basic principle upon whichNew York local government, with its broad home ruleauthority, is constructed is that local community valuescan be fostered and served. Assuring meaningful partici-pation by citizens in government at all levels in the face ofthe complexity of contemporary society is one of the greatchallenges of American democracy.

The individual citizen has numerous ways to influencegovernment. Some of these, such as writing letters topublic officials, joining interest groups and supporting lob-bying efforts, are of a private nature. The structure ofgovernment itself, however, provides other avenues of amore formal character. These include applications of theelectoral process through which citizens may express theirinterests and concerns, plus devices such as public hear-ings and open meetings of legislative bodies. All local of-ficials have a basic duty to assure that citizens have waysto participate actively and meaningfully in local govern-ment affairs. Apart from making themselves accessible totheir constituents, local officials can keep citizens informedabout public affairs; citizens, in turn, may express theirwill through the electoral process.

The Electoral ProcessAbroad base of participation in local government forms

the foundation of our working democracy, and the elec-toral process is only one of many ways in which indi-vidual citizens may express their views at the local level.

Elective OfficesAt the turn of the twentieth century, enlightened citizen

groups recommended adoption of the short ballot along

with several electoral reforms. They believed that a citi-zen could acquire more knowledge about candidates andissues, and could therefore vote more intelligently, if feweroffices appeared on the ballot. They argued further thatthe voter’s basic concern lay with choosing officers whowould make policy rather than filling jobs of an adminis-trative or even clerical nature in which there was no deci-sion-making authority. Despite some improvements dur-ing the past century, the length of a ballot still seems todepend on the proximity of the citizen to the governmen-tal level — national, state and local. In the American three-branch system of government, the minimum ballot wouldinclude a chief executive (or two), one or more legisla-tors, and perhaps judges. At the state level, the ballotmay also include the offices of attorney general, statecomptroller or auditor, and others. At the local level, theballot grows to include such miscellaneous offices as townclerk, superintendent of highways and others.

New Yorkers, in their local elections, vote for officersto serve in two, three, or even more different local gov-ernments. A city resident, for example, will vote for county,city and often school district officials. A village residentwill vote for village, county, town and school district offi-cials. A resident of the town outside the area of the villagemay vote in a fire district election as well as in county,town and school district elections. Although there are in-finite variations, the most typical elected local officialsappear in the following list.

County — executive (charter county only)county legislators(s) (except in counties re-taining boards of supervisors)

county clerkcounty treasurercoroner1

comptroller


sheriffdistrict attorneycounty judgefamily court judgesurrogate

City — mayorcomptrollercouncil membersmunicipal judges

Town — supervisorboard membersjusticestown clerksuperintendent of highwaysreceiver of taxes or tax collector assessors2

Village — mayortrusteesjustice(s)

1. Duties are performed by an appointive officer in somecounties.

2. Appointive in some towns.

As counties and cities adopt and revise charters, thetrend is toward fewer elective offices. Changes in statelegislation and expanded powers of home rule have alsomade it possible for towns and villages to reduce the num-ber of elective offices by local action.

Legislative ElectionsDuring the 1960’s and 1970’s, many counties changed

their governing body from a board of supervisors to acounty legislature, with representation based on districts.In those counties, town residents vote for one or morecounty legislators in addition to the town supervisor, whoformerly served ex officio as the town’s representativeon the county legislative body.

Counties with county legislatures elect legislators fromsingle-member districts, multi-member districts, or a com-bination of single and multi-member districts. Cities electmembers of the city council at-large, or from wards ordistricts, or both at-large and from wards or districts. Afew villages operate on a ward system.

Fire District ElectionsElections in fire districts are relatively simple and uni-

form. Under the Town Law, each fire district elects fivecommissioners and a treasurer at large. Chapter IX dis-cusses these officials in a greater detail.

School District ElectionsWith certain rare exceptions, all local school board

members in New York are elected. The method of elec-tion varies from district to district. In all school districtsthat elect board members, however, the citizens of theentire district elect all board members at large. The num-ber of school board members prescribed by state lawvaries from one or three for common school districts tonot more than nine for union free, central and city schooldistricts (see Chapter IX for a more complete discussionof school boards). In most cases, the district has somelatitude to decide upon the number of board members.Terms are staggered so that the entire board is never upfor election at the same time.

Improvement DistrictsIn a few towns, most of which are located in Nassau

and Erie Counties, the residents also elect boards of com-missioners for independent improvement districts. It hasnot been possible to create additional independent dis-tricts under the Town Law since 1932, but elections con-tinue in those districts that were created prior to 1932.

The Political Party SystemState law provides for political party committees at

the state and county level and other committees as therules of the party provide. Generally, county committeesconsist of at least two members elected at primary elec-tions from each election district within the county. As apractical matter, the party system is subdivided furtherinto town committees and city committees. Many villageelections and all school district and fire district electionsare held on a nonpartisan basis, but town, county and(with a few exceptions) city elections are contests be-tween local representatives of statewide parties.

In the absence of a primary, candidates for local of-fices who are designated by party caucuses become thenominees, but a competing candidate who obtains therequired number of voters’ names on a petition can re-quire that a primary be held on the statewide primarydate. Primaries in New York State are closed, and vot-ers must enroll in a party to be eligible to vote in thatparty’s primary. Since 1967 permanent personal regis-tration has been in effect statewide.

Election CalendarSome municipal elections coincide with statewide elec-

tions, while others are also held in November, but in the“off” or odd-numbered years. In fact, a provision of theState Constitution requires that city mayoralty campaigns


not coincide with gubernatorial campaigns. An electionmay, however, be held in an even-numbered year if nec-essary to fill a vacancy in the office of the mayor. Villageelections are generally held on the third Tuesday in Marchor June, but they may be held on any other date the lo-cality chooses. Except in cities, school district electionsare generally held annually on the first Tuesday in May orJune. Fire district elections are held annually on the sec-ond Tuesday in December.

Election CalendarState November even-numbered yearCounty November odd-and even-numbered

yearCity November odd-numbered yearTown November odd-numbered yearVillage March or June annually or bienniallySchool District May or June annuallyFire District December annually

ReferendaThe use of the referendum — direct vote of the people

on issues — has been carefully limited in New York Statein accordance with the basic principles of a representa-tive form of government.

On the principle that voters elect government officialsto make decisions on their behalf, government officialsare not given broad authority to delegate decision mak-ing powers back to the electorate. Case law stipulatesthat a local government must find specific authority, ei-ther in the Constitution or state law, to conduct an officialreferendum on any subject, and in the absence of suchauthority, it may not conduct a referendum. A local gov-ernment may not spend public monies to conduct a so-called “advisory referendum,” that is, one conducted togather public opinion on a particular matter, unless statelaw specifically authorizes it.

Types of ReferendaThe four general classifications of referenda available

to local governments in New York State are mandatory,permissive, on petition and discretionary.

A mandatory referendum, as the name implies, leavesa local government with no choice; it must submit theparticular question to referendum.

A permissive referendum is one in which the localgoverning body may decide on its own motion to place amatter before the voters, or it may decide to take theproposed action and wait a specified period of time afterpublication of notice that the action is to become effec-

tive. During that interval, a petition may be filed by thepublic demanding that the matter be submitted to refer-endum. If a proper petition is filed in the correct timeperiod, the matter must then be submitted to referendum.

Referendum on petition relates to situations wherethe only method by which a particular matter may be putto a vote is by the circulation and filing of a proper peti-tion by the public.

A discretionary referendum, the most flexible vari-ety, allows the governing body to determine whether aparticular action shall be subject to referendum and, ifso, whether it will be mandatory or permissive.

Referendum MajoritiesThere are a few instances in which more than a simple

majority is required for the approval of a question sub-mitted to the voters. Perhaps the most important of theserelates to the adoption of a county charter, which requiresa majority vote in any city or cities in the county and amajority vote outside the city or cities. If a charter pro-vides for the transfer of any function from the villages tothe county, a majority vote in the affected villages is alsorequired.

Subjects of ReferendaGenerally local governments are required to conduct

a referendum on any question involving basic changes inthe form or structure of government, such as county orcity charter adoption, changes in boundaries or in thecomposition of legislative bodies and the abolition or cre-ation of elective offices. The only budgets subject to man-datory referenda are those of non-city school districts.

Procedures relating to permissive referenda must beobserved in counties, cities, towns and villages, for mat-ters such as appropriating money from reserve funds andconstructing, leasing or purchasing a public utility service.In towns, permissive referenda are required for proposedchanges from second class to first class status if the townhas between 5,000 and 10,000 in population. A permis-sive referendum is also required for a change from firstclass to suburban town status. Such actions by towns areroughly equivalent to charter adoption by a county orcity, which is subject to mandatory referendum. Thetowns, however, are more generally bound by referen-dum requirements than any other type of local govern-ment unit. For example, towns, but not other units, aresubject to permissive referenda when constructing, pur-chasing or leasing a town building or land for such pur-poses, and when establishing airports, public parking,


parks, playgrounds, and facilities for collection and dis-posal of solid wastes.

Local laws of counties, cities, towns and villages aresubject to referenda on petition if they would result inchanges to existing laws relating to such matters as publicbidding, purchases, contracts, assessments, power of con-demnation, auditing and alienation or leasing of property.

The creation of improvement districts in both townsand counties is a frequent subject of referenda. The ref-erendum for a county water, sewer, drainage or refusedistrict is permissive. A town improvement district can beestablished either on petition and action of the town board,or by motion of the town board and with a permissivereferendum held in the area to be included in the district.

In practice, matters subject to permissive referenda,or referenda on petition, are seldom actually brought toreferenda, unless they become the subject of particularlocal controversy. Matters subject to referenda in recentelections have included:

• county charter adoption;• increases in terms of local offices from two to four

years;• city charter amendments;• county reapportionment plans;• transfer of street-naming authority from cities, towns

and villages to a county;• change from at-large elections to the ward sys-

tem;• village incorporation;• coterminous town-village; and• village dissolution.

Initiative and RecallNew York State law does not recognize the principle

of recall, by which an elected officeholder may be re-moved by a popular vote. There are very few instancesin which there may be initiative, where the voters initiateand enact laws or constitutional amendments. Althoughnot strictly an example of the initiative, citizens in NewYork may, by petition, require a referendum on certainactions taken by a local governing body. There are alsoinstances in which a petition can initiate official action.The voters of a county may, by petition, require the sub-mission of a proposition at a general election on the ques-tion of appointment of a charter commission. If approvedby the voters, the county legislative body must appoint acommission.

Voters of a city may, by petition, require submission ofa city charter amendment or new city charter to the elec-

tors. Since the substance of such a local law must be setforth in full in the petition, this procedure is similar to theinitiative as it is known in other states. Voters in SuffolkCounty may, through an initiative and referendum proce-dure, enact amendments to the county charter. A specialAct of the State Legislature provided authority for thispower.

Facilitating Citizen ParticipationBoards and Commissions

Since school board members and fire district commis-sioners are unpaid volunteers, and since many other localofficials in New York State, including some chief execu-tive officers and legislators, receive nominal salaries, theyembody citizen participation in government. As rural ar-eas develop into urban centers, however, the growingresponsibilities of local officials make it more and moredifficult to operate local governments effectively with part-time leadership. In order to retain citizen leadership inelected policy making positions, these chief executivesmust be given adequate professional staff to supervisedaily operations.

Citizens of New York State have many opportunitiesto participate in local government as members of advi-sory or operational special-purpose agencies, such asplanning boards, environmental councils and recreationboards, to name only a few. These agencies offer localofficials opportunities to enlist the talents, interest andconcern of the community in important aspects of localgovernment. In addition to the many special agenciesauthorized by state law, local chief executives and legis-lative bodies have authority to establish and appoint adhoc citizens’ advisory committees on numerous matters,such as reapportionment, cable TV, historic celebrationsand new municipal buildings. A municipality may also, if itwishes, have a continuing citizens’ advisory committee toconsider a variety of matters as they arise.

There are many reasons for local officials to encour-age citizens to participate actively in their local govern-ments, including:

• involvement of citizens in the planning stages of aprogram or project so as to avoid

• misunderstandings and problems at later stages;• obtaining firsthand knowledge of citizen needs and

problems;• taking advantage of expertise which might other-

wise not be available, especially in small commu-nities;

• spreading the base of community support;


• improving public relations; and• fulfilling the requirements of certain federal pro-

grams.

Public HearingsPublic hearings provide a convenient and useful forum

for citizens to play a significant role in the governmentaldecision making process. As a general rule, local gov-ernments in New York State are required to hold publichearings whenever the action of the governing body canbe expected to have significant impact on the citizenry.For example, laws require public hearings as part of theapproval process for:

• local laws and ordinances;• capital improvements;• village dissolutions;• town consolidations;• budgets; and• certain federal programs.Local governing bodies may also conduct hearings at

any time on any subject on which they wish to obtain theviews of the public. In addition, the Open Meetings Law(see “Public Information and Reporting, ” below) requiresthat all meetings of public bodies be convened open tothe public and preceded by notice given to the public andnews media.

The choice of whether to hold a hearing often dependsupon striking a balance between democratic requirementsand the interests of government efficiency. The choicemay not be easy, but an informational hearing, even whennot mandated, may be advisable where the subject mat-ter is particularly controversial.

Notice. Where there is a specific provision in law re-garding notice of a public hearing, the notice should besufficient to inform the public of the date, time, place, andsubject of the hearing. A small notice in a large newspa-per, however, may be inadequate. When significant is-sues affect either a particular neighborhood or the entirecommunity, public notices may be conspicuously dis-played at several key locations in the affected jurisdic-tion. Public officials should write notices in a languagethat laymen can understand, rather than in legal languageunfamiliar to most people. They should also consider us-ing local radio and television to inform the public.

Location. Although governments traditionally holdpublic hearings in a central municipal building, they fre-quently use other venues in the community to conducthearings on issues affecting specific geographic locations.

By so doing, they gain greater neighborhood participa-tion and sharper focus of attention on an issue. Govern-ment decision makers are likely to learn more about aproblem by visiting the area of the problem.

Statutory Provisions . There is no uniformity in statelaw with respect to public hearings and their procedures.Specific provisions requiring public hearings and settingforth procedures for same are generally spread outthrough the laws relating to the various types of local gov-ernments. In many cases, the requirements for a hearingwill vary depending on the section of law related to thematter at hand.

Public Information and ReportingFreedom of Information Law

In1974, the State Legislature enacted the Freedom ofInformation Law (Article 6, Public Officers Law). Sub-sequently, the law was substantially amended to providethe public with broad authority to inspect and copyrecords of state and local government. Under the Free-dom of Information Law, all government records are avail-able, except those records or portions of records thatthe law allows the government to withhold. In most in-stances, the law describes the grounds for denial in termsof potentially harmful effects of disclosure.

The Law created the Committee on Open Govern-ment, which consists of 11 members. The Committee in-cludes the Secretary of State, in whose department theCommittee is housed, the Lieutenant Governor, the Di-rector of the Budget, the Commissioner of the Office ofGeneral Services, six non-office holding citizens, and anelected official of a local government. The Governor ap-points four of the public members, at least two of whommust be or have been representatives of the news media,and an elected official of a local government; the Speakerof the Assembly and the Temporary President of the Sen-ate appoint one public member each. The Law enablesthe Committee to:

• furnish to any agency advisory guidelines, opin-ions or other appropriate information regarding thelaw;

• furnish to any person advisory opinions or otherappropriate information regarding the law;

• promulgate rules and regulations with respect tothe implementation of the law;

• request from any agency such assistance, servicesand information as will enable the committee toeffectively carry out its powers and duties; and


• report annually on its activities and findings, includ-ing recommendations for changes in the law, tothe Governor and the Legislature.

Each agency in the state must adopt procedural rulesconsistent with (and no more restrictive than) the rulespromulgated by the Committee on Open Government.In addition to rights of access to records generally, unitsof local government as well as state agencies must main-tain and make available three types of records, including:

• a record of votes of each member in every pro-ceeding in which a member votes;

• a record identifying every officer or employee byname, public office address, title and salary; and

• a current list in which all records of the agency areidentified by subject matter in reasonable detail,whether or not the records are available (Note: Ithas been suggested that the records retention anddisposal schedules developed by the State Archivesand Records Administration at the State Educa-tion Department may be used as a substitute forthe subject matter list).

In a judicial challenge to a denial of access to records,the agency has the burden of proving that the recordswithheld fall within one or more of the grounds for denial.It has also been held that an agency may not merely as-sert a ground for denial and prevail; on the contrary, itmust demonstrate that the harmful effects of disclosuredescribed in the grounds for denial would arise.

Many local government records available for inspec-tion under the Freedom of Information Law had beenavailable under earlier laws. The Freedom of Informa-tion Law preserves rights of access that were grantedprior to its enactment by other laws or judicial determi-nations. The existence of, and publicity given to, the lawhas also produced a greater uniformity of procedures instate and local government and increased the public’s useof rights to obtain records.

Open Meetings LawIn 1976, the State Legislature enacted the Open Meet-

ings Law (Article 7, Public Officers Law), which is ap-plicable to all public bodies in the state (including gov-erning bodies) as well as their committees, subcommit-tees, and similar bodies. Later amendments to the Lawclarified some vague original provisions. The Open Meet-ings Law does not apply to: judicial or quasi-judicial pro-ceedings (except proceedings of the public service com-mission and zoning boards of appeals); deliberations of

political committees, conferences and caucuses; or anymatters made confidential by federal or state law.

The Open Meetings Law provides people with the rightto observe the performance of public officials, and at-tend and listen to the deliberations and decisions that gointo the making of public policy. Just as the Freedom ofInformation Law presumes the public’s right of access,the Open Meetings Law presumes openness. The delib-erations of public bodies must be open to the public, ex-cept when one or more of eight grounds for entering intoan executive session may appropriately be cited to ex-clude the public. The grounds for executive session arebased largely upon the harmful effects of public airing ofparticular issues.

In a general statement of intent, the law asserts thatevery meeting of a public body shall be open to the pub-lic except when an executive session is called to discussparticular subjects that are listed in the law. The statutedefines “executive session” as that portion of a meetingnot open to the general public. Once in executive ses-sion, a public body may vote and take final action, ex-cept that a vote to appropriate public monies must beconducted in an open meeting.

When a meeting is scheduled at least one week in ad-vance, public notice of its time and place must be givento the news media and posted in one or more designatedpublic locations at least 72 hours before the meeting.Public notice of the time and place of all other meetingsmust be given to the public and the news media to theextent practicable at a reasonable time prior to the meet-ing.

Minutes must be compiled for open meetings and whenaction is taken during executive sessions. Minutes of ex-ecutive sessions must be made available within one weekwhile minutes of open meetings must be made availablewithin two weeks. Minutes of executive sessions neednot include information not required to be disclosed un-der the Freedom of Information Law.

Any aggrieved person has standing to enforce the pro-visions of the Open Meetings Law. If a public body hastaken action in violation of the law, a court has the powerto declare the action null and void. A court also has dis-cretion to award reasonable attorney fees to the successfulparty in a proceeding brought under the law.

Records ManagementA sound records management program enables local

governments to create, use, store, retrieve and disposeof their records in an orderly and cost-effective mannerpursuant to applicable state law. Such a program helps


make records readily available to staff and the public,prevents the creation of unneeded records and promotesthe systematic identification and preservation of recordsof long-term archival value. Article 57-A of the Arts andCultural Affairs Law, the Local Government Records Law,requires that the governing body of a local governmentpromote and support a program for the orderly and effi-cient management of records. It also requires that eachlocal government designate a “records management of-ficer. In towns and villages, the clerk is always the recordsmanagement officer; in fire districts, it is always the dis-trict secretary. All other local governments have discre-tion on whom they may assign to be records manage-ment officers.

Through its Government Records Services, the StateArchives, a unit of the State Education Department, pro-vides information and assistance to help local govern-ments improve records management and archival admin-istration. It publishes records retention and disposal sched-ules that list the minimum time periods for which recordsof all units of local government must be retained.

The State Archives also produces publications, work-shops, and web resources to help all local governmentsbetter manage all their records, including electronicrecords. The Archives maintains nine regional officesacross the state to provide local onsite advice and direc-tion on records management to local governments.

Information on the administration of court records isprovided by the state’s Office of Court Administration.Within New York City, information on municipal recordsmanagement is provided by the City’s Department ofRecords, though the Archives’ publications and work-shops are also available for use by New York City agen-cies.

Public ReportingAnnual Reports and Newsletters. In municipal re-

porting, a fine line separates the need to keep the publicinformed from the tendency to use public funds to ag-grandize an incumbent administration. Although manymunicipalities in New York State publish and distributeannual reports and/or periodic newsletters, state law doesnot require them to do so. State law, which does notmake any specific provision for counties and cities withreference to such reports, tends to restrict these activitiesby towns and villages. Both the Town Law and the Vil-lage Law authorize the expenditure of funds for publica-tion and distribution of a report relative to the fiscal af-fairs of the municipality. This can and has been interpretedto include most of the items usually included in annual

reports, such as programs and services, capital projects,and land or property acquisition. It cannot, however, in-clude certain items — such as biographies of incumbentofficers — which are clearly non-fiscal in nature.

Informal Reporting. There are many other ways forlocal officials to keep the public informed both throughthe media and through municipal resources. In additionto traditional press releases, municipalities use:

• municipal web sites that include basic information,such as agendas of meetings, minutes, proposedlocal laws and the ability to communicate by e-mail with local officials;

• press conferences and media interviews;• weekly radio or TV interview programs;• slide shows or video cassette recordings on new

municipal programs, or on the budget, for presen-tation to civic, professional or school groups;

• displays on public services and programs atschools, shopping centers, fairs and other publicgathering places;

• prominent posting of time and place of meetings(including public hearings) of the legislative body;

• rotation of legislative body meetings to variousneighborhoods or communities within the munici-pality;

• radio or cable television broadcasts of meetingsof the legislative body;

• informational meetings on new programs and sig-nificant issues;

• information centers to direct citizens to appropri-ate agencies; and

• publication of materials, such as a directory of lo-cal officials and municipal services, newsletters onpublic services and programs, and brochures orfolders on specific services.

Cable television also offers opportunities for informingthe public and encouraging citizen participation. As cabletelevision has become more widely available, interest hasgrown in utilizing its potential for community program-ming. Meetings of municipal boards are frequently tele-vised by public access television stations. Two-way cabletelevision systems are available in some communities andmay offer opportunities for local officials to make them-selves directly accessible to citizen inquiries.

Media Relations. The media can be valuable to lo-cal governments. In addition to using the media for spe-cial programs, local officials should contact the press,


radio and television as a means of keeping the public in-formed about governmental programs. The experienceof many local officials suggests that the best approach tothe media is to be as open and free with information aspossible, rather than avoiding controversial issues.

Handling Citizen ComplaintsIn larger units of government, where citizens may not

have easy access to elected officials or know where togo for assistance, problems can arise which may seri-ously alienate citizens from their state and local govern-ments. Public reporting as discussed above can enhancethe ability to solve communication problems between citi-zens and their government. While most problems can be

resolved simply through better communication, some maybe insoluble because the citizen expects government toact in a manner inconsistent with or not authorized bylaw. But even in that case, the citizen may gain satisfac-tion from having gained the attention of the governmentand learning that the difficulty involves compliance withlaw rather than reluctance on the part of the government.

Some local governments have established ombudsmanprograms to assist citizens with problems involving theiragencies. In many cases though, citizen assistance is pro-vided by staffs of local chief executives, municipal clerks,public information officers, members of local legislativebodies and other officials in the performance of their rou-tine duties.


CHAPTER XI

Financing Local Government

The balancing of municipal programs and activities against available fiscal resources is the keyelement in financing local government. The task is performed in an environment essentially differentfrom that of a business enterprise in the private sector since laws, constitutions, and public account-ability, as well as considerations of public policy, all impose constraints on the process.

Broadly speaking, financing local government is a two-fold proposition. It involves a determination, on the ex-penditure side, of the quantity and quality of activities,services and improvements that will be undertaken bythe community, and an allocation of resources from rev-enues and borrowing within the capacity of the commu-nity. Political, economic and social considerations are in-volved in the process. All enter into the formulation offinancial plans, which are most visible in the budget of amunicipality, where commitments and resources arebrought into balance on an annual basis.

Compared to the private sector, local governmentalfinancial decisions seem largely removed from the classicmarketplace. They are constrained within a frameworkof State Constitution, state statutes, and legal restrictionsfound in charters, local laws and ordinances. The legalsetting of local finances is one of the first things to im-press public officials upon taking office. It permeatesmany aspects of municipal finance administration.

Local governments may spend money only for whatare deemed public purposes, a basic condition that springsfrom the State Constitution and appears in statutes andofficial opinions of state agencies. Strict conditions areattached to the delegation of the state’s taxing power.Many local governments are restricted as to the amountsthey may raise by levies upon real property, and theymay levy taxes other than property taxes only as autho-rized by the Legislature. New York State law also closelyconstrains local governments with respect to incurringindebtedness, including limitations on its purposes, thetypes of municipal obligations, maximum terms of debtfor different purposes and basic conditions of bond saleand guarantees. Financing local government takes placein an arena of competing demands and conflicting inter-ests. The individual local government faces internal and

external pressures; the state and federal governments arevery much in the picture. Local officials are responsiblefor striking a balance among these interests and pres-sures.

Local Expenditures in New YorkLocal government expenditures are divided into cur-

rent operations, equipment and capital outlays, and debtservice costs. Equipment and capital outlays cover ex-penditures for the construction, improvement and acqui-sition of fixed assets. Debt service costs include paymentsof principal and interest on debt. All other local costs fallinto the current expense category, which accounts for thelargest share of expenditures — 83 percent of local gov-ernment costs in New York State in 2005.

Expenditure Patterns. Table 16 summarizes 2005current expenditures by general purpose local govern-ments, excluding the City of New York. It presents a gen-eralized profile, in dollar terms, of the service responsi-bilities of these local governments.

• Counties are heavily involved in social services pro-grams. The expenditure profile, however, confirmsthe diversification of county services;

• City and village expenditures show a similarity inthe application of resources to public safety;

• Traditional town responsibilities for general gov-ernment and highway functions are reflected in thetable. Towns are also heavily involved in water andsewer services, refuse management and publicsafety.

Expenditure Factors. Expenditures for social ser-vices and health programs mandated and partly financedby the state and federal governments have greatly in-creased over the years. Population and economic changes


have presented new challenges to local governmentsthroughout the State of New York.

Central cities focus on a wide variety of municipal ser-vices, including police and fire services, roads, health,transportation, economic assistance, culture and recre-ation, sanitation, sewer and water service, and upgradingdeteriorating infrastructure and facilities. City officialsgenerally are looking for ways to conserve their cities’

existing residential, commercial and industrial assets, andto attract and hold new enterprises. Towns, on the otherhand, are more generally concerned with community de-velopment, the extension of necessary municipal services,the installation of public improvements and other typicaldemands of growth due to out-migration from cities andthe effects of urban sprawl.

TABLE 16

Local Government Current Expenditures by Function, 2005(Excluding New York City)

Amounts in Millions of Dollars

Function Counties Cities Towns Villages TotalGeneral Government $2,260.1 $502.8 $905.4 $342.2 $4,010.5Public Safety 3,064.8 1,409.4 839.1 520.5 5,833.8Health 2,087.7 6.1 113.8 6.2 2,213.8Transportation 957.7 228.0 1,073.6 210.9 2,470.2Economic Assistance 5,839.0 27.9 58.3 8.7 5,933.9Culture and Recreation 282.4 179.4 498.1 137.2 1,097.1Education 931.1 0 0 0 931.1Home and OtherCommunity Services 942.8 674.9 1,248.6 543.4 3,409.7

Total $16,365.6 $3,028.5 $4,736.9 $1,769.1 $25,900.1

Percent Distribution

Function Counties Cities Towns Villages TotalGeneral Government 13.8 16.5 19.1 19.3 15.5Public Safety 18.7 46.5 17.7 29.4 22.5Health 12.8 0.2 2.4 0.4 8.6Transportation 5.9 7.5 22.7 11.9 9.5Economic Assistance 35.7 0.9 1.2 0.5 22.9Culture and Recreation 1.7 5.9 10.5 7.8 4.2Education 5.7 0 0 0 3.6Home and OtherCommunity Services 5.7 22.3 26.4 30.7 13.2

Total 100.0 100.0 100.0 100.0 100.0

SOURCE: Office of the State Comptroller


Table 17 reflects growth in current expenditures from2000 through 2005 for each unit of general and specialpurpose local government, excluding New York City. Dur-ing the five-year period 2000 through 2005, local gov-ernments experienced a 29 percent increase in current

expenditures. Growth of expenditures in towns, villages,school districts and fire districts outpaced that experi-enced by counties and cities (excluding New York City)during this period.

TABLE 17Local Government Current Expenditures, 2000 and 2005

(Amounts in Millions of Dollars)

Percent IncreaseGovernment Unit 2000 2005 2000-2005Counties (excluding New York City counties) $13,310.1 $ 16,365.6 22.8Cities (excluding New York City) 2,442.2 3,028.4 24.0Towns 3,501.7 4,737.0 34.7Villages 1,316.5 1,769.2 32.1School Districts (excluding New York City) 19,657.2 26,121.6 32.9Fire Districts 249.8 353.6 40.7

Total $ 40,477.5 $52,375.4 29.2

Local Government RevenuesTotal local government revenues in New York State

increased by about 27 percent during the period 2000 to2005, from $45.7 billion to $57.9 billion. A significantdevelopment in local revenue sources during the sixtiesand seventies was the growing importance of intergov-ernmental aid. The federal government, through its arrayof categorical grant programs, transferred substantial sumsto state and local governments.

New York State also increased its aid to local govern-ments, providing more general assistance as well as fundsfor specific programs.

The introduction of federal general revenue sharing in1972 signaled the shift from categorical to block grants.Local government was thus provided with more controlover the disposition of its federal monies, but with a re-duced amount available, beginning in the second half ofthe seventies. The federal revenue sharing program ex-pired in 1986. The early 1980’s witnessed increased ef-forts to consolidate numerous categorical grant programsin such areas as education, social services and health intoa greatly reduced number of block grants and has notchanged dramatically since. The federal contribution tolocal revenues in New York State in 2005 was $3.6 bil-lion, 24 percent more than the 2000 level of $2.9 billion.State aid of $14.0 billion in 2005 was 23 percent morethan the 2000 amount of $11.4 billion, with increases inschool aid a significant factor in state aid growth over theperiod.

Local government property tax in New York State rosefrom 40.2 percent of all local revenue in 2000 to 42.5percent in 2005. Property taxes in 2005 totaled close to$24.6 billion, about 34 percent more than 5 years earlier.

Table 18 shows total tax revenue for New York Statelocal governments by type of tax. The real property taxraises significantly more revenue in the state than any othersingle tax.

Property TaxationThe property tax in New York State is a tax based on

the value of real property (land and improvements). Itoccupies a special place in the financing of local govern-ment not only because of its yield in relation to total localrevenue, but also because of its key position in the mu-nicipal budget process.

Property Tax and Local BudgetsMunicipal budgeting follows a procedure that first es-

timates expenditures or appropriations and then deductsestimated revenues from sources other than the propertytax to arrive at a remainder, which is the tax levy. Thusthe property tax levy becomes the balancing item on therevenue side of the municipal budget. This process isconstrained by the existence of legal limitations upon theamounts that may be raised by certain jurisdictions fromthe real property tax.


TABLE 18Local Taxes in New York State, 2000 and 2005

(Amounts in Billions of Dollars)

Local Taxes 2000 Amount 2005 AmountReal Property $18.3 $24.6Sales 4.6 5.9Other Taxes and Fees1 0.5 0.3

Total $23.4 $30.81 Includes sales tax credits to towns used to reduce real

property tax levy, utility gross receipts tax, consumerutility tax (if not included in sales tax), OTB surtax, hoteloccupancy tax, harness and flat track admission tax, privi-lege tax on coin-operated devices, revenues from fran-chises, interest and penalties on non-property taxes, etc.

SOURCE: Office of the State Comptroller. Detail may not adddue to rounding.

The final step is fixing the local tax rate. The tax levy isdivided by the total dollar amount of the taxable assessedvaluation of real estate within the local government. Theresult is a percentage figure, which is expressed as a taxrate, normally so many dollars and cents per $1,000 ofassessed valuation.

Where the tax levy for a county, school district or im-provement district is spread between or among two ormore municipalities, assessed valuations are equalized foreach municipality through the use of equalization rates.Equalization is intended to ensure equity where a prop-erty tax is levied over several local government units thatassess properties at different percentages of value.

For school apportionment and for county apportion-ment in most counties, the equalization rates are deter-mined by the State Office of Real Property Services(ORPS). In other counties — except Nassau Countyand the counties in New York City — equalization ratesare established by the county legislative body, subject toreview by ORPS.

Property Tax and Local RevenuesTable 19 illustrates the position occupied by real prop-

erty taxes in the general revenue structure of local gov-ernments and school and fire districts in 2005. Obviously,property taxes continue to play a prominent role in fi-nancing school district, town and village expenditures.Fire districts depend most heavily upon this revenuesource.

TABLE 19

2005 Local Government Revenue SourcesPercent Distribution

RealProperty Non-

Taxes and property State Federal AllGovernment Unit Assessments Taxes Aid Aid Others TotalCounties

(excluding New York City counties) 25.0 28.2 12.7 15.0 29.1 100.0Cities

(excluding New York City) 27.2 20.4 18.1 7.0 27.3 100.0Towns 50.4 11.3 11.2 3.0 24.1 100.0Villages 45.7 7.5 6.9 3.0 36.9 100.0School Districts (excluding New York City) 54.8 1.0 34.7 5.1 4.4 100.0Fire Districts 90.7 — — 9.3 100.0

Total — All Units 31.6 8.8 25.7 6.6 27.3 100.0

SOURCE: Office of the State Comptroller.


Table 20 shows the increase in real property tax in-come between 2000 and 2005 for all levels of local gov-ernment. Overall, real property taxes in 2005 were about34 percent higher than in 2000.

TABLE 20

Local Government Real Property Tax Revenueby Type of Government, 2000 and 2005

(Amounts in Millions of Dollars)Percent

Government IncreaseUnit 2000 2005 2000-2005Counties $ 3,336.6 $ 4,384.9 431.4Cities 767.6 987.1 28.6Towns 2,244.6 2,885.5 28.5Villages 61739.6 965.8 30.6School Districts

(excludingNew York City) 10,879.5 15,805.6 45.3

Fire Districts 363.5 494.0 35.9Total $18,331.4 $24,633.9 34.4


Property Tax ExemptionsThe exemption of federal property from local taxation

springs from the American constitutional doctrine of in-tergovernmental immunity. The exemption of state prop-erty from local taxation rests on the principle that the sov-ereign entity cannot be taxed by subordinate political unitsand still be sovereign. When so determined by the Legis-lature, however, the state does permit taxation of its prop-erty.

The exemption of certain privately-owned propertyfrom local taxation is grounded in theory, history and prac-tice. The underlying principle is that real property usedexclusively for religious, educational or charitable pur-poses serves a public purpose by contributing to moralimprovement, public welfare and the protection of publichealth. Although such property is wholly exempt fromgeneral municipal and school district taxes, it does pay ashare of the costs of certain capital improvements madeby improvement districts (such as water supply and sewersystems).

Exemptions from property taxation may be granted inthe State of New York only by general law. Referencesto the subject comprise some of the most extensive and

complex provisions of the Real Property Tax Law. Statelaw in some instances mandates exemption and in otherinstances allows exemption upon enactment of local leg-islation.

Non-fiscal Purposes. The use of the property tax forwhat may be described as non-fiscal purposes — to ac-complish goals other than raising municipal revenue — isa controversial topic, particularly as such uses extend be-yond the traditional confines of religious, educational, orcharitable purposes and are directed toward economic,environmental and social ends. The following are examplesof types of property which may be partially of fully tax-exempt: public housing, privately owned multiple dwell-ings, industrial development agency facilities, commer-cial and industrial facilities, railroads, air pollution controlfacilities, industrial waste treatment facilities, agriculturaland forest lands, and the residences of veterans and thelow-income senior citizens.

Property tax exemptions can cause severe financialstresses on local governments. Exemptions do not re-duce tax levies, but instead shift a greater portion of thelevy to remaining taxpayers, who consequently must payhigher taxes. An exception is the School Tax Relief (STAR)exemption, a partial school tax exemption applicable tomost residential property, which is State-funded. Manychallenge the use of property tax exemptions for non-fiscal purposes, arguing that subsidies for such purposesmight better come from broader revenue sources thanthe limited base of the local property tax.

The standard source at the state level for technical as-sistance on the law and practice of property tax exemp-tion is the State Board of Real Property Services. TheBoard has published a number of reports on the impactof various exemptions on local tax bases. In addition, itannually publishes a statistical report detailing the valueand location of exempt property in the state.

The value of exempt property is often obscure. Manyassessors conclude that they have no reason to place re-alistic values on property which will not be taxed. Fur-thermore, many assessors do not revise exempt prop-erty lists, even periodically, since the figures are not uti-lized for any apparent purpose. Consequently, the re-ported valuations of exempt properties in New York Statein all likelihood do not reflect their full impact on munici-pal tax bases or the revenue they would return if theywere made taxable. With that caveat in mind, it is worthnoting that the ratio of exempt valuation to the total oftaxable and exempt valuation in New York State rosefrom 11 percent at the turn of the twentieth century toabout 32 percent in 2005.


Exemptions in Cities and Towns. In 2005 therewere 4.5 million property tax exemptions on assessmentrolls in New York. The value of exempt property in citiesand towns totaled $678 billion in 2005, almost 32 per-cent of the state’s real property assessed value. In nine ofNew Yorks cities, more than half of the value of the realproperty contained therein was exempt from taxation.Twenty-three of the 932 towns in New York had in ex-cess of 50 percent of their total real property value ex-empt from taxation on their 2005 assessment rolls.

Property owned by government and quasi-governmententities, such as public authorities, accounts for 47 per-cent of the total value of exempt property. As for privateowners, the largest proportion of exempt property isowned by community service organizations, social orga-nizations and professional societies (13 percent of all ex-empt property). As for exempt residential property otherthan multiple dwellings, the leading categories of exemp-tion based on value are the School Tax Relief (STAR)Program (23 percent of total exempt value), propertyowned by veterans (almost 5 percent) and propertyowned by senior citizens (about 2.5 percent).

The percentage of exempt value attributable to state-mandated exemptions statewide was 94 percent. In ab-solute terms, the total value of state-mandated exemp-tions on 2005 assessment rolls was $637 billion.

Property Tax AdministrationThe administration of the real property tax involves

four tasks: (1) the discovery and identification of landand buildings; (2) their valuation by a defensible methodor suitable combination of methods; (3) the preparationof the final assessment roll against which property taxesare levied; and (4) the review of assessed valuations forthe correction of inequalities.

Organization for Assessment. The first three of theabove tasks are the duty of local assessors. In New YorkState the assessing units include the 62 cities and 932towns. Other local governments use the assessment rollsas they require them. County and school tax levies, itwas noted earlier, are distributed among constituent mu-nicipalities in relation to their equalized values. Althoughthe 556 villages are empowered to assess property forpurposes of village taxation, many accept the town rollsand a majority have terminated their status as assessingunits and transferred that function to the towns.

There are two county assessing units in the state:Tompkins County and Nassau County. Under theTompkins County Charter, an appointed county directorof assessment assesses all real property in the county

subject to taxation for county, town, village, school dis-trict or improvement district purposes. The Nassau CountyGovernment Law establishes a county board of asses-sors, consisting of four appointed members and a chair-man and executive officer who is elected from the countyat large. The board assesses real property on acountywide basis for purposes of county, town, schooldistrict and improvement district taxation.

Local assessors are either elected or appointed to theirpositions. All but two cities have a single appointed as-sessor or appointed boards of assessors. Since 1927 vil-lage assessors have been appointed, and villages haveeither one or three assessors. In some villages, the villagetrustees act as assessors.

Title 2 of Article 3 of the Real Property Tax Law pro-vides that, except in Tompkins and Nassau Counties, citiesunder 100,000 population and all towns shall have a singleassessor, appointed to a six-year term of office. In anycity or town where one or more of the offices of asses-sors was elective, the governing body was empoweredto retain elective assessors by enactment of a local law,providing such action was taken prior to April 30, 1971.About 50 percent of towns retained elected assessorsunder this option.

Property Valuation. There are three basic methodsfor arriving at the value of real estate for tax assessmentpurposes — sales analysis and comparison, income capi-talization, and the replacement cost of improvements. Theseparate valuation of land entails a further set of valuefactors and a judgement as to their combined effect upona give parcel of land. Among the various considerationsare prevailing land use or classification, sales and incomedata, and the establishment of separate units of value (suchas front foot), subject to modification for reasons of lotsize, depth or irregularities.

The basic issues in property valuation are treating theowners of taxable property fairly and administering theproperty tax efficiently in the interest of both the munici-pality and the taxpayers. Until December, 1981, section306 of the Real Property Tax Law required all assess-ments to be set at full value. Historically, however, realproperty in this state was usually assessed at a percent-age of full value. Inequities had long existed among andwithin different classes of property, e.g., residential, in-dustrial, commercial. These inequities stimulated a seriesof court challenges to the property tax assessment sys-tem in New York State. The most notable cases areHellerstein v. Assessor of the Town of Islip 37 NY2d1,371 NYS2d 388 (1975) modified by 39 NY2d 920,


386 NYS2d 406 (1976) and Guth v. Gingold (34 NY2d440, 358 NYS2d 367 (1974)).

In its June 1975 decision in Hellerstein, the Court ofAppeals found that assessment of real property must beat its full value since the Real Property Tax Law did not,at that time, authorize fractional assessments. In Guth,the Court of Appeals determined that a property ownercould use the equalization rate established by the StateBoard of Equalization and Assessment (now the StateBoard of Real Property Services) as a sole means ofproving inequality with respect to the assessment of aproperty.

In December 1981, the State Legislature repealedsection 306 of the Real Property Tax Law thereby re-moving the full value assessment requirement. Section 305of the Real Property Tax Law authorizes the continuationof existing methods of assessment in each assessing unit.However, it specifically requires assessment at a uniformpercentage of value (fractional assessment) within eachassessing unit.

Special provisions applicable to New York City andNassau County prescribe a classification system. In allother areas of the state, assessing units are authorized topreserve homestead class tax shares on taxing jurisdic-tions completely within the assessing unit — predomi-nantly cities, towns or villages. This means they may re-duce the tax burden on residential real property (dwell-ings for three or fewer families) and farmhouses relativeto other types of property.

Assessment Improvement. Efforts at the local levelto improve assessment administration take various formssuch as assessor training, improved record-keeping, taxmaps and computerization of assessment data. Manymunicipalities have conducted comprehensive reapprais-als. State financial assistance on a per parcel basis is avail-able to assessing units which conduct reappraisals. State-wide, however, wide disparities still exist among classesof property and within classes of property regarding auniform and equitable relationship of property assess-ments to full value.

The State Board of Real Property Services maintainsa comprehensive system of software programs called theReal Property System (RPS) which is available to allassessing units. It is capable of maintaining assessment,physical property inventory, and valuation information forany type of real property. In addition, RPS has the abilityto conduct a mass appraisal of an entire municipality. Anew version of the Real Property System called RPSV4 was released in November 1999 to approximately

100 assessing units. Like earlier versions of the system,RPS V4 is capable of producing assessment rolls, taxrolls and tax bills. In addition, it includes a GeographicInformation System (GIS) and ten layers of State-pro-vided geographic coverage data (roads, municipal bound-aries, wetlands, school district boundaries, etc.). A docu-ment image management system (DIM) allows any docu-ment, such as a photograph, a sketch, a deed or a map,to be electronically attached to a parcel of property. Acustom report writer (CRW) provides the assessor withthe ability to create reports regarding assessment, sale orinventory data. Other municipal systems or off-the-shelfsoftware can be easily integrated with the RPS V4 sys-tem.

Legislation passed in 1970 provided for the appoint-ment of property tax directors at the county level to co-ordinate and assist local assessment functions; gave townsthe option of converting from elected to appointed as-sessors; created boards of assessment review in eachmunicipality; required all counties with the exception ofWestchester and those in New York City to provide as-sessors with modern, accurate tax maps; established mini-mum qualifications for appointed assessors; and requiredmany town and most city assessors to achieve certifica-tion from the State Board of Real Property Services. Thelegislation also provided for advisory appraisals of tax-able utility property by the State Board upon local re-quest.

In 1977, the State Legislature enacted Article 15-B ofthe Real Property Tax Law. This article provides for statefinancial assistance to local governments that implementimproved systems for real property tax administration.This program has been revised several times, most re-cently in 1999 to encourage annual reassessments.

Effective in 1982, the Legislature amended the RealProperty Tax Law to make training mandatory for all as-sessors, whether elected or appointed, as well as for di-rectors of county real property tax services. In addition,the State Board of Real Property Services was given au-thority to review the qualifications of appointed asses-sors and county directors to determine if they meet theminimum qualification standards.

Local Non-Property TaxesThe power of taxation is an inherent attribute of state

sovereignty, not possessed by its political subdivisions.Article XVI of the State Constitution declares:

“The power of taxation shall never be surren-dered, suspended or contracted away, except as


to securities issued for public purposes pursuantto law. Any laws which delegate the taxing powershall specify the types of taxes which may beimposed thereunder and provide for their review.”

Using this authority, the State Legislature has autho-rized the imposition of what have come to be known aslocal non-property taxes.

New York City TaxesNew York State began to utilize local non-property

taxes because of the difficulties the City of New Yorkexperienced during the business depression of the 1930’s.Delegation of local taxing power on a significant scalestarted with New York City. At the emergency session of1933, the Legislature granted the City power to impose,for a six-month period, any type of tax that the Stateitself could impose. This initial grant of power was to ex-pire six months after its effective date. Amid much con-troversy the initial grant was renewed and modified, butthe broad outlines of state policy with regard to speciallocal taxes did not emerge until 1939. After the 1938Constitutional Convention the State altered its home-rulestance toward New York City’s authority to tax. Fromthis point forward the Legislature narrowed the range ofspecial taxes available to New York City and began tolimit maximum rates. By the postwar period, New YorkCity possessed the power to impose a variety of specialtaxes, which, under economic conditions in some degreepeculiar to the City, became an important source of rev-enue. These included taxes on hotel room occupancy,sales, utilities, gross income, business gross receipts andpari-mutual wagering.

Local Utility TaxesIn 1937, the Legislature extended optional, local tax-

ing power to the upstate cities when it authorized upstatecities to levy a local one percent tax on the gross incomeof public utilities. Initially, the proceeds could only go topay for relief. In 1942, the Legislature removed the wel-fare restriction upon the use of utility tax proceeds andreceipts could thereafter be applied to general municipalpurposes. The utilities gross income tax proved attrac-tive, and cities throughout the state adopted it.

Housing Subsidy TaxesFollowing a 1938 housing amendment to the State

Constitution, the Legislature authorized a series of spe-cial non-property taxes, which could be levied by citiesand by villages of 5,000 or more population. The pro-ceeds were to cover periodic housing subsidies or to meetservice charges for local housing debt incurred outside

the normal constitutional debt limit. Although the only twomunicipalities that took advantage of this legislation —the Cities of Buffalo and New York — have since re-pealed their local statutes, the enabling legislation markedanother phase in the development of local taxing power.

Extension of Permissive Taxing PowerThe further extension of permissive local taxing power

occurred in New York State at the same time it was ex-panding elsewhere. After the Second World War, mu-nicipal costs soared. Many people felt that the full weightof these additional expenditures should not fall upon theproperty tax base. Local government officials and financeofficers throughout the country expressed interest in gainingauthority to adopt non-property taxes at local option. Oneconspicuous result was the well-known “home rule” taxlaw adopted by the Commonwealth of Pennsylvania in1947. In 1947 and 1948, the New York State Legisla-ture also enacted permissive local tax laws, applicable tocities and counties. A principal factor stimulating theirenactment had been the adoption of a permanent teach-ers’ salary law. These permissive tax laws reflected statepolicy that optional local taxes had to be defined and thatthey would neither supplant nor supplement the principalexisting sources of state revenue.

The most productive local tax contained in the law wasthe sales tax. Other items included a business gross re-ceipts tax (later denied upstate), a tax on consumers’ utilitybills, and an array of miscellaneous taxes or excises. Thepermissive tax law has been frequently amended andadditional local taxes or options have been made avail-able under other provisions of law.

Adoption of Permissive TaxesSome of the important developments with respect to

optional local taxing powers as follows:

• Sales and use tax exemptions are allowed for prop-erty and services used or consumed by qualifiedbusinesses within Empire Zones.

• The exemption on items of clothing and footwearpriced under $110 was temporarily repealed andtwo clothing exemption weeks at the same $110threshold were created.

• All 57 counties (outside of New York City) haveadopted a sales and use tax. As of September2005, 49 of these counties plus New York Cityhave local sales tax rates that exceed the 3 per-cent statutory limit, including eight counties withlocal rates exceeding 4 percent.


• Extension of limited optional local taxing powerwas extended to city school districts, with the re-sult that by 2005, 21 city school districts hadadopted a consumers utility tax.

• Adoption by sixty cities, other than New York City,and 348 villages, have accepted at least a onepercent tax on the gross income of utility compa-nies.

• Ten of the 61 eligible cities, other than New YorkCity, have adopted the miscellaneous taxes andexcises allowed by law, including taxes on coin-operated amusement devices, hotel room occu-pancy, real estate transfers, restaurant meals,amusement admissions and the consumer utility tax.

Special local taxes now occupy a prominent place inthe financing of local government in the State of NewYork. Table 19 shows the proportion of total revenueprovided by local non-property taxes in 2005. Non-prop-erty taxes were over one-quarter of total revenues forcounties, and approximately one-fifth for the cities otherthan New York City. Special local taxes were a less sig-nificant income-producer proportionately for towns, vil-lages, and school districts in New York State.

The local non-property tax revenues of cities, otherthan New York City, towns, and school districts outsideNew York City reflect, in varying degrees, the distribu-tion of county sales tax receipts. More jurisdictions haveadopted higher sales tax rates in recent years. The 2000to 2005 comparison in Table 21 shows that jurisdictionsare gaining larger sales tax yields. The methods of distri-bution specified in the Tax Law are varied and complex,and further variations are permissible with the approvalof the State Comptroller. Methods employed to distrib-ute county sales tax revenues are the responsibility ofcounty governing bodies.

Special Charges, Fees and EarningsLocal governments in the State of New York derive

substantial revenues from special charges, fees and theearnings of municipal enterprises. In cities, for example,fees and charges may be made for licenses, permits, rent-als, departmental fees and charges, sales, recoveries,fines, forfeits and other items. Earnings of municipal en-terprises and special activities include user payments andmiscellaneous revenues of such operations as water ser-vice, bus transportation, airports, hospitals, stadiums andpublic auditoriums, off-street parking, and municipally-owned public utilities. In the aggregate, local governmentrevenues from special charges, fees and municipal enter-

prises rose from $5.1 billion in 2000 to $6.7 billion in2005, an increase of 32 percent.

TABLE 21

Local Non-Property Tax Revenue, 2000 and 2005(Amounts in Millions of Dollars)

PercentGovernment IncreaseUnit 2000 2005 2000-2005Counties(excludingNew YorkCity counties) $ 3,658.3 $4,943.7 35.1

Cities(excludingNew YorkCity) 620.5 741.9 19.6

Towns 475.8 646.1 35.8Villages 122.5 158.1 29.1School Districts(excludingNew YorkCity) 232.9 259.8 11.6

Fire Districts — — —Total $5,110.0 $ 6,749.6 32.1


Municipal PracticesLocal governments have some latitude in establishing

user charges and fixing rates, although fees collected bylocal officials are often controlled by state law, particu-larly in the administration of justice and offices of record.In general, the amount of a regulatory license or permitfee must be reasonably related to the cost to the munici-pality of the particular regulatory program, and the feesestablished for the use of a municipal service or facilitymust be reasonably related to the cost of providing theservice or operating the facility. Municipalities have foundit profitable to re-examine their charges periodically andbring them in line with current costs. Policy issues, localchoice, and practical considerations are involved in theimposition of user fees. For example, many local govern-ments will cover, or more than cover, the costs of a watersupply and distribution system through water rates. Inthe case of certain enterprises such as airports, hospitals,public auditoriums, bus transportation and rapid transit,however, considerations other than the recovery of fullannual costs may prevail.


At this time, there is no general authority for the impo-sition of service charges for established responsibilitiesof local governments such as police, fire, public worksand libraries. There are exceptions for particular aspectsof these services, but, in general, these services are viewedas providing benefits to the public at large without rela-tion to particular benefits provided to individuals.

State AidIntergovernmental payments by the state to local gov-

ernments are a major aspect of local finances. State aidconsists of grants-in-aid, which are payments to localgovernments for specified purposes, and general assis-tance. State assistance during 2005 accounted for overone-quarter of all revenues received by municipalities andschool districts. Overall state aid, in actual dollars, in-creased 22.9 percent from 2000 to 2005.

Background of State AidEarly Origins. Origins of state aid in New York go

back to the early days of statehood. References to stateaid for common schools appear in 1795, and educationaid began to assume real importance with the free publicschool movement of the 1840’s, although the principle offree schools was not fully realized until after the Civil War.A leading purpose of school aid in this era was to com-pensate for revenue losses that resulted from eliminatinglocal tuition. At a later point, the state introduced incen-tive grants to stimulate local participation in particularaspects of public education. These purposes — provid-ing assistance in meeting the costs of state-originated pro-grams and providing an incentive for localities to partici-pate in such programs — have continued to this day.

Growth and Expansion. State aid has grown fromits small beginnings to its present dimensions because ofvarious economic and social developments. These includefree schools; the advent of the automobile; statewide ini-tiatives in health and mental health, sanitation and publicwelfare; and, more recently, concern with the environ-ment and natural resources, educational opportunity be-yond twelfth grade, public safety and mass transporta-tion.Amount of State Aid

Table 19 illustrates the position that state aid occupiesin the general revenue structure of local governments inthe state in 2005. Overall, state aid supplied 25.7 per-cent of all local government revenues in 2005. State aidis a very important revenue source for school districtsoutside New York City, representing 34.7 percent of theirrevenues in 2005.

Table 22 illustrates the percentage increase in state aidbetween 2000 and 2005 for the different classes of gov-ernment in the State.

TABLE 22State Aid Payments to Local Governments by

Type of Government, 2000 and 2005(Amounts in Millions of Dollars)

PercentGovernment IncreaseUnit 2000 2005 2000-2005Counties(excludingNew YorkCity counties) $2,287.4 $2,686.9 17.5


Towns 365.8 641.1 75.3Villages 97.0 144.9 49.4School Districts(excludingNew YorkCity) 8,111.6 9,824.1 21.1

Fire Districts — — —Total $11,353.9 $13,954.4 22.9


State Aid to Local GovernmentsGeneral Purpose Assistance. General purpose as-

sistance can be defined as financial aid for the support oflocal government functions without limitation as to the useof such aid and without the substantive program and pro-cedural conditions that are routinely attached to categori-cal grants-in-aid. In the late 1990’s, interest centered onthe General Purpose Local Government Assistance pro-gram, which distributed over $770 million to cities, townsand villages during state fiscal year 1999-2000. The pro-gram, which had been titled “Revenue Sharing” in theearly 1970’s, grew to include four distinct components:General Purpose Local Government Aid (GPLGA);Emergency Financial Aid to Certain Cities; EmergencyFinancial Aid to Eligible Municipalities, and Supplemen-tal Municipal Aid. The 2005-06 budget established theAid and Incentives for Municipalities (AIM) Program,which collapsed these four programs into one “base levelgrant” for all cities, towns and villages statewide.


New York State has provided financial aid to its mu-nicipalities since 1789. Early programs included categori-cal grants for activities encouraged by the state and theshared tax system whereby localities received portionsof taxes they had participated in collecting. The per capitaaid program instituted in 1946 allocated specific dollaramounts per capita to cities, towns and villages. In 1965,a statutory formula was established to calculate aid basedon fiscal need, effort and capacity indicators.

The revenue sharing program created in 1970 was de-signed to eliminate the complexity and uncertainty of pre-vious state aid programs and to provide municipalitieswith flexible, equitable and predictable aid. New YorkState Finance Law Article 4-A, section 54 outlined theframework of the Revenue Sharing Program, which wasbased on the previous Per Capita Aid Program. This pro-gram was designed to allocate specific amounts to coun-ties, cities, towns and villages (with special emphasis oncities), based on population and full value data. The originallegislation envisioned a distribution of aid equaling 21percent of Personal Income Tax (PIT) revenues and thatsuch aid would grow annually, keeping pace with growthin the State’s major revenue source (hence the name –revenue sharing).

The revenue sharing program underwent numerouschanges in the 1970’s. Before the program was evenimplemented, allocations were cut in 1971 to 18 percentof PIT receipts. In 1977-78, the State capped distribu-tions at the 1976-77 level. In 1978-79, revenue sharingaid was further restricted when the Finance Law wasamended to change the basis of funding from 18 percentof PIT receipts to 8 percent of total State tax collections.In 1979-80, the State froze revenue sharing at the 1978-79 level, and until 1984-85, funding was capped at $800million.

The program peaked in fiscal year 1988-89 at nearly$1.1 billion. During the early 1990’s, New York had aserious fiscal crisis and cut numerous programs, includ-ing unrestricted local government aid, which was reducedby roughly 50 percent over four years. By 1992-93, rev-enue sharing had been decreased by more than $500million to a low of $532 million.

AIM ProgramThe Aid and Incentives for Municipalities (AIM) pro-

gram enacted in 2005-06, increased unrestricted aid tocities, towns and villages by $57 million. The 2007-08Enacted Budget restructures the AIM program to targetadditional State aid primarily to fiscally distressed mu-nicipalities. An AIM increase of 450 million is authorized

in 2007-08, and in each of the three following years, fora four-year total of $200 million. These increases are tiedto enhanced accountability requirements that encouragelocal fiscal improvement. Finally, the 2007-08 AIM pro-gram includes $15 million in grants for a range of localshared services activities. In addition, a new $10 millionconsolidation incentive aid is created under SMSI pro-vides a recurring 25 percent AIM increase to municipali-ties that merge or consolidate beginning in 2007-2008.

Federal AidThe role of federal aid in local finances from 2000

through 2005 is indicated in Table 24. During this periodfederal assistance to local governments in the state in-creased from $2.9 billion in 2000 to $3.8 billion in 2005.

Under pressure from state and local governments,which were overwhelmed by the multiplicity of federalprograms and their individual requirements and adminis-tration, Congress enacted legislation during the 1970’sthat consolidated various categorical aid programs intoblock grants in the broad functional areas of education,manpower, law enforcement, and housing and commu-nity development. These programs have been broadlycharacterized as “special revenue sharing” programs.Among the objectives of this legislation were the simplifi-cation of grant administration, the provision of increaseddiscretion in the use of funds allocated to state and localgovernment grant recipients, and the elimination of con-ventional matching requirements. This system of categori-cal block grants to local governments is still presently uti-lized.

A major development in federal aid was the passageof federal general revenue sharing in 1972. For the firsttime, the national government distributed aid to local andstate governments with very few restrictions on how themoney could be spent and without requiring governmentsto apply for the grants. A local government’s allocationwas based on a complex formula which, at the local level,took into account the adjusted taxes, per capita income,population and intergovernmental transfers of each gov-ernmental unit.

State and local governments received their first rev-enue sharing checks in December 1972 for the entitle-ment period January 1 through June 30, 1972. The fed-eral general revenue sharing program was discontinuedin the mid 1980’s.

Amount of Federal AidTable 19 illustrates the position that federal aid occu-

pies in the general revenue structure of the local govern-


ments in the state in 2005. Overall, federal aid supplied6.6 percent of all local government revenues in 2005.

Table 23 reflects the growth of federal aid from 2000through 2005 for each respective class of government,both in actual dollars and by percent increase.

TABLE 23Federal Aid Payments to Local Governments,

2000 and 2005 by Type of Unit(Amounts in Millions of Dollars)

PercentGovernment IncreaseUnit 2000 2005 2000-2005Counties(excludingNew YorkCity counties) $ 1,678.1 $1,884.8 12.3


Towns 140.7 172.2 22.4Villages 81.6 62.6 -23.3School Districts(excludingNew YorkCity) 853.4 1,459.1 71.0

Fire Districts — — —Total $ 2,934.9 $3,833.7 30.6



CHAPTER XII

Administering Local Finances

The financing of local government activities in New York takes place within a number of limitations.The State Constitution limits the amounts that most municipalities may raise annually from the real prop-erty tax. Similarly, municipalities operate under limitations on debts, with a variety of provisions that limitborrowing power. The fiscal management of local government, spelled out in the constitution and instatutes, is subject to certain prescriptions, reviews and audits by the state.

The previous chapter discussed local government ex-penditure trends, principal sources of revenues and as-pects of intergovernmental fiscal relations. This chapterdiscusses the more prominent legal limitations upon localgovernment financing, the basic features of municipal fi-nancial administration and state supervision of local fi-nances.

Tax and Debt LimitsTax Limits

Article VIII of the State Constitution imposes limita-tions on the amounts local governments may raise by taxupon real property. These limitations have a history thatgoes back more than a century. They have had a pro-nounced impact on the financing of local government inthe State of New York, particularly with regard to stateaid, local non-property taxes, education financing, gen-eral purpose assistance and special city aid. The real prop-erty tax limitation has evoked much debate over the years.

Against a background of increasing state involvementin local finances, an 1884 constitutional amendment de-clared:

“The amount hereafter to be raised by tax forcounty or city purposes, in any county containinga city of over one hundred thousand inhabitantsor any such city of the state, in addition to pro-viding for the principal and interest of existingdebt, shall not, in the aggregate, exceed in anyone year two percent of the assessed valuationof the real personal estate of such county or city…”

Thus, the tax limitation first applied only to the cities ofNew York, Brooklyn, Buffalo and Rochester, and to New

York, Kings, Erie and Monroe counties. With the con-solidation of New York City in1898, a single 2 percentlimit was accepted as applying to the whole city and laterto the overlying county government. As a result of popu-lation growth, Syracuse, Albany and Yonkers came withinthe constitutional tax limit, and with them Onondaga, Al-bany and Westchester counties.

Tax Limit Developments. Many other cities of thestate have been subject to tax limitation under speciallaws or local charters. By 1920 there were 33 cities inthis category. Limitations ranged from 1 to 2 percent ofassessed valuations or took the form of appropriationrestrictions. In virtually every instance, taxes for schoolpurposes and debt service, as well as other municipalfunctions in certain of the cities, were excluded from theselimitations.

After the First World War, every city suffered frominflation, a serious factor in municipal finances even in theprosperous years of the 1920’s. Some of the stringen-cies experienced by the tax-limited cities, however, prob-ably resulted from policies of under assessment. At itsoutset, the depression created difficulties because it re-duced the valuations by which taxing power was mea-sured and imposed additional expenditures for public re-lief.

Amendment of 1938. A 1938 amendment revisedthe constitutional tax limitation by substituting five-yearaverage valuations as the measure of taxing power forthe then-current annual valuations. The 2 percent limitwas extended in 1944 to all the cities and villages of thestate, with the provision that the Legislature might ex-clude amounts raised by local property taxation for schoolpurposes in the case of villages and of cities having less


than 100,000 population. The 1938 amendment grantedthe Legislature the power to further restrict the authorityof any county, city, town, village or school district to levytaxes on real estate.

Current Limitations. Material changes were madein the tax limits contained in Article VIII during the periodfollowing World War II. They were accompanied by aseries of major moves in state-local fiscal relations as theyrelated to the distribution of shared taxes, categoricalassistance, school aid, local non-property taxes and city-school relations.

Tax limit provisions of the State Constitution asamended in 1949, 1951, 1953 and 1985 provided asfollows:

• All Constitutional tax limits relate to the five yearaverage of the full value of taxable real estate.

• The tax limit for New York City for combined cityand school purposes is fixed at 2.5 percent.

• The tax limits for the other cities with populationsof 125, 000 or more are 2 percent for combinedcity and school purposes.

• In cities under 125, 000 population, the tax limit is2 percent for city purposes alone.

• All counties outside New York City are subject totax limits of 1.5 percent for county purposes; how-ever any county may raise its limit to 2 percent byaction of the county governing body in accordancewith County Law.

• The limit for villages is 2 percent for village pur-poses.

• In certain instances, taxes levied for financing capi-tal expenditures on a “pay-as-you go” basis andamounts raised for debt service are excluded fromtax limitation.

• School districts in cities under 125,000 popula-tion and towns have no Constitutional tax limit.

It may be said that the Constitutional real estate taxlimit has two major components: A percentage limitationfor operating purposes as listed in items (a) through (f)above, and certain exclusions of amounts required fordebt service and capital improvements. Together thesemay be referred to as the total real property taxing powerof a municipality or a school district.

Tax Limit Exclusions Challenged. To enable schooldistricts that are coterminous with, partly within or whollywithin a city having less than 125,000 population and thecities of Buffalo, Rochester and Yonkers to meet theirfiscal needs, the legislature enacted a series of statutes

permitting the exclusion of annual pension requirementsand social security contributions from their respective taxlimitations.

The constitutionality of the statute applicable to the Cityof Buffalo was contested in 1973 on grounds that pen-sion payments are ordinary annual operating expensesand consequently subject to tax limitation. In Hurd v. Cityof Buffalo (34 NY2d 628, 355 NYS2d 369 (1974)),the Court of Appeals affirmed that the exclusionary stat-ute specifically applying to Buffalo was unconstitutional.The court thereby cast a shadow over the other exclu-sionary legislation.

Beginning in 1974, the Legislature adopted a stopgapmeasure to forestall the immediate impact of what hascome to be known as the Hurd ruling. A Temporary StateCommission on Constitutional Tax Limitations (the BerganCommission) was created to pursue the matter.

The commission published its findings at the beginningof 1975, recommending that the issue be handled througha constitutional amendment. An amendment excluding re-tirement and social security costs from the tax limit wassubmitted for voter approval at the 1975 general elec-tion. It was defeated.

The 1976 Legislature passed a bill (Emergency Cityand School District Relief Act) continuing temporary re-lief to the cities of Buffalo and Rochester and to certainschool districts by permitting them to exclude from con-stitutional tax limitations certain pension and social secu-rity contributions until 1980.

In early 1978, the Court of Appeals struck down theEmergency City and School District Relief Act of 1976and left the door open for a suit demanding a refund oftax dollars collected under the faulty legislation. In re-sponse to this decision, a special Task Force on the Fi-nancing of City School Districts was created. The Legis-lature implemented two principal recommendations of thetask force in 1978: (1) it instituted special equalizationratios for the impacted cities and school districts, and (2)it advanced state funds to finance the “gap” on a revolv-ing basis.

The special equalization ratios initially reduced the gapfrom $112 million to $20 million. However, as the growthof the cities’ real property wealth has slowed down, theusefulness of these ratios has diminished. The state fundsthat were advanced to the districts impacted by Hurdwere rolled over every year between 1978 and 1992-93. Pursuant to Chapter 53 of the Laws of 1991, ad-vances to the districts have been reduced by 50 percenta year and will be phased out in 2011-12. In addition,


the state has provided these districts with grants since1979.

Other recommendations of the Task Force were to:• require city school districts receiving advances to

make maximum use of sales and utility taxes;• redistribute or increase county sales taxes for city

school district use;• reallocate functions;• adopt a statewide real property tax; and• submit constitutional amendments.

Debt LimitsThe economic collapse of 1837 exposed serious weak-

nesses in the credit operations of local government andthe speculative character of the public improvement debtof the period. One result was that the State Constitutionof 1846 directed the Legislature to restrict the munici-palities’ power of taxation, assessment and borrowing.

Unchecked growth in the debt of local governmentscontinued. The Civil War was followed by inflation andgreat economic activity. New York City provided a spe-cial example of municipal profligacy. The unbridled ex-pansion of local debt under the corrupt rule of BossTweed created acute difficulties for the city during thebusiness depression of 1873.

Debt Limit Developments. The condition of localgovernment finance became a matter of urgent interest tothe state. A constitutional amendment in 1884 imposed adebt limit of 10 percent of assessed valuation on citieswith a population of over 100,000 and on counties con-taining a city of the same size.

In the case of New York City, the effect was a 10percent limit on combined city and county debt, while inBrooklyn, Buffalo and Rochester the limit applied sepa-rately to city and county debt. Water debts extinguish-able within 20 years were excluded.

In 1894, the 10 percent debt limitation was extendedto all cities and counties in the state. No provision wasmade for the limitation of the indebtedness of towns, vil-lages and school districts, although these units were re-stricted in their debt practices by statute.

Current Debt LimitationsIn 1938, constitutional amendments extended debt limi-

tation to towns and villages, prohibited the creation ofnew or novel units of local government possessing bor-rowing power, and required substantive guarantees forthe repayment of municipal indebtedness.

Postwar changes in the debt provisions of the StateConstitution have been numerous. The most significantoccurred as a result of revisions in Article VIII whichwere approved in 1951. The 1938 and 1951 revisionsresulted in the following features:

• all constitutional debt limitations tied to specifiedpercentages of the average full valuations of tax-able real estate on the last completed assessmentrolls and the four preceding rolls, as follows:- 10 percent for Nassau County;- 7 percent for other counties outside New York

City;- 10 percent for New York City for combined

city and school purposes;- 9 percent for other cities with population of

125,000 or more for combined city and schoolpurposes;

- 7 percent for cities of less than 125,000 popu-lation for city purposes, exclusive of schools;

- 7 percent for towns;- 7 percent for villages; and- 5 percent for school districts coterminous with,

partly within, or wholly within a city of less than125,000 population (with provisions for increas-ing the limit under certain conditions).

• a series of specific conditions governing the incur-rence and management of municipal debt, such as:- prohibition upon the issuance of indebtedness

beyond a period of probable usefulness orweighted period of probable usefulness to bespecified by state law, and in no case to exceed40 years;

- issuance only of full faith and credit indebted-ness and “tax increment financing” (Article XVI,section 6);

- authorization for sinking fund bonds under cer-tain circumstances and a requirement for therepayment of debt in installments, with no in-stallment more than 50 percent in excess of thesmallest prior installment, unless the governingbody provides for substantially level or declin-ing debt service payments as may be authorizedby law;

- requirement for the annual provision by appro-priation for meeting principal and interest pay-ments; and

- prohibition upon the creation of municipal orother corporations (other than a county, city,


town, village, school district, fire district or cer-tain river regulation and drainage districts) pos-sessing the power both to contract indebted-ness and to levy or require the levy of taxes orbenefit assessments upon real estate.

• Exclusions of municipal indebtedness from consti-tutional debt limitation, including certain water andsewer debt, certain debt issued to finance “self-liquidating” public improvements, and, in the caseof New York City, certain additional exclusionsfor various purposes.

• Prohibitions upon the gift or loan of the credit ofcounties, cities, towns, villages or school districtsto or in aid of any individual, public or private cor-poration or association or private undertaking withspecified clarifications and an exception in the caseof joint or certain cooperative undertakings amongmunicipalities.

Article XVIII of the State Constitution prescribes theconditions under which a city, town, village or certainpublic corporations (other than a county) may aid certain“ low-income” housing and nursing home accommoda-tions, contract indebtedness, and provide for subsidiesfor these purposes. This article contains a separate 2percent debt limit for cities, towns and villages computedon the basis of average equalized full valuations of tax-able real property. Various conditions are attached to in-debtedness incurred under Article XVIII.

Borrowings and Debt ManagementLocal Finance Law

To implement the 1938 constitutional amendments, thestate undertook a comprehensive revision of the laws onlocal government financial affairs. In 1942, this effort pro-duced the Local Finance Law. This statute regulates theissuance of municipal bonds and notes by local govern-ments. It addresses the objects or purposes for whichdebt may be incurred, the maximum terms of indebted-ness for various objects or purposes, the conditions ofshort-term loans, and the required content of municipalobligations.

Debt ManagementWhile there are many legal requirements surrounding

municipal debt procedures, they do not exhaust the sub-ject of local debt management. The overlapping debt limitsin the State Constitution and the safeguards and require-ments of the Local Finance Law are necessarily control-ling, but they are not substitutes for the exercise of pru-dence and sound judgment by local government officials.

Local officials may exercise discretion in debt man-agement and borrowing policies in a number of vital re-spects. They make judgments as to the need for publicimprovements and their soundness from the standpointof design, costs and architectural or engineering features.They decide whether such improvements are within thecapacity of the community as measured by future annualcosts for debt service and regular maintenance.

While state laws influence debt policies, the decisionsof local officials have a direct bearing upon debt man-agement. One feature of an orderly and manageable debtstructure is early retirement of substantial amounts of out-standing debt. Another feature is to keep annual obliga-tions for the payment of interest and principal within thelimits of a reasonable relationship to total budgetary re-quirements. Local officials also find that it is good policyto make substantial contributions to the cost of publicimprovements from current revenue. Many capital out-lays recur regularly, such as replacing motorized equip-ment or resurfacing streets, and borrowing for such pur-poses tends to pyramid debt and debt charges.

The issuance and marketing of municipal obligations isa highly specialized subject. Since local officials wish toensure the legality and marketability of the obligations andobtain the most favorable terms, they often utilize the ser-vices of bond counsel and other knowledgeable advi-sors.

Capital ProgrammingCapital programming and capital budgeting are rec-

ognized methods for implementing debt management poli-cies. Practices among local governments in the state vary.In some cases there are detailed charter requirements forpublic improvement planning and financing. In other caseslocalities adhere more or less to “paper” plans. Some-times the local practice is to bring forward public im-provements piecemeal and not necessarily in relation toeach other, to separately authorize the funds necessaryto pay for various improvements, and to defer into thefuture the question of how everything fits together.

A capital program, as the term is used by the Govern-ment Finance Officers Association (GFOA), is “a planfor capital expenditures to be incurred each year over afixed period of years to meet the need for public improve-ments.” General Municipal Law, section 99-g containsexpress provision for capital programs. The capital pro-gram under section 99-g is submitted with themunicipality’s regular annual budget. The capital programincludes descriptions of proposed projects, the proposedmethod of financing for each project and an estimate of


the effect, if any, on operating costs in the three yearsfollowing the completion of the project. The factor of in-tegration with the regular budget removes capital pro-gramming from the area of paper plans.

The goal of a capital program generally is to plan, inadvance, how to pay for various improvements and howthe improvements will affect the regular municipal budgetin added debt service charges, appropriations from cur-rent revenue, and the annual expense of operating newfacilities.

Debt TrendsLocal government indebtedness is evaluated on an in-

dividual basis according to criteria by which financial po-sition is customarily evaluated. Some areas of concernare growth in the amount of debt over a number of years,and purposes for which the debt is being issued. Localbudgets traditionally include expenditures for which in-debtedness could be issued. When local governmentstake expenditures that have traditionally been financedfrom current appropriations and begin to issue debt tofinance such expenditures, it may be an indication thatcurrent revenues are not keeping pace with expenditures.

Other criteria extend beyond amounts of borrowingsand debt and involve a number of factors indicative offiscal capacity. A few such factors are the ratio of netdebt to full valuations, the extent to which municipal debtis wholly or partially self-supporting, the relative amountof the municipal budget used for tax-supported debt, theamount of overlying debt, and the municipality’s tax col-lection.

Municipal Finance AdministrationThe general laws of the state are fairly explicit as to the

powers and duties of local officials having fiscal respon-sibilities in non-charter counties, towns and villages. Thesestatutes provide options as to the manner in which theseresponsibilities are assigned or organized within the struc-ture of local governments. Options include the establish-ment of the office of comptroller and purchasing agent incounties, the office of purchasing director in towns andthe office of auditor in villages. Pursuant to home ruleauthority, cities, charter counties and charter villages havelatitude to amend their charters with respect to organiza-tion for finance administration.

Local government accounting, bookkeeping andrecord management systems vary in sophistication fromsimple manual systems to individual personal computers,client servers or mainframe systems. Software includesoff-the shelf applications and custom applications de-

signed to accommodate specific needs. A wide varietyof software products are available to provide basic as-pects of fiscal management, such as budget preparation,appropriation accounting, assessment rolls preparation,payrolls, master employee records, real property tax bill-ing and water billing.

Earlier discussion touched upon real property tax ad-ministration and municipal debt management. Furtherphases of municipal finance administration include bud-geting, accounting, treasury functions, purchasing, con-tracting and audit procedures.

Municipal BudgetingLocal officials often regard the annual budget as per-

haps their greatest single obligation, since budget prepa-ration and continuing administration may be labor inten-sive and time-consuming. General state law spells outthe principal steps in budget preparation and adoptionfor most local governments. For counties, cities and vil-lages that have charters, budget provisions are generallycontained in such charters.

The budget process generally entails many choices.These tend to be most apparent on the expenditure sideof the local budget, but many choices may also exist onthe revenue side. They include:

• magnitude of the real property tax levy and its rela-tive burden expressed as a tax rate;

• local non-property taxes, as authorized by statelaw and implemented by local action;

• fees and earnings and use of special assessments,which are in the nature of charges against benefit-ted properties in proportion to the benefit received,to defray the cost of certain municipal improve-ments or services;

• payments from other governments in the form ofgrants-in-aid, shared revenues and reserve fundmoneys for current or capital purposes (depend-ing upon the character, scope and availability ofthese payments); and

• indebtedness for authorized capital purposes, pay-ing for improvements from current revenues (pay-as-you-go), or employing a combination of thesemethods of financing.

Budget AdministrationBudget administration is generally preceded by the

preparation and submission of departmental estimates.This process is usually followed by the formulation of thebudget itself, which is a balanced plan of expenditures


and revenues, normally prepared by or under the direc-tion of the local government’s executive or budget of-ficer. The budget is then submitted to the local legislativebody for review, approval or amendment, and enactmentof appropriation orders giving effect to the budget.

Beyond the legislative phase of budget review andadoption is the stage of budget administration and en-forcement. This process involves the maintenance of ap-propriation control accounts and procedures for budgettransfers or modifications.

Local InitiativesIn budget preparation, presentation and subsequent

administration, there are opportunities for local initiatives,consistent with the basic requirements of law. Initiativesmay be expressed in budget format, supporting data andcomparisons, and accompanying explanatory matter inthe budget message. A budget is more than an array offigures — it is also a statement of public policy.

Quite often, budgetary allotments or expenditure quo-tas are established. These are often made on at least aquarterly basis, and are formulated from work programsor activity schedules and developed in consultation withoperating officials. Newer developments in budgetingrelate the provision of money more closely to the accom-plishment of program objectives and to the efficiency withwhich municipal activities are performed.

Accounting ControlAnother essential aspect of municipal finance adminis-

tration is the maintenance of an accounting control sys-tem. Fund accounting is a basic characteristic of munici-pal accounting. A “fund” is a fiscal and accounting entitywith a self-balancing set of accounts. It contains recordedcash, other assets and financial resources, together withall related liabilities and residual equities or balances. Afund is segregated for the purpose of carrying on specificactivities or attaining certain objectives in accordance withspecial regulations, restrictions or limitations.

Municipal accounting systems include a general fundand, depending upon the local government entity, suchspecial revenue funds as highway funds, debt servicefunds, capital project funds, enterprise funds, internal ser-vice funds, and trust and agency funds. The central prin-ciple is that funds will be self-contained.

Accounting for municipal resources and expendituresshould generally be on a modified accrual basis. A funda-mental feature of budget administration is the maintenanceof appropriation control accounts whereby appropria-tions are encumbered as obligations are incurred.

In this summary discussion, it is not feasible to outlinea comprehensive system of municipal accounts or to de-scribe prevailing practices in all the local governments ofthe state. For most municipalities the standard resourcefor governmental accounting procedures is the Office ofthe State Comptroller (OSC).

Financial ReportingThe systematic recording of financial information can

be used “(1) as a basis for managing the municipality’saffairs, (2) as a control to prevent waste and inefficiency,(3) as a check on the fidelity of persons administeringmunicipal funds, and (4) as a means of informing inter-ested parties of the municipality’s financial condition andoperations.” 40

The municipal accounting system is the source of boththe municipality’s fiscal year-end statements and the pe-riodic internal reports that localities find important formanagement purposes. These periodic reports showwhether revenues are coming in and expenditures aregoing out at the times and in the amounts projected bythe budget plan. Monitoring of this information allowsmanagement to make appropriate budgetary modifica-tions during the year.

General Municipal Law section 30 requires local gov-ernments to file a financial report annually with the OSC.Until 1996 the law required municipalities to file a paperreport on forms provided by OSC, but an amendmentthat year allowed for electronic filing. Beginning with thereporting for the fiscal year ending in1996, counties, cit-ies, towns, villages, school districts and joint activities havebeen able to transmit their reports electronically using theinternet or through the Comptroller’s Assistance Network(a 24 hour electronic bulletin board). Filing electronicallywith free software provided by OSC (or by the StateEducation Department for school districts), saves time,improves accuracy and reduces paperwork.

Other Financial FunctionsOther leading aspects of local government finance ad-

ministration include the functions of cash management,purchasing and property acquisition, insurance and riskmanagement and post audit.

Cash Management. Some local governments carrycash balances in excess of those necessary for transac-tions. Carrying excess funds costs the income the fundswould have earned if invested. In order to anticipate theircash balance needs, local government officials can pre-pare a cash flow analysis to forecast the cash position ofthe local government over the entire fiscal period. Proper


cash management can provide maximum earnings andminimum borrowing for the local government. Local gov-ernment officials should be aware of investment factorsincluding legality, safety, liquidity and yield. The Office ofthe State Comptroller provides guidance to local officialsregarding cash management and a wide variety of othertopics on local government finance.

Purchasing and Property Acquisition. Other fea-tures of financial management relate to purchasing, con-tracting and storage, and the problem of how far theseresponsibilities can or should be brought under central-ized procurement policies and procedures. Counties, cit-ies, towns, villages, school districts and fire districts pur-chase goods, services and real property pursuant to pro-cedures and requirements set forth in applicable law. Toreduce their purchasing costs, localities sometimes par-ticipate in cooperative purchasing endeavors and utilizeassistance available from the state.

The New York State Office of General Services (OGS)offers local governments the opportunity to purchase awide range of goods at favorable prices under state con-tracts. In addition, OGS offers various kinds of technicalassistance for local government purchasing, and assistslocalities with the procurement of products made by pris-oners and the blind. Through OGS, local governmentsare assisted in the acquisition of surplus state personaland real property and surplus federal property.

Post Audit. Municipalities are subject to audit by vari-ous federal and state government agencies. In addition,municipalities may elect on their own to have general orselective audits. A post audit is an audit made after theevent, when financial transactions have been recordedand completed. Municipalities’ internal auditors oftenconduct audits of subsidiary agencies within the munici-pal organization on a continuing basis.

Insurance and Risk Management. Decreasing re-sources and increasing insurance costs are putting greateremphasis on risk management. There is often a variancebetween the optimal and the maximum feasible amountof insurance coverage. While most localities need to haveinsurance coverage for catastrophic events, they may takea number of steps to reduce costs. An acceptable safetyprogram, self-insurance, coinsurance, blanket insuranceand competitive bids can sometimes reduce costs.

State Supervision of Local FinancesDuring the 1930’s, there was a depression-born trend

toward state scrutiny of municipal budgets and expendi-ture programs, review and approval of proposed mu-nicipal borrowings, and measures designed to assist in

the marketing and acceptance of local bond issues. Mu-nicipal conditions inviting state intervention during theseperiods included persistent weaknesses in current ac-counts, the incurrence of large volumes of floating indebt-edness, reliance upon borrowing for current expense toshore up sagging municipal budgets, debt readjustmentsand refunding, and actual or incipient defaults.

From these various factors and developments emergedthe main ingredients commonly associated with state su-pervision of local finances: legal tax and debt limitation;debt regulation through uniform bond laws and their ad-ministration; reporting, auditing and accounting require-ments; central review of debt proposals and expenditureprograms; varying degrees of involvement in debt plan-ning and issuance — all fortified by advisory and techni-cal assistance.

Leading Features of State SupervisionMany of the leading features of state supervision of

local finances in the State of New York derive from con-stitutional and statutory requirements previously discussedin this chapter Chief responsibility for state supervision ofmunicipal finance resides in the Office of the State Comp-troller. Among other services, the OSC’s functions in-clude:

• providing ongoing technical assistance through theOSC Division of Local Government and SchoolAccountability to enable and encourage local gov-ernment officials to:- continuously improve fiscal health- reduce costs and improve the effectiveness of

their service delivery, and- to account for and protect their government’s

assets.This Division also performs periodic audits andreviews of local governments, conducts training forlocal officials and provides consulting services;.

• supervising compliance of local governments withlegal tax and debt limitations and requiring sub-mission by local governments of debt statementsand annual budgets;

• providing technical assistance, reviewing applica-tions requesting approval of exclusions from thelocal debt limit exclusions, and the formation orextension of town improvement districts, fire dis-tricts and county special districts;

• collecting and disseminating local government fi-nancial information including statistics on revenues,expenditures and debt;


• developing uniform accounting systems and pro-viding guidance on financial management practices;

• administering the State and Local GovernmentEmployees’ Retirement Systems; and

• providing advisory legal opinions to local govern-ments pertaining to the powers and duties of thelocal government under state laws of general ap-plicability including written advisory opinions onprospective actions of local government.

Annual Financial Report ReviewsA review of each local government’s annual financial

report is performed by the OSC to assess compliancewith minimum established standards. The information fromthis process becomes an integral part of a Uniform RiskAssessment Process (developed in 1999). Based uponanalysis of identified risk areas, assistance to improve localgovernment operations is offered as appropriate.

Deficit Financing LegislationOccasionally local governments accumulate deficits to

a point that the only recourse left is to obtain special statelegislation that authorizes the local government to issuedebt to finance the deficit. This action enables the localgovernment to pay off a portion of the debt (through an-nual debt service payments) over a number of years. Suchlegislation generally requires the OSC to certify the amountof the deficit before any such indebtedness can be is-sued. The OSC also reviews and makes recommenda-tions on the proposed budgets of these municipalities whilesuch financing is outstanding.

Oversight BoardsIn extreme situations the State Legislature has deter-

mined that certain local governments needed additionaloversight. This action has been prompted by periods ofprolonged fiscal difficulty or, in rare instances, becausethe local government has lost access to financial markets.Oversight boards typically have powers to approve debtissuances, approve budgets and/or financial plans, ap-prove contracts including employee contracts and, in rareinstances, assure the payment of obligations through theintercept of state aid and tax revenues. Legislation creat-ing control boards usually provide for members to repre-sent interested parties such as the Governor, State Comp-troller, State Legislature and generally the local govern-ment and/or local business leaders and local representa-

tives. The legislation also establishes criteria to determinewhen the local government has regained its financial health.Typically, once the local government meets those crite-ria, the oversight board approval powers cease.Local Government Data Base

The oversight activities rely heavily on an improvedcomputerized data file known as the Local GovernmentData Base. This file is created and maintained by the OSCand contains comprehensive financial and other data onall local governments in the state from fiscal year 1977onward. Much of this data is obtained from annual finan-cial reports filed by each local government. The reportscontain financial statement data (i.e., financial position andresults of operations and changes in financial position) aswell as detailed revenues and expenditures.

This data file is regularly transmitted to the Division ofthe Budget, the Senate Finance Committee and the As-sembly Ways and Means Committee to be used as thebasis for much of the program analyses and fiscal impactstudies regarding state and local relations.

Generally Accepted Accounting Principles (GAAP)Since the early 1900’s the Office of the State Comp-

troller has prescribed Uniform Systems of Accounts forlocal governments. The purpose of these systems has beento provide a means of gathering financial data from localgovernments that is consistent in classification and con-tent. This information is used by financial analysts in theComptroller’s Office, other agencies and the State Leg-islature.

These systems do not set Generally Accepted Ac-counting Principles (GAAP). They are promulgated bythe Governmental Accounting Standards Board. GAAPis a technical term used to describe the conventions, rulesand procedures that constitute accepted accounting prac-tices on a nationwide basis.

Since the late 1970’s, the Office of the State Comp-troller has determined that adherence to Generally Ac-cepted Accounting Principles is in the best interest of NewYork State and its local governments. Consequently, theUniform Systems of Accounts prescribed by the Comp-troller are periodically updated to reflect changes inGAAP. In addition, the Comptroller’s Office issues ac-counting bulletins and conducts training sessions for localofficials.

Chapter Endnote40. Municipal Finance Administration, Sixth Edition, International City Managers’ Association, Chicago, 1962, p. 205.


CHAPTER XIII

Personnel Administration

Personnel administration in New York local governments is subject in many important respects to theState Civil Service Law. In general, the law makes several options available to local governments for civilservice administration. Although the specific responsibilities of a municipal personnel agency may vary, asound personnel program rests on clearly drawn local laws, rules and regulations that include suchmatters as recruitment, selection, employee relations, placement, performance appraisal, position classi-fication, pay plans, fringe benefits, working conditions, separation, training, and career development.

Personnel administration encompasses all of the ac-tivities concerned with the human resources of an organi-zation and includes a series of functions that relate to itsoverall operation. These functions include position clas-sification, determination of salary scales, fringe benefits,recruitment and selection of employees, performanceappraisal, training, establishment of policies and proce-dures for conduct and discipline, and development ofprograms related to health, safety, affirmative action andretirement.

Numerous factors — economic and social resources,technological advances, intergovernmental relations, poli-tics and political leadership, special interest groups suchas employee unions and concern for career services —greatly influence personnel programs.

Historical DevelopmentTo understand the goals and purposes of public per-

sonnel administration, it is helpful to trace its historic de-velopment and, in particular, to note the major role thatNew York State played in the civil service reform move-ment. Initially, the philosophy and practices of patronagegoverned personnel administration in the United Statesalmost universally. Patronage involved giving governmentjobs to supporters of those who won elections and re-sulted in the famed and controversial spoils system. Jobswere filled with party workers and with friends and rela-tives of elected officials. During the nineteenth century,the patronage system and its abuses produced increasingalarm. The system was blamed for lowering morale, en-couraging disloyalty and dishonesty, obstructing rewardfor good work and discouraging competent people fromentering government service.

It is no coincidence that New York generated much ofthe early impetus for civil service reform, since the spoilssystem had become most pervasive in the Empire State.As one observer noted, “It was the politicians of NewYork who gave it its organized impulse. It was in responseto Henry Clay’s taunt at the New York system that aNew York senator made the famous defense that to thevictor belong the spoils of his enemy.”41 It is not surpris-ing that civil service reformers were most active in NewYork State, where the problems were most acute. Orga-nized in 1877, the New York Civil Service Reform As-sociation stimulated the rapid development of similar as-sociations in other states. This reform movement led tothe enactment of the federal Pendleton Act in January1882. This law required establishment of a bipartisan civilservice commission to conduct competitive examinationsand to assure the appointment and promotion of govern-ment employees based on merit. Later that year, NewYork State enacted its first civil service law.

New York State Civil Service LawNew York State has the oldest civil service system of

any state in the nation. Beginning in 1883 as a reaction tothe spoils system, it concentrated on the development ofexaminations and other recruitment devices. The state sub-sequently adopted a special classification system in or-der to determine titles and salaries. As state governmentassumed greater responsibilities and as the state’s workforce grew, the civil service system was modified andrefined by legislation and administrative action. It becamea highly complex and sophisticated system, which is nowadministered by the State Department of Civil Service.Within the department, separate divisions concentrate on


specific personnel functions, such as classification, ex-amination and placement. New York State’s Civil Ser-vice Law also includes provisions for the administrationof civil service at the local government level.

Forms of Local Civil Service AdministrationThe Civil Service Law specifies optional forms of civil

service administration for the purpose of administeringthe law in the counties (including political subdivisionswithin counties), in the cities and in suburban towns ofmore than 50,000 population. Villages have no authorityto administer a separate civil service system, but mustcomply with state law and with locally adopted civil ser-vice rules and the regulations of the regional or countycivil service commission or personnel officer.

Municipalities can select one of two major options fordirect administration of civil service law — the civil ser-vice commission or the personnel officer. The commis-sion consists of three persons with no more than two fromthe same political party. They are appointed either by thegoverning body or by the chief executive officer of themunicipality. Their six-year terms of office are staggered,with one term expiring every two years.

Like the Civil Service Commission, the personnel of-ficer is appointed by the governing body or chief execu-tive for six years and the responsibilities of the office in-clude those of the municipal civil service commission. Inaddition, the personnel officer often has non-civil serviceresponsibilities of personnel management and human re-sources administration, such as labor relations, affirma-tive action and staff development activities.

Other governments have developed a hybrid form ofcivil service/personnel administration. Typically, this jointsystem of administration consists of a part-time civil ser-vice commission and a personnel director. The civil ser-vice commission administers the Civil Service Law andpromulgates local civil service rules and regulations, whilethe personnel director carries out the non-civil servicefunctions.

In the event that a county or city chooses to not di-rectly administer a separate civil service system, it mayjoin with one or more other counties or cities, in the sameor adjoining counties, to establish a regional civil servicecommission or a regional personnel officer position. Thisregional alternative for civil service administration maybe established by written agreement approved by the gov-erning bodies of each participating county and city. Thereare no regional operations in New York State at present.

Political subdivisions with populations of less than 5,000fall into a special category. The State Civil Service Com-

mission has standards for determining whether or not it ispractical for such subdivisions to have civil service ex-aminations for their employees.

Categories of PositionsSections 35 and 40 of the Civil Service Law establish

two major groups of municipal employee positions —the classified and unclassified services.

Positions in the unclassified service are defined by stat-ute and include all elected officials, all officers and em-ployees with duties and responsibilities directly related toeither the legislative or elective functions, chief adminis-trators (i.e., department heads) of government and thoseindividuals with instructional responsibilities within schooldistricts, boards of cooperative educational services,county vocational education and extension boards, or thestate university system.

Within the classified service there are four jurisdictionalclassifications of positions: competitive, exempt, noncom-petitive and labor. All positions that are outside of thecompetitive class must be specifically named by the civilservice commission and approved by the State Civil Ser-vice Commission.

The basis for determining whether a position shall bein the competitive class is the practicality of ascertainingmerit and fitness by competitive examination. This pro-cess may utilize any, or a combination of, several differ-ent tests: written, oral, performance, physical, and re-view of training and experience. If a position in the clas-sified service is ruled to be outside of the competitiveclass, it is placed in one of the other three classes in ac-cordance with criteria found in the Civil Service Law.

Exempt class positions are designated primarily for po-sitions of a policymaking or confidential nature for whicha competitive or noncompetitive examination is impracti-cal. The appointing authority selects employees in thisclass without regard to civil service rules and regulationsgoverning eligible lists. The intention is to provide execu-tive and judicial officers with some latitude and flexibilityin selecting, retaining and discharging their closest asso-ciates. Another important aspect of exempt positions isthat there are no specified minimum qualifications as thereare in competitive, non-competitive and labor class posi-tions.

Noncompetitive class positions are positions for whichthere are established qualifications with respect to edu-cation and experience, but it is not practical to determinemerit and fitness of applicants by competitive examina-tion. The appointing authority can make appointments


without regard to relative standing on eligible lists. Thereare no noncompetitive eligible lists.

The labor class includes all unskilled laborers, exceptthose for which a competitive examination can be given.The local civil service commission or personnel officermay require applicants to take examinations for labor classpositions if it is practical.

Local Civil Service AdministrationScope and Responsibility

The municipal civil service commission or personnelofficer administers the Civil Service Law for classifiedmunicipal employees. Rules adopted by the commissionor personnel officer are subject to approval by the StateCivil Service Commission. The local commission or per-sonnel officer must maintain extensive employee recordsfor certifying payrolls, conducting examinations requiredby law and preparing appropriate lists of people eligiblefor appointment.

Regardless of the form chosen, the civil service com-mission or personnel officer of a county administers theCivil Service Law for the county and the political subdi-visions within the county, including towns, villages andschool districts, except for suburban towns with popula-tion of 50,000 or more and cities that choose to operateindependently. In the case of a city or suburban town thatopts to have its own civil service commission or person-nel officer, the administration covers all officers and em-ployees of the town or city, including the city school dis-trict. The jurisdiction of a regional commission or per-sonnel officer includes all municipal employees within theregion who would otherwise be subject to the jurisdic-tion of the local civil service administration of the respec-tive counties and cities within the region.

Changing the FormThe Civil Service law also makes provision for chang-

ing the system of administering civil service law in coun-ties, cities and suburban towns. The governing body of acounty, city and suburban town may elect to change froma civil service commission to the office of personnel of-ficer or vice versa. They may choose to join with anothermunicipality either within the county or on a regional ba-sis to administer civil service jointly under either a com-mission or personnel officer. The law also establishes theeffective dates of such changes, the duration of time be-fore further changes may be made, and the authority ofthe governing body to revoke its action regarding changes.The advice and counsel of a municipal attorney may behelpful in interpreting and implementing the complicated

procedures involved in changing the form of civil serviceadministration.

The Functions of Personnel AdministrationThe specific responsibilities of a municipal personnel

agency vary from one locality to another and from onelevel of government to another, depending upon size, ju-risdiction and numbers of municipal employees. An ef-fectively administered personnel program requires astrong legal base, a comprehensive and concise set ofrules and regulations, and assistance and support fromthe municipality’s legislative body.

These components are necessary to achieve continu-ity of policy and practice and to allow managers to makeinformed decisions and solve personnel problems. NewYork State’s Civil Service Law includes the following el-ements in the personnel function: the principle of meritand fitness, rule-making authority, and a procedure forappeal. The administrative guidelines of such a programshould emphasize stability of policy and flexibility of pro-cedure.

The following paragraphs briefly describe some of themajor responsibilities of a personnel organization.

Classification and Salary PlansTwo of the most important functions of a personnel

department are position classification and salary admin-istration. To administer an organization effectively, man-agement must have relevant facts about the specific jobsrequired to accomplish goals and objectives. Manage-ment must determine: first, what work must be done toattain the organization’s goals; second, what skills arenecessary to accomplish this work; and third, how muchof this work can be accomplished by one person. On thebasis of this information the personnel department classi-fies positions, determines qualifications and salaries andrecruits suitable people to do the work. The informationalso underlies all testing programs.

The personnel department usually administers a salaryplan on the basis of position classification. Sometimesthe personnel staff develops the salary plan, but it is com-mon for the department to hire an outside consultant whospecializes in the area of personnel administration. How-ever, the final adoption of the plan, including salary andwage scales, is a legislative prerogative. Establishment ofa salary policy occurs in two phases: the first determinesthe general level of wages in an organization; and the sec-ond devises a plan to provide consistent internal salaryrelations. Both social and economic factors affect wagelevels in government, and the pay plan must reflect bal-


ances between these factors. Wage levels should takethe following into consideration:

• financial condition of the organization;• wage scale of competitors;• bargaining power of the employees;• cost of living;• federal and state regulations;• internal equity;• external competitiveness;• difficulty of work performed;• education/license required; and• any special situations, such as hazardous working

conditions, shift pay, etc.

Recruitment, Selection and PlacementWhen the personnel department recruits people to per-

form jobs, it takes several actions that are part of a con-tinuous process. These actions include recruitment, se-lection, placement and probation. The recruitment pro-gram must reach out and attract the best minds and skillswithout discrimination. The department may develop andimplement affirmative action recruitment programs.

The department then screens applicants for jobs, mostfrequently by examination and/or interview, and devel-ops lists of eligible candidates. It must plan selection pro-grams carefully so that they include the following kinds ofmeasurements about applicants: skills, knowledge, abili-ties, personality traits, interests, physical traits (whererelevant) and medical conditions.

Working from the eligible list established by the selec-tion process, the department then certifies to the appointingauthority the top ranking candidates most qualified forthe job. After an individual is appointed, most agenciesrequire a probationary period and provide for periodicperformance evaluation. Newly hired employees shouldparticipate in an effective orientation and training pro-gram during their probation.

The activities composing a municipal personnel pro-gram must take place within the limitations and require-ments of the state’s Human Rights Law as it applies topublic employment. This law recognizes as a civil rightthe opportunity to obtain employment, including publicemployment, without discrimination because of race,creed, sex, color, age, disability, marital status or nationalorigin. The following practices are among those consid-ered unlawful and discriminatory:

• for an employer to refuse to hire or to discriminateagainst the employment of an individual or to dis-

charge an employee because of the above fac-tors;

• for an employment agency to discriminate againstany individual for these reasons in receiving, clas-sifying, disposing of, or otherwise acting on appli-cations for services;

• for a labor organization to expel or deny member-ship to an individual for those reasons;

• for an employer or employment agency to pro-mote any advertisement or publication which ex-presses, directly or indirectly, any prohibited limi-tations, specifications or discriminations; and

• for an employer, labor organization or employmentagency to discharge or expel or otherwise discrimi-nate against any person who has filed complaintspursuant to the Human Rights Law.

In addition, this law specifies that it is an unlawful dis-criminatory practice for an employer, labor organizationor employment agency to control the selection of appli-cants for apprentice training programs. Numerous otherdiscriminatory practices are listed, but those mentionedabove are most specifically related to municipal person-nel and training practices.

Performance AppraisalEvery supervisor in a municipal government should

conduct a continuous evaluation of employees’ develop-ment and whether they utilize their abilities most effec-tively. Periodic employee performance appraisal pro-motes the effective operation of an organization. A per-formance appraisal system:

• informs employees of what is expected of them;• informs employees of how they are performing;• recognizes and rewards good work;• determines employee weaknesses and suggests al-

ternatives for improvement;• identifies employee training needs;• maintains a continuing record of employee perfor-

mance;• guides promotions, transfers and appropriate

placement; and• checks the reasonableness of performance stan-

dards, the accuracy of job descriptions and clas-sification, and the effectiveness of recruitment pro-cedures.

There is no standard method for performance evalua-tion. Numerous techniques are utilized and each requiresa different degree of detail. The organization’s objectives


and management’s concerns usually determine the cho-sen techniques.

Fringe Benefits and Working ConditionsPersonnel administration must also be concerned with

working conditions and fringe benefits, as specified in la-bor agreements. Such items are over and above salariesand wages; they include vacation arrangements, sick leave,insurance policies, retirement plans, physical working fa-cilities, hours of work, and employee safety and healthprograms.

Training and DevelopmentRecruiting, selecting and placing employees are only

the initial steps of a personnel program. One of the mostimportant aspects of personnel administration is employeetraining and development. Every employee must learncertain skills, new techniques, appropriate procedures,etc. Employees must be trained — they must be giventhe opportunity to learn how to effectively perform theirpresent and future work. Training programs can:

• orient employees to a new job;• assist employees to acquire specific skills or knowl-

edge required to perform their jobs;• increase the scope of the employees’ experiences

and prepare them for greater responsibilities;• encourage employees to take pride in their work;• promote concern among employees for their own

personal and career development; and• increase worker safety.The area of employee training and development has

been drawing increased concern and interest over thepast several years. Many municipalities are establishingseparate training units to plan and administer total train-ing programs. Training is integral to the total personnelprocess; it influences productivity, morale, motivation andrealization of organization goals.

SeparationAnother aspect of the personnel process is the devel-

opment of appropriate procedures for separation. Theseinclude such activities as reduction in work force, disci-plinary suspensions, terminations and separation duringthe probationary period. Such procedures as requiredby the Civil Service Law, the Human Rights Law andseveral court decisions specifying that due process rightsmust be granted to employees.

Civil Service Law specifies the procedures for the dis-cipline and discharge of public employees who: hold com-

petitive class appointments, are veterans or exempt vol-unteer fire fighters, or have completed five years of con-tinuous service as non-competitive employees. However,local governments may negotiate alternative disciplinaryprocedures to replace or modify those procedures.Similarly, Civil Service Law governs separation due to areduction in work force of competitive class employeesand those who are veterans and volunteer firefighters. Inaddition, local governments may agree to establish spe-cific layoff procedures for noncompetitive and labor classemployees through collective bargaining.

Federal Acts AffectingPersonnel Administration

The Americans With Disabilities ActThe Americans With Disabilities Act, commonly re-

ferred to as the ADA (42 U.S.C. section 12101 et seq.),became law in 1990. It is intended to eliminate discrimi-nation against people with qualifying disabilities in all ar-eas of life including employment opportunities, access togovernmental services, architectural barriers and telecom-munications. Title I of the ADA, Employment, is of im-portance to local government personnel administrationsince it makes significant changes to all employment re-lated activities, from recruitment and on the job perfor-mance, to attendance at work related social functions.Since its enactment, hundreds of cases concerning theADA have been decided in the Federal Courts. These,along with implementing regulations promulgated by theUnited States Equal Employment Opportunity Commis-sion (EEOC) and United States Attorney General, pro-vide guidance for compliance with the Act. Pending andfuture court cases will likely continue to shape and defineADA compliance issues.

Under Title I of the ADA, no employer, including localgovernments, may discriminate against an individual witha qualifying disability in the terms and conditions of em-ployment. Under the ADA, individuals are disabled pri-marily if they have a physical or mental impairment (orare regarded as having such an impairment) which sub-stantially limits one or more of the individuals major lifeactivities, such as caring for oneself, performing manualtasks, walking, seeing, hearing, speaking, breathing, learn-ing, working and moving. The term “qualified individualwith a disability” is defined in section 12111(8) of the Actas:

“...an individual with a disability who, with orwithout a reasonable accommodation, can per-form the essential functions of the employment


position that such individual holds or desires. Forpurposes of this title, consideration shall be givento the employer’s judgment as to what functionsof a job are essential, and if an employer has pre-pared a written description before advertising orinterviewing applicants for the job, this descrip-tion shall be considered evidence of the essentialfunctions of the job.”

Section 12111(9) provides, with regard to the term “rea-sonable accommodation”:

The term “reasonable accommodation” may include:

(A) making existing facilities used by employees readilyaccessible to and useable by individuals with dis-abilities; and

(B) job restructuring, part-time or modified workschedules, reassignment to vacant positions, ac-quisition or modification of equipment or devices,appropriate adjustment or modifications of exami-nations, training materials or policies, the provi-sion of qualified readers or interpreters, and othersimilar accommodations for individuals with dis-abilities.

In essence, once a local government has made a de-termination that an applicant for employment or an exist-ing employee is a qualified individual with a disability; theemployer may be obligated, through an interactive pro-cess with the employee, to provide the employee with areasonable accommodation. While there are many rulesand nuances to the ADA, some key points to rememberare: the employer, not the employee, makes the final de-cision on what the reasonable accommodation will be;pre-job offer and post-job offer questions and medicalexamination requirements are dictated by the Act; and ifthe employee cannot perform the essential duties of thejob, even with a reasonable accommodation, the em-ployer need not hire them or may take appropriate stepsto separate the employee from service.

Because of the ADA’s complexities, it is recommendedthat local governments confer with knowledgeable coun-sel, affirmative action officers, and other available sourceswhen confronted with issues arising under the Act.

The Family Medical Leave ActThe Family Medical Leave Act, or FMLA, (29 U.S.C.

section 2601 et seq.) became law in 1993. It is intendedto balance the demands of the work place with the needsof families. By providing workers faced with family obli-gations or serious family or personal illness with reason-

able amounts of leave, the FMLA encourages stability inthe family and productivity in the workplace.

The FMLA gives eligible employees of covered em-ployers the right to take unpaid leave, or paid leavecharged to appropriate leave credits under certain cir-cumstances, for a period of up to 12 work weeks in a 12month period due to: 1) the birth of a child or the place-ment of a child for adoption or foster care; 2) theemployee’s need to care for a family member (child,spouse or parent) with a serious health condition; or 3)the employee’s own serious health condition which makesthe employee unable to do his or her job. Under certaincircumstances, FMLA leave may be taken on an inter-mittent basis. Employees are also entitled to continuationof health and certain other insurances, provided the em-ployee pays his or her share of the premiums during theperiod of leave.

The employer has a right of 30 days advance noticefrom the employee, where practicable. In addition, theemployer may require the employee to submit certifica-tion from a health care provider to substantiate that theleave is due to the serious health condition of the em-ployee or a member of the family. The employer mayalso require, as a condition of returning to work, medicaldocumentation from an employee who has been absentdue to personal illness.

The Immigration and Naturalization ActThe Immigration and Naturalization Act (Title 8 of the

United States Code) provides the foundation for immi-gration law. It was passed in 1952 and has been amendedseveral times. Section 1324a of Title 8 imposes require-ments on employers to attest to their examination of cer-tain documents produced by employees that verify em-ployment authorization and identity.

State Assistance and TrainingA number of state agencies and other organizations

offer assistance to local governments in specific areas ofstaff development or personnel program administration.Training and technical assistance provided by state agen-cies is intended primarily to improve the capability of lo-cal employees whose activities help meet program ob-jectives of those agencies. Summarized below are someof the kinds of training and other assistance available tolocal governments.

Department of Civil ServiceThe Department of Civil Service is the primary source

of technical assistance to local governments assisting with


setting up and operating local personnel programs. Localofficials can obtain a variety of specific administrative andoperational assistance from the Municipal Services Divi-sion of the department. For instance, if a municipality doesnot have an appropriate eligible list for a position, thedepartment can provide names from appropriate stateeligible lists. The list may be limited to residents from thelocality or civil division in which the appointments are tobe made, and may be used until it runs out or is super-seded by a list established by the municipality.

On request, the Department of Civil Service also pro-vides on-site advice and technical assistance concerningthe following:

• the State Civil Service Law and municipal rulesand regulations;

• job classification systems, job standards and speci-fications;

• the development of procedural and training manu-als;

• the establishment of salary plans and fringe ben-efits;

• surveys of local civil service or personnel agen-cies;

• training in municipal personnel practices;• setting up and conducting examination programs;

and• minority group training and placement.

Other State AgenciesThe following list indicates the scope and range of the

type of local government training that is offered by otherstate agencies:

The Education Department provides training for localschool superintendents and members of local boards ofeducation.

The Department of Environmental Conservation pro-vides training to help specialized local government staff,including waste water treatment plant operators and airpollution control technicians, meet certification require-ments.

The Office of Real Property Tax Services providestraining to help local assessment officials perform theirfunctions and duties effectively and meet certification re-quirements.

The Office of the State Comptroller offers training forfiscal officers of local governments.

The Office of Mental Health offers program-relatedtraining to staff of local mental health agencies.

The Office of Mental Retardation and DevelopmentalDisabilities makes its own staff training programs avail-able to appropriate local employees.

The Department of Labor makes available to appro-priate local government employees, where possible, itsin-service training programs on such matters as place-ment, supervision and unemployment insurance.

The Office of Children and Family Services makesavailable appropriate training for local social services pro-gram staff and others, including case workers, supervi-sors, day care workers, parent aids, foster parents andinvestigators.

The Office of Alcohol and Substance Abuse Servicesoffers training in such topics as counseling, program de-velopment and prevention to staff of local agencies it fundsand other appropriate agencies.

The State Emergency Management Office (SEMO)of the Division of Military and Naval Affairs providestraining for local government emergency management staffon such matters as emergency planning, communication,creative financing, decision making, hazardous materialsand legal issues.

Department of StateThe Department of State offers certain kinds of tech-

nical assistance and training to promote effective localgovernment operations. To this end, the departmentmakes available training in fire prevention and control,enforcement of the Uniform Fire Prevention and BuildingCode, land use planning and regulation, management ofcommunity action programs, and in specific areas of mu-nicipal management. Technical assistance is also providedin the above areas, as well as in municipal law, intergov-ernmental cooperation, local government organization andoperations, sources of financial assistance and local wa-terfront revitalization.

Other OrganizationsAssistance with staff development and training is of-

fered to local governments through a number of non-stateorganizations. Statewide, these include the municipal as-sociations (NYS Association of Counties, NYS Confer-ence of Mayors and Other Municipal Officials, Associa-tion of Towns of the State of New York and the NYSSchool Boards Association), their affiliate groups, andsuch specialized organizations as the New York PlanningFederation. These organizations often provide training at


their annual meetings or through special seminars, andthey frequently accommodate training sessions of stateagencies and other organizations at their meetings.Summary

Effective personnel administration at the local govern-ment level requires:

• compliance with New York State Civil Service,Human Rights and Federal Laws, and local civilservice rules and regulations;

• formalized personnel policy;• strong but flexible legal framework;

• organized activities;• clearly defined goals and objectives;• concern for human factors as well as for opera-

tional results;• positive personnel activities to stimulate and moti-

vate employees;• concern for employee development; and• awareness of the need for, and benefits of, training

and education.

Chapter Endnote41. Jerome Lefkowitz, The Legal Basis of Employee Relations of New York State Employees (Association of Labor Mediation

Agencies, 1973), p. 2.


CHAPTER XIV

Labor-Management Relations

Collective bargaining became a legal right of public employees at all levels in New York State in 1967.Unionization of public employees subsequently spread rapidly across the state. A set of procedures weredeveloped within the provisions of the Taylor Law, which now regulates labor-management relations ingovernment at the local as well as the state level.

All local governments in the State of New York are public employers. Local Government officials needto be aware of and understand the rules and procedures that apply to relations between the governmentalunit and its employees.

Historical BackgroundPrior to 1967, public employees in New York State

did not have a statutory right to bargain collectively. Theonly statute regulating conditions of employment for publicemployees, the Condon-Wadlin Act of 1947, did not givepublic employees any rights to participate in decisionsregarding employment conditions. This act, which passedfollowing labor disturbances among public employees inRochester, Buffalo and New York City, prohibited strikesby public employees and established severe penalties forviolating its provisions.

The Condon-Wadlin Act was flawed because it failedto make any provision for the amelioration of conditionsthat led to strikes. The growing realization that theCondon-Wadlin Act did not deter strikes, combined withan increasing demand by public employees for bargain-ing rights, generated pressure for amendment or replace-ment of the act. Several bills to do so were introduced inthe State Legislature between 1960 and 1963, but nonepassed. These bills generally provided for some modifi-cation of penalties for striking and for the establishmentof various forms of grievance procedures for public em-ployees.

Several events in the 1950’s and early 1960’s encour-aged employees of state and local governments to asserttheir desires for collective negotiations. In 1950, Gover-nor Thomas E. Dewey guaranteed to state employeesthe right to join employee organizations and created agrievance procedure. In 1954, Mayor Robert Wagnerof New York City issued an interim Executive Order thatgranted limited collective bargaining rights to New York

City transit workers. In later years, other employee groupswere also granted these rights.

Interest in collective bargaining for public employeeswas also stirring in the State Legislature. In 1962, a staffreport to the Joint Legislative Committee on Industrialand Labor Conditions stressed the need for a “more ra-tional labor relations program for public employees.”

The strike penalties of the Condon-Wadlin Act weresoftened for an experimental period between 1963 and1965. The original act was restored, however, when twoserious work stoppages occurred in New York City inthe following year. When the penalties prescribed by theCondon-Wadlin Act were once again circumvented,Governor Rockefeller responded by appointing a blueribbon committee on public employee relations. The leg-islation proposed by this committee, and enacted in 1967,came to be known as the Taylor Law (named for its chair-man, George Taylor). The Taylor Law thus became thefirst comprehensive labor relations law for public employ-ees in New York State and was among the first in thecountry. The Taylor Law applies to the State of NewYork, its counties, cities, towns, villages, public authori-ties, school districts, and certain of its special service dis-tricts.

The Taylor Law:• grants public employees the right to organize and

negotiate collectively with their employers;• gives public employees the right to be represented

by employee organizations of their own choice;• requires public employers to negotiate with their

employees and enter into written agreements with


public employee organizations representing spe-cific units of workers;

• establishes impasse procedures for the resolutionof deadlocks in negotiations;

• mandates binding arbitration of disputes in policeand fire negotiations;

• prohibits as “improper practices” certain acts byemployers and employee organizations;

• prohibits strikes by public employees; and• establishes a neutral agency — the Public Employ-

ment Relations Board (PERB) — to administerthe law and “referee” public sector labor relations.

The Public Employment Relations BoardThe Public Employment Relations Board (PERB) is

an integral part of the Taylor Law’s philosophy of laborrelations. This board was created to serve as an inde-pendent, neutral agency to administer the provisions ofthe Taylor Law and to promote cooperative relationshipsbetween public employers and their employees. To thisend, PERB has the following functions and powers:

• administration of the Taylor Law statewide withina framework of policies set by the Legislature;

• adoption of rules and regulations;• resolution of representation disputes;• provision of conciliation service to assist contract

negotiations;• adjudication of improper practice charges;• determination of culpability of employee organi-

zations for striking and order of forfeiture of duesand agency shop fee check-off privileges as a pen-alty; and

• recommendation of changes in the Taylor Law.Although the Taylor Law provides local governments

with the option of handling their own public employmentrelations matters, few have chosen to do so. At one time,there were 34 local boards (known as mini-PERBs), butonly five now remain in existence. These local boardsexercise most of the responsibilities of the state PERB,but have no jurisdiction over improper practice chargesand do not perform research.

In New York City, the Office of Collective Bargaining(OCB) fulfills PERB functions. For several years, authorityover improper practice cases in New York City residedwith PERB, but in 1979 the Legislature returned this re-sponsibility to OCB.

Elements in the Bargaining ProcessThe Negotiating Unit

A negotiating unit is a group of employees who areeither determined by PERB to constitute a body appro-priate for bargaining purposes, or who are voluntarily rec-ognized as such by a public employer. All employees ofthe jurisdiction may be joined into a single unit for pur-poses of collective bargaining, or they may be dividedinto several separate units that independently negotiatewith the employer. The latter is more common.

When the employer “recognizes” the unit, no legal pro-ceedings are necessary to determine the unit’s composi-tion. However, when the employer does not recognizethe unit, PERB must determine its appropriateness. TheTaylor Law specifies that PERB must apply certain stan-dards in determining negotiating units.

PERB also may exclude management/confidential per-sonnel from negotiating units. Management personnel areemployees who formulate policy, are directly involved incollective bargaining, or have a major role in administer-ing a collective bargaining agreement or personnel ad-ministration. Confidential employees are those who as-sist or act in a confidential capacity to management per-sonnel who are directly involved with labor relations,contract administration or personnel administration. Boththe state and local governments that wish to exclude man-agement/confidential personnel from existing negotiatingunits may apply to PERB for such exclusions. Negotiat-ing units may also apply to PERB to have management/confidential positions reclassified as negotiating unit po-sitions.

The Bargaining AgentAfter the appropriate negotiating unit is defined by em-

ployer recognition or by PERB, employees in the unitmay exercise the right to be represented by an employeeorganization of their choice. The chosen organization, onceit is recognized or certified, is known as the “bargainingagent” and serves as the exclusive representative of allworkers in the negotiating unit, whether or not they aremembers of the union.

Public employers may voluntarily recognize a particu-lar employee organization as the bargaining agent for aspecific negotiating unit. This action is called “recogni-tion.” If, however, the employer does not voluntarily rec-ognize the employee organization, the union must petitionPERB for certification, which designates the union as theexclusive bargaining agent for all employees in the nego-tiating unit for a fixed period of time.


PERB may conduct an election among the membersof the negotiating unit to determine which bargaining agentshould be certified. Employees face different choices indifferent elections: they may be asked to choose betweencompeting employee organizations or between an orga-nization and no bargaining agent. After an election, PERBcertifies the winner as the bargaining agent. In most caseswhere only one union seeks bargaining agent status, anelection is not held. Rather, PERB grants certification upona showing by the employee organization that the majorityof members in the negotiating unit have signed cards —generally dues check-off cards — indicating their sup-port for the organization that is seeking certification.

Once certified, the union has the right to represent theemployees in the bargaining unit without challenge by theemployer or another organization until seven months be-fore the expiration of the collective agreement betweenthe union and the employer. One month earlier, a “win-dow period” opens. During this period, petitions may befiled to change the negotiating unit.

Changes in the certification itself may also occur dur-ing the window period. For example, a challenging em-ployee organization may launch a petition drive at thistime to force an election against the incumbent bargainingagent. If the challenger demonstrates sufficient support(30 percent of the members of the unit), PERB will sched-ule an election that gives employees a choice betweenthe challenger, the incumbent bargaining agent, and norepresentative.

Contract BargainingOnce the bargaining agent has been certified, the Tay-

lor Law requires a public employer to negotiate with thebargaining agent over the wages, hours, and other termsand conditions of employment for employees in the ne-gotiating unit. The Taylor Law charges both employersand employee organizations to bargain in good faith.Generally, public employers should be aware that for themgood faith means:

• bargaining with employee organizations at reason-able times and places;

• listening to and considering bargaining positions putforth by employee groups with respect to termsand conditions of employment; and

• working positively toward a settlement.Good-faith bargaining does not require employers to

agree to specific union proposals, either in whole or inpart, nor does it require employers to make counter pro-posals to specific union demands. However, good faith

does require that both parties negotiate with the intentionof concluding an agreement.

Scope of BargainingThe scope of negotiations — the actual subject matter

that management and labor may negotiate at the bargain-ing table — is broad. As the New York State Court ofAppeals noted in its landmark Huntington decision:

“Under the Taylor Law, the obligation to bar-gain as to all terms and conditions of employ-ment is a broad and unqualified one, and there isno reason why the mandatory provision of thatact should be limited in any way except in caseswhere some other applicable statutory provisionexplicitly and definitively prohibits the public em-ployer from making an agreement as to a term orcondition of employment.”42

PERB categorizes subjects of negotiations as manda-tory, non-mandatory or prohibited.43

The parties must, upon demand, negotiate mandatorysubjects of collective negotiations, and the employee bar-gaining agent and the employer must jointly reach a deci-sion. Examples of mandatory subjects are:

• wages — all compensation paid to public employ-ees;

• fringe benefits — sick and personal leave time,vacation time, and medical insurance;

• hours of work — the amount of time spent on thejob;

• seniority — preference accorded employees onthe basis of length of service;

• grievance procedure;• subcontracting — a decision to let out to a private

contractor services currently being performed bypublic employees; and

• impact on unit members of a reduction in workforce.

Non-mandatory — permissive — subjects of nego-tiation are those issues which are negotiable on a volun-tary basis. These issues do not involve working condi-tions and are management prerogatives. A managementprerogative is an act or a decision which relates directlyto the authority of a public employer to establish govern-ment policy in accordance with its public mission. Ex-amples of non-mandatory subjects of negotiation include:

• overall policies and mission of government;• residency requirements for future employees;44

• employment qualifications; and• filling of vacancies.


volved.” While the Taylor Law is silent with respect tothe length of a legislatively imposed settlement, PERBhas determined that one-year terms are appropriate. Leg-islatively imposed settlements are, in fact, extremely raresince the parties in most cases reach settlement throughnegotiations. A resolution imposed by the legislative bodymay not change the terms of an expired collective bar-gaining agreement without the union’s consent. It may,without the union’s consent, reimpose the terms of theexpired agreement or impose new terms which do notchange any of the terms of the expired agreement.

Board Meeting. In education disputes the TaylorLaw provides that PERB may give the parties a chanceto explain their positions on the fact finder’s report at ameeting at which the legislative body (i.e., the schoolboard) or its committee is present. PERB views the lawto mean, however, that there is no final resolution in edu-cational unit disputes except through agreement betweenthe bargaining parties. In cases where the fact finder’s

Non-mandatory subjects which have been voluntarilyagreed upon and incorporated into a collective bargain-ing agreement are deemed converted into mandatory sub-jects of collective negotiations.45

Prohibited subjects may not be negotiated under anycircumstances. As noted earlier, a public employer’s ob-ligation to bargain terms and conditions of employment isbroad.

Prohibited subjects of negotiation are few, but include:retirement benefits, except the negotiation of improvedretirement benefits among the options offered by the state,and subjects void as against public policy.

Local governments should recognize that they may bebound not only by the terms which are spelled out in theirnegotiated agreements but also by practices that have

developed in the workplace over a period of years. Thesework conditions are called “past practices,” and if theyconstitute terms and conditions of employment they gen-erally may not be changed without negotiation.

Resolution of Bargaining DeadlocksStrikes or lockouts are sometimes invoked to break

bargaining deadlocks in the private sector. The TaylorLaw, which prohibits strikes, prescribes several forms ofthird party intervention to resolve bargaining deadlocks.The Taylor Law also allows negotiating parties to jointlydevelop their own procedures for breaking deadlocks.Either the bargaining party or PERB may declare an im-passe at anytime within 120 days before the date thecontract expires. Table 24 illustrates the sequence of thethree different impasse procedures in the law.

TABLE 24

Steps to Resolve Bargaining Deadlocks

Police and Firefighters, New York CityTransit and Miscellaneous Other Public

Step Safety Personnel Educational Personnel All OthersI Impasse declared by PERB Impasse declared by PERB Impasse declared by PERBII Mediation Mediation MediationIII Binding arbitration Fact finding Fact findingIV Continued negotiations until agreement is reached Legislative hearingV Legislative settlement

Mediation. A mediator, appointed by PERB, acts ina confidential capacity to each side. While acting as abuffer between the parties, the mediator attempts to re-vive the bargaining process. If the mediator effects anagreement, the result is the same as if the bargaining par-ties had successfully completed negotiations on their own.

Fact Finding. PERB may appoint a fact finder who:takes evidence; may hold hearings; receive data, briefsand other supporting information; and then makes publicrecommendations for a settlement. Only mandatory sub-jects of negotiations may be taken to fact finding, unlessthe parties agree mutually to do otherwise. PERB en-courages fact finders to mediate after they issue their re-ports to help reconcile remaining differences.

Legislative Hearing and Settlement. One or bothparties may reject the fact finder’s recommendations. Thelegislative body may, after a hearing required by the law,“…take such action as it deems to be in the public inter-est, including the interest of the public employees in-


report does not result in agreement, PERB will make fur-ther mediation efforts at its discretion. This assistance iscalled “conciliation.”

Binding Arbitration. In police and fire fighter dis-putes and miscellaneous others, a three-member tripar-tite panel chosen by the parties hold hearings and decideeach issue by majority vote. Only mandatory subjectsmay be taken to binding arbitration. Issues may be re-turned to the parties for further negotiation. A panel’s de-termination is final and binding on the employer and em-ployees, subject to appropriate judicial review.

Strikes. The Taylor Law expressly prohibits “…anystrike or other concerted stoppage of work or slowdownby public employees.” In the event of a strike:

• PERB may order the suspension of the dues andagency shop fee check-off privileges of the em-ployee organization upon its own finding that astrike has occurred;

• the employer may initiate disciplinary action againstindividual employees involved in the strike;

• the public employer is required to deduct two days’pay from each striking employee for each day (orpart thereof) on strike. Employees must pay in-come taxes on the full amount of wages lost; and

• the public employer must seek a court injunctionagainst the striking organization. If an injunction isignored, the court may impose fines against theorganization and jail terms of up to 30 days againstunion leaders.

The AgreementThe Taylor Law requires that all negotiated contacts

be in writing upon demand. When negotiations are con-cluded, PERB’s role is limited to serving as a repositoryfor the final agreement. A 1977 amendment of the TaylorLaw excludes PERB from any role involving enforce-ment of a negotiated agreement. PERB’s authority is lim-ited to review of actions that constitute improper em-ployer or employee practices.

Improper PracticesThe orderly conduct of labor-management relations

requires that all participants conform to mutually recog-nized and equitable standards in fulfilling their obligationsunder the law. As a result, the Taylor Law prohibits cer-tain practices of management and labor, such as interfer-ence with the representation rights of employees or theorderly flow of collective negotiations.

Practices Prohibited — Employers:• interference with, restraint or coercion of public

employees in the exercise of their right to form,join or participate in, or to refrain from forming,joining or participating in, any employee organiza-tion, for the purpose of depriving the employeesof such rights;

• domination of or interference with the formationor administration of any employee organization, forthe purpose of depriving the employees of suchrights;

• discrimination against any employee for the pur-pose of encouraging or discouraging membershipin, or participation in, the activities of any employeeorganization;

• refusal to negotiate in good faith;• refusal to continue any of the terms of an expired

collective bargaining agreement until a new agree-ment is negotiated; and

• using state funds to discourage union organizing.Activities Prohibited — Employee Organizations:• interference with, restraint or coercion of public

employees in the exercise of their right to form,join or participate in, or to refrain from forming,joining or participating in, any employee organiza-tion;

• causing, or attempting to cause, a public employerto interfere with these employee rights;

• refusal to negotiate in good faith; and• breach of its duty to fairly represent all employees

in the negotiating unit.A party that believes one of its rights has been violated

may file an improper practice charge with PERB.The Taylor Law gives PERB broad remedial authority inissues regarding a refusal to negotiate in good faith. Forexample, if PERB were to find that an employer has in-creased the hours of work without negotiation upon con-tract expiration, PERB might order restoration of the oldwork schedule and award compensation to affected em-ployees. On some rare occasions, PERB has found thatimproper practices by employers were of such magni-tude as to constitute a provocation of a subsequent strike.In these cases, PERB limited the length of time that thebargaining agent lost its dues and agency shop fee check-off privileges.

The major purpose of the improper practice proce-dure is to establish and preserve rules of fair play in theconduct of labor-management relations.


Contract AdministrationIt has been said that management is no more than half-

way through the labor relations job when a signed agree-ment is achieved. While negotiation is the more visiblephase of collective bargaining, the real payoff is in day-to-day working relationships.46

The management task is far easier when contract termsare clear and unambiguous, but even then, certain re-sponsibilities commonly arise in all contract situations.Management shares with union officials the duty to ex-plain and interpret new contract provisions. In addition,government officials should always be available to meetwith employee representatives to learn about changingemployee attitudes and problems.

Since employee organizations are the chosen repre-sentatives of the employees, government officials shouldtake care not to bypass union agents or undermine theunion’s authority.

Government officials should exercise care in the ad-ministration of a contract, because failure to do so mayresult in employee grievances. For this reason, larger ju-risdictions often retain an employee relations staff to pro-vide expert advice in contract administration.

Grievance ProceduresGrievance procedures provide a method for settling

disputes that arise concerning the meaning or applicationof an existing collective bargaining agreement.

The United States Department of Labor has summa-rized the function of a “grievance procedure” as follows:

“The essence of a grievance procedure is toprovide a means by which an employee, withoutjeopardizing his job, can express a complaintabout his work or working conditions and obtaina fair hearing through progressively higher levelsof management.”47

The requirement that public employers in New YorkState establish grievance procedures predates the TaylorLaw. As early as 1962, the General Municipal Law re-quired all public employers with more than 100 employ-ees to provide a grievance procedure conforming to speci-fied statutory standards. Under the Taylor Law, publicemployers must negotiate a grievance procedure with therecognized or certified bargaining agent.

Most grievance procedures culminated in binding ar-bitration. This type of arbitration is called “rights arbitra-tion,” because it relates to resolution of a dispute thatinvolves an employee’s rights under an existing collectivebargaining agreement. It should be distinguished from “in-

terest arbitration” for police and firefighters in New YorkState, which involves resolution of a dispute over theterms of a new collective agreement. Whether or not agrievance procedure culminates in binding arbitration is asubject of negotiation.

Union SecurityUnion security arrangements are devices to assure the

financial support of employee organizations. Union secu-rity arrangements available under the Taylor Law are theright of exclusive representation and membership duesdeduction. The Taylor Law entitles all recognized or cer-tified bargaining agents to automatic deduction of uniondues from employees’ wages once the agent obtainssigned authorization cards. This helps an employee orga-nization in two ways. First, it reduces dues collection ex-penses significantly. Second, it is easier and more likelyfor the organization to maintain a large membership be-cause the organization does not have to rely on employ-ees for periodic payment of dues. If an employee organi-zation engages in an illegal work stoppage, PERB maywithdraw the dues and agency shop fee check-off privi-lege for a period of time. Individual employees may with-draw their dues or agency shop fee authorization, how-ever, at any time.

The Taylor Law requires an employer to deduct anagency shop fee deduction from the salary or wages ofemployees in the unit who decide not to become a mem-ber of the union. An agency shop fee requires an em-ployee who does not join a union that represents his bar-gaining unit to pay a service fee substantially equal to thedues of that union. The employee need not join the union.The principal rationale of the agency shop fee is that allemployees should share the costs of representation in-curred by the bargaining agent.

Retirement SystemsAmong the fringe benefits of public employment are

retirement benefits. These are long-term liabilities uponthe employer, and they are also a major element of em-ployee concern in labor management relations.

The New York State and Local Employees’ Retire-ment System and the New York State and Local Policeand Fire Retirement System serve as the administratorsof the pension system for virtually all public employeesoutside of New York City except teachers.

Each jurisdiction participating in these systems was pre-viously able to select from a broad spectrum of retire-ment plans. Since 1976, however, members’ benefits


generally have been determined by the date an employeebecomes a member of the retirement system.

The New York State Teachers’ Retirement System cov-ers academics in school districts throughout the state. NewYork City operates five retirement systems for the ben-efit of City employees.

The cost of a pension system depends on three vari-ables: the number of employees covered by the plan; thesalaries paid to these employees; and the specific termsor benefits of the pension plan.

An increase in any of these factors has the effect ofcreating unfunded pension liabilities that must be amor-tized by an increase in the amount of money contributedto the pension system and/or by increased earnings oninvested assets.

While the effect of increasing the number of employ-ees is fairly obvious, the latter two variables have a some-

what different effect. For changes in these factors, it isnecessary to increase payments to the pension system inorder to compensate for past payments that were basedon the lower previous salary rates or benefits, as well asfor future payments. Thus, changes in salaries or pensionbenefits have a retroactive, as well as prospective effecton the costs of a pension system.

SummaryThe practice of labor-management relations has ma-

tured since passage of the Taylor Law in 1967. The Tay-lor Law’s primary purpose was to bring order to publicsector labor relations under commonly understood rulesof behavior. After a period of hesitancy and confusion,this goal has, to a large extent, been achieved. New rela-tionships have developed that previously would have beenunimaginable. Future changes in labor-management rela-tions are more likely to be incremental than fundamental.

Chapter Endnotes42. Board of Education of UFSD No. 3, Town of Huntington v. Associated Teachers of Huntington, 30 N.Y. 2d 122, 331 N.Y.S. 2d 17

(1972).43. The lists of mandatory, nonmandatory and prohibited subjects in this section are drawn from PERB case law and court decisions.

PERB provides full summaries on request.44. Residency requirements for current employees are a mandatory subject of negotiations.45. City of Cohoes, 31 PERB 3020 (1998).46. Dale Yader, et al., Handbook of Personnel Management and Labor Relations (New York: McGraw-Hill Book Co., Inc., 1958), p. 431.47. Collective Bargaining Agreements: Grievance Procedures (U.S. Department of Labor, Bureau of Labor Statistics Bulletin No.

142501, Washington, D.C., 1964), p. 1.


CHAPTER XV

Public Services

Local governments provide services essential to daily living. Some services fulfill basic human needsfor food, shelter and medical care. Others provide an attractive environment and opportunities for recre-ational and cultural activities. Since many public services are shared responsibilities among units ofgovernment, local officials need to understand the organization, structure and interplay of various gov-ernment units to achieve better delivery of services.

State Agency OperationsState agencies are the operating arm of state govern-

ment. By virtue of their many functions and services, stateagencies often are in close contact with local governments.State agencies vary widely in terms of purpose, authorityand nature of services. Some agencies, such as the Of-fice of the State Comptroller and the Office of Real Prop-erty Services, have functions so extensively related tobasic local government operations that they are treatedin detail elsewhere in this Handbook. Others, like theDepartment of Health, play highly significant roles in de-termining how local governments provide certain services.Programs of some agencies, such as the Departments ofEducation, Environmental Conservation, Health, andMotor Vehicles, often touch upon citizens as they go abouttheir daily affairs. Services of these agencies involve oraffect many individuals, have an enormous fiscal impactand involve the exercise of authority over local govern-ments that deliver these services. Other agencies, suchas the Departments of Labor and Transportation, affectthe public directly by channeling funds for local, state orfederal purposes.

Many agencies serve the public directly through theexercise of regulatory authority. The Public Service Com-mission, which regulates utility rates, has a role that isalmost exclusively regulatory. Many agencies provideservices directly to the public and to local governments.Under Article 6-B of the Executive Law, the Departmentof State is authorized to provide assistance to local gov-ernments in the areas of coastal management, communitydevelopment, economic opportunity, fire protection,intermunicipal cooperation, labor relations, legal assis-tance, organization and management improvement, andbasic planning and zoning training. Other agencies and

departments are primarily service-oriented, and neitherregulate local activities nor administer major grant pro-grams. Among these are the Office of General Servicesand the State Insurance Department. Such agencies pro-vide help to local governments largely in the form of tech-nical assistance, informational materials, training, inspec-tion services and/or legal advice.

Social Service and Public Health ProgramsChild and Family Services

The Office of Children and Family Services (OCFS)integrates services for children, youth, and families, andvulnerable adult populations. The purposes of the OCFSare to promote the development of its client populationand protect them from violence, neglect, abuse and aban-donment. The OCFS regulates and inspects child careproviders and funds child care programs. It also: super-vises and regulates Protective Services for Adults; in-spects, supervises and monitors foster care agencies;administers the State Adoption Service; and operates theState Central Register for Child Abuse and Maltreatment.

The Commission for the Blind and Visually Handi-capped within OCFS administers services to legally blindcitizens and assists eligible individuals with job trainingand placement. OCFS also operates 42 juvenile resi-dential facilities.

The OCFS works closely with municipalities, local so-cial services districts and county youth bureaus to ensureadequate youth development services. A plan for youthdevelopment services is prepared through the countycomprehensive planning process. The county departmentsof social services and New York City’s Administrationfor Children Services administer local foster care pro-grams and child welfare services.


Programs for the AgingThe Office for the Aging plans and coordinates pro-

grams and services for more than three million New York-ers who are at least 60 years of age. As a primary advo-cate for older New Yorkers, the office is empowered toreview and comment on state agencies’ program policiesand legislative proposals that may have a significant im-pact on the elderly. The office identifies issues and con-cerns through its two advisory committees — theGovernor’s Advisory Committee on Aging and the AgingServices Advisory Committee. In addition, the office con-ducts public forums throughout the state.

The office operates a statewide toll-free Senior Citi-zens Hot Line at 800-342-9871, which is staffed duringnormal business hours. Hot Line staff provide informa-tion, crisis intervention, problem solving assistance, andmaintain current county-by-county resource files for re-ferral of services. Further information is made availablethrough the office’s websites, its quarterly newsletter, andtelevision programs that air on cable-access stations acrossthe state.

The Office for the Aging cooperates with and assistslocal governments in developing and implementing localprograms. With the exception of grants-in-aid, throughwhich funds are appropriated by the Legislature to theOffice for contracts to public and private not-for-profitagencies that provide a range of locally-determined ser-vices for older New Yorkers, the office’s programs areadministered through 59 local offices for the aging. Pro-grams include: Community Services for the Elderly Pro-gram (CASE), which provides community-based, sup-portive services to frail, low-income elderly who needassistance to maintain their independence at home; Ex-panded In-home Services for the Elderly Program(EISEP), managed by local offices for the aging, which isa uniform, statewide program of case management, non-medical in-home services, respite and ancillary servicesfor the elderly who need long term care but are not eli-gible for Medicaid; Supplemental Nutrition AssistanceProgram (SNAP), which provides home-delivered mealsand other nutritional services to at-risk elderly; Retiredand Senior Volunteer Program (RSVP), which recruitsand places older adults and retirees in volunteer posi-tions tailored to their talents, skills and interests; and FosterGrandparent Program, which provides an opportunity forlow-income people aged 60 and over to provide com-panionship and guidance to children with special or ex-ceptional needs.

The Office for the Aging also administers statewideplans under the federal Older Americans Act, including:

Title III-B, which provides for advocacy, planning andcoordination of services including transportation, infor-mation and referral outreach, in-home and legal servicesto meet specific needs of the elderly; Title III-C-1, whichprovides for nutritious meals and other services to theelderly and their spouses of any age, in congregate set-tings; Title III-C-2, which provides for nutritious mealsto the homebound elderly and their spouses of any age;and Title V, which provides for part-time employment,training and placement assistance for low-income indi-viduals aged 55 and over.

Temporary and Disability AssistanceThe Office of Temporary and Disability Assistance

(OTDA) promotes personal self-sufficiency through thedelivery of temporary assistance, disability assistance, andthe collection of child support. The OTDA is responsiblefor providing policy, technical and systems support to thestate’s 58 social services districts. The OTDA provideseconomic assistance to aged and disabled persons whoare unable to work and transitional support to public as-sistance recipients while they are working toward self-sufficiency. The Division for Disability Determinationsevaluates the medical eligibility of disability claimants forthe federal Supplemental Security Income (SSI) andSocial Security Disability Insurance. The OTDA’s pro-grams include Family Assistance, Safety Net Assistance,Supplemental Security Income, Food Stamps, HomeEnergy Assistance (HEAP), Child Support Services,Housing Services, and Refugee and Immigration Services.

The state is divided into 57 county and one city (NewYork City) social services districts for purposes of pro-viding public assistance and care. A Commissioner headseach of the local social services districts. This official hasresponsibility for administration of public assistance, medi-cal assistance and social services, and must implementthe policies and programs that are formulated by theOTDA, Department of Health (DOH), OCFS, Depart-ment of Labor (DOL) and federal government. EachCommissioner also supervises the expenditure of publicfunds allocated to his or her district.

Community Services Block GrantsCreated in 1981 by the federal Omnibus Budget Rec-

onciliation Act, this program was re-authorized by the“Community Opportunities Accountability, and Trainingand Educational Services Act of 1998” for the purposesof reducing poverty, revitalizing low-income communi-ties, and empowering low income families and individu-als in rural and urban areas to become fully self-suffi-cient. Federal funds are allocated to provide direct ser-


vices, mobilize resources and organize community activi-ties to assist low-income and poor individuals. Granteesprovide comprehensive services to help solve problemsthat impede the achievement of self-sufficiency, secureemployment, attain an adequate education, maintain asuitable living environment, and meet emergency needs.

Most of the Community Services Block Grant (CSBG)funds allocated to New York are awarded as statutoryallocations to designated eligible entities, which includecommunity action agencies (CAAs) serving every countyin the state, and organizations serving migrant and sea-sonal farm workers. Funds are also allocated to four In-dian tribes and tribal organizations. At the state level, fundsare set aside to be used by grantees in the event of adisaster, and to provide professional development op-portunities to the staff and board members of granteeagencies. Under state and federal law, one-third of themembers of CAA boards of directors must be electedlocal officials. The local government/CAA partnership isstrengthened by the direct appropriation of non-federalfunds to assist in the delivery of comprehensive humanservices by CSBG grantees.

Public Health ProgramsShared Responsibilities. The state and local gov-

ernments share responsibility for public health. Two cit-ies and 33 counties maintain full-time health agencies. Inthe absence of a local health department, the district of-fice of the State Department of Health (DOH) providesappropriate services.

Regulatory Functions. The DOH oversees and regu-lates all of New York’s residential health facilities, adulthomes, emergency medical services providers, managed-care organizations, hospitals, diagnostic and treatmentcenters (clinics), and home-care providers. The DOH’sOffice of Health Systems Management ensures that pro-viders render services in accordance with state and fed-eral standards. The office also reviews and certifies health-provider applications to construct, renovate, add or de-lete beds or services, and purchase major new equip-ment. Other regulatory activities relate to the provision ofacceptable water, avoidance and/or elimination of envi-ronmental health problems, and control of sanitation infood establishments.

Direct Services. The DOH works closely with localhealth and social services agencies to fund and assist witha variety of direct services to families and individuals, in-cluding programs related to communicable disease con-trol, child health, nutrition, dental health, and handicappedchildren.

Mental Hygiene ProgramsScope of Programs. The state’s mental hygiene pro-

grams are operated through two independent agencies:the Office of Mental Health (OMH) and the Office ofMental Retardation and Developmental Disabilities(OMRDD). The OMH provides special care and treat-ment to the mentally ill, both in state psychiatric centersand in community-based facilities, and administers a num-ber of programs directed toward those in correctionalfacilities. The OMRDD provides services to more than135,000 people with developmental disabilities in NewYork State. While some services are provided directlyby the state, private not-for-profit agencies operate ap-proximately two-thirds of the community living facilitiesand nine-tenths of the adult day support for people withdevelopmental disabilities. This service system hasevolved from one which was institutionally-based to onewhich is now community-based. All services are licensedand regulated by OMRDD.

The Local Role. The Mental Hygiene Law encour-ages local governments — specifically, counties and theCity of New York — to work with the state to develop alocal services program and to plan for citizens with men-tal retardation and developmental disabilities. Local gov-ernments develop a Local Governmental Plan, which isproduced as a collaborative effort among those involvedat the local level and then submitted to OMRDD for ap-proval by the Commissioner.

Alcoholism and Substance Abuse ProgramsThe Office of Alcoholism and Substance Abuse Ser-

vices (OASAS) is responsible for licensing and evaluat-ing service providers, and for advocating and implement-ing policies and programs for the prevention, early inter-vention, and treatment of alcoholism and substance abuse.In cooperation with local governments, providers andcommunities, OASAS works to ensure that a full rangeof necessary and cost-effective services are provided foraddicted persons and those at risk of addiction.

The Federal Role. Federal funding is provided tothe State under the Substance Abuse Prevention andTreatment (SAPT) Block Grant. Block grant funds aremade available to localities in accordance with OASASfunding policies and procedures.

The State Role. OASAS directly operates 13 Ad-diction Treatment Centers, which provide inpatient reha-bilitation serves to approximately 7,000 patients annu-ally. It also licenses, regulates and funds over 1,200 pri-vate, non-profit, local government and school district pre-vention and treatment service providers.


The Local Role. Local Governmental Units (LGU)are responsible for assessing local needs and developingnecessary resources. Providers, counties, and the Cityof New York develop Local Services Plans, which formthe basis for the office’s Comprehensive Five-Year Plan.

Community Development

Affordable HousingHousing and Community Renewal. The Division

of Housing and Community Renewal’s (DHCR) missionis to make New York a better place to live by supportingcommunity efforts to preserve and expand affordablehousing, home ownership and economic opportunities,and by providing equal access to safe, decent and af-fordable housing. The DHCR is responsible for the su-pervision, maintenance and development of affordablelow and moderate-income housing. The Division performsa number of activities in fulfillment of this mission, includ-ing: oversight regulation of the state’s public and pub-licly-assisted rental housing; administration of housingdevelopment and community preservation programs, in-cluding state and federal grants and loans to housing de-velopers to partially finance construction or renovationof affordable housing; and administration of the rent regu-lation process for more than one million rent-regulatedapartments in New York City and in municipalities in thecounties of Albany, Erie, Nassau, Rockland, Schenectady,Rensselaer and Westchester that are subject to rent laws.

Housing Finance Agency. The New York StateHousing Finance Agency (HFA) was created as a publicbenefit corporation in 1960, under Article III of the Pri-vate Housing Finance Law, to finance low-income hous-ing by raising funds through the issuance of municipal se-curities and the making of mortgage loans to eligible bor-rowers. In recent years, HFA has also financed federallysubsidized low-income housing developments. Theagency’s employees are specialists in real estate financeand law, capital market financing, asset management, con-struction and program development.

Housing Trust Fund. Chapter 67 of the Laws of 1985created the Housing Trust Fund Corporation, a publicbenefit corporation which administers the Low-IncomeHousing Trust Fund (HTF) Program. The HTF Programwas established under Article XVIII of the Private HousingFinance Law to help meet the critical need for decentopportunities for low-income people. This program pro-vides funding to eligible applicants to: construct low-in-come housing; rehabilitate vacant or under utilized resi-dential property; or to convert vacant non-residential

property to residential use for occupancy by low-incomehomesteaders, tenants, tenant-cooperators, or condo-minium owners.

Affordable Mortgages. The State of New YorkMortgage Agency (SONYMA) is a public benefit cor-poration created by statute in 1970. The purpose ofSONYMA is to make mortgages available to low andmoderate income first-time buyers and to other qualify-ing home buyers. Under its various programs, SONYMApurchases new mortgages from participating lendersacross the state. Funds for SONYMA’s low-interestmortgages are derived primarily from the sale of tax-ex-empt bonds, although some funding has come from thesale of taxable bonds. Since its inception through Octo-ber 31, 1998, SONYMA has issued approximately $9.7billion in mortgages.

Municipal Housing. Through a special act of the StateLegislature, any city, village or town may create a hous-ing authority. As of the end of the 1998 session, 186municipal housing authorities have been created. A mu-nicipal housing authority has the power to investigate liv-ing conditions in the municipality and determine whereunsanitary or substandard housing conditions exist. Theauthority may construct, improve or repair dwelling unitsfor persons of low income. In addition, an authority canconstruct and revitalize stores, offices and recreationalfacilities in a depressed neighborhood. A municipal au-thority may undertake projects with funds obtained solelyfrom the sale of its bonds to private individuals, firms orcorporations, provided that the municipality approves theproject. Authorities may also receive assistance from thestate and federal government.

Appalachian Regional DevelopmentThe Appalachian Regional Commission (ARC) was

established by the Federal Appalachian Regional Devel-opment Act of 1965, to improve the economy and qual-ity of life in Appalachia. The program provides financialand technical assistance to the region in order to: meet itsspecial problems; promote economic development; andto establish a framework for joint federal and state ef-forts toward providing the basic facilities essential togrowth, attacking common problems, and meeting com-mon needs on a coordinated and concerted regional ba-sis.

New York State is one of the 13 states in the feder-ally-defined Appalachian region, which also includes allof West Virginia, and parts of Pennsylvania, Ohio, Mary-land, Virginia, Kentucky, North Carolina, South Caro-lina, Tennessee, Georgia, Alabama, and Mississippi. The


Appalachian portion of New York State (“AppalachianNew York”), contains the following 14 counties: Allegany,Broome, Cattaraugus, Chautauqua, Chemung,Chenango, Cortland, Delaware, Otsego, Schoharie,Schuyler, Steuben, Tioga, and Tompkins.

The Commission is formally comprised of the Gover-nors of the Appalachian States and the Federal Co-Chair-man, who is appointed by the President. The Secretaryof State serves as the Governor’s alternate. The Depart-ment of State (DOS) is the official agent of the State ofNew York responsible for administering the AppalachianProgram in New York State.

The ARC Strategic Plan for 2005-2010 identifies fourstrategic goals to be implemented by ARC resources.The specific goals are as follows: (1) incease job oppor-tunities and per capita income in Appalachia to reach paritywith the nation; (2) strengthen the capacity of the peopleof Appalachia to compete in the global economy; (3)develop and improve Appalachia’s infrastructure to makethe region economically competitive; and (4) build theAppalachian Development Highway System to reduceAppalachia’s isolation. These strategies provide the keystate policy framework for investment of ARC resourcesin Appalachian New York. All project proposals mustimplement one of the state strategies developed for AreaDevelopment resources or the Commission’s RegionalInitiatives.The New York State Department of State isassisted in the development of projects by three LocalDevelopment Districts in the Southern Tier (Southern TierEast Regional Planning Development Board inBinghamton, Southern Tier Central Regional Planning &Development Board in Painted Post and Southern TierWest Regional Planning & Development Board inSalamanca) and cooperating State agencies. The NewYork State Department of Transportation also adminis-ters New York’s participation in the development of theAppalachian Development Highway System (ADHS),established by Congress as the centerpiece of ARC’seconomic and social development programs.

The ArtsEstablished in 1960, the New York State Council on

the Arts is a funding agency that supports activities ofnon-profit organizations in the state and helps to bringartistic performances and high quality programs to thestate’s residents. The Council invites non-profit organi-zations that meet eligibility requirements to apply for lo-cal assistance funds to provide cultural services to thepeople through cultural services contracts. These servicescover a broad range of activities.

The State and Local Partnership Program (SLP) fos-ters the growth and development of the arts and cultureat the local level. SLP primarily supports multi-arts orga-nizations that are committed to the long-term cultural de-velopment of their communities or regions. Financial sup-port is currently available in 16 program areas includingarchitecture, planning and design, arts in education, capitalprojects, dance, electronic media and film, folk arts, lit-erature, museum, music, theater and visual arts, and stateand local partnerships.

Business DevelopmentThe State Department of Economic Development/Em-

pire State Development (ESD) Corporation is dedicatedto creating jobs and encouraging prosperity by strength-ening and supporting businesses in New York. The agencymaintains regional and international offices to provide one-stop access to the state’s products and services for busi-ness. It also provides direct services ranging from finan-cial incentives for joint ventures to technical expertise insite selection and development. The agency works inpartnership with local governments and regional organi-zations which desire to attract business.

The ESD assists local governments in establishing in-dustrial development agencies. As the state’s primaryagency in the development of tourism, ESD works withcounties and their designees to administer a tourismmatching fund program. Funds appropriated by the StateLegislature for this program are apportioned to supportadvertising for local and regional tourism.

State-local efforts to help distressed communitiesachieve economic growth have been intensified under theNew York State Economic Development Zones Act,Chapter 686 of the Laws of 1986. Empire State Devel-opment administers this program in cooperation with otheragencies and participating counties, cities, towns and vil-lages. Nineteen such zones may be designated over thefirst three years of the program by the State Zone Desig-nation Board, and provided with special incentives to spureconomic growth. The incentives offered include assis-tance with financing and business permits, as well as vari-ous tax and local incentives.

Campus and Institutional HousingThe Dormitory Authority is a public corporation es-

tablished in 1944 to finance and construct dormitoriesfor state teachers’ colleges. Its functions have since beenexpanded to include design, financing and constructionproject management services for a wide range of highereducation, healthcare and public-purpose facilities. The


authority serves: the State University of New York; theCity University of New York; independent colleges anduniversities; community colleges; special educationschools; court facilities for cities and counties; the StateDepartments of Health and Education; the State Officesof Mental Health, Mental Retardation and Developmen-tal Disabilities and Alcoholism and Substance Abuse Ser-vices; the New York City Health and Hospitals Corpo-ration; long-term health care facilities; independent hos-pitals, primary care facilities, diagnostic and treatmentcenters, medical research centers; and public-purposeinstitutions authorized by statute. The Dormitory Author-ity is also authorized to provide tax-exempt equipmentleasing.

Coastal Management and Waterfront RevitalizationAdministered by the Department of State with federal

and state funding, the New York State Coastal Manage-ment Program guides and coordinates local, state andfederal development and preservation decisions for thestate’s 3,200 miles of coastline. Specific guidance is pro-vided by the program’s coastal policies that address com-munity and economic revitalization, natural resource pro-tection and restoration, public access, and water quality.Funding through the Environmental Protection Fund andtechnical assistance are offered to help municipalities pre-pare and implement Local Waterfront Revitalization Pro-grams (LWRPs). Through LWRPs, municipalities mayrefine and supplement state coastal policies to reflect lo-cal conditions and needs. Chapter 366 of the Laws of1986 extended the LWRP concept to inland waterwaysin the state, including the Barge Canal System and majorlakes and rivers.

Community Development Block GrantsThe Office for Small Cities administers the Commu-

nity Development Block Grant (CDBG) Program for theState of New York. The NYS CDBG program providesfinancial assistance to eligible cities, towns and villageswith populations under 50,000 and counties with an areapopulation under 200,000, in order to develop viablecommunities by providing decent, affordable housing andsuitable living environments, and expanding economicopportunities, principally for persons of low and moder-ate income.

The state must ensure that not less than 70% of itsCDBG funds are used for activities that benefit low- andmoderate-income persons. The program objectives areachieved by supporting activities or projects that benefitlow- and moderate-income families, create job opportu-

nities for low- and moderate-income persons, prevent oreliminate slums or blight, or address a community devel-opment need that poses a serious and imminent threat tothe health or welfare of the community.

The Office for Small Cities is a subsidiary public ben-efit corporation of the New York State Housing TrustFund Corporation and a member of the team at the NewYork State Division of Housing and Community Renewal.

Parks, Recreation and Historic PreservationNew Yorkers enjoy a rich heritage of parks and his-

toric and cultural resources that contribute to the qualityof their communities. The Office of Parks, Recreationand Historic Preservation (OPRHP) is responsible fordeveloping and implementing statewide plans for the useof recreational and historical assets. OPRHP coordinatesstate and federal aid for parks, recreation and historicpreservation programs. It serves as the state’s liaison withthe federal government for matters relating to preserva-tion provisions of the Federal Tax Reform Act of 1976and the National Historic Preservation Act.

OPRHP administers three major pass programs al-lowing discounts in the use of state park and recreationalfacilities. In cooperation with local education systems,OPRHP operates outdoor learning programs at parks inmost regions. It also administers state planning efforts forthe Urban Cultural Park Program and sponsors variousathletic programs including the Empire State Games, theGames for the Physically Challenged, and the SeniorGames. In addition, OPRHP administers the State Navi-gation Law and conducts the Marine and RecreationalVehicles program. This effort includes the Law Enforce-ment Subsidy, the Safety and Education Programs, andthe Marine Services Program. These programs providelocal law enforcement agencies with assistance in theeducation and training of youths regarding boat and snow-mobile safety, inspection of public facilities, and place-ment of buoys in the state’s inland waterways.

Regional park, recreation and historic preservationcommissions advise the OPRHP Commissioner on thepromulgation of rules and regulations for park regions toensure they are consistent with state policies and regula-tions. The State Council of Parks, Recreation and His-toric Preservation aids the Commissioner by reviewingand making recommendations on policy, budget and stateaid plans. The Council serves as the central advisory boardon all matters affecting parks, recreation and historic pres-ervation. The State Board of Historic Preservation ad-vises the Commissioner and the Council on policy mat-ters affecting historic preservation and the historic sitessystem and on priorities among historic preservation op-


portunities. The Board also reviews and makes recom-mendations to the Commissioner on the nomination ofproperties to the National or State Registers.

At the local level, counties, cities, towns and villageshave concurrent powers to establish and maintain parks.They may acquire and dedicate land for park and recre-ational purposes and can utilize zoning powers to planand set aside land for park purposes to meet the needsof local residents.

Weatherization AssistanceThis federally funded program, administered in New

York by DHCR, funds the installation of energy conser-vation measures to reduce the energy costs of low-in-come families and individuals. It has been credited withsignificantly reducing energy costs and increasing the healthand comfort of low-income participants. Funding is pro-vided by the U.S. Department of Energy and the U.S.Department of Health and Human Services. Under theprogram, DHCR funds local sub-grantees under contractto perform the work. These local sub-grantees, whichdeliver services on a statewide basis, include communityaction agencies, community-based organizations, coun-ties, and Indian tribal organizations. Since the programcommenced in 1977, over 465,000 dwelling units in thestate have been weatherized.

Public SafetyProtection of life and property is one of the oldest func-

tions of local government. In New York State most of theearly municipal incorporations were little more than ef-forts to provide fire and/or police services to built-up ar-eas. Today, public safety represents the third largest ex-pense of local government. Only education and socialservices command a larger share of the local dollar.

Correctional ProgramsFour state agencies share with local governments cer-

tain responsibilities for caring for offenders and restoringthem to society.

The Department of Correctional Services (DOC) isprimarily responsible for the confinement and rehabilita-tion of approximately 63,000 inmates held at 69 correc-tional facilities across New York State. More than 31,500employees work behind prison walls to provide for thesafety and security of the system. The DOC also inter-acts with communities, sending supervised work crewsout into the community for nearly two million hours eachyear to perform public service projects for governmentsand not-for-profit organizations. Staff is responsible for

the operation of an array of academic, vocational, drugtreatment and work programs designed to provide alloffenders with the basic skills they will need to functionas responsible and law-abiding citizens upon their releasefrom custody. The Department also operates a 900-beddrug treatment campus that serves parole violators as wellas felons newly sentenced by the courts to a drug treat-ment program.

The State Commission of Correction is charged withgeneral oversight responsibility for all prisons, jails andlockups throughout the state. This mandate is aimed atimproving the administration of correctional facilities, andthe conditions that affect the lives and safety of inmatesand staff. The Commission consists of three membersappointed by the Governor. One member serves asChairperson, one serves as Chairperson of the MedicalReview Board, and the last serves as Chairperson of theCitizens’ Policy and Complaint Review Council. TheCommission establishes minimum standards for care,custody, treatment and supervision of all persons con-fined in state and local correctional facilities. The Com-mission also inspects facilities to ensure adherence tothese standards and handles grievances filed with respectto the standards.

The Division of Probation and Correctional Alterna-tives (DPCA) exercises general supervision over the ad-ministration of local probation agencies and the use ofcorrectional alternative programs. The DPCA promotesand facilitates probation and other community correc-tions programs through funding and oversight. It admin-isters a program of state aid funding for approved localprobation services and for municipalities and private non-profit agencies that have approved alternative-to-incar-ceration service plans that enable localities to maintaininmates in local correctional facilities more efficiently. Italso funds designated demonstration and other special-ized programs.

The State Director of Probation also adopts rules con-cerning methods and procedures used in the administra-tion of local probation services, and develops standardsfor the operation of alternative-to-incarceration programs.The Director also serves as the Chair of the State Proba-tion Commission. The Commission members, appointedby the Governor, provide advice and consultation to theDirector on all matters relating to probation.

The State Board of Parole, an administrative bodywithin the Division of Parole, is responsible for the re-lease of certain prisoners in state correctional institutions.The Division is responsible for community protection and


offender risk control through the administration of paroleservices.

Criminal JusticeThe Division of Criminal Justice Services (DCJS) seeks

to increase the effectiveness and vitality of the criminaljustice system in New York State. The Division’s Identi-fication and Criminal History Operation, a data bank ofcriminal records, provide even the smallest departmentwith access to a massive record system. Through DCJS,local police may also obtain criminal information from theFederal Bureau of Investigation. The Division’s Bureaufor Municipal Police advises all municipal police agen-cies in the state.

Emergency Medical ServicesBoth the public and private sectors provide pre-hos-

pital emergency medical services. In some cities, a singlecommercial ambulance service provides paramedic ser-vices. In other cities, fire departments provide paramedicservices while commercial ambulance services providebasic life support and transportation services. In smallcommunities and suburban and rural areas, ambulanceservices are largely provided by volunteer organizations,which are under the auspices of fire departments or dis-tricts, independent squads or (in a few cases) hospitals.Voluntary services are sometimes supported by fire orspecial improvement district taxes, but more often relyupon donations from the public and/or fees under con-tract from local governments. All commercial and volun-teer ambulance services must be certified by the StateHealth Department. To receive certification, ambulanceservices must meet specific training and equipment re-quirements and quality assurance mandates.

Fire ProtectionFirefighting service in New York State is provided

through a variety of municipal and intermunicipal arrange-ments. About 20,000 full-time career firefighters and over100,000 volunteer firefighters work in more than 1,800fire protection/prevention organizations (federal, state, andlocal) across the state.

In cities and villages, firefighting is commonly providedby a municipal fire department, composed either of ca-reer or volunteer firefighters, or a combination of the two.In larger communities that utilize volunteers, the local de-partment generally contains several independent fire com-panies. Each has its own officers, buildings and appara-tus. The fire chief is usually appointed by the local chiefexecutive upon nomination by members of the fire com-

pany. In instances where a village maintains no fire de-partment, it contracts with a neighboring community orfire district for fire protection services.

Unlike villages and cities, towns are not legally em-powered to provide direct firefighting services. Gener-ally, town boards create one or more fire districts or fireprotection districts to cover all or part of a town. A fewareas have no fire service protection. These arrangementsare more fully described in Chapters VII and IX. Al-though towns do not directly provide firefighting services,they do provide valuable fire protection services. Manylarger towns have a fire prevention and inspection staff.Others, particularly those with a large number of fire dis-tricts or fire protection districts, provide central dispatch-ing and/or training facilities.

County Role. Counties, guided by their Fire Advi-sory Boards, provide valuable services for fire protec-tion, including radio communications systems, fire depart-ment dispatch services and the maintenance of special-ized firefighting equipment for departments within theirjurisdiction. Most counties have a fire coordinator, whois a key link between state and local activities. Appointedby the county’s legislative body, under section 225-a ofthe County Law, the coordinator has the responsibility ofcoordinating mutual aid responses by fire departmentswithin the county and of administering education and train-ing programs.

State Role. The state, through the Department ofState’s Office of Fire Prevention and Control (OFPC),directed by the State Fire Administrator, provides a broadrange of programs to assist entities that provide fire ser-vices directly to the public. OFPC annually trains ap-proximately 40,000 career and volunteer firefighters, otheremergency response personnel and government officials.Training sites include the New York State Academy ofFire Science in Montour Falls, the Academy’s PeekskillAnnex at Camp Smith, and local sites throughout the state.OFPC implements statewide minimum training standardsfor firefighters.

The OFPC provides fire and arson investigation ser-vices to municipalities, assists in the stabilization/mitiga-tion of hazardous materials spills, and works with fire de-partments and other emergency response agencies to pre-pare for responding to terrorist incidents. OFPC oper-ates the Capital District Urban Technical Search andRescue Team which provides special, technical rescueservices to fire departments. The office mobilizes the StateFire Mobilization and Mutual Aid Plan to cope with ma-jor disasters and assumes the command function. Coor-


dination of forest fire response is handled by the Divisionof Forest Protection and Fire Management in the De-partment of Environmental Conservation.

OFPC maintains the State Fire Reporting System andthe State Burn Injury Reporting System, through whichinformation relating to fire and arson prevention and con-trol is collected, compiled and disseminated. The staffconducts fire inspections of state office buildings, col-leges and universities and other state facilities and en-forces the Uniform Fire Prevention and Building Code.OFPC developes and administers fire safety standardsfor cigarettes and is responsible for the state wireless 911system. The office provides fire safety education to thepublic, schools, colleges, universities, and state employ-ees, and assists fire departments, schools and commu-nity groups in providing fire prevention, fire survival, burninjury and accident prevention education.

Fire Boards and Commissions. The Fire Safety Ad-visory Board, a 12 member unpaid body appointed bythe Governor, assists the Secretary of State and StateFire Administrator in all aspects of fire protection andlegislation. A 15 member Arson Board has been estab-lished to advise and assist the Secretary of State and StateFire Administrator on arson problems. The New YorkState Emergency Services Revolving Loan Board reviewsand makes recommendations to the Secretary of Statefor low-interest loans to municipalities and fire districtsthat meet specific criteria.

The Fire Fighting and Code Enforcement PersonnelStandards and Education Commission recommends train-ing standards to the Governor which establishes mini-mum qualifications for firefighters and code enforcementpersonnel. The Commission consists of the Secretary ofState, State Fire Administrator, and five members ap-pointed by the Governor with the consent of the Senate.

The 16 member Emergency Services Council, com-prised of representatives from the emergency services,law enforcement, the State Fire Administrator and keyState agencies is charged with developing and coordi-nating state emergency services, recommending emer-gency services policy and eliminating duplication of ef-forts with the emergency services community. The NewYork State 911 Board, comprised of 13 members andchaired by the Secretary of State, has been given the jobof assisting the counties of New York State in providingthe best possible 911 service to its residents.

Building Code Administration and Enforcement.The New York State Uniform Fire Prevention and Build-ing Code (Uniform Code), which became effective Janu-

ary 1, 1984, superseded all existing local fire and build-ing codes except in New York City, which was permittedto retain its own code. Municipalities may, however, adoptand enforce more stringent local provisions with Stateapproval.

Except in a minority of municipalities, administrationand enforcement of the Uniform Code is carried out di-rectly by local governments through local laws, and inaccordance with minimum standards promulgated by theSecretary of State. Those municipalities must enforce theCode through locally-appointed officers, although sup-port services may be contracted out to private organiza-tions. Some municipalities have entered into cooperativeagreements with other municipalities under Article 5-Gof the General Municipal Law. Such a pooling of re-sources has been especially attractive to municipalities inrural areas. A municipality or a county may choose not toenforce the Uniform Code by enacting a local law pro-viding that it will “opt out” of enforcement. Responsibilityfor enforcement is then automatically transferred to thecounty, or, where the county has “opted out,” to the State.

The Department of State’s Division of Code Enforce-ment and Administration is charged with administrationof the Uniform Code in relation to local governments,state agencies and the public. Effective July 13, 1996,additional responsibilities were transferred to the Depart-ment of State from the Division of Housing and Commu-nity Renewal, including interpreting the Uniform Code;providing staff to the Code Council; overseeing a HUDsponsored mobile home oversight and complaint program;certifying manufacturers, retailers, installers and mechan-ics of manufactured housing (effective 7-1-06), includingwarranty seal placement by manufacturers and installers(effective 1-1-06); approving modular home construc-tion plans as well as non-residential building constructionplans (effective 1-1-03), and maintaining a third partyplant inspection program, issuing Certificates of Accept-ability for construction materials, methods and devices,and performing other associated functions. Effective Janu-ary 1, 1999, the Department assumed responsibility forthe State Energy Conservation Construction Code.

The Department has 11 regional field service officesproviding technical assistance and coordinating variancerequests with local government officials. Through its re-gional field service offices, the Department of State con-ducts reviews of local code enforcement programs andadministers a complaint resolution program. The regionalfield service offices employ state code enforcement of-ficers in municipalities or counties where the state hascode enforcement responsibility. Municipalities and coun-


ties may regain their local enforcement authority by re-pealing their opt-out enactment. The Secretary of Stateis also empowered to investigate local administration andenforcement of the code and take remedial actions aswarranted.

Responsibility for formulating and amending the Uni-form Code rests with the State Fire Prevention and Build-ing Code Council, a 17 member body chaired by theSecretary of State, and composed of the State Fire Ad-ministrator, Commissioner of Health, Commissioner ofLabor and 13 members appointed by the Governor (7with the consent of the Senate). In 2001, the Code Councilrecommended adoption of the: Residential Code, Build-ing Code, Plumbing Code, Mechanical Code, Fuel GasCode, Fire Code, Property Maintenance Code and En-ergy Code as published by the International Conferenceof Building Officials with modifications for New YorkState. These codes were effective January 1, 2003.

The Department of State’s Educational Services Unitprovides a statewide code enforcement training program,having as its priority the basic training and continuing edu-cation of code enforcement officers. The Department’sservices are available to elected and appointed officials,the general public, contractors, architects, engineers, andmanufacturers.

Emergency ManagementAn integrated emergency management system is the

legal responsibility of the state and local governments,pursuant to Article 2-B of the Executive Law and theNew York State Defense Emergency Act.

The State Role. The State Disaster PreparednessCommission, through the New York State EmergencyManagement Office (SEMO), is responsible for coordi-nating and implementing emergency management pro-grams, financial assistance and work plans at the stateand local levels of government. This includes provisionsfor hazard identification and analysis, coordination andconduct of emergency and disaster management trainingprograms, comprehensive emergency management plan-ning, and statewide communications and warning systems.

The Local Role. The responsibility for disaster pre-paredness rests with the chief executive of each county,city, town and village. Every county, city, town and vil-lage should develop comprehensive emergency manage-ment plans. In the event of a disaster or emergency, thelocal chief executive may declare a local state of emer-gency, which permits the use of wide-ranging emergencypowers as long as the proper procedures are followed togovern their invocation. A local chief executive may also

request that the Governor declare a state disaster emer-gency, which would result in implementation of the StateComprehensive Emergency Management Plan to sup-port county response and recovery operations. Beforesuch a request is made, all county resources must be fullyinvolved with the disaster and considered insufficient tocope with it. Cities, towns and villages should first re-quest aid from their counties before approaching the state.

Police ServicesOver 400 separate county, city, town and village po-

lice agencies share responsibility for the enforcement ofstate and local laws in New York. These agencies rangein size from New York City’s Department, with over37,000 sworn officers, to 11 agencies with only one ortwo part-time police officers. Communities in New YorkState employ over 55,000 full-time and over 1,800 part-time municipal police personnel at a cost of almost fivebillion dollars annually.

State Police. Executive Law established the Divisionof State Police on April 11, 1917. The agency’s vision isto continue a tradition of service, through its mission toprotect, serve and defend the people of New York Statewhile preserving the rights and dignity of all. Its swornofficers strive to preserve peace, protect life and prop-erty, detect crime, enforce laws and arrest violators.

New York State is geographically divided into 10troops, plus a troop dedicated exclusively to the NewYork State Thruway. Each troop is further broken intozones that contain stations and satellite offices. The uni-formed trooper is the field officer who promotes safetyand security, enforces laws, conducts investigations, andfosters relationships with the community and its citizens.The Bureau of Criminal Investigation (BCI) and associ-ated special units provide investigative services. Thesespecial units include the Special Investigations Unit (SIU),Violent Felony Warrant Squad (VFW), Gun Investiga-tions Unit (GIU), Office of Counter-Terrorism (OCT),Internet Crimes Unit, Drug Enforcement Task Force(DETF), Community Narcotics Enforcement Team(CNET), and Casino/Gaming Unit.

Numerous specialized and support units assist withunique abilities and investigative techniques. They includethe Canine Unit, Marine Unit, SCUBA Unit, Bomb Dis-posal Unit (BDU), Contaminated Crime Scene Emer-gency Response Team (CCSERT), Aviation, and MobilResponse Team (MRT). The State Police also providescommunity based and public service programs throughour Schools and Community Outreach Unit, and withSchool Resource Officers.


State Police Troopers and Investigators work closelywith local, state, and federal agencies to provide the bestpossible police services to the citizens of New York State.Other law enforcement agencies often call upon the StatePolice for assistance and to provide investigative and tech-nical resources. One such resource is the state-of-the-art Forensics Investigation Center (FIC), one of the mostscientifically advanced forensic law enforcement labora-tories in the world.

Environmental ProtectionConservation Councils and Boards

Many counties, cities, towns and villages have estab-lished advisory councils or conservation boards underArticle 12-F of the General Municipal Law to help pro-tect and manage local environmental and scenic resources.These agencies provide a focus for local environmentaloverview and advocacy and perform functions assignedby their local legislative bodies, including environmentaleducation, review of development proposals, technicalassistance to other agencies and sponsorship of improve-ment projects. The Department of Environmental Con-servation (DEC) provides technical assistance to countyenvironmental management councils and municipal con-servation advisory councils and commissions.

Environmental FacilitiesThe Environmental Facilities Corporation (EFC) is a

public benefit corporation that promotes environmentalquality by providing low-cost capital and expert techni-cal assistance to municipalities, businesses and state agen-cies for environmental projects throughout New YorkState. Its purpose is to help public and private entitiescomply with federal and state environmental requirements.

The EFC oversees several major programs designedto promote environmental quality at an affordable cost.The EFC currently has two Revolving Loan Funds. TheClean Water State Revolving Loan Fund is used to makelow-interest loans to municipalities to help pay for waterpollution control facilities, such as wastewater treatmentplants, and for water quality remediation measures asso-ciated with landfill closures. The Drinking Water StateRevolving Loan Fund is operated jointly by the EFC andthe Department of Health to provide low-interest loansto public and private water systems to undertake neededdrinking water infrastructure improvements. Grants areavailable for drinking water projects in communities fac-ing financial hardship.

The Technical Advisory Services program helps busi-ness and government understand and comply with state

environmental requirements, and provides services forprotecting the New York City Watershed and helping smallbusinesses comply with air pollution standards. The In-dustrial Finance Program provides low-cost loans to pri-vate entities seeking to borrow for capital facilities thatdeal with solid waste, sewage treatment, drinking water,limited hazardous waste disposal and site remediation.The Financial Assistance to Business program helps busi-nesses comply with air and water quality environmentalregulations and provides grants to small businesses forspecific pollution control or prevention projects.

Flood Control and Water ResourcesMuch of early New York developed around water-

ways, with the result that some 1,400 communities areeither wholly or partially in areas subject to a significantflood hazard. These communities seek to mitigate thathazard through such strategies as implementation of flood-plain regulations, construction of flood control structures,and participation in: local flood warning systems, floodpreparedness plans and in the National Flood InsuranceProgram. The latter is available to property owners andtenants in communities that regulate the use of their flood-plains.

The DEC assists localities with these activities, helpsobtain funds for flood control measures, coordinates theNational Flood Insurance Program and works with theState Emergency Management Office to help communi-ties prepare for flood emergencies. The Department alsohelps local governments develop small watershed pro-tection projects, and plan and implement strategies toprotect, develop and use local water resources.

Forest ResourcesMany local governments have significant rural and/or

urban forest resources to protect and manage. The DECprovides technical assistance for the establishment andmanagement of county forests, watershed forestry de-velopment, parks, and street tree programs. As many ruralvolunteer fire companies must protect forest resources intheir jurisdictions, DEC also provides technical assistanceand training in the control of forest, brush and grass firesand helps these rural companies obtain small federal grantsfor rural fire protection. The forest tax program, adminis-tered under section 480-a of the Real Property Tax Law,authorizes DEC to approve forestry management pro-grams undertaken by private landowners who therebybecome eligible for lower property tax assessments.


Hazardous WastesWith the help of local health and environmental agen-

cies, DEC has identified more than 1,600 sites wherehazardous wastes may have been improperly disposedof in the past. When an inactive hazardous waste dis-posal site is determined to pose a significant threat topublic health or the environment, action is required. If noresponsible party can be identified, the DEC seeks fed-eral or State Superfund assistance for site investigationand remediation.

The DEC also manages portions of the Clean Water/Clean Air Bond Act Fund, providing reimbursement grantsto municipalities for the investigation and remediation ofcontaminated sites. In addition, New York’s VoluntaryCleanup Program encourages volunteers to use privatefunds to clean up sites to specified levels in exchange fora release from state liability for the work done.

Treatment, storage and disposal of more than one mil-lion tons of hazardous waste, which is generated eachyear by New York industries, is controlled by stringentstate and federal regulations. The DEC enforces thesecontrols, and studies the possible need for environmen-tally sound disposal of future hazardous wastes. Com-munities are involved in the search for suitable sites andin planning for possible facilities.

Natural Resources ProgramsNew Yorkers enjoy an abundance of natural resources,

including the majestic Adirondack and Catskill mountains,a 3,200-mile coastline, thousands of square miles of publicand private forest lands, immense surface and groundwater resources and a wide variety of wildlife and min-eral resources. Primary responsibility for protecting andmanaging the state’s natural resources rests with the DEC,but some of that responsibility is shared with other stateagencies and local governments. The Department ofState’s Coastal Management Program has already beendiscussed in this Chapter. Other programs are discussedbelow.

Oil Spill Prevention and ControlLegislation passed in 1977 provides for the licensing

of major petroleum facilities and the collection of fees toestablish a fund, now known as the Environmental Pro-tection and Spill Compensation Fund. The DEC is des-ignated as the administering agency to investigate and cleanup oil spills. The Department establishes environmentalpriorities and provides advice on cleanup activities. Allspills must be reported to DEC, and may be reported viaa special hotline. The spiller is responsible for cleanup.

When the spiller is unknown, or uncooperative, the De-partment initiates and implements cleanup activities througha series of standby contracts with recognized firms. TheDEC may also use the Emergency Oil Spill Network thatincludes units of state and local government. The spill com-pensation fund, which is administered by the StateComptroller’s Office, reimburses the costs incurred bycleanup activities that are directed by DEC.

SEQRAThe State Environmental Quality Review Act (SEQRA)

requires state and local governments to determine whetheror not certain proposed actions may have any significantadverse impacts on the environment and seeks to miti-gate such impacts. The DEC provides technical assis-tance to municipalities in the administration of this law.The procedures for SEQRA review are spelled out brieflyin Chapter XVI.

Solid Waste ManagementSolid waste management is administered in New York

through “planning units,” as defined in the EnvironmentalConservation Law. “Solid waste” generally refers to gar-bage, refuse, sludge and other discarded materials re-sulting from industrial, commercial, mining or agriculturaloperations, and from residential and other communityactivities. A “planning unit” is a county or group of coun-ties acting jointly, a local government agency or authorityestablished by law for the purpose of managing solidwaste, or two or more municipalities that have been de-termined by the DEC to be capable of implementing aregional solid waste management program. Plans aredeveloped to promote an integrated system that providesfor or considers the management of all solid waste gen-erated within the planning unit and embodies sound prin-ciples of solid waste management, natural resource con-servation, energy production and employment creation.

Local governments are responsible for implementingintegrated planning at the local level, adopting local lawsand ordinances requiring source separation for materialsfor which there are economic markets, implementing sepa-ration, collection, recycling, transportation, storage anddisposal, and promoting reduction, reuse and recycling.Local governments can also zone to permit or prohibitthe siting of solid waste facilities in their communities.Towns have independent authority under sections 130and 136 of the Town Law, to regulate solid waste trans-fer stations. The DEC provides policy direction, techni-cal assistance and long-range planning, and regulatoryoversight.


Water and Wastewater ServicesWater and sewerage services have long been avail-

able in urbanized areas and are also available in manysuburban areas. The extension of these facilities has ma-jor impacts on the extent and direction of development.

Localities utilize several organizational mechanisms toprovide sewerage and water services. The most preva-lent are the municipal water or sewer departments in cit-ies and villages and the water or sewer districts in towns.Most cities and many villages have developed their ownsources of water supply and have constructed sewagetreatment plants. While some town districts have devel-oped these capital facilities, many purchase the servicesfrom adjoining localities. Town districts frequently pur-chase water or sewage treatment services as a part of agrowing regionalization of such services.

State and federal grant requirements often dictateintermunicipal action regarding sewerage. County sewerdistricts frequently provide major capital facilities for multi-municipal sewage treatment projects. The creation ofcounty districts and other intermunicipal arrangementsallow for the use of sophisticated techniques, often atconsiderably lower unit costs than could be obtained bya number of smaller, independent facilities.

In addition to county districts, local governments haveoccasionally established authorities to provide water orsewage service over a wide area. An example is theMonroe County Water Authority, which serves a largearea around the city of Rochester.

In some areas the private sector plays a large role inthe delivery of water and sewage service. Even in an ur-ban area such as New York City, the Borough of Queensis served by a private water company. In a number ofsuburban developments, the developer often creates smallwater or sewage companies. Towns or villages controlthe rates that private companies charge for sewage ser-vice. The State Public Service Commission regulates theprice that private water firms charge for their services.

The State plays a role in the regulation of municipalwater and sewer agencies. The Department of Healthenforces water supply standards and the Department ofEnvironmental Conservation enforces sewage treatmentstandards. Both departments, through the use of aid pro-grams, strongly encourage intermunicipal approaches towater and sewage services.

TransportationAviation

Many counties, cities, towns and villages in New YorkState own and operate airports that provide a variety of

air services to their communities. The Department ofTransportation (DOT) coordinates the state’s overall avia-tion improvement program with local communities. Inaddition to providing state funds for capital improvementsto local airports and aviation facilities, DOT providesguidance and assistance to local communities seeking toobtain federal aid for airport improvements.

Mass TransitThe DOT is concerned with ensuring the provision of

public transportation at a reasonable cost, while conserv-ing energy and attending to the needs of such groups ascommuters, the elderly, young people, the needy and thedisabled. The DOT’s role in local public mass transit ac-tivities encompasses short-range mass transit planning,as well as the provision of state aid for capital and oper-ating costs to local governments and other entities oper-ating local transit service.

RailroadsThe DOT has general statutory authority over all rail-

roads, except the Metropolitan Transportation Authority(MTA). The DOT Commissioner is empowered to ex-amine railroad facilities and operations, and to order com-pliance with the Railroad Law.

Municipalities that have jurisdiction over a highway maypetition the DOT Commissioner for the replacement orreconstruction of an existing bridge that separates a non-state public highway and a railroad. If the DOT deter-mines that the bridge should be replaced or reconstructed,plans are developed, a contract is prepared, and costsare shared on a percentage basis.

The Transportation Law permits the governing bodyof any municipality in which a highway- railroad at grade-crossing is located to petition the DOT Commissioner toinstitute procedures for the elimination of the crossing atgrade. If the DOT determines that the crossing should beeliminated, plans are developed, a contract is prepared,and the state bears all costs. Localities also may apply tothe DOT for funding from the federal Active Grade Cross-ing Improvement Program. This program identifiesprojects for grade-crossing safety improvements, includingthe installation of flashing lights, protective gates andsmoother, more reliable crossing surfaces. Since 1974,over 500 grade-crossing sites in need of improvementhave been identified, and approximately half have beenimproved.

State ProgramsAs of the printing of this publication, the state trans-

portation network includes: a state and local highway


system which annually handles over 100 billion vehiclemiles, encompassing over 110,000 miles and 17,000bridges; a 5,000-mile rail network over which 42 milliontons of equipment, raw materials, manufactured goodsand produce are shipped each year; a 524-mile canalsystem; 456 public and private aviation facilities throughwhich more than 31 million people travel each year; fivemajor ports, which annually handle 50 million tons offreight; and over 130 public transit operators, serving over5.2 million passengers each day.

The DOT focuses on the state’s growing transporta-tion needs and is responsible for developing and coordi-nating statewide transportation policy. To carry out thatresponsibility, the DOT develops strategic transportationplans to enhance the state’s economy, preserve the trans-portation infrastructure and ensure basic personal mobil-ity for New Yorkers. It coordinates this planning activitywith those of federal, state and local entities, and otherorganizations.

The DOT coordinates and assists with the develop-ment and operation of transportation facilities and ser-vices, and plans for the development of commuter andgeneral transportation facilities. It also administers publicsafety and regulatory programs for rail and motor carri-ers in intrastate commerce, and oversees the safe opera-tion of bus lines and commuter rail and subway systemsthat are subsidized by state funds.

The DOT certifies municipal applications for the statefunding of local highway improvements under the Con-solidated Local Street and Highway Improvement Pro-gram (CHIPS), and coordinates with Metropolitan Plan-ning Organizations (MPOs) to administer the federally-funded Safe, Accountable, Flexible, and Efficient Trans-portation Equity Act: A Legacy for Users (SAFETEA-LU), which was enacted in 2005. There are currently 13MPOs across the state. Each is responsible for develop-ing, in cooperation with the State and affected transitoperators, a long-range transportation plan and a Trans-portation Improvement Program (TIP) for its area.

Metropolitan Planning OrganizationsBy federal law, a Metropolitan Planning Organization

(MPO) is designated by the governor for every urbanarea with at least 50,000 residents. The MPO devisessolutions to regional transportation problems, which in-volves addressing other important issues such as land use,air quality, energy, economic development and commerce.To do this, the MPO develops a long range regional trans-portation plan. The MPO also maintains a short-rangeprogram of projects to fund with federal transportation

money. For these activities and many others, it is the dutyof the MPO to engage as many stakeholders, includingthe general public, as possible in the planning process.By creating a vision for the region in the Plan and byidentifying projects and investments that help achieve thatvision, the MPO ensures that scarce public funds are spentto move the region toward its planning goals. Each MPOalso offers a variety of technical assistance opportunitiesto the communities they serve.

SAFETEA-LU was enacted in August 2005. Like pre-ceding federal transportation legislation, SAFETEA-LUunderscores the importance of a participatory, integrated,regional transportation planning process and re-affirmsthe MPO’s central role in the process. SAFETEA-LUalso adds some new areas of emphasis, including: theimportance of security in transportation planning; the link-age between transportation and economic development;and the need for efficient system management and op-erations.

In New York State, the thirteen MPOs are:• Adirondack/Glens Falls Transportation Council• Binghamton Metropolitan Transportation Council• Capital District Transportation Committee• Elmira-Chemung Transportation Council• Genessee Transportation Council• Greater Buffalo-Niagara Regional Transportation

Council• Herkimer-Oneida Counties Transportation Study• Ithaca-Tompkins County Transportation Council• Orange County Transportation Council• New York Metropolitan Transportation Council• Poughkeepsie-Dutchess County Transportation

Council• Syracuse Metropolitan Transportation Council• Ulster County Transportation Council

Streets and HighwaysThe state has responsibility for the state and interstate

highway systems. It does not, however, maintain thoseportions of state highways within cities. Within towns, statehighways are a state responsibility, although counties andtowns may provide snow and ice control under contract.

County governments maintain a county road systemthat is designated by the county’s legislative body. Likethe state, counties do not maintain roadways within cit-ies. The degree to which counties actually perform main-tenance on the county road system varies. Some coun-


ties maintain large and well-equipped maintenance orga-nizations and perform most of the needed work. Othersmaintain only a small work force and contract with townsfor much of the maintenance.

New York State Canal CorporationThe New York State Canal Corporation is respon-

sible for the oversight of four historic waterways: the Erie,the Champlain, the Oswego and the Cayuga-Seneca Ca-nals. Spanning 524 miles across New York State, thesecanals link the Hudson River, Lake Champlain, LakeOntario, the Finger Lakes, and the Niagara River withcommunities rich in history and culture.

To date the Canal Corporation, in conjunction withother state agencies, has helped implement over $250million dollars in local projects along the Canal system,including $13 million for 7 Canal harbors. In addition,$18 million has been invested for 24 Canal trail projects,including 107 miles of construction, under the Canal Re-vitalization Program.

A new vison for the future of the Canal System wasunveiled in May 2005. It calls for establishing an ErieCanal Greenway and, ultimately, an Empire StateGreenway, connecting the Niagara, Erie and Hudson RiverGreenways. The Greenway, which will comprise one ofthe largest Greenways in the nation, is being developedunder the auspices of the Canal Corporation to partnerwith local communities and assist them in grassroots plan-ning that balances their economic and environmental re-sources.

Consumer Protection ServicesNew York State and its local governments work to-

gether to protect consumers from questionable or illegalpractices in certain businesses and occupations. Manystate agencies which have regulatory responsibilities op-erate consumer protection programs to assist citizens andlocal officials.

Coordination of consumer protection at the state levelis provided by the Consumer Protection Board. At thelocal level, many counties and some cities, towns andvillages have established agencies for consumer protec-tion. These local agencies look to the State ConsumerProtection Board for support. The Board is empoweredto conduct investigations, receive and refer consumer com-plaints, intervene in proceedings before the Public Ser-vice Commission and other agencies, and coordinate theconsumer protection activities of state agencies. In addi-tion, the Board recommends new legislation for consumerprotection, initiates and encourages consumer protection

programs, conducts outreach activities, surveys signifi-cant consumer issues and distributes publications on con-sumer matters, including the New York State ConsumerLaw Help Manual.

Among state agencies’ consumer protection programsare the following:

The Department of Agriculture and Markets, in coop-eration with county and city officials, enforces the lawrelating to weights and measures.

In 1995, the Public Service Commission (PSC) tookover regulatory authority of cable television from theformer Cable TV Commission. The PSC responds tocomplaints by cable television consumers, and providesinformation and technical assistance to local officials con-cerning cable television franchise questions. Cities, townsand villages have the responsibility of granting franchisesto cable television companies and monitoring their op-erations, but the PSC sets standards and provides assis-tance to local franchising authorities. The PSC also regu-lates other modes of communications as well as electric,gas and water utilities. It operates a consumer outreachand education program, and responds to consumer com-plaints concerning the regulated entities.

The State Board of Regents and State Education De-partment license and/or regulate practitioners in a num-ber of professions, including architecture, dentistry, engi-neering, land surveying, medicine, nursing, occupationaltherapy, optometry, pharmacy, physical therapy, psychol-ogy, public accountancy, social work, speech pathologyand veterinary medicine. Regulation is carried out throughthe Office of Professional Discipline and the respectivelicensing boards. Regulation of physicians and their as-sistants is carried out jointly with the State Health De-partment.

The Department of Health regulates the delivery ofhealth care by institutions and individual providers, andresponds to consumer complaints. Its Professional Medi-cal Conduct Unit investigates complaints about physiciansand their assistants.

The Insurance Department licenses and regulates in-surers, agents, brokers, bail bondsmen, adjusters and oth-ers. Its Consumer Services Bureau responds to consumerquestions and complaints.

The Office of the Attorney General offers, through itsConsumer Frauds and Protection Bureau, help for con-sumers in the form of public education and mediation, aswell as legal action in cases of repeated fraud. The Attor-ney General prosecutes criminal violations by licensed orregistered professionals, fraudulent sales of stocks and


securities, frauds against consumers, and monopolies inrestraint of trade. Major charities which solicit in the stateare registered by the Attorney General’s Charities Bu-reau.

The Department of State licenses and/or regulates cer-tain nonprofessional businesses and occupations. Its Di-vision of Licensing Services regulates armored car carri-ers and guards, barbers, estheticians, natural hair stylists,cosmetologists, waxing practitioners, nail specialists, bed-ding manufacturers, coin processors, hearing aid dispens-ers and dealers, notaries public, private investigators,watch, guard and patrol agencies, real estate brokers andsalespersons, and apartment information vendors. ItsDivision of Cemeteries regulates non-sectarian cemeter-ies as well as pet cemeteries.

Labor and Working ConditionsThe Department of Labor ensures the safety and health

of all public and many private employees in the work-place, and administers unemployment assistance pro-grams. The Department also serves as the principal sourceof labor market information in the state, including currentand predicted economic trends affecting the state’seconomy. The Department also enforces state labor lawsand federal laws relating to working conditions and com-pensation.

The Division of Employment Services administers jobplacement assistance, skill assessment and career coun-seling services. Local and state agencies and not-for-profitorganizations are encouraged by the Division to co-lo-cate and coordinate services provided by on-site staffassistance to customers. The Unemployment InsuranceDivision provides unemployment insurance benefits, whichare funded by a tax paid by employers.

The Department administers the worker protection pro-visions of the State Labor Law. The Labor StandardsDivision administers the provisions of the Labor Lawconcerning minimum wage, hours of work, child labor,payment of wages and wage supplements, industrialhomework, farm labor and the apparel industry. The Di-vision of Safety and Health enforces occupational safetyand health standards for employees of the state and localgovernments. The Bureau of Public Work enforces thepayment of prevailing wages and supplements on publicconstruction projects and building service contracts. TheWelfare-to-Work Division oversees state and local pro-grams under the Temporary Assistance for Needy Fami-lies program (TANF), the Food Stamp Employment andTraining program (FEST), the Welfare-to-Work BlockGrant program and the Safety Net program. Oversight

includes policy development, technical assistance to lo-cal social services districts and provider agencies, con-tract reporting and monitoring, program oversight of statelevel programs and supervision of local social servicesdistricts. The Workforce Development and Training Di-vision administer federal and state funds for programsthat offer employment and training services.

Other ServicesState-local partnerships are also involved in the fol-

lowing services and programs areas:The Office of Advocate for the Disabled works with

local governments to ensure that the state’s estimated 2.5million disabled citizens have access to public servicesand equal opportunity. The Office, established by Ex-ecutive Order and given a legislative base by Chapter718 of the Laws of 1982, provides technical assistanceand information to help local governments, service pro-viders and others to integrate disabled residents into allfacets of community life. The Office also keeps the Gov-ernor, Legislature, and state agencies informed about theneeds of the disabled, promotes cooperative efforts todevelop employment opportunities, helps develop inno-vative strategies to meet special needs, and operates aninformation and referral service.

Local governments control dogs pursuant to a combi-nation of state and local laws and in accordance withregulations of the Department of Agriculture and Mar-kets, which maintains a master list of licensed dogs. TheDepartment also promulgates and maintains a uniformcode of weights and measures for use in commercethroughout the state.

Counties, cities, towns and villages are authorized toestablish commissions on human rights, and many havedone so. They work closely with the State Division ofHuman Rights in eliminating and preventing discrimina-tion based on race, creed, color, national origin, sex, age,disability, marital status, or arrest and/or convictionrecord; in credit transactions, employment, housing andpublic accommodations.

The New York State Energy Research and Develop-ment Authority (NYSERDA) develops innovative energy-efficient technologies to help enhance environmental qual-ity. The Authority assists businesses, residents, munici-palities and institutions in becoming more energy-efficientby investing funds into cost effective energy efficiencydeployment strategies, renewable energy sources andclean-fuel technologies.

The State Department of Motor Vehicles (DMV)shares responsibility with county clerks for the issuance


of drivers’ licenses and registration of motor vehicles.Under the Vehicle and Traffic Law, cities, towns and vil-lages are required to issue handicapped parking permitsto eligible individuals. The DMV also registers and regu-lates motor vehicle repair shops. Its Division of VehicleSafety Services responds to consumer complaints.

The FutureAn interlocking network of federal, state and local par-

ticipation exists in the provision of governmental services.More and more local governments are seeking better waysto perform the essential services for which they have pri-

mary responsibility. They are exploring available alterna-tives with a view toward decreasing waste, increasingefficiency, and avoiding overlap or duplication of services.Local governments should continually examine their tra-ditional methods of carrying out their responsibilities inorder to constantly improve, and reduce the cost of, thedelivery of services to citizens.


CHAPTER XVI

Land Use Planning and Regulation

One of the most powerful tools in the local government arsenal is the power to regulate the physicaldevelopment of the municipality. This power is exercised through a variety of available authorizationsand regulatory mechanisms. Through control of land use and development, each community is able todevelop and display the most desirable physical features of the community.

The Police PowerPolice power is the power that government has to pro-

vide for public order, peace, health, safety, morals andgeneral welfare. It resides in the sovereign state, but maybe delegated by the state to its municipalities. Land usecontrols are an exercise of the police power long recog-nized by the United States Supreme Court. In New York,the power to control land use is granted to each munici-pal government by Article IX, section 2, of the StateConstitution and by the various state enabling statutes.

With few exceptions, the exercise of the police powerto control land use is a city, town or village function inNew York State. This includes the decision whether tocontrol land use, and, if so, to determine the nature of thecontrols. When exercised, the power to control land useis governed by the state enabling statutes which havegranted the power to local governments: the General CityLaw, the Town Law, the Village Law, the General Mu-nicipal Law, and the Municipal Home Rule Law and itscompanion Statute of Local Governments.

The Planning BoardThe local legislative bodies of cities, towns and vil-

lages may create planning boards in a manner providedfor by state statute or municipal charter, and may grantvarious powers to the planning board (General City Lawsection 27; Town Law section 271; Village Law section7-718). The statutes authorize municipal legislative bod-ies to provide for the referral of any municipal matter tothe planning board for its review and report prior to finalaction. While the functions of a planning board may ex-tend beyond land use, in most municipalities the planningboard performs primarily a land use control function. Manylocal zoning laws or ordinances establish a procedure forreferral to the local planning board of all applications for

rezoning, variances and special use permits. Such plan-ning board reports and recommendations are often ofvital importance in deciding these matters. In addition,the local planning board can have an advisory role in pre-paring and amending comprehensive plans, zoning regu-lations, official maps, long-range capital programs, spe-cial purpose controls and compliance with the State En-vironmental Quality Review Act (SEQRA). Further, thelocal legislative body may grant the planning board suchregulatory functions as control of land subdivision, siteplan review and issuance of special use permits. Wherethese and related functions are effectively administered,the local planning board can do much to advance theland use and development policies of the local legislativebody.

Comprehensive PlanningComprehensive planning can (and should) be per-

formed by all municipalities, whether or not it results in aset of land use controls. Comprehensive planning logi-cally forms the basis of all efforts by the community toguide the development of its governmental structure aswell as its natural and built environment. Nonetheless,the most significant feature of comprehensive planning inmost communities is its foundation for land use controls.

Most successful planning efforts begin with a surveyof existing conditions and a determination of themunicipality’s vision for the future. This process shouldnot be confused with zoning or other land use regulatorytools. Instead, the comprehensive plan should be thoughtof as a blueprint on which zoning and other land use regu-lations are based.

The state statutes define a comprehensive plan as “thematerials, written and/or graphic, including but not lim-ited to maps, charts, studies, resolutions, reports and other


descriptive material that identify the goals, objectives,principles, guidelines, policies, standards, devices andinstruments for the immediate and long-range protection,enhancement, growth and development” of the munici-pality (General City Law section 28a(3)(a); Town Lawsection 272-a(2)(a); Village Law section 7-722(2)(a)).While the use of the state comprehensive plan statutes isoptional, they can guide boards through the comprehen-sive plan process (General City Law section 28-a; TownLaw section 272-a; Village Law section 7-722). An im-portant component of the process is public participation.Under the statutes, this occurs both formally, through man-datory hearings held by the preparing board and by thelegislative body prior to adoption of the plan, and infor-mally, through the participation of the public at work-shops and informational sessions.

Communities which do not have professional plannerson staff to assist in the preparation of a comprehensiveplan have several resources available to them. They maybe able to receive assistance from their county or re-gional planning agency. They may also be able to con-tract with a professional planning or engineering firm thatprovides planning services. Also, municipal residents maypossess expertise in planning or other environmental ordesign disciplines. However long or detailed the plan is,its real value is in how it is used and implemented. Sinceeach municipality that has the power to regulate land usehas a different set of constraints and options, the finalform of each comprehensive plan will be unique. The sizeand format of the comprehensive plan will vary frommunicipality to municipality (and possibly from consult-ant to consultant). It may consist of a few pages or maybe a thick volume of information.

County PlanningNew York’s counties have the statutory power to cre-

ate planning boards (General Municipal Law section 239-c). The county legislative body may prepare a countycomprehensive plan or delegate its preparation to thecounty planning board or to a “special board” (GeneralMunicipal Law section 239-d). Prior to adopting oramending a county official map, the county legislative bodymust refer the proposed changes to the county planningboard and other municipal bodies (General MunicipalLaw section 239-e). In addition, the county legislativebody may authorize the county planning board to reviewcertain planning and zoning actions, including certain sub-division plats, by municipalities within the county (Gen-eral Municipal Law section 239-c(3)).

State laws require that any city, town or village lo-cated in a county possessing a “county planning agency”or “regional planning council” must refer to that agencycertain zoning matters before taking final action on thosematters. In addition, where authorized by the county leg-islative body, certain subdivision plats must be referredto the county by the town, village or city planning boardbefore taking final action. Generally, referral must be madewhere a proposed zoning matter or subdivision plat af-fects real property within 500 feet of one or more enu-merated geographic features, such as a municipal bound-ary. Referral to the county planning agency or regionalplanning council is an important aid to the local planningand zoning process. It provides local planning and zoningbodies with advice and assistance from professionalcounty and regional staff and can result in better coordi-nation of zoning actions among municipalities by inter-jecting inter-community considerations. In addition, it al-lows other planning agencies (county, regional and state)to better orient studies and proposals for solving local aswell as county and regional needs.

Zoning and Related Regulatory ControlsZoning

Zoning regulates the use of land, the density of landuse, and the siting of development. Zoning is the mostcommonly used local land use technique for regulatingthe use of land, accomplishing municipal goals and imple-menting comprehensive plans. According to a 1994 sur-vey by the Legislative Commission on Rural Resources,100 percent of cities, 67 percent of towns and 87 per-cent of villages in New York have adopted zoning lawsor ordinances.

Zoning commonly consists of two components: a zon-ing map and a set of zoning regulations. The zoning mapdivides a municipality into various land use districts, suchas residential, commercial, industrial or manufacturing. Theland use districts that a municipality establishes can beeven more specific, such as high, medium and low den-sity residential, general commercial, highway commer-cial, light industrial, heavy industrial, or other. Mixed-usedistricts may also be appropriate, depending upon localplanning and development goals as set forth in a compre-hensive plan. Zoning regulations commonly describe thepermissible land uses in each of the various zoning dis-tricts identified on the zoning map. They also usually in-clude dimensional standards for each district, such as theheight of buildings, minimum distances (setbacks) frombuildings to property lines, and the permissible density ofdevelopment. These are referred to as “area” standards,


as opposed to “use” standards. Zoning regulations willalso set forth the steps necessary for approval by thetype of use, the zoning district involved, or by both. Forexample, a single-family home is often permitted “as-of-right” in a low-density residential zoning district. “As-of-right” uses, if they meet the dimensional standards, re-quire no further zoning approvals and need only a build-ing or zoning permit in order for construction to begin.

The Zoning Board of AppealsZoning boards of appeals (ZBAs) are a basic part of

zoning administration. The state zoning enabling statutesprescribe that zoning boards of appeals must be createdwhen a municipality enacts zoning (General City Lawsection 81; Town Law section 267; Village Law section7-712). ZBAs serve as “safety valves” in order to pro-vide relief, in appropriate circumstances, from overly re-strictive zoning provisions. In this capacity, they functionas appellate entities, with their powers derived directlyfrom state law. In addition to this inherent appellate juris-diction, municipal legislative bodies may give ZBAs “origi-nal” jurisdiction over other specified matters, such as spe-cial use permits and site plan reviews.

By state law, the ZBA must serve to provide for relieffrom the strict application of regulations that may affectthe economic viability of a particular parcel or that mayobstruct reasonable dimensional expansion. The state stat-utes give two varieties of appellate jurisdiction to ZBAs.An appeal seeking an interpretation of provisions of thezoning regulations is an appeal claiming that the decisionof the administrative official charged with zoning enforce-ment is incorrect. It is a claim that the zoning enforcementofficer misapplied the zoning map or regulations, orwrongly issued or denied a permit. By contrast, in anappeal for a variance, there is no dispute over the en-forcement officer’s application of zoning provisions. In-stead, the applicant feels there should be an exceptionmade in his or her case, and that some of the zoning rulesshould not apply in a particular circumstance. A ZBA mustthen apply the criteria set forth in the state statutes in de-termining whether to grant the requested variance.

Board of Appeals’ members are appointed by themunicipality’s legislative body in a manner provided bystate statute or municipal charter. ZBAs function free ofany oversight by the municipal legislative body. Wherethe zoning board of appeals has final decision-makingauthority, the legislative body may not review the grant ordenial of variances, special use permits, or any other de-cisions; the statutes provide for review of ZBA decisionsby state courts in Article 78 proceedings.

Related ControlsIn some communities, the basic use and density sepa-

ration provided by traditional zoning is all that is neces-sary to achieve municipal development goals and objec-tives. Many communities desire, however, developmentpatterns that may be only partially achieved through tra-ditional zoning. For example, a municipality may wish tostrongly encourage a particular type of development in acertain area, or may wish to limit new development toinfrastructure capacity. There are other land-use regula-tory techniques available to address those objectives. Useof one or more particular techniques can serve to en-courage and “market” the type of development andgrowth a municipality desires, thus more closely linking amunicipality’s comprehensive plan with the means toachieve it. Six of these techniques (special use permits,site plan review, subdivision review, cluster development,incentive zoning, and transfer of development rights) areprovided for in the enabling statutes and briefly discussedbelow.

Special Use PermitsIn most municipal zoning regulations, many uses are

permitted within a zoning district as-of-right, with no dis-cretionary review of the proposed project. On the otherhand, municipalities may require a closer examination ofcertain designated uses. The special use permit zoningtechnique (sometimes referred to as conditional uses,special permits or special exceptions) allows a board dis-cretionary authority to review a proposed developmentproject in order to assure that it is in harmony with thezoning and will not adversely affect the neighborhood.

A special use permit is applied for and granted by thereviewing board if the proposal meets the special usepermit standards found in the zoning regulations. Typi-cally, the standards are designed to avoid possible nega-tive impacts of the proposed project with adjoining landuses or with other municipal development concerns orobjectives, such as traffic impacts, noise, lighting, or land-scaping. State statutes prescribe the procedure for allspecial use permit applications.

Site Plan ReviewSite plan review is concerned with how a particular

parcel is developed. A site plan shows the arrangement,layout and design of the proposed use of a single parcelof land. Site plan review can include both small and large-scale proposals, ranging from gas stations, drive-throughfacilities and office buildings, to complex ones such asshopping centers, apartment complexes, and industrialparks. Site plan review can be used as a regulatory pro-


cedure standing alone, but is also often required in con-nection with other needed zoning approvals, such as spe-cial use permits.

The authority to require site plan review is derived fromthe state enabling statutes (General City Law section 27-a; Town Law section 274-a; Village Law section 7-725-a). A local site plan review requirement may be incorpo-rated into the zoning law or ordinance, or may be adoptedas a set of separate regulations. As in the case of specialuse permits, the local legislative body has the power todelegate site plan review to the planning board, zoningboard of appeals, or another board. Alternatively, the leg-islative body may retain the power to exercise such re-views.

The local site plan review regulations or local zoningregulations identify the uses that require site plan approval.Uses subject to review may be (1) identified by the zon-ing district in which they are proposed; (2) identified byuse, regardless of the zoning district or proposed loca-tion within the community; or (3) located in areas identi-fied as needing specialized design restrictions by way ofan overlay zone approach, such as a flood zone or his-toric preservation district.

Site plan issues should be addressed through a set ofgeneral or specific requirements included in the local siteplan review regulations. As an alternative to the installa-tion of required infrastructure and improvements, the siteplan statute allows a municipality to require the applicantto post a performance guarantee to cover their cost.

Subdivision ReviewThere is probably no form of land use activity that has

as much potential impact upon a municipality as the sub-division of land. The subdivision process controls the man-ner by which land is divided into smaller parcels. While asubdivision is typically thought of as the division of landinto separate building lots that are sold to individual buy-ers, subdivision provisions may also apply to a simpledivision of land offered as a gift or which changes lot linesfor some other reason. Subdivision regulations shouldensure that when development does occur, streets, lots,open space and infrastructure are properly and safelydesigned, and the municipality’s land use objectives aremet.

Planning boards, when authorized by local governingbodies, may conduct subdivision plat review. A “plat” isa map prepared by a professional which shows the lay-out of lots, roads, driveways, details of water and sewerfacilities, and, ideally, additional useful information regard-

ing the development of a tract of land into smaller parcelsor sites. The state enabling statutes contain specific pro-cedures for the review of both preliminary and final plats(General City Law sections 32, 33; Town Law sections276, 277; Village Law sections 7728, 7-730). Most mu-nicipalities use the two-step (preliminary and final plat)process.

Subdivision review is a critical tool in a municipality’sland use management scheme and has important conse-quences for overall municipal development. The subdivi-sion of large tracts may induce other related develop-ment in the neighborhood, produce demands for rezon-ing of neighboring land, or trigger the need for additionalmunicipal infrastructure.

Cluster DevelopmentCluster development is a technique that allows flex-

ibility in the design and subdivision of land (General CityLaw section 37; Town Law section 278; Village Lawsection 7-738). By clustering a new subdivision, certaincommunity planning objectives can be achieved. The useof cluster development can greatly enhance amunicipality’s ability to maintain its traditional physicalcharacter while at the same time providing (and encour-aging) new development. It also allows a municipality toachieve planning goals that may call for protection of openspace, scenic views, agricultural lands, woodlands andother open landscapes, and may limit encroachment ofdevelopment in, and adjacent to, environmentally sensi-tive areas. Cluster development is also attractive to de-velopers because it can result in reduced developmentexpenses relating to roadways, sewer lines, and otherinfrastructure, as well as lower costs to maintain that in-frastructure.

When it is used according to the enabling statutes, clus-ter development is a variation of conventional subdivi-sion plat approval. Cluster development concentrates theoverall maximum density allowed on property onto themost appropriate portion of the property. The maximumnumber of units allowed on the parcel must be no greaterthan that which would be allowed under a conventionalsubdivision layout for the same parcel.

Incentive Zoning (Bonus Zoning)The authority to incorporate incentive zoning into a

municipality’s zoning regulations is also set forth in thestate planning and zoning enabling statutes (General CityLaw section 81-d; Town Law section 261-b; Village Lawsection 7-703). Incentive zoning is an innovative and flex-ible technique; it can be very effective in encouraging


desired types of development in targeted locations. Con-ceptually, incentive zoning allows developers to exceedthe dimensional, density, or other limitations of zoning regu-lations in return for providing certain benefits or ameni-ties to the municipality. A classic example of incentivezoning would be an authorization to exceed height limitsby a specified amount, in exchange for the provision ofpublic open space, such as a plaza.

If a municipality desires a certain type of developmentin particular locations, it can usually only wait to see if adeveloper will find it economical to build. Incentive zon-ing changes this dynamic by providing economic incen-tives for development that otherwise may not occur. In-centive zoning is also a method for a municipality to ob-tain needed public benefits or amenities in certain zoningdistricts through the development process. Local incen-tive zoning laws can even be structured to require cashcontributions from developers in lieu of physical ameni-ties, under certain circumstances.

Transfer of Development Rights (TDR)Transfer of development rights (TDR) is an innovative

and complex growth management technique. It is basedon the real property concept that ownership of land givesthe owner a “bundle of rights,” each of which may beseparated from the rest. For example, one of these rightsis the right to develop land. With a TDR system, land-owners are able to retain their land, but sell the develop-ment rights for use on other properties.

Under the state zoning enabling statutes (General CityLaw section 20-f; Town Law section 261-a; Village Lawsection 7-701), areas of the municipality that have beenidentified through the planning process as in need of pres-ervation (e.g., agricultural land) or areas where develop-ment should be avoided (e.g., municipal drinking watersupply protection areas) are established as “sending dis-tricts.” Development of land in such districts may be heavilyrestricted, but owners are granted rights under the TDRregulations to sell the rights to develop their lands. Thosedevelopment rights may thereby be transferred to landslocated in designated “receiving districts.”

Transferable development rights usually take the formof a number of units per acre, or gross square footage offloor space, or an increase in height. The rights are usedto increase the density of development in a receiving dis-trict. Receiving districts are established after the munici-pality has determined that they are appropriate for in-creased density based upon a study of the effects of in-creased density in such areas. Such a study is best incor-porated within the community’s comprehensive plan.

The state zoning enabling statutes require that landsfrom which development rights are transferred are sub-ject to a conservation easement limiting the future devel-opment of the property. The statutes also require that theassessed valuation of properties be adjusted to reflectthe change in development potential for real property taxpurposes.

Other Land Use ControlsIn addition to the six techniques described above, four

others are often employed: overlay zoning, performancezoning, and floating zones and planned unit development.They are not treated specifically in the enabling statutes,but have been considered to be lawful within the generalstatutory grants of zoning power.Overlay Zoning

The overlay zoning technique is a modification of thesystem of conventionally-mapped zoning districts. Anoverlay zone applies a common set of standards to adesignated area that may cut across several different con-ventional or “underlying” zoning districts. The standardsof the overlay zone apply in addition to those of the un-derlying zoning district. Some common examples of over-lay zones are the flood zones administered by many com-munities under the National Flood Insurance Program,historic district overlay zones, areas of very severe slopes,waterfront zones and environmentally sensitive areas. Thestate enabling statutes do not contain provisions dealingwith overlay zoning, but it is employed most often in con-junction with special use permits.Performance Zoning

Some communities have enacted zoning regulationsthat establish performance standards, rather than strictnumerical limits on building size or location, as is the casewith conventional zoning. Performance zoning regulatesdevelopment based on the permissible effects or impactsof a proposed use, rather than by the traditional zoningparameters of use, area and density. Under performancezoning, proposed uses whose impacts would exceedspecified standards are prohibited unless the impacts canbe mitigated.

Performance zoning is often used to address munici-pal issues concerning noise, dust, vibration, lighting, andother impacts of industrial uses. It is also used by com-munities to regulate environmental impacts, such as storm-water runoff, scenic and visual quality impacts, and de-fined impacts on municipal character. The complexity andsophistication of these performance standards vary widelyfrom one municipality to another, depending on the ob-


jectives of the program and the capacity of the locality toadminister it.The Floating Zone

Floating zones allow municipalities flexibility in the lo-cation of a particular type of use and allow for a use ofland that may not currently be needed, but which may bedesired in the future. The floating zone is also a way ofscrutinizing significant projects for municipal impacts. Thelocal legislative body must approve floating zones.

The standards and allowable uses for a floating zoneare set forth in the text of the municipality’s zoning regu-lations, but the actual district is not mapped; rather, thedistrict “floats” in the abstract until a development pro-posal is made for a specific parcel of land and the projectis determined to be in accordance with all of the appli-cable floating zone standards. At that time, the local leg-islative body maps the floating zone by attaching it to aparticular parcel or parcels on the zoning map. Becausethe floating zone is not part of the zoning map until a par-ticular proposal is approved, the establishment of itsboundaries on the zoning map constitutes an amendmentto the municipal zoning regulations.

Planned Unit Developments (PUDs)Planned Unit Developments (PUDs) describe a zon-

ing technique that allows development of a tract of land(usually a large tract of land) in a comprehensive, unifiedmanner where the development is planned to be built asa “unit.” As a mapping designation, they are also knownas Planned Development Districts (PDD), and are oftena form of floating zone; they are not made a part of thezoning map until a PUD project is approved. The PUDsthat are shown on a zoning map may require approval byspecial use permit.

The PUD concept allows a combination of land uses,such as single and multiple-family residential, industrial,and commercial, on a single parcel of land. It also mayallow a planned mix of building types and densities. Forexample, a single project might contain dwellings of sev-eral types, shopping facilities, office space, open areas,and recreation areas. In creating a PUD, a municipal leg-islative body would need to follow the procedure foramending zoning to create a new zoning district or to es-tablish special use permit provisions. An application for aPUD district is typically reviewed by the planning board,and a recommendation is made to the legislative body,which may then choose to rezone the parcel.

Supplementary ControlsThe following is a discussion of “stand alone” laws that

are commonly adopted to address specific municipalconcerns, although they may also be usefully incorpo-rated into zoning, site plan review or subdivision regula-tions.

Official MapFor any municipality to develop logical, efficient and

economical street and drainage systems, it must protectthe future rights-of-ways needed for these systems. Suchpreventive action saves a municipality the cost of acquir-ing an improved lot and structure at an excessive cost orresorting to an undesirable adjustment in the system. Toprotect these rights-of-ways, state statutes allow a mu-nicipality to establish and change an official map of itsarea, showing the streets, highways, parks and drainagesystems (General City Law sections 26, 29; Town Lawsections 270, 273; Village Law section 7-724; GeneralMunicipal Law section 239-e). Future requirements forfacilities may be added to the official map. Without theconsent of the municipality, the reserved land may not beused for other purposes.

The official map is final and conclusive in respect tothe location and width of streets, highways, drainage sys-tems, and locations of parks shown on it. Streets shownon an official map serve as one form of qualification foraccess requirements that must be met prior to the issu-ance of a building permit (General City Law sections 35,35-a, 36; Town Law sections 280, 280-a, 281; VillageLaw sections 7-734, 7-736; General Municipal Law sec-tion 239-f).

Sign ControlThe use and location of signs are typically subject to

municipal regulation, either as part of a zoning law or as aseparate regulation. Attention is focused on the number,size, type, design and location of signs.

The issues that a municipality considers important canbe brought together in a sign control program. Without aprogram, signs can overwhelm a municipality, damagingits character and reducing the effectiveness of communi-cation, including traffic safety messages. With an effec-tive program, signs can aesthetically enhance a localityand effect municipal character.

A municipality is generally free to prescribe the loca-tion, size, dimensions, and manner of construction anddesign of signs. However, the U.S. Supreme Court hasexamined the constitutional questions concerning freedomof speech with respect to sign controls, and has placed


limits on the authority of municipalities to control the con-tent of the message conveyed on signs.

Historic PreservationThe development of a community policy to protect his-

toric resources, and an identification of the particular re-sources to be protected in the community are the firststeps to providing recognition of the historic value of prop-erty or a collection of buildings. Once a community hasestablished a policy of historic preservation, it can seekto formally recognize individual historic structures orgroups of structures. The first level of recognition can beachieved through the adoption of a local historic preser-vation law which enables the community to designate in-dividual properties as local historic landmarks, or groupsof properties as local historic districts. Such a local law isalso likely to provide standards for protection of thesedesignated properties.

The historical importance of a building can also be rec-ognized at the state or national level through listing on theState or National Register of Historic Places. These list-ings are managed, respectively, by the State Office ofParks, Recreation, and Historic Preservation, and theFederal Department of the Interior, in cooperation withthe property owner and local municipality. The NationalRegister listing includes recognition of the historical im-portance of a single property, a group of properties, or aset of properties related by a theme.

Listing on the National Register of Historic Places isan important recognition of a property or an area’s his-toric and cultural significance. Designation makes theproperty eligible for grants and loans and, possibly, fed-eral tax credits. Additionally, any federal action that mightimpact such property must undergo a special review thatis designed to protect the property’s integrity. Similarly,listing on the State Register of Historic Places means thatState agency actions that effect a designated propertyare subject to closer review, and makes the property eli-gible for grant assistance. Neither a listing on the Na-tional nor State Register of Historic Places will protect astructure from the owner’s interest in redesigning or de-molishing the historic structure. Only a locally-adoptedhistoric preservation law can control such actions.

If a municipality does not wish to adopt a local historicpreservation law, it may want to consider a demolitionlaw. Such a law could require review or a delay beforedemolition of a historically significant building. This al-lows time for a community to examine alternatives todemolition, such as purchase of the property by a gov-ernment or not-for-profit group.

Architectural Design ControlMany aspects of a building’s design are regulated

through standards for siting, orientation, density, heightand setback within a municipality’s zoning code. Somemunicipalities wish to go beyond dealing with the generalsize and siting of a building and its physical relationshipwith adjacent properties, to dealing with the appropri-ateness of the architectural design of the building. Thereview may include examining such design elements asfacades, roof lines, windows, architectural detailing, ma-terials and color.

Architectural review generally requires a more sub-jective analysis of private development proposals than ispossible within most zoning codes. To do this, communi-ties often establish an architectural review board, whichshould be able to offer guidance on design issues to otherboards, such as the planning board or zoning board ofappeals. Where authorized, an architectural review boardmay conduct an independent review of the architecturalfeatures of a proposed project. Often, a communitychooses to link design review to historic preservationcontrols, with a focus on the design of new buildings andalterations to existing buildings within historic districts.

Junk Yard RegulationsIf a municipality does not have its own junk yard regu-

lations or zoning regulations addressing the siting of junkyards, it must apply the standards set forth in GeneralMunicipal Law section 136 for automobile junk yards.This law regulates the collection of junk automobiles, in-cluding the licensing of junk yards and regulation of cer-tain aesthetic factors. The application of this state law islimited to sites storing two or more unregistered, old orsecondhand motor vehicles that are not intended or incondition for legal use on public highways. The law alsoapplies to used motor vehicle parts, which, in bulk, equalat least two motor vehicles. A municipality may expandthe state definition of “junk yard” to encompass othertypes of junk, such as old appliances, household waste,or uninhabitable mobile homes, in order to regulate as-pects of junk not covered by state law and to ensuregreater compatibility with surrounding land uses.

Control of MiningThe New York State Mined Land Reclamation Law

(Environmental Conservation Law section 23-2703 etseq.) regulates mining operations that remove more thanone thousand tons or 750 cubic yards (whichever is less)of minerals from the earth. Mines that meet or exceedsuch thresholds require approval by the New York State


Department of Environmental Conservation (DEC).Smaller mines may be regulated by a local mining or zon-ing regulation. However, even though DEC regulates largermines, a municipality may regulate the location of all minesthrough its zoning regulations.

When a municipality permits state-regulated mining tooccur within its borders through a special use permit pro-cess, conditions placed on the permit may pertain to en-trances and exits to and from the mine on roads con-trolled by the municipality, routing of mineral transportvehicles on roads controlled by the municipality, enforce-ment of the reclamation conditions set forth in the DECmining permit, and certain other requirements specifiedin the state permit (ECL § 23-2703).

Scenic Resource ProtectionScenic resources are important in defining community

character. These resources can be threatened by devel-opment and many communities are now seeking ways tomitigate the impacts of development on the landscape.High priority is often placed on protecting specific scenicviews or the general quality of a landscape. Policies toprotect scenic resources may be included in a community’scomprehensive plan, along with maps illustrating the sce-nic resource. Once this has been done, it is important tointegrate policies into regulations. Appropriate use, den-sity, siting and design standards can protect scenic re-sources by such methods as limiting the height of build-ings or fences in important scenic areas.

Open Space PreservationMany communities are now recognizing the value of

“open space,” i.e. vacant land and land without signifi-cant structural development. A good way for a munici-pality to assess the importance of its open space resourcesis to produce an open space plan or to include an assess-ment of open space resources as part of its comprehen-sive plan. Here, a community decides how to categorizeits open space resources, examine their use and functionwithin the community, set priorities for their protection,and consider the best way to use and protect open spaces.When a community has identified its open space re-sources, it can develop policies to protect them. Thosepolicies should be expressed in the open space plan andin the community’s comprehensive plan, along with themaps showing open spaces. Once this has been done, itis important to ensure that the open space policies of thecomprehensive plan are implemented through themunicipality’s land use controls.

Protection of Agricultural LandOne of the critical issues involved in land use planning

decisions for agricultural uses is to ensure that agricultureprotection deals primarily with the preservation of agri-culture as an economic activity and not just as a use ofopen space. Traditionally, agricultural uses are part of largelot, low density, residential zoning districts. With increasedresidential development, however, conflicts between ag-ricultural and residential uses have increased. Complaintsabout noise, odors, dust, chemicals, and slow-movingfarm machinery may occupy enough of the resources ofa farmer so as to have a negative impact on the viabilityof his or her farming activities.

Article 25-AA of the Agriculture and Markets Law isintended to conserve and protect agricultural land foragricultural production and as a valued natural and eco-logical resource. Under this statute, territory can be des-ignated as an agricultural district. To be eligible for desig-nation, an agricultural district must be certified by thecounty for participation in the state program. Once a dis-trict is designated, participating farmers within it may re-ceive reduced property assessments and relief from localnuisance claims and certain forms of local regulation.

Agricultural district designation under Article 25-AAdoes not generally prescribe land uses. However, undersection 305-a of Article 25-AA, municipalities are re-stricted from adopting regulations, applicable to farm op-erations in agricultural districts, that unreasonably restrictor regulate farm structures or practices, unless such regu-lations are directly related to the public health or safety(Agriculture and Markets Law, section 305-a(1); TownLaw section 283-a; and Village Law section 7-739). Thelaw also requires municipalities to evaluate and considerthe possible impacts of certain projects on the function-ing of nearby farms.

Projects that require “agricultural data statements” in-clude certain land subdivisions, site plans, special usepermits, and use variances.

Farm operations within agricultural districts also enjoya measure of protection from proposals by municipalitiesto construct infrastructure such as water and sewer sys-tems, which are intended to serve nonfarm structures.Under Agriculture and Markets Law, section 305, themunicipality must file a notice of intent with both the stateand the county in advance of such construction. The no-tice must detail the plans and the potential impact of theplans on agricultural operations. If, on review at eitherthe county or state levels, the Commissioner of Agricul-ture and Markets determines that there would be an un-


reasonable adverse impact, he or she may issue an orderdelaying construction, and may hold a public hearing onthe issue. If construction eventually goes forward, themunicipality must make adequate documented findingsthat all adverse impacts on agriculture will be mitigated tothe maximum extent practicable.

“Right-to-farm” is a term that has gained widespreadrecognition in the state’s rural areas within the past sev-eral decades. Section 308 of the Agriculture and Mar-kets Law grants protection from nuisance lawsuits to farmoperators within agricultural districts or on land outside adistrict that is subject to an agricultural assessment undersection 306 of the Law. The protection is granted to theoperator for any farm activity that the Commissioner hasdetermined to be a “sound agricultural practice.” Locally,many rural municipalities have used their home rule powerto adopt local “right-to-farm” laws. These local laws com-monly grant particular land-use rights to farm owners andrestrict activities on neighboring non-farm land that mightinterfere with agricultural practices.

A purchase of development-rights (PDR) system in-volves the purchase by a municipal or county govern-ment of development rights from private landownerswhose land it seeks to preserve in its current state with-out further development. The PDR system, which hasbeen used extensively in Suffolk County to preserve farm-land, can also protect ecologically important lands or sce-nic parcels essential to rural character of the community.Under PDR, the land remains in private ownership andthe government acquires non-agricultural developmentrights. These development rights, once purchased by thegovernment, are held and remain unsold. The farmer re-ceives payment equal to the development value of thefarmland. In return, the farmer agrees to keep the landforever in agriculture. The owner typically files propertycovenants similar to a conservation easement limiting theuse of the property to agricultural production. The nation’sfirst purchase of development rights program to preservefarmland was in Suffolk County in 1974.

The Commissioner of the Department of Agricultureand Markets is authorized to administer two matchinggrant programs focused on farmland protection. One as-sists county governments in developing agricultural andfarmland protection plans to maintain the economic vi-ability of the state’s agricultural industry and its support-ing land base; the other assists local governments in imple-menting their farmland protection plans and has focusedon preserving the land base by purchasing the develop-ment rights on farms (Article 25-AAA of the Agricultureand Markets Law).

The PDR system may have advantages over the TDRsystem, in that there is a ready market for the purchaseand sale of development rights at all times. In addition,the prices of various categories of development rights maybe more easily maintained at or near market value, andkept uniform under the PDR system.

Floodplain ManagementFloodplain regulations are land use controls governing

the amount, type and location of development within de-fined flood-prone areas. Federal standards, applicableto communities that are eligible for Federal Flood Insur-ance Protection, include identification of primary floodhazard areas, usually defined as being within the 100-year floodplain. Within flood hazard areas, certain re-strictions are placed on development activities. Such re-strictions include a requirement that buildings be elevatedabove flood elevations or be flood-proofed, and also in-clude prohibitions on the filling of land within a flood-plain. Municipalities can adopt their own floodplain regu-lations which may be more stringent than the federal stan-dards. Local floodplain regulations can identify a largerhazard area (such as a 500-year floodplain), and mayprohibit certain types of construction within flood hazardareas. Municipalities must adopt local floodplain regula-tions in order to be eligible for participation in the Na-tional Flood Insurance Program.

Wetland Protection“Wetlands” are areas that are washed or submerged

much of the time by either fresh or salt water. In stateregulations, they are defined chiefly by the forms of veg-etation present. Wetlands provide a number of benefitsto a community. Besides providing wildlife habitat, wet-lands also provide habitat protection, recreational op-portunities, water supply protection, and provide openspace and scenic beauty that can enhance local propertyvalues. Wetlands also serve as storage for storm waterrunoff, thus reducing flood damage and filtering pollut-ants. In coastal communities, they also serve as a bufferagainst shoreline erosion. The preservation of wetlandscan go a long way toward protecting water quality; in-creasing flood protection; supporting hunting, fishing andshell fishing; providing opportunities for recreation, tour-ism and education; and enhancing scenic beauty, openspace and property values.

State wetland regulations protect freshwater wetlandsgreater than 12.4 acres (1 acre in the Adirondack Park),freshwater wetlands of unusual local importance, and tidalwetlands. The state has established adjacent wetland


buffer zones, prohibiting or restricting certain activitieswithin such areas, and has established standards for per-mit issuance. Under the Environmental Conservation Law(ECL), DEC shares concurrent jurisdiction with localgovernments to regulate tidal wetlands.

With respect to freshwater wetlands, three regulatorypossibilities are present:

1) All wetlands that are smaller than 12.4 acresand that are not deemed of “unusual importance, “are subject to the exclusive jurisdiction of the munici-palities where the wetlands are located (ECL section24-0507).

2) Under ECL, section 24-0501, a local govern-ment may enact a Freshwater Wetlands ProtectionLaw to fully assume jurisdiction over all freshwaterwetlands within its jurisdiction from DEC, providedits law is no less protective of wetlands than Article24 of the ECL and provided that DEC certifies thatthe municipality is capable of administering the Act.There is also a limited opportunity for counties toassume wetlands jurisdiction if the local governmentdeclines.

3) Under ECL, section 24-0509, local govern-ments can now adopt freshwater wetland regulationsapplying to wetlands already mapped and under thejurisdiction of DEC, provided that the local regula-tions are more protective of wetlands than the stateregulations in effect. No pre-certification by DEC isrequired.

The United States Government, through the ArmyCorps of Engineers, also regulates federally-defined wet-lands. The Corps does not, however, map wetlands inadvance of development proposals. When a proposal ismade that may impact a wetland falling within federaldefinitions, the Corps will make a permit determinationand impose appropriate conditions to protect the wet-land.

Water Resource ProtectionOne of New York’s greatest resources is its abundant

water supply, which is safeguarded to: protect municipaland private drinking water supplies from disease-causingmicroorganisms, protect fishery resources, enhance rec-reational opportunities, prevent erosion and harmful sedi-mentation, and to protect the environmental quality ofadjacent land. Failure to adequately protect drinking watersupplies can result in public health hazards and lead tothe need for treatment of drinking water at great expenseto municipalities.

Municipalities may adopt laws to protect groundwa-ter recharge areas, watersheds and surface waters. Lo-cal sanitary codes can be adopted to regulate land usepractices that have the potential to contaminate water sup-plies. Sanitary codes may address the design of stormwater drainage systems, the location of drinking waterwells, and the design and placement of on-site sanitarywaste disposal systems. Water resources can be furtherprotected through the adoption of land use laws that pro-hibit certain potentially polluting land uses in recharge ar-eas, watersheds, and near surface waters. Site plan re-view laws and subdivision regulations may also be usedto minimize the amount of impervious surfaces, and torequire that storm water systems be designed to protectwater supplies.

Municipalities also have authority under the PublicHealth Law (PHL) to enact regulations for the protectionof their water supplies, even if located outside of themunicipality’s territorial boundaries. Such regulations mustbe approved by the New York State Department ofHealth. Also, under state statutes, “realty subdivisions”— those containing five or more lots that are five acresor less in size–must undergo approval of their water sup-ply and sewerage facilities by the county health depart-ment (PHL, Art. 11, Title II; ECL, Art. 17, Title 15).

The Federal Safe Drinking Water Act (SDWA)Amendments of 1996 established stringent water-supplycapacity and quality standards for all public drinking wa-ter sources eligible for Federal assistance or otherwisefalling under Federal regulatory jurisdiction. Originally, theSDWA focused primarily on treatment as the means ofproviding safe drinking water at the tap. The 1996 amend-ments greatly enhanced the existing law by recognizingsource water protection, operator training, funding forwater system improvements, and public information asimportant components of safe drinking water. This ap-proach ensures the quality of drinking water by protect-ing it from source to tap.

Erosion and Sedimentation ControlDevelopment, earth-moving and some agricultural prac-

tices can create significant soil erosion and the sedimen-tation that frequently follows. Through the adoption ofproper erosion, sedimentation, and vegetation-clearingcontrols, a community can protect development fromcostly damage, retain valuable soils, protect water qual-ity, and preserve aesthetics within the community. Suchregulations can be specifically directed at grading, filling,excavating and other site preparation activities, such asthe clear-cutting of trees or the removal of vegetation.


Local regulations may require the use of particular meth-ods and compliance with minimum standards when car-rying out construction and other activities.

New York State has a program for the control of waste-water and storm water discharges in accordance withthe Federal Clean Water Act, known as the State Pollut-ant Discharge Elimination System (SPDES). Article 17of the Environmental Conservation Law (ECL) entitled“Water Pollution Control” authorized creation of theSPDES program to maintain New York’s waters withreasonable standards of purity. The program is designedto eliminate the pollution of New York waters and tomaintain the highest quality of water possible, consistentwith: public health, public enjoyment of the resource, pro-tection and propagation of fish and wildlife, and industrialdevelopment in the state. New York State’s Law isbroader in scope than that required by the Clean WaterAct in that it controls point source discharges to ground-water as well as surface water.

Environmental ReviewThe State Environmental Quality Review Act (SEQRA)

was established to provide a procedural frameworkwhereby a suitable balance of social, economic and en-vironmental factors would be incorporated into the com-munity planning and decision-making processes. SEQRAapplies to all State agencies and local governments whenthey propose to undertake an “action” such as construct-ing a public building, or when approving or fundingprojects proposed by private owners. (EnvironmentalConservation Law Article 8; Title 6, NY Codes, Rules &Regulations, Part 617). The intent of SEQRA is to re-view the environmental impacts of a proposed projectand to take those impacts into account when decidingwhether to undertake, approve, or fund it. Impacts thatcannot be avoided through modification of the projectshould be mitigated by conditions imposed on suchproject.

State regulations categorize all actions as either “TypeI” (more likely to have a significant environmental im-

pact), “Type II” (no significant impact), or “Unlisted”,with differing procedural requirements applicable to each.

SEQRA review can serve to supplement local con-trols when the scope and environmental impacts of aproject exceed those anticipated by existing land use laws.SEQRA is a far-reaching statute that can provide a mu-nicipality with critical information about the impacts of aland development project, so that a more informed deci-sion may be made on the project. The SEQRA reviewprocess also helps to establish a clear record of deci-sion-making should the municipality ever have to defendits actions. Several publications that thoroughly explainthe SEQRA process are available from the Departmentof Environmental Conservation.

MoratoriaA moratorium is a local law or ordinance used to tem-

porarily halt new land development projects while themunicipality revises its comprehensive plan, its land useregulations, or both. In some cases, moratoria are en-acted to halt development while a municipality seeks toupgrade its public facilities or its infrastructure. Morato-ria, or interim development regulations, are designed torestrict development for a limited period of time. Thecourts have placed strict and detailed guidelines on theenactment and content of moratorium laws.

ConclusionIt is apparent from the foregoing discussion that a pano-

ply of land use techniques are available to local govern-ments to assist them in carrying out their comprehensiveplanning goals to enhance community development andcharacter.

It is apparent from this discussion that a panoply ofland use techniques are available to local governments toassist them in carrying out their comprehensive planninggoals to enhance community development and character.


CHAPTER XVII

Public Authorities, Regional Agencies and Intergovernmental Cooperation

Historically, New York has been and continues to be a true defender of home rule. Under certainconditions and situations, however, have been issues which are of a statewide concern that cannot bemanaged under the narrow view of local authority and financial capability in order to bring forward aregional solution.

Public Authorities

The Era of the AuthorityA public authority is a public benefit corporation es-

tablished by the State Legislature to construct and/or op-erate a public improvement, such as a building, bridge,and road or ski area, usually financed by user charges.Public authorities have the power to incur debt and col-lect user charges, but not to levy taxes or benefit assess-ments on real estate. Officials are appointed or serve byvirtue of another office. The public authority however isindependent and autonomous and has legal flexibility nototherwise permitted to a state department or agency.

Public authorities usually raise money through the saleof bonds and operate on little or no state dollars. In theory,a public authority must be self-supporting and able tomeet debt obligations through revenues obtained from itsown valuable assets, such as fares and user fees. To pre-vent the State from assuming public authority debt as amoral obligation, the New York State Constitution ex-plicitly empowers public authorities to issue bonds andincur debt, but prevents the State from assuming that li-ability. (New York Constitution, Art X, section 5)

In Schulz v. State of New York, 84 NY2d 231, 616NYS2d 343, 350 (1994), the Court of Appeals held thatthe state is not legally or technically liable on authoritybonds nor for authority debt. The state may, however,choose to honor a public authority liability as a moralobligation.

The first public authority having a regional or state-wide purpose was created in 1921. The Port Authorityof New York and New Jersey was the first of its kind inthe Western Hemisphere. It was created under a clauseof the United States Constitution permitting compacts be-tween states and approved by the United States Con-

gress. However, the public was slow to accept the ideaof public authorities. In 1960, only 13 authorities existedin the state which, for the most part, focused upon theconstruction or management of facilities that had regionalsignificance or were of high economic importance suchas ports, bridges, tunnels and highways. The ensuingyears, however, might be called “the era of the authority”during which many authorities, having a variety of func-tions were created. As of December 31, 2005 there were266 statewide, regional, interstate or international authori-ties in existence in New York.48

Regional authorities carry out such diverse functionsas operating regional transportation systems, managingairports, regulating rivers, constructing facilities for col-leges and hospitals, developing and operating ports andcarrying out urban and economic development activities.

TABLE 25

Major Public Authorities By Date Created

1920’s DateThe Port Authority of New York & New Jersey

(5 subsidiaries) 1921Albany Port District Commission 1925

1930’sBuffalo and Fort Erie Public Bridge Authority 1933Industrial Exhibit Authority 1936NYS Bridge Authority 1939Triborough Bridge and Tunnel Authority1 1939Power Authority of the State of NY 1939

1940’sDormitory Authority of the State of New York

(2 subsidiaries) 1944

1950’sNYS Thruway Authority (1 subsidiary) 1950Ogdensburg Bridge and Port Authority 1950


New York City Transit Authority and Manhattan& Bronx Surface Transit Operating Authority1 1953

Port of Oswego Authority 1955Hudson River-Black River Regulating District 1959

1960’sNYS Housing Finance Agency

(3 subsidiaries) 1961New York Job Development Authority

(1 subsidiary)4 1961State University Construction Fund 1962Metropolitan Transportation Authority

(10 subsidiaries) 1965Metropolitan Suburban Bus Authority1 1965Metro-North Commuter Railroad1 1965Staten Island Rapid Operating Authority1 1965Long Island Railroad1 1965City University Construction Fund 1966Niagara Frontier Transportation Authority

(1 subsidiary) 1967Battery Park City Authority 1968NYS Urban Development Corporation

(107 subsidiaries)4 1968Natural Heritage Trust 1968Facilities Development Corporation —

part of Dormitory Authority5 1968United Nations Development Corporation 1968Community Facilities Project Guarantee Fund 1969Rochester-Genesee Regional Transportation Authority

(11 subsidiaries) 1969

1970’sState of New York Mortgage Agency 1970Central New York Regional Transportation Authority

(7 subsidiaries) 1970Capital District Transportation Authority

(5 subsidiaries) 1970NYS Environmental Facilities Corp. 1970Municipal Bond Bank Agency (1 subsidiary) 1972NYS Medical Care Facilities Finance Agency —

part of Dormitory Authority5 1973NYS Project Finance Agency 1975NYS Energy Research and Development Authority 1975Municipal Assistance Corporation for the City of

New York 1975Jacob Javits Convention Center Operating

Corporation 1979Jacob K. Javits Convention Center Development

Corporation 1979NAR Empire State Plaza Performing Arts Center

Corporation 1979

1980’sNYS Science and Technology D/B/A Empire State

Development Corp. 1981NYS Olympic Regional Development Authority 1981NYS Quarterhorse Breeding and Development Fund

Corportion3 1982NYS Thoroughbred Breeding and Development Fund

Corporation 1983

Agriculture and NYS Horse Breeding andDevelopment Fund 1983

NYS Thoroughbred Racing Capital Investment Fund 1983Roosevelt Island Operating Corp. 1984Development Authority of the North Country 1985Housing Trust Fund Corporation2 1985NYS Affordable Housing Corporation2 1985Long Island Power Authority

(1 subsidiary) 1986

1990’sHomeless Housing Assistance Corp. 1990New York Local Government Assistance Corp. 1990NYS Theatre Institute Corporation 1992Executive Mansion Trust 1993Municipal Assistance for the City of Troy 1995Nassau Health Care Corporation 1997Roswell Park Cancer Institute Corporation 1997Westchester County Health Care Corporation 1997Hudson River Park Trust 1998

2000’sNassau County Interim Finance Authority 2000Buffalo Fiscal Stability Authority 2003Erie County Medical Center Corporation 2004NYS Foundation for Science, Technology and Innovation 2005Erie County Fiscal Stability Authority 2005

NOTES:1 Subsidiary of MTA or an agency under its jurisdiction2 Subsidiary of Housing Finance Agency3 Inactive4 UDC, JDA, and part of NYS Science & Technology Founda-

tion operate under a joint business certificate (D/B/A) usingthe name Empire State Development Corporation

5 Dormitory Authority took over operation of MCFFA and FDC,but they retain their separate legal status.

Establishment of AuthoritiesAuthorities having the power to incur debt and collect

charges can be established only by special acts of theState Legislature even though an authority’s jurisdictionmay be exclusively local. Most statewide and regionalauthorities are created by special acts spelling out in de-tail their organization, powers and limitations. As a result,authorities display wide variation with respect to theirpowers and limitations. More uniform patterns have beenfollowed recently, and general provisions have been addedto the Public Authorities Law, applies to authorities orclasses of authorities established under such laws.

Advantages and DisadvantagesWhile authorities have been a valuable tool in accom-

plishing many public purposes, their relative autonomyand freedom from electoral control often cause concern.The growth in the number and power of public authori-


ties resulted in the creation of the Public Authorities Con-trol Board (PACB) in 1976.

49

PACB has approval authority over the financing, ac-quisition or construction commitments of a number ofstate public authorities, including the Dormitory Author-ity, Housing Finance Agency, Urban Development Cor-poration, Job Development Authority and EnvironmentalFacilities Corporation. The Public Authorities ControlBoard consists of five members appointed by the Gov-ernor, four of whom are recommended by the Senateand Assembly leadership. The Governor appoints theChair.

A 2006 Report by the Office of the State Comptrollerfound that the State’s largest public authorities had out-standing debt of over $124 billion, including more than$42 billion in State-supported debt.

50

Although debt service on State-supported debt is paidby taxpayers, such debt has not been approved by vot-ers. Additionally, another report by the Office of the StateComptroller noted that only 11 of the state’s public au-thorities have their borrowing reviewed by the PublicAuthorities Control Board.

While critics acknowledge that authorities in New YorkState have achieved significant accomplishments, the needfor increased oversight of authority activities has resultedin far-reaching regulatory and statutory changes.

Recent Oversight ChangesThe Public Authority Reform Act (Chapter 766 of the

Laws of 2005) represents meaningful reform that recog-nizes the differences between state agencies and publicauthorities and the importance of those distinctions.

51At

the same time, the Reform Act acknowledges that publicauthorities are created by, and would not exist but fortheir relationship with, New York State. As a result ofthis relationship with state government, public authoritiesmust exhibit a commitment to protecting the interests ofNew York taxpayers and meet the highest standards ofeffective and ethical operation.

Accordingly, the Public Authority Reform Act createda new Public Authority Budget Office to report on theoperations of authorities and to assess their complianceactivities. The legislation also established an inspector gen-eral, banned procurement lobbying, strengthened provi-sions for public access to information; provided new rulesfor the disposing of public authority property, and estab-lished codes of ethical conduct for authority directors,officers and employees. The Reform Act includes the fol-lowing provisions:

• Identification of Public Authorities- defines public authorities as state, local, interstateor international, and affiliates or subsidiariesthereof.

• Improved Governance- requires independent board members on Stateand local authorities;

- establishes roles and responsibilities of boardmembers for State and local authorities;

- mandates audit and governance committees forall State and local authorities;

- disallows board members from serving as chiefexecutive officers or any other senior manage-ment position;

- mandates training for board members;- bans personal loans to board members, officersand employees; and

- requires financial disclosure.• Improved Independent Audit Standards

- requires independent audits;- requires rotation of auditors every five years;- prohibits non-audit services, unless receiving pre-vious written approval by the audit -committee;and

- prohibits a firm from performing an authority au-dit if any executive officer was employed by thatfirm and participated in any capacity in the auditof such authority during the one-year period pre-ceding the date of the initiation of the audit.

• Increased Transparency- continues reporting requirements for state au-thorities and includes new requirement for localauthorities to submit reports to the chief execu-tive officer, chief fiscal officer and chairperson ofthe legislative body of local government.

TABLE 26Revised Breakdown of Public Authorities By ClassClass Description NumberA Major public authorities with statewide

or regional significance and theirsubsidiaries 190

B Entities affiliated with a State agency,or entities created by the State thathave limited jurisdiction but a majorityof Board appointments made by theGovernor or other State officials 68

C Entities with local jurisdiction 474D Entities with interstate or international

jurisdiction and their subsidiaries 8Total 740


In 2006, the New York State Office of the State Comp-troller issued regulations that dramatically reformed thebudget practices of 215 statewide and regional publicauthorities. Generally, these regulations require publicauthorities to provide more accurate financial reports,develop four-year financial plans, operate under Gener-ally Accepted Accounting Principles (GAAP) rules andsignificantly increase the accountability and transparencyof their financial operations.

In particular, these regulations include the following:• Budget and Financial Plan Requirements: re-

quires consistency of financial presentations, de-velopment of four-year financial plans, documentpreparation in accordance with (GAAP) andgreater transparency, with detailed estimates ofrevenues and expenditures, quarterly updates toeach authority’s board, and certifications signedby each authority’s Chief Operating Officer.

• Expanded Reporting by More Public Authori-ties: increases the number of entities required toreport financial information annually to the Officeof the State Comptroller to 215. These 215 au-thorities are required to provide financial state-ments, procurement reports, investment reportsand annual reports, as well as other information asdetailed in the annual data request.

• Stronger Investment Guidelines: requires eachgoverning board and authority management todevelop written investment policies, to review themannually and to follow prudent investor standardsand will also require each authority to establish apre-qualified list of firms eligible to transact busi-ness with them.

• Accounting and Reporting for Authorities thatIssue State-Supported Debt: requires the timelyrelease of budgetary and debt information to al-low for more timely and complete reporting of fi-nancial information to the public.

Regional AgenciesIn the course of the state’s population growth and the

expansion of towns, cities and villages there arose con-cern among the population that some of the state’s natu-ral resources could be threatened. There also arose aconcern that under certain circumstances, nature itselfwould unleash its destructive power upon the urbanizingareas of the state. In response to these concerns, the stateestablished a number of agencies with a regional focus tothe issues that transcended political boundaries.

Port Authority of New York and New JerseySeveral interstate regional authorities exist in the New

York metropolitan area, the most important being the PortAuthority of New York and New Jersey. This authority,often cited nationally as a model interstate compactagency, is operated by a 12 member board of commis-sioners, half of whom are appointed by the State of NewYork and half by the State of New Jersey. The Port Au-thority is responsible for all aspects of port commerce inand around New York City, the Hudson River bridgesand tunnels, as well as for the operation of Kennedy,LaGuardia and Newark Airports and numerous othertransportation facilities. In addition, the Port authorityoperates the Port Authority Trans-Hudson CorporationRapid Transit system (PATH) under the Hudson Riverbetween the two states.

Adirondack Park AgencyThe Adirondack Park Agency is an independent, bi-

partisan state agency responsible for developing long-range park policy in a forum that balances statewide con-cerns and the interests of local governments in the park.It was created by New York State law in 1971. The leg-islation defined the makeup and functions of the agencyand authorized the agency to develop two plans for landswithin the Adirondack Park. The approximately 2.5 mil-lion acres of public lands in the park are managed ac-cording to the State Land Master Plan. The AdirondackPark Land Use and Development Plan regulates land useand development activities on the 3.5 million acres ofprivately owned lands in the park.

The agency also administers the Adirondack ParkAgency State Wild, Scenic and Recreational Rivers Sys-tem Act for private lands adjacent to designated rivers inthe park, and the State Freshwater Wetlands Act withinthe park.

The Agency Board is composed of 11 members, eightof whom are New York State residents appointed by theGovernor and approved by the State Senate. Five of theappointed members must reside within the boundaries ofthe park. In addition to the eight appointed members,three members serve in an ex-officio capacity. These arethe Commissioners of Departments of EnvironmentalConservation and Economic Development, and the Sec-retary of State. Each member from within the Park mustrepresent a different county and no more than five mem-bers can be from one political party.

The agency provides several types of service to land-owners considering new land use and development withinthe park which include:


Jurisdictional advice: The agency will provide aletter informing a landowner whether a permit isneeded for a new land use and development or sub-division, or whether a variance is needed from theshoreline standards of the agency. In many cases theletter advises that no permit or variance is needed.This determination is often helpful in completing fi-nancing and other arrangements related to new de-velopment in the park.Wetland advice: The agency will determine the lo-cation of regulated wetlands on a property or the needfor a wetland permit.Permit application: A landowner proposing new landuse or development who knows an agency permit isrequired may initiate a permit application without firstreceiving jurisdictional advice.Changes to the Park Plan Map: agency staff willadvise on criteria, boundaries, and the process foramendment of the Official Map.

Tug Hill CommissionThe Tug Hill Region lies between Lake Ontario and

the Adirondacks. Larger than the states of Delaware orRhode Island, its 2,100 square miles comprise one of themost rural and remote sections of New York State andthe Northeast. A scattering of public lands covers a tenthof the region, with most of that land used extensively fortimber production, hunting, and recreation. The rest isprivately owned forest, farms, and homes, all of it work-ing land that supports the region’s way of life.

Tug Hill’s total population is just over 100,000, two-thirds of which is concentrated in villages around its edge.Its densely forested core of about 800 square miles isamong New York’s most remote areas, with a popula-tion of just a few thousand and few public roads.

The uniqueness of the Tug Hill region and its naturalresources were recognized by New York State in 1972when it created the Temporary Commission on the TugHill, a non-regulatory state agency charged with helpinglocal governments, organizations, and citizens shape thefuture of the region, especially its environment andeconomy. In 1992, the State Legislature passed the TugReserve Act, further recognizing the statewide importanceof the region’s natural resources. Congress has recog-nized the region as an integral part of the Northern For-est Lands area.

In 1998, new state legislative authorization for the TugHill Commission (permanently establishing the Commis-sion within New York State’s Executive Law, Article 37,

section 847) noted Tug Hill’s “lands and waters are im-portant to the State of New York as municipal water sup-ply, as wildlife habitat, as key resources supporting for-est industry, farming, recreation and tourism and tradi-tional land uses such as hunting and fishing.” Other legis-lation in 1998 (Chapter 419, Laws of 1998) supportedthe State’s purchase of conservation easements in theTug Hill region, adding it to similar provisions that applyin New York’s Adirondack Park, Catskill Park and wa-tershed of the City of Rochester.

The commission uses a grassroots approach to helpcreate a sound environment and economy for this specialrural region of New York State. The commission’s ap-proach is viewed by many as a model for fostering envi-ronmental protection and appropriate rural economicdevelopment in a way that retains “home rule.” The ninemembers of its governing body are all residents of theregion.

Lake George Park CommissionThe Lake George Park and the Lake George Park

Commission are established by Article 43 of the Envi-ronmental Conservation Law. The purpose of the Com-mission generally is to preserve, protect, and enhancethe unique natural, scenic and recreational resources ofthe Lake George Park, which consists of Lake Georgeand its land drainage areas. It is entirely within theAdirondack Park. The Commission has specific regula-tory and enforcement powers relating to activities on thelake, along the shoreline and within the land drainagebasin.

Among other duties, the commission: operates theLake George Park Commission Marine Patrol (a lawenforcement and public safety function); administers regu-lations governing wharfs, docks and moorings, marinas,navigation, and recreational activities; and administersregulations for the preparation of local storm water man-agement plans and storm water regulatory programs forareas within the park where development is occurring. Itmust also develop and administer regulations for the dis-charge of treated sewage effluent, conduct a water qual-ity monitoring program and investigate, identify and abatesources of ground and surface water contamination.

Hudson River Valley GreenwayThe Hudson River Valley Greenway Act of 1991 es-

tablished a program to encourage municipalities and otherentities to develop a Greenway system in the HudsonRiver Valley. The legislation also established two entities,the Hudson River Valley Greenway Communities Coun-


cil and the Greenway Conservancy for the Hudson RiverValley, to administer the program. The area encompassedby the legislation consists of all of: the municipalities withthe counties of Albany, Columbia, Dutchess, Orange,Putnam, Rockland, Westchester, and municipalities inUlster and Greene Counties outside the Catskill Park;the Village and Town of Waterford in Saratoga County;Bronx County; and the Hudson River waterfront in NewYork County.

The statute is set out as Article 44 of the Environmen-tal Conservation Law, which establishes the further pur-poses of the legislation as the establishment of “a volun-tary regional compact among the counties, cities, townsand villages of the greenway to further the recommendedcriteria of natural and cultural resource protection, con-servation and management of renewable natural re-sources, regional planning, economic development, pub-lic access and heritage education”.

Long Island Pine Barrens CommissionNew York’s most southeastern county, Suffolk County,

occupies the eastern end of Long Island, and comprisesover 900 square miles of terrestrial and marine environ-ments. Three of Suffolk County’s ten townships are hostto a 100,000+ acre, New York State designated regionknown as the Central Pine Barrens.

A rich concoction of terrestrial and aquatic ecosys-tems, interconnected surface and ground waters, recre-ational niches, historic locales, farmlands, and residentialcommunities, this region contains the largest remnant of aforest thought to have once encompassed over a quartermillion acres on Long Island.

In 1993, New York State’s Long Island Pine BarrensProtection Act officially defined this region at the junctionof the Towns of Brookhaven, Riverhead, andSouthampton, and started a process for regional plan-ning and permitting that continues today. The 1993 Actcreated a five member Central Pine Barrens Joint Plan-ning and Policy Commission, an Advisory Committee,and a “planning calendar” (now completed), which led tothe June 1995 adoption of the Central Pine Barrens Com-prehensive Land Use Plan.

The Regional Planning CouncilsUnlike state-created regional agencies, regional plan-

ning councils are locally formed by the agreement of ad-joining counties. The primary function of regional plan-ning councils is to study the needs and conditions of anentire region and to develop strategies that enhance theregion’s communities. Recognition was given to the re-

gional council concept when the federal government au-thorized the establishment of area-wide planning agen-cies. These agencies were permitted to receive federalplanning funds. The federal government then requiredproposals for federal funding to be reviewed on a re-gional level to determine district-wide significance andpotential conflict with master planning. This review wasundertaken by the regional planning councils. The federalgovernment later rescinded this requirement, but in theinterest of regional planning, New York State continuedthe program.

Very few of us today live, work, and enjoy leisure timein the same neighborhood. Most of us live one place,work in another and enjoy recreational facilities in yetother places. This leads to a sharing of lifestyles, employ-ment, and recreational/cultural opportunities, which canaffect more than one local government in an area. A re-gional approach can be the best way to address theseconcerns, usually in a geographic area with interdepen-dent social, economic, and physical environments.

Regional councils were created to provide a regionalapproach to concerns that cross the lines of local gov-ernments’ jurisdictions. Nationwide, there are over 670of these regional councils, representing almost all 50states. The councils are a vehicle for local governmentsto share their resources, and to make the most of fund-ing, planning, and human resources.

Most are voluntary associations, and do not have thepower to regulate or tax. They are primarily funded bylocal governments, as well as by state and federal funds.The councils are responsible to the representatives of thecommunities in their regions.

The regional view encourages an impartial, bipartisanconduit for the exchange of information. This exchangeallows for objective recommendations for the resolutionof problems, including the ability to interrelate many keyareas such as housing, transportation, and economic de-velopment. Joint municipal presentation also gives localgovernments more influence with funding sources and leg-islative bodies.

Planning services provided by regional councils includetransportation, housing and community development,groundwater protection, water resource management,wastewater treatment, solid waste disposal, land use, andrural preservation planning. Information services providedby regional councils include the operation of regional datacenters, public education and information, and mainte-nance of regional Geographic Information Systems (GIS).Other services provided by regional councils may include


special services for low-income and aging populations,job training and employment services, economic devel-opment activities, and small business promotion.

Technical assistance to local governments may also beoffered, and can include supplementation of local plan-ning efforts, preparations of grant applications and coor-dination, cost effective regional purchasing, public ad-ministration, financial expertise, and information systems.

LegislationArticles 12-B and 5-G of the New York State Gen-

eral Municipal Law give affiliated municipalities the legalauthority to create regional or metropolitan planningboards and joint-purpose municipal corporations.

ProgramsNew York’s regional planning councils provide com-

prehensive planning for the coordinated growth and de-velopment of their regions. This involves conducting re-gional studies to assess needs, promoting the region’s eco-nomic climate, environmental health, recreational oppor-tunities, etc., and providing technical assistance to com-munities within the region.

By presenting a regional perspective on issues, regionalcouncils promote intergovernmental cooperation andserve as a liaison between the State and federal govern-ments and municipalities.

Regional Councils in New York State consist of ninelocally created regional planning boards in New YorkState, and represents 45 of the State’s 62 counties. Theregional councils in New York are as follows:

TABLE 27Regional Planning Commissions and Councils

Capital District Regional Planning CommissionCounties: Albany, Rensselaer, Saratoga, & SchenectadyCentral New York Regional Planning & Develop-ment BoardCounties: Cayuga, Madison, Onondaga, & OswegoGenesee/Finger Lakes Regional Planning CouncilCounties: Genesee, Livingston, Monroe, Ontario, Orleans,Seneca, Wayne, Wyoming, & YatesHerkimer-Oneida Counties Comprehensive Plan-ning ProgramCounties: Herkimer & OneidaHudson Valley Regional CouncilCounties: Dutchess, Orange, Putnam, Rockland, Sullivan,Ulster, & WestchesterLake Champlain-Lake George Regional PlanningBoardCounties: Clinton, Essex, Hamilton, Warren, & Wash-ingtonSouthern Tier Central Regional Planning & Devel-opment BoardCounties: Chemung, Schuyler, & SteubenSouthern Tier East Regional Planning DevelopmentBoardCounties: Broome, Chenango, Cortland, Delaware,Otsego, Schoharie, Tioga, & TompkinsSouthern Tier West Regional Planning & Develop-ment BoardCounties: Allegany, Cattaraugus, & Chautauqua


Regional Solutions ThroughIntergovernmental Cooperation

Voter approval in 1959 of an amendment to the NewYork Constitution’s prohibition on gifts and loans of creditby one local government to another paved the way forgeneral legislative authorization for local governments toparticipate in a wide variety of intermunicipal endeav-ors.

52 Article 5-G of the General Municipal law was soon

enacted to provide municipal corporations and districtswith the power to enter into cooperative or joint agree-ments between or among them to provide any function,power or duty that each has authority to undertake on itsown.

The term “municipal corporation” includes counties(outside of New York City), cities, towns, villages, boardsof cooperative educational services, fire districts andschool districts. The term “district” includes certain countyand town improvement districts;

53 therefore, a very large

number and broad range of local government entities areauthorized to undertake cooperative activities. Since theselocal governments are empowered to undertake togetherany activity each may undertake alone, the opportunityto use an intergovernmental agreement to provide ser-vices or projects is only limited by the powers of eachparticipant.

54

Undertaking a cooperative or joint venture is essen-tially a business arrangement, and Article 5-G providessubstantial leeway for contracting parties to address themany issues that typically are addressed in a businessarrangement. Generally, an intermunicipal agreement maycontain “any matters as are reasonably necessary andproper to effectuate and progress the joint service”

55 and

typically include:• a description of the joint service or project, an iden-

tification of the participants and the authority pur-suant to which each will be undertaking the ser-vice or project;

• descriptions of the roles of each of the participat-ing entities, and the identification of the managingparticipant, if any;

• fiscal matters, such as the method for allocatingcosts;

• the manner for employing and compensating em-ployees;

• timetables and processes for contract review andrenegotiation;

• methods for dispute resolution during a contractterm; and

• responsibility for liabilities.Agreements entered into pursuant to Article 5-G re-

quire the approval of a majority vote of the full strengthof the governing body of each participating municipal cor-poration or district, unless the governing bodies haveadopted mutual sharing plans that allow their respectiveofficers or employees to undertake or authorize the re-ceipt of a joint service in accordance with the plan. Amutual sharing plan can anticipate the potential need toobtain assistance from another eligible local government,either on a routine or extraordinary basis. It contemplatesthe “handshake” deal between cooperating local govern-ments.

Fashioning a cooperative agreement frequently neces-sitates the identification and resolution of many, some-times complex, issues. Water, sewer and other joint con-struction projects will require resolution of design issuesand permitting needs in addition to fiscal and operationalmatters. Participating local governments may choose toform joint committees charged with developing prelimi-nary consensus through the development of recommen-dations to the involved governing bodies.

Some intermunicipal agreements require implementa-tion through the adoption of complementary local laws.When a joint planning board is created, for instance, theparticipating local governments will need to adopt, inaddition to the cooperative agreement, compatible locallaws that reflect the existence of the joint planning boardand provide its authority and responsibilities.

Intermunicipal agreements allow local governments toseek regional, and sometimes creative, solutions to com-mon problems without giving up their underlying author-ity or jurisdiction. For this reason, they are popular ve-hicles for achieving cost savings or service improvementsin a wide variety of ways. The following is a partial list ofexamples of topics that may be the subject ofIntermunicipal agreements:

• joint water and sewer projects;• garbage collection;• recycling centers;• highway maintenance;• snowplowing;• shared recreational and cultural facilities;• shared government offices;• computer / data processing;• joint purchasing;• shared code compliance personnel;


• joint zoning boards;• joint land use planning activities;• joint economic development planning;

Chapter Endnotes48. 2006 Comptroller’s Report on the Financial Condition of New York State, Office of the State Comptroller.49. Laws of 1976, Chapter 39, as amended.50. 2006 Comptroller’s Report on the Financial Condition of New York State, Office of the State Comptroller.51. Chapter 766 of the Laws of 2005.52. Amendment to Article VIII, §1 of the New York State Constitution, approved by the electors in 1959; Chapter 102 of the Laws of

1960 implemented this change.53. General Municipal Law, §119-n(a) and (b).54. General Municipal Law, §119-n(c).55. General Municipal Law, §119-o(2).

• coordinated assessment services; and• shared public safety functions.


ACKNOWLEDGMENTSThe Department of State received generous assistance and information from many individuals and public offices in thepreparation of this 6th Edition of the Local Government Handbook. Rather than inadvertently miss listing any one ofour individual contributors, we gratefully acknowledge the many agencies that participated in this process:

Division of the Budget

Empire State Development Corporation

Legislative Commission on Rural Resources

New York State Archives

New York State Court of Appeals

New York State Department of Civil Service

New York State Department of Correctional Services

New York State Department Education

New York State Department of Environmental Conservation

New York State Library

New York State Senate Research Service

New York State Department of Transportation

New York State Thruway Authority and Canal Corporation

Office of Court Administration

Office of the State Comptroller

Office of Real Property Services


WEBSITES FORLOCAL GOVERNMENT OFFICIALS

Planning WebSites of Interest

State Web SitesGovernor’s Office of Regulatory Reform

http://www.gorr.state.ny.us/gorr/index.htmlGORR - Business Permit Assistance Team

http://www.gorr.state.ny.us/Main_GORR_Pages/Business-Permit-Assistance.htmlOffice of the Governor

http://www.state.ny.us/governorOffice of the New York State Comptroller

http://www.osc.state.ny.usOffice of the State Comptroller - Links

http://www.osc.state.ny.us/localgov/links.htmOffice of the State Comptroller - Local Government Audits

http://www.osc.state.ny.us/localgov/audits/index.htmNew York State Assembly

http://assembly.state.ny.usNYS Department of Environmental Conservation

http://www.dec.ny.govNYS DEC - SEQR

http://www.dec.ny.gov/public/357.htmlNYS Government Information Locator Service

http://www.nysl.nysed.gov/ils/NYS Department of State

http://www.dos.state.ny.usNYS Department of State - Local Government Services

http://www.dos.state.ny.us/lgss/index.htmNYS Department of Transportation

http://www.dot.gov/portal/page/portal/indexNew York State Senate

http://www.senate.state.ny.us/senatehomepage.nsf/home?openform


Federal Web SitesState and Local Governments on the Web

www.statelocalgov.net/Global Information Locator Service

www.gpoaccess.gov/index.htmlU.S. Census Bureau

http://www.census.govThe Federal Web Navigator

http://Lawdbase.law.villanova.edu/Fedweb/General Services Administration

www.gsagov/Portal/gsa/ep/home.do?tabID=0U.S. Governments Online Services

www.usa.gov/Government/Government_Gateway.shtmlNational Contact Center

www.info.gov/phone.htmPublic Technology, Inc.

http://pti.nw.dc.usU.S. State and Local Gateway

www.usa.gov/Government/State_Local.shtml

Other Web Sites

Albany Law School Libraryhttp://www.albanylaw.edu/sub.php?navigation_id=8

American Planning Associationhttp://www.planning.org

Association of Towns of the State of New Yorkhttp://www.nytowns.org

Cyburbiawww.cyburbia.org

New York City Linkhttp://www.ci.nyc.ny.us/portal/site/nycgov/?front_door=true

New York State Association of Countieswww.nysac.org/

New York State Conference of Mayors and Municipal Officialshttp://www.nycom.org

Planning Commissioner’s Journalwww.pcj.typepod.com

STATE OF NEW YORKDEPARTMENT OF STATE99 Washington AvenueOne Commerce PlazaAlbany, NY 12231-0001

www.dos.state.ny.us(518) 473-3355