Budget and Capital Committee
April 13, 2004
11:30 a.m.
Scott Heyman Conference Room
Present:  M. Koplinka- Loehr, R. Booth, T. Todd, L. McBean, P. Penniman (arrived at 11:50 a.m.)
Legislators:  M. Robertson, D. Kiefer, B. Blanchard, T. Joseph
Staff:  J. Thomas, E. Marx, D. Squires, W. Skinner
Guests:   R. Carnrike and R. Gearing, TCAT; A. Tutino, Ithaca Journal

Called to Order

    Mr. Koplinka-Loehr, Chair, called the meeting to order at 11:30 a.m.

Changes to the Agenda

    The following resolution(s) were added to the agenda:

    A Resolution in Support of the TCAT Reorganization
    Intent to Form a Non-Profit Corporation for the Delivery of Transit Services in Tompkins County

Approval of Minutes of March 23, 2004

    It was MOVED by Mrs. McBean-Clairborne, seconded by Mr. Booth, and unanimously adopted by voice vote by members present, to approve the minutes of March 23, 2004 as submitted.  MINUTES APPROVED.

Comments from the Public/Legislators

    Ms. Robertson spoke in regard to mandate classifications and stated she went back to earlier mandate spreadsheets including information from 2001 with the list that was discussed by this Committee in February.  She said she found it useful to go back to 1991 because of the large increase in mandates the County has experienced since that time.  Ms. Robertson stated that a careful analysis of the figures show the County's locally controlled spending is actually lower now than it was at that time.  

Chair's Report

    Mr. Koplinka-Loehr had no report.

Finance Director's Report

    Mr. Squires reported the final payment for the first quarter in sales tax came in this morning.  He stated the sales tax receipts have been up by double digits since beginning of the year and noted March receipts were up by 12 percent over last year.  The County received a gross total of sales tax in the first quarter of 2004 in the amount of $9.3 million, compared to $8.1 million last year.  

    Mr. Squires distributed copies of the semi-annual Mortgage Tax Distribution dated 10/1/03-3/31/04 and copies of the Unreserved Fund Balance figures from 1994-2003.  He briefly commented on fund balances, noting the following items:  Airport Fund Balance declined significantly, Highway Fund Balance went up, Solid Waste Fund Balance went up, stability was maintained in the Insurance Reserve.

County Administrator's Report

    Ms. Thomas reported on behalf of Mr. Whicher who was not in attendance.  She stated if all programs continue to be funded at the current level in 2005 there would be an increase in the tax levy of 10-12 percent (equal to $3-4 million) as reported to the full Legislature on April 7, 2004.  She stated it is too early to determine revenues because the State has not yet adopted a budget.   Ms. Thomas stated Mr. Whicher feels three to four percent would be a realistic goal for a 2005 property tax levy increase.  She reported rollover figures have been certified and distributed to departments and requests are due from departments on April 23rd.  

RESOLUTION NO.          - AUTHORIZING THE ADVANCE OF UP TO $2,000,000 OF STATE TRANSIT OPERATING ASSISTANCE (STOA) TO TOMPKINS CONSOLIDATED AREA TRANSIT (TCAT)

    It was MOVED by Mrs. McBean-Clairborne, seconded by Mr. Booth, and unanimously adopted by voice vote by members present, to approve the following resolution and submit to the full Legislature.  Mr. Squires noted the County will not advance TCAT the full amount until there is clarity in the funding situation of TCAT.

    WHEREAS, the Tompkins Consolidated Area Transit (TCAT) was formed under a partnership agreement among Tompkins County, Cornell University, and the City of Ithaca effective January 1, 1999, and
   WHEREAS, this similar process worked well in 2003, and
   WHEREAS, each party makes an annual contribution of equal amounts to support TCAT, and
    WHEREAS, after the completion of two years of operations, it  has become apparent that the timing of State Aid payments severely impacts the cash position of TCAT and impairs TCAT’s ability to reimburse the City of Ithaca and Cornell University for transit operating expenses in excess of their annual contractual obligation under the TCAT partnership, and
   WHEREAS, in order to address the unequal burdens of the TCAT partners' outlays for transit operations, it is proposed that the County distribute to TCAT estimated 2nd, 3rd, and 4th quarter State Transit Operating Assistance (STOA) payments anticipated within the 2004 Adopted Budget in advance of their receipt, now therefore be it
    RESOLVED, on recommendation of the Budget and Capital Committee, That the Director of Finance is authorized to enter into an agreement with TCAT whereby the County would disburse from Budget Account 5630.54404 Transportation Services 2004 Appropriations supported by STOA payments in advance of their receipt in an amount not to exceed $2,000,000,
    RESOLVED, further, That the County will recover the loss of investment income from the advance of STOA funds by billing TCAT for the actual lost earnings based upon the application of the average monthly investment applied against the average monthly balance of advanced STOA payments,
   RESOLVED, further, That the County will retain all future STOA payments until such time as the advance has been fully liquidated or reauthorized by the Tompkins County Legislature.
SEQR ACTION:  TYPE II-20
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    Mr. Penniman arrived at 11:50 a.m.

RESOLUTION NO.         - IN SUPPORT OF THE TOMPKINS CONSOLIDATED AREA TRANSIT (TCAT) REORGANIZATION

    MOVED by Mrs. McBean-Clairborne, seconded by Mr. Booth.   A question was raised with regard to the language contained in the first Resolved and whether this action is dependent on union agreement.  Mr. Booth said the Legislature should be in favor of creating this structure whether or not an agreement is reached with the unions.   He does not believe the outcome is dependent on such an agreement.  Mr. Joseph agreed.  Although a suggestion was made to remove the language, Mr. Koplinka-Loehr felt it was useful and the Committee agreed to keep the language in the resolution.  

    Mr. Joseph noted this is not a proforma resolution and that this represents a significant change in the ownership of TCAT.  It was noted that the funding of TCAT will not change.  A voice vote on approving this resolution and submitting to the full Legislature resulted as follows:  Ayes - 5, Noes - 0.  MOTION CARRIED.

    WHEREAS, Tompkins Consolidated Area Transit (TCAT) with the participation of many stakeholders, developed a Strategic Plan in 2002 that had as its top priority "establishment of a single employer for everyone working at TCAT", and
    WHEREAS, the Strategic Plan was adopted by the TCAT Board on October of 2002, with efforts begun immediately to effect a changeover to a single organization structure, and
    WHEREAS, these efforts included working with legal counsel representing each of the three partners - City of Ithaca, Tompkins County, and Cornell University - to review and evaluate various models including a State Authority, a municipal department of City or County government, the metropolitan planning organization model employed by the Ithaca-Tompkins County Transportation Council (ITCTC), a Local Authority/Public Benefit Corporation (LA/PBC), and a 501(c)(3) private non-profit corporation, and
    WHEREAS, after much review and deliberation, the Local Authority/PBC was identified as the most appropriate structure for TCAT and the Tompkins County community, and
    WHEREAS, recognizing that proposed changes in organizational structure present issues for employees with different union affiliations, discussions are being held with union leadership at the state and local levels to identify specifics to be included in the LA/PBC legislation that would allow the legislation to move forward with union support, and
    WHEREAS, legislation to establish a LA/PBC for the purpose of delivering transit services in Tompkins County will be submitted to the State Legislature and the Governor's Office with a request to expedite the passage of the legislation, and
    WHEREAS, the unresolved issue of organizational structure has caused the Public Transportation Safety Board to reject TCAT's System Safety Program Plan (SSPP) having determined that the Plan, which is acceptable in all other particulars, cannot be effectively implemented under the current multi-employer status and directing "that TCAT take action to modify its organizational structure to establish a single entity with a management structure, reporting lines and systems of accountability designed to support the organization's mission of delivering safe transit services to the community", and
    WHEREAS, by written notification dated March 26, 2004, to the Chief Executive Officers of the three partners, the New York State Commissioner of Transportation has stated that "Pursuant to Transportation Law Section 17-b(3), Tompkins County is hereby notified that it has ninety (90) days to resolve the deficiencies in TCAT's SSPP.  As an acceptable SSPP is a prerequisite to the receipt of STOA (State Transit Operating Assistance), failure to resolve this matter immediately will jeopardize future STOA payments to the County, which are approximately $2 million annually", now therefore be it
    RESOLVED, on recommendation of the Budget and Capital Committee, That the Tompkins County Legislature urges representatives from the TCAT partners to meet with local and state representatives of the United Auto Workers (UAW) and the Civil Service Employees Association (CSEA) as soon as possible in an attempt to craft an agreeable structure for a Public Benefit Corporation,
    RESOLVED, further, That the Tompkins County Legislature urges the State Legislature to act swiftly when the legislation is submitted to enact the PBC legislation that would remove this impediment to approval of the TCAT SSPP and allow the Commissioner of Transportation to continue award of STOA payments to the County.
SEQR ACTION:  TYPE II-20
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RESOLUTION NO.        - INTENT TO FORM A NON-PROFIT CORPORATION FOR THE DELIVERY OF TRANSIT SERVICES IN TOMPKINS COUNTY

    It was MOVED by Mrs. McBean-Clairborne and seconded by Mr. Booth, to approve the following resolution and submit to the full Legislature.  Mr. Gearing explained the main differences between this action and the previous resolution.  He stated there would eventually need to be a contract between the County as the recipient of all the State and federal funds, and the Non-Profit that would be providing the services.  Beyond that, if the Non-Profit 501(c)(3) would be the operator it would be subject to punitive damages, but the LA/PBC would not.  Mr. Joseph said one of the differences is that in a 501(c)(3) the employees have the right to strike and in a public authority they do not.   Mr. Gearing said the State has granted TCAT a 90-day grace period to resolve this matter.  During that time they will prepare documents to file and organize a corporation just in case a LA/PBC is not approved.    It was stated that this resolution will not be forwarded to Albany and it was stressed that this is a backup plan to the previous resolution.    

    Mrs. McBean-Clairborne said she recalls that part of the Public Benefit Corporation has to do with having a dedicated source of funding and asked if this is something that needs to proved.  Ms. Blanchard said she could not answer that question at this time.  This has been an issue that has been discussed at the meeting of the partners and it is clear that a mortgage tax piece will not be included in this.  The TCAT partners decided to move forward and will address that if it become a stumbling block down the road.  A voice vote resulted as follows:  Ayes - 5, Noes - 0  MOTION CARRIED.  

    WHEREAS, every effort has been expended to convert Tompkins Consolidated Area Transit TCAT into a Local Authority/Public Benefit Corporation (LA/PBC), and
    WHEREAS, these efforts may prove unsuccessful, and
    WHEREAS, it is essential that TCAT be reorganized to establish a single employer structure, now therefore be it
    RESOLVED, on recommendation of the Budget and Capital Committee, That the TCAT Board of Directors is encouraged to take all necessary steps while the legislative process is underway in Albany to establish a 501(c)(3) non-profit corporation for the delivery of transit services in Tompkins County as a contingency plan in the event the legislative initiative fails.
SEQR ACTION:  TYPE II-20
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RESOLUTION NO.         - REDUCTION OF HOURS - ORGANIZATIONAL DEVELOPMENT COORDINATOR

    It was MOVED by Mrs. McBean-Clairborne, seconded by Mr. Booth, and unanimously adopted by voice vote, to approve the following resolution and submit to the full Legislature:

   WHEREAS, for reasons of fiscal economy the Commissioner of Personnel wishes to reduce the standard work week of one position of Organizational Development Coordinator from 40 hours per week to 35 hours per week, and
   WHEREAS, reduction in hours would be beneficial to the taxpayers of the County, now therefore be it
    RESOLVED, on recommendation of the Budget and Capital Committee, That the standard workweek for one position of Organizational Development Coordinator (64-347) shall be reduced from 40 hours per week to 35 hours per week effective immediately.
SEQR ACTION: TYPE II-20
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RESOLUTION NO.             - TO INCREASE THE FEES FOR TOMPKINS COUNTY SHERIFF'S OFFICE IDENTIFICATION AND FINGERPRINT CARDS

    It was MOVED by Mr. Booth, seconded by Mr. Penniman, to approve this resolution and submit to the full Legislature.  Mrs. McBean-Clairborne raised a concern about the affordability of this to persons who need this identification.  She asked how these fees compared to what other counties are charging.  It was MOVED by Mrs. McBean-Clairborne, seconded by Mr. Booth, to Table this resolution to the next meeting to allow time to obtain answers to Ms. McBean-Clairborne's request for information.   A voice vote on the motion to postpone resulted as follows:  Ayes - 4, Noes - 1 (Koplinka-Loehr).  MOTION TO TABLE CARRIED.
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Budget Process

    Mr. Koplinka-Loehr said the Committee has received a revised copy of the budget calendar in the agenda packets.   

    Mr. Koplinka-Loehr said that a request was received from department heads for the Legislature to change its nomenclature pertaining to what has previously been referred as over target requests. It was suggested that there be specific categories instead, designated as "maintenance of effort" and "new initiatives".  He said this will make it clear what is being requested for an ongoing operational request or a new item.  The Committee felt this type of identification would be helpful.   Ms. Thomas noted this change.  

2004 County Financial Goals (Directive to the County Administrator)

RESOLUTION NO.      - ESTABLISHMENT OF 2005 - 2006 COUNTY FINANCIAL GOALS

    MOVED by Mr. Booth, seconded by Mr. Penniman.    

    Mr. Koplinka-Loehr stated this document is based on a similar framework as the Ontario County document included in the agenda; it has been adapted to Tompkins County's local circumstances.   He said we are early in the process and this is an attempt to provide a message to the community, department heads, and the County Administrator about the budget.  He said the implication of this is fairly significant because for the last eight years the County Legislature has taken the County Administrator's recommended budget and often voted  (by majority) to remove items from that budget.   Mr. Koplinka-Loehr stated this action would direct a budget to be constructed in a manner that would require department heads to align with the legislative directive.  The budget that would come before the Legislature in the fall would then be the tentative (default) budget and would require a majority vote to either remove or add items.    He noted this gives a broader power to the County Administrator and is a significant change from the way the Legislature has conducted the budget process over the last eight years.   He noted this directive provides parameters for two years, 2005 and 2006.

    Mr. Joseph said he interprets this resolution to state that spending for the 2005 budget will be the same as the 2004 budget with two exceptions:  if a department has any one-time money in 2004 it will not be available in 2005, and if a department has any rollover in 2004 it will not be available in 2005.

    There was a concern expressed over the language contained in the resolution and it was agreed to remove the following Resolved since it is already a fiscal policy:  "RESOLVED, further, That the departmental spending in the 2005 budget be an amount equal to the general revenue portion of the 2004 Adopted County Budget, less any over-target funding designated as one-time, less any funds reappropriated from previous years,"

    Mr. Joseph said although he will save most of his comments for the Legislature retreat, he believes this idea is poor policy.  He believes the budget is a process of balancing services against taxes and when you start by setting the tax rate you are no longer balancing.   

    Mr. Penniman stated there has not been a huge increase in the population in the County and people are absorbing much larger property assessments.  He feels the Legislature should be looking at the levy and limiting the increase in the total taxes charged to that group of people by limiting the increase in the levy to a small percentage.  

    Ms. Kiefer questioned the Ontario County resolution and stated it is not a model she would use to adapt.  Mr. Koplinka-Loehr said this, along with many other issues, will be discussed at the Legislative budget on April 27, and this is simply a committee recommendation for legislators to respond to at that retreat.  

    A voice vote on the resolution resulted as follows:  Ayes - 5, Noes - 0.  RESOLUTION CARRIED.

WHEREAS, Tompkins County, as part of its budget policy and process, wishes to develop financial parameters for the County, to establish the framework for the budget over the next years, now therefore be it
RESOLVED, That the Legislature establishes the goal of reducing the 2004 ($7.47/1,000) tax rate for 2005 and 2006,
RESOLVED, further, That the Legislature establishes the goal of a maximum annual increase in the tax levy of  3% for 2005 and 2006,
RESOLVED, further, That the County Administrator shall be charged to recommend further consolidations of departments and functions where opportunities exist for improved efficiencies,
RESOLVED, That the County maintain workforce levels at or below current levels in the 2005 and 2006 Budgets.
RESOLVED, further, That the Tompkins County Legislature directs the County Administrator to balance financial priorities across all functions of county government according to the attached chart of percentage ranges, [to be developed at the 4/27 Legislative budget retreat and incorporated into this resolution] working in consultation with Department Heads and utilizing the cabinet structure of the County (Human Services, Public Works, Public Safety, and Administration Cabinets).

This will not be added to the April 20 Legislative meeting, but instead be placed on the May agenda of the Legislature.

Personnel Department

    Ms. Fitzpatrick explained the current position reclassification practices.  Mr. Koplinka-Loehr stated in the language of previous policies the Legislature had a role in this process.  The proposed policy states that future reclassifications and appeals will be handled by the County Administrator and Personnel Commissioner.

    Ms. Skinner relayed comments to the Committee from Mr. Whicher.  He doesn't believe appeals should go to the Legislature; however, he does not want to be the final decision in the appeal process.  Mr. Whicher proposes an appeal committee that would be ad hoc and formed on a case-by-case basis, depending on the position being appealed.  The ad hoc committee would consist of the department head, a couple of legislators, and representation from Administration and possibly the Commissioner of Personnel.  Ms. Skinner said one reason for this is because those employees who report directly to the County Administrator or Commissioner of Personnel would not have any level of appeal beyond their direct supervisors.  

    Ms. Kiefer said she would prefer that there be a standing committee established that would be in place throughout the entire year rather than an ad hoc committee.  She also said she supports having union representation on an appeals committee.   Mr. Joseph felt information presented to an appeals committee should be factual and go before persons familiar with the position; he said County legislators should not be part of a committee.   He stated legislators should be establishing the rating system by which positions are classified.  

    Mr. Booth said he, too, feels that legislators should be kept out of an appeals process.  He stated if an appeals committee is created it should be very small.
 
    The Committee agreed to send the policy and these suggestions back to Mr. Whicher and Ms. Fitzpatrick for revision and redistribution at the next meeting.  

    Ms. Fitzpatrick distributed a summary of monthly personnel changes.   

Affirmative Action

    Mr. Penniman said he is interested in knowing what the percentages are in the general population for all of the categories included in the information distributed by Ms. Fitzpatrick.   Mr. Marx will work on this.

    Ms. Fitzpatrick reported on the County's orientation process.  She stated someone from her office will be attending a training session with an emphasis on employee handbooks.  She will report on that training at the May meeting.   

Mandate Classifications

    Ms. Thomas distributed a master list of programs classified by the following categories:  Mandated Payments, Mandated Responsibilities, and Locally Controlled Spending.  She said she has received requests by a few departments to categorize some programs differently and these requests will be taken up by the appropriate program committee.    

    Mr. Penniman requested a copy of legislation pertaining to highways and how it relates to different classifications.  Ms. Thomas stated staff is working on how much percentage is associated with Mandated Responsibilities.

    This information has been distributed to all department heads and will be discussed at the Legislative budget retreat on April 27.

Discussion of Revenue Options

    Mr. Squires stated Tompkins County is taking full advantage of being able to charge for costs in all areas that are allowable under law with the exception of the Mortgage Tax.  Mr. Koplinka-Loehr reported on the Tompkins County Quality of Life fund he established for the County under the auspices of the Community Foundation of Tompkins County.  He stated the fund, which would be based on donations, would be administered by a committee of five community advisors who have significant experience with County government.  He plans to make an announcement of a summer fundraiser at the next committee meeting

Adjournment

    The meeting adjourned at 1:26 p.m.

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