New York State Department of Transportation...requirements of the program (15 years after project completion for port projects, 20 years for rolling stock, and 30 years for rail infrastructure)

New York StateDepartment of Transportation

Transportation Bond ActRail & Port Program

APPLICATION INSTRUCTIONS

July 2011

TABLE OF CONTENTS

Introduction ................................................................................................................... 1

Application Part A ......................................................................................................... 2

Application Part B ......................................................................................................... 5

SEQR Worksheet........................................................................................................... 8

Project Service Life Worksheet.................................................................................... 9

Smart Growth Worksheet ........................................................................................... 10

Application Checklist.................................................................................................. 12

Appendix A – Cost Benefit Cost Analysis Sample Conversion FactorsAppendix B – Application Forms

NEW YORK STATEDEPARTMENT OF TRANSPORTATION

APPLICATION INSTRUCTIONS

INTRODUCTION:

To respond to this solicitation, an applicant must complete and submit a separate projectapplication for each proposed project. The application consists of two parts and a number ofsupporting worksheets. All forms and worksheets are attached as Appendix B.

Three (3) copies of completed project applications must be received by September 23, 2011.Applications received after the deadline will not be considered. Be sure to sign and date thehard copy and submit via surface mail to:

Mr. Ron LammertsGrants & Administration SectionFreight & Passenger Rail BureauNew York State Department of Transportation50 Wolf Road, POD 54Albany, NY 12232(518) [email protected]

Instructions for completing each of the application forms and worksheets follow.

mailto:[email protected]

2011 PROJECT FUNDING APPLICATIONPART A

Section A: Applicant Information

1. APPLICANT’S FULL LEGAL NAME:Enter the full legal name of the eligible corporate or government entity that willexecute the capital project agreement with the State of New York.

2. DOING BUSINESS AS (DBA):If the applicant conducts business under a name other than the full legal nameprovided in Item #1, provide any such name(s).

3. TYPE OF APPLICANT:Select one of the following: Canadian, Federal, City, Town, Village, County, State,Tribal, For-Profit, Not-for-Profit.

4. APPLICANT’S FEDERAL TAX ID NUMBER:Enter the applicant’s federal tax identification number. Reimbursements can only bemade when this number is on file.

5. FORM OF BUSINESS:Select the most appropriate description of the applicant’s form of business from thefollowing: Business Corporation, IDA, LDC, LLC, LLP, Local Government entity(Village, Town, City, County), Not-for-Profit, Public Authority, Public BenefitCorporation, Sole Proprietorship, Federal Government Agency, State GovernmentAgency.

6. CERTIFIED M/WBE FIRM:Is the applicant a Minority or Women-Owned Business certified by Empire StateDevelopment’s Division of Minority & Women Business Development?

7. APPLICANT’S MAILING ADDRESS:Enter the full mailing address for the applicant. This should be the address to whichall pertinent correspondence, including legal agreements are to be sent.

8. NAME & TITLE OF PERSON TO CONTACT ABOUT THE APPLICATION:Enter the name, title, phone, and e-mail information for the individual who should becontacted concerning the application. If this individual is not located at the addressshown in Item #3, please indicate the contact’s mailing address in the spaceprovided.

Section B: Grant Request

9. AMOUNT OF STATE GRANT REQUESTED:Provide the dollar amount of the grant request for this project.

Section C: Project Information

10. SHORT TITLE OF PROPOSED PROJECT:Provide a short, descriptive title for the project of 80 characters or less.

11. PROJECT LOCATION:Provide the project location, including County(ies) and Municipality(ies). Provide theaddresses of any site project. Linear projects should include the railroad line name,and the approximate begin and end milepost. Attachments should include a projectlocation map and track chart, indicating project begin and end points. Otherattachment may include valuation maps, ZTS maps, or other reference data.

12. SHORT DESCRIPTION OF PROPOSED PROJECT:Provide a short narrative of the describing the project intent.

13. EXISTING CONDITIONS AND NEEDS:Describe the problems the project is intended to address. Include photographs,inspection reports or other information as necessary. Class 1 mainline capacityimprovement projects should be supported with baseline simulation results or otherquantitative analysis of existing conditions.

14. PROJECT OBJECTIVE:Describe what the project is intended to accomplish.

15. PROJECT ALTERNATIVES:Describe the various methods considered for achieving the project objectives. Thissection should provided detailed information regarding the overall scope and intent ofthe project.

16. PROJECT STATUS:Identify the current status of the project for which this application is being submitted.

17. PROJECT SCHEDULE:Furnish the proposed schedule, in months, for project implementation. Identify allmajor project milestones including environmental review. Applicants should assumethe earliest funds from this solicitation would be available to be spent during or afterthe Spring of 2012.

18. PROJECT BUDGET:Provide a budget breakdown for proposed sources and uses of funds in the project,expressed in 2011 dollars. The estimated project costs, supported by a detailedproject estimate should identify the major items of work within the project scope withthe costs broken down accordingly. The net salvage value of materials recoveredmust be included in the estimate as a credit against project costs. Identify thesources of funds to be used for the project. Indicate whether funds from othersources have been approved or applied for.a. Amount Requested: Identify the amount of contributions to the project requested

by this application. Carry the total of this column over to Item #9 on Page 1 ofthe application.

b. Other State Sources: Identify the amount and source of contributions to theproject from other New York State agencies or programs.

c. Federal Funds: Identify the amount and sources of any federal contributions tothe project.

d. Applicant Match: Direct contributions to the project by the entity submitting theapplication. A 10% minimum match is required.

e. Other: Identify the amount and source of any other non-State contributions to theproject.

NOTE: NYSDOT will award grants based on the cost estimate provided. Thesegrants are for a fixed dollar amount. Any cost increase is the soleresponsibility of the applicant.

19. STATUS OF ENVIRONMENTAL REVIEWS:Identify the status of any environmental reviews under the State EnvironmentalQuality Review Act (SEQR) and/or the National Environmental Policy Act (NEPA).

20. PROJECT SERVICE LIFEIdentify the anticipated service life of the proposed project, in years. The 2005Transportation Bond Act Rail & Port Program requires that projects provide thefollowing minimum service lives:

15 years Port & Marine Terminal projects20 years Railroad Locomotive & Rolling Stock30 years Railroad infrastructure

Applicants shall use the 2011 Project Funding Application – Project Service LifeWorksheet to estimate the project service life.

21. ATTESTATION:Type or clearly print the name, the title, and the date pertaining to the individualsigning the application, and sign the application. Important: This person should beofficially authorized to enter into an agreement with the Department.

2011 PROJECT FUNDING APPLICATIONPART B


1. APPLICANT’S FULL LEGAL NAME:Enter the full legal name from Part A, Item # 1.

2. SHORT TITLE OF PROPOSED PROJECT:Provide the short project title from Part A, Item # 10.

Section B: Supplemental Project Information

3. PROJECT COORDINATION:Describe the relationship of this project to other capital projects under developmentby the applicant (either publicly or privately funded), annual maintenance programs,and other projects previously funded by NYSDOT.

4. PROJECT PRIORITY:If the applicant is submitting applications for more than one project, identify the totalnumber of project applications submitted and the applicant’s priority ranking of theirown projects.

5. PROJECT BENEFIT / COST RATIO:NYSDOT believes that benefit-cost analysis (‘‘BCA’’), including the monetization anddiscounting of costs and benefits in present-day dollars, provides a useful measureof a projects cost-effectiveness and provides a mechanism to compare dissimilarproject types. Therefore, all applicants are required to identify, quantify, andcompare expected public benefits and public costs.

NYSDOT understands that the level of expense associated with surveys, traveldemand forecasts, market forecasts, statistical analyses, and other studiesnecessary to support the BCA can be significant. Therefore, applicants mayestimate benefits subjectively. However, applicants will be expected to quantifythese subjective estimates of benefits and costs, and to provide whatever evidencethey have available to support their subjective estimates.

It is difficult for NYSDOT to anticipate all the potential public benefits that couldaccrue from the wide range of projects which are eligible for funding under thisprogram. However, there are a group of benefits which are commonly associatedwith these projects. This document will provide guidance to calculate and monetizethese benefits. The table contained in Appendix A provides standardized conversionfactors and monetization factors. These factors should be used by applicants inpreparing their analysis unless the applicant can adequately justify use of a differentvalue.

Common public benefits often include (but are not limited to): ENVIRONMENTAL

o Carbon Emissions reductiono NOx Emissions reductiono Particulate Matter (PM) Emissions reduction

o Conservation of fossil fuels (reduction in gallons used) SAFETY

o Heavy truck crash reductiono Grade Crossing crash reductiono Rail accident reductions (derailments)

REDUCED PUBLIC EXPENDITURESo Heavy Truck VMT reductiono Congestion Mitigation

Quantifying each of these potential benefits requires development of certain data bythe applicant. This includes:

Traffic Volumes: Base year traffic (Tons): Use the most recent year for which actual data is

available for the total tonnage shipped over the project facility. Using a growthrate of 1.3% (based on the USDOT Freight Analysis Framework-2 growth rate forrail traffic in New York), inflate the baseline traffic volumes to 2011.

Future no-build traffic (Tons): Project future traffic volumes for each yearthrough the full service life of the project assuming the project is never built. Aswith base-year traffic, a 1.3% growth rate should be generally assumed.However, if the failure to implement the project would restrict traffic (such as byclosure of a bridge for structural conditions), future traffic could drop, as well.

Future traffic w/project (Tons): Project future traffic volumes for each yearthrough the full service life of the project assuming the project is built. As withbase-year traffic, a 1.3% growth rate should be generally assumed. However, ifthe project is tied directly to the development of new traffic, the projected trafficfrom the new facility should be considered incremental to the background growth.

Vehicle Conversions Net Tons per rail car Net Tons per truck

Both values can vary based on the commodity carried. The value selectedshould be an average representative of the mix of commodities contained in theBase Year and Future traffic volumes.

Trip Distance Highway routing – what is the distance the traffic would move via a highway

routing. Google maps or other similar source should be the basis for highwaymileage.

Rail routing – What is the distance the traffic would move via a rail routing.Applicants can calculate the mileage directly, or may generally assume the railrouting to be 40% longer than the highway mileage.

With this data in hand, most of the public benefits identified above can be computedusing the conversion factors and monetization factors included in Appendix A.Others benefits may require other methods, such as utilizing the FRA’s Quiet ZoneCalculator (see http://safetydata.fra.dot.gov/quiet/) to estimate grade crossing crashreductions.

http://safetydata.fra.dot.gov/quiet/

Discounting

Applicants should discount future benefits and costs to present values using a realdiscount rate of 7 percent, and may also provide an alternative analysis using a realdiscount rate of 3 percent. As a first step, applicants should present the year-by-yearstream of benefits and costs from the project. Applicants should clearly identify whenthey expect costs and benefits to occur. The beginning point for the year-by-yearstream of benefits should be the first year in which the project will start generatingcosts or benefits. The ending point should coincide with the minimum service liferequirements of the program (15 years after project completion for port projects, 20years for rolling stock, and 30 years for rail infrastructure). In presenting these year-by-year streams, applicants should measure them in constant (or ‘‘real’’) dollars priorto discounting. Applicants should not add in the effects of inflation to the estimates offuture benefits and costs prior to discounting. Once an applicant has generated thestream of costs and benefits in constant dollars, it should then discount theseestimates to arrive at a present value of costs and benefits. The standard formula for

the discount factor in any given year is 1/(1 + r)t, where ‘‘r’’ is the discount rate and

‘‘t’’ measures the number of years in the future that the costs or benefits will occur.Infrequently, benefits or costs will be the same in constant dollars for all years. Inthese limited cases, an applicant can calculate the formula for the present value ofan ordinary annuity instead of showing a year-by-year calculation.

An example of a complete benefit cost analysis can be found on NYSDOT”s web siteat: https://www.nysdot.gov/programs/smart-planning/repository/PBRapA_BC.pdf

6. RIGHT-OF-WAY CERTIFICATION:Describe the level of control the applicant has over the project right of way(ownership vs. lease / contract operator). If the applicant is a lessee or contractoperator in the project area, identify the underlying owner of the right-of-way andprovide the overall term, expiration date, and extension terms of the lease / contract.If the operation and maintenance term of project will extend beyond the applicantscurrent lease or contract (See General Program Requirements: Commitments onpage 7 of the Program Guidelines), attach a statement from the underlying owner ofthe right-of-way indicating a willingness to assume (or assign) the operation andmaintenance obligations upon expiration of the current lease or contract with theapplicant.

https://www.nysdot.gov/programs/smart-planning/repository/PBRapA_BC.pdf

2011 PROJECT FUNDING APPLICATIONSEQR WORKSHEET




Section B: Supplemental Project Information

3. DOES THIS PROJECT HAVE A COMPLETED RECORD OF DECISIONPREPARED PURSUANT TO THE STATE ENVIRONMENTAL QUALITY REVIEWACT (SEQR) OR THE NATIONAL ENVIRONMENTAL POLICY ACT (NEPA)?If the answer is “YES”, STOP. You have completed this worksheet. Attach a copy ofthe SEQR or NEPA Record of Decision to your application.

If the answer is “NO”, continue to Item #4.

4. IS THE APPLICANT A MUNICIPAL CORPORATION, PUBLIC AUTHORITY, ORCOUNTY SUBJECT TO THE STATE ENVIRONMENTAL QUALITY REVIEW ACT(SEQR)?If the answer is “YES,” STOP. You have completed this worksheet. Pursuant to 17NYCRR Part 15.5, the Applicant shall be the lead agency under SEQR and shall filea copy of its SEQR determination with NYSDOT prior to initiation of constructionactivities.

If the answer is “NO”, continue to Items #5 and #6.

5. IF THE ANSWER IN SECTION “4” IS “NO”, WHICH OF THE FOLLOWINGSTATEMENTS BEST DESCRIBES THE SCOPE OF THE APPLICANT’SPROPOSED PROJECT?Select the project type that most accurately reflects the scope of the projectproposed in the application.

6. IF THE ANSWER IN SECTION “4” IS “NO”, PLEASE ANSWER THEFOLLOWING THRESHOLD QUESTIONS:Select the appropriate response for each of the threshold questions presented. Theapplicant is advised that interaction with other agencies, such as State HistoricPreservation Office (SHPO) and New York State Department of EnvironmentalConservation (DEC), may be necessary in order to respond to the questions. Theapplicant shall provide supporting documentation as necessary.

2011 PROJECT FUNDING APPLICATIONPROJECT SERVICE LIFE WORKSHEET




Section B: Project Service Life Calculation

3. PROJECT SERVICE LIFE CALCULATION:The applicant shall compute the weighted average service life of the proposedproject utilizing the table provided on the form. The useful service life of work itemsnot included on the form should be based on the Service Lives for Railroad Propertyestablished by the NYS Office of Real Property Services, to the maximum extentpracticable (see http://www.orps.state.ny.us/legal/procedures/railroad06.htm).

Note the minimum service lives associated with each funding program:15 years Port & Marine Terminal projects20 years Railroad Locomotive & Rolling Stock30 years Railroad infrastructure

http://www.orps.state.ny.us/legal/procedures/railroad06.htm

2011 PROJECT FUNDING APPLICATIONSMART GROWTH WORKSHEET

The Smart Growth Act is intended to maximize the social, economic and environmental benefitsfrom public infrastructure development through minimizing unnecessary costs of sprawldevelopment including environmental degradation, disinvestment in urban and suburbancommunities and loss of open space induced by the funding of development of new orexpanded transportation, sewer and waster water treatment, water, education, housing andother publically supported infrastructure inconsistent with smart growth infrastructure criteria.

In order to judge how well a proposed project complies with the intent of the legislation, theproject is compared against the Smart Growth Criteria established in the law.




Section B: Smart Growth Assessment

3. Does the project use, maintain or improve existing infrastructure?Check “YES” unless the application is for completely new infrastructure. If you arebuilding new infrastructure, check “NO” and provide justification that explains theneed to build new infrastructure instead of using or improving existing infrastructure.

4. Is the project located in municipal center?A Municipal Center is defined in the statute as: an area of concentrated and mixedland use that serves as a center for various activities, including but not limited to,central business districts, main streets, downtowns, Brownfield Opportunity Areas,downtown areas within Local Waterfront Revitalization Program Areas, transitoriented developments, Environmental Justice Areas and Hardship Areas.

5. Is the proposed project located in a developed area or an area designated forconcentrated infill development in a municipally approved comprehensive landuse plan, local waterfront revitalization plan and/or brownfield opportunity areaplan?The definition for “developed area” is the same as municipal center. Areasdesignated for concentrated “infill development” would include new development onvacant, bypassed, and underutilized land within built up areas of existingcommunities, where infrastructure is already in place.

6. Will the proposed project protect, preserve and enhance the State’s resources,including agricultural land, forests, surface and groundwater, air quality,recreation and open space, scenic areas, and significant historic andarcheological resources?Check the appropriate box and provide any additional relevant information.

7. Will the proposed project foster mixed land uses and compact development,downtown revitalization, brownfield redevelopment, the enhancement ofbeauty in public spaces, the diversity and affordability of housing in proximityto places of employment, recreation and commercial development and theintegration of all income and age groups?Check the appropriate box and provide any additional relevant information.

8. Will the proposed project provide mobility through transportation choicesincluding improved public transportation and reduced automobiledependency?Check the appropriate box and provide any additional relevant information.

9. Will the proposed project involve coordination between state and localgovernment and inter-municipal and regional planning?Identify any interaction between the applicant and any municipal and countygovernments, planning boards, regional planning associations or similarorganizations. Document any outreach by the applicant to these organizationsregarding the project and submit any relevant correspondence.

10. Will the proposed project participate in community based planning andcollaboration?The Smart Growth legislation requires the Department, as a state infrastructureagency, to “solicit input from and consult with various representatives of affectedcommunities and organizations within those communities…” and “...giveconsideration to the local and environmental interests affected by the activities of theagency or projects planned, approved or financed through such agency” (ECL § 6-0109). To comply with this requirement, the Department intends to solicit input frompotential affected parties (local representatives) based on information provided bythe applicant.

To assist with that effort, identify any affected community groups or organizationswith an interest in the proposed project. Include the name of the organization,contact person, phone number and email address. Document any outreach by theapplicant to these organizations regarding the project and submit any relevantcorrespondence.

11. Will the proposed project ensure predictability in building and land use codes?Check the appropriate box and provide any additional relevant information.

12. Will the proposed project promote sustainability by strengthening existing andcreating new communities which reduce greenhouse gas emissions and donot compromise the needs of future generations, by among other meansencouraging broad based public involvement in developing and implementinga community plan and ensuring the governance structure is adequate tosustain its implementation?Check the appropriate box and provide any additional relevant information.

13. CERTIFICATIONThe worksheet shall be signed and dated by the preparer.

Application Checklist

Required documents are highlighted in Bold.

2011 Project Funding Application – Part Ao Project Location Mapo Detailed Estimate

2011 Project Funding Application – Part Bo Benefit / Cost Ratio Calculationso ROW Owner/Lessor Letter

2011 Project Funding Application – SEQR Worksheeto SEQR Record of Decisiono NEPA Record of Decisiono Agency letters (SHPO, DEC, etc…)

2011 Project Funding Application – Project Service Life Worksheet 2011 Project Funding Application – Smart Growth Worksheet

o Contact information and correspondence for local governmento Contact information and correspondence for community groups

Appendix ACost Benefit Cost AnalysisSample Conversion Factors

Factor Value Units Source

State of Good Repair:

Avoided Highway &Bridge Maintenance

$0.223Vehicle MileTraveled

2000 update to FHWA’s 1997 Federal HighwayCost Allocation Study, $0.166 / VMT inflated to2011 at 3% annually

Fuel Efficiency:

Truck 5.2 Miles/galRail 0.002066 Gal/ton-mi AAR

Cost of Fuel $3.70 $ / Galhttp://www.eia.gov/dnav/pet/pet_pri_gnd_dcus_nus_m.htm Avg. 12/10 – 5/11

Environment:

Carbon Emissions 0.0111 Tons/gal USEPACarbon Emissions $29.94 $/Ton NHTSANOx Emissions (truck) 0.000125 Tons/gal Texas Transportation Institute 2007NOx Emissions (rail) 0.000297 Tons/gal Texas Transportation Institute 2007NOx Emissions $4,000.00 $/TonPM Emissions (truck) 0.000003 Tons /gal Texas Transportation Institute 2007PM Emissions (rail) 0.000007 Tons/gal Texas Transportation Institute 2007PM Emissions $168,000 $/Ton

Livability:

Travel Time Savings $27.21 $/hour NHTSA

Highway CongestionCost

$2.40 $ / Truck MileBronx, Kings, New York, Queens, RichmondCounties

$1.82 $ / Truck Mile Nassau, Suffolk Counties$1.52 $ / Truck Mile Westchester County$1.13 $ / Truck Mile Rockland County$1.05 $ / Truck Mile Erie County$0.90 $ / Truck Mile Albany County$0.56 $ / Truck Mile Monroe County$0.51 $ / Truck Mile Putnam County$0.36 $ / Truck Mile Saratoga County$0.24 $ / Truck Mile Onondoga County$0.14 $ / Truck Mile Orange County

Safety:

Truck Fatal AccidentsRate

0.121Fatalities per100 m VMT

http://www.fmcsa.dot.gov/facts-research/art-safety-progress-report.htm

Truck Injury AccidentsRate

3.82Injuries per100 m VMT


Fatal Accident Cost $3,400,000 Per accidenthttps://www.nysdot.gov/divisions/operating/osss/highway/accident-costs

Injury Accident Cost $95,000 Per accidenthttps://www.nysdot.gov/divisions/operating/osss/highway/accident-costs

Minor Derailment Cost $25,000 Per incident

http://www.eia.gov/dnav/pet/pet_pri_gnd_dcus_nus_m.htm

http://www.eia.gov/dnav/pet/pet_pri_gnd_dcus_nus_m.htm





https://www.nysdot.gov/divisions/operating/osss/highway/accident-costs




Appendix B

Application Forms

New York State Department of Transportation2005 TRANSPORTATION BOND ACT

2011 PROJECT FUNDING APPLICATIONPART A

A. APPLICANT INFORMATION

1. APPLICANT’S FULL LEGAL NAME:

2. DBA:

3. TYPE OF APPLICANT: 4. APPLICANT’S FEDERAL TAX ID NUMBER:

5. FORM OF BUSINESS:6. CERTIFIED M/WBE FIRM? YES NO

7. APPLICANT’S MAILING ADDRESS:

Number and Street:

City: State: Zip Code:

Phone number: Fax number:

8. NAME & TITLE OF PERSON TO CONTACT ABOUT THIS APPLICATION:

Name: Title:

Phone number: e-mail address:

Number and Street (if different than above):

City: State: Zip Code:

B. GRANT REQUEST

9. AMOUNT OF STATE GRANT REQUESTED:

Application ID __________

For official use only

NYSDOT 2005 Transportation Bond Act 2011 Funding Application Part A Page 2 of 4

C. PROJECT INFORMATION

10. SHORT TITLE OF PROPOSED PROJECT:

11. PROJECT LOCATION:

Facility Name: Facility Address:

Project Limits: From to or at

County(ies):

Required Attachments:Location Map Other: _______________

12. DESCRIPTION OF PROPOSED PROJECT:

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13. EXISTING CONDITIONS AND NEEDS:(Describe existing conditions intended to be remedied by this project)

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Attachments (as necessary):Photographs Inspection Reports Other: __________________

14. PROJECT OBJECTIVE:(Describe what the project is intended to accomplish)

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15. PROJECT ALTERNATIVES:(Describe the methods considered to achieve project objectives)

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Attachments (as necessary):Drawings Inspection Reports Other: __________________


16. PROJECT STATUS:

Planning Preliminary Engineering Final Design Construction

17. PROJECT SCHEDULE:Provide a project schedule, in months. List all major project milestones, including design, environmental review and permitting

and construction.

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18. PROJECT BUDGET:

Provide a budget breakdown for the estimated project costs including other fund sources, such as: local matching funds, current state orfederal share (previous state and/or Federal funding awards), amount requested in this application.

The value of any salvaged materials shall be shown as a credit in the estimate.

Use of Funds

Source of Funds

AmountRequested

Other StateFunds

FederalFunds

ApplicantMatch Other TOTAL

SUBTOTAL PROJECT COSTS:

Salvage Credit:

TOTAL PROJECT COSTS:

Source of “Other State Funds”:

Source of “Federal” funds:

Source of “Other” funds:


19. STATUS OF ENVIRONMENTAL REVIEWS:

State Environmental Quality Review Act (SEQR):

Not Started In-Process Record of Decision Issued

SEQR Lead Agency:

National Environmental Policy Act (NEPA):

Not Started In-Process Record of Decision Issued

NEPA Lead Agency:

20. PROJECT SERVICE LIFE:

The anticipated minimum service life of this project is: years.

21. ATTESTATION:

To the best of my knowledge, the information provided herein is true and accurate description of the proposed project and its benefits.

NAME OF PERSON AUTHORIZED TO SIGN THIS APPLICATION, TITLE AND DATE SIGNED:

Please Print Name Title Date

Signature:


2011 PROJECT FUNDING APPLICATIONPART B



2. TITLE OF PROPOSED PROJECT:

B. SUPPLEMENTAL PROJECT INFORMATION

3. PROJECT COORDINATION(Describe the relationship of this project to other projects under development by the applicant, annual maintenance programs, and otherprojects previously funded by NYSDOT.)

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4. PROJECT PRIORITY:

For applicants who submit more than one project funding application, please indicated the priority order of your applications as follows:

a. Number of applications submitted:

b. Priority order of this project: of

5. PUBLIC BENEFIT COST RATIO:

Calculate the public benefit cost ratio for the project and attach your supporting calculations:

÷ =Public Benefits Public Funds Public B/C Ratio

6. RIGHT OF WAY CERTIFICATION:Does the applicant lease the right-of-way or is applicant a contract operator over subject trackage ( yes / no ):

If Yes, identify host entity:

Provide lease / contract term: years, expiration date: , and extension terms:

Depending on the fund source, NYSDOT rail and port grant agreements include a 10 to 30 year operation and maintenance clause beyondthe completion of the project. If this clause extends beyond the terms of the applicant’s current lease or operation agreement, attach astatement from host entity indicating a willingness to assume those obligations upon expiration of the current lease / operation agreementwith the applicant.




2011 PROJECT FUNDING APPLICATIONSEQR WORKSHEET

D. APPLICANT INFORMATION



E. SUPPLEMENTAL PROJECT INFORMATION

3. DOES THIS PROJECT HAVE A COMPLETED RECORD OF DECISION PREPAREDPURSUANT TO THE STATE ENVIRONMENTAL QUALITY REVIEW ACT (SEQR) OR THENATIONAL ENVIRONMENTAL POLICY ACT (NEPA)?

YESNO

IF THE ANSWER IN SECTION “3” IS “YES,” STOP. Please submit a copy of the Record of Decision with yourapplication.

IF THE ANSWER IN SECTION “3” IS NO, PLEASE ANSWER QUESTION “4”.

4. IS THE APPLICANT A MUNICIPAL CORPORATION, PUBLIC AUTHORITY, OR COUNTYSUBJECT TO THE STATE ENVIRONMENTAL QUALITY REVIEW ACT (SEQR)?

YESNO

IF THE ANSWER IN SECTION “4,” IS “YES,” STOP. Pursuant to 17 NYCRR Part 15.5, the Applicant shall bethe lead agency under SEQR and shall file a copy of its SEQR determination with NYSDOT prior to initiation ofconstruction activities.

IF THE ANSWER IN SECTION “4” IS NO, PLEASE ANSWER THE QUESTIONS IN SECTIONS “5” AND “6”.The applicant is advised that interaction with other agencies, such as State Historic Preservation Office (SHPO)and New York State Department of Environmental Conservation (DEC), may be necessary in order to complywith State Environmental Quality Review (SEQR) law. Also, it may be necessary for the applicant to provideadditional documentation at later stages in the development of the proposed project.

5. IF THE ANSWER IN SECTION “4” IS “NO”, WHICH OF THE FOLLOWING STATEMENTS BEST DESCRIBESTHE SCOPE OF THE APPLICANT’S PROPOSED PROJECT? (Check only one box)

The acquisition or rehabilitation of transportation vehicles, including locomotives, freight & passenger cars, andmaintenance-of-way equipment.

The acquisition and use of signal and communications equipment.

The expansion, reconstruction, rehabilitation, or replacement of existing public transportation passenger terminalbuildings involving expansion by less than 50% of the existing site or floor area.

The construction of new transportation buildings or terminals.

The replacement, reconstruction, or rehabilitation of existing highway/railroad crossings at grade and crossingbridges.

The construction of new parking areas for less than 250 vehicles.

The construction, reconstruction, or rehabilitation of track.

Other:



NYSDOT 2005 Transportation Bond Act 2011 Funding Application SEQR Worksheet Page 2 of 2

6. IF THE ANSWER IN SECTION “4” IS “NO”, PLEASE ANSWER THE FOLLOWING THRESHOLD QUESTIONS:

YES NO Does the project require the acquisition of any real estate? If YES, does this real estate involve anyoccupied homes or businesses? YES NO

YES NO Will the project result in significant changes in vehicular travel patterns, traffic volumes, or highwayaccess?

YES NO Will the project have effects on abutting properties?

YES NO Is the project consistent with plans or goals adopted by the local government body?

YES NO Will the project alter more than 2.5 acres of public park land, recreation area, or designated openspace?

YES NO Will the project have an effect on any district, site, building, structure, or object that is listed, or may beeligible for listing on the National Register of Historic Places?

YES NO Is the project located within 100 feet of a wetland area?

YES NO Is the project located within a 100 year floodplain area?

YES NO Is the project located within an agricultural district?

YES NO Is the project located within 100 feet of a river, stream, lake, or other body of water?If YES, please provide NAME of this body of water: ___________________

YES NO Will the project have an effect on any rare, endangered, or threatened species?

Describe any special environmental conditions:

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2011 PROJECT FUNDING APPLICATIONPROJECT SERVICE LIFE WORKSHEET




B. PROJECT SERVICE LIFE CALCULATION

A B A x B

Work Type Project Estimate

Service

Life $ Years

ROW Earthwork -$ 50 0

Grading / Ditching -$ 25 0

Tunnels -$ 100 0

Bridges, Trestles, & Culverts (New) -$ 80 0

Bridges, Trestles, & Culverts (Rehab) -$ 30 0

Shops, Engine House, Yards -$ 45 0

Communication Systems -$ 25 0

Signal Systems & Interlockers -$ 40 0

Power Transmission Systems -$ 40 0

Grade Crossings -$ 35 0

Clearance Improvement -$ 50 0

Ties - Wood -$ 30 0

Ties - Concrete -$ 45 0

Ties - Other -$ 30 0

Rail & OTM - Relay -$ 30 0

Rail & OTM - New -$ 50 0

Ballast -$ 40 0

Surfacing -$ 4 0

Undercutting -$ 12 0

Rolling Stock / Heavy Equipment -$ 20 0

Stations and Buildings -$ 40 0

Paving & Roadways -$ 25 0

Other: -$ 0

-$ 0

-$ 0

-$ 0

TOTAL -$ 0

Weighted Average Service Life #DIV/0!




2011 PROJECT FUNDING APPLICATIONSMART GROWTH WORKSHEET

F. APPLICANT INFORMATION



G. SMART GROWTH ASSESSMENT

For each of the criteria below check:

Yes – if the project is compliant with the criterion, explain why; No – if impracticable, and explain why in detail; or N/A – if not applicable, and explain why not.

If the rationale for claiming non-applicability or justification for continuing with the project despite non-compliance is longer than the spaceprovided, additional sheets may be attached; please clearly mark which criterion is being answered in the additional sheets.

3. Does the proposed project use, maintain or improve existing infrastructure?

Yes No N/A

Explanation:

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4. Is the proposed project located in a municipal center?

Yes No N/A

Explanation:

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5. Is the proposed project located in a developed area or an area designated for concentrated infill development in a municipallyapproved comprehensive land use plan, local waterfront revitalization plan and/or brownfield opportunity area plan?

Yes No N/A

Explanation:

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NYSDOT 2005 Transportation Bond Act 2011 Funding Application Smart Growth Worksheet Page 2 of 3

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6. Will the proposed project protect, preserve and enhance the State’s resources, including agricultural land, forests, surfaceand groundwater, air quality, recreation and open space, scenic areas, and significant historic and archeological resources?

Yes No N/A

Explanation:

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7. Will the proposed project foster mixed land uses and compact development, downtown revitalization, brownfieldredevelopment, the enhancement of beauty in public spaces, the diversity and affordability of housing in proximity to places ofemployment, recreation and commercial development and the integration of all income and age groups?

Yes No N/A

Explanation:

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8. Will the proposed project provide mobility through transportation choices including improved public transportation andreduced automobile dependency?

Yes No N/A

Explanation:

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9. Will the proposed project involve coordination between state and local government and inter-municipal and regionalplanning?

Yes No N/A

Explanation:

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NYSDOT 2005 Transportation Bond Act 2011 Funding Application Smart Growth Worksheet Page 3 of 3

10. Will the proposed project participate in community based planning and collaboration?

Yes No N/A

Explanation:

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11. Will the proposed project ensure predictability in building and land use codes?

Yes No N/A

Explanation:

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12. Will the proposed project promote sustainability by strengthening existing and creating new communities which reducegreenhouse gas emissions and do not compromise the needs of future generations, by among other means encouraging broadbased public involvement in developing and implementing a community plan and ensuring the governance structure is adequateto sustain its implementation?

Yes No N/A

Explanation:

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13. CERTIFICATION

I hereby certify, to the best of my knowledge, all of the above to be true.

Preparer of This Document:___________________________________ ____________Signature Date

____________________________________Printed Name

____________________________________Title

Documents

New York State Department of Transportation...requirements of the program (15 years after project completion for port projects, 20 years for rolling stock, and 30 years for rail infrastructure)