TABLE OF CONTENTS

I. INTRODUCTION .................................................................................................................................................. 1

II. PROGRAM DEVELOPMENT ................................................................................................................................. 1

A. PROCESS .......................................................................................................................................................... 1 B. APPROACH ....................................................................................................................................................... 3 C. OPERATIONS AND MAINTENANCE .......................................................................................................................... 4 D. REQUIREMENTS ................................................................................................................................................. 6 E. OTHER COMPONENTS ........................................................................................................................................ 10

III. CERTIFICATION REQUIREMENTS ..................................................................................................................... 12

A. STATEWIDE TRANSPORTATION PLANNING PROCESS ................................................................................................. 13 B. METROPOLITAN TRANSPORTATION PLANNING PROCESS ........................................................................................... 13 C. AIRQUALITY CONFORMITY ................................................................................................................................. 13 D. PUBLIC PARTICIPATION FOR REVIEW OF THE DRAFT STIP ............................................................................................ 15 E. BASED ON THE LONG-RANGE STATEWIDE TRANSPORTATION PLAN ................................................................................ 16 F. TIPS IN THE STIP ............................................................................................................................................. 16 G. DEMONSTRATION OF FISCAL CONSTRAINT ............................................................................................................. 17 H. TRANSPORTATION PROJECTS .............................................................................................................................. 17

IV. PROGRAM FUNDING SOURCES ....................................................................................................................... 20

A. FEDERAL FUNDS............................................................................................................................................... 20 B. FHWA FUNDING ............................................................................................................................................. 20 C. FTA FUNDING ................................................................................................................................................. 21

V. PROGRAM MANAGEMENT .............................................................................................................................. 23

VI. PERFORMANCE BASED PLANNING AND PROGRAMMING ………………………………………………………………………… …23

VII. THE FOUR-YEAR PROGRAM ........................................................................................................................... 27

VIII. CONCLUSION ................................................................................................................................................ 27

IX. APPENDICES

APPENDIX A - CERTIFICATION OF STATEWIDE TRANSPORTATION PLANNING PROCESS APPENDIX B - METROPOLITAN PLANNING ORGANIZATIONS (MPOS) TIP APPROVAL RESOLUTIONS APPENDIX C – CERTIFICATION OF METRO AREA TRANSPORTATION PLANNING PROCESS APPENDIX D – AIR QUALITY CONFORMITY DETERMINATION LETTERS APPENDIX E - MPO STATEMENTS THAT TIPS ARE INCLUDED IN THEIR ENTIRETY APPENDIX F - NYSDOT REGIONAL OFFICES APPENDIX G - MPO CENTRAL STAFF OFFICES APPENDIX H - LIST OF ABBREVIATIONS & ACRONYMS APPENDIX I - COUNTIES BY NYSDOT REGION APPENDIX J - HOW TO READ THE STIP APPENDIX K – PUBLIC COMMENT AND NYSDOT RESPONSE

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I. INTRODUCTION

The Statewide Transportation Improvement Program (STIP), is a comprehensive list of all transportation projects proposed to receive federal transportation funding in New York State. The New York State Department of Transportation (NYSDOT) has the responsibility to develop the STIP for all areas of the State consistent with federal requirements. This STIP covers the four-year period beginning October 1, 2019 and ending September 30, 2023, and constitutes an update of the previous transportation program. This document includes a brief narrative describing the STIP and summarizing the comprehensive planning process used to develop the program. It also includes appendices providing federally required documentation and the multimodal transportation project listing. The requirement for a STIP for all areas of the State was originally established under the federal Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 and is continued in the current “Fixing America’s Surface Transportation” (FAST) Act (Public Law 114-94).1 The FAST Act authorizes $304.7 billion for federal highway, highway safety, public transportation and passenger rail programs beginning in federal fiscal year 2016 (October 1, 2015). The FAST Act stipulates that all capital and noncapital transportation projects proposed for funding under Title 23 (highways) and Title 49 (transit) of the U.S. Code and all regionally significant transportation projects requiring an action by the Federal Highway Administration (FHWA) or the Federal Transit Administration (FTA) must be included on the STIP to be eligible for funding. In general, the STIP is developed by including the State’s current 14 Metropolitan Planning Organizations’ (MPOs’) Transportation Improvement Programs (TIPs) in their entirety. Also included are the nonmetropolitan projects, developed in consultation with affected nonmetropolitan transportation officials and in cooperation with local governments, from NYSDOT’s highway, bridge and multimodal capital program. Summary tables of the fiscal resource estimates and cost estimates for the STIP are included at the end of this narrative. Appendices provide documentation to support certification of the statewide and metropolitan planning processes. II. PROGRAM DEVELOPMENT A. Process This STIP was developed by NYSDOT, comprised of a Main Office2 and 11 Regional Offices3 (shown in Appendix F), in consultation with local officials in nonmetropolitan areas and in cooperation with metropolitan planning organizations in urbanized areas. There are 14 MPOs in New York State, see https://www.nysmpos.org/ and shown in Figure 1. NYSDOT coordinates with the MPOs in urbanized areas to advance transportation goals and priorities in developing and updating this Program. The STIP is a compilation of regional Transportation Improvement Programs (TIPs) that are adopted by MPOs and,

1 See: <https://www.gpo.gov/fdsys/pkg/PLAW-114publ94/pdf/PLAW-114publ94.pdf> 2 See: <https://www.dot.ny.gov/divisions> 3 See: <https://www.dot.ny.gov/regional-offices>

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combined with transportation projects in non-metropolitan areas, becomes a comprehensive list of all highway and transit projects that propose to use federal funds. NYSDOT established guidance which was provided to the MPOs for developing the STIP. Planning targets, or estimates of future federal and state funding, were established for each NYSDOT Region and used for planning in conjunction with the MPOs. Planning targets reflect estimates of anticipated federal funding and may not reflect actual federal funds received. Guidance and planning targets were distributed in December of 2018.

TIP Planning. In metropolitan areas, the development of the TIP is a cooperative process among the state, local governments and local transportation providers and is coordinated by the respective MPO. The process begins with a solicitation of projects from the area agencies that are eligible to sponsor federal-aid transportation projects. Estimated available federal-aid funding for planning purposes is compared to existing project commitments to determine the amount of funding available for new projects. Resources that are reasonably expected to be available and needed to operate and to maintain public transportation and federal-aid highways have been included in these comparisons. Planning target estimates are not a commitment of federal and/or state funds. In developing the TIP, candidate projects are evaluated based on a number of factors but, most importantly, projects must be consistent with an MPO’s metropolitan transportation (long-range) plan goals. Program goals are developed in such areas as system preservation, personal mobility, safety, transportation systems management and operation, economic development, freight mobility, environmental protection and quality of life. Projects are also evaluated for inclusion in the TIP based on eligibility for federal funds and the availability of those funds. The draft TIP undergoes a public review and air-quality conformity determinations are undertaken as applicable. Formal approval of the TIP by MPO members follows. Nonmetropolitan or Rural Areas. In the rural, nonmetropolitan areas of the State, the NYSDOT Regional Offices consult with local officials. The NYSDOT Regions involve local elected officials in the planning process and select projects cooperatively to include in the Program. The “2016 NYSDOT Procedures for Consultation with Public Officials in Rural Areas”4 documents NYSDOT’s process and summarizes the approaches Regions use to implement the procedures.5 These approaches include formal and informal processes, such as structured communication and project-level involvement; cooperative project selection decision-making; continuously updated informational mailing lists; locally developed Initial Project Proposals (IPPs); coordinated long-range plan development; involvement of transportation advisory committees and local ad-hoc committees and general cooperative

4 See: <https://www.dot.ny.gov/programs/smart-planning/repository/Rural%20Consult%202016FINAL.pdf> 5See: <https://www.dot.ny.gov/divisions/policy-and-strategy/planning-bureau>

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involvement among the levels of government on transportation issues within the geographic areas. Regional Local Project Liaisons (RLPLs) assist local officials who are administering federal-aid projects by answering questions and providing guidance as needed. Local officials are encouraged to ensure that appropriate input is solicited from their legislative bodies and the public regarding short-term plans and specific projects. Regional staff can advise or participate as requested at county and local meetings that involve local public officials, including the Region’s county and town highway officials. The Region can conduct public outreach through public information meetings, planning board meetings or some other open forum to increase awareness of capital projects and corridor studies. Having local officials at county-sponsored public participation meetings allows them to receive public input. The Regions provide support for local transportation program development. In addition, a NYSDOT guidebook6 assists local officials in completing applications for Federal-aid projects on the STIP. NYSDOT staff participate with the transit agencies in the urban areas on the updates to their Transit Development Plans (TDP) which guide their capital programs and the direction of their service planning on a five-year basis. These meetings include transit officials, MPO staff and interested and affected community representatives. In rural areas, the locally developed Coordinated Human Service and Public Transportation planning process provides an opportunity to examine the transit system’s contribution to the effectiveness of mobility options. The FTA Section 5311 Consolidated Application process7 affords an opportunity to develop and publicize the funding decisions for capital and operating funds and affords local input to help guide those decisions.

B. Approach

Long-Range Statewide Master Plan. This STIP is consistent with the State’s long-range statewide transportation plan and with the long–range transportation plans and TIPs in the State’s metropolitan areas. It includes multimodal investments and projects that improve the integration of the State’s transportation system (including intermodal facilities). The STIP ensures strategic investments to address existing infrastructure needs as well as to enhance statewide and regional economic competitiveness. This overall approach is embodied in the State’s long-range statewide transportation plan, “Strategies for a New Age: New York State’s Transportation Master Plan for 2030.”8 This Plan, a product of extensive public outreach, articulates a long-term, intermodal vision of the State’s future transportation system and provides policy-level guidance to achieve that vision.

6 Local Projects Manual (LPM); See: <https://www.dot.ny.gov/divisions/operating/opdm/local-programs-bureau/locally-administered-federal-aid-projects> 7https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/rural-programs/5311/application-material 8 See: <https://www.dot.ny.gov/portal/page/portal/main/transportation-plan/repository/masterplan-111406.pdf>

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Comprehensive Program Update Focus. NYSDOT’s capital program update strategies are reflected in the guidance for the TIP/STIP update. NYSDOT is committed to ensuring that New York State’s transportation system is safe and environmentally sound, and can support future commerce, personal travel demands and address emergencies and unforeseen circumstances. NYSDOT employs strong asset management practices to focus investment on critical investments that preserve the functionality of the existing transportation system and support future growth. NYSDOT recognizes that the transportation system serves people and society in many ways including supporting economic vitality, employment and livability. Toward that end, NYSDOT considers economic, social and environmental benefits in making capital investment decisions. Investments in transportation infrastructure will facilitate economic growth, leverage private investment, create new jobs and support communities. The Memorandum of Understanding (MOU) governing NYSDOT’s five-year capital program was executed in July of 2016. The MOU details capital projects to be undertaken by the State and local governments to improve infrastructure conditions, increase economic competitiveness and mitigate flooding risks associated with extreme weather events. The plan invests more than $55 billion in new transportation improvements, including $21.1 billion for DOT during the five-year plan period https://www.dot.ny.gov/programs/capital-plan . The adopted 2019-2020 State budget includes $4.4 billion to NYSDOT for the fifth and final year of its capital plan of which $2.5 billion is for construction and construction-related activities. In metropolitan areas, federally aided projects in the plan must be approved by a MPO. In non-metropolitan areas, federally aided projects must be selected in consultation with local officials. C. Operations and Maintenance Operations and maintenance of the transportation network. New York State conducts annual and multiyear planning and budgeting that identify costs and dedicated resources for maintenance and operation of the transportation system, including federal-aid highways and public transportation systems. New York’s maintenance and operations investments are established in several recurring programs, described below, that have been incorporated as regular components of the transportation planning and budgeting process. The programs are funded principally from State statutorily dedicated revenue sources (such as the Dedicated Highway and Bridge Trust Fund and the General Fund) for balanced operating, maintenance and capital programs. State highway and bridge maintenance and operations: The State budgets nearly $819 million annually for preventive, corrective and demand maintenance on approximately 44,500 lane miles of state highways and more than 7,900 state bridges. Specific activities include pavement and bridge maintenance; drainage improvement; guide rail repair; pavement marking; sign and signal maintenance; snow and ice control and numerous other maintenance activities.

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Local highway and bridge capital maintenance: Local transportation capital maintenance is addressed through local contributions and by the State’s Consolidated Local Street and Highway Improvement Program (CHIPS).9 CHIPS was established by the Legislature in 1981 to assist localities in financing the construction, reconstruction or improvement of highways, bridges, highway-railroad crossings and other facilities that are not on the state highway system. CHIPS funds are allocated to municipalities on a formula basis. The applicable rules for the program are contained in Section 10-c of the Highway Law. The statewide CHIPS appropriation for highway capital projects in SFY 19-20 was $438 million. DOT’s capital plan includes two additional local initiatives – BRIDGE NY and PAVE NY. These initiatives further improve conditions on local roads and bridges.

BRIDGE NY provided more than $262 million in 2018 for enhanced assistance for local governments to rehabilitate and replace bridges and culverts. These projects address poor structural conditions, mitigate weight restrictions or detours, facilitate economic development and increase competitiveness as well as improve resiliency and/or reduce the risk of flooding. Bridge projects are federally-aided. Culvert projects are state-aided. There is $100 million provided in the 2019-20 State budget for BRIDGE NY. Additional information regarding this program can be found here: https://www.dot.ny.gov/BRIDGENY.

PAVE NY apportions $100 million annually in enhanced State assistance to counties, towns, cities and villages for the rehabilitation and reconstruction of local highways and roads. Funds apportioned to municipalities may be used for any eligible program activity, provided the project has a service life of more than 10-years. Additional information is available at https://www.dot.ny.gov/PAVENY.

Transit system operation and maintenance: New York State provides $5.9 billion in direct and indirect annual assistance to public transportation systems statewide. New York State’s support for public transportation is unparalleled and is more than the annual level of investment of most other states combined. The aid is apportioned based on an annual performance and financial assessment of systems, taking into account service levels, fare levels and system preservation/maintenance requirements. In addition to State-operating aid, local government entities contribute nearly $1 billion annually to maintenance and operation of public transportation systems. State funding: Information on New York’s Statewide Mass Transportation Operating Assistance (STOA)10 administered by the New York State Department of Transportation also is on NYSDOT’s website. New York State transit systems carry nearly one-third of the nation's transit riders and provide nearly one-quarter of transit services nationwide.

9 See: <https://www.dot.ny.gov/portal/page/portal/programs/chips> 10 See: <https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/funding-sources/STOA>

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D. Requirements Fiscal constraint: Federal rules require the STIP to be fiscally constrained by Federal Fiscal Year (FFY). Fiscal constraint means that the funds programmed do not exceed the resources or funds “reasonably” expected to be available. Fiscal constraint for the FHWA is defined as establishing a STIP such that the amount of total FHWA fiscally constrained funding programmed in each year of the STIP does not exceed the total planning targets for each of the STIP years. Any fiscally constrained fund type can be over-programmed in a year provided that the total of all fiscally constrained funding programmed in that year does not exceed the apportionments (implies a columnar total by year does not exceed apportionments. Over-programming in fund types must be offset by under-programming in other fund types to compensate).

For FTA-funded projects, future-year STIP available funds are based on transportation funding authorizations. Appropriations bills are enacted annually; apportionments and allocations are published by the FTA in the Federal Register. In MPO areas that have multiple FTA Designated Recipients (DRs), the resolutions passed by the MPO serve as the final sub allocation to the DRs. To maintain fiscal constraint, the FTA funds that are programmed on the STIP for a year need to be consistent with the amounts available to be obligated in any given year. All FTA funds have an original Appropriation year plus 2 to 5 year window to obligate funds. Since transit expenditures often exceed one year’s funding, agencies often use “carryover” funds (funds not spent in previous fiscal year) when they obligate them on an FTA grant. The STIP represents the required multi year plan by the Agency and are often adjusted as the program of projects for a grant is finalized. Table 2 shows the estimated annual available Federal-aid funds and program amounts and are at the end of this summary on page 25. Table 3, Parts A and B, also at the end of this summary, contain the required information for demonstrating the fiscal constraint of the New York STIP. While the STIP must be fiscally constrained by year, some discretionary and other funding categories are not required to be included, such as TAP and the Recreational Trails Program. State and local match funds are shown in the STIP project listings. State matching funds are typically provided from the State Dedicated Fund and NY Works. Further budgetary details for NYSDOT are on pages 43 and 44 of the State’s Capital Program and Financing Plan https://www.budget.ny.gov/pubs/archive/fy20/exec/cp/fy20cp-ex.pdf. Local matching funds are provided from municipal budgets and adopted by resolution when committed to federal-aid projects. The fiscal constraint table (Table 3) contains only financial data for the following fund sources: Part A for FHWA funds

National Highway Performance Program (NHPP): NHPP provides support to improve the condition and performance of highways and bridges of the National Highway System (NHS).

Congestion Mitigation and Air Quality Improvement Program (CMAQ): CMAQ provides flexible funding to State and local governments for transportation projects and programs, regardless of mode, to help meet the requirements of the Clean Air Act.

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Surface Transportation Block Grant Program (STBGP): STBGP provides funding to states and localities for projects to preserve and improve the conditions and performance on any federal-aid highway or bridge on any public road, pedestrian and bicycle infrastructure, and transit capital projects, including intercity bus terminals.

National Highway Freight Program (NHFP): NHFP provides capital funding to improve the efficient movement of freight on the National Highway Freight Network (NHFN).

Highway Safety Improvement Program (HSIP): HSIP provides capital funding to correct or improve a hazardous road location, mitigating fatalities and serious injuries on public roads.

Part B for FTA funds

Urbanized Area Formula Grants (Sections 5307): Provides funding for the replacement of and overhaul of buses and rail rolling stock, construction of maintenance and passenger facilities; investments in new and existing fixed-guideway systems track, signals, communications; and related equipment.

Enhanced Mobility of Seniors and Individuals with Disabilities (Section 5310): Provides assistance to private nonprofit groups in meeting the transportation needs of older adults and people with disabilities when the transportation service provided is unavailable, insufficient, or inappropriate to meeting these needs, including accessible vehicles, operating assistance and mobility management.

Formula Grants for Other than Urbanized Areas (Section 5311): Provides support for capital projects; operating costs of equipment and facilities in rural areas, areas with populations of less than 50,000.

Public Transportation Safety Program (Section 5329): Provides funds to states to conduct state safety oversight of rail transportation systems.

State of Good Repair Grants (Section 5337): Provides assistance to public transit agencies that operate rail fixed-guideway and high-intensity motorbus systems for the maintenance, replacement, and rehabilitation of capital assets.

Bus and Bus Facilities Grant Program (Section 5339): Provides funds to replace, rehabilitate and purchase buses and related equipment and to construct bus-related facilities, including technological changes or innovations to modify low or no emission vehicles or facilities.

Highway fiscal constraint: Table 3 Part A exhibits funds available for highway programs estimated for the STIP period. The STIP as a whole is somewhat under-programmed. The FAST Act authorizes funding for this STIP through FY 2020. However, it is not clear that federal trust funds receipts will be sufficient to provide funding levels in the outer years, leaving some uncertainty. While Tables 3A and 3B show some over-programming in individual fund sources in certain years, the total amount of programming by year does not exceed available funds per year. Therefore, the STIP meets federal fiscal constraint requirements in the statewide planning rule [CFR 450.218 (m)].

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NYSDOT also utilizes Advance Construction to manage the timing of funds obligation, effectively allowing balancing of resources over a multiyear period. In addition, NYSDOT will manage unobligated balances to administer the timing of funds obligation in individual aid categories. Transit fiscal constraint: The estimates, reflected in Table 3 Part B, represent NYSDOT’s best estimate of funding apportioned for New York State transit operators and the FTA State-Administered programs. For the majority of fund sources, estimates of available resources are based on the most recent transportation legislation (FAST Act) overall estimates over the four years and using the historical share of NY funding to the national amount. Since the previous transportation legislation, MAP-21, changed the distribution of Section 5310 to directly apportion funds by urban area, some of the MPOs have estimated Section 5310 block projects over the STIP period. NYSDOT only programmed the rural portion for the statewide number which means that the total programmed for Section 5310 is under the expected available resources. However, NYSDOT is aware of the difference and will work with the MPOs during future statewide solicitations to document the changes to the STIP to bring the total amount up to the available amounts. The FAST Act did not change the Section 5309 program. Currently there is no New Starts funding programmed in New York State. The Capital District Transportation Authority (CDTA) did receive Small Starts program funding in 2019 for Bus Rapid transit expansion and it is anticipated that the funds will be obligated in the current STIP. The FAST Act continued funds for the rail modernization program under the Section 5337 (State of Good Repair). Section 5337 is a formula program that apportions funds to the MTA and the Niagara Frontier Transit Authority (NFTA) in New York State. The FAST Act projections are used along with the historical share for these two rail providers to compare against the STIP numbers. The High Intensity Motor Bus funds are a small subsection of the 5337 program. These funds are now part of the regular 5337 allocations within the NYMTC. The bus tier within 5337 is specifically for bus routing through fixed route corridors and is now disbursed to Agencies that operate through those corridors. Section 5339 is a formula program for bus and facilities for urban and rural systems. The STIP for FY 2020-23 will divide the three major categories of the Section 5339 program to clearly identify the required fiscally constrained programs and the discretionary programs. The standard formula program will still be listed as FTA 5339; the National Distribution (ND) funding that currently is identified in the Federal Register’s annual apportionments as NYSDOT is suballocted to the Small Urbanized Areas and is indicated by the FTA 5339 ND. All other 5339(b) programs including the general competitive formula and the low Emission program (LO-no) will be indicated by FTA 5339 DISC. FAST Act projections are used as a base to compare against the TIP numbers. Designated recipients of FTA funding are not authorized to obligate/expend federal funds in the absence of an annual appropriation authority. As such, the federal transit program and the projects contained within the STIP are constrained to the level of annual funding apportioned/allocated as part of the Transportation Appropriations Act.

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The STIP contains blocked amounts in the statewide category. It should be noted that some MPO TIPs also contain blocked funds for transit. The Section 5311 funds are placed as a block as is the 5329 Safety Oversight program. The Section 5324 Emergency Relief adds projects to the STIP at the time of award and project initiation based on the requirements that the project involves functional, location or capacity changes to a project. As resiliency projects are added to the program and considered by FTA, the transit agencies, the MPOs and NYSDOT will work to ensure the fiscally constrained available funds are added to the STIP. Table 2 lists the funds available by year for the Section 5307 program based on the FAST Act projections suballocated by historical state and urban area allocations. Transit agencies continue to carry forward prior year appropriations for larger purchases or for capital expenses to align with their Transportation Asset Management (TAM) plans. FTA 5307 funds will not necessarily line up by year with the expected resources or program. Rather they will follow the procurement and operations trends for each system that allows agencies to apply for the funds when necessary.

Year of Expenditure (YOE) Dollars. NYSDOT provided guidance on how to estimate inflation in the TIP/STIP Update Instructions. Some transportation operators have chosen to use their own estimates and these are documented. Total Project Cost (TPC). Federal regulation 23 CFR 450.326(k) requires including the estimated total project cost in the STIP. Each project listed in the STIP is identified by a Project Identification Number (PIN). While most projects have only one PIN, many complicated or very large projects will have multiple PINs created to properly phase the construction. For these projects, the total project cost indicated includes all the PINs necessary to complete the project. Unlike the total four-year STIP summary cost that is included in the STIP project listings for each PIN, the STIP TPC must include any project costs that are programmed or planned in future years beyond the STIP period. This is explained in the “How to Read the STIP Project List” in Appendix J. In many cases, the TPC estimate will include a range of dollars of all PINs that address the same location (e.g., all costs associated with the replacement of a major bridge, regardless of PIN number, and regardless of whether the entire project is scheduled within the time frame of the STIP). It is important to point out, therefore, that the TPC estimate is intended as a guide for reviewers to understand the complete scope of the project, but the cost is not necessarily associated with the fiscal constraint of the STIP because it may include future proposed phases beyond the years covered in the STIP, consistent with regulations. Title VI of the Civil Rights Act of 1964. NYSDOT’s Office of Civil Rights (OCR) has the responsibility to ensure that programs, projects and services administered by NYSDOT comply with Title VI of the Civil Rights Act of 1964, as amended. The foundation of NYSDOT’s Title VI policy is that no person will be discriminated against on the grounds of race, color, national origin, age, sex or disability under any program administered by the NYSDOT. Towards this end, discrimination complaint procedures have been developed by OCR https://www.dot.ny.gov/main/business-center/civil-rights2/civil-rights-repository/Tab/20181108_Complaint_Form_Fillable.pdf to process and address complaints received by NYSDOT regarding its programs, projects and services.

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NYSDOT’s “Public Involvement for Transportation Planning”11 manual lays out the NYSDOT approach for involving the public in the transportation planning process. This includes compliance with special considerations under the Americans with Disabilities Act (ADA), the Environmental Justice (EJ) Executive Order (EO) 12898 and EO 13166 Limited English Proficiency (LEP) population groups. This document also describes the NYSDOT public outreach process for the STIP, such as timeframes for a public comment period. E. Other Components Americans with Disabilities Act (ADA). NYSDOT is fully committed to providing accessible facilities statewide. As the State addresses the rehabilitation and replacement of its infrastructure, these facilities are brought into compliance with current standards. NYSDOT also ensures that modal projects where NYSDOT has a funding role (including transit and rail projects) are ADA accessible. While all projects are reviewed for ADA compliance, NYSDOT will continue to mitigate ADA deficiencies identified in its 2016 ADA Transition Plan. Examples of planned activities include: maintaining crosswalk markings; replacing pedestrian indicators with countdown signals; reconstructing existing sidewalks; constructing new sidewalks; and building ramps that are compliant with the ADA. The Core Program has funding for cap ital projects that include sidewalk construction and reconstruction; audible and visual pedestrian “countdown” indicators; and restriping existing crosswalks at the end of their useful lives. In addition, the New York State Most Integrated Setting Coordinating Council (MISCC) developed a comprehensive statewide plan to ensure that people of all ages with physical and mental disabilities receive care and services in the most integrated settings appropriate to their individual needs. As part of the MISCC effort, the Governor’s office released the 2012 New York State Olmstead Plan that recommended a pilot program for Mobility Management for the target population. This mobility management program study identified promising practices or models that utilize family/community supports, shared ride and/or other resources to address the transportation needs (especially employment-related) of individuals with developmental, mental or physical disabilities who receive services from the New York State Office for People with Developmental Disabilities (OPWDD), the New York State Office of Mental Health (OMH) and the New York State Department of Health (DOH). The MISCC continues to solicit feedback and comments regarding best practices and plans to continue outreach to impacted individuals. Pedestrian and Bicycle accommodations are recognized as an important component of New York State’s overall transportation capital program. NYSDOT continues to support safe, affordable transportation

11 See: <https://www.dot.ny.gov/divisions/policy-and-strategy/planning-

bureau/MPO_program_update_guide/repository/Planning%20PIFinal-Manua12%201218.pdf>

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choices that address the needs of all users throughout the state. NYSDOT’s bicycle and pedestrian policy “promotes pedestrian and bicycle travel for all persons on the state transportation system,” with emphasis on safety, connectivity and sustainable and livable communities. Local agencies also have invested significantly in pedestrian and bicycle improvements that can be implemented as elements of a larger capital project or as separate and distinct projects.

In addition, NYSDOT considers “complete streets” elements in all of its projects. This is consistent with New York State’s Complete Streets law (“Complete Streets Act,” Chapter 398 of the Laws of 2011) which requires state, county and local agencies to consider the convenience and mobility of all users when developing transportation projects that receive state and federal funding. The law applies to projects that are undertaken by NYSDOT or to local projects that receive both federal and state funding and are subject to NYSDOT oversight. Complete Streets roadway design features include sidewalks, lane-striping, bicycle lanes, paved shoulders suitable for use by bicyclists, signage, crosswalks, pedestrian control signals, bus pull-outs, curb cuts, ramps and traffic-calming measures.12 Additionally, the Department and partners are implementing the New York State Pedestrian Safety Action Plan13 a proactive, multi-agency initiative that provides funding for pedestrian safety improvements across upstate

New York and Long Island. The Plan identifies current safety conditions and recommends a distinct set of multi-agency engineering, education, and enforcement countermeasures that can be accomplished to improve pedestrian safety. Funding available to accomplish the objectives outlined in the plan includes HSIP funds, as well as other state and federal funding sources such as TAP and STBGP.

Bicycle and pedestrian facilities and programs are important transportation actions that can improve livability and the quality of life in our communities. The FAST Act replaced the former Transportation Alternatives Program (TAP) with a set-aside of funds under the STBGP, referred to as the TAP Set-Aside. The TAP Set-Aside authorizes funding for programs and projects defined as transportation alternatives, including on- and off-road pedestrian and bicycle facilities, infrastructure projects for improving non-driver access to public transportation and enhanced mobility, community improvement activities such as historic preservation and vegetation management, and environmental mitigation related to stormwater and habitat connectivity; recreational trail projects; safe routes to school projects; and projects for planning, designing, or constructing boulevards and other roadways largely in the right-of-way of former divided highways.

12 See: <https://www.dot.ny.gov/programs/completestreets> 13 See: < https://www.ny.gov/programs/pedestrian-safety-action-plan>

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NYSDOT selects TAP Set-Aside projects through a competitive solicitation process where proposals are rated on established criteria, including: public benefit and community support for the project; connectivity to an existing transportation system; how well the proposed improvements benefit walking and bicycling; impact on local or regional economies; availability of matching funds; and ability to deliver the project within federally required timeframes. For the last two solicitations, TAP funds have been solicitated along with Congestion Mitigation and Air Quality Improvement Program funds available to nineteen upstate communities.14 This combined process provides coordinated and expanded access to funds that support bicycle, pedestrian, multi-use path and o projects that reduce congestion and help meet the requirements of the Clean Air Act.

Coordinated Human Services-Public Transportation Planning. NYSDOT has been working with the MPOs, local officials, other state agencies and their representatives and transportation providers on developing Coordinated Human Services-Public Transportation Plans to ensure they are developed where necessary. These plans have laid the foundation for programming FTA funds; updated plans over the next STIP will continue to guide the use of these funds. Plans have been developed for most rural counties and each MPO area. The most recent list of plans is on the NYSDOT website https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/local-dev-coordinated-

plans. MPOs also post them on their respective websites.

III. CERTIFICATION REQUIREMENTS As part of the STIP, New York State certifies that the transportation planning process is being carried out following the requirements of applicable federal rules and regulations. As such, each MPO developed a program of transportation improvement projects called a “TIP” covering a period of five years, consistent with its metropolitan transportation (long-range) plan. Each TIP is formally adopted as part of the metropolitan planning process. Each TIP has been included without change in the STIP. The following additional documentation in support of the planning process followed in this STIP is provided in Appendices A through J and is described below.

14 See: https://www.dot.ny.gov/TAP-CMAQ

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A. Statewide Transportation Planning Process NYSDOT certifies the transportation planning process is being carried out in accordance with all applicable requirements of federal legislation, these include:

1) The highway and transit planning requirements detailed in 23 U.S.C. 134 & 135, 49 U.S.C. 5303 & 5304, 23 CFR Part 450 and 49 CFR Part 613;

2) Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d-1) and 49 CFR part 21;

3) 49 U.S.C. 5332, prohibiting discrimination on the basis of race, color, creed, national origin, sex, or age in employment or business opportunity;

4) Section 1101(b) of the FAST Act (Pub. L. 114-357) and 49 CFR Part 26 re: involvement of disadvantaged business enterprises in USDOT funded projects;

5) 23 CFR part 230, re: implementation of an equal employment opportunity program on Federal and Federal-aid highway construction contracts;

6) The provisions of the ADA of 1990 (42 U.S.C. 12101 et seq.) and 49 CFR parts 27, 37, & 38; 7) In nonattainment and maintenance areas, sections 174 & 176(c) & (d) of the Clean Air Act as

amended (42 U.S.C. 7504, 7506(c) & (d)) and 40 CFR part 93, assuring that plans and programs do not contribute to air quality problems in these areas;

8) The Older Americans Act, as amended (42 U.S.C. 6101), prohibiting discrimination on the basis of age in programs or activities receiving Federal financial assistance;

9) Section 324 of title 23 U.S.C., re: prohibition of discrimination based on gender; and 10) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and 49 CFR part 27 re:

discrimination against individuals with disabilities. The certification for this STIP is contained in Appendix A of this document. B. Metropolitan Transportation Planning Process The STIP is developed in cooperation with the MPOs. Federal regulations require the State and MPOs certify to FHWA and FTA at least every four years as part of the STIP submittal that the planning process in the metropolitan area is addressing the major issues facing the area and being conducted in accordance with all applicable requirements of U.S.C. Section 134 of Title 23, Section 5303 of the Federal Transit Act, and other federal legislation pertaining to transportation planning. Copies of the resolutions approving the MPOs’ TIPs are included in Appendix B. In addition, copies of MPO certifications are included in Appendix C. C. Air-Quality Conformity For those MPOs where air-quality nonattainment or maintenance areas have been designated within the MPO’s metropolitan planning area, their plans and programs are subject to transportation/air-quality

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conformity requirements. The Clean Air Act Amendments (CAAA) of 1990 requires demonstration that transportation plans, programs and projects conform to the purpose of State Air Quality Implementation and/or Maintenance Plans to attain and to maintain the National Ambient Air Quality Standards (NAAQS). This requirement applies only to those areas currently designated as nonattainment or maintenance areas. These counties are in the NYMTC and OCTC MPOs as well as ChautauquaCounty. Additionally, per the South Coast II v. EPA court decision, beginning February 16, 2019, a transportation conformity determination for the 1997 ozone NAAQS is required in 1997 ozone NAAQS nonattainment and maintenance areas which include the Adirondack/Glens Fall Transportation Council (A/GFTC), Capital District Transportation Committee (CDTC), Dutchess County Transportation Council (DCTC), Greater Buffalo Niagara Regional Transportation Council, Genessee Transportation Council (GTC) and Watertown Jefferson County Transportation Council (WJCTC) MPOs. When the nonattainment or maintenance areas are within MPO metropolitan area boundaries, the conformity determinations for the TIP and Metropolitan Transportation Plan (long-range plan) are addressed by the MPO. Outside MPO boundaries, NYSDOT conducts the conformity determinations. Projects in nonattainment and maintenance areas that have been determined to have more than a de minimis effect on air quality, cannot be advanced unless there is a program and plan level conformity determination for that affected area. Conformity determinations are performed separately and independently for each nonattainment and maintenance area. Projects in areas with the necessary conformity determinations can be advanced regardless of the conformity status of other areas. Interagency consultation is required to complete the conformity determination process. In New York State, the Interagency Consultation Group (ICG) includes representatives from USDOT (FHWA & FTA); U.S. Environmental Protection Agency (USEPA) Region 2; NYS Department of Environmental Conservation (NYSDEC); NYSDOT; and the MPOs. The group provides multiagency guidance and concurrence on the assumptions and methodologies in the application of Travel Demand Models and emissions models used by the MPOs and in the rural areas, the results of which form the basis of the regional emissions analysis. In general terms, the model outputs are used to forecast the amount of air pollution that is anticipated to be created when the projects in the metropolitan transportation plans (MTPs) and TIPs become operational. For this STIP, each TIP and rural portion of the Program in a nonattainment or maintenance area has or is in the process of having its conformity determination approved by FHWA and FTA, in consultation with USEPA and NYSDEC. Copies of these draft analyses are available in the TIP documents or from NYSDOT. Copies of the approved TIP conformity resolutions for impacted MPOs as well as NYSDOT’s approval letter for the conformity analyses are included in Appendix D. Regionally significant project listings for NYMTC and OCTC are also included in Appendix D.

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D. Public Participation for review of the draft STIP Early and continuous involvement is critical in developing the STIP. NYSDOT’s public involvement procedures are documented in NYSDOT’s “Public Involvement Manual for Transportation Planning”.15 The MPOs embrace public participation as key to their program process and have a continuing, cooperative and comprehensive working relationship with diverse individuals and groups. Each MPO has documented procedures for public participation and involvement. Public participation at the MPO level follows the formal process adopted by each individual MPO. With more than 90 percent of New York's population living within counties in the MPO areas, many citizens can be involved in this formal process to formulate the STIP. In rural areas, where the remaining federal transportation funding is spent, the consultation and coordination that historically has taken place between NYSDOT regional staff and local officials will continue. In the rural, nonmetropolitan areas, NYSDOT makes a concerted effort, as described in our rural consultation process, “2016 NYSDOT Procedures for Consultation with Public Officials in Rural Areas,”16 to reach out to local officials to ascertain their transportation needs. NYSDOT also reaches out, as applicable, to local Tribal Nations. NYSDOT continued its existing consultation process with the tribal governments in New York State, primarily through the practices of the MPOs and Regional offices. Several MPOs contact the tribal governments in their metropolitan areas through their routine TIP outreach and mailing processes. FAST Act Tribal Transportation Programs’ projects will be amended into the STIP as these become available from FHWA and Federal Lands. STIP Public Review. The detailed process used for public review of the STIP is as follows: NYSDOT has made the draft STIP available to the public for a 30-day review and comment period. The availability of the draft STIP for public review was announced via social media (NYSDOT’s Facebook page17 and Twitter), and through a NYSDOT press release sent across New York State on August 20, 2019. In addition, both the summary and the project listings have been published on NYSDOT’s website. During the public review period for the draft STIP, NYSDOT will receive comments. After public review, the details of each comment or question and NYSDOT’s responses will be included in Appendix K. To request a copy of the STIP: STIP@dot.ny.gov

The Project List and the STIP Summary Report can be viewed or downloaded at:

https://www.dot.ny.gov/programs/stip/draftstip

Copies of this STIP also may be examined at each NYSDOT Regional Office and at each MPO Central Staff Office during normal business hours. The addresses of these offices are provided in Appendices F and G.

15 See: <https://www.dot.ny.gov/divisions/policy-and-strategy/planning-bureau/MPO_program_update_guide/repository/Planning%20PIFinal-Manua12%201218.pdf> 16 See: <https://www.dot.ny.gov/programs/smart-planning/repository/Rural%20Consult%202016FINAL.pdf> 17 See: <https://m.facebook.com/NYSDOT/>

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E. Based on the long-range statewide transportation plan This Program is consistent with New York’s long-range statewide transportation plan and with the long–range transportation plans and TIPs in its metropolitan areas. NYSDOT’s Master Plan, “Strategies for a New Age: New York State’s Transportation Master Plan for 2030”18 articulates a vision for New York's future transportation system as a seamless system in which travelers can shift conveniently among modes and operators to complete trips that meet their individual and business needs. The Plan outlines policy guidance and strategies to achieve this vision. The Plan is not just for NYSDOT but for the entire statewide transportation system. This plan openly recognizes the complementary and integrated role that every transportation mode plays in promoting New York’s vitality. Additionally, the plan acknowledges the central importance of transportation in fostering New York’s competitive position within the regional, national and global economies. This plan is predicated on first identifying and then taking steps to meet the service expectations of the transportation system’s many and diverse customers. This Plan acknowledges that New York’s transportation system for the 21st century must be planned, managed and operated in a far more integrated way than before. Amid anticipated financial and funding constraints at both the state and federal levels, NYSDOT and its partners will be required to prioritize investments more effectively for all modes and to collect the best available data to measure and to evaluate the impacts of these investments on the system and its customers. For metropolitan areas, TIPs must be consistent with the metropolitan transportation plans developed for each urban area. Each of the 14 MPOs (see Figure 1) has adopted a long-range transportation plan for its respective metropolitan areas. The TIP is considered to be the short-range element of the metropolitan transportation plan. The projects selected by the MPO for the TIP reflect the goals, objectives and strategies of its plan. Nonattainment areas are required to update their long-range plans every four years. Attainment areas are required to update their plans every five years. Table 1 indicates the most current approval date for each of these plans. In approving the TIPs and the self-certifications, the MPO and the State attest that the TIP is consistent with the metropolitan transportation (long-range) plan. F. TIPs in the STIP

Each MPO TIP must be included in the STIP in its entirety. The MPOs review their portions of the STIP to ensure their entire TIP was included. MPOs provide a statement that they had an opportunity to review the STIP and that, to the best of their knowledge, their TIP is included in its entirety. Copies of those statements are included in Appendix E.

18 See: <https://www.dot.ny.gov/portal/page/portal/main/transportation-plan/transportation-plan>

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G. Demonstration of Fiscal Constraint The STIP must be fiscally balanced by FFY. Section II describes how this condition is met. Project costs and revenues in the STIP are expressed in Year of Expenditure (YOE) dollars. H. Transportation Projects The STIP includes this summary and a separate section titled “STIP Project Listing.” This section lists all project phases for which federal funding is to be obligated in FFY 2020, 2021, 2022 and 2023. An explanation of the data content is in Appendix J and is in “How to Read the STIP.” The STIP Project Listing information is presented by NYSDOT Region. Within each Region, project phases are listed in Project Identification Number (PIN) sequence. The listing includes all Federal-aid funded project phases. Detailed instructions on “Project Descriptions” prepared by the FHWA-NY Division were used by the NYSDOT Regional Offices and the MPOs. The main information for each project in the “STIP Project Listing” includes:

I. PIN II. Description

III. Phase of work IV. Fund sources for each phase - Federal and non-Federal sources V. Cost by fund source, Federal amount and non-Federal sources

VI. Total cost of the phase of work VII. FFY of obligation for the phase of work

VIII. County where the project is located IX. Responsible agency X. MPO or NYSDOT Region

XI. Air Quality nonexempt status

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FIGURE 1

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TABLE 1 NYS MPO METROPOLITAN TRANSPORTATION PLAN APPROVAL DATES

MPO Name MPO Location Approval Date Expected Date of Next Plan Update

Adirondack/Glens Falls Transportation Council (A/GFTC)

Glens Falls November 2018 November 2023

Binghamton Metropolitan Transportation Study (BMTS)

Binghamton September 2015 September 2020

Capital District Transportation Committee (CDTC)

Albany September 2015 September 2020

Dutchess County Transportation Council (DCTC)

Poughkeepsie March 2016 March 2021

Elmira-Chemung Transportation Council (ECTC)

Elmira December 2014 December 2019

Genesee Transportation Council (GTC) Rochester June 2016 June 2021

Greater Buffalo-Niagara Regional Transportation Council (GBNRTC)

Buffalo-Niagara Falls May 2018 May 2023

Herkimer-Oneida Counties Transportation Study (HOCTS)

Utica December 2014 December 2019

Ithaca-Tompkins County Transportation Council (ITCTC)

Ithaca December 2014 December 2019

New York Metropolitan Council (NYMTC)

NY Metro Area June 2017 June 2021

Orange County Transportation Council (OCTC)

Newburgh, including Middletown

November 2015 November 2019

Syracuse Metropolitan Transportation Council (SMTC)

Syracuse September 2015 September 2020

Ulster County Transportation Council (UCTC)

Kingston September 2015 October 2020

Watertown Jefferson County Area Transportation Council (W/JCTC)

Watertown June 2019 June 2024

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IV. PROGRAM FUNDING SOURCES A. Federal Funds Federal transportation funds come to New York State from two sources: Federal-aid Highway Funding (Title 23), administered through the FHWA and Federal Transit Assistance (Title 49), administered through the FTA. Additional information on these programs can be found online: http://www.fhwa.dot.gov/federalaid/projects.cfm https://www.transit.dot.gov/grants B. FHWA Funding Highway Safety Improvement Program (HSIP). The focus of the HSIP is to achieve a significant reduction in traffic fatalities and serious injuries on all public roads, including non-State-owned public roads and roads on tribal lands. The HSIP requires a data-driven, strategic approach to improving highway safety on all public roads that focuses on performance. NYSDOT is using a hybrid approach to manage the HSIP. Approximately half of the funds have been provided to NYSDOT Regions according to existing planning target formulas. The remaining half is being administered centrally through initiatives managed by the Statewide Safety and System Optimization Team. The centrally managed funds are used to implement statewide safety programs and projects that support the emphasis areas in the Strategic Highway Safety Plan including improving safety for pedestrians, bicyclists and other vulnerable road users, preventing lane departures, and improving safety at intersections. The statewide HSIP programs direct safety funds where they are most needed by targeting locations, corridors or areas with the potential to reduce fatal and severe injury crashes. National Highway Performance Program (NHPP). “The NHPP provides support for the condition and performance of the National Highway System (NHS), for the construction of new facilities on the NHS, and to ensure that investments of federal-aid funds in the highway construction are directed to support progress toward the achievement of performance targets established in a State’s asset management for the NHS.”19 Funding for the NHPP can only be used on the NHS and on non-NHS bridges eligible for federal-aid if statutory provisions are met. Surface Transportation Block Grant Program (STBGP). “The STBG promotes flexibility in State and local transportation decisions and provides flexible funding to best address State and local transportation

19 See: <http://www.fhwa.dot.gov/fastact/factsheets/nhppfs.cfm>

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needs.”20 Funding from this program, in general, may be spent on any road not functionally classified as a local or minor collector. However, there are exceptions to this requirement. Funding for Transportation Alternatives, State Planning and Research (SPR) and for bridges not on Federal-aid highways are funded through the STBGP as a set-aside. National Highway Freight Program (NHFP). The FAST Act establishes a new fund source, NHFP to improve the efficient movement of freight on the National Highway Freight Network (NHFN) and support several goals, including:

investing in infrastructure and

operational improvements that strengthen economic competitiveness, reduce congestion, reduce the cost of freight transportation, improve reliability, and increase productivity;

improving the safety, security, efficiency, and resiliency of freight transportation in rural and urban areas;

improving the state of good repair of the NHFN; using innovation and advanced technology to improve NHFN safety, efficiency, and reliability; improving the efficiency and productivity of the NHFN; improving State flexibility to support multi-State corridor planning and address highway freight

connectivity; and reducing the environmental impacts of freight movement on the NHFN.

To access the funding provided in this program after December 2017, each state must have a state freight plan that meets the requirements of the FAST Act, and projects must be included in a five year fiscally constrained freight project list. NYSDOT is finalizing its state freight plan21, and projects for this funding category will be amended into the STIP after the freight plan is approved by FHWA.

Congestion Mitigation and Air Quality Improvement Program (CMAQ). This program provides funds for transportation projects in air-quality nonattainment or maintenance areas. CMAQ projects contribute toward meeting the NAAQS and may be spent on either highway or transit projects.22 C. FTA Funding This funding is provided through a combination of trust fund revenues (80 percent) from the Mass Transit Account of the Highway Trust Fund and (20 percent) from the general treasury.

20 See: <http://www.fhwa.dot.gov/fastact/factsheets/stbgfs.cfm> 21 See: <https://www.dot.ny.gov/freight-plan/?website=freight-plan> 22 See: <http://www.fhwa.dot.gov/fastact/factsheets/cmaqfs.cfm>

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Urbanized Area Formula Grants (Section 5307) Section 5307 of USC Title 49 provides grants to urbanized areas to support public transportation capital and planning projects as well as operating expenses in certain circumstances. Funding is distributed by formula based on the level of transit service, population and other factors. Formula Grants for Other than Urbanized Areas (5311) Federal Section 5311 Rural & Small Urbanized Transportation funding supports rural transit operating, capital, training and technical assistance for sub-recipients in non-urbanized areas (less than 50,000 population). FTA apportions funds directly to New York State where they are administered by NYSDOT and distributed to eligible sub-recipients. Enhanced Mobility of Seniors and Individuals with Disabilities (5310) The 5310 Program provides funding for the purchase of buses, other capital needs, operating assistance, mobility management and enhanced Americans with Disabilities Act (ADA) services for seniors and individuals with disabilities. This funding is intended primarily for private, not-for-profit organizations. Funds are apportioned based on each urban area share of the targeted populations and additional funds for the non-urbanized area. Some MPOs put this funding on as a block to be programmed into individual projects at a later date. These funds require that projects awarded be in the locally developed Coordinated Human Services Public Transportation Plan. Capital Investment Grants (5309) The discretionary Capital Investment Grant (CIG) program provides funding for fixed-guideway investments such as new and expanded rapid rail, commuter rail, light rail, streetcars, bus rapid transit, and ferries, as well as corridor-based Bus Rapid Transit (BRT) investments that emulate the features of rail. To the extent that projects are awarded for newer funds, these will be added to the STIP. Public Transportation Safety Program (5329)

The Transit Safety and Oversight Program (5329) was a grant program established under MAP-21 that continues under the FAST Act. Section 5329 requires FTA to implement and maintain a national public transportation safety program to improve the safety of all public transportation systems that receive federal funding. The safety program includes a national public transportation safety plan, a safety certification training program, a public transportation agency safety plan, and a state safety oversight program. FTA funds are directed through the State Oversight agency (NYSDOT).

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State of Good Repair Grants (5337) The State of Good Repair grants program provides financial assistance to public transit agencies that operate rail fixed-guideway and high-intensity motorbus systems for the maintenance, replacement, and rehabilitation of capital assets, along with the development and implementation of transit asset management plans. The distribution of funds is based on existing systems; therefore, only Buffalo, the Hudson Valley Transportation Management Area and NYMTC are awarded funds for the fixed‐guideway portion of this funding source. Bus and Bus Facilities Program (5339) This program provides funding to replace, rehabilitate and purchase buses and related equipment and to construct bus‐related facilities including technological changes or innovations to modify low or no emission vehicles or facilities. Funding is provided through formula allocations and competitive grants. A sub-program provides competitive grants for bus and bus facility projects that support low and zero- emission vehicles. Like the 5307 program, these funds will fluctuate from year to year as transit systems manage their capital projects to maximize the useful life of current assets and bundle procurements for greater efficiencies. Additional information on federal transit funding programs available in New York State is on the NYSDOT website.23 IV. PROGRAM MANAGEMENT Projects on the STIP are selected for implementation in accordance with the provisions of 23 CFR Part B, Section 450.222 and Part C 450.332. As provided by these regulations, all parties involved in the selection process have agreed to expedited selection procedures. These allow for implementing agencies to proceed with projects in the second, third or fourth year of the approved STIP, as necessary, to fill gaps created by either cost savings or delays in first-year project schedules; to react to changes in federal funding levels; or to accommodate minor changes in priority. With respect to fiscal constraint, the NYSDOT regional programs have been monitored with reports provided by state and federal fiscal year comparing programmed obligations to the planning targets. NYSDOT has met regularly or held conference calls to resolve issues and to answer questions. General questions also are answered during the biweekly MPOs Directors’ meetings. This process will continue. As shown in Tables 3A and 3B, the Draft STIP is under-programmed. Funds that are not programmed will be amended into the STIP at a later date as applicable. V. PERFORMANCE-BASED PLANNING AND PROGRAMMING (PBPP)

The final rule on metropolitan and statewide planning published in the Federal Register on May 27, 2016, addresses changes to the metropolitan planning process stemming from MAP-21 and the FAST Act,

23 See: <https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/funding-sources>

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including Performance-Based Planning and Programming (PBPP). Updates and amendments to the STIP must be compliant with this final rule. The planning rule indicates that the STIP shall include a discussion of its anticipated effect toward achieving performance targets identified by the State in its statewide plans, linking investment priorities to the performance targets [23 CFR 450.218(q)]. As of May 20, 2019, the discussion in the STIP needs to address the FHWA safety performance measures/targets, FTA Transit Asset Management (TAM) measures/targets, FHWA infrastructure and system performance measures/ targets (bridge and pavement condition, system performance and freight movement and on-road mobile source emissions).

FHWA Safety Performance Measures and Targets There are five safety performance measures for the purpose of carrying out the federal Highway Safety Improvement Program (HSIP): (1) Number of fatalities; (2) Rate of fatalities; (3) Number of serious injuries; (4) Rate of serious injuries; and (5) Number of non-motorized fatalities and non-motorized serious injuries. NYSDOT established 2018 and 2019 targets for these measures. The 2019 targets were submitted to FHWA in August of 2018 in the Highway Safety Improvement Plan Annual Report. The 2019 targets reflect modest decreases from the 2012-2016 rolling average for the five safety measures. The STIP reflects NYSDOT policy direction and investment strategies as articulated in the TIP/STIP Policy Guidance provided to Regions and MPOs. It is consistent with the Statewide Master Plan and sound asset management principles. Safety remains a critical component of NYSDOT’s mission, and the projects on the STIP are consistent with the need to address safety. Specific safety goals and strategies are articulated in the State’s Strategic Highway Safety Plan (SHSP). While most projects programmed on the STIP will have safety benefits, the STIP includes transportation projects that are specifically intended to reduce fatalities and serious injuries. Projects funded with HSIP funds reduce fatalities and injuries by implementing substantive improvements at High Accident Locations (HALs) and using approved systemic treatments. NYSDOT’s goal is to obligate 100% of its HSIP funding. NYSDOT reports on HSIP obligation levels in its Highway Safety Improvement Plan Annual Report to FHWA. The programming in the STIP also addresses preventive and corrective maintenance of nominal safety assets through projects such as pavement markings, signs and guiderail. More detail is provided in the

HSIP discussion of Section IV (Program Funding Sources) in the STIP Summary Report. FTA Transit Asset Management (TAM) Performance Measures and Targets The FTA TAM rule applies to all recipients and subrecipients of Federal transit funding that own, operate, or manage public transportation capital assets. The rule requires public transportation providers to develop and implement TAM plans and establish state of good repair (SGR) standards and performance measures for four transit asset categories: rolling stock, transit equipment, transit infrastructure, and facilities.

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NYSDOT developed a Group TAM Plan for NYSDOT and those smaller transit operators (defined as Tier II operators) who requested to join NYSDOT’s Plan. The Group Plan includes TAM targets for FTA’s Enhanced Mobility of Seniors and Individuals with Disabilities Program (49 USC Section 5310) and Formula Grants for Other than Urbanized Areas Program (49 USC Section 5311). It reflects TAM targets for Tier II operators opting to join NYSDOT’s Group Plan. The performance measures and targets addressed in the TAM Plan are: (1) Rolling Stock/Revenue Vehicles – Age: Percent of revenue vehicles within a particular asset class (e.g. type of bus) that has met or exceeded their Useful Life Benchmark (ULB);

(2) Equipment – Age: Percent of non-revenue vehicles (e.g. trucks or maintenance vehicles) within a particular asset class that has met or exceeded their ULB;

(3) Infrastructure - Not applicable (applies to rail fixed guideway track); and

(4) Facilities – Condition: Percent of facilities with a condition rating below 3.0 (Adequate) on the FTA Transit Economic Requirements Model (TERM) scale. NYSDOT’s targets for these measures represent projected goals given historic investment levels. NYSDOT prioritizes investments in capital assets to improve and actively manage the SGR over the life of the TAM Plan. Prioritization is achieved through a process that identifies and ranks projects across the State that will effectively contribute to progress towards SGR for the various transit systems. Vehicle age and usage statistics are considered when ranking priorities. Capital programming in the STIP reflects these investment priorities. The STIP is developed in cooperation with MPOs and transit operators. Large transit operators (Tier 1) develop their own performance targets and TAM Plans. Federal transit funding provided to these operators supports the investment priorities in these TAM Plans which are also reflected in the STIP capital programming. NYSDOT anticipates that the STIP, once implemented, will contribute to progress toward achieving established TAM targets, both from direct investments in transit systems, and in projects that facilitate safe and efficient travel on the transportation network. Improving the SGR of transit capital assets is an overarching goal of NYSDOT. Bridge Performance Measures and Targets NYSDOT is required to establish targets for two bridge performance measures:

(1) Percent of National Highway System (NHS) Bridges by Deck Area in Good Condition; and (2) Percent of NHS Bridges by Deck Area in Poor Condition.

NYSDOT provided two-year and four-year NHS bridge condition targets to FHWA on May 18, 2018. The STIP for NHS bridges reflects NYSDOT’s sound asset management practices to focus funding on critical investments that preserve the functionality of the existing transportation system. Projects on the STIP are consistent with the need to address the condition of NHS infrastructure assets. NHS bridge conditions are primary considerations in the selection of projects to be included in the STIP. The STIP includes

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transportation projects specifically intended to maintain and improve the condition of NHS bridges such as preventive and corrective maintenance projects, as well as, bridge rehabilitations and replacements. Pavement Performance Measures and Targets NYSDOT is required to establish targets for the following pavement performance measures:

1. Percentage of Interstate System in Good Condition; 2. Percentage of Interstate System in Poor Condition; 3. Percentage of non-Interstate NHS in Good Condition; and 4. Percentage of non-Interstate NHS in Poor Condition.

NYSDOT provided two-year and four-year Interstate and non-Interstate NHS pavement condition targets to FHWA on May 18, 2018. The STIP for pavements also reflects NYSDOT’s sound asset management practices. Projects on the STIP are consistent with the need to address the condition of interstate and non-interstate NHS infrastructure assets. These pavement asset conditions are primary considerations in the selection of projects to be included in the STIP. The STIP includes transportation projects specifically intended to maintain and improve the condition of Interstate and non-Interstate NHS pavements such as preventive and corrective maintenance projects and pavement reconstructions. System Performance Measures and Targets NYSDOT is required to establish targets for System Performance measures which reflect Level of Travel Time Reliability (LOTTR):

(1) Percentage of Person Miles Traveled (PMT) on the Interstate that are reliable; and (2) Percentage of PMT on the non-Interstate NHS that are reliable.

As required, NYSDOT provided two-year and four-year targets for LOTTR on the Interstate and four-year targets for LOTTR on the non-Interstate NHS to FHWA on May 18, 2018. Providing for the reliable movement of people and goods is a critical component of NYSDOT’s mission, and the projects on the STIP are consistent with the need to address the reliability of travel times for vehicles. The STIP includes transportation projects specifically intended to maintain and improve travel time reliability. Examples of these are intelligent transportation systems (ITS) deployment, transportation systems management and operations (TSMO) programs and Highway Emergency Local Patrol (HELP) projects, which reduce non-recurring delay (including reducing crashes), and a variety of projects, large and small that address congestion, e.g., roundabouts, turn lanes, geometric improvements, and major projects that reduce bottlenecks and improve traffic flow. Freight Performance Measures and Targets NYSDOT is required to establish targets for a Truck Travel Time Reliability (TTTR) Index on the interstate system. The TTTR Index is defined as the ratio of longer truck travel times to an average truck travel time. NYSDOT provided two-year and four-year targets for the TTTR Index to FHWA on May 18, 2018. Projects on the STIP are consistent with the need to address the reliability of travel times for vehicles, including trucks. The STIP includes transportation projects that will maintain and improve travel time reliability for

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trucks. These include ITS projects, projects that address geometrics, TSMO projects and interstate improvement projects. On-Road Mobile Source Emissions NYSDOT is required to establish targets for Total Emissions Reduction for monitoring On-Road Mobile Source Emissions to assess the Congestion Mitigation and Air Quality Improvement (CMAQ) program. CMAQ funds are apportioned to State DOTs for areas that are or were designated as nonattainment or maintenance for the National Ambient Air Quality Standards (NAAQS). Emission reduction targets are required to be established for several pollutants such as the ozone precursors nitrogen oxides (NOx) and volatile organic compounds (VOC). Targets are also required for carbon monoxide (CO) and particulate matter (PM10 and PM2.5).

NYSDOT provided two-year and four-year targets for kilogram reductions in NOx, VOC, CO, PM10 and PM 2.5 to FHWA on May 18, 2018. Improving congestion and air quality are critical components of NYSDOT’s mission, and the projects on the STIP are consistent with the need to reduce emissions of criteria pollutants. These are primary considerations in the selection of projects to be included in the STIP. The STIP includes CMAQ funded projects such as modal shift, clean vehicle and trip reduction projects which contribute to reductions in emissions of harmful pollutants.

VI. THE FOUR-YEAR PROGRAM This STIP shows a four-year multimodal program that is required to be updated a minimum of every four years. The Governor may elect to update the Program more frequently. Table 4 summarizes the STIP by Federal-aid program and FFYs. VII. CONCLUSION

New York State’s STIP for the period October 1, 2019 to September 30, 2023 meets all federal requirements. The anticipated Federal funding will support critical capital projects, as outlined in this document, that will improve the State’s transportation system, increase mobility, safety and quality of life, and support continued economic growth.

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ESTIMATED ANNUAL AVAILABLE FEDERAL-AID FUNDS

$Millions (Unmatched) for FFY 2020 – FFY 2023 (1)

FUND SOURCE FFY 2020 FFY 2021 FFY 2022 FFY 2023 Total

Congestion Mitigation Air Quality (CMAQ) $186.4 $206.8 $206.8 $206.8 $806.9

Highway Safety Improvement Program (HSIP) $103.4 $110.3 $110.3 $110.3 $434.1

Highway Safety Improvement Program (HSIP) Rail $6.8 $6.9 $7.1 $7.2 $28.1

National Highway Freight Program (NHFP) $24.8 $49.5 $49.5 $49.5 $173.3

National Highway Performance Program (NHPP) $971.5 $924.2 $924.2 $924.2 $3,744.2

Surface Transportation Block Grant Program (STBG) $460.7 $441.6 $423.9 $423.9 $1,750.1

HIGHWAY TOTAL (2) $1,753.6 $1,739.3 $1,721.8 $1,721.9 $6,936.6

FTA Programs - (3) (4)

Urbanized Area Formula Grants (5307) $827.3 $843.9 $860.7 $877.9 $3,409.9

Enhanced Mobility Seniors/Ind with Disabilities (5310) $14.8 $15.1 $15.4 $15.7 $60.8

Rural Area Formula Grants (5311) $23.2 $23.7 $24.2 $24.7 $95.8

Transit Safety and Oversight (5329) $2.6 $2.6 $2.7 $2.7 $10.7

State of Good Repair (5337) $860.2 $877.4 $895.0 $912.9 $3,545.6

Bus & Bus Facility (5339) $44.3 $45.2 $46.1 $47.1 $182.8

Bus & Bus Facility National Distribution (5339 ND) $3.5 $3.5 $3.5 $3.5 $14.0

TRANSIT TOTAL $1,776.0 $1,811.4 $1,847.6 $1,884.5 $7,319.5

Notes:

(3) FTA Sections 5307, 5310 and 5311 funds are matched both 50/50 and 80/20. Sections 5309, 5339 & 5337 are

all 80/20.

(4) Due to a variety of circumstances, some of the FFY 19 and other carryover funds will be programmed as part

of this STIP.

(1) FFY (Federal Fiscal Year) starts Oct. 1 and ends Sept. 30th of each year; for example FFY 2020 = 10/1/2019 -

9/30/2020.

(2) FHWA funds are matched according to the federal share requirements at:

http://www.fhwa.dot.gov/fastact/factsheets/federalsharefs.cfm

TABLE 2

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FFY 2020 FFY 2021 FFY 2022 FFY 2023 Total **

Funds Funds Funds Funds Funds Funds Funds Funds Funds Funds

Roll-in* Available Programmed Available Programmed Available Programmed Available Programmed Available Programmed

Congestion Mitigation Air Quality (CMAQ) $202.9 $186.4 $220.2 $206.8 $172.0 $206.8 $181.0 $206.8 $183.7 $806.9 $756.9

Highway Safety Improvement Program (HSIP) -$4.7 $103.4 $128.4 $110.3 $96.2 $110.3 $52.7 $110.3 $51.8 $434.1 $329.1

Highway Safety Improvement Program (HSIP) Rail $19.6 $6.8 $14.7 $6.9 $13.8 $7.1 $9.2 $7.2 $9.2 $28.1 $46.9

National Highway Performance Program (NHPP) $111.3 $971.5 $900.7 $924.2 $826.0 $924.2 $680.2 $924.2 $675.3 $3,744.2 $3,082.2

Surface Transportation Program (STP)/

Surface Transportation Block Grant Program (STBG)(2) $280.9 $460.7 $639.0 $441.6 $565.0 $423.9 $455.2 $423.9 $447.4 $1,750.1 $2,106.7

National Highway Freight Program (NHFP) $80.6 $49.5 $0.0 $49.5 $0.0 $49.5 $0.0 $49.5 $0.0 $173.3 $0.0

Highway Total $609.9 $1,753.6 $1,903.1 $1,739.3 $1,673.0 $1,721.8 $1,378.3 $1,721.9 $1,367.4 $6,936.6 $6,321.7

Notes:

TABLE 3aPart A - Highway

FISCAL CONSTRAINT OF THE STIP

$ Millions (Unmatched) for FFY 2020-2023 (1)

Fund Source

(2) STP/ STBG funds listed here are the constrained portion of STP (does not include TAP or REC TRAILS, which are included in Table 2).

(1) FFY (Federal Fiscal Year) starts Oct. 1 and ends Sept. 30th of each year; for example FFY 2020 = 10/1/2019 - 9/30/2020.

** This balance includes $804.4 M in Block Funds.

* Roll-in funds are available at the beginning of the STIP.

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FFY 2020 FFY 2021 FFY 2022 FFY 2023 Total

Funds Funds (2) Funds Funds Funds Funds Funds Funds Funds Funds

Available Programmed Available Programmed Available Programmed Available Programmed Available Programmed

Urbanized Area Formula (5307) $827.3 $831.3 $843.9 $844.6 $860.7 $824.0 $877.9 $819.8 $3,409.9 $3,319.7

Enhanced Mobility Seniors/Ind with Disabilities (5310) $14.8 $5.0 $15.1 $4.5 $15.4 $4.2 $15.7 $4.2 $60.8 $17.9

Rural Area Formula Grants (5311) $23.2 $25.1 $23.7 $24.9 $24.2 $25.0 $24.7 $25.9 $95.8 $100.8

Transit Safety and Oversight (5329) $2.6 $2.6 $2.6 $2.6 $2.7 $2.7 $2.7 $2.7 $10.7 $10.6

State of Good Repair (5337) $860.2 $784.1 $877.4 $784.3 $895.0 $769.4 $912.9 $784.7 $3,545.6 $3,122.5

Bus & Bus Facility (5339) $44.3 $44.4 $45.2 $48.0 $46.1 $46.7 $47.1 $44.6 $182.8 $183.8

Bus & Bus Facility National Distribution (5339 ND) $3.5 $0.9 $3.5 $0.9 $3.5 $0.9 $3.5 $0.9 $14.0 $3.6

Transit Total $1,776.0 $1,693.3 $1,811.4 $1,709.8 $1,847.6 $1,672.9 $1,884.5 $1,682.8 $7,319.5 $6,758.8

Notes:

(2) Due to the nature of capital projects and timing of grants, some carryover funds are included in the available funds in FFY 2019.

TABLE 3bPart B - Transit

FISCAL CONSTRAINT OF THE STIP

(1) FFY (Federal Fiscal Year) starts Oct. 1 and ends Sept. 30th of each year; for example: FFY 2020 = 10/1/2019 - 9/30/2020.

$ Millions (Unmatched) for FFY 2020-2023 (1)

Fund Source

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2020 2021 2022 2023 TOTAL

Fed Categories:

FHWA: Fiscally Constrained

Congestion Mitigation Air Quality (CMAQ) $220.2 $172.0 $181.0 $183.7 $756.9

Highway Safety Improvement Program (HSIP) $128.4 $96.2 $52.7 $51.8 $329.1

Highway Safety Improvement Program (HSIP RAIL) $14.7 $13.8 $9.2 $9.2 $46.9

National Highway Freight Program (NHFP) $0.0 $0.0 $0.0 $0.0 $0.0

National Highway Performance Program (NHPP) $900.7 $826.0 $680.2 $675.3 $3,082.2

Surface Transportation Program (STP) ENHANCE $4.2 $0.0 $2.5 $0.0 $6.7

Surface Transportation Block Grant Program (STBG) FLEX $265.5 $189.3 $192.4 $192.0 $839.1

Surface Transportation Block Grant (STBG) LG URBAN $219.7 $226.9 $215.4 $228.0 $890.0

Surface Transportation Block Grant Program (STBG)-OFF $149.7 $148.8 $44.9 $27.4 $370.8

FHWA Subtotal $1,903.1 $1,673.0 $1,378.3 $1,367.4 $6,321.7

FTA: Fiscally Constrained

Urbanized Area Formula Grants (5307) $831.3 $844.6 $824.0 $819.8 $3,319.7

Enhanced Mobility Seniors/Ind with Disabilities (5310) $5.0 $4.5 $4.2 $4.2 $17.9

Rural Area Formula Grants (5311) $25.1 $24.9 $25.0 $25.9 $100.8

Transit Safety and Oversight (5329) $2.6 $2.6 $2.7 $2.7 $10.6

State of Good Repair (5337) $784.1 $784.3 $769.4 $784.7 $3,122.5

Bus & Bus Facility (5339) $44.4 $48.0 $46.7 $44.6 $183.8

Bus & Bus Facility National Distribition (5339 ND) $0.9 $0.9 $0.9 $0.9 $3.6

FTA Subtotal $1,693.3 $1,709.8 $1,672.9 $1,682.8 $6,758.8

Not Fiscally Constrained:

Discretionary Federal-Aid $3.9 $0.0 $0.0 $0.0 $3.9

Ferry Boat Program (FBP) $12.4 $0.8 $0.5 $0.0 $13.6

High Priority Projects (HPP) $27.5 $10.0 $0.9 $7.2 $45.6

High Risk Rural Roads (HRRR) $3.2 $0.0 $0.2 $2.8 $6.2

Other Federal-Aid $0.5 $0.0 $0.0 $0.0 $0.5

Recreational Trails Program (REC TRAILS) $2.0 $0.3 $0.3 $0.3 $2.8

Safe Routes to School (SRTS) $1.0 $0.3 $0.6 $0.0 $1.9

Transportation Alternatives Program (TAP) FLEX $12.4 $18.5 $9.3 $0.0 $40.2

TAP Large Urban $9.8 $17.4 $1.7 $0.0 $28.9

TAP Rural $1.7 $4.0 $0.0 $0.0 $5.8

TAP Small Urban $7.6 $2.2 $0.0 $0.0 $9.8

FHWA Subtotal $82.2 $53.4 $13.5 $10.3 $159.4

Grand Total:

Total DRAFT STIP $3,678.5 $3,436.2 $3,064.7 $3,060.5 $13,239.9

TABLE 4Summary of Federal Funding Within Draft STIP FFY 2020- 2023 (in $ Millions)

--- Federal Fiscal Year (FFY) ----