                  Department of Taxation and Finance

                         LOCAL SALES TAX ENACTMENTS
                       (Technical Assistance Program)

Objective:  Provides assistance regarding local sales and compensating use taxes.

Administering Agency:  NYS Department of Taxation and Finance

NYS Object Code:  NA                                  Year Established:  NA
Catalog of Federal Domestic Assistance No.:  NA

Legal Authority:
     Law:  NY Tax Law, Sections 1210, 1223, 1224, 1257, and 1262
     Regulation:  NA

Program Contact:                       Fiscal Contact:
  Steven U. Teitelbaum                   Same
  Deputy Commissioner and Counsel
  NYS Department of Taxation and Finance
  State Office Campus, Building 9, Rm. 205
  Albany, NY  12227
  (518) 457-3746

Eligibility:  Any locality.

Type of Program and Special Restrictions:  The Department makes available model enactments to local- 
     ities wishing to impose local sales and compensating use taxes.

Action Required to Receive Aid:  Locality should send a written request to program contact.

Description of Aid:

     The Department provides assistance by making available model enactments to localities wishing to impose local
     sales and compensating use taxes.

Department of Taxation and Finance

MORTGAGE TAX

Objective: Provides revenue for general purposes of local government and certain public authorities.

Administering Agency: NYS Department of Taxation and Finance

NYS Object Code: NA Year Established: 1905
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Tax Law, Article 11
Regulation: NYCRR, Title 20, Chapter III, Subchapter N, Part 640-656

Program Contact: Fiscal Contact:
Arthur J. Roth NA
Deputy Commissioner
Tax Operations
NYS Department of Taxation and Finance
State Office Campus, Building 9
Albany, NY 12227
(518) 457-5371

Eligibility: Cities, Towns, Villages, NYS Mortgage Agency, Transportation Authorities, Local Governments and
Public Benefit Corporations.

Type of Program and Special Restrictions: Mandated, required by State law or regulation.

Action Required to Receive Aid: No action required, automatic payment.

Description of Aid:

The tax is imposed at the rate of $.75 to $2.75 for each $100 or remaining major fraction of debt secured by
a mortgage on real property. The towns and cities get $.50 of this. $.25 of this amount is collected by the
counties for either the State of New York Mortgage Agency or the respective Special Assistance Fund. In
counties where applicable, $.25 of this portion goes to the transportation authorities, except in Essex County
where this portion may be applied to capital projects (June 1, 1994), and in Washington County where this
portion is used to pay expenses incurred for the support of community colleges (July 30, 1996). New York
City collects its own tax at a rate of $1.00, $1.125 or $1.75. For the period of September 1, 1993 to August
31, 1997, the City of Yonkers also collects its own tax of $.50. Beginning September 1, 1994, Broome County
also imposed its own local tax at a rate of $.25.

Comments: Revenues are generated by the NYS Mortgage Tax and distributed locally.

Department of Taxation and Finance

STOCK TRANSFER INCENTIVE FUND

Objective: Provides revenue to New York City for general city purposes.

Administering Agency: NYS Department of Taxation and Finance

NYS Object Code: 60601 Year Established: 1891
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY State Finance Law, Sections 92-b and 92-i, NY Laws of 1990, Chapter 53
Regulation: NA

Program Contact: Fiscal Contact:
William H. Frank, Jr. NA
Tax Audit Administrator
Transaction and Transfer Tax Bureau
NYS Department of Taxation and Finance
Building 9, Room 504
State Office Campus
Albany, NY 12227
(518) 457-4397

Eligibility: New York City only.

Type of Program and Special Restrictions: Optional, local choice. Tax revenue is based on the selling
price per share of stock traded with a limit of $350 on any single taxable sale; however, since October 1, 1981,
100 percent of the tax has been rebated. Payments are made by the State General Fund to the Stock Transfer
Incentive Fund, and thence to New York City, in compensation for the rebates.

Action Required to Receive Aid: Automatic Payment.

Description of Aid:

Flow of Funds: State to Local. Monies are provided on a quarterly basis.
Type of Aid: Ongoing
Formula: NA
Matching Requirement: NA
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA $114,037,774 NA
SFY 95-96 NA 114,037,774 NA
SFY 96-97 NA 114,037,774 NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA $114,037,774 NA
SFY 95-96 NA 114,037,774 NA

Department of Transportation

AIRPORT AND AIRWAY DEVELOPMENT ACT

Objective: Provides grants to owners of public use airports (mostly municipal with the exception of reliever
airport owners who might be private).

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: 65502 Year Established: 1970
Catalog of Federal Domestic Assistance No.: 20.106

Legal Authority:
Law: NY Laws of 1967, Chapter 717, Section 36 and Article B, Section 306; US PL 97-248 and PL 100-233
Regulation: NA

Program Contact: Fiscal Contact:
Richard A. Chimera NA
Director
Aviation Services Bureau
NYS Department of Transportation
State Campus, Building 4
1220 Washington Avenue
Albany, NY 12232
(518) 457-2821

Eligibility: Counties, Cities, Towns, Villages, Public Authorities and Private Airports designated as reliever air-
ports. Must have received a Federal grant first, before a State grant is awarded.

Type of Program and Special Restrictions: Optional, without any State or Federal mandated require-
ments. Must be used for specific projects.

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: Federal and State to Local. Monies are provided as a reimbursement.
Type of Aid: Project Grant
Formula: NA
Matching Requirement: Federal 90-75%. Fifty percent of remaining costs after Federal funds are deducted
are State share of match, 50 percent are Local. Federal share varies between 75 percent at big airports and 90
percent at smaller general aviation airports.
Maintenance of Effort: Facility must remain operational over a 20 year period.

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 $60,000,000 NA $4,400,000
SFY 95-96 43,000,000 NA 3,800,000
SFY 96-97 56,000,000 NA 4,500,000

Amounts Disbursed: Disbursements are not the responsibility of DOT.

Department of Transportation

CONSOLIDATED LOCAL STREET AND HIGHWAY
IMPROVEMENT PROGRAM (CHIPS)

Objective: Supports the maintenance, rehabilitation and improvement of streets, highways and bridges under local
jurisdiction.

Administering Agency: NYS Department of Transportation

NYS Object Code: 65101 Year Established: 1982
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Highway Law, Section 10-c
Regulation: NA

Program Contact: Fiscal Contact:
Wilson Moore NA
Director
Local Programs Section
NYS Department of Transportation
1220 Washington Avenue
Albany, NY 12232
(518) 485-1142

Eligibility: Counties, Cities, Towns and Villages. Municipality must own road mileage.

Type of Program and Special Restrictions: Mandated, required by State law or regulations. All money
must be spent on highway purposes. Monies may not be used for debt service.

Action Required to Receive Aid: For the Operation and Maintenance (O&M) component, municipalities
receiving $7,000 or more annually in O&M funding must annually file a Certificate of Accomplishment. For
the Capital reimbursement component, municipalities must certify that the capital projects have a ten-year life
and are of a "highway" nature.

Description of Aid:

Flow of Funds: State to Local. Monies are provided partially as an advance and partially as a reimbursement.
Type of Aid: Ongoing
Formula: Based on road mileage, vehicle registrations and vehicle miles of travel.
Matching Requirement: NA
Maintenance of Effort: For the O&M component, a municipality must show the expenditure of local funds for
highway operation and maintenance in a given year equals or exceeds average of two previous years.

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA $72,652,000 $175,000,000
SFY 95-96 NA 72,652,000 162,000,000
SFY 96-97 NA 56,197,000 201,500,000

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA $72,652,000 $162,812,661
SFY 95-96 NA 72,652,000 153,129,555

Comments: Prior to SFY 91-92, the CHIPS Program was a single direct grant program funded entirely out of
the State's General Fund. Since SFY 91-92, the CHIPS Program has consisted of two separate components:
(1) an Operation and Maintenance (O&M) component funded out of the State's General Fund; and (2) a Capital
reimbursement component funded from the proceeds of bonds (State Special Revenue) issued by the NYS
Thruway Authority.

Department of Transportation

FEDERAL HIGHWAY BRIDGE REPLACEMENT
AND REHABILITATION

Objective: Replaces and rehabilitates structurally deficient or functionally obsolete highway bridges on and off
the Federal aid system.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: NA Year Established: 1970
Catalog of Federal Domestic Assistance No.: 20.205

Legal Authority:
Law: US Federal Aid Highway Act of 1991 (ISTEA), 23 USC 144
Regulation: 23 CFR 650D

Program Contact: Fiscal Contact:
Jay L. Labelle NA
Director
Program and Project Management Bureau
NYS Department of Transportation
Building 5, Room 523
1220 Washington Avenue
Albany, NY 12232
(518) 457-2935

Eligibility: State Governments and Municipalities with a State Highway Agency.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. Funds may be applied to projects on all highway bridges on any road (on or off Federal
aid system).

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: Federal to State to Local. State monies are provided in advance of expenditures, Federal
monies are provided as a reimbursement to states.
Type of Aid: Project Grant
Formula: Relative share of total cost of deficient bridges.
Matching Requirement: Consult program contact.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA
SFY 96-97 NA NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA

Department of Transportation

FEDERAL HIGHWAY-RAIL CROSSING

Objective: Eliminates hazards at highway-rail crossings.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: NA Year Established: 1973
Catalog of Federal Domestic Assistance No.: 20.303

Legal Authority:
Law: US Federal Aid Highway Act of 1991 (ISTEA), 23 USC 133(d)(1)
Regulation: NA

Eligibility: State Governments and Municipalities with a State Highway Agency.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. May be used for capital projects on any public road excluding the interstate system.
At least 50 percent of funds must be used to install protective devices at highway-rail crossings.

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: Federal to State to Local. State monies are provided in advance of expenditures, Federal
monies are provided as a reimbursement to states.
Type of Aid: Project Grant
Formula: Based on 1987-91 percentage share of apportionments.
Matching Requirement: Consult program contact.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA
SFY 96-97 NA NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA

Department of Transportation

FEDERAL HIGHWAY RURAL SECONDARY SYSTEM/
SURFACE TRANSPORTATION PROGRAM

Objective: Constructs, reconstructs, restores, and/or rehabilitates highways on the Federal aid system in rural
areas other than Interstate or National Highway System.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: NA Year Established: 1944
Catalog of Federal Domestic Assistance No.: 20.205

Legal Authority:
Law: US Federal Aid Highway Act of 1970, 23 USC
Regulation: 23 CFR

Eligibility: State Governments and Municipalities with a State Highway Agency.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. Must be used for capital projects on roads on the Federal-aid system in rural areas. Not
for use on Interstate or National Highway System.

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: Federal to State to Local. State monies are provided in advance of expenditures, Federal
monies are provided as a reimbursement to states.
Type of Aid: Project Grant
Formula: Based on 1987-91 percentage share of apportionments.
Matching Requirement: Consult program contact.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA
SFY 96-97 NA NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA

Comments: Recent Federal legislation ended the Rural Secondary Program and now funds these activities under
the new Surface Transportation Program.

Department of Transportation

FEDERAL TRANSIT ADMINISTRATION ASSISTANCE
TECHNICAL STUDIES (FTA)

Objective: Funds studies for comprehensive transportation planning and coordinated support transit studies within
eligible urban areas in accordance with Federal grant agreements.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: 65404 Year Established: 1974
Catalog of Federal Domestic Assistance No.: 20.505

Legal Authority:
Law: NY Laws of 1990, Chapter 53; US Urban Mass Transportation Act of 1964
Regulation: NA

Program Contact: Fiscal Contact:
Clarence R. Fosdick Elizabeth Booth
Director Associate Accountant
Planning and Program Development Group Revenue Division
NYS Department of Transportation NYS Department of Transportation
1220 Washington Avenue 1220 Washington Avenue
Albany, NY 12232 Albany, NY 12232
(518) 457-3229 (518) 457-1986

Eligibility: Metropolitan Planning Organization within eligible urban areas and New York State Department of
Transportation must be State approved unified work program of Metropolitan Planning Organization, and must
meet Federal grant conditions.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. Must be in accordance with State approved unified work program and Federal approved
grant agreement.

Action Required to Receive Aid: Non-competitive application for aid required.

Description of Aid:

Flow of Funds: Federal to State (26A2a) and Federal to State to Local (Pass-through). Monies are provided
as a reimbursement.
Type of Aid: Ongoing
Formula: NA
Matching Requirement: Consult program contact.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 $4,170,695 NA NA
SFY 95-96 4,172,000 NA NA
SFY 96-97 3,963,000 NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 $3,579,368 NA NA
SFY 95-96 4,299,558 NA NA

Department of Transportation

INDUSTRIAL ACCESS PROGRAM (IAP)

Objective: Provides funding for highway and bridge improvements that will facilitate economic development and
result in jobs being created or retained in New York State.

Administering Agency: NYS Department of Transportation

NYS Object Code: 71120 Year Established: 1985
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Laws of 1985, Chapter 54
Regulation: IAP Rules and Regulations, 1993

Program Contact: Fiscal Contact:
Jerry Cioffi Elizabeth Booth
Director Associate Accountant
Corridor Management Group Revenue Division
NYS Department of Transportation NYS Department of Transportation
1220 Washington Avenue 1220 Washington Avenue
Albany, NY 12232 Albany, NY 12232
(518) 457-3429 (518) 457-1986

Eligibility: Counties, Cities, Towns, Villages, Public Authorities, Local Development Agencies and Industrial
Development Agencies.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State require-
ments. Awards are limited to $1,000,000 in the form of a 60 percent grant and 40 percent interest free loan.
Facilities that are retail in nature are not eligible. Completed project must be available for public use.

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: State to Local Municipal Sponsor. Monies are provided as a reimbursement.
Type of Aid: Project Grant/Loan
Formula: Consult program contact.
Matching Requirement: Local and private financial participation is expected, although no formula is applied.
Maintenance of Effort: Thirty years for bridge, 20 years for highway are required.

Amounts Appropriated:

Highway and Bridge
Federal Funds Trust Fund State Spec. Rev.

SFY 94-95 NA $5,000,000 NA
SFY 95-96 NA 5,000,000 NA
SFY 96-97 NA 5,000,000 NA

Amounts Disbursed:

Highway and Bridge
Federal Funds Trust Fund State Spec. Rev.

SFY 94-95 NA $ 886,508 NA
SFY 95-96 NA 3,207,930 NA

Department of Transportation

LOCAL PLANNING PROGRAM

Objective: Funds studies for comprehensive transportation planning and coordinated support transit studies within
eligible urban areas in accordance with Federal grant agreements.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: 65503 Year Established: 1974
Catalog of Federal Domestic Assistance No.: 20.215

Legal Authority:
Law: NY Laws of 1990, Chapter 53; 23 USC 104F
Regulation: NA

Eligibility: Metropolitan Planning Organizations within eligible urban areas. Must have a State approved unified
work program which meets Federal grant approval.

Action Required to Receive Aid: Non-competitive application for aid required.

Description of Aid:

Flow of Funds: Federal to State to Local (Pass-through). Monies are provided as a reimbursement.
Type of Aid: Ongoing
Formula: Based on urban population and lane miles.
Matching Requirement: Consult program contact.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 $12,035,947 NA NA
SFY 95-96 11,641,000 NA NA
SFY 96-97 11,598,000 NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 $10,379,593 NA NA
SFY 95-96 11,614,300 NA NA

Department of Transportation

MARCHISELLI PROGRAM
(MUNICIPAL STREETS & HIGHWAYS PROGRAM)

Objective: Assists local municipalities in meeting the non-Federal share of costs required to match Federal Aid
for off (Federal) system highway and bridge capital projects.

Administering Agency: NYS Department of Transportation

NYS Object Code: NA Year Established: 1991
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Laws of 1991, Chapter 329 as amended by Chapter 330; NY Highway Law, Section 80-b. Funding
authorization provided by NY Laws of 1994, Chapter 167.
Regulation: NA

Program Contact: Fiscal Contact:
Wilson Moore NA
Director
Local Programs Section
NYS Department of Transportation
1220 Washington Avenue
Albany, NY 12232
(518) 485-1142

Eligibility: Counties, Cities, Towns and Villages. In order to be eligible for Marchiselli (State) funding, projects
must first be on the Federal Aid program. Specific project phases must be included (i.e., listed) in the current
Legislative "Green Book" publication on Marchiselli appropriations.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. This is a "reimbursement type" program funded from tax-exempt Thruway Bond
revenue. Special restrictions include a requirement that monies be used on highway and bridge projects with
an expected service life of ten years or more, and that funding may not be used for public debt service.

Action Required to Receive Aid: Municipalities are required to execute a local resolution and agreement
with the Department of Transportation, and then deposit 100 percent of the non-Federal Aid project phase share
(approximately 20 percent of eligible project costs) with the State Comptroller's Office.

Description of Aid:

Flow of Funds: NYS Thruway Bond Revenue-to-Local Municipality via periodic (usually quarterly) reimburse-
ment checks (as actual payments are progressed by the State Comptroller).
Type of Aid: Ongoing, reimbursement of the eligible non-Federal portion of a locality's cash deposit.
Formula: Seventy-five percent of eligible project phase costs progressed to date, limited by the State legislated
"Green Book" amount or 75 percent of the locality's deposit to date, whichever is smaller.
Matching Requirement: Locality must first deposit 100 percent of the estimated non-Federal cost share.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA $35,000,000
SFY 95-96 NA NA 33,750,000
SFY 96-97 NA NA 36,695,000

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA $11,335,794
SFY 95-96 NA NA 15,820,788

Department of Transportation

MASS TRANSPORTATION OPERATING ASSISTANCE

Objective: Provides transit operating assistance to both public and private sponsored transit operations in New
York State in order to stabilize and maintain fares and service levels.

Administering Agency: NYS Department of Transportation
NYS Object Code: 65201 Year Established: 1974

Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Transportation Law, Sections 18-b and 14-g, NY Finance Law, Section 88-a
Regulation: 17 NYCRR 975

Program Contact: Fiscal Contact:
Michael Heath John G. Chevalier
Transit Operating Assistance Program Director, Accounting and Fiscal
Passenger Transportation Division Services Bureau
NYS Department of Transportation Office of Administration and Finance
1220 Washington Avenue NYS Department of Transportation
Albany, NY 12232 1220 Washington Avenue
(518) 457-2100 Albany, NY 12232
(518) 457-2424

Eligibility: Counties, Cities, Public Authorities and Directly Sponsored Major Intercity Carriers. Eligible mass
transportation services are available to the general public on a regular and continuing basis and have pre-
determined and publicly posted fares, service hours and also shall have printed schedules. Minimum fare or
transfer fee of 30 cents per passenger (half fare for elderly, young or transit disabled) must be collected.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State require-
ments. MTOA monies may only be used to meet current operating expenses. Private carriers subject to
maximum profit review annually.

Action Required to Receive Aid: Non-competitive application for aid required on a quarterly basis.

Description of Aid:

Flow of Funds: State to Local. Monies are provided by statutory schedule for authorities, or on formula basis
for non-authorities.
Type of Aid: Ongoing
Formula: For non-authority participants. Upstate systems: 29 cents/revenue passenger and 60.5 cents/revenue
vehicle mile. Additional 2 cents/revenue passenger and 30 cents/population (on a quarterly basis) for
Americans with Disabilities Act (ADA) paratransit service. Downstate systems: 39.5 cents/revenue passenger
and 67 cents/revenue vehicle mile, plus articulated buses now earn 88 cents/revenue vehicle mile. Additional
1.5 cents/revenue passenger and 30 cents/population (on a quarterly basis) for ADA paratransit service.
Matching Requirement: State 50%, Local 50% of the local match required portion.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.* Dedicated Taxes

SFY 94-95 NA $222,394,000 $ 1,611,000 $1,103,660,000**
SFY 95-96 NA 94,394,000 129,611,000 1,049,981,000**
SFY 96-97 NA 73,016,000 150,989,000 1,056,248,000**

*Dedicated taxes which require a local match.
**Includes Dedicated Mass Transportation Trust Fund.

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.* Dedicated Taxes

SFY 94-95 NA $222,387,574 $ 1,611,000 $ 995,265,702**
SFY 95-96 NA 94,381,627 129,608,800 1,032,255,635**

*Dedicated taxes which require a local match.
**Includes Dedicated Mass Transportation Trust Fund.

Department of Transportation

PUBLIC ROAD HAZARD ELIMINATION

Objective: Improves the safety of highway users on public roads, excluding the interstate system.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: NA Year Established: 1973
Catalog of Federal Domestic Assistance No.: 20.205

Legal Authority:
Law: US Federal Aid Highway Act of 1991 (ISTEA), 23 USC 133
Regulation: NA

Eligibility: State Governments and Municipalities with a State Highway Agency.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. Must be used for capital projects on public roads other than those on interstate system.

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: Federal to State. State monies are provided in advance of expenditures, Federal monies are
provided as a reimbursement to states.
Type of Aid: Project Grant
Formula: Based on 1987-91 percentage share of apportionments.
Matching Requirement: Consult program contact.
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA
SFY 96-97 NA NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA

                     Department of Transportation

                          PUBLIC TRANSPORTATION FOR
                              NONURBANIZED AREAS

Objective:  Supports establishment and maintenance of public transit programs in nonurbanized areas.

Administering Agency:  NYS Department of Transportation; US Department of Transportation

NYS Object Code:  65402*                            Year Established:  1978
Catalog of Federal Domestic Assistance No.:  20.509

Legal Authority:
     Law:  US Urban Mass Transportation Act of 1964, 49 USC 1601, et. seq.
     Regulation: US FTA Circular C9040.1C

Program Contact:                       Fiscal Contact:
  David G. Putz                          NA
  Director
  Transit Systems Bureau
  NYS Department of Transportation
  1220 Washington Avenue, 4-115
  Albany, NY  12232
  (518) 457-8343

Eligibility:  Counties, Cities, Indian Reservations and Public Transportation Authorities.  May include State agen- 
     cies, local public bodies and agencies thereof, Indian tribes, and operators of public transportation services,
     including intercity bus service, in rural and small urban areas.  Private operators of transit services may
     participate in program only through contracts with eligible recipients.  Urbanized areas, as defined by the US
     Bureau of the Census, are not eligible.

Type of Program and Special Restrictions:  Optional, but once chosen subject to mandated State and   
     Federal requirements.  All funded services must be open to the general public on an equal opportunity basis. 
     For operating assistance Federal funds are limited to 50 percent of the net operating deficit.

Action Required to Receive Aid:  Letter of interest from eligible recipient.  Non-competitive application for 
     aid required if it is for operating assistance, a competitive application for aid is required for capital assistance.

Description of Aid:

     Flow of Funds:  Federal to State to Local.  
     Type of Aid:  Ongoing if capital assistance, scheduled payments for projects if operating assistance.
     Formula:  Funds for operating assistance are distributed on the basis of nonurbanized area population and    
       service statistics of rural public transportation operators.
     Matching Requirement:  Federal assistance limited to 50 percent of net operating deficit.  For operating assis- 
       tance, up to 50 percent of non-Federal Section 5311 share may be matched by certain other Federal programs. 
       Remaining non-Federal Section 5311 share must be met by a combination of State or local sources.
     Maintenance of Effort:  NA

Amounts Appropriated:

                 Federal Funds    State General Funds  State Spec. Rev.

     SFY 94-95    $5,450,000              NA                  NA
     SFY 95-96     5,583,000              NA                  NA
     SFY 96-97     4,670,000              NA                  NA

Amounts Disbursed:

                 Federal Funds    State General Funds  State Spec. Rev.

     SFY 94-95    $5,450,000              NA                  NA
     SFY 95-96     5,583,000              NA                  NA

*Refers to UMTA Nonurbanized Areas.

Department of Transportation

SPECIAL MOBILITY PROJECTS RELATED TO TRANSIT
ENHANCEMENTS WITHIN THE METROPOLITAN
TRANSPORTATION COMMUTER DISTRICT
Innovative Mobility Demonstration Program (IMD)
Long Island Region Improving Commuting (LIRIC)

Objective: Improves mobility, reduced congestion, assist employers in meeting Federal Employer Commute
Options requirements, serve new markets not now served by transit, bridges gaps in the existing transit system
and reduces traveler dependence on single occupant vehicles.

Administering Agency: NYS Department of Transportation, Transit Division, in cooperation with NYSDOT
Regional Offices.

NYS Object Code: NA Year Established: 1993
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Transportation Law, Section 14; NY Laws of 1994, Chapter 53
Regulation: 17 NYCRR 975.23

Program Contact: Fiscal Contact:
Barry Hecht/James Davis John G. Chevalier
Passenger Transportation Division Director, Accounting and Fiscal Services Bureau
NYS Department of Transportation Office of Administration and Finance
1220 Washington Avenue NYS Department of Transportation
Albany, NY 12232 1220 Washington Avenue
(518) 457-8343 Albany, NY 12232
(518) 457-2424

Eligibility: Public and private transit providers, employers with over 100 employees, community non-profit
organizations, transportation management associations and local governments. Private for-profit applicants must
be sponsored by a non-profit organization or local government.

Type of Program and Special Restrictions: The program is intended to provide operating assistance and
selective capital assistance promoting the initiation of new innovative mobility services. Examples of eligible
projects include: feeder bus services to fixed route transit systems, local circulators, reverse commute and
express services, employer based van pooling and guaranteed ride home programs, parking management
programs and other travel demand management demonstration projects.

Action Required to Receive Aid: Competitive application for aid required. Project applications are solicited
annually by NYSDOT Regional Offices in Long Island, Mid-Hudson and New York City. Projects are selected
by Selection Committees for each downstate region, based upon criteria specified in the grant application
materials. Upstate urbanized areas are solicited annually by the Transit Division and projects are selected by
the Transit Division based upon criteria specified in the application material.

Description of Aid:

Flow of Funds: State to Local.
Type of Aid: Project Grant
Formula: NA
Matching Requirement: NA
Maintenance of Effort: Payment schedule based upon achievement of performance milestones specified in grant
agreement.

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA $1,100,000
SFY 95-96 NA NA NA
SFY 96-97 NA NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA

Comments: The program was limited to downstate suburban counties in SFY 1993-94. It was expanded State-
wide (upstate and New York City) in SFY 1994-95. The maximum individual grant is $200,000 and the
maximum duration of the grant is two years. The Upstate appropriation in SFY 1994-95 was limited to
$100,000. In addition to this appropriation, some regions are using CMAQ funds from Federal ISTEA to fund
projects solicited under this program.

Department of Transportation

STATE AID LOCAL BRIDGE PROGRAM

Objective: Provides State bond money to municipalities to mend structurally deficient bridges.

Administering Agency: NYS Department of Transportation

NYS Object Code: 71210* Year Established: 1988
Catalog of Federal Domestic Assistance No.: NA

Legal Authority:
Law: NY Transportation Law, Article 20
Regulation: NA

Eligibility: Counties, Cities, Towns and Villages. Municipality must own a bridge which is deemed structurally
deficient by DOT bridge inspection.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State require-
ments. Must be spent on contracted costs, or for equipment and materials only if done with municipal work
forces.

Action Required to Receive Aid: Competitive application for aid required.

Description of Aid:

Flow of Funds: State to Local. Monies are provided as a reimbursement.
Type of Aid: Project Grant
Formula: Allocations were done by the Legislature (region-wide) and State DOT (county level) based on
number of deficient bridges and other factors.
Matching Requirement: State 80%, Local 20%
Maintenance of Effort: Municipality must maintain amount of money spent for highways and bridges.

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA NA
SFY 95-96 NA NA NA
SFY 96-97 NA NA NA

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA NA $ 4,992,489
SFY 95-96 NA NA 146,270,821

Comments: This program is phasing out. Should be closed by the end of 1997.

*Refers to "other" capital construction.

Department of Transportation

URBAN MASS TRANSPORTATION ASSISTANCE
CAPITAL IMPROVEMENT

Objective: Supports capital improvement in both public and private mass transportation systems in metropolitan
and other urban areas.

Administering Agency: NYS Department of Transportation; US Department of Transportation

NYS Object Code: 65401 Year Established: 1964
Catalog of Federal Domestic Assistance No.: 20.500

Legal Authority:
Law: US Federal Transit Act of 1991
Regulation: NA

Program Contact: Fiscal Contact:
David G. Putz John G. Chevalier
Director Director, Accounting and Fiscal
Transit Systems Bureau Services Bureau
NYS Department of Transportation Office of Administration and Finance
1220 Washington Avenue, 4-115 NYS Department of Transportation
Albany, NY 12232 1220 Washington Avenue
(518) 457-8343 Albany, NY 12232
(518) 457-2424

Eligibility: State Governments and Municipal Sponsors including Counties, Cities, Towns and Transportation
Authorities. Projects assembled by State for local and regional transit sponsors.

Type of Program and Special Restrictions: Optional, but once chosen subject to mandated State and
Federal requirements. Section 5309 monies may be used for capital purposes while Section 5307 monies can
be used for capital, planning and operating purposes.

Action Required to Receive Aid: Competitive application for aid is required for Section 5309 monies. Non-
competitive application for aid is required for Section 5307 monies.

Description of Aid:

Flow of Funds: Federal to Local Sponsor; State reimburses Local Sponsor for ten percent of total capital costs.
Type of Aid: Project Grant
Formula: Based on population for Section 5307.
Matching Requirement: Federal 80%, State 10%, Local 10%
Maintenance of Effort: NA

Amounts Appropriated:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA $19,227,000* NA
SFY 95-96 NA 10,445,000* NA
SFY 96-97 NA NA $12,200,000**

*Includes funding to match STP and CMAQ Federal funding.
**Reappropriations were moved to State Special Revenue beginning SFY 1995-96.

Amounts Disbursed:

Federal Funds State General Funds State Spec. Rev.

SFY 94-95 NA $9,700,000* NA
SFY 95-96 NA 2,700,000* NA

*Includes funding to match STP and CMAQ Federal funding.