2001 Yellow Book
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DEPARTMENT OF TRANSPORTATION

                           Adjusted        Executive
                        Appropriation       Request                    Percent
                           2000-01          2001-02        Change       Change

AGENCY SUMMARY
  Community Projects Fund   8,317,075               0     (8,317,075)  -100.00%
  General Fund            391,736,000     185,345,000   (206,391,000)   -52.69%
  Special Rev.-Fed.        35,007,000      41,239,000      6,232,000     17.80%
  Special Rev.-Other    1,451,544,000   1,568,366,000    116,822,000      8.05%
  Fiduciary                50,000,000      50,000,000              0      0.00%
  Internal Service Fund     4,739,000       4,555,000       (184,000)    -3.88%
  Federal Capital
    Projects Fund       1,500,500,000   1,490,500,000    (10,000,000)    -0.67%
  Transportation
    Infrastructure
    Bond Fund           3,800,000,000               0 (3,800,000,000)  -100.00%
  Dedicated Highway
    and Bridge
    Trust Fund          1,493,138,000   1,643,641,000    150,503,000     10.08%
  Dedicated Mass
    Transportation
    Trust Fund             42,568,000      42,815,000        247,000      0.58%
  Engineering Services
    Fund                  658,224,000     636,684,000    (21,540,000)    -3.27%
  Capital Projects Fund-Transportation
    2000(Bondable)        449,020,000               0   (449,020,000)  -100.00%
  Total for
    AGENCY SUMMARY:     9,884,793,075   5,663,145,000 (4,221,648,075)   -42.71%


STATE OPERATIONS
  General Fund            170,012,000               0   (170,012,000)  -100.00%
  Special Rev.-Fed.         7,439,000       9,143,000      1,704,000     22.91%
  Special Rev.-Other       42,556,000      36,539,000     (6,017,000)   -14.14%
  Internal Service Fund     4,739,000       4,555,000       (184,000)    -3.88%
  Total for
    STATE OPERATIONS:     224,746,000      50,237,000   (174,509,000)   -77.65%

Office of Passenger and Freight Transportation Program
  General Fund              4,195,000               0     (4,195,000)  -100.00%
  Special Rev.-Fed.         7,439,000       9,143,000      1,704,000     22.91%
  Special Rev.-Other       23,503,000      15,308,000     (8,195,000)   -34.87%
  Total for Program:       35,137,000      24,451,000    (10,686,000)   -30.41%

Operations
  General Fund            165,817,000               0   (165,817,000)  -100.00%
  Special Rev.-Other       19,053,000      21,231,000      2,178,000     11.43%
  Internal Service Fund     4,739,000       4,555,000       (184,000)    -3.88%
  Total for Program:      189,609,000      25,786,000   (163,823,000)   -86.40%

AID TO LOCALITIES
  Community Projects Fund   8,317,075               0     (8,317,075)  -100.00%
  General Fund            221,724,000     185,345,000    (36,379,000)   -16.41%
  Special Rev.-Fed.        27,568,000      32,096,000      4,528,000     16.42%
  Special Rev.-Other    1,400,778,000   1,521,005,000    120,227,000      8.58%
  Total for
     AID TO LOCALITIES: 1,658,387,075   1,738,446,000     80,058,925      4.83%

Federal Highway Administration Local Planning
  Special Rev.-Fed.         7,106,000      10,566,000      3,460,000     48.69%
  Total for Program:        7,106,000      10,566,000      3,460,000     48.69%

Urban Mass Transportation Administration Local Planning
  Special Rev.-Fed.         2,717,000       2,917,000        200,000      7.36%
  Total for Program:        2,717,000       2,917,000        200,000      7.36%

Office of Passenger and Freight Transportation Program
  General Fund             58,016,000      58,016,000              0      0.00%
  Special Rev.-Fed.        17,745,000      18,613,000        868,000      4.89%
  Special Rev.-Other      866,736,000     888,659,000     21,923,000      2.53%
  Total for Program:      942,497,000     965,288,000     22,791,000      2.42%

Section 18-B Program
  Special Rev.-Other      165,989,000     165,989,000              0      0.00%
  Total for Program:      165,989,000     165,989,000              0      0.00%

Inter City Rail Passenger Service
  General Fund             11,911,000       1,141,000    (10,770,000)   -90.42%
  Total for Program:       11,911,000       1,141,000    (10,770,000)   -90.42%

Legislative Initiatives
  Community Projects Fund   8,317,075               0     (8,317,075)  -100.00%
  Total for Program:        8,317,075               0     (8,317,075)  -100.00%

Special Transit Aid
  Special Rev.-Other       43,407,000      43,357,000        (50,000)    -0.12%
  Total for Program:       43,407,000      43,357,000        (50,000)    -0.12%

Mass Transportation Assistance
  General Fund             90,000,000      45,000,000    (45,000,000)   -50.00%
  Total for Program:       90,000,000      45,000,000    (45,000,000)   -50.00%

Dedicated Mass Transportation Trust Program
  Special Rev.-Other      324,646,000     386,000,000     61,354,000     18.90%
  Total for Program:      324,646,000     386,000,000     61,354,000     18.90%

Consolidated Local Highway Assistance Program
  General Fund             58,797,000      23,888,000    (34,909,000)   -59.37%
  Total for Program:       58,797,000      23,888,000    (34,909,000)   -59.37%

Mass Transportation Special Assistance
  General Fund              3,000,000       3,000,000              0      0.00%
  Total for Program:        3,000,000       3,000,000              0      0.00%

Additional Mass Transportation Assistance
  General Fund                      0      54,300,000     54,300,000       --  
  Special Rev.-Other                0      37,000,000     37,000,000       --  
  Total for Program:                0      91,300,000     91,300,000       --  

CAPITAL PROJECTS
  Special Rev.-Other        8,210,000      10,822,000      2,612,000     31.81%
  Fiduciary                50,000,000      50,000,000              0      0.00%
  Federal Capital
    Projects Fund       1,500,500,000   1,490,500,000    (10,000,000)    -0.67%
  Transportation
    Infrastructure
    Bond Fund           3,800,000,000               0 (3,800,000,000)  -100.00%
  Dedicated Highway
    and Bridge
    Trust Fund          1,493,138,000   1,643,641,000    150,503,000     10.08%
  Dedicated Mass
    Transportation
    Trust Fund             42,568,000      42,815,000        247,000      0.58%
  Engineering Services
    Fund                  658,224,000     636,684,000    (21,540,000)    -3.27%
  Capital Projects
    Fund-Transportation
    2000(Bondable)        449,020,000               0   (449,020,000)  -100.00%
  Total for
    CAPITAL PROJECTS:   8,001,660,000   3,874,462,000 (4,127,198,000)   -51.58%

Engineering Services
  Special Rev.-Other        8,210,000      10,822,000      2,612,000     31.81%
  Engineering Services
    Fund                  658,224,000     636,684,000    (21,540,000)    -3.27%
  Total for Program:      666,434,000     647,506,000    (18,928,000)    -2.84%

Economic Development
  Dedicated Highway
    and Bridge
    Trust Fund             25,000,000      25,000,000              0      0.00%
  Total for Program:       25,000,000      25,000,000              0      0.00%

Health and Safety
  Dedicated Highway
    and Bridge
    Trust Fund                      0       4,164,000      4,164,000       --  
  Total for Program:                0       4,164,000      4,164,000       --  

Mass Transportation
  Dedicated Mass
    Transportation
    Trust Fund             15,568,000      15,815,000        247,000      1.59%
  Total for Program:       15,568,000      15,815,000        247,000      1.59%

Airport or Aviation State Program
  Dedicated Highway
    and Bridge
    Trust Fund              6,000,000       8,000,000      2,000,000     33.33%
  Total for Program:        6,000,000       8,000,000      2,000,000     33.33%

Federal Aid Highways - Federal Purpose
  Federal Capital
     Projects Fund      1,490,500,000   1,490,500,000              0      0.00%
  Total for Program:    1,490,500,000   1,490,500,000              0      0.00%

Non-Federal Aided Highway Capital Projects
  Dedicated Highway
    and Bridge
    Trust Fund          1,272,138,000   1,565,477,000    293,339,000     23.06%
  Total for Program:    1,272,138,000   1,565,477,000    293,339,000     23.06%

Transportation 2000 Bondable
  Capital Projects
    Fund-Transportation
    2000(Bondable)        449,020,000               0   (449,020,000)  -100.00%
  Total for Program:      449,020,000               0   (449,020,000)  -100.00%

Maintenance Facilities
  Dedicated Highway
    and Bridge
    Trust Fund             30,000,000      31,000,000      1,000,000      3.33%
  Total for Program:       30,000,000      31,000,000      1,000,000      3.33%

Multi-Modal
  Dedicated Highway
    and Bridge
    Trust Fund            150,000,000               0   (150,000,000)  -100.00%
  Total for Program:      150,000,000               0   (150,000,000)  -100.00%

New York State Agency Fund
  Fiduciary                50,000,000      50,000,000              0      0.00%
  Total for Program:       50,000,000      50,000,000              0      0.00%

Mass Transportation and Rail Freight
  Dedicated Highway
    and Bridge
    Trust Fund             10,000,000      10,000,000              0      0.00%
  Dedicated Mass
    Transportation
    Trust Fund             27,000,000      27,000,000              0      0.00%
  Total for Program:       37,000,000      37,000,000              0      0.00%

Bond Proceeds
  Transportation
    Infrastructure
    Bond Fund           3,800,000,000               0 (3,800,000,000)  -100.00%
  Total for Program:    3,800,000,000               0 (3,800,000,000)  -100.00%

Federal Airport or Aviation
  Federal Capital
    Projects Fund          10,000,000               0    (10,000,000)  -100.00%
  Total for Program:       10,000,000               0    (10,000,000)  -100.00%


                         ALL FUNDS PERSONNEL
                        BUDGETED FILL LEVELS
                                                                                                                                                
                                 Current   Requested
Program                          2000-01    2001-02    Change
                                                                                                                                                
Preventive Maintenance             1,412      4,949     3,537
Planning and Program Management      599        599         0
Administration                        42         42         0
Office of Passenger and Freight
  Transportation Program             311        311         0
Design and Construction            4,377      4,521       144
Operations                         3,569         32    (3,537)
Real Estate                          235        235         0
New York Metropolitan
  Transportation Council              68         68         0

Total General Fund :               3,623          0    (3,623)
Total All Other Funds :            6,990     10,757     3,767

TOTAL:                            10,613     10,757       144


                          Budget Highlights
                   (Executive Budget: pp. 281-289)

The Department of Transportation (DOT) directly maintains and improves the 
State's more than 40,000 highway lane miles and 7,500 bridges.  In addition, the 
Department partially funds locally-operated transit systems, local government
highway and bridge construction, and rail and airport programs.  This agency is 
included in the Transportation, Economic Development, and Environmental 
Conservation appropriation bill.

The Executive recommends a total All Funds State Fiscal Year (SFY) 2001-02 
appropriation of $5,663,145,000, a decrease of $4,221,648,075 from the current 
year.  This represents a decrease of 42.71 percent.

The Executive proposes to increase the Department's workforce by 144 positions, 
from 10,613 to 10,757.

The Executive budget proposes a new five-year $15,500,000,000 capital plan for 
the State commitment to construction and reconstruction of the State and local 
highway and bridge system, aviation and rail.  The Governor proposes increases 
of $293,339,000 for non-federal aided highway capital projects, or a 23.06 
percent increase and eliminates $34,900,000 from the Consolidated Highway 
Improvement Program (CHIPS) Operating and Maintenance from current year levels
for counties and New York City.

State Operations

In SFY 2001-02, the Executive recommends a State Operations appropriation of 
$50,237,000, a decrease of $174,509,000 or 77.65 percent.

The Executive proposes to shift $169,023,000 of the Snow and Ice Program in the 
Operations and Passenger and Freight Transportation Program from the General 
Fund to the Dedicated Highway and Bridge Trust Fund in the Capital Program
to increase coverage for the Dedicated Highway and Bridge Trust Fund bonds.

The Executive recommends a decrease of $8,195,000 in the Special Revenue Funds 
of the Passenger and Freight Transportation Program mostly attributed to the 
privatization of Stewart International Airport and its operations.

Aid to Localities

The Executive recommends a total SFY 2001-02 appropriation of $1,738,446,000, an 
increase of $80,058,925 or 4.83 percent.

Mass Transportation Operating Assistance (MTOA) funding is the largest component 
of DOT's Aid to Localities budget.
The Executive recommends MTOA appropriations of $1,156,021,000, a decrease of 
$220,235,000, or 2.00 percent.  The largest component of the MTOA fund comes 
from the Metropolitan Transportation Authority (MTA) dedicated taxes.

MTOA is comprised of three components:

  --General Fund 18-b (Transportation Law Section 18-b) Operating Assistance is 
a program in which local governments match State aid dollar for dollar.  The 
Executive proposes funding of $58,016,000, the same level as the current year. 
Since SFY 1994-95, General Fund 18-b Operating Assistance has been reduced from
$222,400,000 to $58,016,000, a decrease of 73.9 percent;

  --The downstate region receives $888,659,000 of the Metropolitan Mass
Transportation Operating Assistance (MMTOA) Account fund, an increase of 
$22,023,000 or 3.0 percent.  The Upstate Transit Operators also receive a 
benefit from this fund of $43,357,000, the same level as SFY 2000-01; and

  --Statewide, the MTOA fund receives a portion of the proceeds of the petroleum 
business tax.  Downstate, the fund receives additional support from the 17 
percent regional corporate tax surcharges, the ūlong linesū tax, and a 0.25 
percent regional sales tax.  The Dedicated Mass Transportation Trust Fund 
Program receives $386,000,000, an increase of $61,354,000 or 18.9 percent over 
current funding levels.

The Executive proposes to increase transit aid $121,000,000, which includes an 
additional $81,003,000 for the Metropolitan Transportation Authority (MTA) and 
$39,385,500 for non-MTA transit operators.  The Executive proposes 
$1,430,738,000 for the Metropolitan Transportation Authority (MTA), an increase 
of $81,003,000 or 5.7 percent.  The Transit Authority (TA) in New York City 
would receive $1,057,209,000, an increase of $66,346,100 or 6.5 percent.  The
MTA's commuter railroads (Long Island Rail Road and Metro-North Railroad) would 
receive $373,529,000, an increase $14,656,900, or 4 percent.  Commuter rail 
ridership constitutes approximately 9.1 percent of transit riders while TA
ridership constitutes 90.9 percent of all transit riders.  The Executive 
increases transit aid $16,329,000 for upstate transit operators and provides 
additional funding of $23,056,500 for downstate non_MTA transit operators.

The Executive proposes an increase of $61,354,000 to support debt service for 
MTA bonds from a dedicated portion of the Petroleum Business Tax, which is 
included in the Dedicated Mass Transportation Trust Fund appropriation.  The
Executive also recommends funding of $45,000,000, the same level as the current 
year, for the MTA reduced fare program for school children.

The Executive created an Additional Mass Transportation Assistance Program for 
the commuter railroads and all Non-MTA transit systems.  The program prov ides 
$37,000,000 for MTA's commuter railroads, $35,251,000 for downstate non-MTA 
transit operators, and $19,049,000 for upstate transit operators.  The MTA's 
commuter railroads funding is based on the Suburban Transportation Fund that 
receives revenues from the Mortgage Recording Tax(MRT) in the MTA region.  The 
new program provides additional general fund appropriations to upstate and 
downstate non-MTA transit operators.

In SFY 1998-99, the Executive created a Mass Transportation Special Assistance 
Fund of $8,000,000.  Monies from this fund are distributed to upstate transit 
operators based upon projected operating deficits and through the traditional
formula-driven system.  In SFY 2001-02, the Executive proposes reducing this 
fund to $3,000,000, the same as SFY 1999-2000.

The Executive recommends an appropriation of $23,888,000 in the Consolidated 
Local Highway Assistance Program (CHIPs) that is specifically targeted to 
counties and New York City, a decrease of $34,900,000 or 59.37 percent.  These
funds support operating and maintenance activities, with local highway 
departments having the flexibility to use this fund either for capital projects 
or maintenance-type activities.

The Executive recommends a Federal appropriation of $12,713,000 for the Rural 
and Small Urban Transit Aid Program, an increase of $868,000.

Capital Projects

The Executive recommends Capital Projects appropriations of $3,874,462,000, a 
decrease of $4,127,198,000, or 51.58 percent, over the current fiscal year. This 
decrease is a result of the failed Transportation Bond Act of 2000, that would
have generated $3.8 billion for transportation and mass transit needs.   Support 
for the Capital Plan comes from two major sources: the Federal Capital Projects 
Fund, and the Dedicated Highway and Bridge Trust Fund, which together account 
for over 80 percent of DOT capital spending.  Federal funding of $1,490,500,000 
is proposed by the Executive, the same as SFY 2000-01.  All Federal funding is 
from the Federal Transportation Equity Act of the 21st Century (TEA-21).

The Governor has submitted a new five-year plan for state and local highways, 
roads and bridges, aviation and rail.  This plan totals $15,503,609,000, of 
which $8,591,000,000 is for the State Highway and Bridge Capital Program; 
$3,166,611,000 for engineering design, inspection and planning; $1,288,000,000 
for local capital programs, including CHIPs and Marchiselli; $80,000,000 for the 
Rail Freight and Passenger program; $125,000,000 for the Industrial Access
Program; $38,000,000 for the Aviation program; and $1,881,170,000 for other 
programs.

In the new five-year plan for SFY 2001-02, the Executive appropriates 
$1,750,000,000, an adjusted increase of $150,000,000 from the Dedicated Highway 
and Bridge Trust Fund; $217,900,000 for CHIPs Capital, the same level as
the current year; $39,700,000 for Marchiselli, the same level as the current 
year; $636,684,000 for Engineering Services; $10,000,000 for rail freight and 
passenger projects; $8,000,000 for aviation; and $25,000,000 for the Industrial 
Access program.

Article VII Proposal

CHIPS and Marchiselli

  --The Executive proposal would authorize appropriations for CHIPs capital of 
$217.9 million, and Marchiselli of $39.7 million, and prohibit payments for 
Marchiselli projects of $5,000 or more from the non-fiduciary funds of the 
Department of Transportation (DOT) capital projects budget.

DOT Program Transfers to the Dedicated Highway and Bridge Trust Fund

  --The Executive proposal would transfer funding for DOT's snow and ice 
control, arterial maintenance, and bus inspection programs from the General Fund 
to the Dedicated Highway and Bridge Trust Fund.

New York State Assembly
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