New York State Department of Transportation Grant ... · New York State Department of Transportation FRA Grant Application Project Location Map for EW‐20 3rd Track from CP 382—CP393

New York State Department of Transportation FRA Grant Application

Project Location Map for EW‐20

3rd Track from CP 382—CP393

Canadian Mainline

Schenectady to Quebec

North East Corridor

Washington DC to Boston

Empire Corridor NYC to Niagara Falls

Revised August 21, 2009 MC/MJL Data Source: NYSDOT GIS Database

Track 1a – FD/Construction and/or Track 4 OMB No. 2130-0583

Form FRA F 6180.133 (07-09)

Project Name: NY EW-20 1A-EmpireW-Ph 1 3rd Tk 382-393 Date of Submission: 8/24/09 Version Number: 001

High-Speed Intercity Passenger Rail (HSIPR) Program Application Form Track 1a–Final Design (FD)/Construction & Track 4–FY 2009 Appropriations Projects Welcome to the Track 1a Final Design (FD)/Construction and Track 4 Application for the Federal Railroad Administration’s High-Speed Intercity Passenger Rail (HSIPR) Program. Applicants for Track 1a FD/Construction and/or Track 4 are required to submit this Application Form and Supporting Materials (forms and documents) as outlined in Section G of this application and in the HSIPR Guidance. We appreciate your interest in the program and look forward to reviewing your application. If you have questions about the HSIPR program or this application, please contact us at [email protected].

Instructions: • Please complete the HSIPR Application electronically. See Section G for a complete list of

the required application materials.

• In the space provided at the top of each section, please indicate the project name, date of submission (mm/dd/yy) and the application version number. The distinct Track 1a and/or Track 4 project name should be less than 40 characters and follow the following format: State abbreviation-route or corridor name-project title (e.g., HI-Fast Corridor-Track Work IV).

• For each question, enter the appropriate information in the designated gray box. If a question is not applicable to your FD/Construction Project, please indicate “N/A.”

• Narrative questions should be answered concisely within the limitations indicated. • Applicants must upload this completed application and all other application materials to

www.GrantSolutions.gov by August 24, 2009 at 11:59pm EDT. • Fiscal Year (FY) refers to the Federal Government’s fiscal year (Oct. 1- Sept. 30). • Please direct questions to: [email protected]

A. Point of Contact and Applicant Information

(1) Application Point of Contact (POC) Name: Ann Purdue

POC Title: Director High Speed Rail Program

Street Address: 50 Wolf Road

City: Albany

State: NY

Zip Code: 12232

Telephone Number: 518-457-0607

Fax: 518-485-5688 Email: [email protected]


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(2) Name of lead State or organization applying (only States may apply for Track 4 ): New York State

(3) Name(s) of additional States and/or organizations applying in this group (if applicable): None

(4) Is this project for which you are applying for HSIPR funding related or linked to additional applications for HSIPR funding that may be submitted in this or subsequent rounds of funding? Yes No Maybe

If “yes” or “maybe,” provide the following information:

Program/Project Name

Lead Applicant Track

Total HSIPR Funding Proposed (if known)

Status of Application

NY EW-7 1B-EmpireW-Syracuse Sta Tk Impv NYSDOT

Track 1b - PE/NEPA $130,393 Applied

NY EW-8 1A-EmpireW-Rochester Statio NYSDOT

Track 1a - FD/Construction $1,663,799 Applied

NY EW-9 1A-EmpirWe-Buffalo-Depew Sta Imp NYSDOT

Track 1a - FD/Construction $832,322 Applied

NY EW-14 1B-Empire W-Ph 1 3rd Tk 160-203 NYSDOT

Track 1b - PE/NEPA $13,228,915

Applied

NY EW-15 1B-EmpireW-Ph 1 3rd Tk 323-334 NYSDOT

Track 1b - PE/NEPA $264,476 Applied

NY EC-1 EmpireCorridor - Plng NYC-NFL NYSDOT

Track 3 $see application

Applied

NY EC-2- Empire Corridor NYC-NFL NYSDOT

Track 2 $see application

Will Apply

Track 1a - FD/Construction $ Applied


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B. Project Overview

(1) FD/Construction Project Name: NY EW-20 1A-EmpireW-Ph 1 3rd Tk 382-393

(2) Indicate the Track under which you are applying: Track 1a - FD/Construction Please note if you are applying for Track 1a–FD/Construction and Track 4 concurrently, you must submit two separate versions of this application into www.GrantSolutions.gov (one for Track 1a –FD/Construction and one for Track 4–FY 2009 Appropriations Projects).

(3) Indicate the activity(ies) for which you are applying (check both if applicable):

Final Design Construction

(4) What are the anticipated start and end dates for the FD/Construction Project? (mm/yyyy) Start Date: 10/2009 End Date: 09/2011

(5) Total Cost of the FD/Construction Project (year of expenditure (YOE) Dollars*): $ 58,115,410

Please provide proposed inflation assumptions and methodology, if applicable in the space below. Please limit response to 1,000 characters.

As published by Design & Construction Resources in cooperation with Engineering News Record, the 2008 inflation rate for construction was 4%. To obtain the YOE project costs, the total cost was adjusted 4% per year. Of the total cost of the FD/Construction Project, how much would come from the FRA HSIPR Program: (YOE Dollars**) $ 58,115,410 Indicate percentage of total cost to be covered by matching funds 0 % Applications submitted under Track 4 require at least a 50 percent non-Federal match to be eligible for HSIPR funding. * Year-of-Expenditure (YOE) dollars are inflated from the base year. ** This is the amount for which the applicant is applying.

(6) Project Overview Narrative. Please limit response to 5,000 characters.

Provide an overview of the main features and characteristics of the FD/Construction Project, including: • The location of the project including name of rail line(s), State(s), and relevant jurisdiction(s) (include map if

available in supporting documentation). • Identification of service(s) that would benefit from the project, the stations that would be served, and the State(s)

where the service operates. • How the project was identified through a planning process and how the project is consistent with an overall plan

for developing High-Speed Rail/Intercity Passenger Rail service. • How the project will fulfill a specific purpose and need in a cost-effective manner. • The project’s independent utility. • The specific improvements contemplated. • Any use of railroad assets or rights-of-way, and potential use of public lands and property. • Other rail services, such as commuter rail and freight rail that will make use of, or otherwise be affected by, the

project.

a) The project is located on the CSXT Rochester Subdivision, from CP-382 (MP QC-382.6) to CP-393 (MP QC-393.8), between Rochester and Batavia, New York, in Monroe and Genesee Counties.

b) The project will benefit the Amtrak Empire Service between NYC and Niagara Falls, NY, serving several major

locations including Albany, Schenectady, Syracuse, Utica, Amsterdam, Rome, Buffalo and Rochester. This project also


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improves service for the Maple Leaf, NYC to Toronto, and the Lakeshore Limited, NYC /Boston to Chicago. While the investment is within New York State, the benefits impact trains serving New York, Massachusetts, Illinois, Pennsylvania, Ohio, Indiana and Ontario.

c) This project is included in the New York State Rail Plan and is consistent with the State Master Plan for 2030. It

is included in the Service Development Plan for the Empire Corridor currently in progress (completion 10/09). d) The existing Empire Corridor service of 4 daily roundtrips is constrained by the congested infrastructure and

freight environment in which it operates (up to 50 daily freight trains). On time performance for the route is below the modest Amtrak standard of 65%, and reliability of service hinders the use of this critical intercity passenger rail corridor as a meaningful transportation option. Due to congested conditions and poor condition of the existing infrastructure, trains cannot meet maximum authorized speeds and capacity for increased frequencies necessary to sustain an intercity rail corridor cannot be attained. The construction of a new, separate passenger track (within an existing railroad right of way), designed for high speed rail operation up to 110 mph will provide for dramatic improvements in service (by adding the capabilities for increased frequencies, shorter trip times, and better OTP) to Upstate New York cities of Buffalo, Rochester, Syracuse, and Utica served by this line and western destinations like Chicago. Separation of freight and passenger operations in this corridor will benefit the host railroad by providing for additional capacity within the mainline tracks. A coordinated plan of mainline infrastructure improvements and additional passenger service tracks will result in world-class intercity passenger rail network that will provide economic stimulus and future sustainability for the cities it will serve. Cost effectiveness will be a consideration in the stated project objectives and cost will be one of the criteria used to evaluated project alternatives which meet stated project objectives.

e) The project examined alternatives for a dedicated passenger track for 110 MPH operations and increased

frequencies within the existing railroad right-of-way. As a phase of the corridor proposal to improve service, it will provide additional capacity and fluidity improving reliability and OTP.

f) Specific improvements include: adding 11 miles of third mainline track to accommodate high-speed passenger

service utilizing 136RE welded rail and concrete ties on a ballasted surface (47,500 feet). Eliminate sharp curves where determined practical and cost effective. Improve safety by upgrading the signal system, providing interlocking upgrades and PTC. Improve safety by rehabilitating existing bridges. Improve safety at at-grade crossings. Examine alignments on existing embankment designed to achieve 110 mph geometry where feasible with 25' minimum and 30' desireable track centers and maintain clearances to existing structures and include superelevation utilizing 5” maximum and 5” of unbalance.

g) The location for this project was selected partially because it appears there are feasible alternatives which can be

constructed on existing right of way and roadbed and does not require the use public lands. This existing ROW, which could accommodate a third track is generally utilized as maintenance of way access road.

h) Refer to Section B(14) for other rail services.

(7) Status of Activities: Are any FD or Construction activities that are part of this planned investment underway or

completed?

Yes (Final Design) Yes (Construction) No

If “Yes,” please describe the activities that are underway or completed in the table below.1 If more than three activities, please detail in Section F of this application.

1 Please note: (a) requests for reimbursement of costs incurred prior to enactment of the relevant appropriations will not be considered and (b) supporting documentation for activities may also be required as noted in Appendix 2 of the HSIPR Guidance.


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Activity Description

Completed? (If yes, check

box) Actual Initiation Date (mm/yyyy)

Actual or Anticipated

Completion Date (mm/yyyy)

n/a n/a n/a n/a

n/a n/a n/a n/a

n/a n/a n/a n/a (8) Describe the project service objectives (check all that apply):

Additional Service Frequencies Improved Service Quality Improved On-Time Performance on Existing Route

Increased Average Speeds/Shorter Trip Times Other (Please Describe):

(9) Types of capital investments contemplated (check all that apply):

Structures (bridges, tunnels, etc.) Track Rehabilitation New or restored sidings/passing tracks Major Interlockings Station(s) Communication, Signaling and Control

Rolling Stock Refurbishments Rolling Stock Acquisition Support Facilities (Yards, Shops, Admin. Buildings)

Grade Crossing Improvements Electric Traction Other (Please Describe):

(10) Right-of-Way-Ownership. Provide information for all railroad right-of-way owners in the FD/Construction Project

area. Where railroads currently share ownership, identify the primary owner. If more than three owners, please detail in Section F of this application.

Type of Railroad Railroad Right-of-Way Owner

Route Miles Track Miles

Status of Agreements to Implement Projects

Class 1 Freigh CSX Transportation, Inc. 11.2 22.4 Preliminary Executed AgreemAmtrak Operates on CSXT ROW 11.2 22.4 Master Agreement in Place Amtrak Master Agreement in Place


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(11) Services. Provide information for all existing rail services within project boundaries (freight, commuter, and intercity passenger). If more than three services, please detail in Section F of this application.

Type of Service Name of Operator

Top Speed Within Project

Boundaries Number of Route-Miles

Within Project Boundaries

Average Number of Daily One-Way Train

Operations2 within Project

Boundaries Notes Passenger Freight

Freight CSX Transportation, Inc. N/A 50 11.2 50 Intercity Pa

Amtrak 79 N/A 11.2 8 Construct a third

Main Track dedicated to

passenger onlyFreight

(12) Rolling Stock Type. Describe the fleet of locomotives, cars, self-powered cars, and/or trainsets that would be intended to provide the service upon completion of the project. Please limit response to 1,000 characters.

Amtrak locomotives operating on the Empire Corridor South are P32AC-DM, which provide for third rail access to New York Pennsylvania Station. Some Empire Corridor West trains change engines in Albany from the DM to a P40 or P42 straight diesel locomotive. All three locomotive types date to the early 1990’s and were originally built by GE. All are capable of 110 mph operation, and regularly achieve this speed south of Schenectady, but a long period of acceleration is required. The cars are all Amfleet 1 coaches built 1974-78, with various combinations of coach, café, and business class configurations. Empire Service passenger trains typically consist of one locomotive and five Amfleet coaches. This fleet is expected to be in operation upon project completion.

(13) Intercity Passenger Rail Operator. Provide the status of agreements with partners that will operate the benefiting high-speed rail/intercity passenger rail service(s) upon completion of the planned investment (e.g., Amtrak). Name of Operating Partner: Amtrak Status of Agreement: No agreement, but partner supports project

(14) Benefits to Other Types of Rail Service(s). Are benefits to non-intercity-passenger rail services (e.g., commuter, freight) foreseen?

Yes No If “Yes”, provide further details in Section E, Question 2.

2 One daily round-trip train operation should be counted as two daily one-way train operations.


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C. Eligibility Information (1) Select applicant type, as defined in Appendix 1.1 of the HSIPR Guidance (only States may apply for Track 4):

State Amtrak

If one of the following, please append appropriate documentation as described in Section 4.3.1 of the HSIPR Guidance:

Group of States Interstate Compact Public Agency established by one or more States Amtrak in cooperation with a State or States

(2) Establish Completion of Preliminary Engineering. In the space(s) below, please list the documents that establish

completion of Preliminary Engineering for the project covered by this application. See HSIPR Guidance Appendix 2.2. If more than four references need to be listed, please place the additional information in Question F.

Document Name Completion Date (mm/yyyy)

Final Design Report 08/2009 Plans and Signal Diagrams 08/2009

(3) Establish Completion of NEPA Documentation (the date document was issued and how documentation can be verified by FRA). The following are approved methods of NEPA verification (in order of FRA preference): 1) References to large EISs and EAs that FRA has previously issued, 2) Web link if NEPA document is posted to a website (including www.fra.gov), 3) Electronic copy of non-FRA documents attached with supporting documentation, or 4) a hard copy of non-FRA documents (large documents should not be scanned but should be submitted to FRA via an express delivery service). See HSIPR Guidance Section 1.6 and Appendix 3.2.9.

Documentation Date (mm/yyyy) Describe How Documentation Can be Verified

Categorical Exclusion Documentation 08/2009 Included with submission

Final Environmental Assessment Final Environmental Impact Statement

(4) Indicate if there is an environmental decision from FRA (date document was issued and web hyperlink if available).

Documentation Date (mm/yyyy) Hyperlink (if available)

Categorical Exclusion Determination Finding of No Significant Impact Record of Decision


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D. Public Return on Investment (1) 1A. Transportation Benefits. See HSIPR Guidance Section 5.1.1.1. Please limit response to 8,000 characters:

How is the project anticipated to improve Intercity Passenger Rail (IPR) service? Describe the overall transportation benefits, including information on the following (please provide a level of detail appropriate to the type of investment):

• IPR network development: Describe improvements to intermodal connections and access to stations as well as actual and potential expansions to the IPR network that may result from the project (including opportunities for interoperability with other services).

• IPR service performance improvements (also provide specific metrics in table 1B below): Please describe service performance improvements directly related to the project, as well as a comparison with the existing service (without project). Describe relevant reliability improvements (e.g., increases in on-time performance, reduction in operating delays), reduced schedule trip times, increases in frequencies, aggregate travel time savings (resulting from reductions to both schedule time and delays, expressed in passenger-minutes), and other relevant performance improvements.

• IPR service results (also provide specific metrics in table 1B below): Describe relevant outcomes of the service improvement such as increases in ridership, passenger-miles, and other results in comparison with the existing service (without project).

• Suggested supplementary information (only when applicable):

o Transportation Safety: Describe overall safety improvements that are anticipated to result from the FD/Construction Project, including railroad and highway-rail grade crossing safety benefits, and benefits resulting from the shifting of travel from other modes to safer IPR service.

o Cross-modal benefits from the FD/Construction Project, including benefits to:

Commuter Rail Services – Service improvements and results (applying the same approach as for IPR above).

Freight Rail Services – Service performance improvements (e.g., increases in reliability and capacity), results (e.g. increases in ton-miles or car-miles of the benefiting freight services), and/or other congestion, capacity or safety benefits.

Congestion Reduction/Alleviation in Other Modes; Delay or Avoidance of Planned Investments – Aviation and highway congestion reduction/alleviation, and/or other capacity or safety benefits. Describe any planned investments in other modes of transportation that may be avoided or delayed due to the improvement to IPR service that will result from the project.

For the Empire Corridor (EC) from Albany to Buffalo, On Time Performance (OTP) is about 41% (2008), this corridor is heavily utilized by freight trains. The scheduled trip time between Albany and Buffalo is around 5 hours and 20 minutes. Trip times for the Lake Shore can be off by several hours due to interference with freight trains This project will reduce interference for n 11 mile segment along this corridor, contributing to improvements for OTP & trip time. Service & reliability improvements to the EC will provide congestion relief benefits to highways and airports in NY. Improved schedule adherence and on-time performance will help to make intercity passenger rail a viable option for more travelers.

The improved track, signals, & upgraded crossings and reducing freight train and passenger train intermingling for this 11 mile segment will improve safety.

This project will improve reliability traveling between Albany and Niagara Fassl, by reducing interference with freight trains and reducing speed restrictions, which according to Amtrak, was the cause of delay from Albany to Niagara Falls 78% of the time.

The project is in the 2009 NYS Rail Plan, which was developed with extensive public involvement. The plan


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was prepared with input from New York’s freight railraods, Amtrak, commuter railroads, Metropolitan Planning Organizations, and others. The improved scheduling, & service resulting from this project will solidly contribute to the transportation system envisioned in this plans.

CSXT owns and operates on the Rochester SD along the Empire Corridor. The reduction of intermingling with passenger trains will benefit the freight operation. Additional mainline freight capacity may also be gained. The Empire Corridor from Buffalo to Selkirk Yard outside of Albany is the highest volume route for intermodal and automotive finished vehicle traffic on the CSXT system, as it is the route to the Port of New York and New Jersey.

This project contributes to making IPR a viable travel option. Greatly improved intercity passenger service helps divert passengers from autos to environmentally friendly rail & will improve economic stability for corridor cities. Stations on the Empire Corridor provide connectivity to transit.

1B. Operational and Ridership Benefits Metrics: In the table(s) below, provide information on the anticipated transportation benefits and ridership changes projected to result from the project. Please do not include benefits and changes that would occur even if the project is not implemented (for example, as a result of population or economic growth factors).

Project/Program Metric Actual⎯

FY 2008 levels

Projected Totals by Year (Actual Levels Plus

Project-Caused Changes Only)

First Full Year After Project Completion

Fifth Full Year After Project Completion

“X” If N/A or

Unsure

Annual passenger-trips 344,503 345,841 345,841

Annual passenger-miles (millions) 104.04 104.45 104.45

Annual IPR seat-miles offered (millions) 801.20 801.20 801.20

Average number of daily round train trip operations (typical weekday)

4 4 4

On-time performance (OTP)3 – percent of trains on time at endpoint terminals

72.76% 75.35% 75.35%

Average train operating delays: minutes of en-route delays per 10,000 train-miles4

2,444.81 2,429.10 2,429.10

Top operating speed (mph) 79 79 79

Average scheduled operating speed (mph) (between endpoint terminals)

51 51 51

(2) 2A. Economic Recovery Benefits. This section is required for Track 1a, and optional for Track 4. Please limit response to 4,000 characters. For more information, see Section 5.1.1.2 of the HSIPR Guidance.

Describe the contribution the FD/Construction Project is intended to make towards economic recovery and reinvestment, including information on the following:

• How the project will result in the creation and preservation of jobs, including number of onsite and other direct jobs

3 As calculated and reported by Amtrak according to its existing procedures and definitions. An example can be found at page E-7 of the May 2009 Monthly Performance Report at http://www.amtrak.com/pdf/0905monthly.pdf. ‘On-time’ is defined as within the distance-based thresholds originally issued by the Interstate Commerce Commission, which are: 0 to 250 miles and all Acela trains⎯10 minutes; 251 to 350 miles⎯15 minutes; 351 to 450 miles⎯20 minutes; 451 to 550 miles⎯25 minutes; and 551 or more miles⎯30 minutes. 4 As calculated by Amtrak according to its existing procedures and definitions. Useful background can be found at pages E-1 through E-6 of Amtrak’s May, 2009 Monthly Performance Report at http://www.amtrak.com/pdf/0905monthly.pdf


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(on a 2,080 work-hour per year, full-time equivalent basis), and timeline for achieving the anticipated job creation. • How the different phases of the project will affect job creation (consider the construction period vs. operating period) • How the project will create or preserve jobs or new or expanded business opportunities for populations in

Economically Distressed Areas (consider the construction period vs. operating period) • How the project will result in increases in efficiency by promoting technological advances. • How the project represents an investment that will generate long-term economic benefits (including the timeline for

achieving economic benefits and describe how the project was identified as a solution to a wider economic challenge) • If applicable, how the project will help to avoid reductions in State-provided essential services. Intercity passenger rail investments can increase the economic output of the region by encouraging business development,

attracting tourism, increasing land values and development activity near stations. It has been found that rail and transit infrastructure investments yield three to four times more economic output in the local economy.

Central to the focus of the ARRA legislation is the rapid mobilization of the U.S. workforce and the creation of new high paying jobs. Investment in rail transportation infrastructure has been shown to create significant employment benefits. The estimated construction cost of this project is $58.11M. It is estimated that 1453 jobs will be created or saved by the construction of this project using the FHWA standard estimator of 25 jobs created for every $1 million invested in transportation capital improvements. The improvements that will be accomplished with this project would include skilled track workers, signal engineers, flagmen and other construction-related trades.

The Empire Corridor passes through a number of cities and counties (Montgomery, Fulton, Herkimer, Oneida, Madison, Cayuga, Genesee, and Niagara Counties, and the cities of Rochester, Buffalo and Niagara Falls) that are defined as Economically Distressed Areas (EDA) by the American Recovery and Reinvestment Act (ARRA) of 2009. This project is located in Wayne County, NY, which does not have an EDA designation, and the city of Rochester, which is classified as an EDA. This project will reduce delay for intercity passenger rail travel throughout the corridor and to and from the EDA designated cities and counties located east and west of Syracuse, encouraging use of the railroad for business and other travel between those cities and Albany or New York City, spurring economic activity and stability.

It is the policy of NYSDOT to ensure nondiscrimination on the basis of race, color, sex or national origin in the award and administration of the U.S. Department of Transportation (USDOT) assisted contracts. It is the intention of NYSDOT is to create an equitable environment in which Disadvantaged Business Enterprises (DBE) can compete fairly for contracts and subcontracts relating to the procurement, contracting and professional service activities of USDOT assisted work. NYSDOT establishes DBE goals for American Recovery and Reinvestment Act (ARRA) projects which are consistent with its long standing, published procedures that consider on a contract by contract basis the types of work included, the geographical location and work specialties of available DBEs, in the establishment of contract level DBE goals. ARRA has presented accelerated opportunities to further enhance opportunities for DBEs.

NYSDOT aims to include a number of smaller value construction contracts (less than $1,000,000) which are targeted towards providing direct bidding opportunities for DBE firms. The smaller scale of these contracts allow for smaller bonding requirements, fewer different types of work to complete, and less overall risk for smaller firms. Since March 1, 2009, DBE firms have seen unprecedented increased opportunities to participate on federally assisted NYSDOT construction contracts due to a near doubling of the amount of federal funding available through ARRA.

2B. Job Creation: Provide the following information about job creation through the life of the FD/Construction Project. Please consider construction, maintenance, and operations jobs.

Anticipated number of annual onsite and other direct jobs created (on a 2080 work-hour per year, full-time equivalent basis)

FD/ Construction Period

First full Year of Operations

Fifth full Year of Operations

1453 N/A N/A


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(3) Environmental Benefits. Please limit response to 4,000 characters. How will the FD/Construction project improve environmental quality, energy efficiency, and reduction in the Nation’s dependence on oil? Address project-caused changes in the following:

• Any projected reductions in key emissions (CO2, O3, CO, PMx, and NOx) and their anticipated effects. Provide any available forecasts of emission reductions from a baseline of existing service for the first and fifth years of full operation (provide supporting documentation if available).

• Any expected energy and oil savings from traffic diversion from other modes and changes in the sources of energy for transportation. Provide any available information on changes from the baseline of the existing service for the first and fifth years of full operation (provide supporting documentation if available).

• Use of green methods and technologies. Address green building design, “Leadership in Environmental and Energy Design” building design standards, green manufacturing methods, energy efficient rail equipment, and/or other environmentally-friendly approaches.

This project will reduce freight and passenger delays, congestion, and interference as well as improve train performance within the project area. The reduction in delays may encourage wider use of intercity passenger rail and a diversion of auto trips to rail service. Environmental benefits can result from a reduction in the number and share of trips that are made by automobiles that are less efficient than passenger rail in terms of per capita emissions and energy use. Diverting trips from automobiles to passenger rail may also lead to reductions in congestion and delay on heavily traveled highway corridors resulting in a reduction of emissions and wasted fuel from slow-moving or idling vehicles.

NYSDOT is committed to improving the quality of transportation infrastructure in ways that minimize impacts to the environment. The Green Leadership In Transportation Environmental Sustainability (GreenLITES) program is an internal, self-certification program that recognizes projects that incorporate a high level of environmental protection; energy and resource conservation; preservation of historic, scenic and aesthetic resources; public involvement in the transportation planning process; integration of smart growth and other sound land-use practices; and the implementation of new and innovative approaches to sustainable design and the operation and maintenance of facilities. The GreenLITES program aims to better integrate these principles by recognizing, increasing awareness, and expanding the use of these and other innovative transportation sustainability techniques. (4) Livable Communities Project Benefits Narrative. (For more information, see Section 5.1.1.3 of the HSIPR

Guidance, Livable Communities). Please limit response to 3,000 characters.

How will the FD/Construction Project foster Livable Communities? Address the following:

• Integration with existing high density, livable development: Provide specific examples, such as (a) central business districts with walking/biking and (b) public transportation distribution networks with transit-oriented development.

• Development of intermodal stations: Describe such features as direct transfers to other modes (both intercity passenger transport and local transit).

Intercity passenger rail in New York is envisioned as a system that will be attractive and practical for intercity travel distance and will be connected to local and regional transit services and intercity buses. This project serves a role in a much larger northeastern rail network. This project will improve passenger rail service west of Albany and includes the service to Niagara Falls, Chicago and Toronto, Ontario. The project will benefit the Empire Service, from NYC and Niagara Falls, NY, and serves several major downtown locations including Rochester, Syracuse, and Buffalo. The improved service quality (especially across the Western part of NY) aids in making passenger rail from downtown to downtown in New York State a real viable transportation option. Providing this as a viable travel option improves the livable development in downtown station areas by providing cleaner transportation and mobility options and promotes growth to central business districts around intermodal stations, which include Albany Rensselaer, Schenectady, and Niagara Falls.

Urban downtowns in Upstate NY have begun to see a resurgence of private investment, commercial interest, arts and culture growth, and residential development in the past decade. The ability to quickly and efficiently move individuals into our urban centers is pivotal to the success of these recent efforts to revitalize these downtowns. In downtown Buffalo over $500M public and private dollars will be invested in development projects. These projects include the expansion of the Buffalo Niagara Medical Campus, which will bring in an additional 60,000 patients to the central business district each year. Of Syracuse’s over $300 million in investment plans also are included for the expansion of SUNY Upstate Medical University’s treatment capabilities. SUNY Upstate plans to convert two underused high-rise residential towers to housing for its doctors and faculty. Continuing the trend of downtown


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reinvestment some employers announced their intent to locate their corporate headquarters in downtown Rochester. In Albany, improvement projects include new convention spaces and estimates the creation of just over 1,000 permanent jobs. On top of investments of over $15 million in its downtown Utica Metro Train Station, the City of Utica expects $20 million of public and private investment in its central business district in the next year.

Stations along the Empire Corridor are served by several transit providers. For the Upstate regions of NYS, improving connectivity and service quality to and from NYC aids in the attractiveness of passenger rail as a practical mode of travel. As part of the larger intercity rail network of New York State, these cities would also be linked to other key locations throughout the state.


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E. Project Success Factors (1) Project Management Approach and Applicant Qualifications Narrative: Please provide separate responses

to each of the following. Additional information on project management is provided in Section 5.1.2.1 of the HSIPR Guidance, Project Management.

1A. Applicant qualifications. Please limit response to 2,000 characters. Management experience: Does the applicant have experience in managing rail investment projects and managing projects of a similar size and scope to the one proposed in this application?

Yes - Briefly describe experience (brief project(s) overview, dates) No- Briefly describe expected plan to build technical and managerial capacity; provide reference to Project

Management Plan.

NYSDOT has significant experience successfully managing all aspects of transportation programs and projects. NYSDOT’s Capital Program in 2008 consisted of $1.4B in construction projects. Approximately half of these projects were delivered using in-house design staff, with the other half completed by consultants managed by NYSDOT. NYSDOT also successfully manages an annual Local Federal Aid Eligible Program consisting of approximately $400M in capital projects. For these local projects NYSDOT ensures Federal and State requirements are met and the projects are let by local municipalities. NYSDOT met the 120 day goal for American Reinvestment and Recovery Act (ARRA) Highway and Bridge funding 33 days early and has certified $618M in projects to date. NYSDOT’s Freight & Passenger Rail Bureau is responsible for the full range of planning, program management, project management, and technical oversight activities for rail and port capital projects. Staff have many years of expertise working with railroads to deliver projects and currently manages a number of Railroad Force Account Agreements. This office currently manages over 200 individual projects throughout the State with a total value in excess of $500 million. These projects have focused on improving railroad network capacity, operational efficiency, vertical clearances, and track and bridge weight carrying capacity. NYSDOT’s Engineering Division routinely provides project delivery services that can be used to facilitate effective delivery of an increased passenger rail program, including project management, design, construction inspection, mapping, consultant management and a wide range of related engineering services. The Freight & Passenger Rail Bureau would partner with staff from the Engineering Division to effectively deliver this expanded program.

1B. Describe the organizational approach for the different project stages included in this application (final design, construction), including the roles of staff, contractors and project stakeholders in implementing the project. For construction activities, provide relevant information on work forces, including railroad contractors and grantee contractors. Please limit response to 2,000 characters.

NYSDOT has developed a project specific Project Management Plan which documents the roles and responsibilities of staff

and identifies potential project risks throughout final design and construction. This plan includes an organizational approach for this project which states that:

• NYSDOT will manage design, scope, schedule and cost reporting; independent review and comments on deliverables. • NYSDOT will manage all environmental coordination required for this project. • Continuous coordination and communication with appropriate railroad representatives will be done throughout the

project. This project will be assigned a NYSDOT project manager from the Freight & Passenger Rail Bureau. The project will follow

the Freight & Passenger Rail Bureau Workflow, which has several control and review steps. NYSDOT will perform all final design activities using engineering consultants. The Railroad will progress project construction by Railroad Force Account Agreements or through third party bid solicitations. Railroad Force Account Agreements allow for the reimbursement of actual expenses on project construction costs.

NYSDOT Passenger Rail staff will review project designs at project milestones to ensure conformance with applicable State

and Federal Regulations and are in frequent contact with the Railroads during the project development and design stages. Once construction is authorized, construction oversight and reimbursement activities are performed by either the Freight


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& Passenger Rail Bureau or one of NYSDOT’s eleven regional offices or through consultant resources. NYSDOT staff makes periodic inspections of the construction sites, ensuring conformance with the plans and specifications. Construction inspection is conducted in accordance with NYSDOT’s Manual of Construction Supervision and Inspection Procedures for Work by Railroad Force Account and the Manual of Construction Supervision and Inspection Procedures for Railroad Let Contracts.

1C. Does the FD/Construction Project require approval by FRA of a waiver petition from a Federal railroad safety regulation? (Reference to, or discussion of, potential waiver petitions will not affect FRA’s handling or disposition of such waiver petitions.)

YES- If yes, explain and provide a timeline for obtaining the waivers NO

Please limit response to 1,500 characters. n/a

1D. Provide a preliminary self-assessment of project uncertainties and mitigation strategies (consider funding risk, schedule and budget risk and stakeholder risk). Describe any areas in which the applicant could use technical assistance, best practices, advice or support from others, including FRA. Please limit response to 2,000 characters.

NYSDOT has developed a formal Project Management/Risk Management plan for this project in accordance with NYSDOT’s

Draft Risk Management Guide for Project Development, April 2009, the Plan is included with NYSDOT’s grant application submission. The development of this plan has enabled the project team to systematically identify, quantify, assess, prepare responses for, monitor, and control risks associated with project development. This plan is a valuable tool for better ensuring desired project outcomes are achieved within cost, schedule, scope and quality while meeting customer expectations. The project manager and risk management team conduct frequent, comprehensive reviews of all potential project risks, progress made in addressing risks, and indicates where risks are being effectively handled, and where additional actions and resources may be needed. The Project Manager is responsible for continually monitoring the status of “red flag” items and performing risk response/mitigation activities during the life of the project.

(2) Stakeholder Agreements Narratives. Additional information on Stakeholder Agreements is provided in Section

5.1.2.2 of the HSIPR Guidance.

Under each of the following categories, describe the applicant’s progress in developing requisite agreements with key stakeholders. In addition to describing the current status of any such agreements, address the applicant’s experience in framing and implementing similar agreements, as well as the specific topics pertaining to each category.

2A. Ownership Agreements – Describe how agreements will be finalized with railroad infrastructure owners listed in the “Right-of-Way Ownership” and “Service Description” tables in Section B. If appropriate, “owner(s)” may also include operator(s) under trackage rights or lease agreements. Describe how the parties will agree on project design and scope, project benefits, project implementation, use of project property, project maintenance, scheduling, dispatching and operating slots, project ownership and disposition, statutory conditions and other essential topics. Summarize the status and substance of any ongoing or completed agreements. Please limit response to 2,000 characters. For the past 30+ years NYSDOT has contracted with railroads (aka: grantee) throughout the State to perform State and/or federally funded capital railroad rehabilitation or preservation work. This process, also known as force account, is implemented through the negotiation and execution of an agreement between NYSDOT and the stakeholder railroad(s). This process has evolved to the point where NYSDOT has at the ready, a number of standard agreement templates that are almost universally accepted by the affected railroads, often with only minor changes to the actual agreement language. These standardized agreements will be utilized to advance ARRA funded projects, with the understanding that ARRA programmatic requirements will be incorporated into the body of the agreement. Once the standardized agreement language is developed by NYSDOT and adopted by the stakeholder railroads, the agreement development process is streamlined in that the drafting of a specific project agreement, generally only requires the addition of the project specific information, such as the name and corporate address of the stakeholder railroad and the specific project budget and scope. Additionally, using a standard boilerplate agreement greatly enhances fluidity of project development and implementation, as all affected parties are familiar with the agreement document and process.


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2B. Operating Agreements – Describe the status and contents of agreements with the intended operator(s) listed in “Services” table in the Project Overview section above. Address project benefits, operation and financial conditions, statutory conditions, and other relevant topics. Please limit response to 2,000 characters. All intercity passenger service within the project limit is provided by Amtrak as part of its core network. NYSDOT has no contractual arrangement with Amtrak for this service. This is an additional track installation project that will not change the existing operating service (Amtrak).

2C. Selection of Operator – This question applies to Track 1a only. If the proposed operator railroad was not selected competitively, please provide a justification for its selection, including why the selected operator is most qualified, taking into account cost and other quantitative and qualitative factors, and why the selection of the proposed operator will not needlessly increase the cost of the project or of the operations that it enables or improves. Please limit response to 1,000 characters. All intercity passenger service within the project limit is provided by Amtrak as part of their core network. NYSDOT has no role in selecting Amtrak as the operator of this service. This is an additional track installation project that will not change the existing operating service (Amtrak).

2D. Other Stakeholder Agreements – Provide relevant information on other stakeholder agreements including State and local governments. Please limit response to 2,000 characters. This project does not have any other stakeholder agreements, during final design, public outreach of impending construction activities with affected communities will occur. This project will also be posted to NYSDOT's Interactive Economic Recovery Projects Location Map Website, https://www.nysdot.gov/recovery/projects.

2E. Agreements with operators of other types of rail service – Describe any cost sharing agreements with operators of non-intercity passenger rail service (e.g., commuter, freight). Please limit response to 2,000 characters. Due to the nature of the project, third track installation, no capital cost sharing agreements with operators of non-intercity passenger rail service is expected. There is no commuter rail service on the Rochester Subdivision.

(3) Financial Information. 3A. Capital Funding Sources. Please provide the following information about your funding sources (if applicable).

Non FRA Funding Sources

New or Existing Funding Source?

Status of Funding5 Type of Funds

Dollar Amount (YOE

Dollars)

% of Project

Cost

Describe Uploaded Supporting

Documentation to Help FRA Verify Funding Source

n/a New Committed n/a n/a n/a



5 Reference Notes: The following categories and definitions are applied to funding sources: Committed: Committed sources are programmed capital funds that have all the necessary approvals (e.g. legislative referendum) to be used to fund the proposed project/program without any additional action. These capital funds have been formally programmed in the State Rail Plan and/or any related local, regional, or State Capital Investment Program CIP or appropriation. Examples include dedicated or approved tax revenues, State capital grants that have been approved by all required legislative bodies, cash reserves that have been dedicated to the proposed project/program, and additional debt capacity that requires no further approvals and has been dedicated by the sponsoring agency to the proposed project/program. Budgeted: This category is for funds that have been budgeted and/or programmed for use on the proposed project but remain uncommitted, i.e., the funds have not yet received statutory approval. Examples include debt financing in an agency-adopted CIP that has yet to be committed in their near future. Funds will be classified as budgeted where available funding cannot be committed until the grant is executed, or due to the local practices outside of the project sponsor's control (e.g., the project development schedule extends beyond the State Rail Program period). Planned: This category is for funds that are identified and have a reasonable chance of being committed, but are neither committed nor budgeted. Examples include proposed sources that require a scheduled referendum, requests for State/local capital grants, and proposed debt financing that has not yet been adopted in the agency's CIP.


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3B. Capital Investment Financial Agreements: Describe any cost sharing contribution the applicant intends to make towards the FD/Construction Project, including its source, level of commitment, and agreement to cover cost increases or financial shortfalls. Describe the status and nature of any agreements between funding stakeholders that would provide for the applicant’s proposed match, including the responsibilities and guarantees undertaken by the parties. Provide a brief description of any in-kind matches that are expected. Please limit response to 2,000 characters. Later this year, the Governor will propose a five year transportation plan which will include significant state funded

investment in Passenger Rail. The plan will include annual funding for operating costs associated with ARRA-application projects.

3C. Operating Financial Plan: Does the applicant expect that the State operating subsidy requirements

for the benefiting intercity passenger rail service will significantly increase, as a result of the project, during the first five years after project completion?

Yes No

If “Yes,” please complete the table below (in YOE dollars) and answer the following questions. Please limit response to 2,000 characters. (a) How did you project future State operating subsidies for the benefiting service(s); and (b) What are the source, nature, and likelihood of the funding that will enable the State to finance the projected increases in annual operating subsidies due to the project?

n/a

Subsidy

Actual⎯ FY 2009 levels

(YOE Dollars)

Projected Totals by Year (Actual Levels Plus

Project Caused Changes Only)

(YOE Dollars)

First Full Year After Project Completion

Fifth Full Year After Project Completion

State operating subsidy (total for all benefiting services)

n/a n/a n/a

(4) Financial Management Capacity and Capability – Provide audit results and describe applicant capability to absorb potential cost overruns, financial shortfalls, or financial responsibility for potential disposition requirements (include as supporting documentation as needed). Provide statutory references/ legal authority to build and oversee a rail capital investment. Please limit response to 2,000 characters.

NYSDOT will absorb potential project cost overruns. NYSDOT currently manages $1.4B in construction annually. Much of it is federally funded through FHWA. The statutory references/ legal authority to build and oversee a rail capital investment is per NYS Transportation Law Section 14-d.

(5) Timeliness of Project Completion – Provide the following information on the dates and duration of key activities, if applicable. For more information, see Section 5.1.3.1 of the HSIPR Guidance, Timeliness of Project Completion.

Final Design Duration: 6 months Construction Duration: 18 months Rolling Stock Acquisition Duration: n/a months Rolling Stock Testing Duration: n/a months Service Operations Start date: 09/2011 (mm/yyyy)

(6) If applicable, describe how the project will promote domestic manufacturing, supply and other industries, including United States-based equipment manufacturing and supply industries. Please limit response to 1,500


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characters.

NYSDOT aims to promote domestic manufacturing and supply of equipment and materials in accordance with the United States Buy America policy. NYSDOT will encourage the use of domestically produced materials when upgrading crossover facilities, turnouts, track systems and signal systems. Rail and transit infrastructure and equipment rely upon technically advanced engineering, design and manufacturing. By utilizing domestic manufacturing and supply sources, the project will help to build American expertise in rail manufacturing techniques, and lay the foundation for near-term and ongoing economic competitiveness.

(7) If applicable, describe how the project will help develop US professional railroad engineering, operating,

planning and management capacity needed for sustainable HSR/IPR development in the United States, including promotion of a diverse workforce. Please limit response to 1,500 characters.

Design and construction activities will further develop the skills and qualifications of American-based

employees including those at Amtrak, NYSDOT and private corporations. High-wage jobs in engineering, operations, planning, construction and management will be required to complete the design and build, operate and maintain the new or upgraded tracks, signals, interlockings, communications and signaling systems. Skilled workers including track workers, signal engineers, flagmen and other construction-related trades will be required to implement this project.


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F. Additional Information

(1) Please provide any additional information, comments, or clarifications and indicate the section and question number that you are addressing (e.g., Section E, Question 1B). This section is optional.

A location map has been uploaded through grantsolutions.gov. Additional attachments to this

application include New York State's High Speed Rail Vision, NYSDOT's ARRA Rail Program Timeline, and list of reference web sites. NYSDOT’s – All About Amtrak in New York State, which contains information about previous NYSDOT studies, Ownership and Maintenance information, and Amtrak performance data has also been uploaded through grantsolutions.gov as a supporting document.

There is significant public support for this project, a recently released High Speed Rail New York

Coalition - Statement of Impact, endorsed by elected officials around the State from Albany to Niagara Falls is included in NYSDOT's grant submission, the Report includes Economic Benefits for High Speed Service west of Albany, “Successful implementation of the New York Rail Plan could ultimately create two new, distinct labor markets: the Buffalo-Niagara Falls/Rochester Metro Area with 955,562 workers and the Rochester/Syracuse Metro Area with 747,292 workers (based on 2005-2007 American Community Survey 3-year Estimates of workers 16 and over who did not work at home), as the central cities of these labor markets would be within one-hour of each other."


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G. Summary of Supporting Materials

Application Form

Req

uire

d

Opt

iona

l

Reference Description Format

This Application Form HSIPR Guidance Section 4.3.3.3

This document to be submitted through GrantSolutions. Form

Supporting Forms

Req

uire

d

Opt

iona

l


General Info. HSIPR Guidance Section 4.3.5


Detailed Capital Cost Budget HSIPR Guidance

Section 4.3.5 This document to be submitted through GrantSolutions. Form

Annual Capital Cost Budget HSIPR Guidance

Section 4.3.5 This document to be submitted through GrantSolutions. Form

Project Schedule HSIPR Guidance Section 4.3.5


Supporting Documents

Req

uire

d

Opt

iona

l


St Map of the Planned Investment Forms

Application Question B.6

Map of the Planned Investment location. Please upload into GrantSolutions. None

Standard Forms

Req

uire

d

Opt

iona

l


SF 424: Application for Federal Assistance

HSIPR Guidance Section 4.3.3.3eference

Please submit through GrantSolutions Form


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SF 424C: Budget Information-Construction

For

HSIPR Guidance Section 4.3.3.3 Please submit through GrantSolutions Form

SF 424D: Assurance

Construction

HSIPR Guidance Section 4.3.3.3 Please submit through GrantSolutions Form

FRA Assurances Document HSIPR Guidance

Section 4.3.3.3

May be obtained from FRA’s website at http://www.fra.dot.gov/downloads/admin/assurancesandcertifications.pdf. The document should be signed by an authorized certifying official for the applicant. Submit through GrantSolutions.

Form

PRA Public Protection Statement: Public reporting burden for this information collection is estimated to average 32 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. According to the Paperwork Reduction Act of 1995, a federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with, a collection of information unless it displays a currently valid OMB control number. The valid OMB control number for this information collection is 2130-0583.

New York State Department of Transportation

ARRA Intercity Passenger Rail Grant Application

Attachment – NYSDOT Internet Content Application Support Material

August 24, 2009

Page 1

The following websites provide additional information regarding New York State DOT’s submission:

New York State Rail Plan

https://www.nysdot.gov/divisions/policy‐and‐strategy/planning‐bureau/state‐rail‐plan

New York State Senate High Speed Rail Task Force ‐ Final Task Force Report December 23, 2005

http://www.cdta.org/hsr/High Speed Rail Task Force Documents and Reports.htm

NYSDOT’s American Recovery and Reinvestment Act Programs – NYSDOT has brought together a extensive information about its implementation of ARRA to ensure accountability and transparency, ARRA funded Rail projects will be integrated into site content.

https://www.nysdot.gov/recovery

ARRA Goals, Accomplishments, and Performance Metrics

o https://www.nysdot.gov/recovery/goals

NYSDOT’s Disadvantaged Business Enterprise Program

o https://www.nysdot.gov/recovery/dbe

Job Reporting

o https://www.nysdot.gov/recovery/jobs

New York State Contracts and Agreements – New York State Rider for Recovery Act Funded Contracts

o https://www.nysdot.gov/portal/pls/portal/mexis_app.pa_ei_eb_admin_app.show_pdf?id=10140

New York State – ARRA Reporting Requirements Procedures

o https://www.nysdot.gov/portal/pls/portal/mexis_app.pa_ei_eb_admin_app.show_pdf?id=6932

Economic Recovery Projects – Interactive Map (ARRA funded rail projects would be added)

o https://www.nysdot.gov/recovery/projects

NYSDOT’s Public Involvement Manual – NYSDOT engages in Public Involvement on all of its projects.

https://www.nysdot.gov/divisions/engineering/design/dqab/dqab‐repository/pdmapp2.pdf

Previous NYSDOT NEPA Record of Decisions – NYSDOT has a history of completing the NEPA process on federally funded projects.

https://www.nysdot.gov/divisions/engineering/design/dqab/pdm/rod

NYSDOT’s GreenLITES Program ‐ NYSDOT is committed to improving the quality of our transportation infrastructure in ways that minimize impacts to the environment, including the depletion of irreplaceable resources. To recognize transportation project designs, operations and maintenance practices that incorporate a high level of environmental sustainability, NYSDOT has implementing “ (Green Leadership In Transportation Environmental Sustainability),” a transportation environmental sustainability rating program similar to LEED certification for building construction.

https://www.nysdot.gov/programs/greenlites

https://www.nysdot.gov/divisions/policy-and-strategy/planning-bureau/state-rail-plan

http://www.cdta.org/hsr/High Speed Rail Task Force Documents and Reports.htm

https://www.nysdot.gov/recovery

https://www.nysdot.gov/recovery/goals

ohttps://www.nysdot.gov/recovery/dbe

https://www.nysdot.gov/recovery/jobs

https://www.nysdot.gov/portal/pls/portal/mexis_app.pa_ei_eb_admin_app.show_pdf?id=10140

https://www.nysdot.gov/portal/pls/portal/mexis_app.pa_ei_eb_admin_app.show_pdf?id=6932

https://www.nysdot.gov/recovery/projects

https://www.nysdot.gov/divisions/engineering/design/dqab/dqab-repository/pdmapp2.pdf

https://www.nysdot.gov/divisions/engineering/design/dqab/pdm/rod

https://www.nysdot.gov/programs/greenlites