2015 AVIATION CAPITAL GRANT PROGRAM

PROGRAM GUIDELINES

September 2015

Applications Are Due by 8 p.m. (Eastern Daylight Time)

on November 3, 2015

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

II. GENERAL EVALUATION APPROACH ........................................................................................................ 2

III. ELIGIBLE AIRPORTS/APPLICANTS............................................................................................................ 2

IV. LOCAL SHARE .......................................................................................................................................... 3

V. ELIGIBLE PROJECTS ................................................................................................................................. 3

VI. LIMITATIONS........................................................................................................................................... 3

VII. MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE (M/WBE) REQUIREMENTS .......................... 4

VIII. MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE (M/WBE) REPORTING ................................. 4

Online Training for EBO .............................................................................................................................. 4

IX. SMART GROWTH ACT REQUIREMENTS .................................................................................................. 5

X. PROJECT EVALUATION CRITERIA ............................................................................................................ 6

XI. SCORING SUMMARY............................................................................................................................... 9

XII. IF YOU NEED ASSISTANCE ....................................................................................................................... 9

APPENDIX A - PROJECT APPLICATION INSTRUCTIONS……………………………………………………………………………..10 APPENDIX B - GUIDANCE ON THE APPLICABILITY OF SMART GROWTH CRITERIA TO AVIATION CAPITAL

GRANT PROGRAM PROJECTS ....................................................................................................................... 12

APPENDIX C - HOW TO IMPROVE YOUR AIRPORT PROJECT APPLICATION .................................................. 16

APPENDIX D - IF YOUR PROJECT IS SELECTED ............................................................................................... 18

Project Selection Notification ................................................................................................................... 18

Resolutions Required ................................................................................................................................ 18

Vendor Responsibility Questionnaire ....................................................................................................... 18

Grant Agreement Execution ..................................................................................................................... 18

Minority and Women Owned Business Enterprise (M/WBE) Goals ........................................................ 18

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I. INTRODUCTION

In an economic climate of many challenges, investing in the building blocks of the economy is

one of the best strategies to ensure success for the citizens of New York. This strategy has

enabled our state to be one of the leaders in attracting new economic activity. In support of this

strategy and as part of the Governor’s Opportunity Agenda, the 2015-16 State Budget includes

funding to support airport capital projects. The goal of this investment program is to help airports

stay competitive and provide safe and efficient air services to the state’s citizens and visitors.

This year, the New York State Department of Transportation (NYSDOT) is pleased to announce

the availability of funding for projects to preserve and improve the airport infrastructure in support

of safety, preservation of assets, and the economic health of the localities and the state. A total

of $7 million in funding for airport capital projects is available for award to be made through a

competitive process. Accordingly, on September 21, 2015, NYSDOT announced the availability

of funding through the State’s Grants Gateway System.

These Program Guidelines (the Guidelines) have been developed to explain program

requirements as well as assist airport sponsors in completing the application process needed to

advance State funded 2015 Aviation Capital Grant Program projects.

The New York State Department of Transportation (NYSDOT) is committed to working with you

to expedite the application and contract processes to ensure that the benefits of this State

investment accrue to the aviation system users and the manufacturers and suppliers who

support the industry as soon as possible.

NOTES:

Completed applications and supporting material must be submitted via email

to Aviation@dot.ny.gov on or before 8 p.m. Eastern Daylight Time on

November 3, 2015.

Copies of the required attachments, program guidelines and other supporting

information are available at https://www.dot.ny.gov/aviationgrants

FOR QUESTIONS ON THE APPLICATION:

Call us at (518) 485-7691 or

Email us at: Aviation@dot.ny.gov

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II. GENERAL EVALUATION APPROACH

Applications received will be scored and ranked according to the merit of the project in accordance with Section X. Project Evaluation Criteria, page 6 of the Guidelines. Awards under this program will be made on a competitive basis. The evaluation process focuses on the quality of the application and the justification provided. Additional materials, which support the rationale for the application, are encouraged. Applications which specifically identify the benefits of the proposed project and provide thorough supporting documentation will be scored more favorably than those that are more general in nature. When scoring the grant applications, specific benefits to the airport and surrounding community will not be inferred by the evaluators. In order to receive the highest possible score, the project application (with appropriate attachments) must provide a thorough analysis of safety, economic and/or operational benefits including supporting documentation to substantiate claimed benefits. For an explanation of the evaluation factors and scoring weights, please see Section X. Project Evaluation Criteria on page 6.

III. ELIGIBLE AIRPORTS/APPLICANTS

To be eligible for funding, airports must meet the following requirements:

The airport must be a public-use airport.

The airport must be listed in the most recent State Airport System Plan (SASP) - the 2008 SASP (published in 2009). A list of SASP airports can be found on Table 1 (page 3-4) of the report available at: https://www.dot.ny.gov/divisions/operating/opdm/aviation/repository/NYSASP%20Summary%20Report.pdf.

The airport must have a current Airport Layout Plan (ALP) approved by the Federal Aviation Administration (FAA) and NYSDOT. A copy of the most recent approved ALP will be required prior to contract execution and is encouraged as part of the application submission.

The airport sponsor must be registered in the in the NYS Grants Gateway Portal. For information on this, visit: https://www.grantsgateway.ny.gov.

Not-for-Profit entities must also complete the pre-qualification process in Grants Gateway.

Eligible applicants are owners/sponsors of public use airports in the state and may be:

A municipal Corporation.

A public authority or public benefit corporation, except a bi-state authority.

Other owners of public use airports.

A county pursuant to a written agreement may act on behalf of one or more cities, towns, or villages.

Any combination of permitted applicants.

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IV. LOCAL SHARE

Provision of the local share is an indication of the commitment of the sponsor to the project. A sponsor may provide the local share using its own funds or in cooperation with other local parties (private operators at the airport, local chambers of commerce, other town/county agencies, etc.) Local share may not be provided using funds provided by another State agency or authority. While there is a minimum share requirement, applicants are encouraged to propose a higher percentage whenever possible. Providing more than the minimum local share is considered to represent an even higher commitment to the project and will be taken into consideration in the scoring of the applications (see Local Share in the Project Evaluation Criteria section). The local share requirements for this program are as follows; enplanement figures are based on the latest FAA-published annual figures for U.S airports:

For general aviation airports, relievers, and commercial service airports with less than 50,000 annual enplanements, the State share can be up to 90% of eligible project costs (applicant provides at least 10%).

For commercial service airports with 50,000 or more enplanements, but less than 700,000 enplanements, the State share can be up to 80% of eligible project costs (applicant provides at least 20%).

For commercial service airports with annual enplanements of 700,000 or more, the State share can be up to 70% of eligible project costs (applicant provides at least 30%).

V. ELIGIBLE PROJECTS

Eligible projects must have a service life of at least 10 years. Types of projects include:

Construction, reconstruction, improvement, reconditioning, and preservation of capital facilities.

Pavement maintenance/management projects.

Purchase of airport equipment. Equipment acquired must be operated and stored on airport property.

Purchase and installation of navigational aids.

Projects must also meet the following requirements:

Project must be consistent with the latest Airport Layout Plan (ALP) for that airport.

Projects must result in a completed, usable product. Applications for partial or phased projects are not eligible unless other phases are being funded by other sources, and the funding is already committed. Proof of funding commitment by other sources will be required in these cases.

Applications for funding to complete projects previously funded by this program are not eligible.

VI. LIMITATIONS

Grants under this program are subject to the limitations specified below:

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The State share for any project awarded as a result of this solicitation shall not exceed $1,000,000.

Applicants may submit up to two project applications per airport. If submitting two project applications, please indicate each application’s priority in the box provided for this selection in the application form.

A maximum of one project will be awarded per airport; consequently, an applicant’s priority ranking may be used to select a project for funding if both applications score high enough to be considered for funding.

VII. MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE (M/WBE) REQUIREMENTS

Appropriate M/WBE participation goals will be required to be assigned to each project prior to advertisement for bids. The State’s M/WBE participation goal is 30 percent. In general, the applicability of MWBE goals for State-funded grants (without federal funding) is as follows:

FOR CONSTRUCTION CONTRACTS: State grants which fund projects that involve the acquisition, construction, demolition, replacement, major repair or improvements of real property and improvements thereon:

o YES. If Contract amount is $100,000 or more and project is for standard construction activities

o NO. If the construction Contract is less than $100,000 or the construction type is non-standard. Construction contracts may not be split with the intent of making the cost less than the stated threshold for M/WBE requirements.

FOR NON-CONSTRUCTION CONTRACTS: State grants which fund contracts primarily for services (including professional services), supplies, equipment, materials or any combination of the foregoing

o NO. As long as the contract is for the benefit of the grant recipient, and involves purchases of vehicles, engineering services, equipment, snow-blowers, vehicles, snow-plows, etc. and there is no direct benefit to the State.

GOOD FAITH EFFORTS. If the Contractor requests a waiver or partial waiver of the M/WBE goal after contract bid document (PS&E) submission due to special circumstances and factors described in Article 15-A, such requested waiver must be reviewed and approved by NYSDOT.

NYSDOT’s guidance for setting M/WBE goals can be found at the webpage below: https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-21/dmwbe-goals Contact the Aviation Bureau if you have any questions on M/WBE requirements.

VIII. MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE (M/WBE) REPORTING

New York State utilizes the Equitable Business Opportunities (EBO) reporting software system in order to report M/WBE participation on state-funded projects. All grantees receiving an award and all contractors working on a state-funded, construction project estimated at $100,000 or more must use EBO to report M/WBE participation.

Online Training for EBO There is free, web based training available for sponsors at: http://www.ebotraining.com/ . This training offers unlimited access and will provide a glimpse of EBO for Sponsors and their staff.

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Sponsors may obtain a LOGIN and PASSWORD for this training by sending an e/mail to: ganguilano@ebopportunities.com. Type the word SPONSOR in the reference box and the name of your county, city, town, airport, etc. in the body to ensure that you are NOT charged the $75 user fee that applies to contractors, consultants and vendors. Once a training LOGIN/PASSWORD is obtained for your office, use the URL listed above to access the training modules. Find and select the “GO TO EBO TRAINING” button – this will bring you to the login screen. Select NYSDOT from the Agency drop down box and then click “LOGIN TO MY ACCOUNT”. You will then be able to access the various training modules. There is an On-Line Training Program for vendors sponsored by the EBO developer that has a one-time $75 fee. The course modules have unlimited access for all EBO users for that vendor. The On-Line Training Program for Vendors is located at http://www.ebotraining.com/. Instructions for obtaining a Login/Password for EBO can be found at https://www.dot.ny.gov/dotapp/ebo/instructions For more information on EBO please visit https://www.dot.ny.gov/dotapp/ebo.

IX. SMART GROWTH ACT REQUIREMENTS

In addition to the project eligibility criteria enumerated in Section V., each grant application submitted for consideration under the Aviation Capital Grant Program must comply with the New York State Smart Growth Public Infrastructure Policy Act. This law stipulates that NYSDOT cannot approve, undertake, support or finance an infrastructure project, including grants, awards, loans or assistance programs, unless, to the extent practicable, it is consistent with the relevant Smart Growth Public Infrastructure Criteria. The Smart Growth Checklist must be filed electronically and submitted when submitting the funding application via e-mail to Aviation@dot.ny.gov. The form is available at https://www.dot.ny.gov/aviationgrants and may be requested via email from Aviation@dot.ny.gov. The Smart Growth requirements (criteria) identified in the legislation are as follows:

A. To advance projects located in municipal centers. B. To advance projects for the use, maintenance or improving of existing

infrastructure. C. To advance projects in developed areas or areas designated for concentrated infill

development in a municipally approved comprehensive land use plan, local waterfront revitalization plan and/or Brownfield opportunity area plan.

D. To protect, preserve and enhance the state’s resources, including agricultural land, forests, surface and groundwater, air quality, recreation and open space, scenic areas, and significant historic and archeological resources.

E. To foster mixed land uses and compact development, downtown revitalization, Brownfield redevelopment, the enhancement of beauty in public spaces, the diversity and affordability of housing in proximity to places of employment, recreation and commercial development and the integration of all income and age groups.

F. To provide mobility through transportation choices including improved public transportation and reduced automobile dependency.

G. To coordinate between state and local government and inter-municipal and regional planning.

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H. To participate in community based planning and collaboration. I. To ensure predictability in building and land use codes. J. To promote sustainability by strengthening existing and creating new communities

which reduce greenhouse gas emissions and do not compromise the needs of future generations, by among other means encouraging broad based public involvement in developing and implementing a community plan and ensuring the governance structure is adequate to sustain its implementation.

The Smart Growth Act is intended to maximize the social, economic and environmental benefits from public infrastructure development through minimizing unnecessary costs of sprawl development including environmental degradation, disinvestment in urban and suburban communities and loss of open space induced by the funding of development of new or expanded transportation, sewer and waste water treatment, water, education, housing and other publically supported infrastructure inconsistent with smart growth infrastructure criteria. Aviation projects are not exempt from these requirements. Some of the questions in the application form address the incorporation of Smart Growth Criteria into proposed Aviation Capital Grant Program projects. The Aviation Bureau has prepared guidance to assist you in properly completing this portion of the application. Each criterion is followed by a definition which in some cases is taken directly from the Act. In other cases, the definitions are based on commonly held interpretations used by the Department, other state agencies and/or industry experts. This guidance is included as Appendix B of the Guidelines.

X. PROJECT EVALUATION CRITERIA

It is important to note that the evaluation and scoring of applications is based on the information provided with the application. It is critical that the application justification and supporting materials strongly support the benefits (economic, operational, safety-related) claimed in the application. More relevant supporting information will aid in evaluating the impacts of the State’s investment. More information on improving your application is found in Appendix C.

A NOTE ON COST ESTIMATES While the application form only requires a basic breakdown of estimated costs, applicants are encouraged to provide a more detailed estimate, when available. Proposed construction projects for which a preliminary engineer’s estimate has been prepared should include this in the supporting documentation. Proposed acquisition of facilities or property should include appraisals in the supporting documentation, if available. Proposals for equipment purchase should include one or more quotes from dealers/suppliers. Specification brochures are also recommended inclusions in the supporting documentation for proposed equipment purchases. The Aviation Bureau may compare proposed costs to published cost indices or historical bid records. Questions concerning acceptable documentation should be sent to the Aviation Bureau (Aviation@dot.ny.gov) prior to submitting an application.

Those grant evaluations which propose projects deemed eligible for the 2015 Aviation Capital Grant Program, as defined by the preceding eligibility requirements and criteria, will be further evaluated and scored based on the following criteria.

Inclusion in the SASP Strategic Business Airport System. The 2008 State Airport System Plan (SASP) defined a system of strategic business airports which meet a set of

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minimum requirements to successfully serve the needs of corporate aircraft and the demands of corporate flight departments. One of the goals of this program is to promote corporate/business aviation activity. Five (5) points are awarded under this category to those airports included in the Strategic Business Airport System, i.e. those airports which can accommodate business aircraft.

Potential for Attracting Aviation Activity. This factor intends to reflect the likelihood that an airport will attract aviation business activity based on the local economy. The factor employs statistical analysis to gauge the airport’s potential benefit to the surrounding community based on proximity and types of local businesses which are more likely to generate demand for aviation services. This category is worth up to ten (10) points.

Economic Benefit of Project. This criterion seeks to evaluate the potential for revenue generating projects to contribute to the long-term economic viability of the airport. Where appropriate, the economic benefits extending beyond the airport boundaries to the surrounding community or regional area may be considered in analyzing the economic benefit of the airport. Grant application evaluators cannot infer potential benefits from project types or vague, unsubstantiated conclusions. Grant applications containing estimates of economic benefits based on detailed analysis with appropriate supporting documentation will score better than those lacking sufficient detail to present a compelling argument. This category is worth up to 30 points. Economic and financial goals outlined in the 2008 SASP include:

o Develop a state aviation system that supports local and state economic goals and plans, while providing flexibility to accommodate new opportunities and shifts in development patterns.

o Encourage economically feasible airport development that maximizes local and regional benefits and provides for an equitable allocation of costs.

o Extend the service life of essential aviation facilities through public investments that promote asset preservation, the attainment of good infrastructure condition, and that ensure necessary security.

Improved Operational Efficiency. This criterion recognizes the benefit to the airport of improving airport accessibility for aircraft either in the air (e.g. landing approaches) or on the ground (e.g. taxiing, parking). Efficiency of landside airport improvements will be measured by how ground transportation vehicles may access airport facilities, the provision of adequate parking, or movement of passengers and airport users in terminal areas or other airport buildings. Acquisition of equipment to maintain airport property and assets, as well as maintaining airport operations during periods of inclement weather may be considered under this criterion. There is often some overlap between criteria 2 and 3 because improved operational efficiency frequently yields an economic benefit as well. Similar to the scoring for criterion 2, detailed analysis with appropriate supporting documentation will score better than benefits presented in vague descriptions with little detail. This category is worth up to 30 points

Local Share Exceeding the Minimum Requirement. The required minimum local share is 10%, 20% or 30% as determined by the annual enplanements. This criterion is intended to recognize those applicants who demonstrate a higher level of commitment to the proposed project by providing a local share greater than the minimum required. Up to five (5) points will be awarded in accordance with the following schedule:

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Percent Above Required Minimum

Local Share

Points

1% - 5% 1 6% - 10% 2 11% - 15% 3 16% - 24% 4 25% or Greater 5

Past Experience Managing Grants. This criterion is intended to recognize those grant recipients that have managed past aviation grants efficiently and adhered to requirements contained in the Program Guidelines. Up to five (5) points are awarded under this category.

Quality of the Grant Application. This criterion provides an opportunity for the reviewer to score the overall quality of the application. When awarding a score for this criterion, the reviewer will consider the following:

o Detailed cost estimates provided o Clarity and thoroughness of the project description and justification o Economic and operational benefits are based on valid analysis and supporting

documentation provides a compelling conclusion

This category is worth up to five (5) points.

Project Purpose. Up to ten (10) points are awarded under the Project Purpose category. In this category, the purpose of the project is evaluated based on the needs identified in the 2008 SASP. That document identified key system issues affecting the State system of airports as follows:

o Funding Gaps o Ability of Non-Hub Airports to Generate Revenues o Impacts of Declining General Aviation Activity o Incompatible Land Uses o Lack of Local Recognition of Airport Value o Potential Loss of Airline Service o Insufficient Navigational Aid (NAVAID) System o Funding for Upgrades to meet FAA Design Standards o Adequate Ground Access o Fuel Prices

While the Aviation Capital Grant Program aims to address these issues, the preeminent consideration in addressing the above needs will focus on the safety of airport operations; accordingly, projects which improve aviation safety will receive the highest score of 10 out of the 10 points available for this criterion. Projects which improve aircraft access to the airport during periods of adverse weather or darkness will receive 9 points out the 10 points available (90%). Projects which maintain acceptable pavement serviceability and/or reduce the life cycle costs preserving airport pavement by extending intervals between reconstruction and major rehabilitation will receive 8 points out of the 10 points available (80%).

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Projects which improve the economic viability of the airport including providing basic facilities necessary to accommodate and attract activity will receive 7 points out of the 10 points available (70%). Projects which propose the acquisition of equipment to adequately and reliably perform needed airport functions will receive 5 points out of the 10 points available (50%). Projects which propose to retain or improve air carrier service and fares will receive 5 points out of the 10 points available (50%). Note that this criterion applies to facilities which enhance air service (e.g. terminals) and does not apply to subsidies of individual specific flights or routes. Summary:

CATEGORY % OF TOTAL PURPOSE POINTS

POINTS

Safety 100% 10 Adverse Weather/Night Use 90% 9 Pavement 80% 8 Economic Viability 70% 7 Equipment 50% 5 Air Service 50% 5

XI. SCORING SUMMARY

The preceding factors will be evaluated by the scoring teams according to the following factor weights:

FACTOR MAXIMUM POINTS

Inclusion in the Strategic Business Airport System Potential for Attracting Aviation Activity

5 10

Economic Benefit 30 Improved Operational Efficiency 30 Local Share 5 Grant Management Experience 5 Quality of Grant Application 5 Project Purpose 10 Total 100

XII. IF YOU NEED ASSISTANCE Questions on the process and application can be sent to us by regular mail, email or by phone. Please use the contact information below:

Aviation Bureau 50 Wolf Road, POD 5-4

Albany, NY 12232

Phone: (518) 485-7691 Email: Aviation@dot.ny.gov

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APPENDIX A - PROJECT APPLICATION INSTRUCTIONS

These instructions refer to the PDF file that was sent to eligible airports. For best results, the original emailed form should be used (though the form is also available from our website). All fields in the Application must be filled out as follows:

Airport: Enter the airport name.

Airport Owner: Enter the name of the legal owner of the airport. This may be a municipality, a not-for-profit, or a private entity.

Contact Person, Phone, Email: Enter the name, phone number, and email of a person at the airport who can be contacted in case there are questions about the project. The email address must follow the convention for email addresses, e.g. username@somewhere.com.

Vendor ID: Enter the ID number of the airport sponsor (also known as SFS ID). If in doubt, contact the Aviation Bureau.

Project Title: Enter a short name for this project application. The name should be short and concise, but detailed enough to provide basic information about the nature of the project. For example, instead of “terminal improvements” use “construction of addition to terminal building to provide customs facilities.”

Project Description: Enter a narrative description of the project. Description should be sufficient in detail to accurately and quantifiably define the project and scope (e.g., use numbers, dimensions, quantities, etc. as appropriate). The size of the entry is not limited to the size of the box. Project descriptions may be cut and pasted from other software programs (e.g. MS Word, Excel).

Project Justification: Enter a narrative description of the project. Justification should be thorough and must describe the need, objectives, method of accomplishment, proposed project schedule and benefits of the proposed project in sufficient detail to enable a complete project evaluation to be made. The justification, along with supporting information, provides the critical information to evaluate the benefits of the project. Any expected improvements in safety, economic viability, operational efficiency, etc. should be well explained here and supported with backup documentation. See below for examples of relevant information:

o For pavement maintenance/rehabilitation projects: indicate age of pavement and type of last treatment, if work is not included in the recent Statewide Pavement Management report. If past and proposed work was identified in a pavement maintenance report, state that fact.

o For Projects to replace existing equipment or facilities: indicate age and describe existing equipment or facilities as well as proposed replacements.

Though the size of the justification is not limited to the size of the box shown, if additional attachments are required to delineate the expected benefits of the project, they may be included in the email submitting the application. Contents for this box may be cut and pasted from other sources (text files).

The application must be filled electronically and submitted via email, along with required and optional attachments, by the deadline. Some versions of Adobe Reader are known to produce error messages. These messages should not prevent the user from submitting the application. If you have any problems submitting an application please contact the Aviation Bureau prior to the deadline.

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Project Priority: Enter the priority (1 or 2) for this project if submitting multiple applications. Applicants may submit up to two applications per airport, but may only receive one grant from this round. In the case that two applications for the same airport score well enough to be funded, the applicant’s priority will be used to determine which project gets funded.

Project Service Life: In order to comply with bonding requirements, projects funded under this program must meet a minimum service life of 10 years. Projects must also result in a completed, usable product. Enter the expected service life of the improvement to be financed through this grant.

Date of Approved ALP: Enter the date of approval of the latest Airport Layout Plan (ALP).

Attachments: Click the appropriate boxes to indicate whether photos, a map or sketch, or other supporting information is attached to the application. The Smart Growth Form is required and must accompany the application. This checkbox is provided as a reminder to the applicant.

Project Costs Table: Provide a categorical breakdown of anticipated costs as indicated by the rows and columns. Cost estimates should be as accurate as possible since they will determine the amount of the financial commitment. The table will calculate totals as amounts are entered. Enter whole numbers only rounded to the nearest thousand – no dollar signs, commas, or periods. Since financial resources are limited, supplemental State funds to cover any short fall cannot be assumed. Please indicate proposed participation rate in State share column within eligible limits. Privately owned airports will be responsible for applicable sales tax on materials and supplies, and these should be considered during the preparation of cost estimates. Remember that more detailed cost estimation is being requested with the application (see Note on page 6).

Assurances: By submitting an application, the applicant certifies compliance with the assurances listed in this section. The first two choices must be checked. For FAA notification and environmental review status, select the appropriate choice. If the name of the environmental review lead agency is known, enter it in the box.

Attestation: Please read the attestation text carefully before signing and submitting the application. By agreeing to the attestation you are certifying that you are authorized on behalf of the applicant to commit the applicant to comply with the requirements of Article 15-A of the New York State Executive Law.

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APPENDIX B - GUIDANCE ON THE APPLICABILITY OF SMART GROWTH CRITERIA TO AVIATION CAPITAL GRANT PROGRAM PROJECTS

The following guidance has been prepared to help you complete the portion of the New York State Aviation Capital Grant Program Application pertaining to Smart Growth. The form is being sent to all eligible airports along with the application form. The Smart Growth form is also available for download at https://www.dot.ny.gov/aviationgrants. Each Smart Growth question corresponds to one of the requirements identified in the Smart Growth Act and should be answered as Yes, No or N/A. Answers of No or N/A shall require further explanation be provided in the space provided to answer each question (you may attach additional sheets, if necessary). What follows is a statement of the individual Smart Growth criterion followed by a brief analysis of that criterion’s applicability to airport projects, and recommended guidance. The analysis and guidance contained here is presented as the Aviation Bureau’s best interpretation of the requirements - as they apply to aviation projects - and does not constitute legal opinion. If you disagree with the guidance, please answer each requirement as necessary and provide reasons and documentation as needed.

A. To advance projects for the use, maintenance or improvement of existing infrastructure This criterion will apply to many aviation grant projects aimed at maintaining existing infrastructure such as pavement maintenance on runways and taxiways, new pavement markings, replacement of existing hangars, etc. In its broadest sense, all airport projects subject to Smart Growth analysis could fall under this category since the construction of new airports with State aviation grant money is not likely in the foreseeable future. In general, aviation capital projects will comply with this criterion. GUIDANCE: Answer “YES” unless the application is for completely new infrastructure. If you are building new infrastructure, answer “NO” and provide justification that explains the need to build new infrastructure instead of using or improving existing infrastructure.

B. To advance projects located in municipal centers A Municipal Center is an area of concentrated and mixed land use that serves as a center for various activities, including but not limited to, central business districts, main streets, downtowns, Brownfield Opportunity Areas, downtown areas within Local Waterfront Revitalization Program Areas, transit oriented developments, Environmental Justice Areas and Hardship Areas. By their very nature and perceived negative attributes (noise, perception of possibility of accidents, etc.), airports are generally not located in municipal centers. This criterion would not be generally applicable to aviation grant projects. GUIDANCE: Unless your airport is located within a municipal center, answer “N/A” and explain the location of your airport relative to the nearest municipal center (downtown).

C. To advance projects in developed areas or areas designated for concentrated infill development in a municipally approved comprehensive land use plan, local waterfront revitalization plan and/or Brownfield opportunity area plan The definition for “developed area” is the same as municipal center. Areas designated for concentrated “infill development” would include new development on vacant, bypassed, and underutilized land within built up areas of existing communities, where infrastructure is already in place.

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Regarding airport projects, some of the points made in B apply here as well. This criterion has little or no application to aviation grant projects. GUIDANCE: Answer “N/A” and explain the location of your airport and the reasons it cannot be located as described in this criterion.

D. To protect, preserve and enhance the State’s resources, including agricultural land, forests, surface and groundwater, air quality, recreation and open space, scenic areas, and significant historic and archeological resources This criterion closely parallels the requirements of SEQR. In most cases, stating that the proposed project is subject to the provisions of SEQR and will receive the appropriate environmental scrutiny should be sufficient. GUIDANCE: Answer as appropriate and provide any additional relevant information.

E. To foster mixed land uses and compact development, downtown revitalization, Brownfield redevelopment, the enhancement of beauty in public spaces, the diversity and affordability of housing in proximity to places of employment, recreation and commercial development and the integration of all income and age groups In order for projects to qualify for aviation grants, airports must have an approved Airport Layout Plan (ALP). The ALP serves as the primary planning tool to document the ultimate build out of the airport. It is necessary to ensure that any projects undertaken with grant money are consistent with the ALP. Airports owned by municipalities may have more involved planning processes which include public participation, such as periodically updated master plans. Individual ALPs seldom offer comprehensive land uses in the surrounding community, and that level of planning is not generally appropriate for privately owned public use airports. GUIDANCE: Answer “N/A” and explain how the scope of the proposed project is limited and does not have the potential to impact land uses of the surrounding communities, nor affect the socio-economic parameters specifically identified in this criterion. EXCEPTION: for any projects that involve construction or reconstruction of airport facilities (e.g. airport parking lots, airport boundary fences) that are visible from or adjoin public spaces, and with regard to the part of the criterion that focuses on enhancement of beauty in public spaces, factors to consider include:

Is the project design sensitive to or compatible with surrounding land uses and/or the airport environment’s unique character?

Does the project minimize the public’s view of parking by using natural barriers (trees, plantings) or locating parking spaces behind buildings?

F. To provide mobility through transportation choices including improved public

transportation and reduced automobile dependency Aviation provides an alternate mode of transportation to the automobile, especially commercial aviation. Business aviation is often justified in terms of flexibility and speed of travel, enhancing a business’s competitive edge. By their nature, any airport project that enhances the traveler’s ability to use aviation as a means of transportation is assumed to provide the public with an additional choice which reduces automobile dependency. A parallel argument could be constructed to offer another choice regarding shipment of cargo, and reduced dependency on trucking.

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GUIDANCE: Answer “YES” unless you deem your project as not providing mobility through transportation choices and/or not reducing automobile dependency.

G. To coordinate between state and local government and inter-municipal and regional planning The Smart Growth legislation requires the Department, as a state infrastructure agency, to “solicit input from and consult with various representatives of affected communities and organizations within those communities…” and “...give consideration to the local and environmental interests affected by the activities of the agency or projects planned, approved or financed through such agency” (Section 6-0109). To comply with this requirement, the Department intends to solicit input from potential affected parties (local representatives) based on information provided by the applicant. Applicants may assist the Department in the outreach effort by providing evidence of coordination and outreach with local government bodies which participate in inter-municipal and regional planning. Evidence of outreach may include:

- A resolution from the county or municipality supporting the application (as long as the resolution is discussed in a public forum).

- A recent airport master plan which discusses the project being applied for and which has been discussed publicly.

- An approved Airport Layout Plan (ALP) which includes the project being applied for. - Letters of support for the project from the communities with an interest in the project. - Evidence of publication of the project application in a local newspaper with wide

circulation. While this evidence of outreach is not a requirement for applying, the applicant is encouraged to implement outreach efforts. If outreach efforts are conducted, applicant should also submit, at the time of application, copies of any responses received from the local government bodies. To facilitate outreach efforts by the Department, however, the applicant must provide the Department with a list that includes the names and contact information of local representatives (local government), so the Department can solicit input from them and comply with this requirement. GUIDANCE: If you have conducted outreach efforts, answer “YES” and provide evidence of the outreach and any responses received. If no outreach efforts were conducted, answer “NO” and explain that you are providing a list of local contacts for the Department to implement the coordination required by this section of the law. In either case your application must include the required list of local contacts with their contact information (name, mailing address, e-mail address, phone number).

H. To participate in community based planning and collaboration Section 6-0109, as detailed in the previous section, applies to outreach to local organizations as well. As with the previous criterion, applicants may assist the Department in the outreach effort by providing evidence of coordination and outreach with local organizations with an interest in the project. This outreach can be considered part of community-based planning and collaboration. Evidence of outreach may include:

- Letters sent by the applicant to local organizations asking for project review and input - Letters or other evidence of support for the project from the local organizations with an

interest in the project - Minutes of meetings held by local organizations where the project is discussed

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While this evidence of outreach is not a requirement for applying, the applicant is encouraged to implement outreach efforts. If outreach efforts are conducted, applicant should also submit copies of any responses received from the community groups and organizations - at the time of application. To facilitate outreach efforts by the Department, however, the applicant must provide the Department with a list that includes the names and contact information of local organizations, so the Department can solicit input from them and comply with this requirement. GUIDANCE: If you have conducted outreach efforts, answer “YES” and provide evidence of the outreach and any responses received. If no outreach efforts were conducted, answer “NO” and explain that you are providing a list of local contacts for the Department to implement the coordination required by this section of the law. In either case your application must include the required list of local contacts with their contact information (name, mailing address, e-mail address, phone number).

I. To ensure predictability in building and land use codes Building and land use codes are usually regulated by local government. State aviation grants are not likely to have any impact on these codes; the sponsor’s only responsibility will be to ensure that building codes are observed. It is unlikely that an aviation grant project will be of the magnitude to effect changes in the local ordinances. Also, because State Aviation Capital Grant Program funds are for projects on airport property, local land use codes would not be affected. GUIDANCE: Answer “N/A” and explain why this criterion does not apply to the proposed grant project.

J. To promote sustainability by strengthening existing and creating new communities which reduce greenhouse gas emissions and do not compromise the needs of future generations, by among other means encouraging broad based public involvement in developing and implementing a community plan and ensuring the governance structure is adequate to sustain its implementation This criterion relates to the need for community level planning to incorporate “green” projects to promote sustainability. As previously stated, only airports with commercial service and perhaps some municipally owned (county) airports would appropriately employ this level of planning. Even then, airport projects would be peripheral to planning efforts related to creating new communities which reduce greenhouse gas emissions, etc. Limited application for airport projects may include “green” projects at commercial service airports. Even with these caveats, airport sponsors can still evaluate projects against sustainability, public involvement, and reduction of greenhouse gas goals for the community. GUIDANCE: Answer “YES”, “NO”, or “N/A” as appropriate depending on whether your project promotes sustainability, encourages broad based public involvement, and/or reduces greenhouse gases.

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APPENDIX C - HOW TO IMPROVE YOUR AIRPORT PROJECT APPLICATION

Grant applications are rated on benefits to the community, viability, purpose, and cost-benefit of the project. 1. CLEARLY ANSWERING QUESTIONS LIKE THESE WILL IMPROVE YOUR APPLICATION.

QUANTIFIED BENEFITS WILL BE GIVEN MORE WEIGHT.

What are the safety benefits of the project?

What economic benefits will the project provide to the airport and community?

How many jobs will be newly created for the community by the project?

What are the benefits of the project to those using the airport?

What are the benefits of the project to the community?

Will the project be useful and provide benefits for long enough to justify the cost of the project?

What would be the consequences of not going forward with the project?

What would be the consequences of deferring the project for several years? An example may be deferred maintenance causing elevating costs, or diminishing safety.

2. USE ATTACHMENTS TO SUPPORT YOUR CASE Supportive documentation is highly recommended. Attachments that provide support for project selection may include, but are not be limited to the following:

Photographs that are detailed enough to clearly identify facilities to be improved.

Letters of intent from prospective users of facilities (for example, dated, signed letters or lists of those requesting new hangars). Also, lists of current hangar users demonstrating that current capacity has been filled already.

Dollar estimates of expected economic benefits including additional revenue or avoided revenue loss from government entities or professional sources.

Dollar estimates of realized increased revenues as a result of airport development (describe the development) in the last 5 years and the number of new jobs created, if any, by that development.

Photographs or drawings of the proposed project clearly identifying the location on the airport.

Engineering or Sponsor’s drawings of the project.

Engineer, supplier, or sponsor cost estimates and basis for proposed projects, on letterhead stationery.

Any attached reports or studies (business plans, pavement management reports, etc.) beyond the information listed above should include a one page summary attached to its front cover describing the specific relevance of the report to the project.

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HOW TO IMPROVE YOUR AIRPORT PROJECT APPLICATION (continued) 3. SPECIFIC PROJECT JUSTIFICATION SUGGESTIONS

“Project Justification” should include items such as these:

The primary reason or need for the proposed project.

Description of costs, or State shares, that vary from typical project costs. These may include reasons for above average, or below average, project costs. Saving on costs may be for reasons such as non-typical project characteristics, sponsor’s provision of “force account” work, or sponsor’s larger funding share contribution. Additional costs may be due to items such as site preparation, demolition of existing structures, etc.

Identification of revenues and expected annual revenues from proposed projects such as project hangar rents or additional fuel flowage fees.

What will the effect of such revenues be on the airport deficit?

Identification of how the project may positively affect airport operations and/or safety.

Identification and brief description of project alternatives considered and reasons the proposed project represents the best alternative.

Submitting a thorough application will go far in improving your chances of getting a grant

for your project!

Questions?

Contact the NYSDOT Aviation Bureau by telephone at 518-485-7691 or by email at Aviation@dot.ny.gov

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APPENDIX D - IF YOUR PROJECT IS SELECTED

Project Selection Notification When project selections are made, applicants will be notified that their project(s) was (were) either accepted as submitted, ineligible, or not selected. Sponsors are reminded that they must also meet all FAA requirements related to the airport work to be funded. Grant agreements for the selected projects will be forwarded to the sponsor to execute and return.

Resolutions Required Publically and privately owned airports must submit a resolution approved by the county legislature in support of the project, and an airport financial commitment for the local match prior to executing a contract for the project.

Vendor Responsibility Questionnaire Privately-owned public use airport owners will be required to complete a Vendor Responsibility Questionnaire prior to grant agreement execution.

Grant Agreement Execution Upon notification of project selection, a grant award will be made by mailing copies of the Grant agreement form to be executed and returned. Three copies are sent and two should be signed, notarized (notary statement, bottom of page 5 of the grant) and returned. Copies to be returned will be accompanied by an authorizing resolution, board minutes or other document authorizing the sponsor’s representative to enter into the grant agreement and a commitment on behalf of the sponsor to fund the local share of project costs. In most instances, a SEQRA Agency Compliance Statement signed by a representative of the permitting municipality is also required. Once State approvals have been obtained, a fully executed and approved copy of the grant will be forwarded to the sponsor.

Minority and Women Owned Business Enterprise (M/WBE) Goals M/WBE goals must be developed at the time of Plans, Specifications and Estimates. Projects must be advertised with M/WBE goals. Bidders must submit M/WBE utilization plans with their bids. If the apparent low bidder did not meet one or both of the goals, he/she must submit evidence of good faith efforts to obtain the goal(s). Submitting a complete and accurate utilization plan with bid documents is a condition of award, as well as meeting the goals or demonstrating good faith efforts to do so. Additionally, contractors and sponsors must report MWBE utilization throughout the project using the State’s EBO system (see Section VIII. starting on page 4).