§ 1269-B — Capital program plans; approvals; effect of disapproval

§ 1269-b. Capital program plans; approvals; effect of disapproval. 1.\n(a) On or before October first, nineteen hundred eighty-one, and on or\nbefore October first of every fifth year thereafter, through and\nincluding October first, nineteen hundred ninety-one, the authority\nshall submit to the metropolitan transportation authority capital\nprogram review board two capital program plans for the five year period\ncommencing January first of the following year;\n (b) not later than ten days after the effective date of this paragraph\nthe authority shall submit to the metropolitan transportation authority\ncapital program review board two capital program plans for the five-year\nperiod commencing January first, nineteen hundred ninety-five; and\n (c) on or before October first, nineteen hundred ninety-nine and every\nfifth year thereafter, the authority shall submit to the metropolitan\ntransportation authority capital program review board two capital\nprogram plans for the five-year period commencing January first of the\nfollowing year.\n For each of the periods described above, one such plan shall contain\nthe capital program for the transit facilities operated by the New York\ncity transit authority and its subsidiaries and for the Staten Island\nrapid transit operating authority; the other such plan shall contain the\ncapital program for the railroad facilities, not including the Staten\nIsland rapid transit operating authority, under the jurisdiction of the\nauthority.\n Each plan shall set system-wide goals and objectives for capital\nspending, establish standards for service and operations, and describe\neach capital element proposed to be initiated in each of the years\ncovered by the plan and explain how each proposed element supports the\nachievement of the service and operational standards established in the\nplan. Each plan shall also set forth an estimate of the amount of\ncapital funding required each year and the expected sources of such\nfunding. Each plan subsequent to the first such plan and each proposed\namendment or modification thereof shall also describe the current status\nof each capital element included in the previously approved plan, if\nany. Each plan shall be accompanied or supplemented by such supporting\nmaterials as the metropolitan transportation authority capital program\nreview board shall require.\n A capital element shall mean either a category of expenditure itemized\nin a plan, as hereinafter provided, for which a specified maximum dollar\namount is proposed to be expended, or a particularly described capital\nproject within one or more categories for which no maximum expenditure\nis proposed, but for which an estimate of expected cost is provided. A\ncapital element shall be deemed to have been initiated for purposes of\nthis section if in connection with such element the authority shall\ncertify that (i) purchase or construction contracts have been entered\ninto, obligating in the aggregate an amount exceeding ten percent of the\nmaximum or estimated cost of the element as set forth in a plan, (ii)\nfinancing specific to the project has been undertaken, or (iii) in a\ncase where such element is limited to design or engineering, a contract\ntherefor has been entered into.\n 2. Each plan shall itemize the capital elements included in each\nsection of the plan under the following categories of expenditure: (a)\nrolling stock and buses; (b) passenger stations; (c) track; (d) line\nequipment; (e) line structures; (f) signals and communications; (g)\npower equipment, emergency power equipment and substations; (h) shops,\nyards, maintenance facilities, depots and terminals; (i) service\nvehicles; (j) security systems; (k) electrification extensions; and (l)\nunspecified, miscellaneous and emergency.\n 2-a. (a) A copy of any proposed capital program plan that has been\ndistributed to one or more committees of the authority shall be\nsimultaneously provided, for informational purposes, to the members of\nthe metropolitan transportation authority capital program review board.\nProvision of such a proposed capital program plan to the capital program\nreview board pursuant to this provision for informational purposes shall\nnot constitute the submission of a capital program plan for capital\nprogram review board approval.\n (b) A copy of any proposed capital program plan that has been\ndistributed to one or more committees of the authority shall be\nsimultaneously provided to the public by the metropolitan transportation\nauthority, via its official or shared internet website.\n (c) The authority shall publish data pertaining to capital programs of\nthe authority and any amendments to such programs as required by this\nsection on the authority's website in a common, machine readable format,\nas defined by executive order number ninety-five of two thousand\nthirteen, "Using Technology to Promote Transparency, Improve Government\nPerformance and Enhance Citizen Engagement" or any successor order. Such\ndata shall include, but not be limited to:\n (i) all data required by paragraph (c) of subdivision one of this\nsection, including estimates of capital budget required by element for\nan approved capital program and expected sources of such funding for the\nentire capital program; and\n (ii) all data required by subdivision two of this section, including\nproposed annual commitments for individual capital elements required.\n (d) At a minimum, individual capital project data for projects that\nare committed for construction shall be included in a capital program\ndashboard maintained by the authority on its website. Any summary views\nprovided on the website shall include the original budgets at the time\nof project commitment when scope and budget are defined, project scopes,\nand schedules, in addition to current or amended budgets, project\nscopes, and schedules. Data pertaining to individual projects shall\ninclude, but not be limited to:\n (i) the capital project identification number delineated by agency,\ncategory, element and project as used in the capital program;\n (ii) the capital plan years;\n (iii) the agency or authority undertaking the project;\n (iv) a project description;\n (v) the project location where appropriate;\n (vi) the capital needs code of the project, such as state of good\nrepair, normal replacement, system improvement, system expansion or\nother category;\n (vii) budget information including the original budget at the time of\nproject commitment when scope and budget are defined, all amendments,\nthe current budget and planned annual allocations; and\n (viii) a schedule for project delivery including original, amended and\ncurrent start and completion dates as projects develop at each phase.\n The status of projects shall be provided and state the current phase\nof the project, such as planning, design, construction or completion,\nand shall state how far the project has progressed as measured in\npercentage by expenditure. The dashboard shall measure progress based on\noriginal budgets at the time of project commitment when scope and budget\nare defined. At a minimum, all changes to planned budgets of greater\nthan ten percent, significant project scope or a three month or more\nchange in schedule shall be provided in narrative form and describe the\nreason for each change or amendment. The dashboard shall include a\nglossary or data dictionary which contains plain language descriptions\nof the data, including individual project data, and any other\ninformation provided on the dashboard. The authority shall provide a\ndefinition of resiliency in the glossary or data dictionary. The\ndashboard shall be updated, at a minimum, on a quarterly basis, and all\ndata fields available on the dashboard shall be made available for\ndownload on the authority's website in a single tabular data file in a\ncommon, machine readable format. Capital dashboard data shall also be\nmade available on the data.ny.gov website or such other successor\nwebsite maintained by, or on behalf of, the state, as deemed appropriate\nby the New York state office of information technology services under\nexecutive order number ninety-five of two thousand thirteen, or any\nsuccessor agency or order.\n (e) The data required to be published pursuant to this subdivision\nshall be made in a single tabular data file in a common, machine\nreadable format and shall be accessible on the authority's website and\nthe website data.ny.gov or such other successor website maintained by,\nor on behalf of, the state, as deemed appropriate by the New York state\noffice of information technology services under executive order number\nninety-five of two thousand thirteen, or any successor agency or order.\n (f) The authority shall create and maintain a separate section on its\ncapital program dashboard website for projects related to accessibility\nor resiliency. Information on this website shall be updated quarterly.\nFor the purposes of this subdivision, "accessibility" shall mean\nprojects regarding elevators, escalators, or other projects related to\ncompliance with the federal Americans with Disabilities Act of 1990, as\namended, and corresponding guidelines, and "resiliency" shall have the\nsame meaning as defined by the authority in its twenty-year needs\nassessment as required by subdivision c of section twelve hundred\nsixty-nine-c of this title.\n 3. A plan may only be approved in two ways: (i) a plan shall only be\napproved by the board by a unanimous vote of the members entitled to\nvote thereon and within ninety days or by September fifteenth, nineteen\nhundred ninety-six in the case of a plan submitted during the period\ndescribed in paragraph (b) of subdivision one of this section, of the\nsubmission of a plan the metropolitan transportation authority capital\nprogram review board may notify the authority of its approval of the\nsame; or (ii) if the plan is not approved by the board within such\nninety day period or by September fifteenth, nineteen hundred\nninety-six, as the case may be, and no individual member of the board\nwho is entitled to vote thereon has notified the authority in writing of\nhis or her disapproval with a written explanation of such disapproval\nincluding specific aspects of the plan that are of concern and what\nsteps could be taken to address such concerns within such period, the\nplan shall be deemed to have been approved. Upon the receipt of a\nwritten disapproval, the authority shall be provided an opportunity to\nrespond in writing within ten days of the receipt of such disapproval.\nUpon the receipt of such response, the disapproving member shall have\nten days to reconsider and withdraw such written disapproval.\n If the plan is not approved, the authority may thereafter reformulate\nand resubmit such plan at any time. Within thirty days of the submission\nof such reformulated plan the board may notify the authority of its\napproval of the same by the unanimous vote of the members entitled to\nvote thereon, or, if the reformulated plan is not approved and no\nindividual member of the board who is entitled to vote on such\nreformulated plan has notified the authority in writing of his or her\ndisapproval within such period, the reformulated plan shall be deemed to\nhave been approved.\n 4. No general obligation bonds or notes of the authority, no special\nobligation bonds or notes of the authority to finance a transit project,\nas such term is defined in section twelve hundred sixty-six-c of this\ntitle, and no bonds or notes of the Triborough bridge and tunnel\nauthority to finance a project pursuant to the authorization contained\nin paragraph (r) of subdivision nine of section five hundred fifty-three\nof this chapter shall be issued to finance the costs of a capital\nelement unless such capital element and such source of funding was set\nforth in a plan submitted to and approved by the metropolitan\ntransportation authority capital program review board.\n 5. The disapproval of a plan by the metropolitan transportation\nauthority capital program review board shall not affect: (a) the right\nof the authority, of the Triborough bridge and tunnel authority, or of\nthe New York city transit authority, or of the subsidiaries of any of\nthem to initiate and complete any capital element which will be financed\notherwise than through the issuance of the bonds or notes the issuance\nof which is prohibited under subdivision four of this section; (b) the\nright of the authority or the Triborough bridge and tunnel authority to\nissue bonds or notes to finance a capital element which was initiated\nprior to such disapproval in conformity with a previously approved plan;\n(c) the right of the New York city transit authority to issue its bonds,\nnotes, lease, sublease or other contractual obligations in payment for a\ntransit project initiated prior to such disapproval in conformity with a\npreviously approved plan; (d) the right of the authority or of the\nTriborough bridge and tunnel authority to issue bonds or notes to refund\nor otherwise repay any of its outstanding bonds or notes or to fulfill\nany of their obligations to the holders of any of their outstanding\nbonds or notes; or (e) the right of the New York city transit authority\nto issue its bonds, notes, lease, sublease or other contractual\nobligations to refund or otherwise repay any of its outstanding bonds or\nnotes or to fulfill any of its obligations to the holders of any of its\noutstanding bonds or notes.\n 6. Notwithstanding the provisions of subdivision four of this section,\nif a source of funding described in an approved plan shall be\nunavailable or be available in a lesser amount than that set forth in\nsuch plan, the authority and the Triborough bridge and tunnel authority\nmay issue bonds or notes as necessary to provide the requisite funding\nfor the capital elements included in the plan to the extent that the\naggregate amount of such bonds or notes to be issued in substitution for\nsuch unavailable amounts shall not exceed the greater of fifty million\ndollars or twenty percent of the total amount described in such plan for\neither the substitute funding source or the funding source being\nsubstituted for, subject to the limitations set forth in subdivision\neleven of section five hundred fifty-three-e of this chapter and\nparagraph (a) of subdivision four of section twelve hundred seven-m of\nthis article.\n 7. (a) The authority may from time to time submit to the metropolitan\ntransportation authority capital program review board amendments or\nmodifications to any five-year plan theretofore submitted, and shall\nsubmit such an amendment or modification (i) if the estimated cost of\nany capital element for which a specified dollar amount was proposed to\nbe expended exceeds the amount set forth in the approved plan for such\nelement by more than ten percent, (ii) if with respect to a particularly\ndescribed capital element for which only an estimate of projected cost\nhas been provided in the plan there is a material change in the\ndescription of such element from that contained in the approved plan,\n(iii) if a capital element not previously included in the approved plan\nis proposed to be undertaken and its cost, together with the cost of\nother elements included in category (l) of the plan, exceeds by ten\npercent the amount provided for such category (l) elements, (iv) if the\nauthority shall propose to change by more than one year the time when\nany capital element is proposed to be initiated or the effect of such\nchange will be to increase the estimated amount of capital funding\nrequired in any year covered by the plan by more than twenty percent, or\n(v) if the availability of funding sources changes to the degree to\nwhich the authority or the Triborough bridge and tunnel authority are\nprecluded from exercising the authorization provided in subdivision six\nof this section and the authority wishes to do so.\n (b) An amendment or modification may only be approved in two ways: (i)\nan amendment or modification shall only be approved by the board by a\nunanimous vote of the members entitled to vote thereon and within thirty\ndays of the submission of an amendment or modification the metropolitan\ntransportation authority capital program review board may notify the\nauthority of its approval of the same; or (ii) if the amendment or\nmodification is not approved by the board within such thirty day period\nand no individual member of the board who is entitled to vote thereon,\nhas notified the authority in writing of his disapproval within such\nperiod, the amendment or modification shall be deemed to have been\napproved.\n 8. In formulating its capital program plans, the authority shall give\nconsideration to the physical condition and urgency of need of each of\nthe several transportation and transit systems involved, to the needs of\nall of the communities and areas serviced by these systems, to the\nextent to which other capital aid or assistance may be available to each\nof these systems, and to the safety, comfort and convenience of its\npassengers. In determining the source or method of funding which the\nauthority is to use to finance the cost of the capital elements included\nin its capital program plans, the authority shall, insofar as\npracticable, give consideration, among other things, to (i) the\npotential impact of each such source or method upon the level of\npassenger fares, (ii) the relative cost of the several funding\nalternatives, and (iii) the relative ability of each source or method to\nprovide funding at times and in amounts estimated to be required by the\ncapital program plan. To the extent funding is proposed to be obtained\nthrough the issuance and sale of bonds or notes, the authority shall,\ninsofar as practicable and consistent with the matters set forth in (i),\n(ii) and (iii) above, give preference to the use of funds appropriated\nor to be appropriated to the authority by virtue of service contracts\nwith the director of the budget entered into pursuant to the provisions\nof the transportation systems assistance and financing act of 1981 for\npurposes of paying the annual cost of debt service for such bonds or\nnotes.\n 9. Prior to the adoption by the authority or the New York city transit\nauthority of its general resolution pursuant to which it is to issue any\ngeneral or special obligation bonds or notes, not including any series\nresolution or resolutions, the authority shall submit a copy of such\nresolution to the metropolitan transportation authority capital program\nreview board. Within fifteen days of such submission, the board may\nnotify the authority of its unanimous approval of the same by the\nmembers entitled to vote thereon, or if the resolution is not approved\nand no individual member of the board who is entitled to vote on such\nresolution has notified the authority in writing of his disapproval, the\nresolution shall be deemed to have been approved. Neither the board nor\nany member thereof shall disapprove a proposed resolution by reason of\nany covenant requiring the authority, the New York city transit\nauthority or their subsidiaries to charge and fix fares, fees and\nrentals sufficient to pay its operating expenses and the debt service,\nincluding the funding of requisite reserves, on the bonds and notes\nauthorized by such resolution. If the board or any member thereof\nentitled to vote thereon shall disapprove a proposed resolution, the\nauthority may, at any time, resubmit a reformulated resolution. Within\nten days of the submission of such reformulated resolution the board may\nnotify the authority of its unanimous approval of the same by the\nmembers entitled to vote thereon, or, if the reformulated resolution is\nnot approved and no individual member of the board who is entitled to\nvote thereon has notified the authority in writing of his disapproval\nwithin such period, the reformulated resolution shall have been deemed\nto have been approved. Any individual member of the board who votes\nagainst a resolution or a reformulated resolution or who notifies the\nauthority of his disapproval shall state his reasons therefor. The\nmember appointed on the recommendation of the mayor of the city of New\nYork shall not participate in the action of the board with respect to\nany bond resolution of the authority pursuant to which its general\nobligation bonds or notes may be issued. Neither the authority nor the\nNew York city transit authority shall adopt a bond resolution\ndisapproved by the board as herein provided.\n 10. In formulating its capital program plans, the authority shall\ndevelop criteria to determine how to best prioritize subway stations for\naccessibility improvements. Such criteria shall include, but not be\nlimited to: citywide geographic coverage; transit transfer options;\nannual ridership volume; census tract data for senior and disabled\npopulations and percentage of those populations in poverty; residential\ndensity of surrounding neighborhoods; and proximity to medical centers,\nschools, parks, business districts, cultural hubs and senior centers.\nSuch criteria shall be made publicly available.\n 11. In formulating their capital program plans, the authority and its\naffiliates and subsidiaries shall consider bicycle and pedestrian\naccessibility.\n