NEW YORK STATE DEPARTMENT OF TRANSPORTATION NYSDOT · Page 1 of 66 NEW YORK STATE DEPARTMENT OF TRANSPORTATION NYSDOT FTA SECTION 5310 GRANT PROGRAM ENHANCED MOBILITY OF SENIORS AND

Page 1 of 66

NEW YORK STATE DEPARTMENT OF TRANSPORTATION

NYSDOT

FTA SECTION 5310 GRANT PROGRAM

ENHANCED MOBILITY OF SENIORS AND

INDIVIDUALS WITH DISABILITIES

2015 STATEWIDE APPLICATION MANUAL

APPLICATION DUE – JUNE 8, 2015Administration

New York State Department of TransportationOffice of Integrated Modal Services

Public Transportation Bureau

Technical Support

New York Metropolitan Transportation Council (NYMTC)

Funding

U.S. Department of TransportationFederal Transit Administration

Updated April 24, 2015

2015 FTA Section 5310 Program

NYSDOT Application Manual & Guidance Instructions Page 2 of 66

Table of Contents

PageIntroduction 3Program Highlights – 2015 4Application Materials & Preparation 4Application Manual & Guidance Instructions 6Eligible Applicants 6Eligible Projects 8

Table 1 – 5310 Project Types by Eligible Activity & Applicant 12Available Capital Vehicles and Equipment 14

Project Financing and Program Financial Requirements 15Project Selection Process/Criteria 16Locally Developed Coordinated Plan 18Program Requirements by Project Type 19

Capital Project (Vehicle) 19Vehicle Use Requirements 20Vehicle Insurance Requirements 21CDL Requirements for 5310 vehicles 22Drug & Alcohol Testing Program Requirements 23

Capital Project (Other) 23Capital Cost of Contracting 23Mobility Management 24Operating Assistance 24

Title VI Program Requirements 25NYSDOT Title VI Complaint Procedures 25

NYSDOT Section 5310 Application Instructions 27-53Overview 27Submission Instructions 27SharePoint Tips & Functions 27Detailed Instructions for Each Application Tab 29-53

Acronyms 54General Definitions 54NYSDOT Contact Information 57Metropolitan Planning Organizations (MPOs) Contact Information 58Coordinated Plan County Contact Persons (Rural Areas) 60Statewide Application Review Committee (SARC) Members 61Schedule of Workshops 62Application Checklist 64Application Timeline 65NYSDOT-FTA Section 5310 Application Allocations 66



Introduction

This application manual pertains to applications for Federal assistance under U.S.C. Section5310, Formula Grants for the Enhanced Mobility of Seniors and Individuals with DisabilitiesProgram, as administered by the New York State Department of Transportation (NYSDOT). Itcontains program information, application descriptions and instructions.

The Federal goal of the Section 5310 Program is to provide assistance in meeting the needs ofseniors and individuals with disabilities where public transit services are unavailable,insufficient or inappropriate.

A minimum of 55% of the available funding awards will go to traditional Section 5310 capitalprojects. Traditional Section 5310 projects are those public transportation capital projectsplanned, designed, and carried out (by eligible subrecipients) to meet the special needs ofseniors and individuals with disabilities when public transportation is insufficient, inappropriate,or unavailable.

The remaining funds (up to 45%) may support public transportation projects that exceed therequirements of the ADA, improve access to fixed-route service, decrease reliance byindividuals with disabilities on complementary paratransit or provide alternatives to publictransportation that assist seniors and individuals with disabilities. All such projects must betargeted toward meeting the transportation needs of seniors and individuals with disabilities,although they may be used by the general public.

The program, funded through Congressional apportionment based on each State’s share of thetargeted populations, appropriates awards to both States (for all areas under 200,000population) and large urbanized areas (over 200,000 in population). Also, in areas over 200,000population, a Transportation Management Area (TMA) is designated by the Federal HighwayAdministration (FHWA) and the Federal Transit Administration (FTA) that has additionalresponsibilities and may be part of an MPO area, all of an MPO area or encompass multipleMPO’s. In urbanized areas greater than 200,000 population, the program allows for thedesignated recipient to sub allocate funds to an existing designated recipient. The MovingAhead for Progress in the 21st Century Act (MAP-21), codified under Section 5310 of Chapter53, Title 49 United States Code, presently authorizes this program. Under MAP-21, the NewFreedom program (Section 5317) merged with the Section 5310 Program. The New Freedomprogram provided grants for services for individuals with disabilities that went above andbeyond the requirements of the Americans with Disabilities Act (ADA). For frequently askedquestions and further information on MAP-21 and the Section 5310 Program, see FTA’swebsite: http://www.fta.dot.gov/map21_16244.html.

The NYS Department of Transportation (NYSDOT) administers the program in the State of New



York as the designated recipient, with direct oversight from the Federal Transit Administration(FTA). All MPO’s (Metropolitan Planning Organizations) and their member agencies agreed tohave NYSDOT administer the urban allocations. NYSDOT will certify to FTA that recommendprojects for 5310 funds in rural/SUZA and each TMA meets the minimum 55% fundingthreshold required to be programmed for traditional 5310 projects. Title 49 U.S.C. 5310(a)2provides that the designated recipient (entity that directly receives a grant under Section 5310)may allocate the funds apportioned to it to private non-profit organizations or governmentalauthorities. NYSDOT, as the designated recipient for New York State, chooses to allocatefederal funds under this program through a competitive Application for Federal FundingAssistance. The code assigned to the Section 5310 program in the Catalogue of FederalDomestic Assistance is 20.513. For more information, see the FTA circular athttp://www.fta.dot.gov/documents/C9070_1G_FINAL_circular.pdf

Program Highlights for 2015

Open Solicitation Period: 4/27/15 through 6/8/15 (Application Due Date)

Funding apportioned by MPO Area or Rural1

New Application Format – Electronic on-line version

Locally Developed Coordinated Plan Requirement2

Public Notice Requirement3

Existing projects

Traditional Capital (vehicles)

New types of projects:

Other Capital Equipment

Mobility Management

Operating Assistance (including Capital Cost of Contracting)

Application Materials & Preparation

15310 Program Funding Splits Apportionments located on last page of this guidance document.

2Projects must be included in a Coordinated Plan. Applicants should review page 18 of this guidance document

and Tab 5A of the Application for more information at the start of the application process.3

Public notice requirement is time sensitive and applicants should review page 40 of this guidance document andTab 10 of the Application for more information at the start of the application process.



In cooperation with the MPOs in the State, NYSDOT worked with the New York MetropolitanTransportation Council (NYMTC) and the other MPOs in the state to develop an on-lineapplication built in software called Microsoft SharePoint4. This will be a web-browserapplication that users have a secure log-in to their application by geographic location. In orderto apply for funding the applicants are required to submit a registration document that willidentify applicant location and the individuals who will be able to contribute to the application,electronically sign and submit the application.5

The SharePoint Section 5310 Web Application was designed in Internet Explorer (IE). InternetExplorer is the preferred web browser to use. Notices for the Application Materials, includingthe registration form, for Federal Funding Assistance under the FTA Section 5310 program areon:

The NYS Grants Gateway:https://www.grantsgateway.ny.gov/Intelligrants_NYSGG/module/nysgg/GOPortal.aspx

The NYSDOT Public Transportation Bureau website:https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/specialized-transportation/5310.

Published in the Contract Reporter at:https://www.nyscr.ny.gov/

The New York State Department of Transportation (NYSDOT), the State Agency charged withadministering this federal program, will conduct application workshops6 to assist applicants inpreparing an Application for Federal Funding Assistance under the FTA Section 5310 program.NYSDOT recommends that applicants, especially first-time applicants, attend a workshop.Prospective applicants should begin to review and complete applications materials as soon aspossible; workshops tend to be most productive when applicants bring questions that arisethrough the application development process.

If you require assistance at any point prior to, or following the workshops, please feel free tocontact NYSDOT:

Primary Contact – Thomas Vaughan, Director, Public Transportation Bureau, NYSDOT

Secondary Contact – for urban projects, the MPO Coordinator for the application (seepage 58 for contact list). For rural projects, please contact Marc Boucher (518) 457-8366, Public Transportation Bureau, NYSDOT

4SharePoint is a web application framework and platform developed by Microsoft. First launched in

2001, SharePoint integrates intranet, content management, and document management.5

Since funding is now allocated based on the urban areas and rural areas it is important to group the applicationsfor ranking and allocation of the awarded funds based on these geographic funding splits.6

See page 62 for workshop schedule and locations



If your organization employs the services of a professional grant writer and/or a third party ispreparing your application, please ensure the accuracy of submitted applications. The contractagreement, between New York State and successful applicants (subrecipients), incorporates theapplication in its entirety. Application information is subject to verification at anytime duringthe life of the grant and used for federal performance measurement.

Application Manual & Guidance Instructions

Use these instructions to help you prepare an Application for Federal Funding Assistance underthe FTA Section 5310 program in the State of New York. This Manual consists of generalinstructions and information (pgs. 3-25), detailed application instructions (pgs. 27-53), andreference information (pgs. 54-66).

Eligible Applicants

Traditional Applicants:In order to be eligible to apply for traditional projects (minimum of 55% of projects in each TMAand Statewide) for federal funding under the FTA Section 5310 program solicitation in the Stateof New York, the entity applying must be one of the following:

1) A private not-for-profit organization incorporated within NYS (primary intended applicant)

Requires a current Charities Registration Number for proof of eligibility

If not yet issued a Charities Registration Number, applicant must provide otherdocumentation of proof of 501(c)(3) status (as an attachment).

Registered and Pre-Qualified in Grants Gateway. To check your registration status, please visit:

https://www.grantsgateway.ny.gov/Intelligrants_NYSGG/module/nysgg/goportal.aspx?NavItem1=9 and enter your NYS Vendor ID to determine if you have aGrants Gateway Administrator.

If you need to Register please visit:https://www.grantsgateway.ny.gov/Intelligrants_NYSGG/pdf/nysgg/granteepacka

ge.pdfComplete the form and mail it to the address listed on page 2.

If you need to be Pre-Qualified (Not For Profit entities Only) Once registered, Not for Profit entities can complete the Pre-Qualification process.

For more information about Pre-Qualification, click on this link:http://www.grantsreform.ny.gov/

2) A State or local governmental authority, or Indian Tribal government, which certify that 1)



no non-profit organizations are readily available in the area to provide transportationservices to seniors and individuals with disabilities, or 2) approved by the State tocoordinate these services.

A Governmental Authority applying under this provision must submit a certification7

to NYSDOT that no not-for-profit corporations or associations are readily available inthe area to provide transportation services to seniors and individuals with disabilities.Applicants must submit a letter on government letterhead, signed by thegovernment’s chief executive officer, or a board approved municipal resolution,detailing the unavailability to justify eligibility.

A Governmental Authority applying as an entity approved to coordinate services forseniors and individuals with disabilities must submit a memorandum with existingtransportation providers in an area of proposed service that establishes thegovernmental authority as the coordinator of transportation services, as well asdocumentation of the coordination activities accomplished or proposed.

Enhanced Applicants:In order to be eligible to apply for non-traditional New Freedom-like projects (maximum of 45%of projects in each TMA and Statewide) for federal funding under the FTA Section Enhanced5310 program solicitation in the State of New York, the entity applying must be one of thefollowing:

A private not-for-profit organization incorporated within NYS (as documented above)

A State or local Governmental Authority

Operators of public transportation services, including private operators of publictransportation services, who receive the 5310 grant indirectly through a recipient.

o Private taxi companies that provide shared-ride taxi service to the general publicon a regular basis are operators of public transportation, and therefore areeligible subrecipients. Similar to general public and ADA demand responseservice, every trip does not have to be shared-ride in order for a taxi companyto be considered a shared-ride operator, but the general nature of this servicemust include shared rides. Taxi companies that provide only exclusive-rideservice are not eligible subrecipients; however, they may participate in theSection 5310 program as contractors. Exclusive-ride taxi companies may receiveSection 5310 funds to purchase accessible taxis under contract with an eligiblesubrecipient such as a local government or non-profit organization. Any taxicompany interested in applying or any agency that currently has a programinvolving taxi should make sure their need is articulated in the coordinated planand that the agency strategy being proposed is also included in the plan.

A Indian Tribal Nation

7If it is determined that private not-for-profit organizations are available and provide transportation services in the proposed

service area, the Department may reject this certification.



Eligible Projects

Section 5310 funds are available for capital and operating expenses to support the provision oftransportation services to meet the specific needs of seniors and individuals with disabilities.Section 5310(b) provides that of the amounts apportioned to states and designated recipients,not less than 55 percent shall be available for traditional Section 5310 projects – those publictransportation capital projects planned, designed, and carried out to meet the specific needs ofseniors and individuals with disabilities when public transportation is insufficient, unavailable,or inappropriate. Notably, this 55 percent is a floor, not a ceiling – recipients may use morethan 55 percent of their apportionment for this type of project. The remaining funds (up to45%) may support public transportation projects that exceed the requirements of the ADA,improve access to fixed-route service, decrease reliance by individuals with disabilities oncomplementary paratransit or provide alternatives to public transportation that assist seniorsand individuals with disabilities. All such projects must be targeted toward meeting thetransportation needs of seniors and individuals with disabilities, although they may be used bythe general public. A table of 5310 Application Project Types, Eligible Activities & Applicants,and Important Notes is included after the written descriptions below to summarize the eligibleactivities by project type to assist you in applying under the appropriate project type(s) in theapplication. The written descriptions and Table 1 below are not all-inclusive lists and otherprojects that meet the 5310 program objectives may be applied for.

Note: These projects must be carried out by an eligible subrecipient, which include a privatenon-profit organization; or a state or local government authority that: 1) is approved by a stateto coordinate services for seniors and individuals with disabilities; or 2) certifies that there areno non-profit organizations readily available in the area to provide the service.

Eligible capital expenses that meet the 55 percent requirement:a) Rolling stock and related activities for Section 5310-funded vehicles

i) Acquisition of expansion or replacement buses and vans, and related procurement,testing, inspection, and acceptance costs;(1) Vehicle rehabilitation or overhaul;(2) Preventive maintenance;(3) Radios and communication equipment; and(4) Vehicle wheelchair lifts, ramps, and securement devices.

b) Passenger facilities related to Section 5310-funded vehiclesi) Purchase and installation of benches, shelters, and other passenger amenities.

c) Support facilities and equipment for Section 5310-funded vehiclesi) Extended warranties that do not exceed the industry standard;ii) Computer hardware and software;



iii) Transit-related intelligent transportation systems (ITS);iv) Dispatch systems; andv) Fare collection systems.

d) Lease of equipment when lease is more cost effective than purchase.e) Acquisition of transportation services under a contract, lease, or other arrangement.

This may include acquisition of ADA-complementary paratransit services. Both capitaland operating costs associated with contracted services are eligible capital expenses.

f) Support for mobility management and coordination programs among publictransportation provides and other human service agencies providing transportation.Mobility management is an eligible capital cost. Mobility management activities mayinclude:i) The promotion, enhancement, and facilitation of access to transportation services,

including the integration and coordination of services for individuals with disabilities,seniors, and low-income individuals;

ii) Support for short-term management activities to plan and implement coordinatedservices;

iii) The support of state and local coordination policy bodies and councils;(a) 4) The operation of transportation brokerages to coordinate providers,

funding agencies, and passengers;iv) The provision of coordination services, including employer-oriented transportation

management organizations’ and human service organizations’ customer-orientedtravel navigator systems and neighborhood travel coordination activities such ascoordinating individualized travel training and trip planning activities for customers;

v) The development and operation of one-stop transportation traveler call centers tocoordinate transportation information on all travel modes and to manage eligibilityrequirements and arrangement for customers among supporting programs; and

vi) Operational planning for the acquisition of intelligent transportation technologies tohelp plan and operate coordinated systems inclusive of geographic informationsystems (GIS) mapping, global positioning system technology, coordinated vehiclescheduling, dispatching and monitoring technologies, as well as technologies to trackcosts and billing in a coordinated system, and single smart customer paymentsystems. (Acquisition of technology is also eligible as a standalone capital expense).

g) Capital activities (e.g., acquisition of rolling stock and related activities, acquisition ofservices, etc.) to support ADA-complementary paratransit service may qualify towardthe 55 percent requirement, so long as the service is provided by an eligiblerecipient/subrecipient.

Other eligible capital and operating expenses “New Freedom Type projects” (up to 45 percent):a) Public transportation projects (capital only) planned, designed, and carried out to

meet the special needs of seniors and individuals with disabilities when publictransportation is insufficient, inappropriate, or unavailable.

b) Public transportation projects (capital and operating) that exceed the requirements ofthe ADA. The following activities are examples of eligible projects meeting thedefinition of public transportation service that is beyond the ADA.



i) Enhancing paratransit beyond minimum requirements of the ADA. ADA-complementary paratransit services can be eligible under the Section 5310 programin several ways:(1) Expansion of paratransit parameters beyond the three-fourths mile required by

the ADA;(2) Expansion of current hours of operation for ADA paratransit services that are

beyond those provided on the fixed-route services;(3) The incremental cost of providing same day service;(4) The incremental cost (if any) of making door-to-door service available to all

eligible ADA paratransit riders, but not on a case-by-case basis for individualriders in an otherwise curb-to-curb system;

(5) Enhancement of the level of service by providing escorts or assisting ridersthrough the door of their destination;

(6) Acquisition of vehicles and equipment designed to accommodate mobility aidsthat exceed the dimensions and weight ratings established for wheelchairs underthe ADA regulations, 49 CFR part 38 (i.e., larger than 30” x 48” and/or weighingmore than 600 pounds), and labor costs of aides to help drivers assist passengerswith oversized wheelchairs. This would permit the acquisition of lifts with alarger capacity, as well as modifications to lifts with a 600-poind design load, andthe acquisition of heavier duty vehicles for paratransit and/or demand-responseservice in order to accommodate lifts with a heavier design load; and

(7) Installation of additional securement locations in public buses beyond what isrequired by the ADA.

ii) Feeder services. Accessible “feeder” service (transit service that provides access) tocommuter rail, commuter bus, intercity rail, and intercity bus stations, for whichcomplementary paratransit service is not required under the ADA.

c) Public transportation projects (capital and operating) that improve accessibility. Thefollowing activities are examples of eligible projects that improve accessibility to thefixed-route system.i) Making accessibility improvements to transit and intermodal stations not designated

as key stations. Improvements for accessibility at existing transportation facilitiesthat are not designated as key stations established under 49 CFR 37.47, 37.51, or37.53, and that are not required under 49 CFR 37.43 as part of an alteration orrenovation to an existing station, so long as the projects are clearly intended toremove barriers that would otherwise have remained. Section 5310 funds areeligible to be used for accessibility enhancements that remove barriers to individualswith disabilities so they may access greater portions of public transportationsystems, such as fixed-route bus service, commuter rail, light rail, and rapid rail. Thismay include:(1) Building an accessible path to a bus stop that is currently inaccessible, including

curbcuts, sidewalks, accessible pedestrian signals, or other accessible features;(2) Adding an elevator or ramps, detectable warnings, or other accessibility

improvements to a non-key station that are not otherwise required under theADA;



(3) Improving signage or wayfinding technology; or(4) Implementation of other technology improvements that enhance accessibility

for people with disabilities including ITS.ii) Travel training. Training programs for individual users on awareness, knowledge, and

skills of public and alternative transportation options available in their communities.This includes travel instruction and travel training services.

d) Public transportation alternatives (capital and operating) that assist seniors andindividuals with disabilities with transportation. The following activities are examples ofprojects that are eligible public transportation alternatives.i) Purchasing vehicles to support accessible taxi, ride-sharing, and/or vanpoolingprograms. Section 5310 funds can be used to purchase and operate accessible vehiclesfor use in taxi, ride-sharing, and/or vanpool programs provides that the vehicle meetsthe same requirements for lifts, ramps, and securement systems specified in 49 CFR part38, subpart B, at a minimum, and permits a passenger whose wheelchair can beaccommodated pursuant to part 38 to remain in his/her personal mobility device insidethe vehicle.ii) Supporting the administration and expenses related to voucher programs for

transportation services offered by human service providers. This activity is intendedto support and supplement existing transportation services by expanding thenumber of providers available or the number of passengers receiving transportationservices.

1) Vouchers can be used as an administrative mechanism for payment ofalternative transportation services to supplement available publictransportation. The Section 5310 program can provide vouchers to seniors andindividuals with disabilities to purchase rides, including:

(a) mileage reimbursement as part of a volunteer driver program;(b) a taxi trip; or(c) trips provided by a human service agency. Providers of transportationcan submit the voucher reimbursement to the recipient for paymentbased on predetermined rates and contractual agreements. Transitpasses or vouchers for use on existing fixed-route or ADA complementaryparatransit service are no eligible. Vouchers are an operational expensewhich requires a 50/50 (federal/local) match.

iii) Supporting volunteer driver and aide programs. Volunteer driver programs areeligible and include support costs associated with the administration, management ordriver recruitment, safety, background checks, scheduling, coordination withpassengers, other related support functions, mileage reimbursement, and insuranceassociated with volunteer driver programs. The costs of enhancements to increasecapacity of volunteer driver programs are also eligible. FTA encourages communities tooffer consideration for utilizing all available funding resources as an integrated part ofthe design and delivery of any volunteer driver/aide program.

e) Limits on operating assistance. Given the 55 percent requirement for Traditional Section5310 capital projects, a recipient may allocate up to 45 percent of its apportionment foroperating assistance. However, this funding is limited to eligible projects as described in



this section (b, c, and d) above. Operating assistance for required ADA complementaryparatransit service is not an eligible expense.

Table 1: 5310 Application Project Types by Eligible Activities & Applicants

Application ProjectType

Eligible ActivitiesEligible

ApplicantNotes

Vehicle Purchase of Buses from NYSOGS Adult Bus Contract

TraditionalEnhanced

Documentation of agency type20% Applicant Match

Non-Vehicle/OtherCapital

Applicant responsible for up-frontcost, procurement in accordancewith local, state and federalregulations and otherrequirements noted below.Other capital items are eligiblefor an 80% federalreimbursement.

Accessibility improvementsto non-key stations and stops

Enhanced Narrative supporting enhanced5310 program activities.

Benches, Shelters &Passenger Amenities

TraditionalEnhanced

Narrative supporting traditionalor enhanced 5310 programactivities.

Computer Hardware &Software

Traditional Narrative supporting traditional5310 program activities.

ITS (IntelligentTransportation System)planning and technology:Such as AVL – AutomaticVehicle Locator System;MDT – Mobile DataTerminals;Dispatch System

TraditionalEnhanced

Narrative supporting traditionalor enhanced 5310 programactivities. Technology projectsare also required to comply withITS Architecture standards.

Other vehicle types not onOGS Adult Bus Contract tosupport shared-ride services.

TraditionalEnhanced


Preventive Maintenance Traditional Maintenance plan and costallocation plan

Radio Equipment TraditionalEnhanced


Support Facilities andEquipment

TraditionalEnhanced


Vehicles or equipmentdesigned to accommodateoversized mobility aidsbeyond ADA requirements

Enhanced Narrative supporting enhanced5310 program activities.






ApplicantNotes

Vehicle Rehab or Overhaul TraditionalEnhanced

Narrative supporting traditionalor enhanced 5310 programactivities and cost/benefitanalysis.

MobilityManagement

Coordination of services for5310 target populations.

TraditionalEnhanced


ITS (IntelligentTransportation System)planning and technology thatdirectly supports a MobilityManagement Project such asa call center, or coordinationand dispatch computersystem.

TraditionalEnhanced

Narrative supporting traditionalor enhanced 5310 programactivities. Technology projectsare also required to comply withITS Architecture standards.

Operation of transportationbrokerage

TraditionalEnhanced


Support to plan andimplement coordinatedservices

TraditionalEnhanced


Support of State and localcoordination policy bodiesand councils

TraditionalEnhanced


Travel Training TraditionalEnhanced


Operating Assistance Accessible Feeder Services tocommuter or intercity railand bus, where paratransit isnot available.

Enhanced Narrative supporting traditionalor enhanced 5310 programactivities.

Expanding ADA ParatransitServices

Enhanced Narrative supporting traditionalor enhanced 5310 programactivities.

Transportation OperatingExpenses for servicesprovided to 5310 targetpopulations

TraditionalEnhanced


Vouchers to supportvolunteer driver programs,taxi, or trips provided byhuman service agencies.

TraditionalEnhanced


Capital Cost of Contracting with a third- Traditional Procured in accordance with






ApplicantNotes

Contracting party operator for theprovision of services for 5310target populations

Enhanced local, state and federalregulations.

For further information, see FTA Section 5310 Circular (C 9070.1G). See Chapter III - GeneralProgram Information, page III-9, #13. Eligible Activities.

Available Capital Vehicles and Equipment

All vehicles purchased must be equipped with a wheelchair lift (unless low-floor ramp) andwheelchair spaces so that they will be fully accessible and compliant with the Americans withDisabilities Act (ADA). This is no longer optional. Please also be aware that SCHOOL BUSES arenot available through the Section 5310 Grant Program. Vehicle categories/classifications forthis solicitation of project applications for federal funding assistance include:

Vehicle ClassificationAmbulatory Adult

Passenger Capacity8

Type I 11-passenger

Type I-A 16-passenger

Type II 20-passenger

Type II-LF (Low-Floor) 18-passenger

Type III 24-passenger

Type III-LF (Low-Floor) 22-passenger

Type IV 38-passenger

Type VI 28-passenger

Type VII 6-passenger

Other types of vehicles or equipment than described above and available through NYS OGSAdult Bus Contract, such as accessible shared-ride taxi’s, should be applied for in the Cap-1(Non-Vehicle-Other Capital) Tab of the Application.

8To be fully accessible and compliant with the Americans with Disabilities Act (ADA), all purchased vehicles must have a

wheelchair lift (unless low-floor ramp) and wheelchair spaces. Refer to the seating chart on page 45...



Project Financing and Program FinancialRequirements

The federal grant will finance eighty percent (80%) of the capital costs of vehicle(s), othercapital equipment and mobility management projects, and fifty percent (50%) of operatingassistance solicited/awarded through an Application for Federal Funding Assistance under theFTA Section 5310 program. Successful applicants (subrecipients) must provide the respectiveremaining twenty percent (20%) and/or fifty percent (50%) from its own funding sources(cannot be USDOT federal funds). Applicants who have a multi-project type application maynot cross-match local matching funds across project types; i.e., you can not use the same localfunds more than once. Matching shares of Non-Federal Funds have to be accounted for undereach project type.

New York State requires subrecipients to enter into a contractual agreement prior to receipt ofcapital equipment. This agreement has several significant financial requirements:

For Vehicle Capital Projects

o Subrecipients must provide the required 20% local match deposit forvehicle(s) only. This is due to the process of purchasing from the awarded OGSvendor. The State pays the 80% from a state first-instance account and the localapplicant has to supply the 20%. NYSDOT collects the local match at the contractexecution time and deposits it into an individual grantee account. Please note:At contract award time, NYSDOT increases contracted amounts for awardedvehicles by 15% as a contingency against unanticipated price increases orequipment modifications. This will increase the calculated local match amountrequested by about 15%. Applicants do not need to factor this increase in duringthe grant application process.

o If purchasing vehicles, subrecipients must maintain required motorvehicle insurance on the vehicle(s) (see page 21 for more details on vehicleinsurance requirements).

o Subrecipients are required to maintain passenger, operating, financial,and maintenance records and report regularly (semi-annually) on vehicle use forthe life of the “Grant” (see page 21, Ongoing Vehicle Use & Retirement ofVehicles).

For Other capital equipment and mobility management projects

o Subrecipients must first instance project expenses and seekreimbursement from NYSDOT or other applicable designated recipient after theexpenditure of local funds.

o For capital, subrecipients must maintain continuing control of the



federally purchased asset for the Federally recognized life of the asset.Reporting is also done on a semi-annual basis and any use of the asset outside ofthe grant purpose must be approved in writing by NYSDOT or other applicabledesignated recipient prior to intended use.

For Operating Assistance

o Subrecipients must first instance the operating costs for eligible projectsand may apply to NYSDOT or other applicable designated recipient for theup to 12.5% federal match after 3 months of eligible expenses have beenincurred.

Project Selection Process / Criteria

Project applications submitted solely within a rural area will be reviewed and decided by acommittee that includes NYSDOT and members of the Statewide Application ReviewCommittee (SARC). Federal and State Executive Orders designate State Agencies, involved withprograms for seniors and individuals with disabilities, to provide their expertise and assist in theSection 5310 program application intergovernmental review. The State Agencies listed belowhave an opportunity to be part of this SARC9 for vehicle projects located in rural areas.

NYS Justice Center for the Protection of People with Special Needs

NYS Office for the Aging

NYS Department of Health

NYS Office of Mental Health

NYS Office for People with Developmental Disabilities

Adult Career & Continuing Education Services – Vocational Rehabilitation (Access VR -NYS Education Department)

NYS Developmental Disabilities Planning Council

Project applications submitted solely within an MPO (Metropolitan Planning Organization) areawill be reviewed and decided by a committee formed from members of the MPO and mayinclude local coordinated plan stakeholders. Each MPO is responsible for determining projectpriorities.

Project applications submitted that propose to service both an MPO and rural area will bereviewed and decided by the MPO committee, NYSDOT and SARC members.

9State Agency Review Committee (SARC) contact information is on page 61 of this manual



Criteria for Selecting Projects:

Each Section 5310 application evaluation has a maximum point value of 100 and the tablebelow provides a breakdown of scoring categories. Each project type will receive its own scoreup to 100 points. Each individual project score will be made up of 70 points for the coreapplication submission plus 30 points for each project type submission.

Score Category Points

Project Type, Description, Objective, Need, Budget 30

Primary Agency Purpose, Programs & Services Provided 20

Local Coordinated Plan Certification & Active Coordination 20

Performance Measures 15

Agency Financial Information 10

Civil Rights Compliance 5

TOTAL 100

Past Performance under Section 5310 Program (if applicable)Up to-10

Method of Award is by point value for each score category listed above, the average ofevaluation questionnaire responses provided by evaluation committee members achieving atotal score, with final evaluation scores ranked from highest to lowest score. Applications withthe highest scores receive funding priority; awards continue down the scoring list until the fulldistribution of available federal funding. A minimum of 55% of the available funding must beawarded to traditional 5310 projects types.

Prior Performance: Applicants rank higher when they have a history of meeting contractualobligations and reporting requirements for the Section 5310 program. New applicants will notbe penalized for having little or no history with the 5310 program, but previous applicants willbe penalized for poor past performance.



Locally Developed Coordinated Plan

For eligibility to receive a Section 5310 federal funding award, your organization’s grantproject must be included in a locally developed, coordinated public transit-human servicetransportation plan in your area. Development and approval of the coordinated plan mustinclude participation by seniors, individuals with disabilities, representatives of the public,private, non-profit transportation and human service providers, and other members of thepublic. This is a requirement effective October 1, 2012, as amended by Federal Transit Law -MAP-21.

Subrecipients are required to commit to coordinate their transportation services as outlined intheir locally developed coordinated public transit-human service transportation plan coveringtheir area of existing/proposed service, with projects awarded under this federal fundingassistance program.

In urbanized areas (over 50,000 in population) in New York State, the Metropolitan PlanningOrganization (MPO) develops the coordinated plan. If you are located within an MPO area andare not familiar with this process, please contact your local MPO. In other rural areas, thecounty planning office or county public transportation office develops the coordinated plan.Contact your county planning office or public transportation office for further information.

The NYSDOT Public Transportation Bureau’s website also lists current Coordinated Plandocuments. NYSDOT requires that subrecipients submit updated or amended Local CoordinatedPlans a minimum of every four (4) years10.

If you are unsure if your organization is within an MPO area or you need the contactinformation for your MPO, County, view the listing on pages 58-60 of this Manual.

10It is the subrecipient’s responsibility to verify NYSDOT has updated/current plans (no older than four years) on file.



Program Requirements by Project Type

The following section describes the particular requirements of each of the four major projecttypes: Capital Purchase (Vehicle); Capital Purchase (other); Capital Cost of Contracting, MobilityManagement; and Operating Assistance.

Capital Project (Vehicle)

SUBRECIPIENT RESPONSIBILITIES

Subrecipients are obligated to use and regularly report (semi-annually) on grant vehicles toprovide the service as described in its application. Upon taking delivery of awarded 5310vehicles, the grantee assumes an obligation to use equipment in a manner that is consistentwith the service portrayed in its application. (See the Department’s Public TransportationBureau website for semi-annual reporting forms and instructions for this program).

MANDATORY SHARED/COORDINATED USE OF VEHICLES

Federal regulations require, during periods when vehicles are not in use for grant purposes, thegrantee to make the vehicles available for use in connection with other federally fundedprograms, in addition to other eligible purposes. Please document these coordination efforts inthe section on Coordination and attach documents (agreements, contracts, etc) that documentthe arrangements.

ALLOWABLE TRANSPORTATION SERVICES

The application evaluations only consider services that actually transport seniors and/orindividuals with disabilities. Program vehicles may also provide service to transport seniors andindividuals with disabilities not affiliated with an awarded agency, other programs or projectssponsored by the FTA, or the general-public on an incidental basis if such service does notinterfere with the original intended program purpose. The use of program vehicles for thetransport of meals may occur when it does not interfere with the provision of transportationservices to seniors and individuals with disabilities.

FARES, DONATIONS & CHARTER SERVICE

When using grant vehicles, subrecipients may charge reasonable fares, invite donations frompassengers, or request reimbursement for services. Title 49 CFR 604 and the FTA CharterService Rule issued January 14, 2008 (see FTA Charter Bus Service websitehttp://www.fta.dot.gov/15740.html) permits subrecipients to provide charter service. Charterservice is transportation services provided at the request of a third party for exclusive use ofthe vehicle for a price, or transportation to the public for events on a limited basis or duration



for a fee or fare. Subrecipients must report, as program income (semi-annually), to NYSDOT allmonies generated from the transportation services using grant vehicles, and such monies mustoffset transportation expenses.

USE OF GRANT VEHICLES BY OTHER PARTIES/THIRD PARTY OPERATORS

Program vehicles may be operated by a third party/private carrier, but all subrecipients mustobtain the approval from NYSDOT in advance for any use of Section 5310 program vehicles byparties other than itself (if not declared within original grant application). NYSDOT mustreceive and approve of all lease agreements between the grantee (subrecipient) and lessee(third party operator/private carrier) to operate Program vehicles. Sample lease agreementsand approval forms are on the Department’s Public Transportation Bureau websitehttps://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/specialized-transportation/5310. For NYSDOT to consider agreements valid, approval forms are necessaryfor all lease agreements involving FTA Section 5310 program vehicles.

SCHOOL BUS TRANSPORT EXCLUSION

Title 49 USC 5323(f) prohibits the use of FTA funds for school bus transportation operations.The restriction provides that a grantee will not engage in school bus operations exclusively forthe transportation of students and school personnel. Therefore, any organization operatingexclusive school bus service is generally ineligible for this program. FTA may grant exemptionsto this rule under 49 CFR 605.11. If an organization operating exclusive school bus service hasan exemption and provides a copy of the exemption, it may be eligible for the program.11

However, even with an exemption, vehicles purchased through this program may not provideexclusive school bus service in competition with private school bus companies. A subrecipientmay use vehicles purchased through this program for the transportation of students and schoolpersonnel in incidental charter-bus operations (see Charter Service information above).

SECTARIAN ORGANIZATIONS/RELIGIOUS PURPOSE USE

Private not-for-profit organizations affiliated with religious organizations may be eligible for thisprogram. However, the program prohibits subrecipients from using vehicles purchased throughthis program for religious purposes. For example, subrecipients cannot use these vehicles totransport members of a church or its congregation to the church facility exclusively for religiouspurposes/services.

USE OF GRANT VEHICLES TO BID ON OTHER SERVICES

When the intended purpose and use, specifically detailed in the original grant application(approved by the NYSDOT Public Transportation Bureau), and a public notice is made at thetime the original application submission, Section 5310 vehicles may be used to bid ontransportation services. If the original application does not address this use, then the applicantmust seek advance approval in writing from the NYSDOT Public Transportation Bureau. Ineither case, this particular use of Section 5310 vehicles is contingent on the following:

11FTA considers Headstart a social service, not a school program



The grantee must issue a public notice describing the intent to submit a bid for specificservice. The public notice must allow for a minimum 15 days response time.

The grantee must use a fully allocated cost as the basis of preparing any bid.

If a private for-profit or public operator submits a written protest to the proposed bidsubmission, the grantee must provide details of the fully allocated cost of the serviceproposal to the NYSDOT Public Transportation Bureau. This must include operatingsubsidies, capital grants, the value of use of publicly funded facilities, as well as allpertinent administrative and overhead expenses. This information will also berequired from the protesting entity.

ONGOING VEHICLE USE & RETIREMENT OF VEHICLES

Section 5310 vehicles must continue in operation for specialized transportation servicethroughout the life of the “Grant,” which is the useful life of the vehicle (and/or until they areno longer mechanically usable). NYSDOT records a lien on awarded vehicles to preserve the80% Federal/State interest in the vehicle(s), and conducts regular random site visits ofsubrecipients to ensure compliance with appropriate and reported vehicle use andmanagement.

Criteria considered for vehicle retirement include, current condition and age, cost torehabilitate, and maintenance history. The following General Useful Life Guideline Targets forSection 5310 program vehicles will apply subject to established NYSDOT procedures.

GENERAL USEFUL LIFE GUIDELINE TARGETS

Vehicle Classification Type Years Miles

Type I, I-A, II and III buses 5 150,000

Type II-LF, III-LF, IV and VI buses 7 200,000

Type VII (converted van) 4 100,000

Subrecipients must report on the use of the vehicle for each semi-annual reporting period untilthe vehicle is retired from the program. Subrecipients must first contact NYSDOT staff aboutthe proper procedure to retire any grant vehicle and receive written permission from NYSDOTprior to the sell, transfer, put into back-up service, or retirement of Section 5310 Programvehicles. (See the Department’s Public Transportation Bureau website for semi-annualreporting forms and instructions for this program).

NYS Vehicle Insurance Requirements

Section 5310 Subrecipients must maintain a minimum amount of vehicle liability insurance onSection 5310 Grant Program vehicles at all times, and routinely provide proof of insurance toNYSDOT, until the Department officially retires Section 5310 funded vehicles. Subrecipientsprovide proof of insurance by submission of semi-annual reports, and confirmed through theCertificate of Liability Insurance provided to the Department (as a lien holder) by your insurance



carrier/company.

Current New York State Transportation Regulations (17 CRR-NY 750.1) define the requiredminimum amounts of coverage. These minimum amounts for Motor Vehicle Insurance PolicyCoverage (including mandatory personal injury protection) are as follows:

1.

Coverage Amounts

Combined Single Limit Liability $ 1,000,000 per occurrence

Bodily Injury Liability$ 100,000 per person$ 300,000 per occurrence (1-12 seating capacity vehicles)$ 500,000 per occurrence (12+ seating capacity vehicles)

Property Damage Liability $ 50,000 per occurrence

2.

Coverage Amounts

Physical Damage(Collision)

$ 1,000 for fleets under 20 vehicles$ 5,000 for fleets over 20 vehicles

Physical Damage(Comprehensive)

$ 1,000 for fleets under 20 vehicles$ 2,500 for fleets over 20 vehicles

NYS Commercial Driver License (CDL) Requirements

a) Required only if the motor carrier is subject to the requirements of Article 19-A of the Vehicle and Traffic Lawb) Vehicles Standard Accessible Designed have wheelchair lifts and wheelchair positions and, with the installation

of additional wheelchair positions, may have less adult passenger capacity (capacity listed is without flip seats).c) If interstate, minimum age is 21 years.

For questions regarding CDL requirements, refer to the NYSDMV Bus Driver Unit at (518) 473-9455 or [email protected]. All motor carriers covered under Article 19-A of the

CDL required(by Vehicle

Classification Type)

Standard AccessibleDesigned Adult

Passenger CapacitybGVWR

License Class/Minimum Agec

Endorsements& (Codes)

Type Ia Generally 7 passenger 10,050 lbs. C / 18 Passenger (P)

Type I-Aa Generally 11passenger 11,500 lbs. C / 18 Passenger (P)

Type IIa Generally 12 passenger 14,500 lbs. C / 18 Passenger (P)

Type III Generally 16 passenger 14,500 lbs. C / 18 Passenger (P)

Type IV Generally 38 passenger 27,000 lbs. B / 18 Passenger (P)

Type VI Generally 28 passenger 17,000 lbs. C / 18 Passenger (P)

Type VII (van) Generally 6 passenger 5,000 lbs. C / 18 Passenger (P)



Vehicle and Traffic Law are required to operate vehicles (regardless of passenger capacity orGVWR) with drivers who have and maintain a CDL.

Drug & Alcohol Testing Regulations

Section 5310 subrecipients must comply with Federal Motor Carrier Safety Administration(FMCSA) Drug and Alcohol Testing Regulations (49 CFR Part 382) if one or more of the followingconditions apply:

The grantee operates a vehicle with a Gross Vehicle Weight Rating (GVWR) of 26,001pounds or more (this includes all Type IV vehicles); or

The vehicle is designed and configured to transport 16 or more passengers, includingthe driver (this includes some Type II and Type III vehicles); or

The employee/driver who operates the vehicle is required to hold a CommercialDriver’s License (CDL) (this includes all Type IV vehicles, and some Type III, II, I, and I-Avehicles – see CDL chart on page 22 of this manual).

For more information on the federal drug and alcohol testing rules, please visit the FMCSAwebsite at www.fmcsa.dot.gov or call the United States Department of Transportation’s Officeof Drug Enforcement and Program Compliance in Washington, DC at (202) 366-3784.

Capital Project (Other)1. Other capital projects awarded, which can include other types of vehicles not included in

the OGS/Adult Bus Contract Vehicle Section above, are subject to following applicablefederal, state and local procurement procedures.

2. Subrecipients will be responsible for the entire project cost up-front and requestreimbursement of federal share upon completion of project.

3. Subrecipients will be responsible for maintenance, continuing control and reporting of theproject asset for the useful life of the asset.

Capital Cost of Contracting (CCoC)1. Capital Cost of Contracting (CCoC) is a form of combined federal capital and operating

assistance available at 80% of up to 50% of the Net Operating Deficit (NOD) of the projectcost when a third-party contractor is hired to provide turn-key transportation services. The40-50% share is determined by the percentage of capital buses provided by the third-partycontractor. See the Operating Assistance Section for further details that would also applyto CCoC projects.



Mobility Management1. Mobility Management projects are not for operating transportation services. Mobility

Management projects must coordinate for multiple services, agencies and eligibleindividuals.

2. If applying for capital items to support mobility management; i.e., computer software, callcenters, dispatch equipment, etc., then apply for those capital items using the MobilityManagement project type. Documentation of Cost Estimates for Mobility Managementcapital items should be described in Question 4 of the MM tab and cost estimates attachedin Tab 3, under Item 1a.

3. Subrecipients will be responsible for the entire project cost up-front and requestreimbursement of federal share after 3 months of eligible expenses.

4. Subrecipients will be responsible for compliance with applicable federal, state and localrequirements and reporting.

Operating Assistance (Including CCoC)1. Operating assistance must be for eligible services that meet the 5310 program objectives.

Operating assistance can come in three different forms (a-c below):a. Basic operating assistance where an agency provides it’s own transportation and

applies for assistance for up to half of the Net Operating Deficit (Cost, less any farescollected).

b. An Agency can purchase vehicles and other capital equipment as the applicant andlease the equipment to a private or other non-profit agency for use in providingtheir consumers services. Lease and Service agreements and the process can befound on https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/specialized-transportation/5310/5310-forms The Applicant can stillapply for basic operating assistance but the provider would be under contract andthe applicant must have an identifiable accounting procedure to separate theservices provided by the contractor

c. An agency can also enter into a contract with a provider who supplies some or all ofthe capital equipment necessary for the provision of service to the applicant’sconsumers. In this case the capital expenses can be charged to a Capital Cost ofContracting (CCoC) type of arrangement. If applying for CCoC, you must use theCCoC project type.

2. Operating projects would be subject to the applicable requirements listed in the CapitalProject (Vehicle) Section above.

3. Subrecipients will be responsible for the entire project cost up-front and may requestreimbursement of 12.5% of the federal share upon incurring 3 months of eligible operatingexpenses.

4. Subrecipients will be responsible for providing and maintaining service during the projectperiod, compliance with all federal, state and local requirements and reporting.



Title VI Program Requirements

Section 5310 subrecipients must comply with federal civil rights requirements under Title VI ofthe Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.). Title VI provides that noperson in the United States shall, on the ground of race, color, or national origin, be excludedfrom participation in, be denied the benefits of, or be subjected to discrimination under anyprogram or activity receiving Federal financial assistance. Section 5310 subrecipients musthave a current policy in place that includes these provisions:

1. Policy Statement & Notice of Beneficiaries Rights under Title VI2. Complaint Procedures and Complaint Form3. List of transportation related Title VI complaints,

I investigations, or lawsuits4. Public Participation Plan5. Limited English Proficiency (LEP) Plan6. Minority representation of advisory councils7. Transportation Service Equity Analysis8. Documentation demonstrating Board of Directorsapproval of Title VI Program

Subrecipients may adopt their own policy, or use the NYSDOT Civil Rights Policy Statement foradaptation or adoption, in compliance with this federal requirement. For more information onTitle VI, please call the NYSDOT Office of Civil Rights at (518) 457-1129, or visit the websitesbelow.

FTA Civil Rights Guidance link: http://www.fta.dot.gov/civil_rights.html

NYSDOT Office of Civil Rights: www.dot.ny.gov/main/business-center/civil-rights/title-vi-ej

NYSDOT PTB Civil Rights website: https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/civilrights

NYSDOT Title VI Complaint Procedures

The Title VI Act of 1964, as amended, helps to ensure anti-discrimination enforced throughoutthe work undertaken by all recipients of federal funding. NYSDOT’s Title VI/EnvironmentalJustice program serves to create, implement and regulate procedures that comply with Title VIof the Civil Rights Act of 1964, as amended; the Environmental Justice Executive Order 12898;Executive Order 13166; Limited English Proficiency; the Civil Rights Restoration Act of 1987; and



Title 49 CFR Part 21, as well as related statutes and regulations.

Title VI provisions include, but are not limited to, prohibiting discrimination on the grounds ofrace, color, sex, age, national origin, religion, disabling condition, or being included withinminority populations and/or low-income populations. It also prohibits exclusion fromparticipation, denial of benefits to, or others subject to discrimination under any program oractivity administered by NYSDOT.

Any person(s) or entity who believes they have been subjected to unlawful discriminationbased on race, color, sex, age, national origin, religion, or disability in any programs, activities orservices of NYSDOT or an organization funded through the Department may file a complaint.An individual or a representative may file the complaint no later than 180 days after the date ofthe alleged discrimination, unless extended by the Department.

In accordance with this procedure, complaints of discrimination must be directed in writing,signed by the person(s) or their representative and must include the complainant(s) name,address and telephone number to:

Title VI Coordinator, Office of Civil RightsNew York State Department of Transportation50 Wolf Road, 6th floorAlbany, NY 12232Phone: (518) 457-1129E-mail: [email protected]

NYSDOT acknowledges all allegations of discrimination received by mail, fax or email.

In addition to your right to file a complaint with the Department, you also have the right to filea Title VI complaint with the FTA, http://www.fta.dot.gov/civilrights/12884.html:

Federal Transit Administration Office of Civil RightsAttention: Title VI Program CoordinatorEast Building, 5th Floor – TCR1200 New Jersey Avenue, SEWashington, DC 20590Phone: (202) 366-4000

Investigations of Title VI allegations commence within (30) thirty days of a filed complaint. TheNYSDOT Title VI Unit duly and timely notifies the complainant(s) of NYSDOT’s determinationand resolution.



NYSDOT Section 5310 Application Instructions

OverviewThe application for 5310 is designed to walk the applicant through the requested information based onthe choices that they make. Since there are five project types to select from (vehicle, non-vehicle,capital cost of contracting, mobility management, and operating assistance) in the application, checkingoff any of the project types will reveal subforms for applicants to fill out. This guidance document islaid out by the type of project so please make sure that you review all materials related to the selectedproject types in your application. The program is designed and works best in Internet Explorer. There isa Help Desk Form to fill out on the main page, left side drop down menu if you experience problemsusing SharePoint.

Application Submission Instructions

The electronic file will require a digital signature by the appropriate official in the agency who isqualified by board action or delegatory authority to sign on behalf of the agency . Theapplication will require two signatures, one from the delegated authority and another from theorganization’s attorney.

To digitally sign the form, you will receive an email from ARX, a third party digital signatureauthentication service with your account information. Once the application is completed onlineand the digital signatures of the officials are signed on the application is it is consideredcomplete. Once submitted, an application cannot be edited so please ensure that all materialis complete before submitting the application and applying your digital signatures. There areno extra points for submitting the application prior to the deadline. Applications finished butnot digitally signed by the deadline will not be considered for review and ranking.

SharePoint Tips and Functions

Application time out - The 5310 application will time out and your work will be lost if you leavethe application and do not save your work. Save your work often to make sure that there is noinformation lost. If you get an error while loading message, the system has timed-out and youwill need to close your browser, re-open and login. Any data entered since the last save will belost. SAVE YOUR WORK OFTEN!

Forms – Adding and saving documents – To create an application go to the applicationdocument library link found in the left navigation of the 5310 Solicitation Application ProcessingSubsite. Click on the add document link, which will open a blank copy of the 5310 Application.To save your 5310 application, you will need to navigate your mouse to the large red savebutton on the top of the form. After you select it, a screen will open for you to name the 5310application. Once it is saved, the 5310 application will reside in the applicant’s document



library, where it will be visible only to the applicant and the review team. The application form,which was developed in InfoPath, has multiple subforms (or views) that are accessible throughthe home navigation screen. As eachsubform is completed, we recommendthat you print each subform to PDF andcombine the completed pages into onedocument for your own records. If youhave Office 2010 or newer installed, youwill be able to print all the subforms inthe application at once by using InfoPath2010.

Saving and error checking – Validationrules have been implemented to checkthe data that has been supplied. Requiredfields are highlighted in red or have a redasterisk. If you leave the required field blank, you will not be able to submit the form. You willbe able to save the file, but you will not be able to submit it. To check the page for validationerrors, use the Ctrl+Shift+O control. This will take you to the next validation error on thesubform. You will get a message warning you that you have errors on the application when yousave or close the file. This will go away when all of the validation errors have been fixed. To usethis function, it is supported in Internet Explorer, the preferred browser for the solicitation.

Text boxes – validation rules have been set for alphanumeric values in text boxes. The rulesprescribe the type of value that you put into the character box as well as the number ofcharacters the text box will allow. The application form allows cutting and pasting in text boxfields. Text box fields that have a counter will reveal the number of available charactersapplicants have for a particular question. If you enter too many characters, a validation errorwill prevent you from submitting your application.

Insert tables – For tables that require adding additional rows to accommodate multiple items,applicants can dynamically add items by clicking on the “insert item” located on the left sideimmediately under the last line of the table. If you make a mistake in these tables, you candelete a row as well.

File Uploads – Please limit file uploads to no more than 5MB per file when uploadingdocuments to your application.

Dropdown and radio dials – dropdown and radio dial choices were set for applicants to chooseitems that are prescribed. In certain cases, dropdowns will give applicants the opportunity tomanually enter an answer by selecting the “other” choice.



Tab 1 – Application Checklist Home Page

Project ID Number: This unique identifying ID will be assigned when the application issubmitted. It will contain the MPO/Rural area of the state, the types of projects and the timestamp of the submitted application. This will uniquely identify the application for rating andranking and assure that the application is identified throughout the award process.

Project Name: This field contains the actual name of the project. This short answer will allowagency’s involved in the rating and ranking to uniquely refer to the project; it will allow NYSDOTto refer to the project in the Federal Grant; it will allow the MPO to refer to the project throughthe TIP/STIP activities.

Name of Applicant: Enter the applicant’s legal name in this field. This information will carryforward to other appropriate tabs throughout the application.

First time/Previous Applicant: This checkbox indicates if the agency has ever applied for 5310 inthe past. If an applicant was only a New Freedom (5317) subrecipient previously, mark “FirstTime Applicant” for this 5310 application.

Project Type Checkboxes: The applicant needs to check for each project type they are applying.This page in the application allows the applicant to select the type of project that they areinterested in. If an applicant selects a project type, the selection will expose additional buttontabs that are required to be filled out. If the applicant starts to fill out one of the types andunselects the project type on this page, the application will not include this information. If thepage is not checked on this tab even if the form is completely filled out, it will not be verified inthe save check.

Tabs: These tabs allow the user to navigate back and forth between each page. If the user hassaved a particular page and encountered no errors, they can check off the box to the left. Thischeckbox is only there to remind the user that they have completed that page. It does notmake any validation checks. A copy of the checklist is on page 64 of this manual. The checklistdepicted in the manual represents an application in which every project type is selected. If anapplicant does not apply for every project type, the on-line checklist in this tab adjusts to reflectthe application tabs that need to be completed based upon project type(s) selected.

Signature: The CEO or official designee that was granted signatory rights for the applicationwhen User ID’s and Passwords were requested must sign the application electronically with theunique ID and Password issued to the CEO or designee.

Resolution Upload:

Tab 2 – Application Cover Sheet



Applicant: The legal name of the applicant should already be displayed from the Tab 1. If youuse a DBA (doing-business-as) name, enter that on Tab 2.. Enter the County of primaryoperation or NYC if the agency provides service across all five boroughs (list only one). Enterthe applicant’s Federal Employer Identification (9-digit # that reads 00-0000000), theapplicant’s 10-digit NY Vendor ID (visithttp://www.osc.state.ny.us/vendor_management/index.htm for more information on the NYVendor ID). Please provide the website where information on the applicant can be found (ifApplicable – this is not a required field). Provide the organization’s 9-digit Dunn & Bradstreet(DUNS) number (visit http://fedgov.dnb.com/webform for more information on DUNS), and theCongressional District number (identify as many as necessary).

Applicant Location Area: Select MPO, if applicant is in an MPO Area or select Rural Applicant.There may be some applications that will allow funding from both the urban area and the ruralarea. This is especially applicable in Small urban areas where the distinction between urbanand rural is less pronounced. It is important that any applicant applying for both urban andrural funds clearly explain how they are serving both communities, allocation method betweenrural and urban areas and explain how their performance measures on the project will meetthe appropriate levels.

Applicant Type: Identify the type of eligible applicant submitting the application for federalfunding, a private not-for-profit corporation, a governmental authority, or a federallyrecognized Native American Indian Tribal government.

Not-for-profit proof of eligibility: Provide the required numbers necessary to establisheligibility under this program: Charities Registration12 (6-digit # that reads 00-00-00), formore information visit http://www.charitiesnys.com; State Tax Exempt (6-digit # thatreads 000000), required if exempt from state taxation. If you do not have the requirednumbers, write PENDING; grant awards require affirmative proof of eligibility. If exemptfrom the Charities Registration requirement by the Office of the Attorney General(OAG), write EXEMPT, and attach a copy of the exemption letter from the OAG or otherexemption documentation that identifies the exemption category.

Governmental Authority proof of eligibility: If the agency applying is seeking to apply fora traditional project type then the agency must provide all of the requireddocumentation for eligibility under this program, which includes either the CertificationLetter/Board Resolution or the Coordinator of Transportation Services Memorandum. Ifthe agency applying is an existing FTA designated recipient in a TMA, then indicate if theagency will apply directly to FTA or have NYSDOT administer the grant funds.

Native American Indian Tribal Government: Eligible applicants are federally recognizedtribes or Alaska Native villages, groups or communities as identified by the U.S. Dept. ofthe Interior.

Applicant Primary Contact Information: Enter the name, title, business-address, phone number,

12Make sure Charity Registration is current with the Department of Law, Office of the Attorney General, which means your

charitable organization has filed the required annual CHAR500 form.



e-mail, and website of the organization’s primary representative responsible for theproject/grant (primary contact receives all correspondence from the Department).

Grant Request Amount: This is the total amount of all grant project types requested. Thisautomatically calculates. After completing each of the project types, the application will roll upyour project requests amounts to Tab 2a – Grant Request Information. Please verify the totalGrant Request Amount on Tab 2 matches the sum of Tab 2A: capital vehicles, other capital,mobility management (80% federal share plus 20% local match), and operating totals (50%federal share plus 50% local match). These amounts will automatically fill from your budget.

Tab 2A – Grant Request Information

It is the responsibility of the applicant to verify that what each project type page lists in termsof the federal request is accurately reflected on this page. Failure to recognize anydiscrepancy prior to submitting the application will not allow your application to be re-released. Verify information matches the requested amounts from applicable tabs (theseamounts automatically fill from your budget request form tabs listed below):

Tab VEH2 – Vehicle Request FormTab CAP1 – Other Capital/Non-Vehicle Project Cost FormTab CCoC1 – Capital Cost of Contracting FormTab MM1 – Mobility Management Request FormTab OA1 – Operating Assistance Form

Tab 3 – Primary Purpose/Current System Description

This page is the overview of your organization with regard to what services the agencyprovides, especially for transportation, and also how those services fit into the locallydeveloped coordinated plan.

Question 1 (Agency Mission Statement): Describe the primary purpose and services of yourorganization, as it relates to providing services to seniors and individuals with disabilities, asstated within the agency Articles of Incorporation.

Question 1a (Supporting Documentation): Attach any additional documents to support theApplicant’s 5310 project(s) here.

Question 2 (Current Agency Provided Service): Provide a description of the current services toseniors and individuals with disabilities. Description of current services may include, days andhours of service, type of service(s), description of vehicle usage, and passenger descriptions,fare structure, etc.

Question 3 (Geographic Service Area): Briefly describe the service area you propose to servethrough this grant application. Identify any additional information besides the primary county



served identified in tab 2, and the corresponding municipalities.

Question 4 (Locally Developed Coordinated Public Human Services Transportation Plan): Enterthe name/title of the Locally Developed Coordinated Plan, the date the plan was approved andthe date the plan was modified/updated (update plans at a minimum of every four (4) years).Provide further information on locally developed coordinated public human servicestransportation plan on Tab 5A – Locally Developed Coordinated Plan Certification.

Question 5 (Providing Consumers with Transportation): Describe your current approach, and theresources used, to provide your agency’s consumers with transportation.

Question 6 (Transportation Staff): Does your agency have dedicated transportation staff?

Question 6a, 6b & 6c (Transportation Staff): If your agency does have dedicated transportationstaff, how many? This question refers to drivers, mechanics, administration staff andsupervisors that are involved in the direct performance of the transportation program. It alsomay include other staff that supports the program. Staff should be counted as individuals; itdoes not matter if they are full-time or part-time. If there are over 50 transit relatedemployees, you must attach/upload your agency’s Equal Employee Opportunity (EEO) Plan.Provide the number of drivers with a CDL, and the number of drivers without a CDL.

Question 6d & 6e (3rd Party Operator): If your agency has a third party operator (or operators),provide their applicable contact information.

Question 7 (Religious Affiliation): This question is to determine if your organization is sectarianor non-sectarian in nature. Non-sectarian organizations construed as sectarian due to name(e.g. YMCA, Baptist Home, Jewish Community Center, etc.) should explain their non-sectariannature in their response to this question. If yes to religious affiliation, make sure to include astatement that your transportation services are open to every person, regardless of theirreligious preference and there is no religious test to receive agency transportation services.

Tab 4 – Service Description

This tab is for applicants to describe service access requirements and demographics ofindividuals served by the applicant.

Question 1 & 1a(if applicable) (Membership or Registration Requirement): Is membership orregistration required to participate in your organization’s programs? Explain yourorganization’s method for deciding who will receive transportation services.

Question 2 (Participation Requirements): Explain the requirements necessary for people toparticipate in your organization’s programs.

Consumer Demographics: From the number of consumers that will receive transportation



project services (annually) by your organization, provide the breakdown of each description ofconsumer category as provided. These definitions are taken from the federal race and ethnicitycategories developed by the federal Office of Management and Budget (OMB) and adoptedformally by the U.S. Census Bureau (2010 Census). The American Community Survey (ACS),found at http://www.census.gov/acs/www/, is a tool used to determine the breakdown ofconsumers receiving these transportation services. The information requested for service areaand consumers served are key factors in the review of Tab 4.

Tab 5A – Locally Developed Coordinated Plan Certification

All applicants for Section 5310 funding need to be involved in the identified local planningprocess in their area. Applications must include documentation that proposed projects are partof a locally developed coordinated plan, the purpose of which is to provide for maximumreasonable coordination of transportation services for seniors and individuals with disabilitieswith transportation services funded by other Federal sources.

NYSDOT on behalf of the FTA requires that local planning agencies or MPO’s submit updated oramended Local Coordinated Plans a minimum of every four (4) years. NYSDOT retains plandocuments on the Department’s Public Transportation Bureau website:https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/local-dev-coordinated-plans. It is the local planning agency or MPO’s responsibility to submitupdated/current plans (no older than four years) to NYSDOT for consideration of projectsencompassed by a plan for that area.

1 (Statement): This is a statement that the projects proposed by applicant are compliant withCoordinated Plan requirements.

Question 2 (Coordinated Plan Name): The answer to this question will automatically fill-in frominformation provided in Tab 3.

Question 3 (Adoption & Modification Dates): The answers to these questions will automaticallyfill-in from information provided in Tab 3..

Question 4 (Referenced Page Numbers): Identify the pages that reference the project(s)proposed within this application. These pages are required to submit to the FTA to ensure thatthe State can certify that the projects are matched in this plan. This question is critical to thesuccess of the application. If you cannot accurately identify the page number(s) in theCoordinated Plan that the project(s) are supported and identified in the Plan, then theproposed project(s) will not be eligible for 5310 funding consideration.



Tab 5B –Agreements with Other Organizations to CoordinateServices

Coordination is cooperation in the delivery of transportation services; it occurs when individualsand organizations work together to expand one or more transportation-related activities.Coordination can be as simple as referrals about transportation choices among several agenciesor it can be as complex as a fully consolidated community transportation system serving humanservice agencies.

List any agreements with other organizations (if applicable). If agreements are formal andavailable, check Yes and attach copies of any agreements. ,

Establishment of these agreements to coordinate transportation services may be separate fromthe locally developed coordinated plan initiative. Proactive approaches to coordination oftransportation services score favorably. Do not submit copies of letters from other private non-profit operators indicating support or approval of your application for Section 5310 grantfunding in lieu of agreements. However, if you received letters of support from other privatenon-profit operators, you may attach them to the application as supporting documentation inTab 3 (Primary Purpose), Question 1a.

Tab 5C – Vehicle Use

This tab is required to be completed if applying for vehicles, capital cost of contracting oroperating assistance type projects. NYSDOT uses this information to certify appropriate vehicleuse and determine if the applicant requires operating authority. If the Applicant is alreadyregulated as a Common or Contract Carrier, requires operating authority and is part ofNYSDOT’s ongoing inspection of vehicles, only answer questions 1-4. If Applicant is notcurrently regulated or does not want the vehicles maintained under NYSDOT OperatingAuthority, complete all questions. If the applicant is or will be contracting with a privatecarrier/Third Party to operate proposed grant vehicles, the information from the privatecarrier/Third Party operator must be used to complete this Tab.

Question 1 & 2 (School Transportation & Exclusive School Transportation Service): Applicantsensure they will not engage in school bus operations exclusively for the transportation ofstudents and school personnel, in competition with private school bus operators, a prohibiteduse of program vehicles. An applicant may use program vehicles for the transportation ofstudents and school personnel in incidental charter bus operations. If you answer yes to thesequestions, please explain the service in further detail. (See page 20 of this manual foradditional information).

Question 3 (49 CFR 605.11 Exemptions): An applicant may not engage in school bus operationsin competition with private school bus operators unless it demonstrates to the satisfaction of



the FTA Administrator as follows13:(a) That it operates a school system in its urban or metropolitan area and also operates a

separate and exclusive school bus program for that school system; or(b) That private school bus operators in the urban or metropolitan area are unable to

provide adequate transportation, at a reasonable rate, and in conformance withapplicable safety standards; or

(c) That it is a state or local public body or agency (or a direct predecessor in interest, whichacquired the function of transporting schoolchildren and personnel, along with facilitiesto be used) who was so engaged in school bus operations.

If an exemption has been granted, attach a copy of it.

Question 4 (Regulation by NYSDOT as a Common or Contract Carrier): If yes, provide NYSDOTOperating Authority Number. If no, provide further narrative information. For moreinformation, please visit the NYSDOT Bus and Passenger Carrier Safety websitehttps://www.dot.ny.gov/divisions/operating/osss/bus/passenger.

Question 5 (Will Agency serve members of general public): If your agency serves members ofthe general public, explain in detail, including any individual fare charges.

Tab 6 – Performance Measures

The main thrust of the FTA circular is to measure the traditional performance measures. Wehave expanded them with an insert table and asked applicants to be specific. Answer allapplicable sections. If not applying for vehicles, capital cost of contracting or operatingassistance, enter NA and Zero’s in Items 1 and 2, respectively.

Three measures established at the federal level in the Section 5310 Program are:

1. Gaps in Service Filled – Provision of transportation options not otherwise available forseniors and individuals with disabilities, measured in numbers of seniors and individualswith disabilities afforded mobility they would not have without program support.

2. Ridership - Actual or estimated number of riders (as measured by one-way trips14)provided annually for individuals with disabilities and seniors on Section 5310-supportedvehicles and services.

3. Physical Improvements - Additions or changes to environmental infrastructure (e.g.transportation facilities, sidewalks, etc.), technology, and vehicles that impact availabilityof transportation services as a result of project implemented the current reporting year.

13If you answer yes to this question, attach a copy of the exemption to the application materials. (See page 20 of this Manual).

14See “General Definitions” on pages 54-56

In the chart, provide the current performance measurestatistics if awarded the grant.an increase in ridership or service.

EXAMPLE OF ONE-WAY PASSENGER TRIPS

If you took 15 persons on a trip from their homes to adestination and returned these people home later, thiswould count as 30 one-way passenger trips. Additionally, ifyou took a person from home to a shopping center (1then later took that person from the shopping center to anutrition site (2nd Trip), then finally took this person fromthe nutrition site to home (3rd

way passenger trips.

PERFORMANCE MEASURES FOR

Complete at least one performance measure for each type of project applied for.

Select project type

Check whether the project is a New or Existing. If you click Existing project, you will beprompted to enter the existing project’s PIN number below.

Select the Item description that best describes the project for the drop down listprovided.

Select the Performance Measure that will be used for the project from the drop downlist provided

Enter a Goal description if a New Project or PIN Number if Existing Project

Enter Current Statistic to track

Describe the Method used to collect statistics.

To add performance measures, click the “Insert Item” in the lower left hand corner under thelast completed performance measure table.

Tab 7 – Civil Rights and Title VI

Section 5310 Subrecipients must comply with federal civil rights requirements under Title VI ofthe Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.). Title VI provides that noperson in the United States shall, on the ground of race, color,from participation in, be denied the benefits of, or be subjected to discrimination under anyprogram or activity receiving Federal financial assistance. Section 5310have a current policy in place that iaward is signed).

15Contract agreements with NYS incorporate the provided information within the applic

Provide statistics your organization already achieves or can realistically attain in the semiNYSDOT then submits these program measures to FTA. Reassignment of vehicles and other cfailure to meet stated targets.


NYSDOT Application Manual & Guidance Instructions

current performance measure15 statistics, asif awarded the grant. Note: If requested vehicles are replacement,

an increase in ridership or service.

WAY PASSENGER TRIPS

If you took 15 persons on a trip from their homes to adestination and returned these people home later, this

way passenger trips. Additionally, ifyou took a person from home to a shopping center (1st Trip),then later took that person from the shopping center to a

rip), then finally took this person fromrd Trip), you count this as 3 one-

EASURES FOR ALL PROJECT TYPES


heck whether the project is a New or Existing. If you click Existing project, you will beprompted to enter the existing project’s PIN number below.

description that best describes the project for the drop down list

Select the Performance Measure that will be used for the project from the drop down


r Current Statistic to track

Describe the Method used to collect statistics.

To add performance measures, click the “Insert Item” in the lower left hand corner under thelast completed performance measure table.

Civil Rights and Title VI

Subrecipients must comply with federal civil rights requirements under Title VI ofthe Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.). Title VI provides that noperson in the United States shall, on the ground of race, color, or national origin, be excludedfrom participation in, be denied the benefits of, or be subjected to discrimination under anyprogram or activity receiving Federal financial assistance. Section 5310have a current policy in place that includes these provisions (by the time the contract

Contract agreements with NYS incorporate the provided information within the application for FTA Performance Measures.Provide statistics your organization already achieves or can realistically attain in the semi-annual reports you submit to NYSDOT;NYSDOT then submits these program measures to FTA. Reassignment of vehicles and other capital equipment may result as a

Page 36 of 66

statistics, as well as the estimatedquested vehicles are replacement, there may not be


heck whether the project is a New or Existing. If you click Existing project, you will be

description that best describes the project for the drop down list

Select the Performance Measure that will be used for the project from the drop down


To add performance measures, click the “Insert Item” in the lower left hand corner under the

Subrecipients must comply with federal civil rights requirements under Title VI ofthe Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.). Title VI provides that no

or national origin, be excludedfrom participation in, be denied the benefits of, or be subjected to discrimination under anyprogram or activity receiving Federal financial assistance. Section 5310 Subrecipients must

(by the time the contract grant

ation for FTA Performance Measures.annual reports you submit to NYSDOT;

apital equipment may result as a



This tab allows the applicant to explain, through their polices and documentation, that theyunderstand and have experience with the Federal Civil rights requirements. Some of theserequirements have thresholds that might not impact your agency but the basic title VIrequirements for polices and other procedures are in place.

Subrecipients may adopt their own policy, or use the NYSDOT Civil Rights Policy Statement foradaptation or adoption, in compliance with this federal requirement. For more information onTitle VI, please call the NYSDOT Office of Civil Rights at (518) 457-1129, or visit the websitesbelow.

FTA Civil Rights Guidance link: http://www.fta.dot.gov/civil_rights.html

NYSDOT Office of Civil Rights: www.dot.ny.gov/main/business-center/civil-rights/title-vi-ej

NYSDOT Public Transportation Bureau Civil Rights website:https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/civilrights

SAMPLE CIVIL RIGHTS STATEMENT

The statement below, or something like is needs to be prominently displayed in vehicles or inlocations were service are provided.

The (Enter Applicant or Program Name Here) is committed to providing non-discriminatory service to ensure that no person is excluded from participation in,denied the benefits of, or be subjected to discrimination in the receipt of its services onthe basis of race, color, or national origin as protected by Title VI of the Civil Rights Actof 1964 ("Title VI").

To request additional information about Title VI, or if you believe you were subject todiscrimination and would like to submit a written complaint, you may contact:

(ENTER CONTACT INFORMATION HERE)

TITLE VI UPDATE

Question 1 (Certify FTA Certifications & Assurances on file with NYSDOT): The applicant certifiesto filing the FTA Certifications and Assurances with NYSDOT.

Question 2 (Investigations, Lawsuits, or Complaints): Have any investigation, lawsuit, orcomplaint alleging discrimination occurred in the previous three (3) years? If yes, provide aconcise description of any investigations, lawsuits, or complaints alleging discrimination filedagainst the applicant or any subrecipient involved with the application. Include the status oroutcome of these lawsuits or complaints, the resolution of each lawsuit or complaint, and anycorrective actions taken.



Question 3 (Civil Rights Compliance Review): Have any Civil Rights Compliance Review Activitiesor investigations been conducted in the past three (3) years? If yes, provide a summarystatement. If applicable, include the purpose or reason for the review, the name of theorganization or agency that performed the review, and the findings and recommendations ofthe review.

Question 4 (Title VI Plan): Does your agency have a current Civil Rights policy adopted, andconspicuously displayed, that complies with Title VI of the Civil Rights Act of 1964? Incompliance with this federal requirement, subrecipients may adopt their own policy, or use theNYSDOT Civil Rights Policy statement for adaptation or adoption. Attach a copy of youragency’s Title VI plan. If you answer No to this question, please describe how your agency iscomplying with Title VI requirements.

Question 5 (Complaint Procedures): Does your agency have Complaint Procedures? If yes,attach an electronic copy of your agency’s complaint procedures.

Question 6 (Notification and Public Outreach): As a state agency administering federal financialassistance programs, NYSDOT’s Public Transportation Bureau and subrecipients are required toconduct public outreach through a variety of efforts to ensure access for low-income, minority,and limited English proficiency (LEP) populations. Does your agency have a Notification andPublic Outreach process? If yes, attach the relevant documentation. For further information,see the Public Outreach section on the Public Transportation Bureau’s Civil Rights page:https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/civilrights/title-vi-technical-assistance-guidance.

Question 7 (Civil Rights Statement): Agencies must prominently display a Civil Rights Statementin vehicles, the workplace, and general public areas. Successful applicants will be required toupdate the information pertaining to this statement every six (6) months with the submission ofrequired semi-annual reports for awarded projects. See above for a sample Civil Rightsstatement.

Question 8 (project amount threshold): If the project is greater than 100,000, then questions 8aand 8b will be exposed.

DBE UPDATE

Question 8 & 8a: Does your agency have a Procurement Policy for all purchases? Does youragency have a DBE program? If yes, attach the relevant documentation. This allows thereviewers to see if there is a Federal procurement experience within the applicant’sorganization. It also asks if the applicant has their own DBE program that describes how theiragency approaches DBE contracting opportunities including setting goals, analyzing contractingopportunities were the goal was not met, certifying Commercial Useful Function (CUF) in theirimplementation of the federal project.

Question 8b: If your agency has filed a semi-annual DBE report directly to FTA, please upload a



copy of the most recent report.

ADA UPDATE

Question 9: Does your agency have an ADA plan for carrying your consumers/public on yourvehicles? If so, attach a copy of the ADA plan. If no, describe how your agency complies withADA requirements. If the project types are capital construction projects, please describe howthe applicant’s plan and process fits with the municipality’s ADA transition Plan.

Tab 8 – Financial Information

This form asks for agency level expenses and revenues by two general categories: General andtransportation specific. Many of the agencies applying for funding through the FTA Section5310 program have funding that is not specifically designated for transportation. This form triesto understand the financial status of the applicant and what Federal and State sources they aregenerally using to provide the services to the elderly and individuals with disabilities.

As with all forms in this application, the general heading is pulled from the front page for theagency name. However, the first fill-in section of this form asks for the Fiscal year that theagency operates under. This information is important to align the FTA funds with the agency’sreporting periods and to understand the agency’s fiscal year. Definitions of Fiscal Years:

State – April 1 to March 31Federal – October 1 to September 30City - July 1 to June 30Calendar – January 1 to December 31Other – Applicant Defined if Fiscal Year is NOT one of the above choices.

Question 1a and 1b (Agency Expenses & Revenues): Include total Annual Expenses andRevenues for Transportation and All Other Categories. These should be from the agenciesannual reporting mechanism like the Consolidated Fiscal Reporting and Claiming Manual or IRS990 form.16

Question 2 (Historical Federal Funding): Describe and provide the amount of Federal fundingreceived over the last 3 years. The link to the Catalog of Federal Domestic Assistance (CFDA) isfound at https://www.cfda.gov/. This site provides the latest categories and changes to thecatalog to properly attribute federal funds to the right agency.

Question 3 (Historical State Funding): Describe and provide the amount of New York Statefunding received over the last 3 years.

16The CONSOLIDATED FISCAL REPORTING AND CLAIMING MANUAL found at this site is one of the standard

requirements of agencies to fill out for State Financial assistance.http://www.oms.nysed.gov/rsu/Manuals_Forms/Manuals/CFRManual/CurrentYear/Cal2014/123114CFRMANUAL.pdf



Tab 9 & 9a – Federal Certifications and Assurances

Pursuant to federal regulations, all applicants for federal financial assistance under FederalTransit Administration (FTA) Programs must agree to comply with specific Certifications andAssurances applicable to the fiscal year of federal funding availability.

Access the Federal Fiscal Year (FFY) 2015 Master Agreement 21 at:http://www.fta.dot.gov/documents/21-Master.pdf, and the FFY 2015 Certifications andAssurances for FTA Assistance Programs through the FTA website here:http://www.fta.dot.gov/documents/Fiscal_Year_2015_Annual_List_of_Certifications_and_Assurances_for_FTA_Grants_and_Cooperative_Agreements.pdf.

After reviewing the FTA Certifications and Assurances, fill in your organization’s name, checkthe appropriate answer and initial on Tab 9, then provide the required affirmation informationand signatures (Affirmation of Applicant and Affirmation of Applicant’s Attorney) on Tab 9a (2pages when printed). “The Applicant who signs these Certifications, Assurances, andAgreements affirms that the Applicant has adequate authority under applicable State, local, orIndian Tribal law and regulations, and the Applicant's by-laws or internal rules to:

1. Execute and file its application for Federal funds,2. Execute and file its Certifications, Assurances, Charter ServiceAgreement, and School Bus Agreement, as applicable, binding its compliance,3. Comply with applicable Federal laws and regulations, and4. Follow applicable Federal guidance.”17

Answering no to this certification and not supplying the appropriate affirmation and signatureswill result in the disqualification of your application pursuant to your application not meetingfederal financial assistance requirements. Both the Affirmation of Applicant and Affirmation ofApplicant’s Attorney are mandatory to fulfill the legal requirements of this application for FTAfederal financial assistance.

Tab 10 – Public Notice

In accordance with federal requirements (49 U.S.C. 5323 (a) (1)), private for-profit bus, taxi andambulate operators must have a fair and timely opportunity to participate in the developmentof this grant proposal, and afforded a feasible opportunity to provide the proposed servicerequested under this federal funding program. Therefore, when complying with this mandatorysection of the application, be aware that some private for-profit operators may contact you todetermine how they can assist with your transportation needs and to offer their owncontractual service proposals for consideration.

17From the FTA Certifications and Assurances, Group 01 Required Certifications and Assurances for Each Applicant.

A. Assurance of Authority of the Applicant and Its Representative



Applicants must issue a public notice announcing their intent to provide transportation servicesthrough utilization of federal funds; the public notice ensures private for-profit transportationproviders have a fair and timely opportunity to participate. The notice must invite interestedprivate for-profit operators to respond and submit a proposal on the proposed services bysending a written notice within 15 calendar days of the public notice.

To fulfill the public notice requirement, applicants must prepare a public notice for the project,following the form and language of the NYSDOT sample public notice on page 42 of thismanual. Applicants may use the following options:

Option 1: Either, publish the public notice at least one time as a legal notice, or a paidadvertisement in a daily general circulation newspaper covering the service area. Ifthere are no daily newspapers in the service area, a weekly publication will suffice.Applicants must attach a certified copy (notarized affidavit/proof of publication) of theactual legal notice or public notice from the newspaper with the application, and attachany correspondence from operators responding to the notice (if any).18

Option 2: Send by certified mail a typewritten copy of the public notice to all privatebus, taxi and ambulate companies in the proposed project service area. Upload (1) acopy of the actual public notice sent to all private operators, (2) the postmarkedcertified mail receipts for these mailings, and (3) correspondence received from anyoperators in response to the notice (if any).

If you receive inquiries about or objections to your project, you must respond by supplyinginformation about the transportation services that utilize federal funds in this grant proposal.This information should be sufficient to, in turn, be used by the for-profit transportationprovider to provide you with a cost estimate for the service. In response to an inquiry, youmust convey that the for-profit transportation provider may have the option of providing yourproposed service with grant funds, or by leasing the grant vehicle(s) for a negotiated fee. Toassure continuity and appropriate service for your consumers, you have the right to insist upona multiple-year contract, and the specialized type of service your consumers require.Responses to inquries do not have to be completed by application submission, but must besubmitted within 15 days after applications are due.

If received, applicants must evaluate proposals from private for-profit transportation providerson a fully allocated cost basis, by including the annualized value of all grant vehicles, othercapital equipment, mobility management and operating assistance requested, subject to anaward. Utilize fully allocated salary costs even if drivers and other employees are volunteers, aswell as all other estimated operating costs relating to the transportation services proposed andgovernment contributions that will support the project. This ensures equitable evaluations byyour organization.

18Your application will in part be scored based upon the timeliness of your public notice that provides sufficient time for

responses to the notice before the application submission due date. Therefore, it is important to be mindful of the 15 calendarday response period in relation to the application due date.



Applicants must report the lowest cost of service(s) obtained (if applicable) from a private-for-profit transportation provider in order to conduct a per passenger trip cost comparison (seeTab 8, question 5). Following the evaluation of a proposal, should your organization decide notto accept a proposal to operate your transportation service, you must explain your reasons in aletter to the provider (attach a copy of this letter to the application). Should this result in aformal protest or complaint from a transportation provider, contact the staff in the NYSDOTPublic Transportation Bureau for further instruction.

It is to your advantage to resolve any protests, and to use private for-profit transportationproviders when they can provide appropriate service at reasonable rates. Since FTA federalfunds are insufficient to fulfill the needs of all organizations throughout the State, NYSDOTencourages organizations to investigate all potential coordination opportunities. In the eventthat an objection cannot be resolved, the Department may use all relevant service and costdata to evaluate your service in a protest resolution.

An opportunity for a public hearing is required ONLY for Public Agencies requesting Capitalgrants under Section 5310. An application for Section 5310 submitted by a public agency shouldcontain a copy of the notice of public hearing and an affidavit of publication.

Sample Public Notice

Transportation providers and other interested parties are hereby notified that (nameand address of applicant) is applying for a grant, under Section 5310 of Chapter 53 ofTitle 49, United States Code, for (describe project type(s) to (describe purpose(s)) within(service area) to meet the needs of elderly individuals and individuals with disabilities.

The purpose of this notice is to invite private for-profit bus, taxi, ambulette operatorsand other interested parties to participate in the development of proposed grantproject(s) and in the provision of enhanced transportation services to elderly individualsand individuals with disabilities. Please contact (name and telephone number of contactperson) within 15 calendar days of this public notice to request a copy of the project(s)proposed. Comments on proposed projects must be submitted to (name of applicant)within l5 calendar days after receipt of the proposed project information.

*Special Note Regarding Appropriate Languages of Public Notice: In addition to your Title VIPlan, you must prepare and publish the Public Notice above in languages appropriate in theservice area(s) of the proposed project(s).

Tab VEH 1 – Vehicle Capital Proposed Project Description

Project Period: The proposed project period should span the longest useful life of the vehicles



being requested in the application. Contracts for maintenance and reporting will have to spanthat period.

Question 1a (Project Description): The proposed project description should be thorough, asevaluators will rely heavily on the narrative in reviewing and ranking a grant application. Theproject description should not repeat the current system description shown on Tab 3 - PrimaryPurpose.

Question 1b (Planned use of a grant award): Select the best description for use of these grantaward funds – continue existing level of services; expand present service; or provide newservice.

Question 2 & 2a (Explain the unmet need project seeks to address): This question furtherjustifies eligibility as an applicant seeking federally funded capital and operating assistance toprovide transportation services to seniors and individuals with disabilities where publictransportation service is unavailable, insufficient or inappropriate. Demonstrate how theproposed project(s) do not duplicate other services in the proposed service area.

Question 3 & 3a (Main Objective for Proposed Project): From this list, select the main objectiveof this proposed project: 1) increase transportation opportunities for individuals withdisabilities beyond ADA requirements; 2) Improve access to fixed-route service and decreasereliance by individuals with disabilities on complementary paratransit, or; 3) Increasealternatives to public transportation that assist seniors and individuals with disabilities.

Insert narrative/clarification here.Explain how the proposed project addresses the identified main Section 5310 objective. Forexample, will the proposed service offer more service hours, service a larger geographic area,allow shorter headways, or increase the trip frequency?

Question 4 (Continuing Control and Maintenance Procedures): Applicant must demonstrate howthey will maintain control over real property, facilities, vehicles and other equipment andensure that they are used in transit service. If project proposes to purchase vehicles or othercapital equipment, provide, in detail, maintenance procedures for those assets.



Tab VEH 2 – Detailed Vehicle Requests (Specifications & Costs)

Vehicles purchases will be through a NYS Office of General Services (OGS) contract developed specifically under FTA federal fundingprocurement guidelines and built to the specifications of this contract. Please note, all listed unit prices are estimate-only. Aftergrant award, equipment orders issued by NYSDOT list the exact pricing. These equipment orders detail the exact federal and localmatch portion of the vehicle(s) and related capital equipment and will be based exclusively upon the equipment catalog selections asspecified on the VEH 2 Tab. During the contracting phase of the program, there may only be one opportunity to amend orders ofawarded vehicles. The chart below details the vehicle specifications for all available vehicle types.

Vehicle Specifications1

Type Body Chassis GVWR EngineTrans-mission

Wheel-base

LengthInt.Width

Head-room

StandardSeating2

Type ICoach &Equipment

Single Rear-Wheel (SRW) 10,050 lbs.Ford E-3505.4L V-8 gas

5R110W 138" ~20' max. 85" 77"6 AA

3,

1W/C

Type I-ACoach &Equipment

Dual Rear-Wheel (DRW) 11,500 lbs.Ford E-3505.4L V-8 gas

5R110W 138" ~21' min. 90" 80"8 AA,1W/C

Type IICoach &Equipment


5R110W 158" ~24' 92" 80"10 AA,2 W/C

Type II-LF Arboc Mobility Chevrolet CG33803 14,200 lbs. 6.0L V-8 gas 6L90 163" ~24' 92" 76"10 AA,2 W/C

Type IIICoach &Equipment


5R110W 176" ~24' 92" 80"14 AA,2 W/C

Type III-LF Arboc Mobility Chevrolet CG33803 14,200 lbs. 6.0L V-8 gas 6L90 191" ~26' 92" 76"14 AA,2 W/C

Type IVGeneral CoachAmerica-Champion

IC-HC Series 27,380 lbs.Maxx Force6.4L diesel

Allison; 250PTS

254" ~36' 90" 78"38 AA,2 W/C

Type VI Glaval; Entourage Torg Shift 17,000 lbs.Ford F-5506.7L diesel

4 speed,Allison 1000

215" ~29' 92" 78"28 AA,2 W/C

Type VIIDodge Caravan(Braun Conversion)

Dodge Grand Caravan5,000lbs.

2.0L4-cyl. gas

115" ~17' 62.5" 58"6 AA,2 W/C

1) Vehicles have Freedman seating, rear emergency exit door and installed wheelchair lift with special service door (except Type II-LF & III-LF installed entry-door poweredwheelchair ramp). 2) Standard Floor Plan subject to modification pursuant to changes in federal/state regulations and/or selected bus manufacturer. 3) AA=Adult Ambulatory


NYSDOT Application Manual & Guidance Instructions

In completing the columns under the Operational chart, for replacement vehicle(s) entercurrent numbers from retiring vehicles. For expansion vehicle(s), estimate the numbers youanticipate/project. Please add the number of days this vehicle will be in service, if this includesweekends, what the average hours per day for this vehicle, the average miles driven each day,and the wheelchair configuration. Finally calculate the estimated on one-way trips the vehiclewill provide by at least estimated that two trips per day per individual served by the number ofdays in service. Number of One-Way Passenger Trips, provided to seniors and individuals withdisabilities, affects the overall rating of applications.

Use the “Detailed Vehicle Request Form” for each requested vehicle; indicate the selectedvehicle type, and Expansion or Replacement. If requesting more than one vehicle, list thevehicles in priority order. After vehicle selection, estimated unit price is automaticallycalculated; choose the desired “Quantity,” within the identified ranges in the “Notes” section ofthe chart. Make sure to include the number of selected wheelchair restraint systems forwheelchair positions and flip seat options for each bus. Once subrecipients finalize selections,the requests will automatically calculate into the total “Grant Request Amount” and fill-in onTabs 2 and 2a. Note: the total cost of the proposed grant project(s) may not exceed$1,000,000; vehicle requests may not exceed eight (8) vehicles, regardless of vehicle Type19.

Adult Ambulatory Passenger Capacity as ImpactedBy the Number of Wheelchair Positions CHART (ESTIMATED)

Corresponding Impact on Adult Ambulatory Capacity(not including optional flip seats)

# WheelchairPositions

0 1 2 3 4 5 6 7 8 9 10

Ve

hic

leTy

pe

Type I 11 6 4 N/A N/A N/A N/A N/A N/A N/A N/A

Type I-A 16 8 6 2 0 N/A N/A N/A N/A N/A N/A

Type II 20 N/A 10 6 2 N/A N/A N/A N/A N/A N/A

Type II-LF 18 N/A 12 6 2 0 N/A N/A N/A N/A N/A

Type III 24 N/A 14 10 6 2 0 N/A N/A N/A N/A

Type III-LF 22 N/A 14 10 6 3 0 N/A N/A N/A N/A

Type IV 38** N/A 26 22 20 16 14 10 8 4 2

Type VI 28 N/A 16 12 10 4 2 0 N/A N/A N/A

Type VII 6 N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

*The Americans with Disabilities Act (ADA) requires a minimum of two (2) wheelchair spaces in buses that are over

22 feet long (only the Type I & I-A bus are less than 22 feet in length).**

The 32-foot (32-passenger) option for a Type IV vehicle will seat 20 adult ambulatory w/ minimum required two(2) wheelchair spaces.

IMPORTANT NOTES

19Please note that the Department does increase the contracted amounts for awarded vehicles by 15% as a contingency to

protect against unanticipated price increases or equipment modifications, which does affect the local match amount requiredduring the program-contracting phase. You do not need to calculate this in the “Grant Request Amount” of the application.



Ambulatory seating capacity may vary from the above chart, depending upon changingfederal or state regulations, bus body manufacturer, location of wheel wells, and theaddition of optional flip seats

Each size bus with zero (0) wheelchair positions denotes maximum ambulatory seatingavailable if there is no installed wheelchair lift or wheelchair positions (not permitted,shown for informational purposes only)

One (1) wheelchair position is available on the Type I and I-A buses only. The larger (over22’) buses require at least two (2) wheelchair positions. Make sure Tab VEH 2 – DetailedVehicle Requests reflects this in the “Wheelchair and Occupant Restraint System”

ADA requires the “Wheelchair and Occupant Restraint System.” All wheelchairs mustface forward; these systems allow accommodation for all sizes and styles of wheelchairs.Because wheelchair positions and restraint systems require additional space in thevehicles, the result is the estimated adult ambulatory capacities listed in the above chart

Tab INV 1 – Current Vehicle and Transportation EquipmentInventory Form

This tab is only exposed if the applicant is filling out the capital (vehicle), operating assistance orcapital cost of contracting. Include a current list of all vehicles and equipment used by theapplicant to transport individuals, including those bought in previous years with Federal funds;those bought with other than Federal funds; those now on order; and those to be ordered withgrant awards made in previous years. Complete all columns. If you have a vehicle fleet ofmore than 20 vehicles, please scan the most recent inventory and attached it at the bottom ofthe inventory form. Make sure to mark/check vehicles that you seek to replace with this grantapplication. Also include any other transportation asset inventory, including, computerhardware or software, copiers, printers, mobile radios, communications systems, etc. that aregermane to the project application. Make sure to identify the grant or other funding source(s)used for purchasing the vehicles and other transportation assets listed in the inventory. Usethe “Click Here to Attach a File” button below the inventory table to add documents.

Tab CAP 1 – Other Capital Requests (Non-Vehicle)

Project Period: The proposed project period should span the period of time that the useful lifeof the asset being purchase.


Question 1b (Planned use of a grant award): Select the best description for use of these grant



award funds – continue existing level of services; expand present service; or provide newservice. This choice should align with the Performance Measures identified in Tab 6 –Performance Measures.

Question 2 & 2a (Explain the unmet need project seeks to address): This question furtherjustifies eligibility as an applicant seeking federally funded capital to provide transportationservices to seniors and individuals with disabilities where public transportation service isunavailable, insufficient or inappropriate. Demonstrate how the proposed project(s) do notduplicate other services in the proposed service area.

Question 3 (Main Objective for Proposed Project): From this list, select the main objective of thisproposed project: 1) increase transportation opportunities for individuals with disabilitiesbeyond ADA requirements; 2) Improve access to fixed-route service and decrease reliance byindividuals with disabilities on complementary paratransit, or; 3) Increase alternatives to publictransportation that assist seniors and individuals with disabilities.

Question 4 (Continuing Control and Maintenance Procedures): Applicant must demonstrate howthey will maintain control over real property, facilities, other non-bus/OGS vehicles and otherequipment and ensure that they are used in the proposed service. If project proposes topurchase vehicles or other capital equipment, provide, in detail, maintenance procedures forthose assets.

Question 5 (1), (2), (3) (Determination of Project Cost): If requesting another type of equipment,such as communications equipment or scheduling software, then the applicant puts in the totalanticipated cost of the equipment. Provide supporting documentation, such as quotes fromvendors, Independent Cost Estimates (ICE), etc., which substantiate the anticipated andrequested cost. If unit cost is inapplicable, or not easily calculable (i.e. does not have a specificnumber), list one (1) unit, and provide detailed explanation. Identify the source(s) and amountsof matching funds. Attach additional supporting documentation as necessary. Verify theamounts listed on the other capital requests tab match the total on Tab 2a – Grant Request.These figures then automatically calculate onto Tab 2 – Cover as the total grant requestamount.

(Non-Vehicle) Capital Budget Information

Step 1: Detail the expenses for the project. The project asks for a description of the purchasebeing made, the number of estimated units, the per-unit cost of each unit and will calculate thetotal cost. For more detailed construction cost it is appropriate to enter categories of work andsum the total. However, it will be helpful to the reviewers to attach a more detailed list ofthose costs.

The next section is the recommended Federal and No-Federal share of the project based on theinformation provided in number 1.

Step 2: This is the listing for the local match that is proposed to meet the requirements of the



project. These funds can include local, state or other non-USDOT federal funds. Please provideas much detail as necessary in the description. If the local match exceeds the minimumrequired, then the Federal share must be lowered by that overmatch amount. This amount isautomatically calculated based on the Local fund applied to the project.

Upload Section for Non-vehicle Capital: Since the applicant is asking for an estimated amountfor a project, they must have done some research on what this purchase would cost. Anindependent cost estimate is very important to the reviewers and NYSDOT as it speaks to theability of the project to come in at the budget requested. In addition, any other files to beuploaded here need a description of why you are attaching them. Quotes, design documents,more detailed budgets, etc are all valuable to the reviewers trying to understand what theproject details are about and how these funds will contribute.

Tab CCoC 1 – Capital Cost of Contracting

The ability to include the capital cost of providing service is a way to transfer some of the largercost to have a transportation program into an operating cost that can benefit from this uniqueprogram. Some FTA recipients turn to an outside source to obtain public transportationservice, maintenance service, or vehicles that the recipient will use in public transportationservice. When recipient's contract for such service, FTA will provide assistance with the capitalconsumed in the course of the contract. In the case of a contractor's providing vehicles forpublic transportation service, the capital consumed is equivalent to the depreciation of thevehicles in use in the public transportation service during the contract period. In the case of amaintenance contract, the capital consumed may be, for example, depreciation of themaintenance garage, or depreciation of the machine that lifts the vehicle. Capital consumedmay also include a proportionate share of the interest the contractor might pay out as thecontractor purchases and makes available to the recipient of these capital assets. FTA refers tothe concept of assisting with capital consumed as the "capital cost of contracting." For furtherinformation on capital cost of contracting, please see FTA’s website:http://www.fta.dot.gov/13057_9252.html.

Project Period: The proposed project period should span the entire period that the agency willexpect to be reimbursed with federal funds. Please ensure to multiply your annual budget bythe number of years to start with the total cost of the entire project period.






Question 3 & 3a (Main Objective for Proposed Project): From this list, select the main objectiveof this proposed project: 1) increase transportation opportunities for individuals withdisabilities beyond ADA requirements; 2) Improve access to fixed-route service and decreasereliance by individuals with disabilities on complementary paratransit, or; 3) Increasealternatives to public transportation that assist seniors and individuals with disabilities.Explain how the proposed project addresses the identified main Section 5310 objective. Forexample, will the proposed service offer more service hours, service a larger geographic area,allow shorter headways, or increase the trip frequency?

Question 4 (Lease of Services-Cost Efficient): Applicant must demonstrate how the lease ofservices is more cost effective than your agency providing these services?

Question 5 (Lessee/Private Operator Information): If agency proposes to utilize a lessee orprivate operator under contract to use vehicles or equipment, provide their contactinformation.

Capital Cost of Contracting Budget Information

Step 1: Detail & List Expenses: List the expenses for the project and use the “Insert Item” tab toadd table rows for additional expenses. Make sure the project budget requested covers theentire project period. If applying for a two year project, make sure two years of funding isapplied for. Here the capital items that are part of the contract with the provider should belined out so the evaluation understands how this project is assembled to provide a lastingarrangement that will benefit the target population.

Step 2 Calculate Revenue & Subsidy: Please list the fare paying passenger revenue from theservices provided. Since this is not multiple line items, one number should represent all farepaying passengers. If there are nuances to those revenues, please document that on anattachment at the bottom of the form.

Step 3: This automatic calculation subtracts the fares from the total cost of the project. Thiscalculation results in the net operating deficit that FTA uses as part of the match calculation.

Step 4: The applicant must fill in the percent that the operator supplies in capital equipment torun this service. The number can be from 0 to 100%. This percentage helps to determine thefederal participation in the project.



Steps 5a & 5b: These two calculate the sliding scale of participation by the FTA from 40 wherethere is no equipment provided by the operator, to 50 percent where the operator provides allthe equipment. The second calculation determines the final Net Operating Deficit (NOD).

Steps 6 & 7: These steps determine the maximum federal and minimum local participation inthe project. Again, these are calculations and nothing is required on these rows.

The next step of the process is Item 3 – LOCAL & FEDERAL SHARE. This is the listing for the localmatch that is proposed to meet the requirements of the project. For this portion of theapplication the local match will only bring the total available to 50% of the Net OperatingDeficit. The 50% provided with non-federal funds is not included here and must be providedby the Applicant from other local sources.

The next section lists the recommended federal /non-federal split of the funds required to meet

the 50%

Number 4 & 5: This portion of the worksheet lists the recommended Federal share and then

asks the applicant to enter the actual amount requested. Here an applicant could provide more

than the required 20% of 50% of the total Net Operating Deficit.

TABLE CCoC1– PROJECT DETAILS

This table at the end of the form will allow the evaluators to see the hourly unit cost and per

mile cost of the proposed service. If there are other service measures beyond three that you

want to add, click the “Insert Item” at the bottom left of the table to add more lines.

Finally, use the upload to provide the contract with the service provider (or draft contract if this

is a proposal for new service). This upload only allows one document. If there are additional

document to describe the CC0C Project, please use Tab 3, under Item 1a to add additional files.

Tab MM 1 – Mobility Management Requests


Question 1 (Proposed Project): Describe the proposed project in box 1a and select the primarypurpose for project award. If multiple project purposes, please use box 1a to provide additionaldetails.

Question 2 (Unmet Need): Provide a detailed description of the unmet need that the proposedmobility management will address and describe how that unmet need was determined.



Question 3 (Objective): Select the main project objective and describe in box 3a how the projectwill meet the objective.

Question 4 (Project Cost): How was the project cost determined? Provide justification for theproject costs. If applying for capital items over $5,000 to support mobility management; i.e.,computer software, call centers, dispatch equipment, etc., then apply for these capital itemsunder Non-Personnel Services (Other) category and describe each item. Documentation of CostEstimates for Mobility Management capital items should be listed here and supportingdocuments of cost estimates attached in Tab 3, under Item 1a.

Make sure the project budget requested covers the entire project period. If applying for a twoyear project, make sure two years of funding is applied for.

Question 5 (Insufficient Current Revenue Sources): Explain why the revenue sources listed areinsufficient to provide the proposed project services.

Question 6 (Efforts to Leverage Other Funds): Describe efforts to leverage funds from othersources to implement/provide these services.

Mobility Management Budget Information

Question 1 (Management): Describe the agency’s experience and ability to manage projects.Include specific details of Mobility Management experience.

Question 2 (Personnel): List all staff that will assist in this proposed mobility managementproject and complete all required information in the table. To add more rows to the table foradditional staff, click on “insert item” below the table on the left side.

Question 3 (Non-Personnel Services): Provide information on all equipment, facility, rent,utilities, etc. requested for the proposed project. If applying for capital items over $5,000 tosupport mobility management; i.e., computer software, call centers, dispatch equipment, etc.,then apply for these capital items here under Other and describe each item. Documentation ofCost Estimates for Mobility Management capital items should be listed in Question 4 above andsupporting documents of cost estimates attached in Tab 3, under Item 1a.

Question 4 (Match): Provide the amount and source of the local match. In-kind match isacceptable and must be well documented. If using multiple sources of local match, click on“insert item” below the table on the left side to add more rows. The local share must at leastmatch the non-federal amount listed above it (minimum of 20%) and can exceed the amount.

Question 5 (Skipped): There is no Question 5

Question 6 (Federal Share): Enter the federal share requested and ensure that the matchamount and federal share equal the total project cost. If not, you will be prompted to adjustthe amounts.



Tab OA 1 – Operating Assistance Request





Question 3 & 3a (Main Objective for Proposed Project): From this list, select the main objectiveof this proposed project: 1) increase transportation opportunities for individuals withdisabilities beyond ADA requirements; 2) Improve access to fixed-route service and decreasereliance by individuals with disabilities on complementary paratransit, or; 3) Increasealternatives to public transportation that assist seniors and individuals with disabilities.Explain how the proposed project addresses the identified main Section 5310 objective. Forexample, will the proposed service offer more service hours, service a larger geographic area,allow shorter headways, or increase the trip frequency?

Question 4 (Narrative on Operations and Maintenance): This section requires that the applicantexplain the type of operation that will ensure that federal funds are expended in an appropriatemanner and that there is a plan to ensure that all assets providing this service have amaintenance plan and staff to carry it out. Even if there is no capital request and there is onlythis operating request, this section must describe how these funds will not be wasted oninefficient or service that do not have a standard plan of operation.

Operating Assistance Budget Information

Question 1 (Personnel): List all staff that will assist in this proposed mobility managementproject and complete all required information in the table. To add more rows to the table foradditional staff, click on “insert item” below the table on the left side.

Question 2 (Non-Personnel Services): Provide information on all equipment, facility, rent,



utilities, etc. requested for the proposed project. If applying for capital items over $5,000 tosupport mobility management; i.e., computer software, call centers, dispatch equipment, etc.,then apply for these capital items here under Other and describe each item. Documentation ofCost Estimates for Mobility Management capital items should be listed in Question 4 above andsupporting documents of cost estimates attached in Tab 3, under Item 1a.

Question 3 (Fares): Please list the fare paying passenger revenue from the services provided.This is a multiple line items so you can detail the source of each of the fare paying sources inyour list.

Question 4 (Other FTA match): IF there are other FTA funds as part of this service, please enterthe amount and an additional line for the matching funds to this amount. Since FTA fundscannot match each other r use the same local share twice, this amount and the match have tobe taken off the top of the calculation to get to the eligible cost.

Question 5 (calculation of final net operating deficit): This is a calculation that determines thelevel of funding that the 50% operating assistance is calculated against.

Question 6 (Matching Share): Provide the amount and source of the local match. In-kind matchis acceptable and must be well documented. If using multiple sources of local match, click on“insert item” below the table on the left side to add more rows. The local share must at leastmatch the non-federal amount listed above it (minimum of 50%) and can exceed the amount.Detail and list all matching funds, including local, state, and other non-USDOT Federal funds.

Question 7 (Maximum Federal Share Amount): This is a calculation of the recommendedfederal amount is based on the local share that was entered.

Question 8 (Federal Share Request): This is an entry field that should match the figure innumber 7. If there are not enough funds in the local share and the entry here, it will show anerror to correct. IF the funds here are more than the 50% eligible or overmatch the totalproject cost it will ask you to change the totals. Verify the “Eligible 5310 Federal share award”amount match the figures calculated on Tab 2a – Grant Request and Tab 2 – Cover as the totalgrant request amount.

Operating Assistance (OA1) - PROJECT DETAILS

Fill-in the “Operating Project Details,” including the route length, number of trips, riders perday, and cost per day for each type of service (if applicable). If the service type is notapplicable, please enter 0 as these are required fields.



ACRONYMS

FTA – Federal Transit AdministrationMPO – Metropolitan Planning OrganizationNYSDOT – New York State Department of TransportationPTB – Public Transportation Bureau (NYSDOT)USDOT – United State Department of TransportationNYMTC – New York Metropolitan Transportation Council (MPO)TMA – Transportation Management Area

General Definitions

Capital Asset: Facilities or equipment with a useful life of at least one year.

Capital Lease: Any transaction whereby the recipient acquires the right to use a capital assetwithout obtaining full ownership regardless of the tax status of the transaction.

Capital Project: Reimbursable project expenses that include all activities identified in 49 U.S.C.5302(3).

Traditional Section 5310 Capital Projects: Public transportation capital projects planned,designed, and carried out to meet the special needs of seniors and individuals with disabilitieswhen public transportation is insufficient, inappropriate, or unavailable and carried out byeligible subrecipients.

Coordinated Public Transit-Human Service Transportation Plan (Coordinated Plan): A locallydeveloped, coordinated transportation plan that identifies the transportation needs ofindividuals with disabilities, seniors, and people with low incomes, provides strategies formeeting those local needs, and prioritizes transportation services for funding andimplementation.

Equipment: An article of nonexpendable, tangible personal property having a useful life ofmore than one year and an acquisition cost which equals or exceeds the lesser of thecapitalization level established by the governmental unit for financial statement purposes, or$5,000. Equipment includes rolling stock and all other such property used in the provision ofpublic transit service.

Expansion of Services: Vehicle(s) requested under this grant program application to providenew specialized transportation services for seniors and/or individuals with disabilities notalready receiving these transportation services through your organization.

Grantee: See subrecipient definition.



Human Service Transportation: Transportation services provided by, or on behalf of, a humanservice agency to provide access to agency services and/or to meet the basic, day-to-daymobility needs of transportation-disadvantaged populations, especially individuals withdisabilities, seniors, and low-income individuals.

Individuals with Disabilities: Any individual, who, through illness, injury, age, congenitalmalfunction, or other permanent or temporary incapacity or disability (including any personwho uses a wheelchair or has semi-ambulatory capabilities), without special facilities, is unableto utilize public transportation facilities and services effectively.

Large Urbanized Area: Urbanized area (UZA) with a population of 200,000 or more individuals;determined by the Bureau of the Census.

Metropolitan Planning Organization (MPO): The policy board of an organization designated incooperation with the State and public transportation operators to carry out the metropolitanplanning process, including development of long-range transportation plans and transportationimprovement programs for metropolitan planning areas of a State.

Mobility Management: Consists of short-range planning and management activities andprojects for improving coordination among public transportation and other transportationservice providers carried out by a recipient or subrecipient through an agreement entered intowith a person, including a government entity, under 49 U.S.C. Chapter 53 (other than section5309). Mobility management does not include operating public transportation services.

Non-profit Organization: Corporation or association determined by the Secretary of theTreasury to be an organization described by 26 U.S.C. 501(c) which is exempt from taxationunder 26 U.S.C. 501(a) or one determined under State law to be non-profit and for which thedesignated State agency has received documentation certifying the status of the non-profitorganization.

One-Way Passenger Trip: One-way origin to destination trip by one individual.

Operating Expenses: Costs necessary to operate, maintain, and manage a public transportationsystem; usually include such costs as driver salaries, fuel, and items having a useful life of lessthan one year.

Preventive Maintenance: All maintenance costs related to vehicles and non-vehicles.Specifically all activities, supplies, materials, labor, services, and associated costs required topreserve or extend the functionality and serviceability of the asset in a cost effective manner,up to and including the current state of the art for maintaining such an asset.

Public Transportation: Regular, continuing shared-ride services, open to the general public orto a segment of the general public defined by age, disability, or low income. Does not include:intercity passenger rail transportation; intercity bus service; charter bus service; school bus



service; sightseeing service; courtesy shuttle service for patrons of one or more specificestablishments; or intra-terminal or intra-facility shuttle services.

Replacement of Services: Vehicle(s) requested in this application will replace existing vehiclesthat provide specialized transportation services to seniors and/or individuals with disabilities(existing vehicle does not have to be a Section 5310-funded vehicle).

Rural Area: An area encompassing a population of fewer than 50,000 people that notdesignated in the most recent decennial census as an ‘urbanized area’ by the Secretary ofCommerce.

Seniors: FTA defines a senior as 65 years of age or older

Small Urbanized Areas: An urbanized area (UZA) with a population of at least 50,000 but lessthan 200,000 determined by the Bureau of the Census.

Subrecipient: A State or local governmental authority, a private nonprofit organization, or anoperator of public transportation that receives a grant under Section 5310 indirectly via arecipient (NYSDOT).

Transportation Management Area (TMA) : An urbanized area (UZA) with a population of at least200,000 determined by the Bureau of the Census. This could be a portion of an MPO area, anentire MPO area or a combination of MPOs as in the Hudson Valley TMA which consists of threeMPOs.

Urbanized Area (UZA): Area encompassing a population, not less than 50,000 people, definedand designated in the most recent decennial census as an “urbanized area” by the Secretary ofCommerce.



NYSDOT Contact Information

Office For Inquiries Within Section 5310 Contact

MainOffice

Statewide

Tom Vaughan, Acting DirectorPublic Transportation Bureau50 Wolf Road, POD 5-4Albany, NY 12232(518) 457-8335

Region 1Albany, Essex, Greene, Rensselaer, Saratoga,Schenectady, Warren, Washington

Peter Rea(518) 388-0443

Region 2Fulton, Hamilton, Herkimer, Madison,Montgomery, Oneida

Tim Lusher(315) 793-5375

Region 3Cayuga, Cortland, Onondaga, Oswego, Seneca,Tompkins

John Reichert315-428-4405

Region 4Genesee, Livingston, Monroe, Ontario, Orleans,Wayne, Wyoming

Charles McGarry(585) 272-3425

Region 5 Cattaraugus, Chautauqua, Erie, NiagaraPaul Gavin(716) 847-3246

Region 6 Allegany, Chemung, Schuyler, Steuben, YatesBill Piatt(607) 324-8412

Region 7 Clinton, Franklin, Jefferson, Lewis, St. LawrenceOwen Virkler(315) 785-2255

Region 8Columbia, Dutchess, Orange Putnam, Rockland,Ulster Westchester

P.J. Gohel(845) 431-5795

Region 9Broome, Chenango, Delaware, Otsego,Schoharie, Sullivan, Tioga

Ron Coleman(607) 721-8079

Region 10 Nassau, SuffolkLanny Wexler631-952-6108.

Region 11 Bronx, Kings, New York, Queens, RichmondAlton Treadwell(718) 482-4564



Metropolitan Planning Organizations (MPOs)

MPO Contact Counties Covered Phone #

Mr. Kelly Dixon, Buffalo Area MPOGreater Buffalo-Niagara Regional Transportation Council438 Main StreetBuffalo, NY 14202

Erie,Niagara

(716) 856-2026

Mr. Jim Stack, Rochester Area MPOGenesee Transportation Council50 West Main Street, Suite 8112Rochester, NY 14614-1227

Genesee, Livingston,Monroe, Orleans, Ontario,Seneca, Wayne, Wyoming,Yates

(585) 232-6240

Mr. Mario Colone, Syracuse Area MPOSyracuse Metropolitan Transportation Council100 Clinton Square, 126 N. Salina St, Suite 100Syracuse, NY 13202

Onondaga (315) 422-5716

Ms. Barbara Hauck, Utica-Rome Area MPOHerkimer-Oneida Counties Transportation StudyUnion Station, 321 Main StreetUtica, NY 13501

Herkimer,Oneida

(315) 798-5710

Ms. Anne Benware, Albany-Schenectady-Troy Area MPOCapital District Transportation CommitteeOne Park PlaceAlbany, NY 12205

Albany, Schenectady,Rensselaer,Saratoga

(518) 458-2161

Ms. Kate Mance, Glens Falls Area MPOAdirondack/Glens Falls Transportation Council11 South St, Suite 203Glens Falls, NY 12801

Saratoga, Warren,Washington

(518) 223-0086

Ms. Tina Hager, Elmira Area MPOElmira-Chemung Transportation Council400 East Church Street, PO Box 588Elmira, NY 14901

Chemung (607) 737-5510

Ms. Jennifer Yonkoski , Binghamton Area MPOBinghamton Metropolitan Transportation StudyBroome Co. Office Building, PO Box 1766Binghamton, NY 13902-1766

Broome,Tioga (607) 778-2443

Mr. Rob Parrington, Newburgh Area MPOOrange County Transportation CouncilOrange County Planning Department, 124 Main StreetGoshen, NY 10924-2124

Orange (845) 615-3840



MPO Contact Counties Covered Phone #

Mr. Mark Debald, Poughkeepsie Area MPOPoughkeepsie/Dutchess County Transportation CouncilDutchess County Planning Department, 27 High StreetPoughkeepsie, NY 12601

Dutchess (845) 486-3600

Mr. Dwight Mengel, Ithaca Area MPOIthaca/Tompkins County Transportation Council121 East Court StreetIthaca, NY 14850

Tompkins (607) 274-5570

Mr. Brian Slack, DirectorUlster County Transportation Council244 Fair Street, PO Box 1800Kingston, NY 12402-0080

Ulster (845) 340-3340

Ms. Angelina Foster, NYMTC 5310 Program ManagerNYMTC, Central Offices25 Beaver Street, Suite 201New York, NY 10004

See Below (212)-383-7200

NYMTC, ,Mid-Hudson South TCC4 Burnett BoulevardPoughkeepsie, NY 12603

Rockland, Putnam,Westchester

NYMTC, NY City TCC47-40 21st Street, 9th FloorLong Island City, NY 11101

Bronx, Kings,New York, Queens,Richmond

NYMTC, Nassau/Suffolk TCC250 Veterans Memorial Highway, Rm. 4AHauppauge, NY 11788-5518

Nassau,Suffolk



Locally Developed Coordinated Plan – CountyContacts (For Areas Outside an MPO)*

County Name of Coordinator Phone Contact

Allegany Co. Mitchell Alger, County Administrator (585) 268-5860

Cattaraugus Co. Jack Searles, County Administrator (716) 938-2577

Cayuga Co. Wayne Allen, County Manager (315) 253-1273

Chautauqua Co. Cheryl Gustafson, Senior Project Coordinator (585) 665-6466

Chenango Co. Richard Decker, Chairman, Board of Supervisors (607) 337-1700

Clinton Co. James Bosley, County Planner (518) 565-4713

Columbia Co. Ken Flood, Planning Director (518) 828-3375

Cortland Co. Dan Dineen, Planning Director (607) 753-5248

Delaware Co. Nicole Franzese, Planning Director (607) 746-2994

Essex Co. Nancy Dougal, County Transportation Coordinator (518) 873-3689

Franklin Co. Mary Goodman, Transportation Coordinator (518) 481-1598

Fulton Co. James Mraz, Planning Director (518) 762-0660

Greene Co. Warren Hart, Planning Director (518) 622-3251

Jefferson Co. Jennifer Voss, Assistant Planner (315) 785-3144

Madison Co. Scott Ingmire, County Planning Dept. (315) 366-2378

Montgomery Co. William Roehr, County Planning Dept (518) 853-8155

Oswego Co. Martin Weiss, Associate Planner (315) 349-8292

Otsego Co. Karen Sullivan, Planning Director (607) 547-4225

St. Lawrence Co. Andrea Montgomery, Office for the Aging (315) 386-4730

Schoharie Co. Christine Kraemer, Public Transportation Director (518) 234-0952

Schuyler Co. Tim O’Hearn, County Administrator (607) 535-8100

Steuben Co. Amy Dlugos, Planning Director (607) 776-9631

Sullivan Co. Edward McAndrews, Deputy Commissioner (845) 807-0272

*If county not listed above, and outside of an MPO, please contact the NYSDOT Public Transportation Bureau at(518) 457-8335 concerning the locally developed coordinated planning requirement for your organization.



Statewide Application Review Committee(SARC)

Pursuant to Federal and State Executive Orders, designated State Agencies involved withprograms to seniors and individuals with disabilities act on a Committee to provide theirexpertise and assist in the Section 5310 program application intergovernmental review for ruralareas. In addition to NYSDOT, the State Agencies listed below are eligible to participate in thereview of the rural 5310 applications. NYSDOT and Metropolitan Planning Organizations(MPOs) will review urban 5310 applications and appropriate local agencies that arestakeholders in the coordinated planning process may participate in the review of urban 5310applications.

New York State Department of Transportation (Administering Agency)50 Wolf Road

Albany, NY 12232

NYS Justice Center for the Protection of People with Special Needs161 Delaware AveDelmar, NY 12054

NYS Office for the AgingAgency Building No. 2 - Empire State Plaza

Albany, NY 12223

NYS Department of Health99 Washington Avenue, Suite 607

Albany, NY 12210

NYS Office of Mental Health44 Holland AvenueAlbany, NY 12229

NYS Office for People With Developmental Disabilities44 Holland AvenueAlbany, NY 12229

NYS Developmental Disabilities Planning Council99 Washington Ave, Suite 1230

Albany, NY 12210

Adult Career & Continuing Education Services – Vocational Rehabilitation(ACCESS–VR, NYSED)

89 Washington Ave, Rm 580 EBAAlbany, NY 12234



NYSDOT Section 5310 - 2015 ApplicationSolicitation Workshop Schedule

Date Time Location

May 13, 2015*

11am-1pmNEW YORK, NY 10041***NYC DOT -1

stFloor

55 Water St.

To Be Determined (TBD) TBDEAST FARMINGDALE, NY 11735Republic Airport7150 Republic Airport

TBD TBDWESTCHESTER, NY 10601County Government Center148 Martine Ave

May 12, 2015*

10am -12pm

SYRACUSE, NY 13202State Office Building – 7

thFloor

333 E. Washington Street(Parking in Lot D or nearby Paid Lots)

May 13, 2015*

10am-12pm

BUFFALO, NY 14203NYSDOT Region 5 Office100 Seneca Street, 1

stFloor Buffalo Room

(PAID PUBLIC PARKING AREAS MUST BE USED)

May 13, 2015*

10am-12pm

HORNELL, NY 14843NYSDOT Region 6 Basement Training Room107 Broadway(PUBLIC PARKING IN LOT B next to Police/FireStation.

May 14, 2015*

10am-12pm

BINGHAMTON, NY 13901Binghamton State Office BuildingCommunity Room44 Hawley Street

May 14, 2015*

10am-12pm

ROCHESTER, NY 14623NYSDOT Region 4 Office – Classroom 2031530 Jefferson Road(PAID PUBLIC PARKING AREAS MUST BE USED)

May 15 2015*

10am-12pm

PLATTSBURGH, NY 12901Clinton County Government Center MeetingRoom137 Margaret Street(Limited Visitor Parking & 2Hr On-StreetParking)

May 18,2015*

10am-12pmPOUGHKEEPSIE, NY 12603NYSDOT Region 8 Office – 3rd Floor Classroom4 Burnett Boulevard



(Park in Visitor Parking)Photo ID REQUIRED

May 19, 2015*

10am-12pm

ALBANY, NY 12232NYSDOT Main Office50 Wolf Road, 1

stFloor Hearing Room A

(Parking in Visitor Area (North side of building)Photo ID REQUIRED

*Register for the workshop by calling Jennifer Murdza at (518) 457-8335 or email at [email protected]

with “Section 5310 Workshop Registration” in the subject line.

**See the NYSDOT Public Transportation Bureau website at www.dot.ny.gov/modal/bus - follow the link in the

lower right hand for “5310 Application” – for details regarding any date, time or location changes of workshopslisted (if necessary).

*** Workshop available for webinar participation:https://meetny.webex.com/meetny/j.php?MTID=m900af0207124037ca29b9dc8060a3b32



NYSDOT Section 5310 Program – 2015Application Checklist

Application Checklist Home Page

Tab 2 - Cover Sheet Information

Tab 2a - Grant Request Information

Tab 3 - Primary Purpose/System Description

Tab 4 – Service Description

Tab 5a - Locally Developed Coordinated Plan Certification

Tab 5b - Agreements with Other Organizations for Coordination

Tab 5c - Vehicle Use

Tab 6 - Performance Measures

Tab 7 - Civil Rights and Title VI

Tab 8 - Operating and Administrative Expense and Revenue Form

Tab 9 - Federal Fiscal Year 2015 Certifications and Assurances

Tab 9a - Federal Fiscal Year 2015 Certifications and Assurances Signature Page

Tab 10 - Certified Copy of Public Notice

VEH1 - Proposed Project Description

VEH2 - Vehicle Catalog

INV1 - Current Vehicle and Transportation Equipment Inventory Form

CAP1 - Other Capital Request Form

CCoC1 – Capital Cost of Contracting

MM1 – Mobility Management Request Form

OA1 – Operating Assistance Request Form

2015 FTA Section 5310 ProgramNYSDOT Application Manual & Guidance Instructions Page 65 of 66

NYSDOT – FTA Section 5310 Application Timeline (2015)

Application Timeline

4/27/15 Application Release

5/5-21/15 Workshops

6/8/15 Application Due

NYSDOT & MPO Review

Recommended Awards Reviewed & Approved

TIP/STIP Actions

FTA Grant Developed

FTA Review & Approval

Contracts Processed & Approved

12/2015 Other Capital & Operating Projects Begin

12/2015 – 1/2016 Vehicle Orders

2015 FTA Section 5310 ProgramNYSDOT Application Manual & Guidance Instructions Page 66 of 66

NYSDOT – FTA Section 5310 Application Allocations

Documents

NEW YORK STATE DEPARTMENT OF TRANSPORTATION NYSDOT · Page 1 of 66 NEW YORK STATE DEPARTMENT OF TRANSPORTATION NYSDOT FTA SECTION 5310 GRANT PROGRAM ENHANCED MOBILITY OF SENIORS AND