Special Transportation Services

2016 FTA Section 5310 Grant Program Guidelines

FTA SECTION 5310 GRANT PROGRAM

ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES

2016 STATEWIDE APPLICATION GUIDELINES APPLICATION DUE – JULY 1, 2016 Contents Introduction...... 3

Program Highlights for 2016...... 4

Application Materials and Preparation...... 4

Application Guidelines- Eligible Applicants- Traditional Applicants...... 5

Application Guidelines- Eligible Applicants- Enhanced Applicants:...... 6

Program Exclusions...... 6

Eligible Projects...... 7

Eligible Projects: Locally Developed Coordinated Plan...... 7

Available Capital Vehicles and Equipment...... 9

Project Financing and Program Financial Requirements...... 9

Project Selection Process : Application Reviewing Body...... 10

Project Selection Process: Selection Criteria...... 11

Program Requirements: Project Type...... 12

Program Requirements: Capital Project (Vehicle)...... 12

Program Requirements: Capital Project (Other)...... 14

Program Requirements: Mobility Management...... 14

Program Requirements: Operating Assistance (Including CCoC)...... 14

Program Requirements: Title VI...... 15

NYSDOT Title VI Complaint Procedures...... 16

Appendix A: Eligible Project Descriptions- 55% Requirement...... 17

Appendix A1: Eligible Project Descriptions- 45% Requirement...... 18

Appendix B: General Useful Life Guideline Targets for Section 5310...... 20

Appendix C: NYS Vehicle Insurance Requirements...... 20

Appendix D: NYS Commercial Driver License (CDL) Requirements...... 21

Appendix E: Public Notice of Intent to Apply...... 21 Page 2 of 36 2016 FTA Section 5310 Grant Program Guidelines

Appendix F: Acronyms, Definitions and Contact Information...... 24

of 36 2016 FTA Section 5310 Grant Program Guidelines Introduction These Guidelines for the Enhanced Mobility of Seniors and Individuals with Disabilities Program contain program information and application guidance. There is a separate document for the application instructions. The goal of the Section 5310 Program is to provide assistance in meeting the needs of seniors and individuals with disabilities where public transit services are insufficient, inappropriate, or unavailable.

 A minimum of 55% of the available awards will fund traditional Section 5310 capital projects, i.e. public transportation capital projects planned, designed, and carried out (by eligible sub- recipients – Traditional Applicants) to meet the special needs of seniors and individuals with disabilities. This 55% is a floor, not a ceiling – recipients may use more than 55% of their apportionment for this type of project.

 The remaining funds (up to 45%) may support a wider set of Enhanced Applicants’ public transportation projects that: o Exceed the requirements of the Americans with Disabilities Act (ADA); o Improve access to fixed-route service; o Decrease reliance by individuals with disabilities on complementary paratransit; or o Provide alternatives to public transportation that assist seniors and individuals with disabilities.

All such projects must be targeted toward meeting the transportation needs of seniors and individuals with disabilities, although they may be used by the general public.

This program is codified under Section 5310 of Chapter 53, Title 49 United States code. 1 For frequently asked questions and additional information on Section 5310 Program, see the Federal Transit Administration (FTA) website: http://www.fta.dot.gov/map21_16244.html. The Section 5310 code in the Catalogue of Federal Domestic Assistance is 20.513. For more information, see the FTA circular at: https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/enhanced-mobility-seniors-and- individuals-disabilities

The New York State Department of Transportation (NYSDOT) administers this program as the designated recipient, with direct oversight from the FTA. In this capacity, NYSDOT:

 Certifies the recommended projects for 5310 funds in rural/Small Urbanized Areas (SUZA) and each Transportation Management Area (TMA) meets the minimum 55% funding threshold required to be programmed for traditional 5310 projects.

 Allocates federal funds under this program through a competitive Application for Federal Funding Assistance. All MPOs (Metropolitan Planning Organizations) and their member agencies agreed to have NYSDOT administer the urban allocations.

1 Under MAP-21, the 5310 program was modified to include projects eligible under the former Section 5317 New Freedom program, described as capital and operating expenses for new public transportation services and alternatives beyond those required by the ADA, designed to assist individuals with disabilities and seniors.

of 36 2016 FTA Section 5310 Grant Program Guidelines

Program Highlights for 2016

Application Timeline May 31, 2016 Application Release June 2 and 7, 2016 5310 Program Application Webinars July 1, 2016 Application Due July NYSDOT & MPO Review July Recommended Awards Reviewed & Approved July - August TIP/STIP Actions July FTA Grant Developed August-September FTA Review & Approval October - November Contracts Processed & Approved January (2017) Other Capital & Operating Projects Begin December (2016) – Vehicle Orders February (2017)

Streamlined application approval process – as outlined on page 14, the evaluation process relies on pass/fail criteria to determine if a project is eligible and meets certain standards. After there is a point scoring process that will identify the rating of each application. Once the final Rank per MPO is finalized, the awards will be finalized.

Funding apportioned by MPO Area or Rural 2 - funds available for this solicitation are determined by the FTA publication of allocations for large (over 200,000 population) and the rural portion (under 50,000), and through a similar allocation process developed by NSYDOT for the small urban areas (50,000 to 200,000 population)

Locally Developed Coordinated Plan Requirement 3 - All projects must be included in their locally developed human service/Public Transit coordination plan. Failure to fill out tab 5B and have it signed by the chief official are grounds for disqualification.

Public Notice Requirement 4 - a requirement that is not in the spreadsheet is the Public Notice. Applicants should read Appendix E of this document to familiarize themselves of the public notice requirement.

Existing projects  Traditional Capital (vehicles) Other types of projects:

2 5310 Program Funding Splits Apportionments located on last page of this guidance document. 3 Projects must be included in a Coordinated Plan. Applicants should review pages 7, 28 & 29 of this guidance document and Tab 5A of the Application for more information at the start of the application process. 4 Public notice requirement is time sensitive and applicants should review page 21 of this guidance document at the start of the application process.

of 36 2016 FTA Section 5310 Grant Program Guidelines  Other Capital Equipment  Mobility Management  Operating Assistance (including Capital Cost of Contracting)

Application Materials and Preparation Notices for the Application Materials for Federal Funding Assistance under the FTA Section 5310 program are found at:

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

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

Webinar presentations will be held to assist applicants in preparing an Application for Federal Funding Assistance under the FTA Section 5310 program. NYSDOT recommends that applicants, especially first- time applicants, view a Webinar presentation. Please review all materials, develop your public notice and start your applications as soon as possible prior to the Webinar presentations.

As the Applicant, it is your responsibility to ensure the accuracy of submitted applications as the contract agreement, between New York State and successful applicants (sub-recipients), incorporates the application in its entirety. Application information is subject to verification at anytime during the life of the grant and used for federal performance measurement.

Application Guidelines- Eligible Applicants- Traditional Applicants In order to be eligible to apply for traditional projects, the Applicant must be one of the following:

1. A private not-for-profit organization incorporated within NYS. As the primary intended applicant, you must:

 Have a current Charities Registration Number for proof of eligibility. If not yet issued a Charities Registration Number, applicant must provide other documentation of proof of 501(c)(3) status (as an attachment).  Be registered and pre-qualified in Grants Gateway. For Registration status: https://www.grantsgateway.ny.gov/Intelligrants_NYSGG/module/nysgg/goportal.aspx? NavItem1=9

To Register: Complete the form and mail it to the address listed on page 2 of the form located at:. https://www.grantsgateway.ny.gov/Intelligrants_NYSGG/pdf/nysgg/granteepackage.pdf

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/

of 36 2016 FTA Section 5310 Grant Program Guidelines 2. A State or local governmental authority, or Indian Tribal government, able to certify that:

 A non-profit organization is not readily available in the area to provide transportation services to seniors and individuals with disabilities; or  The Applicant is approved by the State to coordinate these services. Governmental Authorities applying must submit: o A certification5 to NYSDOT that no not-for-profit corporations or associations are readily available in the area to provide transportation services to seniors and individuals with disabilities. o A letter on government letterhead, signed by the government’s chief executive officer, or a board approved municipal resolution, detailing the unavailability to justify eligibility.

3. Governmental Authorities applying as an ent ity approved to coordinate services for seniors and individuals with disabilities must submit:

 A memorandum with existing transportation providers in an area of proposed service that establishes the governmental authority as the coordinator of transportation services; and  Documentation of the coordination activities accomplished or proposed.

Application Guidelines - Eligible Applicants - Enhanced Applicants: In order to be eligible to apply for non-traditional projects, Applicants must be one of the following:  A private not-for-profit organization incorporated within NYS (as documented above);  A State or local Governmental Authority;  An Indian Tribal Nation;  An Operator of public transportation services, including private operators of public transportation services, who receive the 5310 grant indirectly through a recipient. Examples include: o Private taxi companies providing shared-ride taxi service to the general public on a regular basis are operators of public transportation, and are eligible sub-recipients. Similar to general public and ADA demand response service, every trip does not have to be shared-ride in order for a taxi company to be considered a shared-ride operator, but the general nature of this service must include shared rides. o Taxi companies that provide only exclusive-ride service are not eligible sub-recipients; however, they may participate in the program as contractors. Exclusive-ride taxi companies may receive Section 5310 funds to purchase accessible taxis under contract

5 If 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.

of 36 2016 FTA Section 5310 Grant Program Guidelines with an eligible sub-recipient such as a local government or non-profit organization. o Any taxi company or any agency that currently has a program involving taxi services should make sure their need is articulated in the locally developed coordinated plan6 and that the organization strategy being proposed is also included in the plan.

Program Exclusions 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 for the transportation of students and school personnel. Therefore, any organization operating exclusive school bus service is generally ineligible for this program.

FTA may grant exemptions to this rule under 49 CFR 605.11. If an organization operating exclusive school bus service has an exemption and provides a copy of the exemption, it may be eligible for the program.7 However, even with an exemption, vehicles purchased through this program may not provide exclusive school bus service in competition with private school bus companies. An organization may use vehicles purchased through this program for the transportation of students and school personnel in incidental charter-bus operations.

SCHOOL BUSES are not available through the Section 5310 Grant Program.

Sectarian Organizations/Religious Purpose Use Private not-for-profit organizations affiliated with religious organizations may be eligible for this program. However, vehicles purchased through this program cannot be used for religious purposes. For example, vehicles cannot be used to transport members of a church or its congregation to the church facility exclusively for religious purposes/services.

Eligible Projects Projects must be carried out by an eligible applicant. As described in the Introduction, funding is available for capital and operating expenses to support the provision of transportation services to meet the specific needs of seniors and individuals with disabilities. Projects must be targeted toward meeting the transportation needs of seniors and individuals with disabilities, although they may be used by the general public.

Eligible Projects: Locally Developed Coordinated Plan The Applicant’s grant project must be included in a locally developed, coordinated public transit-human service transportation plan (Local Coordinated Plan) in your area in order to be eligible to receive a funding award.

In urbanized areas (over 50,000 in population), the MPO develops the coordinated plan. In rural areas, the county planning office or county public transportation office develops the coordinated plan. Development and approval of the coordinated plan must include participation by seniors, individuals with disabilities, representatives of the public, private, non-profit transportation and human service providers, and other members of the public. Pages 28-30 of this document provide contact information

6 See Page 7 of this document for further guidance on Locally Developed Coordinated Plans 7 FTA considers Headstart a social service, not a school program.

of 36 2016 FTA Section 5310 Grant Program Guidelines for questions regarding Local Coordinated Plans.

Applicants are required, with projects awarded under this federal funding assistance program, to commit to coordinate their transportation services as outlined in their locally developed, coordinated public transit-human service transportation plan covering their area of existing/proposed service,..

Updated or amended Local Coordinated Plans must be submitted every four (4) years minimally 8. See NYSDOT listing of Local Coordinated Plans at: https://www.dot.ny.gov/divisions/policy-and- strategy/public-transportation/local-dev-coordinated-plans

Table 1 below summarizes the Project Types, Eligible Activities & Applicants, and Important Notes to assist you in applying under the appropriate project type(s). The descriptions in Table 1 are not intended to be all-inclusive lists. Other projects meeting the 5310 program objectives may also be applied for under this program.

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

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

Application Project Eligible Eligible Activities Notes Type Applicant Vehicle & Other Capital Traditional or Purchase of Buses from NYS Documentation of agency type Items Enhanced OGS Adult Bus Contract 20% Applicant Match [Applicant responsible Benches, Shelters & Narrative supporting traditional or for up-front cost for all Passenger Amenities enhanced 5310 program activities. capital items not ITS (Intelligent Narrative supporting traditional or purchased through the Transportation System) enhanced 5310 program activities. NYS OGS Adult Bus planning & technology: Contract. These other Such as AVL – Automatic Technology projects must comply procurements will be Vehicle Locator System; with ITS Architecture standards. eligible for an 80% MDT – Mobile Data federal reimbursement. Terminals; Also, other capital items Dispatch System must be procured in Other vehicle types not on Narrative supporting traditional or accordance with local, OGS Adult Bus Contract to enhanced 5310 program activities. state, federal support shared-ride regulations, and for services. project maintenance, Radio Equipment Narrative supporting traditional or reporting and enhanced 5310 program activities. inspection by NYSDOT Support Facilities and Narrative supporting traditional or as applicable. Equipment enhanced 5310 program activities. Vehicle Rehab or Overhaul Narrative supporting traditional or enhanced 5310 program activities & cost/benefit analysis. Traditional Computer Hardware & Narrative supporting traditional 5310 (only) Software program activities. Preventive Maintenance Maintenance plan and cost allocation plan Enhanced (only) Accessibility improvements Narrative supporting enhanced 5310

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

of 36 2016 FTA Section 5310 Grant Program Guidelines Table 1: 5310 Application Project Types by Eligible Activities and Applicants

Application Project Eligible Eligible Activities Notes Type Applicant to non-key stations and program activities. stops Vehicles or equipment Narrative supporting enhanced 5310 designed to accommodate program activities. oversized mobility aids beyond ADA requirements

Mobility Management Traditional or Coordination of services for Narrative supporting traditional or Enhanced 5310 target populations enhanced 5310 program activities.

ITS (Intelligent Narrative supporting traditional or Transportation System) enhanced 5310 program activities. planning and technology that directly supports a Technology projects must comply Mobility Management with ITS Architecture standards. Project such as a call center, or coordination and dispatch computer system. Operation of transportation Narrative supporting traditional or brokerage enhanced 5310 program activities. Support to plan and Narrative supporting traditional or implement coordinated enhanced 5310 program activities. services Support of State and local Narrative supporting traditional or coordination policy bodies enhanced 5310 program activities. and councils Travel Training Narrative supporting traditional or enhanced 5310 program activities. Operating Assistance Traditional or Transportation Operating Narrative supporting traditional or [Operations by Enhanced Expenses for services enhanced 5310 program activities. Applicant or provided to 5310 target Contracting with a populations third-party operator for Vouchers to support Narrative supporting traditional or the provision of services volunteer driver programs, enhanced 5310 program activities. for 5310 target taxi, or trips provided by populations] human service agencies. Enhanced (only) Accessible Feeder Services Narrative supporting traditional or to commuter or intercity enhanced 5310 program activities. rail and bus, where paratransit is not available. Expanding ADA Paratransit Narrative supporting traditional or Services enhanced 5310 program activities.

Available Capital Vehicles and Equipment All vehicles purchased must be equipped with a wheelchair lift (unless low-floor ramp) and wheelchair spaces so that they will be fully accessible and compliant with ADA. See Table 2 below. Vehicles or equipment available through NYS OGS Adult Bus Contract, such as accessible shared-ride taxis, should be applied for in Tab 8 – Vehicle & Other Capital Requests of the application.

Table 2: Available Capital Vehicles and Equipment

Ambulatory Adult Vehicle Classification Ambulatory Adult Vehicle Classification Passenger Capacity9 Passenger Capacity

LOT A 3A/1WC LOT F Low-Floor 15A/2WC LOT B 6A/1WC LOT G 14A/2 WC LOT C 6A/1WC LOT H 14A/2WC LOT D 8A/1WC LOT I 18A/2 WC LOT E 10A/1 WC LOT J 22A/2WC LOT F Low Floor 11A\2 WC LOT K 26A/2WC

Project Financing and Program Financial Requirements This grant program finances eighty percent (80%) of the capital costs of vehicle(s), other capital equipment and mobility management projects, and fifty percent (50%) of operating assistance costs. Applicants (sub-recipients) must provide the respective remaining 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 may not cross-match local matching funds across project types; i.e., you can not use the same local funds more than once. Matching shares of Non-Federal Funds have to be accounted for under each project type.

Subrecipients are required to enter into a contractual agreement with NYSDOT prior to receipt of capital equipment. This agreement has several significant financial requirements for sub-recipients.

For Vehicle Capital Projects, subrecipients must:  Provide the required 20% local match deposit for vehicle(s) only. NYSDOT collects the local match (20%) at the contract execution time and deposits it into an individual subrecipient account. Note: Contracted amounts are increased by 15% for awarded vehicles as a contingency against unanticipated price increases or equipment modifications at contract award time which increases the calculated local match amount. Do not factor in this increase in your grant application.  Maintain required motor vehicle insurance on the vehicle(s) purchased (see Appendix C-NYS Vehicle Insurance Requirements page 20 for more details on vehicle insurance requirements).  Maintain passenger, operating, financial, and maintenance records and report semi-annually on vehicle use for the life of the “Grant” (see Appendix B – General Useful Life Guidelines page 21, Ongoing Vehicle Use & Retirement of Vehicles).

For Other Capital Equipment and Mobility Management Projects, subrecipients must:  First instance project expenses and seek reimbursement from NYSDOT after the expenditure of local funds.

9 To be fully accessible and compliant with the ADA, all purchased vehicles now must have a wheelchair lift (unless low-floor ramp) and wheelchair spaces. “A” refers to ambulatory and “WC” is wheelchair position

of 36 2016 FTA Section 5310 Grant Program Guidelines  Must maintain continuing control of the asset for the Federally recognized life of the asset as defined in the contract award. Reporting is done on a semi-annual basis and any use of the asset outside of the grant purpose must be approved in writing by NYSDOT or other applicable designated recipient prior to intended use.

For Operating Assistance, subrecipients must:  First instance the operating costs for eligible projects and may apply to NYSDOT or other applicable designated recipient for up to 25% of the Federal award amount after 3 months of eligible expenses have been incurred.

Project Selection Process: Application Reviewing Body Table 3 – Review Teams by applicant location Application Area Application Reviewing Body Rural Area NYSDOT; Statewide Application Review Committee (SARC). State Agencies involved with programs for seniors and individuals with disabilities may be asked to provide their expertise and assist in the Section 5310 program application intergovernmental review10 for vehicle projects. Metropolitan Planning A committee of MPO members which may include local coordinated plan Organization MPO) Area stakeholders.

Each MPO is responsible for determining project priorities. Both an MPO and Rural Areas NYSDOT; SARC members; and MPO committee.

Project Selection Process: Selection Criteria NYSDOT will conduct a pre-screening of each application to ensure all contents have been submitted in accordance with Minimum Application Responsiveness Requirements. Applications received by the deadline shall be opened and examined for completeness and certified as being received by the deadline. Applications which fail to meet the deadline shall not be evaluated.

Applications that pass the pre-screening process shall continue through the rest of the evaluation process. The following Minimum Application Responsiveness Requirements shall comprise the pass/fail part of the pre-screening:

*Minimum 5310 Application Responsiveness Requirements: TAB # TAB Name 2 Cover Sheet Information 2A Grant Request Information 4 Service Area Description 5A Coordinated Plan Cert 5C Vehicle Use for Common Carrier/Contract Carrier/School Transport 7 Civil Rights & Title VI *All tabs listed above (2, 2A, 4, 5A, 5C and 7) and all questions/areas of each tab shall be completed to be considered responsive.

10 State Agency Review Committee (SARC) contact information is on page 31 of this document/manual

Applications shall be reviewed for completeness and compliance with the requirements of the program. Each Section 5310 application that is certified responsive as indicated above shall continue through the evaluation process. The next phase of the evaluation process has a maximum point value of 100 and the table below provides a breakdown of scoring categories (non-responsiveness/pass/fail items are indicated separately above). Each project type will receive its own score up to 100 points. Each individual project score will be comprised of up to 50 points for the CORE application submission plus up to 50 points for each project type submission. NOTE that poor past NYSDOT performance shall result in a reduction of up to 10 points from the total. Also note, that if there is significant funding available to fund all projects proposed, NYSDOT may waive the scoring phase of the evaluation process and award all projects proposed that successfully pass the pre-screening process. A minimum of 55% of the available funding must be awarded to traditional 5310 project types.

Evaluation Criteria (maximum point value is indicated):

TAB # TAB Name Max Point Value 3 Primary Purpose/Current System 20 Description (CORE) 5B Coordination w Other Organizations (CORE) 10 6 Performance Measures (CORE) 20

8 Vehicle & Other Capital Proposed Project 25 Description 9 Vehicle and Other Capital Request(s) Form 25

10 Mobility Management and Related Program 50 Costs Request Form 11 Operating Assistance Request Form 50

Maximum Allowable Points Total 100

Poor Past Performance in a Section 5310 program as applicable Up to - 10

Program Requirements: Project Type The following section describes the conditions and requirements of each of the three major project types: Capital Purchase (Vehicle & Other); Mobility Management; and Operating Assistance (Including Capital Cost of Contracting).

Program Requirements: Capital Project (Vehicle)

As a condition of receiving funding under this program, sub-recipients are required to:

 Use grant vehicles to provide the service as described in its application and to semi-annually report on the same (Semi-annual reporting forms and instructions are located at: https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/specialized- transportation/5310/5310-forms

of 36 2016 FTA Section 5310 Grant Program Guidelines  Upon taking delivery of vehicles, use equipment in a manner that is consistent with the service portrayed in its application.

 Make the vehicles available for use in connection with other federally funded programs, in addition to other eligible purposes, during periods when vehicles are not in use for grant purposes. These coordination efforts must be documented in the appropriate section of the Application. o Program vehicles may provide service to transport seniors and individuals with disabilities not affiliated with an awarded agency, other programs or projects sponsored by the FTA, or the general-public on an incidental basis if such service does not interfere with the original intend Ed program purpose.

 Semi-annually report to NYSDOT, as program income, all monies generated from the transportation services using grant vehicles. Such monies must offset transportation expenses.

 Obtain the approval from NYSDOT in advance for any use of Section 5310 program vehicles by a third party/private carrier or parties other than itself (if not declared within original grant application).

 NYSDOT must receive and approve all lease agreements between the grantee (sub-recipient) and lessee (third party operator/private carrier) to operate Program vehicles prior to commencing the agreement. Sample lease agreements and approval forms may be found at: https://www.dot.ny.gov/divisions/policy-and-strategy/public-transportation/specialized- transportation/5310.

 Operate vehicles for specialized transportation service throughout the life of the “Grant,” which is the useful life of the vehicle (and/or until the vehicle is no longer mechanically usable); and semi-annually report on the use of the vehicle until the vehicle is retired from the program. Sub-recipients must first contact NYSDOT staff about the proper procedure to retire any grant vehicle and receive written permission from NYSDOT prior to the sell, transfer, put into back-up service, or retirement of Section 5310 Program vehicles. Criteria considered for vehicle retirement include current condition and age, cost to rehabilitate and maintenance history. Disposition policy can be found at https://www.dot.ny.gov/divisions/policy-and-strategy/public- transportation/specialized-transportation/5310/5310-forms. See Appendix B for General Useful Life Guideline Targets. o NYSDOT records a lien on awarded vehicles to preserve the 80% Federal/State interest in the vehicle(s), and conducts regular random site visits of sub-recipients to ensure compliance with appropriate and reported vehicle use and management.

 Maintain a minimum amount of vehicle liability insurance on Section 5310 Grant Program vehicles at all times, and routinely provide proof of insurance to NYSDOT, until the official retirement of the Section 5310 funded vehicles. Sub-recipients provide proof of insurance by submission of semi-annual reports, and confirmed through the Certificate of Liability Insurance provided to the Department (as a lien holder) by your insurance carrier/company. The required minimum amounts of coverage are provided in Appendix C, Motor Vehicle Insurance Policy Coverage.

 All motor carriers covered under Article 19-A of the Vehicle and Traffic Law are required to operate vehicles (regardless of passenger capacity or GVWR) with drivers who have and maintain a Commercial Driver’s License (CDL). For questions regarding CDL requirements, refer

of 36 2016 FTA Section 5310 Grant Program Guidelines to the NYSDMV Bus Driver Unit at (518) 473-9455 or [email protected]. See also Appendix D.

 Comply with Federal Motor Carrier Safety Administration (FMCSA) Drug and Alcohol Testing Regulations (49 CFR Part 382) if one or more of the following conditions apply: o The grantee operates a vehicle with a Gross Vehicle Weight Rating (GVWR) of 26,001 pounds or more (this includes all Type IV vehicles); or o The vehicle is designed and configured to transport 16 or more passengers, including the driver (this includes some Type II and Type III vehicles); or o The employee/driver who operates the vehicle is required to hold a Commercial Driver’s License (CDL) (this includes all Type IV vehicles, and some Type III, II, I, and I-A vehicles – see CDL chart on page 22 of this manual).

Federal drug and alcohol testing rules may be found at www.fmcsa.dot.gov or call the United States Department of Transportation’s Office of Drug Enforcement and Program Compliance in Washington, DC at (202) 366-3784.

When using grant vehicles, sub-recipients may:

 Charge reasonable fares, invite donations from passengers, or request reimbursement for services.  Provide charter service (see FTA Charter Bus Service website http://www.fta.dot.gov/15740.html). Use Grant vehicles to bid on other services when the intended purpose and use detailed in the original approved grant application is met, and a public notice is made at the time of the original application submission. If the original application does not address this use, then the applicant must obtain advance approval in writing from the NYSDOT. In either case, this particular use of Section 5310 vehicles is contingent on the following:  The grantee must issue a public notice describing the intent to submit a bid for specific service. 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 bid submission, the grantee must provide details of the fully allocated cost of the service proposal to the NYSDOT, which includes operating subsidies, capital grants, the value of use of publicly funded facilities, as well as all pertinent administrative and overhead expenses. This information will also be required from the protesting entity.

Program Requirements: Capital Project (Other) Other capital projects can include other types of vehicles not included in the Office of General Services (OGS)/Adult Bus Contract Vehicle Section above. Sub-recipients are subject to the following applicable federal, state and local procurement procedures, and are responsible for:

 The entire project cost up-front and request reimbursement of federal share upon completion of project; and  Maintenance, continuing control and reporting of the project asset for the useful life of the asset.

Program Requirements: Mobility Management Mobility Management projects must coordinate for multiple services, agencies and eligible individuals. Mobility Management projects are not for operating transportation services. If applying for capital items to support mobility management; i.e., computer software, call centers, dispatch equipment, etc., then apply for those capital items using the Mobility Management project type. Sub-recipients will be responsible for:

 The entire project cost up-front and request reimbursement of federal share after 3 months of eligible expenses; and  Compliance with applicable federal, state and local requirements and reporting.

Program Requirements: Operating Assistance (Including CCoC) Operating assistance must be for eligible services that meet the 5310 program objectives, and are subject to the applicable requirements listed in the Capital Project (Vehicle) Section above. Sub- recipients will be responsible for:

 The entire project cost up-front and may request reimbursement of 12.5% of the federal share upon incurring 3 months of eligible operating expenses.  Providing and maintaining service during the project period.  Compliance with all federal, state and local requirements and reporting.

Operating assistance can come in three different forms: a. Basic operating assistance: An agency provides its own transportation and applies for assistance for up to half of the Net Operating Deficit (Cost, less any fares collected). b. Lease and Service agreements: An Agency can purchase vehicles and other capital equipment as the applicant and lease the equipment to a private or other non-profit agency for use in providing their consumers services. o Reference https://www.dot.ny.gov/divisions/policy-and-strategy/public- transportation/spe cialized-transportation/5310/5310-forms for details. Applicants can still apply for basic operating assistance but the provider would be under contract and the applicant must have an identifiable accounting procedure to separate the services provided by the contractor. c. Equipment Contracts: An agency can also enter into a contract with a provider who supplies some or all of the capital equipment necessary for the provision of service to the applicant’s consumers. In this case the capital expenses can be charged to a Capital Cost of Contracting (CCoC) type of arrangement. If applying for CCoC, you must use the CCoC project type. o 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 project cost when a third-party contractor is hired to provide turn-key transportation services. The 40-50% share is determined by the percentage of capital buses provided by the third-party contractor. See the Operating Assistance Section for further details that would also apply to CCoC projects.

of 36 2016 FTA Section 5310 Grant Program Guidelines Program Requirements: Title VI The Title VI Act of 1964, as amended, helps to ensure anti-discrimination is enforced throughout the work undertaken by all recipients of federal funding. NYSDOT’s Title VI/Environmental Justice program serves to create, implement and regulate procedures that comply with Title VI of 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 of race, color, sex, age, national origin, religion, disabling condition, or being included within minority populations and/or low-income populations. It also prohibits exclusion from participation, denial of benefits to, or others subject to discrimination under any program or activity administered by NYSDOT.

Sub-recipients must comply with federal civil rights requirements under Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.).

Title VI provides that no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.

Section 5310 sub-recipients must have a current policy in place that includes these provisions:

1. Policy Statement & Notice of Beneficiaries Rights under Title VI 2. Complaint Procedures and Complaint Form 3. List of transportation related Title VI complaints, investigations, or lawsuits 4. Public Participation Plan 5. Limited English Proficiency (LEP) Plan 6. Minority representation of advisory councils 7. Transportation Service Equity Analysis 8. Documentation demonstrating Board of Director’s approval of Title VI Program

Sub-recipients may adopt their own policy, or use the NYSDOT Civil Rights Policy Statement for adaptation. For more information on Title VI, please contact:

 The NYSDOT Office of Civil Rights at (518) 457-1129, or visit www.dot.ny.gov/main/business- center/civil-rights/title-vi-ej and/or https://www.dot.ny.gov/divisions/policy-and-strategy/public- transportation/civilrights

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

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

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

of 36 2016 FTA Section 5310 Grant Program Guidelines number to: Title VI Coordinator, Office of Civil Rights New York State Department of Transportation 50 Wolf Road, 6th floor Albany, NY 12232 Phone: (518) 457-1129 E-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 NYSDOT, you also have the right to file a Title VI complaint with the FTA at:

Federal Transit Administration Office of Civil Rights, Attention: Title VI Program Coordinator East Building, 5th Floor – TCR 1200 New Jersey Avenue, SE Washington, DC 20590 Phone: (202) 366-4000

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

of 36 2016 FTA Section 5310 Grant Program Guidelines Appendix A: Eligible Project Descriptions- 55% Requirement 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 the 5310 program funded vehicles. i) Purchase and installation of benches, shelters, and other passenger amenities.

c) Support facilities and equipment for Section 5310-funded vehicles. i) Extended warranties that do not exceed the industry standard; ii) Computer hardware and software; iii) Transit-related intelligent transportation systems (ITS); iv) Dispatch systems; and v) 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 capital and operating costs associated with contracted services are eligible capital expenses.

f) Mobility management is an eligible capital cost. Projects that support mobility management and coordination programs among public transportation providers and other human service agencies providing transportation are eligible. Mobility management activities may include: 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 coordinated services; iii) The support of state and local coordination policy bodies and councils; iv) The operation of transportation brokerages to coordinate providers, funding agencies, and passengers;; v) The provision of coordination services, including employer-oriented transportation management organizations’ and human service organizations’ customer-oriented travel navigator systems and neighborhood travel coordination activities such as coordinating individualized travel training and trip planning activities for customers; vi) The development and operation of one-stop transportation traveler call centers to coordinate transportation information on all travel modes and to manage eligibility requirements and arrangement for customers among supporting programs; and vii) Operational planning for the acquisition of intelligent transportation technologies to help plan and operate coordinated systems inclusive of geographic information systems (GIS) mapping, global positioning system technology, coordinated vehicle scheduling, dispatching and monitoring technologies, as well as technologies to track costs and billing in a

of 36 2016 FTA Section 5310 Grant Program Guidelines coordinated system, and single smart customer payment systems. (Acquisition of technology is also eligible as a standalone capital expense). viii) Capital activities (e.g., acquisition of rolling stock and related activities, acquisition of services, etc.) to support ADA-complementary paratransit service may qualify as the service is provided by an eligible recipient/subrecipient.

Appendix A1: Eligible Project Descriptions - 45% Requirement Other eligible capital and operating expenses (up to 45 percent) may include:

a) Public transportation projects (capital only) planned, designed, and carried out to meet the special needs of seniors and individuals with disabilities when public transportation is insufficient, inappropriate, or unavailable.

b) Public transportation projects (capital and operating) that exceed the requirements of the ADA. The following is a listing of eligible projects that meet the definition 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 program in 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 individual riders in an otherwise curb-to-curb system; (5) Enhancement of the level of service by providing escorts or assisting riders through the door of their destination; (6) Acquisition of vehicles and equipment designed to accommodate mobility aids that exceed the dimensions and weight ratings established for wheelchairs under the ADA regulations, 49 CFR part 38 (i.e., larger than 30” x 48” and/or weighing more than 600 pounds), and labor costs of aides to help drivers assist passengers with oversized wheelchairs. This would permit the acquisition of lifts with a larger capacity, as well as modifications to lifts with a 600-poind design load, and the acquisition of heavier duty vehicles for paratransit and/or demand-response service in order to accommodate lifts with a heavier design load; and (7) Installation of additional securement locations in public buses beyond what is required by the ADA. ii) Feeder services. Accessible “feeder” service (transit service that provides access) to commuter rail, commuter bus, intercity rail, and intercity bus stations, for which complementary paratransit service is not required under the ADA.

c) Public transportation projects (capital and operating) that improve accessibility. The following activities are eligible projects that improve accessibility to the fixed-route system. i) Making accessibility improvements to transit and intermodal stations not designated as key stations. Improvements for accessibility at existing transportation facilities that are not designated as key stations established under 49 CFR 37.47, 37.51, or 37.53, and that are not required under 49 CFR 37.43 as part of an alteration or renovation to an existing station, so long as the projects are clearly intended to remove barriers that would otherwise have

of 36 2016 FTA Section 5310 Grant Program Guidelines remained. Section 5310 funds are eligible to be used for accessibility enhancements that remove barriers to individuals with disabilities so they may access greater portions of public transportation systems, such as fixed-route bus service, commuter rail, light rail, and rapid rail. This may include: (1) Building an accessible path to a bus stop that is currently inaccessible, including curb cuts, 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 the ADA; (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 and individuals with disabilities with transportation. The following activities are examples of projects that are eligible public transportation alternatives. i) Purchasing vehicles to support accessible taxi, ride-sharing, and/or vanpooling programs. Section 5310 funds can be used to purchase and operate accessible vehicles for use in taxi, ride-sharing, and/or vanpool programs provides that the vehicle meets the same requirements for lifts, ramps, and securement systems specified in 49 CFR part 38, subpart B, at a minimum, and permits a passenger whose wheelchair can be accommodated pursuant to part 38 to remain in his/her personal mobility device inside the vehicle. ii) Supporting the administration and expenses related to voucher programs for transportation services offered by human service providers. This activity is intended to support and supplement existing transportation services by expanding the number of providers available or the number of passengers receiving transportation services. 1) Vouchers can be used as an administrative mechanism for payment of alternative transportation services to supplement available public transportation. The Section 5310 program can provide vouchers to seniors and individuals 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 transportation can submit the voucher reimbursement to the recipient for payment based on predetermined rates and contractual agreements. Transit passes or vouchers for use on existing fixed-route or ADA complementary paratransit service are not eligible. Vouchers are an operational expense which requires a 50/50 (federal/local) match. iii) Supporting volunteer driver and aide programs. Volunteer driver programs are eligible and include support costs associated with the administration, management or driver recruitment, safety, background checks, scheduling, coordination with passengers, other related support functions, mileage reimbursement, and insurance associated with volunteer driver programs. The costs of enhancements to increase capacity of volunteer driver programs are also eligible. FTA encourages communities to offer consideration for utilizing all available funding resources as an integrated part of the design and delivery of any volunteer driver/aide program. e) Limits on operating assistance. Given the 55 percent requirement for Traditional Section 5310 capital projects, a recipient may allocate up to 45 percent of its apportionment for operating assistance. However, this funding is limited to eligible projects as described in this

of 36 2016 FTA Section 5310 Grant Program Guidelines section (b, c, and d) above. Operating assistance for required ADA complementary paratransit service is not an eligible expense.

Appendix B: General Useful Life Guideline Targets for Section 5310 The following General Useful Life Guideline Targets for Section 5310 program vehicles will apply subject to established NYSDOT procedures.

GENERAL USEFUL LIFE GUIDELINE TARGETS Vehicle Classification Type Years Miles LOT A, B, C, D E, G, H 5 150,000 LOT F, I, J 7 200,000 LOT K 10 350,000

Appendix C: NYS Vehicle Insurance Requirements The minimum required amounts for Motor Vehicle Insurance Policy Coverage (including mandatory personal injury protection) are:

Coverage Amounts Combined Single Limit Liability $ 1,000,000 per occurrence $ 100,000 per person 1. $ 300,000 per occurrence (1-12 seating capacity Bodily Injury Liability vehicles) $ 500,000 per occurrence (12+ seating capacity vehicles) Property Damage Liability $ 50,000 per occurrence Coverage Amounts Physical Damage $ 1,000 for fleets under 20 vehicles 2. (Collision) $ 5,000 for fleets over 20 vehicles Physical Damage $ 1,000 for fleets under 20 vehicles (Comprehensive) $ 2,500 for fleets over 20 vehicles

of 36 2016 FTA Section 5310 Grant Program Guidelines Appendix D: NYS Commercial Driver License (CDL) Requirements CDL required Standard Accessible License Class/ Endorsements (by Vehicle Designed Adult GVWR Minimum Agec & (Codes) Classification Type) Passenger Capacityb LOT A 4 – 3A/1WC C / 18 Passenger (P) LOT B 7 – 6A/1WC C / 18 Passenger (P) LOT C 7 – 6A/1WC 10,050 lbs C / 18 Passenger (P) LOT D 9 – 8A/1WC 11,500 lbs C / 18 Passenger (P) LOT E 11 – 10A/1WC 12,500 lbs C / 18 Passenger (P) LOT F (Low Floor) 13 – 11A/2WC 14,000 lbs C / 18 Passenger (P) LOT F (Low Floor Alt) 17 – 15A/2WC 14,000 lbs C / 18 Passenger (P) LOT G 16 – 14A/2WC 14,500 lbs C / 18 Passenger (P) LOT H 16 – 14A/2WC 14,000 lbs C / 18 Passenger (P) LOT I 20 – 18A/2WC 19,500 lbs B / 18 Passenger (P) LOT J 24 – 22A/2WC 23,500 lbs B / 18 Passenger (P) LOT K 28 – 26A/2WC 26,000 lbs C / 18 Passenger (P) a) Required only if the motor carrier is subject to the requirements of Article 19-A of the Vehicle and Traffic Law. b) 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.

Appendix E: Public Notice of Intent to Apply

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

Applicants must issue a public notice announcing their intent to provide transportation services through utilization of federal funds; the public notice ensures private for-profit transportation providers have a fair and timely opportunity to participate. The notice must invite interested private for-profit operators to respond and submit a proposal on the proposed services by sending 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 24 of this manual. Applicants may use the following options:  Option 1: Either, publish the public notice at least one time as a legal notice, or a paid advertisement in a daily general circulation newspaper covering the service area. If there are no daily newspapers in the service area, a weekly publication will suffice. Applicants must attach a

of 36 2016 FTA Section 5310 Grant Program Guidelines certified copy (notarized affidavit/proof of publication) of the actual legal notice or public notice from the newspaper with the application, and attach any correspondence from operators responding to the notice (if any).11  Option 2: Send by certified mail a typewritten copy of the public notice to all private bus, taxi and ambulate companies in the proposed project service area. Upload (1) a copy of the actual public notice sent to all private operators, (2) the postmarked certified mail receipts for these mailings, and (3) correspondence received from any operators in response to the notice (if any).

If you receive inquiries about or objections to your project, you must respond by supplying information 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 transportation provider to provide you with a cost estimate for the service. In response to an inquiry, you must convey that the for-profit transportation provider may have the option of providing your proposed service with grant funds, or by leasing the grant vehicle(s) for a negotiated fee. To assure continuity and appropriate service for your consumers, you have the right to insist upon a multiple-year contract, and the specialized type of service your consumers require.

Responses to inquiries do not have to be completed by application submission, but must be submitted within 15 days after applications are due.

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

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 (see Tab 8, question 5). Following the evaluation of a proposal, should your organization decide not to accept a proposal to operate your transportation service, you must explain your reasons in a letter to the provider (attach a copy of this letter to the application). Should this result in a formal protest or complaint from a transportation provider, contact the staff in the NYSDOT Public Transportation Bureau for further instruction.

It is to your advantage to resolve any protests, and to use private for-profit transportation providers when they can provide appropriate service at reasonable rates. Since FTA federal funds are insufficient to fulfill the needs of all organizations throughout the State, NYSDOT encourages organizations to investigate all potential coordination opportunities. In the event that an objection cannot be resolved, the Department may use all relevant service and cost data to evaluate your service in a protest resolution.

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

Sample Public Notice

11 Your 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 calendar day response period in relation to the application due date.

Transportation providers and other interested parties are hereby notified that (name and address of applicant) is applying for a federal grant of up to $______, under Section 5310 of Chapter 53 of Title 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 operators and other interested parties to participate in the development of proposed grant project(s) and in the provision of enhanced transportation services to elderly individuals and individuals with disabilities. Please contact (name and telephone number of contact person) 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 VI Plan, you must prepare and publish the Public Notice above in languages appropriate in the service area(s) of the proposed project(s).

of 36 2016 FTA Section 5310 Grant Program Guidelines t Appendix F: Acronyms, Definitions and Contact Information ACRONYMS

FTA – Federal Transit Administration MPO – Metropolitan Planning Organization NYSDOT – New York State Department of Transportation PTB – Public Transportation Bureau (NYSDOT) USDOT – United State Department of Transportation NYMTC – 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 asset without obtaining full ownership regardless of the tax status of the transaction.

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

Traditional Section 5310 Capital Projects: Public transportation capital projects plan ned, designed, and carried out to meet the special needs of seniors and individuals with disabilities when public transportation is insufficient, inappropriate, or unavaila ble and carried out by eligible sub-recipients.

Coordinated Public Transit-Human Service Transportation Plan (Coordinated Plan): A locally developed, coordinated transportation plan that identifies the transportati on needs of individuals with disabilities, seniors, and people with low incomes, provi des strategies for meeting those local needs, and prioritizes transportation services f or funding and implementation.

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

Expansion of Services: Vehicle(s) requested under this grant program application to provide

of 36 2016 FTA Section 5310 Grant Program Guidelines new specialized transportation services for seniors and/or individuals with disabilities not already receiving these transportation services through your organization.

Grantee: See subrecipient definition.

Human Service Transportation: Transportation services provided by, or on behalf of, a human service agency to provide access to agency services and/or to meet the basi c, day-to-day mobility needs of transportation-disadvantaged populations, especially individuals with disabilities, seniors, and low-income individuals.

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

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

Metropolitan Planning Organization (MPO): The policy board of an organization desi gnated in cooperation with the State and public transportation operators to carry ou t the metropolitan planning process, including development of long-range transport ation plans and transportation improvement programs for metropolitan planning ar eas of a State.

Mobility Management: Consists of short-range planning and management activities and projects for improving coordination among public transportation and other tran sportation service providers carried out by a recipient or subrecipient through an agr eement entered into with a person, including a government entity, under 49 U.S.C. C hapter 53 (other than section 5309). Mobility management does not include operati ng public transportation services.

Non-profit Organization: Corporation or association determined by the Secretary of the Treasury to be an organization described by 26 U.S.C. 501(c) which is exempt fro m taxation under 26 U.S.C. 501(a) or one determined under State law to be non-prof it and for which the designated State agency has received documentation certifying t he status of the non-profit organization.

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

of 36 2016 FTA Section 5310 Grant Program Guidelines Operating Expenses: Costs necessary to operate, maintain, and manage a public tra nsportation system; usually include such costs as driver salaries, fuel, and items havi ng a useful life of less than one year.

Preventive Maintenance: All maintenance costs related to vehicles and non-vehicles. Specifically all activities, supplies, materials, labor, services, and associated costs re quired to preserve 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 suc h an asset.

Public Transportation: Regular, continuing shared-ride services, open to the general public or to a segment of the general public defined by age, disability, or low income. Does not include: intercity passenger rail transportation; intercity bus service; chart er bus service; school bus service; sightseeing service; courtesy shuttle service for pa trons of one or more specific establishments; or intra-terminal or intra-facility shuttl e services.

Replacement of Services: Vehicle(s) requested in this application will replace existing vehicles that 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 no t designated in the most recent decennial census as an ‘urbanized area’ by the Secre tary of Commerce.

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 less than 200,000 determined by the Bureau of the Census.

Subrecipient: A State or local governmental authority, a private nonprofit organizati on, or an operator of public transportation that receives a grant under Section 5310 i ndirectly via a recipient (NYSDOT).

of 36 2016 FTA Section 5310 Grant Program Guidelines Transportation Management Area (TMA) : An urbanized area (UZA) with a populatio n of at least 200,000 determined by the Bureau of the Census. This could be a portio n of an MPO area, an entire MPO area or a combination of MPOs as in the Hudson V alley TMA which consists of three MPOs.

Urbanized Area (UZA): Area encompassing a population, not less than 50,000 peopl e, defined and designated in the most recent decennial census as an “urbanized are a” by the Secretary of Commerce.

of 36 2016 FTA Section 5310 Grant Program Guidelines NYSDOT Contact Information

Office For Inquiries Within Section 5310 Contact

Tom Vaughan, Acting Director Public Transportation Bureau Main Statewide 50 Wolf Road, POD 5-4 Office Albany, NY 12232 (518) 457-8335

Albany, Essex, Greene, Rensselaer, Saratoga, Peter Rea Region 1 Schenectady, Warren, Washington (518) 388-0443

Fulton, Hamilton, Herkimer, Madison, Tim Lusher Region 2 Montgomery, Oneida (315) 793-5375

Cayuga, Cortland, Onondaga, Oswego, Seneca, John Reichert Region 3 Tompkins 315-428-4405

Genesee, Livingston, Monroe, Ontario, Orleans, Charles McGarry Region 4 Wayne, Wyoming (585) 272-3425

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

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

Owen Virkler Region 7 Clinton, Franklin, Jefferson, Lewis, St. Lawrence

Columbia, Dutchess, Orange Putnam, Rockland, P.J. Gohel Region 8 Ulster Westchester (845) 431-5795

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

Lanny Wexler Region 10 Nassau, Suffolk 631-952-6108.

Alton Treadwell Region 11 Bronx, Kings, New York, Queens, Richmond

of 36 2016 FTA Section 5310 Grant Program Guidelines Metropolitan Planning Organizations (MPOs)

MPO Contact Counties Covered Phone #

Ms. Kelly Dixon, Buffalo Area MPO Greater Buffalo-Niagara Regional Transportation Council Erie, (716) 856-2026 438 Main Street Niagara Buffalo, NY 14202 Mr. Jim Stack, Rochester Area MPO Genesee, Livingston, Genesee Transportation Council Monroe, Orleans, Ontario, (585) 232-6240 50 West Main Street, Suite 8112 Seneca, Wayne, Wyoming, Rochester, NY 14614-1227 Yates Mr. Mario Colone, Syracuse Area MPO Syracuse Metropolitan Transportation Council Onondaga (315) 422-5716 100 Clinton Square, 126 N. Salina St, Suite 100 Syracuse, NY 13202 Ms. Barbara Hauck, Utica-Rome Area MPO Herkimer-Oneida Counties Transportation Study Herkimer, (315) 798-5710 Union Station, 321 Main Street Oneida Utica, NY 13501 Ms. Anne Benware, Albany-Schenectady-Troy Area MPO Albany, Schenectady, Capital District Transportation Committee (518) 458-2161 One Park Place Saratoga Albany, NY 12205 Ms. Kate Mance, Glens Falls Area MPO Adirondack/Glens Falls Transportation Council (518) 223-0086 11 South St, Suite 203 Washington Glens Falls, NY 12801 Ms. Tina Hager, Elmira Area MPO Elmira-Chemung Transportation Council Chemung (607) 737-5510 400 East Church Street, PO Box 588 Elmira, NY 14901 Mr. Scott Regiel , Binghamton Area MPO Broome, Binghamton Metropolitan Transportation Study Tioga (607) 778-2443 Broome Co. Office Building, PO Box 1766 Binghamton, NY 13902-1766 Mr. Rob Parrington, Newburgh Area MPO Orange County Transportation Council Orange (845) 615-3840 Orange County Planning Department, 124 Main Street Goshen, NY 10924-2124 Mr. Mark Debald, Poughkeepsie Area MPO Poughkeepsie/Dutchess County Transportation Council Dutchess County Planning Department, 27 High Street Dutchess (845) 486-3600

Poughkeepsie, NY 12601 Mr. Dwight Mengel, Ithaca Area MPO Tompkins (607) 274-5570 Ithaca/Tompkins County Transportation Council

MPO Contact Counties Covered Phone #

121 East Court Street Ithaca, NY 14850 Mr. Brian Slack, Director Ulster County Transportation Council Ulster (845) 340-3340 244 Fair Street, PO Box 1800 Kingston, NY 12402-0080 Mr. Scott Docteur, Director Watertown-Jefferson County Transportation Council Jefferson (315) 785-2355 317 Washington Street Watertown, NY 13601 Rockland, Putnam, Ms. Angelina Foster, NYMTC 5310 Program Manager Westchester, Bronx, Kings, NYMTC, Central Offices New York, Queens, (212)-383-7200 25 Beaver Street, Suite 201 Richmond , Nassau, New York, NY 10004 Suffolk

of 36 2016 FTA Section 5310 Grant Program Guidelines Locally Developed Coordinated Plan – County Contacts (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.

of 36 2016 FTA Section 5310 Grant Program Guidelines Statewide Application Review Committee (SARC)

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

New York State Department of Transportation (Administering Agency) 50 Wolf Road Albany, NY 12232 NYS Justice Center for the Protection of People with Special Needs 161 Delaware Ave Delmar, NY 12054 NYS Office for the Aging Agency Building No. 2 - Empire State Plaza Albany, NY 12223 NYS Department of Health 99 Washington Avenue, Suite 607 Albany, NY 12210 NYS Office of Mental Health 44 Holland Avenue Albany, NY 12229 NYS Office for People With Developmental Disabilities 44 Holland Avenue Albany, NY 12229 NYS Developmental Disabilities Planning Council 99 Washington Ave, Suite 1230 Albany, NY 12210 Adult Career & Continuing Education Services – Vocational Rehabilitation (ACCESS–VR, NYSED) 89 Washington Ave, Rm 580 EBA Albany, NY 12234

of 36 2016 FTA Section 5310 Grant Program Guidelines * NYSDOT Section 5310 Program – 2016 Application Checklist

Tab 1 – Application Checklist Tab 2 - Applicant’s Cover Sheet (Complete Cover Sheet Form provided by NYSDOT) Tab 2a - Grant Request Information Tab 3 - Primary Purpose/System Description Tab 4 - Service Area Description - Demographics Tab 5A - Locally Developed Coordinated Plan Certification Tab 5B - Agreements with Other Organizations for Coordination Services Tab 5C - Vehicle Use (if applicable) Tab 6 - Performance Measures - FTA Standard Tab 7 - Civil Rights and Title VI Tab 8 - Proposed Vehicle and Other Capital Projects Descriptions Tab 9 - Vehicle and Other Capital Project Requests Tab 10 - Mobility Management Description & Request Form Tab 11 - Operating Assistance Description & Request Form Required Scanned and signed/certified Attachments Signed Cover Sheet FTA 2016 Certifications and Assurances Public Notice of applicant's intention to apply with addressed comments Inventory (if Applicable) Agreements with Other Organizations (if Applicable) Cost Estimates for Capital Items (if Applicable) Other Information supporting application (as appropriate)

of 36 NYSDOT – FTA Section 5310 Application Allocatio ns

2015 FTA Section 5310 Program NYSDOT Application Manual & Guidance Instructions Pa ge 36 of 36