SPECIAL TRANSPORTATION SERVICES



NYSDOT Section 5310 Application Instructions

Overview

The application instructions for 5310 are designed to walk the applicant through the requested information based on the project type the applicant is requesting. Make sure that you review all materials related to the selected project types in your application, the Application Guidelines and Excel Application before starting to complete the Excel Application.

Application Submission Instructions

The application is contained in an excel workbook. Each tab page of the workbook is explained below. The application will require three separate signatures. Once signed, pages requiring a signature must be scanned to a PDF format and emailed with the full excel spreadsheet application. It is not necessary TO SEND A PRINTED or SCANNED COPY OF THE EXCEL APPLICATION WITH THE SCANNED SIGNATURE PAGES.

1. The application cover sheet (Tab 2) must be signed by the appropriate official in the organization who is qualified by board action or delegation authority to sign on behalf of the organization.

2. The application requires a signature by the appropriate official to certify that the project application is reflected in the local coordinated plan (Tab 5A)

3. The Federal Transit Administration (FTA) Certifications and Assurances require two signatures, one from the delegated organization official, and one from the organization’s attorney.   This document and the signature page are on the NYSDOT website and should be downloaded with the application.

4. A copy of the certified Public Notice of your organization’s intent to apply for these funds. This portion of the application process is TIME-SENSITIVE and should be completed as part of your initial actions. The guidelines explain the Public notice process and provide an example of the notice in Appendix E. The required signature is the publication’s notarized copy verifying that the public notice developed by your organization was published on a certain date in their publication. If the required 15-day period for comments has expired by the time you submit your application, then a signed letter on your agency’s letterhead needs to be included with the disposition of the comments received or a notice that none were received.

APPLICATIONS DUE ON OR BEFORE JULY 1, 2016

Email Excel Application, Scanned/Signed Signature Pages, and any required or supporting documentation for the application to NYSDOT at: ptb.5310@dot.

|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) – February |Vehicle Orders |

|(2017) | |

Tab 1 – Application Checklist Home Page

The checklist includes the application pages (Tabs) to be completed and included in the 5310 Grant application. This checkbox is only there to remind the user that they have completed that page. It does not make any validation checks.

Name of Applicant: Enter the applicant’s legal name in this field. Note: Once this is filled in the Applicant’s Name will appear throughout the necessary pages automatically.

First time/Previous Applicant: This checkbox indicates if the agency has ever applied for 5310 in the past. Note: If an applicant was only a New Freedom (Former 5317) sub-recipient previously, mark “First Time Applicant” for this 5310 application.

Tab 2 – Application Cover Sheet

Applicant: If you filled out the checklist name field, the legal name of the applicant should show on this tab. If you use a DBA (doing-business-as) name, enter that on second line. Please provide the website where information on the applicant can be found (if Applicable). Enter the County of primary operation or NYC if the agency provides service across all five boroughs (list only one). Enter the applicant’s Federal Employer Identification (9-digit # that reads 00-0000000) and the applicant’s 10-digit NY Vendor ID (visit for more information on the NY Vendor ID). Provide the organization’s 9-digit Dunn & Bradstreet (DUNS) number (visit for more information on DUNS), and the Congressional District number (Please identify the primary location only).

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

Applicant Type: Identify the type of applicant submitting the application for federal funding:

❖ Not-for-profit proof of eligibility: Provide the required numbers necessary to establish eligibility under this program: Charities Registration[1] (6-digit # that reads 00-00-00), for more information visit ; State Tax Exempt (6-digit # that reads 000000), required if exempt from state taxation. If you do not have the required numbers, write PENDING; grant awards require affirmative proof of eligibility. If exempt from 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 other exemption documentation that identifies the exemption category.

❖ Governmental Authority proof of eligibility: If the organization applying is seeking to apply for a traditional project type then the organization must provide all of the required documentation for eligibility under this program, which includes either the Certification Letter/Board Resolution or the Coordinator of Transportation Services Memorandum. If the agency applying is an existing FTA designated recipient in a Transportation Management Area, then indicate if the agency will apply directly to FTA or have NYSDOT administer the grant funds.

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

Applicant Primary Contact Information: Enter the name, title and all contact information of the organization’s primary representative responsible for the project/grant (primary contact receives all correspondence from the Department).

Grant Request Amount: This is the total amount of all grant project types requested. This automatically calculates. After completing each of the project types, the application will roll up your project requests amounts to Tab 2a – Grant Request Information. Please verify the total Grant Request Amount on Tab 2 matches the sum of Tab 2A. Note: Grant Request Information includes 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.

Certification by Chief Executive Officer of Applicant: The Chief Executive Officer of the organization must sign and date the cover Sheet. The cover sheet with signature needs to be printed out and scanned to a PDF file and emailed (with the full Excel spreadsheet application).

Tab 2A – Grant Request Information

Please check off each type of project your organization is requesting and verify the requested amount(s) has rolled up from the budget details. It is the responsibility of the applicant to verify that what each project page lists in terms of the federal request is accurately reflected on this page. Failure to recognize any discrepancy prior to submitting the application will not allow your application to be re-released. Verify information matches the requested amounts from applicable tabs (these amounts automatically fill from your budget request form tabs listed below):

Tab # 9 Vehicle and Other Capital Project Request Form

Tab # 10 Mobility Management Description & Request Form

Tab # 11 Operating Assistance Description & Request Form

Tab 3 – Primary Purpose/Current System Description

This tab allows the applicant to describe the services the organization provides, especially for transportation, and also how those services fit into the Locally Developed Coordinated Public Human Services plan.

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

Question 2 (Description of All Current Services Provided): Provide a description of the current services to seniors and individuals with disabilities. Description of current services may include, days and hours of service, type of service(s), populations served by each program, etc,.

Question 3 (Geographic Service Area): The Primary County Served auto-fills from Tab 2. Identify the corresponding municipalities.

Question 4 (Locally Developed Coordinated Public Human Services Transportation Plan): Enter the name/title of the Locally Developed Coordinated Plan, the date the plan was approved and the date the plan was modified/updated (plans are updated at a minimum of every four (4) years).

Question 5 (Providing Consumers with Transportation): Describe current approach, and the resources used, to provide your organization’s consumers with transportation including description of vehicle usage, and passenger descriptions, fare structure, etc.

Question 6 (Transportation Staff): This question refers to drivers, mechanics, administration staff and supervisors that are involved in the direct performance of the transportation program. It also may include other staff that supports the program. Staff should be counted as individuals; it does not matter if they are full-time or part-time. Note: If there are over 50 transit related employees, you must attach your organization’s Equal Employee Opportunity (EEO) Plan to this application. If you are required to have an EEO plan but do not have one, provide a timeline in the application that will ensure you have the plan together by the time of award.

Question 7 (Religious Affiliation): This question is to determine if your organization is sectarian or 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-sectarian nature in their response to this question. If yes to religious affiliation, make sure to include a statement that your transportation services are open to every person, regardless of their religious preference and there is no religious test to receive organization transportation services.

Tab 4 – Service Area Description

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

Question 1 (Membership or Registration Requirement): Is membership or registration required to participate in your organization’s programs? Explain the requirements necessary for people to participate in your organization’s programs.

Consumer Race/Ethnicity Demographics Table: In the “Service Area Population” column provide population estimates for each racial/ethnic consumer category. In the “Consumers Population” column provide estimates for the number of consumers that will receive transportation project services by the applicant for each racial/ethnic consumer category. The Percentages will calculate automatically.

Note: the racial and ethnic categories within this table were developed by the federal Office of Management and Budget (OMB) and adopted formally by the U.S. Census Bureau (2010 Census).

Consumer Age Demographics Table: In the “Service Area Column” provide population estimates for each Age Group category within the service area of your organization. Provide the estimated number of consumers that will receive transportation services by the applicant within the “Consumer” column. The percentages will calculate automatically. If the source of your data does not use the age brackets provided, please adjust your numbers accordingly. The information requested for service area and consumers served are key factors in the review of Tab 4.

Tab 5A – Locally Developed Coordinated Human Service Plan Certification

Applications must include documentation that proposed projects are part of a locally developed coordinated Public Transit – Human Services Plan, the purpose of which is to provide for maximum reasonable coordination of transportation services for seniors and individuals with disabilities with transportation services funded by other Federal sources. For more information see the Locally Developed Coordinated Plan section of the Application Guidelines.

Header/Section 1 (Statement): This is a statement that the projects proposed by applicant are compliant with Coordinated Plan requirements. This page must be signed, scanned, and attached to the application submitted via e-mail.

Section 2 (Coordinated Plan Name): Identified in the primary purpose tab.

Section 3 (Plan Adopted by Agency): Identify the organization/agency that adopted the coordinated plan in the space provided.

Section 4 (Date Plan was adopted and update): Indicate the date the coordinated plan was adopted and last modified/updated in the spaces provided.

Section 5 (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 that the State can certify that the projects are matched in this plan. This question is critical to the success of the application. If you cannot accurately reference the page number(s) in the Coordinated Plan that identify and support the proposed the project(s), the proposed project(s) will not be eligible for 5310 funding consideration.

An individual authorized by the governing board of the applicant organization must complete, sign and date this form and scan and email it in with your application.

Tab 5B –Coordination with Other Organizations to Coordinate Services

Coordination is cooperation in the delivery of transportation services; it occurs when individuals and organizations work together to expand one or more transportation-related activities. Coordination can be as simple as referrals about transportation choices among several agencies or it can be as complex as a fully consolidated community transportation system serving human service agencies. Establishment of these agreements to coordinate transportation services may be separate from the locally developed coordinated plan initiative.

Coordination with Other Organizations Table: In the space provided list area, type of activity and organization/agency that the applicant coordinates with to provide services. Indicate if formal (i.e. written) agreement exists and if attached as part of the email with the application.

Tab 5C – Questionnaire and Certification of Vehicle Use

This tab is required to be completed if applying for vehicles or operating assistance type projects. NYSDOT uses this information to certify appropriate vehicle use and determine if the applicant requires operating authority. If the Applicant is already regulated as a Common or Contract Carrier, requires operating authority and is part of NYSDOT’s ongoing inspection of vehicles, only answer questions 1-4. If Applicant is not currently regulated or does not want the vehicles maintained under NYSDOT Operating Authority, complete all questions. If the applicant is or will be contracting with a private carrier/Third Party to operate proposed grant vehicles, the information from the private carrier/Third Party operator must be identified in Tab 11 Question 3.

Questions 1 & 2 (School Transportation & Exclusive School Transportation Service): Applicants ensure they will not engage in school bus operations exclusively for the transportation of students and school personnel, in competition with private school bus operators, a prohibited use of program vehicles. An applicant may use program vehicles for the transportation of students and school personnel in incidental charter bus operations. Answer questions 1 & 2 accordingly. If you answer yes to these questions, please explain the service in further detail in the space provided. (See the Program Exclusions section of the Application Guidelines for additional information).

Question 3 (49 CFR 605.11 Exemptions): An applicant may not engage in school bus operations in competition with private school bus operators unless it demonstrates to the satisfaction of the FTA Administrator as follows[2]:

(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 with applicable safety standards; or

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

If an exemption has been granted, please indicate and attach a copy.

Question 4 (Regulation by NYSDOT as a Common or Contract Carrier): If yes, provide NYSDOT Operating Authority Number and you do not need to answer Questions 4 & 5.

If no, provide further narrative information. For more information, visit the NYSDOT Bus and Passenger Carrier Safety website .

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

Tab 6 – Performance Measures

A current goal of 5310 program is to gauge performance through traditional transportation measures. The charts in this Tab were designed to capture current as well as projected estimated performance levels. Answer all applicable sections.

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

❖ Section 1. Gaps in Service Filled – All applicants must fill this out - Provision of transportation options not otherwise available for seniors and individuals with disabilities, measured in numbers of seniors and individuals with disabilities afforded mobility they would not have without program support.

❖ Section 2. Ridership – If providing operating assistance or purchasing vehicles fill this section out – Fill in actual or estimated number of riders (as measured by one-way trips[3]) provided annually for individuals with disabilities and seniors on Section 5310-supported vehicles and services, as well as information related to wheelchair positions, number of vehicles, ambulatory seats, vehicle miles and vehicle operation . In the appropriate chart columns, provide the current ridership performance measure[4] statistics, as well as the estimated statistics if awarded the grant. Note: If requested vehicles are replacement, there may not be an increase in ridership or service.

❖ Section 3. Physical Improvements – If providing physical improvements with a capital project fill this out - Additions or changes to environmental infrastructure (e.g. transportation facilities, sidewalks, etc.), technology, and vehicles that impact availability of transportation services as a result of project implemented the current reporting year. Please provide specifics in space provided.

❖ Section 4. Mobility Management – If providing mobility management, fill out this tab – this table allows the user to select the type of activity (Objective) being performed under the MM Project as well as the specific measure pertaining to that choice. The table then needs the statistic that you are working towards in this project. This information is used to fill in the quarterly reports used for MM for payment requests and for reporting to the FTA.

Tab 7 – Civil Rights & Title VI

Section 5310 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.). As detailed in the Application Guidelines, 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 (by the time the contract grant award is signed).

Tab 7 allows the applicant to explain, through polices and documentation, that they understand and have experience with the Federal Civil Rights requirements. Some of these requirements have thresholds that might not impact your organization but the basic Title VI requirements for polices and other procedures are in place.

Title VI Update

Question 1 (Investigations, Lawsuits, or Complaints): Have any investigation, lawsuit, or complaint alleging discrimination occurred in the previous three (3) years against applicant or any sub-recipient? If Yes, provide a concise description of any investigations, lawsuits, or complaints alleging discrimination filed against the applicant or any sub-recipient involved with the application. Include the status or outcome of these lawsuits or complaints, the resolution of each lawsuit or complaint, and any corrective actions taken.

Question 2 (Civil Rights Compliance Review): Have any Civil Rights Compliance Review Activities or investigations been conducted in the past three (3) years? If Yes, provide details on the review, including the purpose or reason for the review, the name of the organization or agency that performed the review, and the findings and recommendations of the review.

Question 3 (Title VI Plan): Does your organization have a current Civil Rights Policy and Title VI plan adopted, that complies with Title VI of the Civil Rights Act of 1964? In compliance with this federal requirement, sub-recipients may adopt their own policy, or use the NYSDOT Civil Rights Policy statement for adaptation or adoption (see the Application Guidelines). Attach a copy of your organizations’ Title VI policy and plan.

Question 3A (Complaint Procedures): Does your organization have Complaint Procedures? Attach copy to application.

Question 3B (Notification and Public Outreach): As a state agency administering federal financial assistance programs, NYSDOT’s Public Transportation Bureau and sub-recipients are required to conduct public outreach through a variety of efforts to ensure access for low-income, minority, and limited English proficiency (LEP) populations. Does your organization have a Notification and Public 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:

Question 3C (Civil Rights Statement): Organizations must prominently display a Civil Rights Statement in vehicles, the workplace, and general public areas. Successful applicants will be required to update the information pertaining to this statement every six (6) months with the submission of required semi-annual reports for awarded projects. See the Application Guidelines for a sample Civil Rights statement.

Question 3d (Limited English Proficiency Plan): Organizations must address the needs of Limited English Proficiency (LEP) populations within their Title VI Plans. If you have an LEP Plan please attach with application.

If you answer no to any part of Question 3, please describe how your organization will comply with Title VI requirements in the space provided.

Question 4 (Americans with Disabilities Act (ADA) Plan): Does your organization have an ADA plan for carrying your consumers/public on your vehicles? If so, attach a copy of the ADA plan. If no, describe how your organization complies with ADA requirements in the space provided. If the project types are capital construction projects, please describe how the applicant’s plan and process fits with the municipality’s ADA transition Plan.

Tab 8 Vehicle & Other Capital Requests Description

Question 1a (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 new service.

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

Question 1c (Summarize the project): Explain how the proposed project addresses the Section 5310 program objective identified above. Elaborate on the specifics (e.g. More hours? Service in a larger geographical area? Shorter headways? More trips?) The proposed project description should be thorough, as evaluators will rely heavily on the narrative in reviewing grant application.

Question 2 (Identify the unmet need that project seeks to address): Demonstrate how proposed project(s) do not duplicate other services in the proposed service area. This question further justifies eligibility as an applicant seeking federally funded capital to provide transportation services to seniors and individuals with disabilities where public transportation service is unavailable, insufficient or inappropriate.

Question 2a (Insufficiency of current services): Describe how current services by public or private transit operators are not sufficiently addressing the transportation needs

Question 3 (Inventory of all vehicles in your fleet): Attach a current list of all vehicles equipment used by the applicant 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 with grant awards made in previous years. Include Year, Make, Mode, Passenger Capacity, Mileage and Condition. Make sure to mark/check vehicles that you seek to replace with this grant application.

Tab 9 - Vehicle and other Capital Requests Form

Detailed Vehicle Request Form

Vehicle Request Table: This Table enables the applicant to provide details on the vehicle(s) requested as well the proposed service the applicant intends to provide. Please follow example provided.

There is a drop down box in the Vehicle LOT cell which provides a listing of Office of General Services (OGS) Vehicle type. If there is an option for that Lot it will be indicated with a (Lot G – Alt). Once selected, the cost of that specific Lot will be the only choice on the cost drop down menu. Be sure to include purpose of vehicle and provide the requested service information (i.e. Estimated Miles per year, Number of Service Days per week, Average Hours per day, Average Vehicle Miles per Day and Average 1 way trips provided to Seniors/Individuals with Disabilities and Others).

If applicable, provide information (i.e. model year, make, VIN #, Current Mileage and fund source) of the existing vehicle that the requested vehicle is replacing. Note: If requesting more than one vehicle, list the vehicles in priority order.

Once applicants finalize selections, the requests will automatically calculate into the total “Grant Request Amount” and fill-in on Tabs 2 and 2a. Note: the total cost of the proposed grant project(s) may not exceed $500,000; vehicle requests may not exceed four (4) vehicles, regardless of vehicle Type[5].

Other Capital Request Form

Other Capital Requests Table: Detail the expenses for the project. List requested items in priority order. Provide a description of the purchase being made, Location where it will be housed, the cost per unit , the number of estimated units, the form will automatically calculate the total cost as well as calculate the Federal and Local Share totals Note: Attach an independent Cost Estimate (ICE) for each capital item requested on this form. Since the applicant is asking for an estimated amount for a project, they must have done some research on what this purchase would cost. An independent cost estimate (ICE) is very important to the reviewers and NYSDOT as it speaks to the ability of the project to come in at the budget requested. Quotes, design documents, more detailed budgets, etc are all valuable to the reviewers trying to understand what the project details are about and how these funds will contribute.

Once applicants finalize selections, the requests will automatically calculate into the total “Grant Request Amount” and fill-in on Tabs 2 and 2a

Other Capital Items Inventory Table: Detail the current inventory that is to be replaced. Describe current inventory, condition, age and if it is used completely for transportation use

Tab 10 – Mobility Management Description & Request Form

Question 1a (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 new service.

Question 1b (Main objective for the proposed project): From the choices provided, choose the main objective of the project.

Question 1c (Summarize the project): Describe the proposed project and explain how the proposed project addresses the Section 5310 program objective identified above. Elaborate on the specifics (e.g. More outreach? Service to a larger geographical area? More coordination of applicant’s tasks with other similar organizations? Travel training, etc) The proposed project description should be thorough, as evaluators will rely heavily on the narrative in reviewing grant application.

Question 2 (Identify the unmet need that project seeks to address): Demonstrate how proposed project(s) meet an unmet need and do not duplicate other services in the proposed service area. This question further justifies eligibility as an applicant seeking federally funded capital to provide transportation services to seniors and individuals with disabilities where public transportation service is unavailable, insufficient or inappropriate.

Question 2a: (Insufficiency of current services): Describe how current services by other mobility organizations are not sufficiently addressing the information and mobility supports to meet the transportation needs.

Question 3 (Efforts to leverage other funds): Please describe past and current efforts to obtain funds from other sources to implement/provide the proposed services.

Proposed Project Information

Header: Identify staff position related to proposed mobility management project and indicate if part time or full time; Provide description of general Duties and responsibilities. Please provide Annual salary.

Proposed Project Budget table:

Section A: Provide personnel and non-personnel expense estimates related to proposed project

Section B: List & identify matching cost share (local, state and other non-USDOT Federal funds) amounts.

Section C: The federal Share amount will calculate automatically.

Once applicants finalize selections, the requests will automatically calculate into the total “Grant Request Amount” and fill-in on Tabs 2 and 2a

Tab 11 – Operating Assistance Description & Request Form

Question 1a (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 new service.

Question 1b (Main objective for the proposed project): From the choices provided, choose the main objective of the project.

Question 1c (Summarize the project): Describe the proposed project and explain how the proposed project addresses the Section 5310 program objective identified above. Elaborate on the specifics (e.g. More hours? Service in a larger geographical area? Shorter headways? More trips?) The proposed project description should be thorough, as evaluators will rely heavily on the narrative in reviewing grant application.

Question 2 (Identify the unmet need that project seeks to address): Demonstrate how proposed project(s) meet an unmet need and do not duplicate other services in the proposed service area. This question further justifies eligibility as an applicant seeking federally funded capital to provide transportation services to seniors and individuals with disabilities where public transportation service is unavailable, insufficient or inappropriate.

Question 2a (Insufficiency of current services): Describe how current services by public or private transit operators are not sufficiently addressing the transportation needs.

Question 3 (Service Operator): Indicate if the service will be operated by the applicant. If not then describe how the service will be operated by a lessee or private operator under contract and percentage of equipment that would be owned by that other operator.

Operating Assistance Project Costs

This form will automatically calculate totals as applicant inputs information.

Section 1 (Total Costs): Please indicate total operating expenses in top row.

Section 2 (Fares) Please list details on the fare box revenue from the services provided. There are multiple lines so you can detail the source of each of the fare paying sources in your list.

Section 3 (Net Project Costs): Automatically calculated

Section 4 (Other FTA match): If there are other FTA funds as part of this service, please enter the amount and an additional line for the matching funds to this amount. Note: Since FTA funds cannot use the same local share twice, this amount and the match have to be taken off the top of the calculation to get to the eligible cost.

Section 5 (Net Project Costs Less any FTA funds): Automatically calculated

Section 6 (Matching Share): Provide the amount and source of the local match. In-kind match is acceptable and must be well documented. If using multiple sources of local match, click on row above the last entry to add more rows. The local share must at least match 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.

Eligible 5310 Federal Share Amount: Automatically calculated; recommended federal amount is based on the local share that was entered.

Once applicants finalize selections, the requests will automatically calculate into the total “Grant Request Amount” and fill-in on Tabs 2 and 2a

Operating Project Details Table

Fill-in the “Operating Project Details,” including the estimates on route length, number of trips, riders per day, and cost per day for each type of service (if applicable). If the service type is not applicable, please enter 0.

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 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 disabilities when public transportation is insufficient, inappropriate, or unavailable and carried out by eligible subrecipients.

Coordinated Public Transit-Human Service Transportation Plan (Coordinated Plan): A locally developed, coordinated transportation plan that identifies the transportation needs of individuals with disabilities, seniors, and people with low incomes, provides strategies for meeting those local needs, and prioritizes transportation services for 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 statement 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 new specialized transportation services for seniors and/or individuals with disabilities not already receiving these transportation services through your organization.

Grantee: See sub-recipient 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 basic, 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 individuals; determined by the Bureau of the Census.

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

Mobility Management: Consists of short-range planning and management activities and projects for improving coordination among public transportation and other transportation service providers carried out by a recipient or subrecipient through an agreement entered into with a person, including a government entity, under 49 U.S.C. Chapter 53 (other than section 5309). Mobility management does not include operating 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 from taxation under 26 U.S.C. 501(a) or one determined under State law to be non-profit and for which the designated State agency has received documentation certifying the status of the non-profit organization.

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

Operating Expenses: Costs necessary to operate, maintain, and manage a public transportation system; usually include such costs as driver salaries, fuel, and items having 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 required 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 such 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; charter bus service; school bus service; sightseeing service; courtesy shuttle service for patrons of one or more specific establishments; or intra-terminal or intra-facility shuttle 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 not designated in the most recent decennial census as an ‘urbanized area’ by the Secretary 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 organization, or an operator of public transportation that receives a grant under Section 5310 indirectly via a recipient (NYSDOT).

Transportation Management Area (TMA): An urbanized area (UZA) with a population of at least 200,000 determined by the Bureau of the Census. This could be a portion of an MPO area, an entire MPO area or a combination of MPOs as in the Hudson Valley TMA which consists of three MPOs.

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

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[1]Make 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.

[2] If you answer yes to this question, attach a copy of the exemption to the application materials.

[3] See “General Definitions” on page 14

[4] 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 failure to meet stated targets.

[5] Please 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 required during the program-contracting phase. You do not need to calculate this in the “Grant Request Amount” of the application.

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