New York State

Department of Transportation

Section 5311 (Rural) Program

CONSOLIDATED GRANT APPLICATION & INSTRUCTIONS for

Federal Transit Administration (FTA) Assistance

Application Years

2015-2016

Public Transportation Bureau

December 15, 2014

To Federal Section 5311 Grantees:

We are pleased to introduce the new “Federal Section 5311 Consolidated Grant Application”for the 2015 and 2016 fiscal years.

The application is provided electronically in two files (first-“The Application Instructions” in MS Word format, and second-“The Application Package” in MSExcel format). The application portion (Budget & Inventory) must be completed in full and submitted electronically in MS Excel format; PAPER COPIES WILL NOT BE ACCEPTED. The certification pages (Exhibits, FTA Certifications, Agreements and Resolutions) must contain original signature(s) and be mailed to the address stated within the instruction package.

Please be advised that your Federal Section 5311 Operating Assistance, Appalachian Development and Supportive Employment Services Allocations for the non-urbanized area public transportation program for 2015-16are provided in TAB-9 of The Application Package.

APPLICATIONS ARE DUE BY OR BEFORE MARCH 1St 2015.

Further Requirements and Obligations:

1)Prior outstanding obligations or deliverables that are not ordered after a NYSDOT approved contract and procurement process will render the Consolidated Grant Application incomplete. Approval will be contingent upon satisfactory completion of all previous obligations or deliverables.

2)Approved Capital Program projects (except major construction*) must be completed within two years of NYSDOT contract and procurement process approval. Project funding remaining after this date will be re-programmed for other projects. Any remaining balances upon project completion will also be re-programmed by NYSDOT .
* Major Construction Projects must be completed within 4 years of the NYSDOT approved contract and procurement process.

UPCOMING EVENTS - Consolidated Application General Information Session

We will provide a general information webinarfor those interested on Tuesday, January 6, 2015 at 10:30am, on the Application Package and process, and allow for a question and answer session on its content. To access the webinar, click on the following linkbelow to register in-advance for the webinar:

We look forward to working with you as this process rolls out. Please feel free to contact me or any of our transit staff at (518) 457-8335 to answer any questions you may have, or you may visit us on the web at:

Sincerely,

Thomas M. Vaughan

Acting Director

Public Transportation Bureau

SUMMARY OF APPLICATION CHANGES

Several updates to the application have occurred since the 2013-2014 cycle and are outlined below:

  1. Revised maximum project duration to recognize timing of federal grant approval process and State contract execution process.
  2. Supportive Employment Services (SES). This is a new category and reflects the consolidation of federal section 5316 (JARC) funding into rural and urban formula programs under MAP-21. Operating Assistance for existing JARC funding has been “grandfathered” into the SES column in Tab 9. All Applicants can also apply for new operating assistance SES projects. Include operating expenses as part of the regular budget and note the percentage of expenses attributable to SES.
  3. Fare Table to provide additional information on fare products used.
  4. Mobility Management Request Form. Now part of 5311 program and eligible for up to 80% federal funding.
  5. In-Kind Valuation Form which may be used with Mobility Management Request
  6. Appalachian Development Public Transportation Assistance Program (ADPTAP) This is a new funding program under MAP-21 for operating, capital and planning assistance in 14 eligible counties. See Tab 9 for funding details.
  7. New fleet and facility inventory form.

SUBMITTED BY: ______DATE:______

SECTION 5311

CONSOLIDATED GRANT APPLICATION

SUBMISSION CHECKLIST

Use this checklist to assure that all information necessary is included in your application submission. Please also check that hard copies of original signed documents,, titles and attachments are included as requested. This will allow the earliest approval of your application. PLEASE NOTE ELECTRONIC SUBMISSION of the Excel application file IS REQUIRED.

□TAB 1 - APPLICATION COVER SHEET

□TAB 2 - OPERATING BUDGET

□TAB 2A -INDIRECT COST WORKSHEET (if applicable)

□TAB 2B-DETAILED FARE INFORMATION

□TAB 3 - VEHICLE REQUEST

□TAB 3A-OTHER CAPITAL BUDGET APPLICATION

  • INDEPENDENT COST ESTIMATES/SUPPORTING DOCUMENTATION
  • POLICY, PLANNING AND PLACEMENT PHASES OF CAPITAL PURCHASE REQUESTS

□TAB 3B - MOBILITY MANAGEMENT (if applicable)

□TAB 3C - IN KIND MATCH

□TAB 3D- ADPTAP (Appalachian Development Public Transportation Assistance Program) (If applicable - Only 14 Counties are eligible – See TAB 9)

□TAB 4 - FLEET COMPOSITION

□TAB 5 - EXHIBIT 1, PUBLIC PARTICIPATION AND COORDINATION

□TAB 5A-Intercity Bus OperatorS (ONLY)

□TAB 6 - EXHIBIT 2, FEDERAL CERTIFICATIONS AND ASSURANCES

□TAB 7 - EXHIBIT 3, SECTION 5333(b) DOCUMENTATION AND WARRANTY

SUBMITTED BY: ______DATE:______

□TAB 8 - EXHIBIT 4, TITLE VI/DBE ACTIVITIES ASSURANCE

□TAB 9 - 2015-2016 ALLOCATIONS FOR 5311 OPERATING, APPALACHIAN DEVELOPMENT (ADPTAP) AND SUPPORTIVE EMPLOYMENT SERVICES (SES)

& NYSDOT Staff Representative Listing

□TAB 10 - SCHEDULES & ROUTE GUIDES (Digital format)

□TAB 11 - SUPPLEMENTAL INFORMATION, AS NEEDED

CONSOLIDATED GRANT APPLICATION INSTRUCTIONS

NYSDOT FEDERAL SECTION 5311 PROGRAM

CONSOLIDATED GRANT ASSISTANCE APPLICATION INSTRUCTIONS

The following are instructions for completing the Federal Section 5311 Consolidated Grant Application. It is suggested that you first issue your public notice (see APPENDIX A) so that adequate time is allowed to address any comments.

GENERAL INSTRUCTIONS

Eligible Applicants: Any County, City, Intercity Bus Operator, Regional Transportation Authority or federally recognized Indian Tribal Government is eligible to apply for federal Section 5311 assistance as long as the Applicant is eligible for, or a current recipient of,Statewide Mass Transportation Operating Assistance (STOA) through the NYSDOT, Applicants must apply for all federal operating assistance funding available to them (Section 975.10)and may apply for a capital assistance project. Based on the Moving Ahead for Progress in the 21st Century (MAP21) legislation, Section 5311(j) the Public Transportation on Indian Reservations Program (Tribal Transit Program (TTP) passed in 2012, federally recognized Indian Tribal Governments are also eligible to participate as direct recipients to FTA under the Tribal Transit Program.

Eligible Recipients: Eligible applicants may receive funds for services and equipment which they operate or for which they contract with a third-party transportation operator. A third-party operator or service provider may be a private non-profit organization, a human service agency or a private for-profit provider of public transportation.

Eligible Services and Restrictions: Only public transportation operations predominantly serving residents of “non-urbanized” areas (under 50,000 population), as defined by the US Census, are eligible to receive federal Section 5311 assistance. Only services primarily operating within the boundaries of New York State are eligible for funding.

Transfers To Eligible Applicants: NYSDOT will continue transferring 5311 funds to the 5307 account for Small Urbanized Area (SUZA's) recipients only as allowed by MAP-21. SUZA's eligible for this transfer are Broome, Chemung/Elmira, Tompkins, and Ulster. If you do not want to receive your project funding via transfer, you must notify NYSDOT in writing with your application. Otherwise, NYSDOT will initiate transfers with FTA and notify everyone of the transfer process and the deadline for applying to FTA for funding.

Open-to-the-Public Requirement: All Section 5311 assisted transportation services must be available to the general public at all times on a regular and continuing basis and have publicly advertised and posted service hours. This means: (1) that no person may be denied access to a Section 5311 funded service; (2) that all persons must be provided an equal opportunity to find out about and make use of the service; (3) that the availability of the service to the general public must be advertised on a regular and frequent basis; (4) that the service must publicly post its hours of operation, availability to all, routes, reservation system and fares; and (5) that the service may not be restricted or operated so as to discriminate against anyone on the basis of race, color, creed, national origin, sex, age or disability. Service provided under contract to a social service agency will generally be considered public transportation, not charter service, if the service is under the control of the applicant, is open door, and the applicant can put any rider on the vehicle in addition to the agency’s clients.

Significant Changes: Please attach a separate description of significant changes that have recently occurred or which you expect to occur in the next two years. This section is extremely important for those systems that are making service changes to their systems. This impacts the STOA formula, the 5311 operating allocation formula and 5311 capital assistance. Please be as specific as necessary to ensure that the service changes that have a very good chance of being implemented in the next two years are listed. Provide this information in TAB 11 – Supplemental Information.

Transportation Services for Individuals with Disabilities: Recipients of federal funds should be familiar and comply with the criteria contained within the Americans with Disabilities Act pertaining to Transportation Services for Individuals with Disabilities. If you provide Fixed Route Services, then you must provide Paratransit as a complement to Fixed Route Services (FR). Paratransit services can be limited to ¾ miles from the FR and at times when it FR services are in operation and charge up to twice the normal fare. A copy of an approved paratransit plan be on file with NYSDOT at all times.

As an alternative to operating Fixed Route and Paratransit services, you may operate Demand Response (DR) services, which can include Route Deviation (RD), Point Deviation (PD) or Dial-A-Ride (DAR) services. These types of services offer a hybrid demand service from a FR service to ALL riders regardless of ability to ride; no exceptions. Deviation distances are defined for RD and PD services and all require a call in advance to arrange for pick up. Deviations on RD and PD service can charge up to twice the normalfare.

For more information on meeting the requirements of ADA in public transportation service, go to:

and download the “Demand and Paratransit Plan Guidance Document”. FTA also provides more detailed guidance and links to the ADA regulations at:

FTA Charter Service Regulations: NYSDOT and FTA discourage the use of federally funded equipment for charter service. However, FTA regulations provide for clear exemptions and exceptions for transit systems to provide charter service over and above regular schedules. A transit agency may provide charter service under an “Exemption “or “Exception” category as stipulated in “49 CFR 604” with NYSDOT advanced approval. This service may or may not be eligible for STOA. To request approval, please go to this link: and download the “Charter Service Application”. Fill out all applicable information in the “Request for Approval” section at the bottom of page one. See “Appendix A” for definitions and clarifications of “exemptions” and “exceptions”. Please note that you are reguired to report any charter activity on the NYSDOT Quarterly Report Form that is found on the last page of the REQUEST TO PERFORM CHARTER SERVICES WITH FEDERALLY FUNDED EQUIPMENT form.

Purchase of Service Contracts: Eligible applicants that contract with private operators for service, such as through a “purchase of service contract”, must use the model third-party contract and third-party lease and service contract for the Section 5311 program supplied by NYSDOT for this purpose, or otherwise include all of the provisions of the NYSDOT model contracts in their own purchase of service and equipment agreements. Contracts involving 5311 funds must be approved in writing by NYSDOT before eligible expenses can be incurred for reimbursement.

Annual Report, Federal Single Audits, Independent Audits: For operating projects only an Annual Report must be submitted following the close of each fiscal year (THIS REPORT WILL BE SENT TO YOU ON A SEPARATE SCHEDULE BASED ON YOUR REPORTING YEAR CYCLE). The report follows a similar format to the application budget. Payment for the current fiscal year cannot be made until NYSDOT receives and approves the Annual Report for the prior fiscal year. The report must be certified by the Applicant’s chief financial officer. A copy of the certified report must also be forwarded to the auditor completing the required federally Single Audit for a local government Applicant or an independent audit of any other Applicant. Please note that Regional Transportation Authorities and other Urban systems required to file a “17-A” report have the option of completing the “Form G-1" Certification (which is included with the 17-A package) in place of the Section 5311 Annual Report.

The Federal Single Audit must be forwarded to:

If you cannot submit electronically, audits can be mailed to:

Mr. Joe Stuhlman, Director, Contract Audit Bureau

NYSDOT50 Wolf Road, 1st Floor, Albany, NY 12232

For more information about Federal Single Audits, visit NYSDOT’s web page at:

It is important to note that it is the Annual Report and the Federal Single Audit that determine the actual costs of the Section 5311 Operating Project and the amount eligible for federal reimbursement. The amounts shown in the project application budget should be the best estimates available at the time, but they are, nevertheless, only estimates. The actual amount of Section 5311 funds to be received for an Operating project may differ significantly from that shown in the project application, depending upon the results of the final audit. Applicants are advised that approval of a project application does not constitute a commitment by the State to pay the estimated amount of Section 5311 funds shown in the application.

Consolidated Application: This application is being made available electronically. The instructions and model agreements are made available in Microsoft WORD, and the physical application parts are developed entirely in Microsoft Excel. The Excel portion of the application is required to be filled out and submitted electronically. FAILURE TO DO SO WILL CONSTITUTE AN APPLICATION INELIGIBLE FOR ASSISTANCE.

Summary of Completed Application: A complete Section 5311 Operating and Capital Assistance application consists of the following:

  • Application Cover Page (Tab 1, EXCEL Document);
  • Two year Operating and Capital Project Budgets (Tabs 2-3, EXCEL Document);
  • Indirect Expense and Mobility Management worksheets submitted as applicable;
  • Fleet Composition and Inventory Sheet for updating (Tab 4, Excel Document, inventory sent separately);
  • Exhibits 1 thru 4 (Tabs 5-8, EXCEL Document);
  • Third Party Agreement and Third Party Lease and Service Agreements (WORD Documents if applicable).

If you have difficulty receiving the attachments in email, it can be sent on a CD. Please contact your NYSDOT System Specialistlisted in TAB 9 labeled 5311 OA, ADP, & SES Allocation immediately if you have any difficulty.

Please return the electronic application by the deadline stated in the introduction letter, followed by hardcopies of signature pages containing original signatures.

FAILURE TO MEET THIS DEADLINE WILL CONSTITUTE AN APPLICATION INELIGIBLE FOR ASSISTANCE.

CONSOLIDATED GRANT APPLICATION STEP-BY-STEP INSTRUCTIONS

SPREADSHEET TAB I - APPLICATION COVER SHEET

ANY INFORMATION ENTERED IN THE SPREADSHEET MUST ONLY BE ENTERED IN THE WHITE CELLS.

General Information - The cover sheet requests information on the applicant (municipal) contact person as well as the operator(s). IT IS IMPORTANT TO LIST THE APPLICANT AND ALL OPERATORS ON TAB 1 TO MAKE SURE THAT THE NAMES ROLL TO THE SUBSEQUENT CORRESPONDING TABS.

Project Description - The Project Description is necessary to determine the eligibility of the project for federal assistance. It is important to complete the project description completely and accurately. Applicants need to be specific about their service area to ensure that the correct population is used in future allocations.

Certification - Each federal Section 5311 project application must be certified as to its accuracy and truth by the chief elected or designated official of the Applicant. Once approved, the Application is incorporated in the contract of assistance between the federal government, the State and the Applicant. As such, each project application constitutes a legal commitment by the Applicant to undertake the Section 5311 project(s) and transportation service(s) according to the project description and other assurances made by the Applicant.

SPREADSHEET TAB 2 – OPERATING BUDGET

The operating budgets must be filled out and submitted electronically. This form is locked and may not be modified. All of the information on this tab rolls from the succeeding individual operator tabs.If you have difficulty using the electronic format, please contact NYSDOT for assistance.

1 - HEADING

The heading includes instructions for completing the form’s two subsequent Budget years.

2 - OPERATING EXPENSES

Only eligible public mass transportation operating expenses can be included. Expenses that are “ineligible” or that are “non-mass transportation” expenses may not be included.

Ineligible expenses include the following: Depreciation of buildings, property or equipment purchased with government funds; provisions for income tax; charitable contributions or donations; interest expense on long-term borrowing or debt retirement; entertainment expenses; fines and penalties; contributions to capital reserve funds; and contra-expenses.

Non-mass transportation expenses include services defined as ineligible for state transportation operating assistance (STOA). These services include: Exclusive airport services, special charter operations, exclusive school bus operations, transportation services provided by client agencies that are designed only to meet the specific needs of their clients, sightseeing services, deadheading, hotel contract services, van service, services to primarily serve gambling casinos or bingo parlors, services commonly known as “invalid coach service” or “ambulette services or services on routes or trips not available to the general public.

Click here for a copy of the STOA Rules and Regulations. Each applicant is responsible for ensuring that the service provided, whether provided by the municipality itself or by a third party contractor, is in compliance with the STOA program.