2016 FTA Section 5310 Grant Program Guidelines

FTA Section 5310 Grant Program

Enhanced Mobility of Seniors and Individuals with Disabilities

2016StatewideApplication Guidelines

application due – July 1, 2016

Revised June 16, 2016.

Note that underlined text in blue is an addition and text deleted is strikethrough.

2016 FTA Section 5310 Grant Program Guidelines

Contents

Introduction

Program Highlights for 2016

Application Materials and Preparation

Application Guidelines- Eligible Applicants- Traditional Applicants

Application Guidelines- Eligible Applicants- Enhanced Applicants:

Program Exclusions

Eligible Projects

Eligible Projects: Locally Developed Coordinated Plan

Available Capital Vehicles and Equipment

Project Financing and Program Financial Requirements

Project Selection Process : Application Reviewing Body

Project Selection Process: Selection Criteria

Program Requirements: Project Type

Program Requirements: Capital Project (Vehicle)

Program Requirements: Capital Project (Other)

Program Requirements: Mobility Management

Program Requirements: Operating Assistance (Including CCoC)

Program Requirements:Title VI

NYSDOT Title VI Complaint Procedures

Appendix A: Eligible Project Descriptions- 55% Requirement

Appendix A1: Eligible Project Descriptions- 45% Requirement

Appendix B: General Useful Life Guideline Targets for Section 5310

Appendix C: NYS Vehicle Insurance Requirements

Appendix D: NYS Commercial Driver License (CDL) Requirements

Appendix E: Public Notice of Intent to Apply

Appendix F: Acronyms, Definitions and Contact Information

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 applicationinstructions.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%) maysupport a wider set of Enhanced Applicants’ public transportation projects that:
  • Exceed the requirements of the Americans withDisabilities Act (ADA);
  • Improve access to fixed-route service;
  • Decrease reliance by individuals with disabilities on complementary paratransit; or
  • 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: The Section 5310 code in the Catalogue of Federal Domestic Assistance is 20.513. For more information, see the FTA circular at:

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:

  • Certifiesthe 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.

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/STIPActions
July / FTA Grant Developed
August-September / FTA Review & Approval
October - November / Contracts Processed & Approved
January (2017) / Other Capital & Operating Projects Begin
December (2016) – February (2017) / Vehicle Orders

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:

Other Capital Equipment

Mobility Management

Operating Assistance (including Capital Cost of Contracting)

Application Materials and Preparation

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

The NYS Grants Gateway:

The NYSDOT website:

Webinar presentations will be heldto 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 aWebinar 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 Federaland State 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 organizationincorporated within NYS. As the primary intended applicant, you must:
  • Have a current Charities Registration Numberfor 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 andpre-qualified in Grants Gateway. For Registration status:

To Register:Complete the form and mail it to the address listed on page 2 of the form located at:.

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:

  1. A State or local governmental authority, or Indian Tribal government,able to certify that:
  • A non-profit organizationis not readily available in the area to provide transportation services toseniorsand individuals with disabilities;or
  • The Applicant is approved by the State to coordinate these services.Governmental Authorities applying mustsubmit:
  • A certification[5] to NYSDOT that no not-for-profit corporations or associations are readily available in the area to provide transportation services toseniors and individuals with disabilities.
  • A letter on government letterhead, signed by the government’s chief executive officer, ora board approved municipal resolution,detailing the unavailabilityto justify eligibility.
  1. Governmental Authorities applying as an entity approvedto coordinate services for seniors and individuals with disabilities must submit:
  • A memorandum with existing transportation providersin an area of proposed service that establishes the governmental authority as the coordinator of transportation services; and
  • Documentation of the coordination activities accomplishedor 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:
  • 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.
  • 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 with an eligible sub-recipient such as a local government or non-profit organization.
  • 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 plan[6] 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 oftransportation 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, thecounty 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 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:

Table 1 belowsummarizes the Project Types, Eligible Activities & Applicants, and Important Notes to assist you in applying under the appropriate project type(s). The descriptions inTable 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 Type / Eligible Applicant / Eligible Activities / Notes
Vehicle & Other Capital Items
[Applicant responsible for up-front cost for all capital items not purchased through the NYS OGS Adult Bus Contract. These other procurements will be eligible for an 80% federal reimbursement. Also, other capital items must be procured in accordance with local, state, federal regulations, and for project maintenance, reporting and inspection by NYSDOT as applicable. / Traditional or Enhanced / Purchase of Buses from NYS OGS Adult Bus Contract / Documentation of agency type
20% Applicant Match
Benches, Shelters & Passenger Amenities / Narrative supporting traditional or enhanced 5310 program activities.
ITS (Intelligent Transportation System) planning & technology: Such as AVL – Automatic Vehicle Locator System; MDT – Mobile Data Terminals;
Dispatch System / Narrative supporting traditional or enhanced 5310 program activities.
Technology projects must comply with ITS Architecture standards.
Other vehicle types not on OGS Adult Bus Contract to support shared-ride services. / Narrative supporting traditional or enhanced 5310 program activities.
Radio Equipment / Narrative supporting traditional or enhanced 5310 program activities.
Support Facilities and Equipment / Narrative supporting traditional or enhanced 5310 program activities.
Vehicle Rehab or Overhaul / Narrative supporting traditional or enhanced 5310 program activities & cost/benefit analysis.
Traditional (only) / Computer Hardware & Software / Narrative supporting traditional 5310 program activities.
Preventive Maintenance / Maintenance plan and cost allocation plan
Enhanced (only) / Accessibility improvements to non-key stations and stops / Narrative supporting enhanced 5310 program activities.
Vehicles or equipment designed to accommodate oversized mobility aids beyond ADA requirements / Narrative supporting enhanced 5310 program activities.
Mobility Management / Traditional or Enhanced / Coordination of services for 5310 target populations / Narrative supporting traditional or enhanced 5310 program activities.
ITS (Intelligent Transportation System) planning and technology that directly supports a Mobility Management Project such as a call center, or coordination and dispatch computer system. / Narrative supporting traditional or enhanced 5310 program activities.
Technology projects must comply with ITS Architecture standards.
Operation of transportation brokerage / Narrative supporting traditional or enhanced 5310 program activities.
Support to plan and implement coordinated services / Narrative supporting traditional or enhanced 5310 program activities.
Support of State and local coordination policy bodies and councils / Narrative supporting traditional or enhanced 5310 program activities.
Travel Training / Narrative supporting traditional or enhanced 5310 program activities.
Operating Assistance
[Operations by Applicant or Contracting with a third-party operator for the provision of services for 5310 target populations] / Traditional or Enhanced / Transportation Operating Expenses for services provided to 5310 target populations / Narrative supporting traditional or enhanced 5310 program activities.
Vouchers to support volunteer driver programs, taxi, or trips provided by human service agencies. / Narrative supporting traditional or enhanced 5310 program activities.
Enhanced (only) / Accessible Feeder Services to commuter or intercity rail and bus, where paratransit is not available. / Narrative supporting traditional or enhanced 5310 program activities.
Expanding ADA Paratransit Services / Narrative supporting traditional or 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
Vehicle Classification / Ambulatory Adult Passenger Capacity[9] / Vehicle Classification / Ambulatory Adult 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.

Subrecipientsare required to enter into a contractual agreement with NYSDOTprior 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.