NYSDOT / FTANYSDOT / FTA Section 5310Section 5310 Capital Capital Grant ProgramGrant Program

Application Workshop for the FFY 2010 Grant Application Workshop for the FFY 2010 Grant ApplicationApplication

CFDA 20.513CFDA 20.513

What is What is Section 5310Section 5310??

Section 5310 refers to the federal section of law that Section 5310 refers to the federal section of law that authorizes this program. Created in 1975 by Congress, it authorizes this program. Created in 1975 by Congress, it provides capital-only funding for the transportation needs provides capital-only funding for the transportation needs of elderly individuals and individuals with disabilities. of elderly individuals and individuals with disabilities.

IT IS A FEDERAL FUNDING PROGRAM!IT IS A FEDERAL FUNDING PROGRAM! In New York State, the NYS Department of Transportation In New York State, the NYS Department of Transportation

(NYSDOT) is the agency designated by the Governor to (NYSDOT) is the agency designated by the Governor to administer this federal funding program. administer this federal funding program.

Through the NYSDOT Section 5310 Grant Program, Through the NYSDOT Section 5310 Grant Program, funds are used for the capital purposes of purchasing funds are used for the capital purposes of purchasing buses,buses, primarily for not-for-profit organizations throughout primarily for not-for-profit organizations throughout the State of New York. the State of New York.

Section 5310 Federal Section 5310 Federal OversightOversight

Because Section 5310 is a federal Because Section 5310 is a federal funding program, NYSDOT administers funding program, NYSDOT administers the Program with federal oversight by the the Program with federal oversight by the Federal Transit Administration (FTA)Federal Transit Administration (FTA)..

5310 Program is administered in 5310 Program is administered in accordance with federal laws and accordance with federal laws and regulations, as stipulated by the FTA.regulations, as stipulated by the FTA.

How much does a grant fund?How much does a grant fund?

The program funds 80% of vehicle The program funds 80% of vehicle purchase costs, with the remaining 20% purchase costs, with the remaining 20% provided by the applicant organization as provided by the applicant organization as the required local match. the required local match.

There are no operating funds provided There are no operating funds provided under this program, and recipients are under this program, and recipients are responsible for 100% of their ongoing responsible for 100% of their ongoing operating expenses for buses awarded operating expenses for buses awarded through a 5310 program grant. through a 5310 program grant.

2009 Federal Section 2009 Federal Section 5310 Apportionment5310 Apportionment

Federal Fiscal Year 2009 apportionment to Federal Fiscal Year 2009 apportionment to NYS was $9.307 millionNYS was $9.307 million

106 applications were submitted under the 106 applications were submitted under the 2009 Application Program, totaling $14.6 2009 Application Program, totaling $14.6 million in vehicle purchase requestsmillion in vehicle purchase requests

Approximately 188 grant vehicles will be Approximately 188 grant vehicles will be purchased with this federal funding amountpurchased with this federal funding amount

New York State’s FFY 2010 apportionment New York State’s FFY 2010 apportionment projected to remain relatively flat projected to remain relatively flat

5310 Program 5310 Program (Reauthorization)(Reauthorization) Congressional ChangesCongressional Changes

No reauthorization yet, Program is still working under No reauthorization yet, Program is still working under SAFETEA-LU authorization (which expired October SAFETEA-LU authorization (which expired October 2009) and funded at the same levels that were 2009) and funded at the same levels that were available under the Omnibus Appropriations of 2009available under the Omnibus Appropriations of 2009

Under Federal Budget proposal for FFY 2011, 5310 Under Federal Budget proposal for FFY 2011, 5310 Program will be combined with New Freedom Program Program will be combined with New Freedom Program to form “Formula Grants for Seniors and Persons with to form “Formula Grants for Seniors and Persons with Disabilities” ($230 million to be nationally apportioned) Disabilities” ($230 million to be nationally apportioned)

Who is Eligible to Apply?Who is Eligible to Apply?

1. 1. Not-for-profit organizationsNot-for-profit organizations (incp. w/in NYS) (incp. w/in NYS) which serve elderly individuals or individuals which serve elderly individuals or individuals with disabilities. (Primary Applicant)with disabilities. (Primary Applicant)

2. 2. Public bodies Public bodies (i.e. municipalities, County level (i.e. municipalities, County level governments) which can: governments) which can:

(a.) certify that (a.) certify that nono not-for-profit not-for-profit organizations are available in their general organizations are available in their general area to provide these services; area to provide these services; or that isor that is

(b.) approved by the State to coordinate (b.) approved by the State to coordinate services.services.

How many organizations How many organizations actually receive a grant?actually receive a grant?

Section 5310 is a competitive grant program. Section 5310 is a competitive grant program. Historically, 50%-60% of applicant requests each year Historically, 50%-60% of applicant requests each year are funded under this grant program.are funded under this grant program.

Program grants are awarded competitively based upon Program grants are awarded competitively based upon such factors as:such factors as: The need for the vehicle, and the level of need for specialized The need for the vehicle, and the level of need for specialized

transportation service in the areatransportation service in the area The ability of the applicant to operate, maintain and finance The ability of the applicant to operate, maintain and finance

their transportation servicetheir transportation service The actual vehicle usage for transporting elderly individuals The actual vehicle usage for transporting elderly individuals

and individuals with disabilitiesand individuals with disabilities Meeting the federal requirement that project vehicles proposed Meeting the federal requirement that project vehicles proposed

for funding are included as part of the strategy of a Locally for funding are included as part of the strategy of a Locally Developed Coordinated PlanDeveloped Coordinated Plan

Application Application ManualManual(see page 7)(see page 7)

Grantee ResponsibilitiesGrantee Responsibilities

Utilize awarded vehicles as expressed by the grantee within the Utilize awarded vehicles as expressed by the grantee within the competitive Grant application submittedcompetitive Grant application submitted

Maintain financial, operating and maintenance records and report Maintain financial, operating and maintenance records and report semi-annually to NYSDOT on the use of the vehicle(s) for the life semi-annually to NYSDOT on the use of the vehicle(s) for the life of the Grant (average 6-8 years)of the Grant (average 6-8 years)

Maintain collision and comprehensive insurance on awarded Maintain collision and comprehensive insurance on awarded vehicle(s)vehicle(s)

Commit to coordinate with other transportation providers in area of Commit to coordinate with other transportation providers in area of proposed/existing service with awarded vehicle(s)proposed/existing service with awarded vehicle(s)

Once grantees successfully operate vehicles for the life of the Once grantees successfully operate vehicles for the life of the Grant and fulfill grant responsibilities, vehicle is released to Grant and fulfill grant responsibilities, vehicle is released to

grantee with no further obligationsgrantee with no further obligations

How long is the 5310 Grant How long is the 5310 Grant Application process?Application process?

Applications are solicited by NYSDOT Applications are solicited by NYSDOT annually; released in January of the Federal annually; released in January of the Federal Fiscal Year (FFY) that starts the preceding Fiscal Year (FFY) that starts the preceding OctoberOctober

May 4, 2010 due date for ApplicationsMay 4, 2010 due date for Applications December (2010) awards announcedDecember (2010) awards announced January – March (2011) contract agreements January – March (2011) contract agreements

signed/approved; Vehicles ordered signed/approved; Vehicles ordered (20% local match will be required at this time)(20% local match will be required at this time)

Fall (2011) grant Vehicle Deliveries beginFall (2011) grant Vehicle Deliveries begin

Application process Application process (cont.)(cont.)

Applications available on the NYSDOT Applications available on the NYSDOT 5310 website or paper copy can be 5310 website or paper copy can be requested from the 5310 Office via mailrequested from the 5310 Office via mail

Application Workshops held throughout Application Workshops held throughout the State in March (One Workshop in the State in March (One Workshop in NYC Webcast at the end of March)NYC Webcast at the end of March)

FFY 2010 Application FFY 2010 Application

Schedule of WorkshopsSchedule of Workshops DateDate TimeTime LocationLocation

March 10, 2010March 10, 2010 10 am-12 pm10 am-12 pm SCHENECTADYSCHENECTADYNYSDOT Region 1NYSDOT Region 1328 State Street, St. Lawrence Room328 State Street, St. Lawrence Room

March 11, 2010March 11, 2010 10 am-12 pm10 am-12 pm NEW PALTZNEW PALTZUlster County BOCESUlster County BOCES175 Route 32 North175 Route 32 North

March 15, 2010March 15, 2010 1 pm-3 pm1 pm-3 pm ROCHESTERROCHESTERNYSDOT Region 4 OfficeNYSDOT Region 4 Office1530 Jefferson Road1530 Jefferson Road

March 16, 2010March 16, 2010 10 am-12 pm10 am-12 pm SYRACUSESYRACUSECENTRO OfficeCENTRO Office200 Cortland Avenue200 Cortland Avenue

March 22, 2010March 22, 2010 1 pm-3 pm1 pm-3 pm WHITE PLAINSWHITE PLAINSWestchester County CenterWestchester County Center198 Central Avenue198 Central Avenue

March 23, 2010*March 23, 2010* 10 am-12 pm10 am-12 pm NEW YORK CITY**NEW YORK CITY**NY Metropolitan Planning CouncilNY Metropolitan Planning Council199 Water Street, 22nd floor199 Water Street, 22nd floor

* You must register by 3/15/2010 for security purposes by calling:* You must register by 3/15/2010 for security purposes by calling: Jennifer Murdza at 518-457-8335 (NYC workshop only)Jennifer Murdza at 518-457-8335 (NYC workshop only)

March 24, 2010March 24, 2010 10 am-12 pm10 am-12 pm HAUPPAUGEHAUPPAUGEDennison Building Media RoomDennison Building Media Room100 Veterans Memorial Highway100 Veterans Memorial Highway

** The workshop in New York City will be webcast live and also recorded for future viewing.** The workshop in New York City will be webcast live and also recorded for future viewing.

NYSDOT Vehicle NYSDOT Vehicle ProcurementProcurement

Section 5310 Program procures vehicles in cooperation with Section 5310 Program procures vehicles in cooperation with OGS, and purchases all grant vehicles through a competitively bid OGS, and purchases all grant vehicles through a competitively bid statewide OGS Awardstatewide OGS Award

This OGS Contract Award is designed specifically for FTA-Bus This OGS Contract Award is designed specifically for FTA-Bus purchases and for the program needs for transporting elderly purchases and for the program needs for transporting elderly individuals and individuals with disabilitiesindividuals and individuals with disabilities

OGS Contract Award is used to purchase all Program vehicles for OGS Contract Award is used to purchase all Program vehicles for granteesgrantees

This maximizes the use of federal dollars to offer grant vehicles to This maximizes the use of federal dollars to offer grant vehicles to as many organizations as possibleas many organizations as possible

NYSDOT purchases all vehicles for the benefit of (fbo) the 5310 NYSDOT purchases all vehicles for the benefit of (fbo) the 5310 granteesgrantees(Vehicles are titled to grantee and DOT records a lien against the vehicle)(Vehicles are titled to grantee and DOT records a lien against the vehicle)

Vehicles Offered under Vehicles Offered under NYSDOT 5310 Grant NYSDOT 5310 Grant ProgramProgram

Type IType I – 12 passenger Bus modified w/ wheelchair lift – 12 passenger Bus modified w/ wheelchair lift and w/c positions (seats approximately 6 ambulatory)and w/c positions (seats approximately 6 ambulatory)

Type IIType II – 20 passenger Bus modified w/ wheelchair lift – 20 passenger Bus modified w/ wheelchair lift and w/c positions (seats approximately 10 ambulatory)and w/c positions (seats approximately 10 ambulatory)

Type III Type III – 24 passenger Bus modified w/ wheelchair lift – 24 passenger Bus modified w/ wheelchair lift and w/c positions (seats approximately 14 ambulatory)and w/c positions (seats approximately 14 ambulatory)

Type IVType IV – 40 passenger Bus modified w/ wheelchair lift – 40 passenger Bus modified w/ wheelchair lift and w/c positions (seats approximately 26 ambulatory)and w/c positions (seats approximately 26 ambulatory)

WHEELCHAIR EQUIPPED WHEELCHAIR EQUIPPED VEHICLESVEHICLES

NYSDOT only offers wheelchair NYSDOT only offers wheelchair equipped buses under the 5310 grant equipped buses under the 5310 grant programprogram

All buses must be equipped with a All buses must be equipped with a wheelchair lift and minimum number of wheelchair lift and minimum number of wheelchair spaceswheelchair spaces

5310 School Bus 5310 School Bus Transport ExclusionTransport Exclusion

Grant Program cannot provide funding Grant Program cannot provide funding for school bus purchases; and furtherfor school bus purchases; and further

5310 applicants are prohibited from using 5310 applicants are prohibited from using grant vehicles to transport children to and grant vehicles to transport children to and from school grounds, or for school from school grounds, or for school purposes (i.e. day camp, child care) purposes (i.e. day camp, child care) Title 49 USC 5323(f)Title 49 USC 5323(f)

What’s New This Year / What’s New This Year / HighlightsHighlights

Up-to-date semi-annual reporting is being strongly emphasized Up-to-date semi-annual reporting is being strongly emphasized again this year, and organizations awarded past FTA 5310 grants again this year, and organizations awarded past FTA 5310 grants and/or with current 5310 program vehicles that have missing and/or with current 5310 program vehicles that have missing reports will be penalized during the application evaluation process reports will be penalized during the application evaluation process for FFY 2010 – FTA Performance Measuring/Accountabilityfor FFY 2010 – FTA Performance Measuring/Accountability

The Application grant request limit remains at four (4) vehicles or The Application grant request limit remains at four (4) vehicles or $325,000$325,000

Local Coordinated Plans older that (4) years will need to be Local Coordinated Plans older that (4) years will need to be updated/amended and submitted to NYSDOT (see 5310 website updated/amended and submitted to NYSDOT (see 5310 website link for all current Local Coordinated Plan documents)link for all current Local Coordinated Plan documents)

Current and Anticipated One-Way Passenger trips for 6 month Current and Anticipated One-Way Passenger trips for 6 month period requested under PART I.A., necessary for performance period requested under PART I.A., necessary for performance measuring and reporting to FTA on Return on Federal Investment measuring and reporting to FTA on Return on Federal Investment

PART I.C.PART I.C.22 vehicles need to be listed in priority order and vehicles need to be listed in priority order and estimated mileage per year (for first 3 years) of proposed grant estimated mileage per year (for first 3 years) of proposed grant vehicle is now required vehicle is now required

What’s New This Year / What’s New This Year / Highlights Highlights (cont.)(cont.)

Application tentatively offering limited quantities of Application tentatively offering limited quantities of Hybrid Electric Drive Technology vehicles, under sub-Hybrid Electric Drive Technology vehicles, under sub-competition awardcompetition award

Not-for-profit applicants must have a Not-for-profit applicants must have a state tax exempt state tax exempt no.no. and and charity registration no.charity registration no. as proof of eligibility as proof of eligibility to apply under the programto apply under the program

Federal IRS 501(c)(3) tax exemption determination Federal IRS 501(c)(3) tax exemption determination letter & Dept. of State Certificate of Incorporation also letter & Dept. of State Certificate of Incorporation also acceptable as proof of eligibility acceptable as proof of eligibility (but state tax exempt no. and charity reg. no. or exemption documentation (but state tax exempt no. and charity reg. no. or exemption documentation must be secured prior to funding award announcements)must be secured prior to funding award announcements)

SECTION 5310SECTION 5310 Application FORMSApplication FORMS

PART IPART I

Importance of Charity Importance of Charity Registration in NYSRegistration in NYS For not-for-profit eligibility for competitive grant For not-for-profit eligibility for competitive grant

solicitations (such as Section 5310) in NYS, Charity solicitations (such as Section 5310) in NYS, Charity Registration is required, which includes annual filing Registration is required, which includes annual filing (CHAR500), unless exempt(CHAR500), unless exempt

Office of the Attorney General is responsible for Office of the Attorney General is responsible for registering charities in NYSregistering charities in NYS

For More information concerning the Charity For More information concerning the Charity Registration requirements, visit the Office of the Registration requirements, visit the Office of the Attorney General “Charities” website:Attorney General “Charities” website:

http://www.charitiesnys.com/

Application Application Manual Manual ExampleExample(see page 11)(see page 11)

Application Manual Example Application Manual Example (see page 14)(see page 14)

Application Manual Example Application Manual Example (see page 15)(see page 15)

Purpose of the Locally Developed Human Purpose of the Locally Developed Human Service Public Transit Coordinated Service Public Transit Coordinated Transportation Plan – or “The Coordinated Transportation Plan – or “The Coordinated Plan”Plan”

Plan that identifies the transportation needs of Plan that identifies the transportation needs of individuals with disabilities, older adults, and individuals with disabilities, older adults, and people with low incomes, and people with low incomes, and provides provides strategiesstrategies for meeting those local needs. for meeting those local needs.

The intended purpose of “The Coordinated The intended purpose of “The Coordinated Plan” is to make the most efficient use of Plan” is to make the most efficient use of Federal resources through Federally-assisted Federal resources through Federally-assisted programs (to minimize duplication of services) programs (to minimize duplication of services) and to improve current services.and to improve current services.

Who develops The Who develops The Coordinated Plan locally?Coordinated Plan locally?

Metropolitan Planning Organization’s (MPOs) Metropolitan Planning Organization’s (MPOs) in urbanized areas, and typically County level in urbanized areas, and typically County level governments in nonurbanized areas (see governments in nonurbanized areas (see application manual pages 26-30) application manual pages 26-30)

Applicants must participate in the ongoing Applicants must participate in the ongoing development of the plan in their areadevelopment of the plan in their area

Proposed Vehicles for 5310 grant funding (FFY Proposed Vehicles for 5310 grant funding (FFY 2010) must be considered 2010) must be considered as part of the as part of the strategystrategy of The “Coordinated Plan” in the area of The “Coordinated Plan” in the area from where the application is being submittedfrom where the application is being submitted

““COORDINATED PLAN” COORDINATED PLAN” Application submission Application submission

requirementsrequirements

1.1. Certification Letter provided to applicant by the Certification Letter provided to applicant by the lead coordinator of the plan in their area for lead coordinator of the plan in their area for applicants application submission applicants application submission (see page 17 of application manual for example)(see page 17 of application manual for example)

2.2. Narrative detailing applicants efforts to include Narrative detailing applicants efforts to include proposed grant vehicles in the coordinated proposed grant vehicles in the coordinated strategies of the local planstrategies of the local plan Required under Part I.D. of the Application Form Required under Part I.D. of the Application Form

(must be submitted with application package)(must be submitted with application package)

““Coordinated Plan” Coordinated Plan” (cont.)(cont.)

Currently drafted Coordinated Plans may be used (on Currently drafted Coordinated Plans may be used (on file at DOT and on 5310 website), unless older than (4) file at DOT and on 5310 website), unless older than (4) years, where updates or amendments for new years, where updates or amendments for new participation is required (e.g. potential new strategies in participation is required (e.g. potential new strategies in the consideration of new federally funded grant the consideration of new federally funded grant vehicles) vehicles) (see “Date Plan Last Updated”/PART I Application Form Cover (see “Date Plan Last Updated”/PART I Application Form Cover Page)Page)

Application Forms request specific information Application Forms request specific information concerning plan strategies that are specific to 5310 concerning plan strategies that are specific to 5310 grant vehicles being requested grant vehicles being requested (see “Coordinated Plan Referenced (see “Coordinated Plan Referenced

Page Number”/Part I Application Form Cover Page)Page Number”/Part I Application Form Cover Page)

SECTION 5310SECTION 5310 Application FORMSApplication FORMS

PART IIPART II

Application Application ManualManual(see page 21)(see page 21)

Hybrid Electric Drive Hybrid Electric Drive Technology VehicleTechnology Vehicle

Limited Quantities due to costLimited Quantities due to cost Sub-competition to applicants in good standing Sub-competition to applicants in good standing

and with previous semi-annual reporting history and with previous semi-annual reporting history with 5310 Program vehicleswith 5310 Program vehicles

May be additional reporting requirements and May be additional reporting requirements and oversight for these vehiclesoversight for these vehicles

Procurement for vehicles not conducted yet – Procurement for vehicles not conducted yet – Unsure of exact product and award of hybrid Unsure of exact product and award of hybrid vehicles tentativevehicles tentative

SECTION 5310SECTION 5310 Program Program NYSDOT Main OfficeNYSDOT Main Office

Address:Address: 50 Wolf Road, POD 5450 Wolf Road, POD 54Albany, NY 12232Albany, NY 12232

Phone:Phone: (518) 457-8335(518) 457-8335

5310 website: 5310 website: www.nysdot.gov/public-transportation - follow the link - follow the link ““Federal Transit Funding ProgramsFederal Transit Funding Programs” to the “” to the “Section Section 5310 Elderly & Disabled Program5310 Elderly & Disabled Program” site” site

Email:Email: mhaas@dot.state.ny.us

jsimpson@dot.state.ny.us