N.Y. Comp. Codes R. & Regs. tit. 17 § 980.6

Current through Register Vol. 46, No. 45, November 2, 2024

Section 980.6 - Financial assistance program

(a) Eligible applicants. Counties with populations of 200,000 or less at the time of their initial application for program financial assistance, as defined by the latest Census of the United States, are eligible applicants for State financial assistance through the Program.

(b) Application process.

(1) Eligible counties shall apply for program funds using application instructions and forms supplied by the Department. Such applications shall be certified by the chief executive officer of the county, if any, or the chairperson of the county legislative body, and shall include but are not limited to, the general intent and purpose of the project; a general statement of the expected benefits to derive therefrom; and an organizational statement, designating the person responsible for managing the grant, and the manner by which the county will maintain oversight of the expenditure of grant funds.

(2) Each application submitted to the Department for a financial assistance grant shall be accompanied by an itemized preliminary grant budget, certified by the chief elected or financial officer of the county, identifying expected eligible costs, and amounts and sources of grant funding including the applicable county share of funds.

(3) Each application for financial assistance shall include an appropriate certification by the county governing body that it has appropriated, or will appropriate, any required county share of grant costs; or, such certification may be provided after notice of a grant but before execution of the grant by the State.

(4) The failure to file an application for aid in any year shall not impair the right of a rural county to file an application for aid in any subsequent year.

(5) The Department shall notify an applicant for a planning and implementation grant of the disposition of its application within six months of the date of its receipt by the Department. In most cases, Department notification will occur within 60 days. The Department shall notify an applicant for operating assistance of the disposition of its application within 90 days of the date of its receipt by the Department.

(6) Should an application for financial aid be incomplete or disapproved by the Department, the Department will advise the applicant of the reasons for same no later than the time of its written notification to the applicant of the disposition of its application.

(7) Applicants may submit modifications to applications, or entirely new applications, within schedules for same established by the Department.

(c) Financial assistance for planning and implementation of a coordinated public transportation service. Grants for financial assistance for the planning and implementation of a coordinated public transportation service shall be awarded in amounts up to $45,000 per year for those awarded prior to July 21, 1989 and up to $55,000 per year for those awarded on or after July 21, 1989, for up to three successive years, subject to the amounts of annual appropriations to be included in the State Budget and other conditions of this Part. Approval of an initial grant shall reflect an ongoing commitment to the extent necessary to develop and implement a county plan. Funds received shall be utilized by a county solely to pay for eligible costs incurred in the development and implementation of a coordinated public transportation service plan for said county.

(1) Eligible planning and implementation expenses. Costs eligible for payment by the State under a planning and implementation grant are those direct costs incurred following notification by the Department to the County that a planning and implementation grant is to be awarded. Such expenses shall be specified in the grant budget approved by the Department and may include the following:

(i) planning consultant costs;

(ii) salary and fringe benefit costs of county staff, grant manager, and/or services coordinator, in performing grant work;

(iii) grant-related travel expenses of county staff and/or services coordinator for travel within the county, or to adjacent counties for purposes of inter-county coordination;

(iv) printing and copying expenses;

(v) costs associated with conducting and recording the public hearing on the draft county plans;

(vi) direct costs associated with establishing the coordinated service, including advertising costs expended during the recruitment of personnel, and salary and fringe benefit costs of additional or new management personnel;

(vii) costs of legal work associated with incorporation, contracting or leasing;

(viii) costs of additional insurance for expanded or altered vehicle operations;

(ix) costs associated with upgrading existing vehicles to secure NYSDOT vehicle inspections; costs to paint or otherwise modify vehicles for system identity;

(x) the purchase of radio equipment and fareboxes for existing vehicles (eligible only in second or third-year grants);

(xi) the purchase of microcomputers and associated microcomputer items (eligible only in second or third-year grants);

(xii) additional vehicles, other than those being purchased through other programs, may be purchased through a county's third-year implementation grant, provided that the county's coordinated public transportation service, described in its adopted plan, has begun operation; the county government or its public transportation authority shall be the owner of any vehicles purchased through program funds.

(2) Ineligible costs. The following categories of costs are not eligible for receipt of State financial assistance through a planning and implementation grant:

(i) any costs incurred prior to the county receiving written notice from the Department that it may proceed to incur costs;

(ii) any indirect costs, such as floor space;

(iii) costs incurred for out-of-State travel, unless specifically authorized in advance by the Department;

(iv) costs that were previously paid for by other program funds;

(v) costs ordinarily considered as normal operating expenses of providing passenger transportation service, for services that existed prior to the implementation of the coordinated public transportation service;

(vi) costs of services or activities of county government or other entities which are not directly related to, or required by, the purposes of this Part.

(3) County government share of eligible planning and implementation expenses. To be eligible for financial assistance for planning and implementation, county government recipients of such assistance shall appropriate and expend county funds for eligible grant expenses equivalent to at least 10 percent of the State funds paid for a first-year grant, 20 percent of those of a second-year grant, and 30 percent of those of a third-year grant. The source(s) of monies used to provide the county government share shall be general purpose revenues available to the county government, the use of which is solely at the discretion of the county. A county staff may itself perform grant work, and a county's payment of such direct, in-kind grant expenses may be included as county share funds. A county shall include the amount of its share as an appropriation for the Rural Public Transportation Coordination Assistance Program in its applicable county budgets and shall submit copies of same to the Department.

(4) Selection criteria. The department has, in consultation with the Committee, established standards and criteria to guide the selection of counties to be awarded planning and implementation grants. Such standards and criteria are the following:

(i) the potential likelihood of a county establishing a successful program;

(ii) the level and degree of commitment of county government support for the program on a continuing basis;

(iii) the level and degree of support for the objectives of the program from current providers and operators; and

(iv) the extent to which transportation service, facilities, equipment, usage, cost and revenue data is made available to the county by potential participants.

(d) Financial assistance for operating expenses.

(1) Eligibility. For those rural counties having an approved coordinated public transportation service plan and having implemented such service which has maintained existing levels of funding used for transportation by the coordinated service, and when the need for additional operating aid has been documented, the Department may, in consultation with the Committee, grant up to $35,000 per year for operating aid for up to five successive years, subject to annual appropriations to be included in the State Budget. Such aid may be extended annually when the county or operator of the coordinated public transportation service has adequately demonstrated to the Department the need for such continued aid. Following formal adoption of a rural county's coordinated public transportation service plan and approval of that plan by the Department, and upon receipt of written notice from a rural county that its coordinated public transportation service is about to commence in accordance with such approved plan, the Department shall forward operating aid applications to the chief executive officer of the county, if any, or the chairperson of the county legislative body, along with instructions and a timetable for their completion.

(2) Eligible operating assistance expenses and services.

(i) Eligible expenses. Expenses which are eligible for program operating assistance shall be those incurred by the coordinated service operator, in providing eligible transportation service, which are necessary for the continuing management, operation and maintenance of the service and may include the following:

(a) salary and fringe benefits of professional management and administrative personnel;

(b) salary and fringe benefits of operating personnel, such as dispatchers, drivers, mechanics, etc.;

(c) purchase of fuel, oil, tires, parts and supplies;

(d) rent of buildings, garage and office space;

(e) insurance and legal costs;

(f) advertising and marketing the coordinated service to improve ridership;

(g) purchase of maintenance or other services from third-party subcontractors;

(h) indirect expenses in accordance with a reasonable cost allocation method approved by the Department;

(i) preparing applications for federal or State funds or grants, and related activities;

(j) a reasonable allowance for profit, as determined by the department, for bus or taxi companies providing eligible passenger transportation services.

(ii) Eligible services. To be considered as a part of a county's coordinated public transportation service and eligible for program operating assistance, transportation service components must meet the following conditions:

(a) be operated by the county's designated coordinated service operator, or managed by said operator through a sub-contract;

(b) be open to the general public on an equal opportunity basis in accordance with other terms and conditions of this Part;

(c) have publicly posted and distributed service areas, routes, fares, rates and hours of operation, which are advertised and marketed regularly and widely throughout the county in such a manner that facilitates knowledge of the availability and details of the service by all transportation disadvantaged persons and other members of the public.

All modes of service, such as fixed-route, point or route-deviation or demand-responsive services, are eligible for inclusion. Services may not be limited to current users or current agency-affiliated clientele. Portions of a coordinated service which are advertised, marketed and operated as open to the public on an equal opportunity basis, as well as specialized service components of such a service, will be eligible for federal and State public transportation operating assistance, if they also meet other eligibility requirements of those programs. Client specific services, which exist primarily to serve agency clientele or to transport agency clientele to and from agency programs and which give preference in service orientation or seat availability to agency clients, may be included in a county's coordinated service. In such cases, agency funds shall pay for the fully allocated cost of such services, after subtracting any income from fare-paying riders. Other than agency-affiliated passengers transported on client-specific service components, all passengers transported by a county's coordinated public transportation service must be revenue-generating passengers on an individual passenger trip basis. This may be accomplished by:

(1) individuals paying their own fare;

(2) individuals paying their fare and obtaining reimbursement from a third-party; or

(3) individuals obtaining transportation tickets or passes from, or otherwise having their trips arranged by, a third-party, such as a human service agency, with the coordinated service operator later billing the third-party. Fares must be equitable and not discriminatory and should be based upon the actual cost of services provided. To be eligible for federal and State public transportation operating assistance (see 980.13), such fares and reimbursement rates must be predetermined and publicly posted and advertised.

In an area where a specialized service, as defined in this Part, is offered and is to be considered part of a county's coordinated public transportation service, the county's coordinated service must also offer service to the general public on an equal opportunity basis to generally the same extent and degree--in terms of service levels, operating hours and geographic coverage--as the specialized service.

(3) Ineligible costs. The following categories of expenses are not eligible for operating assistance through the program:

(i) purchase or construction of capital equipment or facilities;

(ii) expenses of client-specific transportation services ordinarily provided by a human service agency when such services are not under the operational control of the county's coordinated service operator;

(iii) expenses for ineligible transportation services as determined by Law or Department guidelines including rail, air, water, freight, emergency medical, charter or tour transportation services;

(iv) expenses for any purchases or services which are not under the management and operational control of the county's coordinated service operator.

(4) County government share of eligible operating assistance expenses. No operating aid shall be paid to any rural county unless such county appropriates and expends at least 20 percent of the coordinated public transportation service's total annual administrative and operating costs for the provision of public transportation service. Except for other public transportation monies paid by the Department to the county and any required local share necessary to receive those monies, such amount may include any county funds used for operating aid, including funds previously used to support any other transportation service, that have been appropriated to an account under the management and control of the county's coordinated service operator for the provision of public transportation service.

Funds available to county government agencies in a rural county that had been used to pay for a human service agency's client-specific transportation services prior to the establishment of the county's coordinated public transportation service, but which are re-directed by a county to its coordinated service operator for the operation of public transportation service as defined in this Part, may be included as county share regardless of the original source of such funds. Operating revenue generated by the operation of those portions of the coordinated public transportation service which are open to the public on an equal opportunity basis, including passenger fares and third-party passenger-based reimbursements, and advertising revenue, may be counted as county share provided that the amount of such operating revenue is certified by the county and is taken into account in determining the county's need for, and annual amount of, program operating assistance. Notwithstanding any other provision of this Part, a county's share of a Program operating assistance grant must actually be expended on the transportation service to be managed by the county's coordinated service operator and shall be fully and explicitly included in any accounting of grant revenues.

(e) Other provisions related to financial assistance.

(1) In the event a county's plan is completed and approved within one year, any remaining unexpended grant funds may be used to implement the plan. In no event shall a county's Program grant in any one year exceed $45,000 if awarded prior to July 21, 1989 or $55,000 if awarded on or after July 21, 1989 for planning or implementation, or $35,000 for operating aid.

(2) A county's first, second and third-year grants for planning and implementation shall generally be completed within one-year time periods, except that such periods may be modified by the Department if necessary to facilitate grant completion and successful implementation, or to simplify program administration.

(3) If a county should initially apply for a program grant in an amount which is less than that for which it is eligible under this Part, it may amend its application at a later time to apply for additional funds up to the limits prescribed in this Part, provided that the applicable requirements for the county's share of program funds are fully met.

(4) A rural county which has developed a plan for a coordinated public transportation service without the use of program funds and has not implemented that service shall be eligible to apply for program funds to implement and operate its coordinated service under the following conditions:

(i) the county's plan meets the content and process requirements of the Department's planning guidelines in every respect;

(ii) the county shall first have met the public hearing and other requirements of this Part pertaining to its coordinated service plan; and

(iii) the Department shall first have approved the county's plan. Such county shall only be eligible for second and third-year implementation grants and, in any case, no program funds may be used to pay for work or expenses previously performed or incurred in planning for the coordinated service.

(5) A rural county which has already established a countywide public transportation service or is a member of a public transportation authority district providing such a service but does not offer a coordinated public transportation service as defined in this Part, shall be eligible for not more than two years of program financial assistance for the planning and implementation of a coordinated public transportation service.

(6) A rural county which already has established a coordinated transportation service and that service is not a public transportation service as defined in this Part, shall be eligible for not more than two years of program financial assistance for the planning and implementation of a coordinated public transportation service. In such cases, no program funds may be used to pay for work or expenses previously performed or incurred in developing the coordinated service.

(7) A rural county which already has established and implemented a coordinated public transportation service, or is a member of a public transportation authority district providing such a service in said county, shall not be eligible for program grants for planning and implementation. Such a county shall be eligible for program operating assistance in accordance with this Part only after it has provided a coordinated public transportation service plan to the Department and such plan has been approved by the Department as meeting the requirements of this Part.

(8) In awarding program grants for the planning and implementation of a coordinated public transportation service, the Department may give priority consideration to rural counties in which there does not exist a countywide coordinated transportation service or a countywide public transportation service.

(9) In awarding program operating assistance grants, the department may give priority consideration to rural counties that have formally participated in the planning and implementation phases of the program.

(10) The Department may approve a county's coordinated public transportation service plan on a conditional basis in advance of final approval, for the purpose of awarding that county a second-year planning and implementation grant in order that the county's planning and implementation process may continue uninterrupted.

(11) The Department may authorize a portion of a county's second-year planning and implementation grant to be used for completing the county's plan if, in the opinion of the Department, the county has made sufficient progress toward completion of the Plan with its first-year grant.

(12) Consistent with other provisions of this Part, any rural county which has previously initiated and is currently undertaking activities leading to the development of a coordinated public transportation service, utilizing federal, local or other State funds, shall be eligible to receive a total of Program funds plus such other assistance up to the limits prescribed in this Part.

N.Y. Comp. Codes R. & Regs. Tit. 17 § 980.6