MINNESOTA DEPARTMENT OF TRANSPORTATION

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					    MINNESOTA DEPARTMENT OF
    TRANSPORTATION (Mn/DOT)

                       OFFICE OF TRANSIT



SECTION 5310 STATE MANAGEMENT PLAN

                              JANUARY 2008




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       Minnesota Department of Transportation, Office of Transit    Section 5310 State Management Plan


A. PROGRAM GOALS AND OBJECTIVES

GOAL:

To meet the special needs of elderly and disabled persons for whom existing mass
transportation services are unavailable, insufficient, or inappropriate.
The process for establishing the long-term goals for providing service to individuals with
disabilities in Minnesota is based in part on:
       the locally developed coordinated public transit/human service transportation plans
        developed at the level of the Metropolitan Council, Minnesota’s Regional Development
        Commissions and metropolitan planning organizations for small urbanized areas of
        Minnesota and
       transportation plans relevant to the small urbanized areas of Minnesota.


The steering committees for these coordinated plans included local elected officials. The plans
were developed to help state and community leaders, agencies and stakeholders develop
programs and action plans for coordinated services. Key elements of the plans included:
       An assessment of transportation needs for individuals with disabilities and for persons
        with limited incomes;
       An inventory of available services that identified redundant services;
       Strategies to address identified gaps in service;
       Actions to eliminate or reduce duplication in services and strategies for efficiently using
        resources and
       Prioritized strategies for implementation.
Coordinated Plans for Minnesota’s regions are available on the following Website:
http://www.cts.umn.edu/ct/coordination/plans/index.html


OBJECTIVES:

a. To implement and administer the Minnesota Section 5310 grant program in accordance with
   FTA program management guidelines and Mn/DOT developed procedures, designed to
   attain the above stated goal;

b. To inform eligible organizations and associations within the State of grant application
   opportunities;

c. To review and rank grant applications based on evaluation criteria developed by Mn/DOT
   committees representing the elderly, the disabled and local planning organizations;

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       Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan

d. To develop Section 5310 vehicle and equipment specifications which are neither exclusionary
   nor discriminatory, that will meet all applicable Federal safety standards and Americans With
   Disabilities Act requirements; and to exercise the State's right to review and approve those
   specifications prepared by recipient organizations; and to procure through the State
   Procurement Division, or cause to be procured, Section 5310 vehicles and equipment in
   accordance with 49 C.F.R. part 661, Federal Buy America Requirements.

e. To track and compile data on the operation and maintenance of grant funded vehicles and
   equipment for compliance with State approved subrecipient operations and maintenance
   plans; and

f. To maintain records for all grant funded capital and exercise administrative coordination over
   leasing, turnover or final disposition of such property.

B. ROLES AND RESPONSIBILITIES

1. Mn/DOT - Office of Transit - The Governor of Minnesota has designated the Minnesota
   Department of Transportation as the administrator of the Section 5310 program. More
   specifically, it is the Office of Transit, which administers the Section 5310 program.

  The Office is responsible for the development, improvement, promotion, and evaluation of
  public transportation in greater Minnesota. Technical and financial assistance is presently
  provided to urban, small urban, rural public transit systems and special transportation
  programs for the elderly and disabled.

  The Office of Transit undertakes the following activities under the Section 5310
  program:

  a. To develop and distribute the annual "Federal Section 5310 Elderly Persons and Persons
     with Disabilities Transportation Grant Program" application (See EXHIBIT A);

  b. To review applications for content, thoroughness, and eligibility;

  c.    To establish Section 5310 review committees made up of individuals from regional
        development commissions, disabled groups and elderly groups representing all areas of
        Minnesota;

  d. To approve applications for grant vehicles;

  e. To develop vehicle specifications which comply with all federal and state rules and
     regulations;

  f.    To conduct vehicle manufacturer inspections to insure that vehicles meet all federal
        component and safety specifications;

  g. To visually inspect grant vehicles; and


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       Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan



  h.    To monitor recipient compliance with federal rules and regulations pertaining to clientele
        and vehicle usage.

2. Section 5310 Application Regional Review Committee - Regional review committees selected
   by Mn/DOT staff evaluate local applications for Section 5310 funds. Members of these
   committees represent the local interests of coordinated transportation, the elderly and
   disabled, as well as different geographic areas of the State. Members are chosen from such
   state agencies as the Minnesota Board on Aging and the State Council on Disability, public
   transit systems, and from regional development commissions, metropolitan planning
   organizations, and appropriate private, non-profit organizations serving the elderly and
   disabled.

3. Regional Development Commissions and Metropolitan Planning Organizations - These
   organizations participate in the Regional Review Process. They receive and review copies of
   the applications by agencies that provide service in their jurisdictions. Applications are
   reviewed to eliminate duplication of service and to insure coordination.

4. Mn/DOT - Office of Freight and Commercial Vehicle Operations - The Office of Freight and
   Commercial Vehicle Operations enforce State operating standards for special transportation
   service. The services enforced by the OFCVO are outlined in EXHIBIT A, Program
   Information Section, pages 9 - 10.


5. Minnesota Department of Administration – Materials Management Division - The Materials
   Management Division is responsible for sending out the vehicle specifications, bid
   documents, and all other announcements regarding bids for centralized procurement of
   transit vehicles. After the bids are received and opened, both Materials Management
   personnel and the Office of Transit representative review the bids for compliance with the
   specifications. The Materials Management Division will notify successful bidders of Mn/DOT's
   decision and will award contracts.

6. Subrecipients - The roles and responsibilities of the sub recipient are detailed in the "Federal
   Section 5310 Elderly Persons and Persons with Disabilities Transportation Grant Program"
   application. (See EXHIBIT A, Program Information pages 12 - 13).


C. COORDINATION

1. Local Coordinated Public Transit-Human Services Transportation Plans

   5310 Grant projects must be linked to the coordination strategies listed in the Coordinated
   Public Transit-Human Services Transportation Plans for all applicable regional development
   commission or planning areas.




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      Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan



   Greater Minnesota’s coordinated plans were completed and adopted in December 2006 and
   January 2007. The coordinated plans include an assessment of available services that
   identify current transportation providers; an assessment of the transportation needs for
   individuals with disabilities, older adults and people with low incomes; strategies or activities
   to address the identified gaps between current services and needs and opportunities to
   improve efficiencies in service delivery and priorities for implementation.

   The coordinated plans were developed through a process that included representatives of
   public private and non-profit transportation and human services providers and participation
   by members of the public.

   The coordinated plans were developed separately from the statewide transportation planning
   processes, and they will be incorporated into the Statewide Transportation Planning
   Process.

2. Project Partners

   Applications must also indicate coordination with one or more organizations in an
   effort to develop a comprehensive transportation network in the project area.
   Applicants that demonstrate a coordinated effort will be given priority.

   For a more detailed description of the documentation of coordination efforts, which must be
   included with the final application, (Refer to Exhibit A) Application Sections, Coordination
   Section 8, pages 14 – 16.


D. ELIGIBLE SUBRECIPIENTS

An eligible applicant must be:
    a private non-profit corporation or association;
    public body approved by Mn/DOT to coordinate transit services;
    or a public body which certifies to Mn/DOT that no non-profit corporation or association is
       readily available in an area to provide transit services.

In addition to the above requirements, the applicant agency must have approval of the agency's
executive board in order to be eligible. The applicant agency must also be able to demonstrate
financial capability to provide the 20 percent local share as well as to provide ongoing operating
funds. A more detailed description of eligibility requirements are listed in the Section 5310
Application (EXHIBIT A, Program Information, page 1).

Subrecipients of Section 5310 vehicles provide service primarily to elderly and/or disabled
clients. Grant funded vehicles may, when not needed for specific grant related purposes, be
used for services to other elderly and/or disabled persons. After the needs of the grant
subrecipient's clientele and other elderly and/or disabled persons have been met, the vehicle
may be used for the transportation of other members of the general public on a space available
basis if it is incidental to the primary purpose of serving the elderly and/or disabled.

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       Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan

It has been Mn/DOT practice to use Section 5310 funds solely for the purchase of lift-equipped
buses. Grants are made for replacement of vehicles, for expansion of current services, or for the
initiation of new services.

E. LOCAL SHARE AND LOCAL FUNDING REQUIREMENTS

Eighty percent federal funding is available from the Federal Transit Administration for the
Section 5310 program. The remaining twenty percent must be funded from non DOT Federal
programs, from local sources or from other organizations or employers. The sub recipient is
responsible for all operating costs.

F. PROJECT SELECTION CRITERIA AND METHOD OF DISTRIBUTING FUNDS

1. Annual project solicitation includes:

  a. Electronic Media – The availability of the 5310 Grant Application is
     Published in the Minnesota Department of Transportation’s in-house Transit Bulletin
     Newsletter and sent to all 5311, 5307 and 5310 grant recipients. It is also
     Published in the In Transit newsletter, and distributed to all members of the
     Minnesota Public Transit Association.

   b. Website Posting - Notification of the availability of the 5310 Grant Application is Posted on
       the Minnesota Department of Transportation’s Office of Transit Website.

  c.   Statewide Notification - Approximately three months before the application is due, a news
       release is prepared and submitted to newspapers throughout Minnesota;

  d.    Mass Mailing and Email - Approximately 2,500 informational program brochures are
        mailed throughout Minnesota to private non-profit agencies serving the elderly and
        disabled or other organizations meeting the established eligibility criteria or expressing
        interest in the program.

2. FTA guidelines require the State to establish criteria for selection of projects to be funded
   from among the applications submitted by eligible organizations. Once it has been
   established that an applicant meets eligibility requirements, the application is evaluated for
   conformance with program criteria.

  The criteria used to determine which applicants are awarded vehicles are discussed in the
  Section 5310 Application (EXHIBIT A, Program Information, page 10). The Regional Review
  Committee and the Statewide Review Committee processes are described in EXHIBIT A,
  Program Information, page 10 -11. Criteria used by the regional review committee is included
  in EXHIBIT A, appendix D.




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      Minnesota Department of Transportation, Office of Transit    Section 5310 State Management Plan



G. ANNUAL PROGRAM OF PROJECTS DEVELOPMENT AND APPROVAL PROCESS



H. State Administration and Technical Assistance

Mn/DOT may exercise its option to take up to 10% of 5310 funds for program administration to
support technical assistance provided by Office of Transit staff.

I. Transfer of Funds

Mn/DOT may exercise its option to transfer 5310 Grant Funds to Section 5311 programs and to
use flexible funds as program needs are determined through each Public Transit Participation
Grant Application process.

J. PRIVATE SECTOR PARTICIPATION

Local passenger transportation providers are given a fair and timely opportunity to provide the
service, which the Section 5310 applicant plans to provide. In order to provide this opportunity,
the applicant must notify all public and private transportation providers in their area that they are
applying for a Section 5310 grant vehicle and invite comments or counter proposals to their
proposed service. Standard and alternate notification procedures are shown in the Section 5310
Application (EXHIBIT A, Application Instructions, pages 10 - 14).

If an applicant receives a counter proposal, Mn/DOT Transit Project Managers determine
whether or not the other provider is offering sufficient and appropriate service at a comparable
price to that of the applicant. Mn/DOT may reject an application if it is determined that another
provider has offered to provide service equivalent to the service proposed by an applicant but at
less cost.


K. CIVIL RIGHTS

1. Title VI - Civil Rights Compliance – Subrecipients of Section 5310 funds provide Civil Rights
   assurances in grant contracts executed with Mn/DOT. (EXHIBIT E) A Title VI update is also
   conducted as part of the annual on-site review (EXHIBIT D).



2. Equal Employment Opportunity Compliance - Equal employment opportunity assurances are
   written into agreements between the contractor and Mn/DOT (EXHIBIT E).

3. Disadvantaged Business Enterprise (DBE) Compliance – It has been Mn/DOT’s practice to
   use Section 5310 funds solely for the purchase of lift-equipped vehicles. Vehicle purchases
   do not count toward Mn/DOT’s DBE goals as this information is reported directly to the
   manufacturer.

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     Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan

L. SECTION 504 and AMERICAN'S WITH DISABILITIES ACT (ADA) Reporting

  Mn/DOT requires all Section 5310 grant funded vehicles to meet all applicable ADA rules and
  regulations.


M. PROGRAM MEASURES

1. Gaps in Service Filled – MnDOT requires sub recipients to report on transportation provided
   each quarter for each 5310 Grant Vehicle. The quarterly report requests information on actual
   rides provided to elderly persons and persons with disabilities. The report delineates a
   separate count for elderly persons and persons with disabilities.

2. Ridership - MnDOT requires sub recipients to report on transportation provided each quarter
   for each 5310 Grant Vehicle. The quarterly report requests information in aggregate on
   actual one way trips provided to elderly persons and persons with disabilities.

Mn/DOT maintains records of all Section 5310 grant vehicle reports in the Office of Transit’s
vehicle database.

N. STATE PROGRAM MANAGEMENT

1. Procurement - Vehicles purchased for the Section 5310 grant program on behalf of the
   applicants are competitively bid through the Minnesota Department of Administration's
   Materials Management Division according to the procedures outlined in "Common Rule" 49
   CFR Part 18. A procedure has been developed for procurement by local agencies; however,
   Mn/DOT does not recommend this approach. Mn/DOT's practice of centralized purchasing
   reduces vehicle costs and reduces administrative efforts. The Office of Transit representative
   works closely with the Materials Management Division throughout the bidding process.

2. Financial Management – The Office of Transit is responsible for managing all grants,
   contracts, and interagency contracts to ensure expenditures comply with federal rules and
   regulations. These include FTA reconciliation for Section 5307, 5309, 5310, 5311 and
   Consolidated Planning grants. Financial management responsibilities include: managing the
   ECHO process between FTA and Mn/DOT to enable transactions to be processed in a
   timely manner, and the accounts are balanced and well documented; investigate and resolve
   accounting problems to ensure compliance with state and federal rules and regulations;
   manage the documentation entered into Mn/DOT’s automated database relative to individual
   grants, contracts or interagency agreements; submit quarterly financial status reports on
   TEAM; rectify and close out FTA grants when projects are completed; and work with
   Mn/DOT Finance to develop indirect cost rates.

3. Property Management - Mn/DOT's policies regarding the disposal of vehicles are detailed in
   the vehicle disposition/transfer procedures. The contract between grantees and Mn/DOT
   also details the policy regarding use of project equipment (see EXHIBIT E, page 2).

      Mn/DOT maintains a record of all Section 5310 grant vehicles in the Office of Transit’s
      vehicle database.
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      Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan



4. Vehicle Use – The grant vehicle must be used exclusively for the provision of transportation
   services within the area described in the grant application for the duration of its useful life.
   Appropriate vehicle use is described in Exhibit A, Program Information, pages 3 - 4.

5. Maintenance and Disposition – Subrecipients must maintain grant vehicles according the
   manufacturers recommended maintenance schedule, per the grant contract.

      Vehicle disposition procedures are included in EXHIBIT A, Program Information, pages
      15-19.


6. Accounting Systems – Subrecipients establish a set of accounts in which all transit related
   costs, revenues, and operating sources are recorded and clearly identified, easily traced,
   and substantially documented. All accounting practices applied and all records maintained
   must be in accordance with Generally Accepted Accounting Principles.

7. Audit and Close Out – Contract language regarding audits of subrecipients can be found in
   EXHIBIT E, page 2. Closeout activities may begin after approved activities are completed,
   Federal funds are expended, and reimbursement has been received. Using TEAM-Web
   software, Mn/DOT submits the following reports; financial status report, final budget revision
   (FTA submits this form at Mn/DOT’s request), a final narrative milestone/progress report
   including a discussion of each activity line item contained in the final budget and list of
   equipment under the grant; a request to deobligate any unexpended balance of federal
   funds; and any other reports required as part of the terms and conditions of the grant.

8. Project Monitoring and On-Site Reviews - Mn/DOT staff conduct annual on-site reviews that
   monitor subrecipients grant vehicles and program ensuring compliance with the grant
   contract.

9. Reporting Requirements - Subrecipients are required to submit quarterly reports for each
   grant vehicle. Mn/DOT tabulates and retains the quarterly report information in an electronic
   database (EXHIBIT F).


O. OTHER PROVISIONS

1. Environmental Protection - Contract language assures that vendors of new vehicles
   purchased under the Section 5310 grant program will certify that the vehicles comply with
   pollution requirements.

2. Buy America Provisions - Mn/DOT undertakes the procurement of vehicles under the
   Section 5310 grant program. Therefore, compliance with Buy America is the responsibility of
   the State and is assured by the State.

3. Pre-Award and Post Delivery Review
      Pre-Award Review

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     Minnesota Department of Transportation, Office of Transit   Section 5310 State Management Plan

      Prior to the award of the issuance of a purchase order for any and all Section 5310
      funded vehicles the manufacturer shall provide:
             a.    A Buy America certification;
             b.    A purchaser’s requirement certification; and
             c.    A Federal Motor Vehicle Safety Standards Certification.

      Post-Delivery Review
      Before title to the rolling stock is transferred to the recipient(s):
            a. A post-delivery Buy America certification will be provided and kept by the
                 recipient;
            b. A visual inspection and road testing of the delivered vehicles to assure
                 compliance with contract specifications will be conducted.

4. Restrictions on Lobbying - As part of Mn/DOT's Section 5310 grant process, Mn/DOT
   annually assures the FTA that no Federal Section 5310 funds will be used for influencing or
   attempting to influence an officer or employee of Congress, or an employee of a Member of
   Congress in the awarding of any Federal contract, the making of any Federal grant, the
   making of any federal loan, the entering into of any cooperative agreement, and the
   extension, continuation, renewal, amendment, or modification of any Federal contract, grant,
   loan, or cooperative agreement.

     Prohibition on Exclusive School Transportation – In accordance with FTA School
     Transportation Certifications, sub recipients may engage in school transportation
     operations competing with private school transportation operators to the extent allowable
     per 49 U.S.C. 5323 (f). In addition, sub recipients must comply with 49 CFR part 605
     before providing any school transportation using equipment or facilities acquired with
     Federal assistance awarded by FTA.

5. Drug and Alcohol Testing – In accordance with FTA drug and alcohol testing regulations
     policy, Mn/DOT requires Section 5311 sub recipients contracting with Section 5310
     employees and/or vehicles to develop and implement a drug and alcohol-testing program
     for all safety-sensitive employees. Subsequently, these Section 5310 sub recipients must
     follow the same testing and reporting requirements as Section 5311 sub recipients. If a
     Section 5310 sub recipient’s vehicle requires a commercial drivers license, they must
     conduct drug and alcohol testing to comply with FHWA requirements.




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