U.S. Department

of Transportation

**Federal Transit**

**Administration**

![](media/image1.wmf){width="0.45in" height="0.4465277777777778in"}

Reporting Instructions for the Section 5309 New Starts Criteria

*May 2006*

Prepared by:

Federal Transit Administration

Office of Planning and Environment

NOTICE

This document is disseminated under the sponsorship of the U.S.
Department of Transportation in the interest of information exchange.
The United States Government assumes no liability for its contents or
its use.

For additional guidance on the Section 5309 New Starts Criteria, and for
specific questions related to this document, contact Sean Libberton,
Chief, Planning Analysis Division, Federal Transit Administration,
Washington, DC, 202.366.6512, or e-mail at <sean.libberton@dot.gov>.

Table of Contents

[I. Introduction 2](#_Ref471788812)

[I.1. Overview of Updates And Revisions To The Reporting Instructions
2](#__RefHeading___Toc102457324)

[II. Overview of New Starts Criteria 4](#__RefHeading___Toc102457325)

[II.1. Project Justification Criteria 4](#__RefHeading___Toc102457326)

[II.2. Local Financial Commitment Criteria
5](#__RefHeading___Toc102457327)

[III. Overview of the New Starts Evaluation and Rating Process
7](#__RefHeading___Toc102457328)

[IV. Technical Requirements 9](#__RefHeading___Toc102457329)

[IV.1. Key Policy and Planning Principles
9](#__RefHeading___Toc102457330)

[IV.2 Certification Of Technical Methods and Planning Assumptions
15](#__RefHeading___Toc102457331)

[V. General Reporting Information 1](#refheading___toc102457333)8

[V.1 Project Background Information 18](#__RefHeading___Toc102457334)

[V.2 Travel forecasts 28](#__RefHeading___Toc102457335)

[V.3 O&M Costs 37](#__RefHeading___Toc102457336)

[V.4 Capital Costs 37](#__RefHeading___Toc102457337)

[VI. Project Justification Criteria 40](#__RefHeading___Toc102457338)

[VI.1 Mobility Improvements 40](#__RefHeading___Toc102457339)

[VI.2 Environmental Benefits 47](#__RefHeading___Toc102457340)

[VI.3 Operating Efficiencies 51](#__RefHeading___Toc102457341)

[VI.4 Cost Effectiveness 53](#__RefHeading___Toc102457342)

[VI.5 Existing Land Use, Transit Supportive Land Use Policies, and
Future Patterns 63](#__RefHeading___Toc102457343)

[VI.6 Other Factors 76](#__RefHeading___Toc102457351)

[VII. Local Financial Commitment Criteria
77](#__RefHeading___Toc102457352)

Appendices

Appendix A: Sample Methodology for estimating station area
socio-economic characteristics

Appendix B: FY 2008 New Starts Evaluation and Rating Process

[]{#_Ref471788812 .anchor}I. Introduction

The Federal Transit Administration (FTA) has developed these
instructions to guide local project sponsors of proposed New Starts
projects in the submittal of data and supporting information addressing
the Section 5309 New Starts criteria.

FTA reviews and evaluates the information developed according to these
instructions to:

-   Decide whether proposed projects may advance into the preliminary
    engineering (PE) or final design phases of project development;

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-   Assign ratings to proposed New Starts projects for the *Annual
    Report on Funding Levels and Allocations of Funds* (referred to as
    the *Annual Report on New Starts*) in support of funding
    recommendations for the Administration's annual budget request; and,

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-   Determine the findings used to decide which projects are eligible
    for funding commitments under Full Funding Grant Agreements.

The *Reporting Instructions for the Section 5309 New Starts Criteria*
reflect the measures and evaluation and rating process established in
FTA's *Final Rule on* *Major Capital Investment Projects* (December
2000; also known as the *New Starts Final Rule*) as well as several
changes resulting from passage of the Safe, Accountable, Flexible, and
Efficient Transportation Equity Act -- A Legacy for Users (SAFETEA-LU).
These instructions, in tandem with the associated templates developed
for reporting the New Starts criteria and supporting information, should
be used by local project sponsors for the submittal of New Starts
information to be evaluated and reported for the FY 2008 *Annual Report
on New Starts*, as well as for all requests to enter PE and final design
throughout calendar year 2006 and 2007 (until FTA releases a revised set
of instructions).

The information outlined in these instructions is not all submitted at
the same time. Information that supports the estimation of project costs
and benefits should be submitted in advance of any formal submittal of
the New Starts criteria, for either the *Annual Report on New Starts* or
for approval of PE or final design requests. This "phased" submission of
information enables FTA to understand and better ensure the
acceptability of the technical methodologies and assumptions -- and
subsequent results - used by the project sponsor(s) in the development
of the measures which support the New Starts project justification
criteria. For New Starts projects nearing advancement into either PE or
final design, the project sponsor should coordinate the timing for
submitting necessary information to support a PE/final design request
with appropriate FTA Regional Office staff. The schedule for submitting
information for the *Annual Report on New Starts* is conveyed in the
Notice of Availability which transmits these instructions.

[]{#__RefHeading___Toc102457324 .anchor}I.1. Overview of Updates and
Revisions to the Reporting Instructions

These instructions update the April *2005* *Reporting Instructions for
the Section 5309 New Starts Criteria*. As in recent years, FTA's
objective for the *Reporting Instructions* is to minimize changes to the
reporting of the New Starts criteria, while simplifying, where possible,
the reporting process. This year's changes are modest, and include the
following:

-   **Adjusted Cost Effectiveness Breakpoints**: As announced in the
    April 29, 2005 Dear Colleague letter, FTA has adjusted the
    breakpoints for rating the cost effectiveness of proposed New Starts
    projects based on the Gross Domestic Product deflator. The new
    breakpoints are presented in Section III of these *Reporting
    Instructions.*

-   **New Starts Baseline Alternative Guidance**. In response to transit
    industry requests for clarification of the requirements for the New
    Starts "Baseline" alternative, these *Reporting Instructions*
    include additional information on its development, including
    acceptable cost assumptions for various Baseline scope items (see
    Section IV.1). These cost assumptions are based upon a review of
    several "as-built" enhanced bus investments which closely reflect
    FTA's expectations for well-defined transportation system management
    (TSM) systems, per FTA's long-standing guidance on TSM/New Starts
    Baseline alternatives.

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-   **CEO Certification Statement**. The *Certification of Technical
    Methods and Planning Assumptions* has been expanded to to include
    key assumptions from FTA guidance that the project sponsor must use
    (see Section IV.2). Information requested by the certification
    statement must be reported, and the statement must be signed by the
    Chief Executive Officer of the New Start sponsoring agency.

    In addition to these changes, the templates for reporting the New
    Starts criteria have been slightly reformatted to link common data
    items among them. It is expected that the linkages of the templates
    will minimize project sponsors' effort and potential for data entry
    error. The Standard Cost Categories (SCC) for reporting the capital
    cost of proposed New Starts projects have also been updated. The SCC
    Annualized Cost worksheets for the New Starts Build and Baseline
    alternatives have been revised to reflect longer estimates of useful
    life for many project elements than previously designated.  These
    revisions are expected to yield lower annualized capital costs for
    most projects, which may result in a slight improvement to their
    cost effectiveness. Both the templates and SCC are available at
    FTA's website.

With issuance of these *Reporting Instructions*, New Starts project
sponsors should report costs for the purposes of calculating cost
effectiveness and operating efficiencies in 2006 constant dollars, and
transportation benefits and systemwide operations and maintenance costs
reflecting a 2030 forecast year.

This document and the electronic versions of its corresponding templates
are posted on the FTA website for *New Starts Project Planning and
Development* at
<http://www.fta.dot.gov/grant_programs/transportation_planning/9924_ENG_HTML.htm>.
Additional materials and guidance documents related to major investment
planning and the New Starts program are also available at the above
address, or by contacting your FTA Regional Office or the FTA Office of
Planning and Environment.

[]{#__RefHeading___Toc102457325 .anchor}II. Overview of New Starts
Criteria

FTA evaluates each project sponsor's submittal of information addressing
specific project justification and local financial commitment criteria
which are defined by law. The ratings assigned to these criteria are
used by FTA to develop overall project ratings, make decisions for
advancing proposed projects in the New Starts project development
process, and for recommending projects for funding.

[]{#__RefHeading___Toc102457326 .anchor}II.1. Project Justification
Criteria

SAFETEA-LU amendments to Section 5309(d)(2)(B) continue to require that
projects proposed for New Starts funding be justified based on a
comprehensive review of the following criteria:

-   Mobility improvements;

-   Environmental benefits;

-   Operating efficiencies;

-   Cost-effectiveness; and

-   Public transit supportive land use policies and future patterns.

SAFETEA-LU further requires that FTA consider economic development and
the reliability of cost and ridership forecasts in its evaluation of
proposed New Starts projects. The measures for these criteria and how
they will be used by FTA in its evaluation of New Starts projects is the
subject of formal rulemaking. Until issuance of a final rule, FTA will
consider economic development as an "other factor" as provided for by
Section 5309(d)(3)(D) of SAFETEA-LU. In addition, FTA will continue to
qualitatively report on the reliability of cost and ridership forecasts
for specific projects in the *Annual Report on New Starts* and
correspondence with New Starts project sponsors.

The measures that FTA uses to evaluate these project justification
criteria are presented in Figure 1 on the following page. Each of these
measures is described in greater detail in Section VI. *Project
Justification Criteria*.

Figure 1: New Starts Project Justification Criteria and Measures

+-----------------------------------+-----------------------------------+
| **Criterion**                     | **Measure(s)**                    |
+-----------------------------------+-----------------------------------+
| Mobility Improvements             | -   Normalized Travel Time        |
|                                   |     Savings (Transportation       |
|                                   |     System User Benefits per      |
|                                   |     Project Passenger Mile)       |
|                                   |                                   |
|                                   | -   Low-Income Households Served  |
|                                   |                                   |
|                                   | -   Employment Near Stations      |
+-----------------------------------+-----------------------------------+
| Environmental Benefits            | -   Change in Regional Pollutant  |
|                                   |     Emissions                     |
|                                   |                                   |
|                                   | -   Change in Regional Energy     |
|                                   |     Consumption                   |
|                                   |                                   |
|                                   | -   EPA Air Quality Designation   |
+-----------------------------------+-----------------------------------+
| Operating Efficiencies            | -   System Operating Cost per     |
|                                   |     Passenger Mile                |
+-----------------------------------+-----------------------------------+
| Cost Effectiveness                | -   Incremental Cost per Hour of  |
|                                   |     Transportation System User    |
|                                   |     Benefit                       |
|                                   |                                   |
|                                   | -   Incremental Cost per New      |
|                                   |     Rider (for informational      |
|                                   |     purposes only)                |
+-----------------------------------+-----------------------------------+
| Transit Supportive Land Use and   | -   Existing Land Use             |
| Future Patterns                   |                                   |
|                                   | -   Transit Supportive Plans and  |
|                                   |     Policies                      |
|                                   |                                   |
|                                   | -   Performance and Impacts of    |
|                                   |     Policies                      |
+-----------------------------------+-----------------------------------+
| Other Factors                     | -   Economic Development          |
|                                   |                                   |
|                                   | -   Optional considerations. See  |
|                                   |     Section VI.6                  |
+-----------------------------------+-----------------------------------+

### 

[]{#__RefHeading___Toc102457327 .anchor}II.2. Local Financial Commitment
Criteria

Section 5309(d)(2)(C) of SAFETEA-LU requires that proposed projects be
supported by an acceptable degree of local financial commitment,
including evidence of stable and dependable financing sources to
construct, maintain and operate the transit system. The criteria used in
making this determination are:

-   The proposed share of total project costs from sources other than
    Section 5309 New Starts funding;

-   The strength of the proposed capital funding plan; and

-   The strength of the proposed operating funding plan.

The measures that FTA uses to evaluate the local financial commitment
criteria are presented in Figure 2. Each of these measures is described
in greater detail in Section VII. *Local Financial Commitment Criteria*
of these instructions.

*Figure* 2: New Starts Local Financial Commitment Criteria and Measures

+-----------------------------------+-----------------------------------+
| **Criterion**                     | **Measures**                      |
+-----------------------------------+-----------------------------------+
| Share of Non-Section 5309 New     | -   Share of other Federal funds, |
| Starts Funds                      |     including formula and         |
|                                   |     flexible funds;               |
|                                   |                                   |
|                                   | -   Required local match; and     |
|                                   |                                   |
|                                   | -   Additional capital funding.   |
+-----------------------------------+-----------------------------------+
| Strength of Capital Funding Plan  | -   Capital financial condition   |
|                                   |     of the sponsoring agency and  |
|                                   |     funding partners;             |
|                                   |                                   |
|                                   | -   Completeness of the capital   |
|                                   |     financial plan;               |
|                                   |                                   |
|                                   | -   Commitment and availability   |
|                                   |     of Non-Section 5309 New       |
|                                   |     Starts funds for construction |
|                                   |     of the project;               |
|                                   |                                   |
|                                   | -   Financial capacity to cover   |
|                                   |     capital cost increases or     |
|                                   |     funding shortfalls; and       |
|                                   |                                   |
|                                   | -   Reasonability of capital      |
|                                   |     planning assumptions and      |
|                                   |     capital cost estimates.       |
+-----------------------------------+-----------------------------------+
| Strength of Operating Funding     | -   Operating financial           |
| Plan                              |     condition;                    |
|                                   |                                   |
|                                   | -   Completeness of the operating |
|                                   |     financial plan;               |
|                                   |                                   |
|                                   | -   Commitment of O&M funds       |
|                                   |     needed to fund the transit    |
|                                   |     system's subsidy;             |
|                                   |                                   |
|                                   | -   Financial capacity to operate |
|                                   |     and maintain all proposed,    |
|                                   |     existing and planned transit  |
|                                   |     services; and                 |
|                                   |                                   |
|                                   | -   Reasonability of operating    |
|                                   |     planning assumptions and O&M  |
|                                   |     cost estimates.               |
+-----------------------------------+-----------------------------------+

[]{#__RefHeading___Toc102457328 .anchor}III. Overview of the New Starts
Evaluation and Rating Process

New Starts project evaluation is an on-going process. As projects
proceed through project development, the estimates of costs, benefits,
and impacts are refined. FTA's evaluation process reflects these
changes, and ratings are updated at least annually to reflect new and
improved information. The following provides a brief summary of FTA's
New Starts evaluation and rating process. A more detailed description of
the New Starts evaluation and rating process can be found in Appendix B
to these *Reporting Instructions*.

FTA uses the New Starts criteria and measures, presented in the
preceding section, to evaluate each candidate New Starts project. Each
project receives three primary ratings:

-   Project Justification Rating;

-   Local Financial Commitment Rating; and

-   Overall Project Rating.

FTA uses the project justification and local financial commitment
ratings to determine an overall project rating of "High," "Medium," or
"Low" for each proposed New Starts project. This overall project rating
is based on the following decision rules, which reflect the five-point
descriptive indicators ("High," "Medium-High,' "Medium," "Medium-Low,"
and "Low") that are assigned to both project justification and local
financial commitment:

-   "High" -- Projects must be rated at least "Medium-High" for both
    finance and project justification;

-   "Medium" -- Projects must be rated at least "Medium" for both
    finance and project justification;

-   "Low" -- Projects not rated at least "Medium" in both finance and
    justification will be rated as "Low."

The project justification and local financial commitment ratings, in
turn, are summary ratings based on evaluation of the respective
individual criterion and/or measures. The evaluation for each of the
criterion/measures is expressed as the same descriptive indicators
presented above ("High," "Medium-High,' "Medium," "Medium-Low," and
"Low"). For most measures, projects are aligned in a continuum of values
from low to high and broken into five groups, with each group assigned a
numerical rating of 1 ("Low") to 5 ("High"). The breakpoints that
distinguish the five groups are not pure "quintiles" (that is, 20
percent each of the total number of projects being evaluated for the
measure) but rather logical breaks that separate one group from another.
Where criteria are represented by more than one measure, ratings for
each measure are rolled up and averaged into criterion-specific ratings,
where the numerical rating is converted into a corresponding \"High,\"
\"Medium- High,\" \"Medium,\" \"Medium-Low,\" or \"Low\" rating.

For the cost effectiveness criterion, specific dollar breakpoints are
defined for \"High\", \"Medium-High\", \"Medium\", \"Medium-Low\" and
\"Low\" ratings. These breakpoints are adjusted annually to reflect
inflation. The breakpoints to be used through the FY 2008 reporting
cycle and subsequent preliminary engineering and final design requests
(until new breakpoints are issued) are presented in Figure 3 below:

[]{.mark}

Figure 3: New Cost-Effectiveness Breakpoints

  --------------------------------- -------------------------------------
  **Cost Effectiveness Rating**     **Cost Effectiveness Value**

  High                              less than or equal to\$11.49

  Medium-High                       between \$11.50 and \$14.99

  Medium                            between \$15.00 and \$22.99

  Medium-Low                        between \$23.00 and \$28.99

  Low                               greater than or equal to \$29.00
  --------------------------------- -------------------------------------

FTA assigns a weight of 50 percent each to both the cost effectiveness
and land use criteria and averages them in order to establish a summary
project justification rating. When the average of the cost effectiveness
and land use rating falls equally between two ratings, the mobility
improvements rating may be introduced as a tiebreaker. If judged by FTA
to be compelling enough, a rating for "other factors" may be introduced
*after* the assignment of an initial summary project justification
rating. If the other factors rating is higher than the summary project
justification rating, FTA may increase this initial summary
justification rating by a maximum of one step (i.e. from "Medium" to
"Medium-High").

If cost effectiveness is rated "Low," a project may not advance in
development (for example, enter into final design) even if a strong land
use rating results in an overall "Medium" rating.

FTA weighs the proposed non-New Starts share as 20 percent of the
summary financial rating; the strength and reliability of the capital
plan counts as 50 percent of the rating; and the strength and
reliability of the operating plan accounts for 30 percent of the rating.
However, failure to achieve at least a "Medium" rating on both the
capital and the operating plan will result in an overall financial
rating of not greater than "Medium-Low."

***It is important to note that project ratings are distinct from
project funding recommendations.*** An overall rating of "High" "or
"Medium" does not translate directly into a funding recommendation or
commitment. Several Administration and Congressional directives guide
FTA funding decisions. The Administration has targeted its funding
recommendations beginning in FY 2006 to those proposed New Starts
projects that achieve a "Medium" or higher rating for
cost-effectiveness. Hence, any proposed New Start receiving a
"Medium-Low" rating for cost-effectiveness will not be recommended for
funding by FTA, although its overall project rating may be "Medium" or
higher, unless the project has been exempted from this requirement.

Consistent with Administration policy and statutory requirements, FTA
will recommend multi-year Federal financial commitments (Full Funding
Grant Agreements) only for those New Starts projects that:

-   Are rated overall as "Medium" or higher;

-   Are rated "Medium" or higher for cost-effectiveness;

-   Are in the final design phase of project development and have
    demonstrated "readiness" to utilize the funds based on a reasonable
    implementation schedule; and

-   Can be implemented with 5309 New Starts funding that is within
    available program resources.

[]{#__RefHeading___Toc102457329 .anchor}IV. Technical Requirements

FTA requires a very specific set of information for its evaluation and
rating of New Starts projects. Many of the required data inputs and
qualitative assessments used by FTA in its evaluation of candidate
projects are based upon information developed by local project sponsors
during alternatives analysis and other planning/project development
activities. FTA will work with local agencies to address questions and
issues regarding individual data items and reporting of specific
criteria and measures.

This section summarizes the key policy and planning principles that must
be followed for the development of all New Starts' project justification
criteria to ensure that FTA can give the project an adequate evaluation
and a fair rating. These items will be described in greater detail in
the following sections. New Starts project sponsors are reminded to
visit FTA's website for *New Starts Project Planning and Development* at
<http://www.fta.dot.gov/grant_programs/transportation_planning/9924_ENG_HTML.htm>.
for additional guidance on the planning and development of major transit
capital investments.

[]{#__RefHeading___Toc102457330 .anchor}IV.1. Key Policy and Planning
Principles

The Section 5309 New Starts criteria are used to evaluate and rate a
wide variety of proposed projects nationally. In order to ensure a
"level playing field" upon which to evaluate candidate New Starts
projects, project sponsors must develop the information that supports
their New Starts submissions according to FTA policy. This section
describes the basic technical approach related to the definition of both
the New Starts "Build" and "Baseline" alternatives; the assumptions to
be used in the travel forecasting of these alternatives; and the
self-certification that FTA requires of each sponsoring agency, which is
intended to ensure compliance with these technical principles.

The information needed to address the New Starts criteria should be a
normal product of the planning and project development process. Project
sponsors are strongly encouraged to recognize and address the substance
of this information at the earliest stages of corridor planning.
Otherwise, additional time and expense may be incurred before project
sponsors can submit their requests to enter PE and certify that they
have followed these guidelines.

FTA notes that any methods and assumptions that differ from those
described in this section should be discussed with FTA before they are
used. FTA's intent is not to totally preclude approaches that depart
from this guidance, but for FTA and project sponsors to reach a mutual
decision on approaches that may vary from these instructions.

Definition of Alternatives

The definition of the alternatives to be studied in alternatives
analysis is an extremely important element in the development of major
transit capital projects. FTA has issued a range of guidance on the
definition of alternatives, including *Advancing Major Transit
Investments Through Planning and Project Development (Version 1.1)* and
a chapter on the subject in the revised *Procedures and Technical
Methods for Transit Project Planning*, available on FTA's website for
*New Starts Project Planning and Development*
(<http://www.fta.dot.gov/grant_programs/transportation_planning/9924_ENG_HTML.htm>.)
Please refer to these documents for detailed guidance on the development
of alternatives for the alternatives analysis study and for FTA's
subsequent evaluation of the proposed New Starts project.

New Starts Baseline Alternative Guiding Principles

The New Starts Baseline shares its definition with that of the
transportation system management (TSM) alternative: that is, the "best
that can be done" to improve transit service in the project corridor
without a major capital investment in new guideway infrastructure. If
developed correctly -- and except in rare cases where the No-Build
alternative may suffice -- the TSM *is* the New Starts Baseline. The New
Starts Baseline is designed to demonstrate the extent to which the
transportation needs in the New Starts project's service area could be
met without a guideway investment. At a minimum, the New Starts Baseline
must include relatively low cost actions such as traffic engineering,
enhanced bus service and other transit operational changes, traffic
signal priority, and user information as well as modest capital
improvements like reserved lanes and park-and-ride lots. While low in
cost relative to the proposed New Starts project, the New Starts
Baseline may still involve substantial capital and operating costs,
particularly in complex study areas with significant transportation
problems, and where the Build alternative is particularly high in cost.

The New Starts Baseline must be defined so that comparisons between the
New Starts project and the New Starts Baseline will isolate the costs
and benefits of the proposed New Starts investment. Thus, the New Starts
project and the New Starts Baseline should be "consistent" with each
other, and each should be "optimized" to represent its transit
technology in the most favorable way. Consistency requires that
underlying assumptions -- land use and development, parking availability
and cost, fare levels, vehicle loading standards, highway networks, and
the like -- should be identical for both the New Starts project and the
New Starts Baseline. Defining the New Starts Baseline alternative is an
iterative process. Initially, both the New Starts project and the New
Starts Baseline should be derived from a common service strategy with
the same coverage, span of service and initial headway assumptions.
Through the process of equilibration, the operating plans for the New
Starts project and the New Starts Baseline may change in order to
optimize performance. The final operating plans may consequently reflect
different headway assumptions due to inherent differences in mode,
alignment, speed, dwell times, and vehicle capacity.

It is important to note that the New Starts Baseline alternative should
not necessarily "mimic" the New Starts project if non-guideway transit
can more efficiently serve important corridor travel markets in
different ways. For example, a TSM alternative may include a combination
of skip-stop, express, and other services in the corridor which are
developed with the intent of optimizing performance in terms of both
cost and travel time. Consequently, the New Starts Build and the New
Starts Baseline alternatives may differ not only in terms of the
presence or absence of a guideway but also in terms of:

-   Vehicle miles and hours of service;

-   Location of stations or stops;

-   The amount of redundant local bus that is replaced by higher order
    services; and

-   Final headways and park-and-ride capacities that have been
    equilibrated against predicted transit demand.

Several other guiding principles apply to the New Starts Baseline
alternative:

-   The cost effectiveness of the New Starts Baseline, compared with a
    No Build scenario, should be better than the cost effectiveness of
    the New Starts project compared with the No Build scenario.

-   The cost effectiveness of the New Starts Baseline, compared with a
    No Build scenario, should be better than the cost effectiveness of
    the New Starts project compared with the New Starts Baseline.

-   The travel forecast for the New Starts project, compared with the
    New Starts Baseline alternative, should be readily explainable in
    terms of the improved service and other inherent attributes of the
    New Starts project.

-   The New Starts Baseline can -- and should -- reflect modest
    investment in operational and physical amenities which result in
    high-quality transit service. These amenities include elements such
    as signal prioritization for transit, low-floor buses, enhanced
    passenger shelters, and passenger information systems.

In the past, New Starts project sponsors have varied widely in their
assumptions regarding the scope -- and costs - of the New Starts
Baseline alternative. Some sponsors have simply assumed standard 40-foot
buses, and their costs, in the New Starts Baseline alternative. Others
have assumed advanced technology buses and elaborate stations in the New
Starts Baseline, even though such vehicles and facilities could not be
justified as meeting the definition of a modestly-priced TSM. A few
sponsors ascribed unreasonably high costs of "professional services" to
the New Starts Baseline alternative -- in essence, loading the
alternative with costs attributable to the planning and engineering of
the Build alternative - while others did not include such costs at all.
To the extent that FTA intends that the New Starts Baseline alternative
help it maintain a level playing field in terms of measuring the costs
and benefits of proposed New Starts projects, these differences may
result in either an over- or under-estimation of their cost
effectiveness.

Consequently, these *Reporting Instructions* -- and the updated Standard
Cost Categories (SCC) which are used to report project capital cost
information - define prototypical capital costs for specific elements in
New Starts Baseline alternatives. These cost parameters are shown in
Figure 4 below. Costs for roadway improvements, stations, sitework,
systems, and buses were derived from actual costs incurred by local
transit agencies that have implemented TSM improvements in Los Angeles,
Kansas City, and Boston. Allowable percentages for professional services
and unallocated contingency were derived from estimated costs for
projects in the New Starts pipeline and as-built costs from the Light
Rail and Heavy Rail Cost studies by Booz Allen Hamilton for 2003 and
2004. Consequently, use of these cost parameters are appropriate for New
Starts Baseline alternatives which result in "rapid" or "express"
service characteristics similar to the proposed New Start project. New
Starts Baseline alternatives which operate as "local" service would not
typically warrant investment in roadway improvements and stations, so
such costs should not be assumed.

*Figure 4: New Starts Baseline Cost Parameters*

![](media/image2.wmf){width="6.446527777777778in"
height="7.336805555555555in"}

Deviation from these assumptions may be permitted, but must be discussed
with the FTA Office of Planning and Environment prior to formal
submission of annualized cost information. Except where advised
otherwise by FTA, sponsors of projects already approved into preliminary
engineering or final design have the option to either use these new
standards or to continue to report their New Starts Baseline alternative
annualized costs as assumed in previous New Starts evaluations. In the
latter case, however, project sponsors may not pick and choose to take
advantage of any more favorable cost and/or scope assumptions provided
for above. On balance, FTA believes that following the cost assumptions
presented in these *Reporting Instructions* will result in improved cost
effectiveness for most proposed New Starts investments.

[]{.mark}

FTA reminds candidate New Starts project sponsors that the *New Starts
Final Rule* requires that FTA approve the New Starts Baseline
alternative before projects can be approved to advance to preliminary
engineering. This approval is based upon a review of the operating
plans, travel forecasts, scope definition, capital costs, and operating
costs for the proposed New Starts Baseline alternative. Sponsors of
local alternatives analysis studies that are considering a potential New
Starts project should engage FTA in the process of defining and
analyzing alternatives to determine an appropriate New Starts Baseline.
Defining a New Starts Baseline may require iterative analysis and
discussions with FTA over a period of time. FTA expects to issue
additional guidance on the development of transportation alternatives
for corridor alternatives analysis studies -- including the New Starts
Baseline alternative -- in the summer of 2006.

Build Alternative

The Build alternative is the New Starts project that the sponsoring
agency is or will be seeking FTA New Starts funding to construct. The
New Starts project should be evaluated as a stand-alone project. In some
instances, the preferred multi-modal alternative that is adopted into
the MPO's long range transportation plan following a corridor study will
include a variety of elements, such as highway and HOV improvements, as
well as transit. When addressing the New Starts criteria, those elements
of the preferred alternative that are not proposed for New Starts
funding should be treated as separate and distinct projects from the New
Starts project. This is necessary to accurately identify the transit
benefits that the New Starts project will produce.

If the project sponsor intends to build the New Starts project in
phases, starting with a minimum operable segment (MOS), then it is the
MOS that should be evaluated using the New Starts criteria. Local
project sponsors considering implementation of an MOS should discuss
this with their FTA Regional Office and the FTA Office of Planning and
Environment.

The capital and operating cost estimates for the New Starts project must
include the feeder bus system and other project elements that are
assumed in forecasting ridership.

Additional Guidance for Multimodal Projects

Defining alternatives for projects that contain more than one mode is
more complex. The FTA New Starts evaluation process is designed to
analyze the impact of the New Starts project alone. When Build
alternatives include highway or high-occupancy vehicle (HOV) elements,
FTA needs the project sponsor to identify alternatives that isolate the
impacts of the proposed New Starts project. The New Starts Baseline
alternative and the Build alternative will need to assume the existence
of the highway or HOV elements within the corridor to provide a
consistent basis of comparison for the New Starts ratings.

This highway-only New Starts Baseline alternative may, in some cases, be
a reasonable alternative that addresses the purpose and need for Federal
action that underlies the NEPA evaluation. In this case, the NEPA
scoping process would be expected to advance such highway-only
alternatives for evaluation during the NEPA process. However, it is
expected that, in many cases, the highway--only alternative created to
serve as the New Starts Baseline alternative will not sufficiently
address the established purpose and need for the proposed project. In
this instance, the scoping process would not retain the highway-only
alternative for NEPA evaluation. The highway-only alternative would be
developed only for use in the New Starts rating process but would
[not]{.underline} be included in the NEPA evaluation.

Travel Forecasting and Cost Estimating Assumptions

There is significant variability in the travel forecasting models
maintained by agencies across the country so that inputs and model
assumptions are different in different places. Nevertheless, a number of
good practices have evolved that ensure consistent treatment of
alternatives. The basic guiding principle in developing model input
assumptions is to make sure that the travel forecasting approach does
not bias the results in favor of any particular alternative. By
following this important and overarching principal, which should be
manifest in both travel forecasting procedures *and* the definition of
transportation alternatives for which travel forecasts are being
generated, it is FTA's expectation that the resulting forecasts will
reliably convey the transportation benefits and impacts of the
alternatives, rather than their underlying fare, service, and/or other
policy assumptions.

New Starts project sponsors should use a 2030 horizon year for the
development of travel forecasts and systemwide operating costs used in
the calculation of the project justification criteria. For New Starts
projects located in areas whose metropolitan planning organization (MPO)
uses a 2025 planning horizon, the project sponsor should extrapolate its
2025 land use forecasts to 2030. Where such extrapolation occurs, the
process for determining the resulting land use forecasts must be
endorsed by the MPO. Project sponsors should also assume 2030 for the
estimation of systemwide O&M costs.

A project's capital cost estimate includes costs for planning, design
and construction. It includes labor and material for construction of the
improvement -- guideways, stations, support facilities, sitework,
special conditions, systems -- as well as costs for vehicle design and
procurement, right-of-way acquisition, relocation of existing households
and businesses, planning, facility design, construction management,
project administration, finance charges, and contingencies. To support
the evaluation of costs, cost estimates must cover "knowns,"
uncertainties, and even make provision for unknowns.

FTA expects that New Starts (both Build and New Starts Baseline) project
cost estimates are up-to-date, are based on unit costs that apply to
expected conditions during construction, and specifically identify
remaining uncertainties in those unit costs. Similarly, estimates of O&M
costs should be based on current local experience, adjusted for
differences in vehicle and service characteristics, and, for any transit
modes new to the system, are consistent with experience in similar
settings elsewhere.

[]{#__RefHeading___Toc102457331 .anchor}IV.2 Certification of Technical
Methods, Planning Assumptions, and Project Development Procedures

The use of consistent and defensible measures, data inputs, and
analytical assumptions is intended to improve the information provided
by project sponsors and support FTA\'s decision-making process.
Therefore, project sponsors must include with their submission a
statement certifying that the technical approaches and assumptions used
in the analysis were in accordance with the principles outlined in
Section IV.1 of these instructions, as well as other FTA guidance and
best professional practices.

The statement has been expanded from previous year's versions to reflect
not only assumptions supporting the project's travel forecasts but the
estimation of capital and operating costs. The statement further request
that any deviation from these instructions and/or FTA guidance and
procedures be identified and discussed with FTA in advance of FTA's
acceptance of the New Starts project justification criteria for
evaluation. Finally, the project sponsor is asked to complete he
statement, for information purposes, with dates regarding the collection
data which support the travel forecasts.

FTA's *Certification of Technical Methods, Planning Assumptions, and
Project Development Procedures* is provided as Template 2 on the
following page. FTA is maintaining its requirement that the Chief
Executive Officer (CEO) of the sponsoring agency sign the certification
statement. Please note, however, that FTA has expanded the scope of the
technical procedures and assumptions that is covered by the
certification. FTA strongly encourages that both the agency CEO and
his/her staff carefully read the certification and understand the items
to which it attests. Any questions regarding the certification statement
should be directed to the FTA Office of Planning and Environment.

**Template 2**

### **Certification of Technical Methods and Planning Assumptions**

[]{#refheading___toc102457333 .anchor}V. General Reporting Information

This section summarizes the *general* information which must accompany
and support the submission of the specific New Starts criteria and
measures. This information provides FTA with an understanding of: a) the
scope of the proposed New Starts project; b) the need for and benefits
of the project; and c) the underlying policy and technical basis upon
which each of the New Starts criteria is developed. As an aid to
reporting both this supporting information and the specific New Starts
criteria and measures, Figure 5 on the following pages summarizes the
breadth of required materials for submittal to FTA, including the
information necessary for projects that are exempt from the New Starts
criteria.

Information should be submitted both electronically and in hardcopy.
When submitting electronic files, FTA requests that they be transmitted
in their original format, not as PDF files, unless as specified below.

[]{#__RefHeading___Toc102457334 .anchor}V.1 Project Background
Information

The following summarizes the requested information that provides FTA
with a general understanding of the project, its planning context, and
how (and why) it addresses the identified transportation problems in the
corridor.

Project Description Worksheet

Project sponsors must provide descriptive information on the proposed
New Starts project and the regional public transportation system. FTA
uses the project description to understand the project, to develop a
project profile for the *Annual Report on New Starts*, and to establish
a database of project characteristics and local contact information.
Template 1 (Project Description) should be used for reporting this
information. [FTA notes that all New Starts sponsors, even those of
projects requesting less than \$25 million in Section 5309 New Starts
funding and are thus exempt from the New Starts criteria, must submit
Template 1 to FTA]{.underline}.

# Template 1

+------------------+------------------+--------------------------------+
| ###              |                  |                                |
| ### PROJECT DESC |                  |                                |
| RIPTION TEMPLATE |                  |                                |
+------------------+------------------+--------------------------------+
| **PROJECT        |                  |                                |
| NAME:**          |                  |                                |
+------------------+------------------+--------------------------------+
| ##### Partic     |                  |                                |
| ipating Agencies |                  |                                |
+------------------+------------------+--------------------------------+
| **Lead Agency**  | Name             |                                |
+------------------+------------------+--------------------------------+
|                  | Contact Person   |                                |
+------------------+------------------+--------------------------------+
|                  | Address          |                                |
+------------------+------------------+--------------------------------+
|                  | Telephone Number |                                |
+------------------+------------------+--------------------------------+
|                  | Fax Number       |                                |
+------------------+------------------+--------------------------------+
|                  | Email            |                                |
+------------------+------------------+--------------------------------+
| **Metropolitan** | Name             |                                |
|                  |                  |                                |
| **Planning**     |                  |                                |
|                  |                  |                                |
| **Organization** |                  |                                |
+------------------+------------------+--------------------------------+
|                  | Contact Person   |                                |
+------------------+------------------+--------------------------------+
|                  | Address          |                                |
+------------------+------------------+--------------------------------+
|                  | Telephone Number |                                |
+------------------+------------------+--------------------------------+
|                  | Fax Number       |                                |
+------------------+------------------+--------------------------------+
|                  | Email            |                                |
+------------------+------------------+--------------------------------+
| **Transit        | Name             |                                |
| Agency**         |                  |                                |
+------------------+------------------+--------------------------------+
|                  | Contact Person   |                                |
+------------------+------------------+--------------------------------+
|                  | Address          |                                |
+------------------+------------------+--------------------------------+
|                  | Telephone Number |                                |
+------------------+------------------+--------------------------------+
|                  | Fax Number       |                                |
+------------------+------------------+--------------------------------+
|                  | Email            |                                |
+------------------+------------------+--------------------------------+
| **State          | Name             |                                |
| Department of    |                  |                                |
| Transportation** |                  |                                |
+------------------+------------------+--------------------------------+
|                  | Contact Person   |                                |
+------------------+------------------+--------------------------------+
|                  | Address          |                                |
+------------------+------------------+--------------------------------+
|                  | Telephone Number |                                |
+------------------+------------------+--------------------------------+
|                  | Fax Number       |                                |
+------------------+------------------+--------------------------------+
|                  | Email            |                                |
+------------------+------------------+--------------------------------+
| **Other Relevant | Name             |                                |
| Agencies**       |                  |                                |
+------------------+------------------+--------------------------------+
|                  | Contact Person   |                                |
+------------------+------------------+--------------------------------+
|                  | Address          |                                |
+------------------+------------------+--------------------------------+
|                  | Telephone Number |                                |
+------------------+------------------+--------------------------------+
|                  | Fax Number       |                                |
+------------------+------------------+--------------------------------+
|                  | Email            |                                |
+------------------+------------------+--------------------------------+

+------------------+------------------+--------------------------------+
| ###### PROJE     |                  |                                |
| CT DESCRIPTION T |                  |                                |
| EMPLATE (Page 2) |                  |                                |
+------------------+------------------+--------------------------------+
| **Project        | Length (miles)   |                                |
| Definition**     |                  |                                |
+------------------+------------------+--------------------------------+
|                  | Mode/Technology  |                                |
+------------------+------------------+--------------------------------+
|                  | Number of        |                                |
|                  | Stations         |                                |
+------------------+------------------+--------------------------------+
|                  | List each        |                                |
|                  | station          |                                |
|                  | separately.      |                                |
|                  | Include the      |                                |
|                  | number of        |                                |
|                  | parking spaces.  |                                |
|                  | Specify "surface |                                |
|                  | lot" or "garage  |                                |
|                  | structure."      |                                |
+------------------+------------------+--------------------------------+
|                  | List each        |                                |
|                  | station with     |                                |
|                  | major transfer   |                                |
|                  | facilities to    |                                |
|                  | other modes      |                                |
+------------------+------------------+--------------------------------+
|                  | Number of        |                                |
|                  | vehicles/rolling |                                |
|                  | stock            |                                |
+------------------+------------------+--------------------------------+
| **Type of        | Above grade      |                                |
| Alignment by     |                  |                                |
| Segment**        |                  |                                |
|                  |                  |                                |
| ***(Number of    |                  |                                |
| miles)***        |                  |                                |
+------------------+------------------+--------------------------------+
|                  | Below grade      |                                |
+------------------+------------------+--------------------------------+
|                  | At grade         |                                |
+------------------+------------------+--------------------------------+
|                  | Exclusive        |                                |
+------------------+------------------+--------------------------------+
|                  | Mixed Traffic    |                                |
+------------------+------------------+--------------------------------+
| **Current Status | Ownership -- who |                                |
| of Existing      | owns the right   |                                |
| Right of Way**   | of way?          |                                |
+------------------+------------------+--------------------------------+
|                  | Current Use:     |                                |
|                  | active freight   |                                |
|                  | or passenger     |                                |
|                  | service?         |                                |
+------------------+------------------+--------------------------------+

+----------------+---+----------+------+----------+----+---------------+
| ##             |   |          |      |          |    |               |
| #### PROJECT D |   |          |      |          |    |               |
| ESCRIPTION TEM |   |          |      |          |    |               |
| PLATE (Page 3) |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Project      |   | ##### B  |      | *        |    | **Forecast    |
| Planning       |   | ase Year |      | *Opening |    | Year**        |
| Dates**        |   |          |      | Year**   |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | [        |      | [        |    |               |
|                |   | ]{.mark} |      | ]{.mark} |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Capital Cost |   | 2006     |      | [        |    |               |
| Estimate**     |   | Constant |      | ]{.mark} |    |               |
|                |   | dollars  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Year of  |      |          |    |               |
|                |   | Exp      |      |          |    |               |
|                |   | enditure |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| Levels of      |   | Headways |      |          |    |               |
| Service        |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Weekday  |      |          |    |               |
|                |   | Peak     |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Weekday  |      |          |    |               |
|                |   | Off-peak |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Weekday  |      |          |    |               |
|                |   | Evening  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Weekend  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Hours of |      |          |    |               |
|                |   | Service  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Weekday  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Weekend  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Travel**     |   | *        |      | *        |    | **Forecast    |
|                |   | *Project |      | *Opening |    | Year**        |
| **Demand**     |   | Boa      |      | Year**   |    |               |
|                |   | rdings** |      |          |    |               |
| Estimates      |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Average  |      |          |    |               |
|                |   | Weekday  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Work     |      |          |    |               |
|                |   | Trips    |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Peak     |      |          |    |               |
|                |   | Hour     |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Annual   |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | **       |      | *        |    | **Forecast    |
|                |   | Guideway |      | *Opening |    | Year**        |
|                |   | Boardin  |      | Year**   |    |               |
|                |   | gs**[^1] |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Average  |      |          |    |               |
|                |   | Weekday  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Work     |      |          |    |               |
|                |   | Trips    |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Peak     |      |          |    |               |
|                |   | Hour     |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Annual   |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | *        |      | *        |    | **Forecast    |
|                |   | *Transit |      | *Opening |    | Year**        |
|                |   | System** |      | Year**   |    |               |
|                |   |          |      |          |    |               |
|                |   | **Linked |      |          |    |               |
|                |   | Tri      |      |          |    |               |
|                |   | ps**[^2] |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Average  |      |          |    |               |
|                |   | Weekday  |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Annual   |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                |   | Annual   |      |          |    |               |
|                |   | New      |      |          |    |               |
|                |   | Riders   |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Linked Trips |   |          |      |          |    |               |
| if Proposed**  |   |          |      |          |    |               |
| **System       |   |          |      |          |    |               |
| Operated with  |   |          |      |          |    |               |
| Current Land   |   |          |      |          |    |               |
| Use Patterns   |   |          |      |          |    |               |
| and            |   |          |      |          |    |               |
| Population/Em  |   |          |      |          |    |               |
| ployment**[^3] |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Fare Policy  |   |          |      |          |    |               |
| Assumptions    |   |          |      |          |    |               |
| Used In Travel |   |          |      |          |    |               |
| F              |   |          |      |          |    |               |
| orecasts**[^4] |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Regional HBW |   |          |      |          |    |               |
| User Benefits  |   |          |      |          |    |               |
| Attributable   |   |          |      |          |    |               |
| to the Lowest  |   |          |      |          |    |               |
| Income         |   |          |      |          |    |               |
| Strata** [^5]  |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| ##             |   |          |      |          |    |               |
| #### PROJECT D |   |          |      |          |    |               |
| ESCRIPTION TEM |   |          |      |          |    |               |
| PLATE (Page 4) |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Project      | # |          |      |          |    |               |
| Planning and   | # |          |      |          |    |               |
| Development    | # |          |      |          |    |               |
| Schedule**     | # |          |      |          |    |               |
|                | # |          |      |          |    |               |
|                |   |          |      |          |    |               |
|                | P |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | j |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | c |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                |   |          |      |          |    |               |
|                | S |          |      |          |    |               |
|                | c |          |      |          |    |               |
|                | h |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | u |          |      |          |    |               |
|                | l |          |      |          |    |               |
|                | e |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | * |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | c |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | p |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | c |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | u |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | l |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | / |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | u |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | * |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | P |          |      |          |    |               |
|                | l |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | g |          |      |          |    |               |
|                | S |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | u |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | d |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | P |          |      |          |    |               |
|                | l |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | g |          |      |          |    |               |
|                | S |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | u |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | C |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | p |          |      |          |    |               |
|                | l |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | d |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | L |          |      |          |    |               |
|                | P |          |      |          |    |               |
|                | A |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | l |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | c |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | d |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | L |          |      |          |    |               |
|                | P |          |      |          |    |               |
|                | A |          |      |          |    |               |
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|                | n |          |      |          |    |               |
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|                | l |          |      |          |    |               |
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|                | n |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | I |          |      |          |    |               |
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|                | T |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | P |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | I |          |      |          |    |               |
|                | n |          |      |          |    |               |
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|                | D |          |      |          |    |               |
|                | E |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | S |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | C |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | p |          |      |          |    |               |
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|                | D |          |      |          |    |               |
|                | E |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | S |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | I |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | i |          |      |          |    |               |
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|                | E |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | S |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | C |          |      |          |    |               |
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|                | E |          |      |          |    |               |
|                | I |          |      |          |    |               |
|                | S |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | P |          |      |          |    |               |
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+----------------+---+----------+------+----------+----+---------------+
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+----------------+---+----------+------+----------+----+---------------+
|                | F |          |      |          |    |               |
|                | i |          |      |          |    |               |
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|                | o |          |      |          |    |               |
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|                | ) |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | F |          |      |          |    |               |
|                | F |          |      |          |    |               |
|                | G |          |      |          |    |               |
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|                | ) |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | C |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | t |          |      |          |    |               |
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|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | ) |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | T |          |      |          |    |               |
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|                | s |          |      |          |    |               |
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|                | t |          |      |          |    |               |
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|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | ) |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | R |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | v |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | u |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | O |          |      |          |    |               |
|                | p |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | t |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | s |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| ##### Proj     |   |          |      |          |    |               |
| ect Management |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Project      | N |          |      |          |    |               |
| Manager**      | a |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | e |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | A |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | s |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | P |          |      |          |    |               |
|                | h |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | e |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | F |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | x |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | E |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | l |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Agency CEO** | N |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | e |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | A |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | s |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | P |          |      |          |    |               |
|                | h |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | e |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | F |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | x |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | E |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | l |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
| **Key Staff:** | N |          |      |          |    |               |
|                | a |          |      |          |    |               |
| **Overall**    | m |          |      |          |    |               |
|                | e |          |      |          |    |               |
| **New Starts** |   |          |      |          |    |               |
|                |   |          |      |          |    |               |
| **Criteria**   |   |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | A |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | d |          |      |          |    |               |
|                | r |          |      |          |    |               |
|                | e |          |      |          |    |               |
|                | s |          |      |          |    |               |
|                | s |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | P |          |      |          |    |               |
|                | h |          |      |          |    |               |
|                | o |          |      |          |    |               |
|                | n |          |      |          |    |               |
|                | e |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | F |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | x |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+
|                | E |          |      |          |    |               |
|                | m |          |      |          |    |               |
|                | a |          |      |          |    |               |
|                | i |          |      |          |    |               |
|                | l |          |      |          |    |               |
+----------------+---+----------+------+----------+----+---------------+

+------------------+----------+----------------------------------------+
| ###### PROJE     |          |                                        |
| CT DESCRIPTION T |          |                                        |
| EMPLATE (Page 5) |          |                                        |
+------------------+----------+----------------------------------------+
| ####             |          |                                        |
| # Project Manage |          |                                        |
| ment (continued) |          |                                        |
+------------------+----------+----------------------------------------+
| **Key Staff:**   | Name     |                                        |
|                  |          |                                        |
| **Ridership      |          |                                        |
| Forecasts**      |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Key Staff:**   | Name     |                                        |
|                  |          |                                        |
| **Cost           |          |                                        |
| Estimates**      |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Key Staff:**   | Name     |                                        |
|                  |          |                                        |
| **Environmental  |          |                                        |
| Documentation**  |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Key Staff:**   | Name     |                                        |
|                  |          |                                        |
| **Land Use       |          |                                        |
| Assessment**     |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Key Staff:**   | Name     |                                        |
|                  |          |                                        |
| **Financial      |          |                                        |
| Assessment**     |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Key Staff:**   | Name     |                                        |
|                  |          |                                        |
| **Project Maps** |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Contractors**  |          |                                        |
+------------------+----------+----------------------------------------+
| **Current Prime  | Name     |                                        |
| Contractor**     |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+
| **Prime          | Name     |                                        |
| Contractor:      |          |                                        |
| Project          |          |                                        |
| Manager**        |          |                                        |
+------------------+----------+----------------------------------------+
|                  | Address  |                                        |
+------------------+----------+----------------------------------------+
|                  | Phone    |                                        |
+------------------+----------+----------------------------------------+
|                  | Fax      |                                        |
+------------------+----------+----------------------------------------+
|                  | Email    |                                        |
+------------------+----------+----------------------------------------+

**[Quality Control Checks -- Template 1]{.underline}**

-   The forecast year reported on Template 1 should match the forecast
    year reported on Template 12 (Quantitative Land Use Information
    Worksheet).

```{=html}
<!-- -->
```
-   The capital cost estimates reported on Template 1 should match the
    capital cost estimates reported on the Main Worksheet from the
    Standard Cost Categories (SCC) and on Template 13 (Project Finance
    Worksheet).

-   Average weekday and annual boardings for the system should exceed
    the average weekday and annual boardings for the project.

-   Annual project boardings should exceed annual new riders.

-   The number of annual transit system linked trips reported on
    Template 1 should equal the total annual ridership reported for the
    Build alternative on Template 10 (Cost Effectiveness Worksheet --
    Incremental Cost per Incremental Rider).

-   The number of annual new riders reported on Template 1 should equal
    the incremental annualized ridership reported on Template 10 (Cost
    Effectiveness Worksheet -- Incremental Cost per Incremental Rider).

-   It is unusual for the number of new riders attracted to a New Starts
    project to exceed 50 percent of annual project boardings. If this is
    the case, reasons for such a high level of new riders must be
    included in the Making the Case document that supports the project.

-   Annual new riders reported on Template 1 should match the number of
    daily new riders reported in the summit summary report multiplied by
    the project's annualization factor.

-   Check to ensure all fields have been completed, including the
    contact information for the project management team. If reported
    information has changed significantly from last year, please provide
    a separate explanation with your submittal.

Make the Case Document

Stakeholder scrutiny of the benefits of New Starts projects has never
been greater. In an environment where the public and decision-makers
demand a high return on taxpayers' investment in transit, more -- and
more rigorous -- questions are being asked about the justification for
New Starts projects. Therefore, it is increasingly important that
project sponsors articulate the merits of their proposed transit
improvements, and the reasons why these improvements represent the best
possible solution to locally identified transportation problems.

FTA believes that a very valuable understanding of candidate New Starts
projects can be gained from a simple, approximately 3 page narrative
developed by the sponsoring agency, that succinctly describes the
benefits of the proposed investment, particularly in comparison to the
New Starts Baseline (and other lower cost) alternative(s). The intent of
this narrative is to

### Figure 5: Checklist of Required Information for Submission

+----------------------------------+----------+-----------+-----------+
| Reporting Item                   | Required | Exempt    | N         |
|                                  | Inf      | Project   | on-Exempt |
|                                  | ormation | Sponsor   | Project   |
|                                  |          | Checklist | Sponsor   |
|                                  |          |           | Checklist |
+----------------------------------+----------+-----------+-----------+
| **Project Background**           |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Project Description Worksheet  | Template |           |           |
|                                  | 1        |           |           |
+----------------------------------+----------+-----------+-----------+
| > Make the Case Document         | Na       |           |           |
|                                  | rrative, |           |           |
|                                  | Data,    |           |           |
|                                  | Maps,    |           |           |
|                                  | Graphics |           |           |
+----------------------------------+----------+-----------+-----------+
| **Project Maps**                 |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Project Site Map               | Map      |           |           |
+----------------------------------+----------+-----------+-----------+
| > Vicinity Map                   | Map      |           |           |
+----------------------------------+----------+-----------+-----------+
| **Travel Forecasts**             |          |           |           |
+----------------------------------+----------+-----------+-----------+
| Summit Software Reports and Maps |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Summary "roll-up" report       | Summit   |           |           |
|                                  | Output   |           |           |
+----------------------------------+----------+-----------+-----------+
| > Summary reports for each trip  | Summit   |           |           |
| > purpose (i.e. HBW, HBO, NHB,   | Output   |           |           |
| > etc.)                          |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Trip length frequency reports  | Summit   |           |           |
| > and row and column sum reports | Output   |           |           |
| > for each trip purpose          |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Map of district boundaries and | Graphic  |           |           |
| > names that includes project    |          |           |           |
| > alignment and station          |          |           |           |
| > locations                      |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Two thematic maps for each     | Summit   |           |           |
| > trip purpose (productions and  | Output   |           |           |
| > attractions) and for total     |          |           |           |
| > user benefits across all trip  |          |           |           |
| > purposes                       |          |           |           |
+----------------------------------+----------+-----------+-----------+
| UBQC Worksheet                   | "UBQC"   | []{.mark} | []{.mark} |
|                                  |          |           |           |
|                                  | Template |           |           |
+----------------------------------+----------+-----------+-----------+
| Annualization Factor             | Na       | []{.mark} | []{.mark} |
| Justification                    | rrative, |           |           |
|                                  | Data     |           |           |
+----------------------------------+----------+-----------+-----------+
| **O&M Costs**                    |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| Summary of O&M Cost              | Na       | []{.mark} | []{.mark} |
| Productivities                   | rrative, |           |           |
|                                  | Data     |           |           |
+----------------------------------+----------+-----------+-----------+
| **Capital Costs**                |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| Standard Cost Categories         |          |           |           |
| Worksheets                       |          |           |           |
+----------------------------------+----------+-----------+-----------+
| Main Worksheet for Build and     | SCC      | []{.mark} | []{.mark} |
| Baseline                         |          |           |           |
+----------------------------------+----------+-----------+-----------+
| Inflation Worksheet              | SCC      | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| Project Schedule                 | SCC      | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| Funding Sources by Category      | SCC      | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| Funding Source By Year           | SCC      | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| Annualized Cost Worksheets for   | SCC      | []{.mark} | []{.mark} |
| Build and Baseline               |          |           |           |
+----------------------------------+----------+-----------+-----------+
| **Certification of Technical     | Template | []{.mark} | []{.mark} |
| Methods and Planning             | 2        |           |           |
| Assumptions**                    |          |           |           |
+----------------------------------+----------+-----------+-----------+
| **Mobility Improvements**        |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| > Transportation System User     | Template | []{.mark} | []{.mark} |
| > Benefits per Passenger Mile    | 3        |           |           |
| > Worksheet                      |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Low Income Households          | Template | []{.mark} | []{.mark} |
| > Worksheet                      | 4        |           |           |
+----------------------------------+----------+-----------+-----------+
| > Employment Worksheet           | Template | []{.mark} | []{.mark} |
|                                  | 5        |           |           |
+----------------------------------+----------+-----------+-----------+
| **Environmental Benefits**       |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| > Environmental Benefits (Change | Template | []{.mark} | []{.mark} |
| > in Emissions and Energy        | 6        |           |           |
| > Consumption) Worksheet         |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Current Regional Air Quality   | Des      | []{.mark} | []{.mark} |
| > Designation                    | ignation |           |           |
|                                  | from EPA |           |           |
+----------------------------------+----------+-----------+-----------+
| **Operating Efficiencies**       |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| > Change in Operating Cost per   | Template | []{.mark} | []{.mark} |
| > Passenger Mile Worksheet       | 7        |           |           |
+----------------------------------+----------+-----------+-----------+
| **Cost Effectiveness**           |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| > Annualized Cost Worksheets for | SCC      | []{.mark} | []{.mark} |
| > Build and Baseline\*           |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Cost Effectiveness Worksheet   | Template | []{.mark} | []{.mark} |
| > -- User Benefits               | 9        |           |           |
+----------------------------------+----------+-----------+-----------+
| > Cost Effectiveness Worksheet - | Template | []{.mark} | []{.mark} |
| > Incremental Cost per           | 10       |           |           |
| > Incremental Rider              |          |           |           |
+----------------------------------+----------+-----------+-----------+
| **Other Factors**                |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| > Other Factors, as appropriate  | Na       | []{.mark} | []{.mark} |
|                                  | rrative, |           |           |
|                                  | Data,    |           |           |
|                                  | etc.     |           |           |
+----------------------------------+----------+-----------+-----------+
| **Transit Supportive Existing    |          | []{.mark} | []{.mark} |
| Land Use and Future Patterns**   |          |           |           |
+----------------------------------+----------+-----------+-----------+
| > Supplemental Land Use          | Template | []{.mark} | []{.mark} |
| > Information Worksheet          | 11       |           |           |
+----------------------------------+----------+-----------+-----------+
| > Quantitative Land Use          | Template | []{.mark} | []{.mark} |
| > Information Worksheet          | 12       |           |           |
+----------------------------------+----------+-----------+-----------+
| > Additional Supporting Land Use | Na       | []{.mark} | []{.mark} |
| > Documentation                  | rrative, |           |           |
|                                  | Plans,   |           |           |
|                                  | Data,    |           |           |
|                                  | etc.     |           |           |
+----------------------------------+----------+-----------+-----------+
| **Local Financial Commitment**   |          | []{.mark} | []{.mark} |
+----------------------------------+----------+-----------+-----------+
| > Project Finance Worksheet      | Template | []{.mark} | []{.mark} |
|                                  | 13       |           |           |
+----------------------------------+----------+-----------+-----------+
| > Checklist for Financial        | C        | []{.mark} | []{.mark} |
| > Submittals                     | hecklist |           |           |
+----------------------------------+----------+-----------+-----------+
| > Project Finance Plan           | F        | []{.mark} | []{.mark} |
|                                  | inancial |           |           |
|                                  | Plan,    |           |           |
|                                  | 20-Year  |           |           |
|                                  | Cash     |           |           |
|                                  | Flow     |           |           |
+----------------------------------+----------+-----------+-----------+
| > Additional Supporting          | Na       | []{.mark} | []{.mark} |
| > Financial Documentation        | rrative, |           |           |
|                                  | Plans,   |           |           |
|                                  | Data,    |           |           |
|                                  | etc.     |           |           |
+----------------------------------+----------+-----------+-----------+

\* The annualized cost worksheets within the SCC replace former Template
8 "Annualized Cost"

"make the case" for the New Starts project. This *Making the Case*
document should describe key substantiated project outcomes that justify
the worthiness of the proposed New Starts investment. These outcomes
should be drawn from the alternatives analysis or other studies
performed by the project sponsor that were used as the basis for
selecting the locally preferred alternative.

Importantly, the *Making the Case* document should contain substantive
benefits backed by demonstrable analytical results -- not assertions.
Reasons for benefits should be explained, and evidence for such
conclusions provided. The analysis should extend beyond a justification
for why a given corridor is in need of improvement to why the proposed
New Starts project is better than any other reasonable transportation
investment in the corridor.

Ultimately, the *Making the Case* document should provide an
interpretation of the travel forecasts (most helpfully, Summit-produced
reports and maps). In summary, the document should strive to:

-   Provide quantitative evidence of transportation problems in the
    project corridor, and how the proposed project will address these
    problems.

-   Describe the markets (trip purposes, socioeconomic, geographic) that
    the project benefits, and how and why they benefit. These benefits
    should be quantitative.

-   Provide evidence that this investment is better than all other
    strategies for meeting the identified corridor problems. A
    comparison of how the proposed project performs against the Baseline
    and other alternatives in serving key travel markets and meeting
    identified needs should be included.

-   Provide real evidence of non-transportation benefits and impacts, if
    such benefits are part of the purpose and need of the project.

*Overall, the project sponsor must make the case (with quantitative
evidence) that the proposed New Starts project is better than other
alternatives considered to improve demonstrated problems in the
corridor.*

One useful approach to *Making the Case* for the project would be to
analyze the travel forecasts to determine how the project is meeting the
goals and specific market needs identified in a well-crafted problem
statement/purpose and need for the project, and to summarize the
benefits occurring to each market. Summit reports and maps can provide
some insight into this analysis. The document should further summarize
how the project meets, as quantitatively and substantively as possible,
other objectives identified in the problem statement/purpose and need.

There is no set format for the *Making the Case* document. The only
requirement is that it be responsive to the items listed above. Time and
attention should be paid to the analysis rather than on an elaborately
produced document (i.e. "glossy," with photographs). Because the focus
of the *Making the Case* document is to justify a New Starts project's
transportation (and, if backed by evidence, economic) benefits, a
discussion of local financial commitment, public involvement, project
schedule and milestones, and other attributes of proposed major capital
transit investments is not relevant.

Finally, [FTA notes that the *Making the Case* document is required of
all candidate New Starts projects, including those that are exempt from
the Section 5309(e) New Starts criteria.]{.underline} While sponsors of
exempt projects will not be expected to present the same level of
analysis necessary to justify the benefits of non-exempt New Starts, a
thoughtful summary, using available quantitative data, of how such
improvements meet local goals and objectives will enhance FTA's
understanding of these projects.

Project Maps

FTA includes maps for each of the proposed New Starts project in the
*Annual Report on New Starts*. FTA produces maps based on information
provided by the project sponsor. [All New Starts sponsors must submit
maps of their proposed projects]{.underline}. Sponsors are further
encouraged to submit electronic versions of these maps. To ensure
compatibility, maps should be created in a geographic information system
(GIS) program such as Map Info, Arc Info, Maptitude, or TransCAD. In
lieu of a GIS formatted map, a clearly legible "hardcopy" map of the
project may be submitted. To ensure consistency, maps must focus on the
proposed New Starts investment and its relation to other major
transportation facilities and major trip generators. Maps shall include
a legend, compass and scale. Hardcopy maps should be submitted on 8.5 by
11 inch paper and printed in black and white.

To the extent that they are available, sponsors are encouraged to
provide other simple graphic diagrams (not construction documents) of
their projects that help illustrate discrete segments of an alignment in
terms of relationship to grade and horizontal alignment \-- existing
track, new track, retrofitted track; single track, double track, shared
track; elevated, below-grade, on-grade; relationship to freight lines;
number and location of stations; and character of the built and natural
environment in which the project is situated. Accompanying these
diagrams, sponsors are further encouraged to provide a brief narrative
(one paragraph on each) describing major design or engineering
challenges; unresolved scope, interagency and political issues; methods
for complying with Americans with Disabilities Act; FRA and railroad
compliance provisions and agreements (where applicable); and real estate
acquisition issues.

[]{#__RefHeading___Toc102457335 .anchor}V.2 Travel Forecasts

The following summarizes the specific products of the travel forecasting
process that should be submitted to FTA in support of the project
sponsor's development of the New Starts project justification criteria.

Summit Software Reports and Maps

FTA has developed and made available an innovative software tool for
analyzing travel forecasting model results called Summit. One of the
features of this product is to facilitate the calculation and reporting
of the transportation system user benefit measure used in the
calculation of cost effectiveness and mobility improvements.
Implementing this measure will generally require some code changes to
regional travel forecasting models to ensure that the information needed
to calculate user benefits is saved as a model output. After completing
the model modifications described above, a set of files will be produced
by the regional travel forecasting model that can be read into the
Summit software. Summit will automatically perform the calculations
necessary to report the user benefit measure. Specifications for any
needed model code changes and detailed documentation on implementing
Summit is available from the FTA Office of Planning and Environment.

Project sponsors must submit to FTA, in advance of the formal New Starts
project justification criteria, a series of reports and maps produced by
the Summit software using data obtained from the project sponsor's
travel forecasting model. This information provides both local project
stakeholders and FTA with insight into the reasonability of the
ridership forecasts and the transportation system user benefits
calculations[. **FTA requests that the following materials be provided
both ELECTRONICALLY and in HARDCOPY:**]{.underline}

-   All files produced by Summit including:

    -   Report Files (".rpt" file extension)

        -   The summary "roll-up" report file that sums across all trip
            purposes coded in the project sponsor's travel forecasting
            model.

        -   The purpose level report files produced by Summit for each
            trip purpose represented in the project sponsor's travel
            forecasting model (i.e. home based work, home based other,
            non-home based, etc.) If the project sponsor's travel
            forecasting model includes multiple stratifications for each
            trip purpose (i.e. by time of day or income level), please
            include not only the individual stratification files but
            also a summary report file for the trip purpose that sums by
            time of day and socioeconomic class.

    -   Trip Length Frequency Files (".tlf" file extension) - For each
        trip purpose, there should be one corresponding ".tlf" file.

    -   Row and Column Sum Files (".rcu" and ".rcs" file extensions) -
        All report files with the ".rcu" and ".rcs" file extensions.

-   A PDF file containing a map showing the district boundaries and the
    name and/or number for each district. This map should include on it
    the alignment and station locations of the New Starts project.

-   PDF files containing thematic maps that display the user benefit
    results based on travel analysis zone (TAZ) geography. Please ensure
    that the maps include the New Starts project alignment and station
    locations, district boundaries, and legends. This requested
    information includes:

    -   Two thematic maps for each trip purpose should be provided, one
        showing user benefits for trips produced in the zones/districts
        (row sums) and one showing user benefits for trips attracted to
        the zones/districts (column sums).

        -   Zones with positive user benefits should be shown on the
            maps as one of three colors (represented as various shades
            of green) \-- significant benefits in dark green
            (representing the top 40 percent of zones with positive user
            benefits), medium benefits in medium green (representing the
            next 30 percent of zones with positive user benefits), and
            small but non-trivial benefits in light green (representing
            the next 10 percent of zones with positive user benefits).
            All remaining zones with positive user benefits would be
            shown in white. These are considered marginal or negligible
            benefits.

        -   Likewise, zones with negative user benefits should be shown
            as one of three colors (represented as various shades of
            red) \-- significant disbenefits in dark red, medium
            disbenefits in medium red, and small but non-trivial
            disbenefits in light red. Zones with negligible or trivial
            disbenefits should be shown in white. The breakpoints for
            the negative user benefits categories should be established
            based on the corresponding breakpoints for each category of
            positive user benefits. In other words, if 1,000 hours of
            user benefits represents the 30 percent positive threshold
            for the medium gain category for positive benefits, that
            same 1,000 hour threshold will serve as the breakpoint for
            the medium loss category \-- with the exception that the
            sign will be reversed (from positive to negative).  

        -   Please ensure that the thematic maps include a legend that
            defines the thresholds for each range (in terms of the
            number of hours of benefits/disbenefits).

    -   Two thematic maps showing results summed across all trip
        purposes, one showing user benefits produced in the
        zones/districts and one showing user benefits for trips
        attracted to the zones/districts.

-   The data input files to Summit created by the project sponsor's
    travel forecasting model.

## UBQC Worksheet

To assist project sponsors in the review of travel forecasts, FTA has
added the *User Benefits Quality Control* (*UBQC) Worksheet* to the set
of templates that accompany and support the reporting of New Starts
project justification criteria. The *UBQC Worksheet* summarizes
information from the travel forecasts in terms of a number of aggregate
measures that FTA has traditionally used as a first screen of the
reliability of forecast results, including trip purpose distribution,
the number of user benefits per various units of measurement,
coverage-related differences between the New Start and Baseline
alternatives, and other indicators of the reliability of New Starts
travel forecasts. The *UBQC Worksheet* is further intended to serve as a
consistency check between travel forecasting results as reported by
Summit and the information contained in the templates used to report the
New Starts project justification criteria. Completion of the *UBQC
Worksheet* is intended to complement other analyses performed by New
Starts sponsors to ensure the reliability of project travel forecasts.
Submission of the *UBQC Worksheet* to FTA further expedites the review
and acceptance of the travel forecasts that underlie the development of
the New Starts project justification criteria.

The *UBQC Worksheet* is provided as Figure 6 on the following page.
Completion of the *UBQC Worksheet* is straightforward. Figure 7 on pages
32-36 provides an example of the summary output for an example Summit
trip purpose report, and identifies the table summary output to be
reported in the *UBQC Worksheet*. If the project sponsor's travel
forecasting model includes multiple stratifications for each trip
purpose (i.e. by time of day or income level), these stratifications
should be summarized into single entries for each trip purpose on the
*UBQC worksheet*. The *UBQC Worksheet* should accompany the Summit
reports submitted to FTA in advance of the formal New Starts criteria,
although FTA recognizes that not all information requested (for example,
information requested from Template 12) may be available at the time of
this earlier submittal. The FTA Office of Planning and Environment
should be contacted with any questions regarding the completion, review,
and submission of the *UBQC Worksheet*.

  -------------------- ---------------- --------- --------- --------- ----------- ----------- ----------- -------------- -------------
  **Item**             **Source**       **HBW**   **HBO**   **NHB**   **Purpose   **Purpose   **Purpose   **TOTAL        **TOTAL (from
                                                                      1**         2**         3**         (Computed)**   template)**

  Transit Trips, TSM   \[Table 30       ** **     ** **     ** **     ** **       ** **       ** **                      ** **
  Alternative          results\]                                                                                         

  Transit trips, Build \[Table 40       ** **     ** **     ** **     ** **       ** **       ** **                      ** **
  Alt                  results\]                                                                                         

  Person trips, Build  \[Table 20       ** **     ** **     ** **     ** **       ** **       ** **                      ** **
  Alt                  results\]                                                                                         

  UB hours (daily)     \[Table 70       ** **     ** **     ** **     ** **       ** **       ** **                      ** **
                       results/60\]                                                                                      

  \"Off diagonal\" UB  \[(Tables        ** **     ** **     ** **     ** **       ** **       ** **                      ** **
  hours                44+47+48)/60\]                                                                                    

  Total Change in UB   \[beneath Table  ** **     ** **     ** **     ** **       ** **       ** **                      ** **
  capped prices        80 \-- divide by                                                                                  
                       60\]                                                                                              

  UB hours special     \[from Template  ** **     ** **     ** **     ** **       ** **       ** **                      ** **
  markets              9\]                                                                                               

  Annual new riders    \[from Template  ** **     ** **     ** **     ** **       ** **       ** **                      ** **
                       1 or 10\]                                                                                         

  Annualization factor \[from Template  ** **     ** **     ** **     ** **       ** **       ** **       ** **          ** **
  (days)               9\]                                                                                               

  New trips (from      \[calculated\]                                                                     ** **           
  Summit reports)                                                                                                        

  New trips (from NS   \[reported\]                                                                       ** **           
  template 1)                                                                                                            

  Project boardings    \[from Template                                                        ** **                      ** **
  (avg. weekday)       1\]                                                                                               

  Station-area emp     \[from Template                                                                                   ** **
  (1/2 mi) -- 2025     12\]                                                                                              

  Station-area pop     \[from Template                                                                                   ** **
  (1/2 mi) 2025        12\]                                                                                              

  Corridor length      \[from Template                                                                                   ** **
  (miles)              12\]                                                                                              

  **Purpose-specific                                                                                                      
  calculations**                                                                                                         

  Allocation of total                                                                                                     
  transit trips by                                                                                                       
  Trip Purpose                                                                                                           

  User benefit minutes                                                                                                    
  per systemwide                                                                                                         
  transit trip                                                                                                           

  Share of user                                                                                                           
  Benefit Hours by                                                                                                       
  purpose                                                                                                                

  Share (transit                                                                                                          
  person trips) -                                                                                                        
  Share (ub hours)                                                                                                       

  \% of benefits that                                                                                                     
  are coverage related                                                                                                   

  \% of benefits                                                                                                          
  capped prices                                                                                                          

  \% of benefits that                                                                                                     
  are off-model                                                                                                          

  **Aggregate                                                                                                             
  calculations**                                                                                                         

  Percent \"New\"                                                                                                         
  Trips                                                                                                                  

  User Benefits                                                                                                           
  (minutes) per                                                                                                          
  project boarding                                                                                                       
  \[includes capped                                                                                                      
  prices\]                                                                                                               

  User Benefits                                                                                                           
  (minutes) per                                                                                                          
  project boarding                                                                                                       
  \[without capped                                                                                                       
  prices\]                                                                                                               

  UB (minutes) per                                                                                                        
  station area                                                                                                           
  employee                                                                                                               

  UB (minutes) per                                                                                                        
  station area                                                                                                           
  resident                                                                                                               

  Station area emp.                                                                                                       
  per transit boarding                                                                                                   

  Station area res.                                                                                                       
  per transit boarding                                                                                                   
  -------------------- ---------------- --------- --------- --------- ----------- ----------- ----------- -------------- -------------

Figure 6: User Benefits Quality Control Worksheet

program summit (Version 0.992; 08/15/03; FTA)

07/07/04 10:34:13 program initiated

wrtctl 601 (i) settings from the control file

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fequiv = corrid3b.eqv

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&analysis

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\-- \-\-\-\-- \-\-- \-\-- \-\-\-\-\-\-- \-\-\-\-\-\-\-\-\--
\-\-\-\-\-\-\-\-\-- \-\-- \-\-\-\-\--

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2 3 7 0 1.000 -999999.00 999999.00 0 F

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prpqhead 6601 (i) pq header record for file1

number of zones : 1701

number of segments : 4

Civt for transit : -0.0220

Civt for auto : -0.0220

travel purpose : HBW_IN

time period : ALLDAY

name of alternative:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

prpqhead 6601 (i) pq header record for file2

number of zones : 1701

number of segments : 4

Civt for transit : -0.0220

Civt for auto : -0.0220

travel purpose : HBW_IN

time period : ALLDAY

name of alternative:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Summary of User Benefit Calculations

Table Contents Conditions Markets Total

\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\--
\-\-\-\-\-\-\-\-\-\-\-\-\-\--

1 trips all BASE CW-CW 746591 trips

2 trips all BASE CW-MD 0 trips

3 trips all BASE CW-NT 3459 trips

4 trips all BASE MD-CW 0 trips

5 trips all BASE MD-MD 0 trips

6 trips all BASE MD-NT 0 trips

7 trips all BASE NT-CW 7891 trips

8 trips all BASE NT-MD 0 trips

9 trips all BASE NT-NT 257914 trips

10 trips all BASE TOTAL 1015854 trips

11 trips all ALT CW-CW 746591 trips

12 trips all ALT CW-MD 0 trips

13 trips all ALT CW-NT 3459 trips

14 trips all ALT MD-CW 0 trips

15 trips all ALT MD-MD 0 trips

16 trips all ALT MD-NT 0 trips

17 trips all ALT NT-CW 7891 trips

18 trips all ALT NT-MD 0 trips

19 trips all ALT NT-NT 257914 trips

20 trips all ALT TOTAL 1015854 trips

21 trips trn BASE CW-CW 68177 trips

22 trips trn BASE CW-MD 0 trips

23 trips trn BASE CW-NT 67 trips

24 trips trn BASE MD-CW 0 trips

25 trips trn BASE MD-MD 0 trips

26 trips trn BASE MD-NT 0 trips

27 trips trn BASE NT-CW 0 trips

28 trips trn BASE NT-MD 0 trips

29 trips trn BASE NT-NT 0 trips

30 trips trn BASE TOTAL 68244 trips

31 trips trn ALT CW-CW 70560 trips

32 trips trn ALT CW-MD 0 trips

33 trips trn ALT CW-NT 0 trips

34 trips trn ALT MD-CW 0 trips

35 trips trn ALT MD-MD 0 trips

36 trips trn ALT MD-NT 0 trips

37 trips trn ALT NT-CW 39 trips

38 trips trn ALT NT-MD 0 trips

39 trips trn ALT NT-NT 0 trips

40 trips trn ALT TOTAL 70600 trips

41 userbens total CW-CW 154298 minutes

42 userbens total CW-MD 0 minutes

43 userbens total CW-NT -4350 minutes

44 userbens total MD-CW 0 minutes

45 userbens total MD-MD 0 minutes

46 userbens total MD-NT 0 minutes

47 userbens total NT-CW 2267 minutes

48 userbens total NT-MD 0 minutes

49 userbens total NT-NT 0 minutes

50 userbens total TOTAL 152215 minutes

51 userbens auto CW-CW 0 minutes

52 userbens auto CW-MD 0 minutes

53 userbens auto CW-NT 0 minutes

54 userbens auto MD-CW 0 minutes

55 userbens auto MD-MD 0 minutes

56 userbens auto MD-NT 0 minutes

57 userbens auto NT-CW 0 minutes

58 userbens auto NT-MD 0 minutes

59 userbens auto NT-NT 0 minutes

60 userbens auto TOTAL 0 minutes

61 userbens transit CW-CW 154298 minutes

62 userbens transit CW-MD 0 minutes

63 userbens transit CW-NT -4350 minutes

64 userbens transit MD-CW 0 minutes

65 userbens transit MD-MD 0 minutes

66 userbens transit MD-NT 0 minutes

67 userbens transit NT-CW 2267 minutes

68 userbens transit NT-MD 0 minutes

69 userbens transit NT-NT 0 minutes

70 userbens transit TOTAL 152215 minutes

71 userbens trip asym CW-CW 0 minutes

72 userbens trip asym CW-MD 0 minutes

73 userbens trip asym CW-NT 0 minutes

74 userbens trip asym MD-CW 0 minutes

75 userbens trip asym MD-MD 0 minutes

76 userbens trip asym MD-NT 0 minutes

77 userbens trip asym NT-CW 0 minutes

78 userbens trip asym NT-MD 0 minutes

79 userbens trip asym NT-NT 0 minutes

80 userbens trip asym TOTAL 0 minutes

person trips total BASE recrds 1015856 trips

person trips total ALT recrds 1015856 trips

person trips motorized BASE recrds 1015856 trips

person trips motorized ALT recrds 1015856 trips

transit trips CW BASE recrds 68244 trips

transit trips CW ALT recrds 70600 trips

transit trips MD BASE recrds 0 trips

transit trips MD ALT recrds 0 trips

transit trips total BASE recrds 68244 trips

transit trips total ALT recrds 70600 trips

total expenditure BASE 36761494 minutes

total expenditure ALT 36605528 minutes

user benefits (d expnd) BASE - ALT 155966 minutes

trips from data field 1 (1=total; 2=motorized)

Change in UBs from capped price changes (minutes)

Segment: Total 1 2 3 4

\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--

CW-CW -3751 -558 -743 -573 -1877

CW-MD 0 0 0 0 0

CW-NT 0 0 0 0 0

MD-CW 0 0 0 0 0

MD-MD 0 0 0 0 0

MD-NT 0 0 0 0 0

NT-CW 0 0 0 0 0

NT-MD 0 0 0 0 0

NT-NT 0 0 0 0 0

Totals -3751 -558 -743 -573 -1877

wrtfinal 6601 (i) pagination summary:

page height report width

\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\--

t 1 28 1 130

t 2 28 2 130

t 3 28 3 130

t 4 29 4 130

t 5 28 5 130

t 6 28 6 130

t 7 28 7 130

t 8 28 8 130

t 9 28 9 130

07/07/04 10:38:02 program ended

## Annualization Factor

The service annualization factor is used to convert estimates of average
weekday ridership and travel time benefits to an annual total.
Justification for the annualization factor used in the calculation of
project cost effectiveness should be provided to FTA in advance of the
formal submission of New Starts project justification criteria. The
annualization factor should be consistent with local experience, and in
most cases will be the same for both Build and Baseline alternatives. If
the annualization factor assumed for the New Starts project ridership is
different from the transit systemwide figure, justification for the
difference must be provided. An annualization factor over 300 must be
accompanied by documentation justifying its usage.

[]{#__RefHeading___Toc102457336 .anchor}V.3 O&M Costs

Systemwide operations and maintenance costs are an input to the
calculations of the cost effectiveness and operating efficiencies
criteria. The cost tables used for these cost computations, including
the productivity factors used for each cost line item, should be
submitted to FTA in advance of the formal submission of the New Starts
criteria.

[]{#__RefHeading___Toc102457337 .anchor}V.4 Capital Costs

The following summarizes the reporting format for New Starts project
capital costs and provides general guidelines for when project cost
estimates should be updated. Project capital cost estimates reported in
the Standard Cost Categories (SCC) format must be included as part of
the formal submission of materials to support FTA's rating and
evaluation of candidate New Starts projects.

**Standard Cost Categories**

FTA has implemented the SCC to establish a consistent format for the
reporting of the capital cost and schedule for New Starts projects.
Sponsors of New Starts projects are required to use the SCC in their
submission for New Starts evaluation. The Standard Cost Categories
enable FTA and project sponsors to track, evaluate, and control cost
changes over the life of the project. The SCC structure accommodates all
project elements within ten major cost categories.

The SCC worksheets and related guidance are located on FTA's website at

<http://www.fta.dot.gov/grant_programs/transportation_planning/major_investment/technical_guidance/10049_15878_ENG_HTML.htm>.

The SCC uses standard Excel software and files for ease of use. The
following worksheets are to be completed and submitted electronically
and in hard copy as part of the New Starts information submittal:

-   Main Worksheet for Build and Baseline

-   Inflation Worksheet

-   Project Schedule

-   Funding Sources by Cost Category

-   Funding Sources by Year

-   Annualized Cost for Build and Baseline

In the Annualized Cost worksheet for the New Starts Build and Baseline
alternatives, each project element has been assigned a specific useful
life in years. To match observed experience, many project elements have
been designated with a longer estimate of useful life than they had been
previously. This "correction" typically yields a lower annualized
capital cost and may result in a slight improvement of the cost
effectiveness of the proposed New Start.

As you complete the worksheets above please refer to two additional
worksheets at the web location above:

> **SCC Definitions**. These definitions broaden the meaning of the
> individual line items and further consistency of use by all parties.
> Contact the FTA Office of Planning and Environment if you have
> questions or would like to comment on the definitions.
>
> **TEAM Scopes and Activity Line Items (ALIs)**. When you apply for a
> grant in TEAM (*[any grant e.g. CMAQ, 5307, 5309, etc]{.underline}*)
> for your New Starts project, use the 14-Series Scopes and ALIs shown
> on this worksheet to input your grant budget. The 14-Series matches
> the SCC Categories.
>
> []{.mark}

**Capital Cost Updates**

A New Starts project's capital cost estimate should accurately reflect
the current scope and schedule of the project. An estimate should be
updated when it no longer accurately reflects the current scope and
schedule of the project. More specifically, it is FTA's expectation that
a project capital cost estimate should be updated when any one or a
combination of the following events occurs:

-   Scope changes

    -   Design and construction scope of work changes

        -   Horizontal or vertical alignment

        -   Number or type of stations

        -   Length of guideway

        -   Mode

        -   Quantity or material

        -   Substitution of material

        -   Value engineering changes

    -   The planning context changes

        -   Political, institutional, or project management changes
            impact project scope or schedule

    -   Project procurement conditions change, for example change in
        bidding climate, price of commodities, or contracting
        methodology

-   Schedule changes

    -   Schedule has slipped by six months, resulting in additional cost
        for labor, materials, and/or inflation; this could result from
        extended community input, project review, funding disapproval,
        labor disputes, etc.

    -   Looking to future phases, the schedule has been extended by
        months or years

    -   The project requests entry to a new phase or for funding

    -   A year has past since the cost estimate was developed

-   Costing changes

    -   The costing methodology has changed as a natural part of project
        development, for example, from a parametric estimate to a
        detailed labor and materials quantity take-off

    -   A funding source or financing method has changed causing
        modification of scope, schedule or cost

The cost estimate update should be accompanied by a brief explanatory
narrative describing any changes to cost estimates.

[]{#__RefHeading___Toc102457338 .anchor}VI. Project Justification
Criteria

The following summarizes the information necessary to support each of
the project justification criteria first presented in Section II.1
*Project Justification Criteria*. Templates for reporting the criteria
are available on FTA's website for *New Starts Project Planning and
Development*. Any questions regarding these criteria, their associated
measures, and/or the calculation of the measures should be directed to
the FTA Office of Planning and Environment.

[]{#__RefHeading___Toc102457339 .anchor}VI.1 Mobility Improvements

Three measures are applied to estimate mobility improvements: (1)
normalized travel time savings, as measured by transportation system
user benefits per passenger mile on the New Starts project; (2) number
of low income households served; and (3) employment near stations. Each
of these measures is rated according to the New Starts criteria and
combined into a general *Mobility Improvements* rating.

Normalized Travel Time Savings (Transportation System User Benefits per

Passenger Mile)

Total annual travel time savings will be calculated using the methods
developed to estimate transportation system user benefits. The user
benefit calculation expressed in time equivalent units (minutes) will
serve as the travel time savings estimate in the mobility measure. The
calculation of transportation system user benefits produces a measure of
traveler utility for all users of the transit system, which can be
expressed in terms of travel time savings. This measure is then
normalized by dividing the annual travel time savings by the annual
passenger miles traveled on the proposed New Starts project. This
information is reported in Template 3.

Low Income Households Served

This measure is defined as the estimated number of low-income households
served by the Section 5309 New Starts investment. This mobility
improvement measure is reported as the estimated number of low-income
households (defined as households below the poverty level) located
within ½ mile of boarding points (transit stations) on the proposed New
Starts project. Low-income households are reported as an absolute number
in the current reporting year, and no comparisons are made to the New
Starts Baseline. FTA requests that local agencies also report the total
number of households within ½ mile of boarding points. This information
is reported on Template 4.

Employment Near Stations

FTA also requires the reporting of the number of jobs within ½ mile of
the New Starts project's proposed transit stations. The calculation of
this measure is approximately the same as the low-income household
measure, but using employment estimates by traffic analysis zones
developed for use in the travel forecasting model. Employment is
reported as an absolute number in the current reporting year, and no
comparisons are made to the New Starts Baseline alternative. This
information is reported on Template 5.

# Template 3 

Transportation System User Benefits per Passenger Mile

  ---------- -------------------- ------------- ---------------------------------
  **Line**   **Variable**         **Value**     **Source/Calculation**

  **1**      Weekday                            Source: Output from Summit
             Transportation                     software for change in User
             System User Benefits               Expenditures between the New
             (User Expenditure                  Starts Baseline and Build
             Savings in Hours),                 alternatives.
             New Starts Baseline                
             vs. Build                          
             alternative                        

  **2**      Annualization Factor               Source: Value that converts daily
                                                estimates to annual estimates.

  **3**      Total Annual User                  Calculation: Multiply change in
             Benefits (in hours)                weekday User Expenditures in
                                                Hours (Line 1) by annualization
                                                factor (Line 2).

  **4**      Total Annual User                  Calculation: Multiply Total
             Benefits (in                       Annual User Benefits (Line 3) by
             minutes)                           60

  **5**      Annual Passenger                   Source: Forecast Project
             Miles (weekday                     Passenger Miles from Regional
             passenger miles on                 Travel forecasting Model
             the New Start                      
             investment                         
             multiplied by the                  
             factor used in line                
             2)                                 

  **6**      Total Transportation               Calculation: Divide Total Annual
             System User Benefits               Transportation System User
             per Passenger Mile                 Benefits (Line 4) by Annual
             (in minutes)                       Passenger Miles (Line 5)
  ---------- -------------------- ------------- ---------------------------------

**Instructions for Completing Template 3**

**Transportation System User Benefits per Passenger Mile**

**[Key Assumptions and Data Sources]{.underline}**

-   The forecast year is 2030.

-   The study area consists of the region modeled for travel forecasting
    purposes.

-   Travel time savings are calculated by subtracting the transportation
    system user expenditures in hours in the New Starts Baseline
    alternative from the New Starts Build alternative.

-   Transportation system user benefits (expenditure savings in hours)
    are produced by the Summit software program using files created by
    the local travel forecasting model used to forecast ridership for
    the New Starts Baseline and Build alternatives.

-   Forecast passenger miles traveled on the New Starts Build
    alternative are generated from a combination of sources including
    the regional travel forecasting model and the local agencies\'
    ongoing operations and service planning databases.

-   Travel time savings reported in this measure for the New Starts
    Build alternative should only reflect savings as a direct result of
    the Section 5309 New Starts fixed guideway and related transit
    investments included in the Build alternative. Travel time savings
    that would result from HOV or other roadway improvements that may be
    included in the full Build alternative or multi-modal investment
    strategy but not proposed for Section 5309 New Starts funds should
    not be reported in this measure.

**[Calculation and Reporting Methods]{.underline}**

-   **Step 1:** Run modified travel forecasting model for the New Starts
    Baseline and Build alternatives. The modified travel forecasting
    model will automatically launch Summit, which uses the trip tables
    and generalized cost files produced by the travel forecasting model
    to estimate user benefits of the New Starts Build alternative
    relative to the New Starts Baseline alternative.

-   **Step 2:** Locate the Summit report file and report calculations
    for change in user expenditures in equivalent hours between the New
    Starts Baseline and New Starts Build alternatives. All project
    sponsors must also submit an electronic copy of the Summit report
    files created for the user benefit analysis.

-   **Step 3**: Report annualization factor in the template and
    calculate the annual savings in user expenditures in travel time
    equivalent units (hours). Annualization factors convert weekday
    estimates to annual estimates.

-   **Step 4**: Multiply the average weekday user benefits by the
    annualization factor to calculate the total annual transportation
    system user benefits for the proposed New Starts project and enter
    this number in Line 3. Multiply Line 3 by 60 to convert the unit
    measurement of user benefits to minutes and enter this number in
    Line 4.

-   **Step 5**: Calculate the forecast annual passenger miles (weekday
    miles multiplied by the annualization factor reported on Line 2)
    traveled on the New Starts investment in the 20-year forecast
    directly from the regional travel forecasting model and enter this
    number on Line 5.

-   **Step 6**: Divide total annual user benefits in minutes by total
    annual passenger miles traveled on the New Start project to
    calculate the transportation system user benefits per passenger mile
    measure.

**[Quality Control Checks -- Template 3]{.underline}**

-   Use an annualization factor that reflects the current factor
    necessary to convert weekday ridership into annual ridership.

-   Total annual user benefits reported on Template 3 should match what
    is shown in the Summit summary report file.

-   Note that this calculation requires forecast passenger miles
    traveled specifically on the New Starts project, not systemwide
    passenger miles used in the calculation of the operating
    efficiencies measure.

-   Provide FTA with an explanation for any changes in the data
    submitted since last year.

**Template 4**

# Low Income Households

  -------------- -------------- ------------ ------------- ------------- -----------
  Census Tract   Number of      Number of    Fraction of   Number of     Number of
                 Total          Low-Income   Tract within  Total HH\'s   Low-Inc.
                 Households     Households   1/2 mi. of    within 1/2    HH\'s
                                             New Starts    Mile of       within 1/2
                                             Project       Boarding      Mile of
                                             Boarding      Points        Boarding
                                             Points                      Points

  For each                                                               
  station on New                                                         
  Starts Project                                                         

  **Station 1**                                                           

                                                                         

                                                                         

                                                                         

                                                                         

  **Subtotal**                                                           

                                                                         

  **Station 2**                                                          

                                                                         

                                                                         

                                                                         

  **Subtotal**                                                           

                                                                         

  **Station 3,                                                           
  etc.**                                                                 

                                                                         

                                                                         

                                                                         

                                                                         

  **Subtotal**                                                           

                                                                          

  **Total for                                                            
  All Boarding                                                           
  Points**                                                               
  -------------- -------------- ------------ ------------- ------------- -----------

## Instructions For Completing Template 4

## Low Income Households

**[Key Assumptions and Data Sources]{.underline}**

-   Low-income households reported in this measure are defined by the
    U.S. Census of Population to include households with "income below
    the poverty level.\"

-   Data reported are to reflect the most recent information available
    through the U.S. Census. Data are not to be reported for the
    forecast year nor should they reflect any analyses of projected
    conditions.

-   Local agencies may have different data sources and
    analysis/reporting tools available to estimate this measure. The use
    of geographic information system (GIS) tools should greatly assist
    in this estimation. Locally applied travel forecasting models and
    land use models may include data on household income that could be
    analyzed and reported to estimate this measure. If these data are
    not readily available, the U.S. Census population data at the tract
    and/or block level should be applied directly.

-   Avoid double counting of households for stations that are less than
    1 mile apart. This can be done in two ways: (a) draw a line dividing
    the area enclosed by the overlapping circles into two parts; or, (b)
    group stations that are less than 1 mile apart into clusters and
    report total data for each cluster. Specify which method is used.

**[Calculation and Reporting Method]{.underline}**

-   **Step 1:** Identify an analysis zone of 1/2 mile radius around the
    New Starts project's boarding points, defined as the transit
    stations located directly on the New Starts transit facility.

-   **Step 2:** Applying the best available local data sources and
    analytical tools, estimate the number of low-income households and
    total number of households within the 1/2 mile radius analysis zones
    identified in Step 1. If available, GIS and other analytical tools
    will assist local agencies in estimating this measure. If such tools
    are not available, and for instances where a census tract or block
    is only partially located within a designated 1/2 mile radius zone,
    households within the zone should be factored based on the estimated
    percentage of the tract or block within the analysis zone.

-   **Step 3:** Additional documentation and background information
    including maps illustrating the transit system, the New Starts
    boarding points, and Census tracts should be assembled and attached.

**[Quality Control Checks -- Template 4]{.underline}**

-   The number of stations included on Template 4 should equal the
    number of stations reported in Template 1 (Project Description
    Template).

**Template 5**

Employment Worksheet

+-------------------+--------------+-----------------+----------------+
| Traffic Analysis  | Base Year    | Fraction of TAZ | Number of      |
| Zone (TAZ)        |              | within 1/2 mi.  | Total Jobs     |
|                   | Total        | of New Starts   | within 1/2     |
|                   | Employment   | Project's       | Mile of        |
|                   |              | Boarding Points | Boarding       |
|                   | in TAZ       |                 | Points         |
+-------------------+--------------+-----------------+----------------+
| **For each        |              |                 |                |
| station on New    |              |                 |                |
| Starts Project**  |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| Station 1         |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| **Subtotal**      |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| **Station 2**     |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| **Subtotal**      |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| **Station 3,      |              |                 |                |
| etc.**            |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| **Subtotal**      |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+
| **Total for All   |              |                 |                |
| Boarding Points** |              |                 |                |
+-------------------+--------------+-----------------+----------------+
|   --------------  |   ---------  |                 |   -----------  |
|                   |              |                 |                |
|   --------------  |   ---------  |                 |   -----------  |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |   -----------  |
|                   |              |                 |                |
|                   |              |                 |   -----------  |
+-------------------+--------------+-----------------+----------------+
|                   |              |                 |                |
+-------------------+--------------+-----------------+----------------+

## Instructions for Completing Template 5

**Employment Worksheet**

**[Key Assumptions and Data Sources]{.underline}**

-   Employment data that are linked to a geographic area are generally
    difficult to collect. Census data usually provides the population
    estimates for each traffic analysis zone (TAZ), but employment
    tables must be pieced together from a variety of sources such as
    State Employment Commissions, market research listings, locally
    developed employment data, aerial photography and other methods. An
    estimate of employment is included in the TAZ information file used
    to generate regional travel forecasting estimates. The employment
    data used to forecast ridership may be the primary source for
    developing the employment measure.

-   Local agencies may have different data sources and
    analysis/reporting tools available to estimate this measure. The use
    of geographic information system (GIS) tools linked to the regional
    travel forecasting model's TAZ structure will greatly simplify the
    reporting of this measure.

-   Avoid double counting of employment for stations that are less than
    1 mile apart. This can be done in two ways: (a) draw a line dividing
    the area enclosed by the overlapping circles into two parts; or, (b)
    group stations that are less than 1 mile apart into clusters and
    report total data for each cluster.

**[Calculation and Reporting Method]{.underline}**

-   **Step 1:** Identify an analysis zone of 1/2 mile radius around the
    New Starts project's boarding points, defined as the transit
    stations located directly on the New Starts transit facility.

-   **Step 2:** Applying the best available local data sources and
    analytical tools, estimate the number of jobs within the 1/2 mile
    radius analysis zones identified in Step 1. If available, GIS and
    other analytical tools will assist local agencies in estimating this
    measure. If such tools are not available, and for instances where a
    TAZ is only partially located within a designated 1/2 mile radius
    zone, jobs within the zone should be factored based on the estimated
    percentage of the tract or block within the analysis zone.

-   **Step 3:** Additional documentation and background information
    including maps illustrating the transit system, the New Starts
    project's boarding points, and traffic analysis zones should be
    assembled and attached.

**[Quality Control Checks -- Template 5]{.underline}**

-   The number of stations included on Template 5 should equal the
    number of stations reported in Template 1 (Project Description
    Template).

-   Station area employment should equal the base year station area
    employment reported on Template 12 (Quantitative Land Use
    Information Worksheet).

-   Total station area employment should generally be less than the
    employment reported for the central business district on Template 12
    (Quantitative Land Use Information Worksheet).

[]{#__RefHeading___Toc102457340 .anchor}VI.2 Environmental Benefits

Three measures are applied to estimate environmental benefits: (1)
Change in criteria pollutant and precursor emissions and greenhouse gas
emissions; (2) Change in regional energy consumption in the forecast
year; and (3) Current regional air quality designation by the
Environmental Protection Agency (EPA)**.**

### 

Change in Criteria Pollutant/Precursor Emissions, Greenhouse Gas
Emissions

Change in criteria pollutant and precursor emissions is expressed as the
annual number of tons of emissions forecast for the region, comparing
conditions under the Section 5309 New Starts investment to the New
Starts Baseline alternative. Criteria pollutant and precursor emissions
measured include carbon monoxide (CO), particulate matter (PM~10~),
nitrogen oxides (NO~x~), and volatile organic compounds (VOC), the
latter two being precursors of ozone. The greenhouse gas emission
measured is carbon dioxide (CO~2~). This information is reported in
Template 6.

Change in Regional Energy Consumption

Change in regional energy consumption in the forecast year is measured
in British Thermal Units (BTUs), comparing the New Starts project to the
New Starts Baseline alternative. This measure reflects the net impact on
energy savings as a result of changes in automobile and commercial
travel in the region, offset in part by the energy requirements for
operation of the proposed transit investment. Note that this measure
reports BTU consumption for transportation operations (transit, auto,
and commercial) only, and does not consider energy consumed for
construction, equipment manufacturing, and heavy maintenance activities.
FTA calculates this measure based on VMT estimates from the regional
travel forecasting model and standard energy consumption rates for
available fuel types as reported in the *Transportation Energy Data
Book, Edition 16,* Oak Ridge National Laboratory. This information is
reported in Template 6.

Current EPA Regional Air Quality Designation

This measure is defined as the U.S. Environmental Protection Agency's
(EPA's) current air quality designation for the region, reflecting
current compliance with the National Ambient Air Quality Standards
(NAAQS). The measure simply reports the EPA designation for the region
in terms of attainment, non-attainment, or maintenance for
transportation-related pollutants including ozone, carbon monoxide,
particulate matter, and nitrogen oxides. Areas in non-attainment are
further classified in terms of "extreme,\" "severe,\" "serious,\"
"moderate,\" "marginal,\" or simply "non-attainment.\" Under the new EPA
8-hour and 1-hour Ozone rules, non-attainment areas are classified on
the severity of their ozone problem. Classified areas fall into five
categories: marginal, moderate, serious, severe, or extreme. Similarly,
in March 2006, EPA redesignated areas for the Fine Particle National Air
Quality Standards (PM 2.5) into attainment, non-attainment and
non-classifiable areas.

The EPA publishes a list in the "Green Book\" that designates each
area\'s current status relative to the attainment of the NAAQS. Project
sponsors must report the region's air quality designation from EPA's
most recently available information
(<http://www.epa.gov/air/oaqps/greenbk/>).

# Template 6: Environmental Benefits Worksheet

  ----------------- -------------- ----------- ------------ --------- --------- ----------- ------------ --------- --------- ----------- ----------- --------- --------- ----------- ------------ --------- --------- ----------- -------------------- -------------- --------------- ------------------
                    **Regional                 **Emission                                   **Annual                                                                                 **Change in                                  **Energy             **Change in    **CO2           **Change in CO2
                    VMT/year                   Factor                                       Emissions                                                                                Emissions                                    Consumption**        BTU/ year      Consumption**   Emissions/year**
                    (millions)**               (g/mi)**                                     (tons)**                                                                                 (tons per                                                         (millions)**                   
                                                                                                                                                                                     year)**                                                                                          

                    **New Starts   **New                                                    **New Starts                                 **New                                       **Project                                    **(BTU/Veh-mile)**   **New Starts   **(Tons CO2/    **New Starts
                    Baseline**     Starts                                                   Baseline**                                   Starts                                      vs.                                                               Project vs.    Million BTU)**  Project vs. New
                                   Project**                                                                                             Project**                                   Baseline**                                                        New Starts                     Starts Baseline**
                                                                                                                                                                                                                                                       Baseline**                     

  **Vehicle Class**                            **CO**       **Nox**   **VOC**   **PM-10**   **CO**       **NOx**   **VOC**   **PM-10**   **CO**      **NOx**   **VOC**   **PM-10**   **CO**       **NOx**   **VOC**   **PM-10**                                                       

  **Passenger Veh.                                                                                                                                                                                                                6233                                0.0765           
  (LDV/LDT)**                                                                                                                                                                                                                                                                         

  **Heavy-Duty                                                                                                                                                                                                                    22046                               0.0788           
  Vehicle**                                                                                                                                                                                                                                                                           

  **Bus/Diesel**                                                                                                                                                                                                                  41655                               0.0788           

  **Bus/CNG**                                                                                                                                                                                                                     41655                               0.0585           

  **Bus/LPG**                                                                                                                                                                                                                     41655                               0.0678           

  **Bus/M85 or                                                                                                                                                                                                                    41655                               0.0765           
  E85**                                                                                                                                                                                                                                                                               

  **Bus Electric**                                                                                                                                                                                                                41655                               0.0665           

  **Light or Heavy                                                                                                                                                                                                                77739                               0.0665           
  Rail/Electric**                                                                                                                                                                                                                                                                     

  **Commuter Rail/                             18.2         70.5      3.9       2.5                                                                                                                                               95000                               0.0788           
  Diesel**                                                                                                                                                                                                                                                                            

  **Commuter                                                                                                                                                                                                                      95000                               0.0665           
  Rail/Electric**                                                                                                                                                                                                                                                                     

  **Total**                                                                                                                                                                                                                                                                            
  ----------------- -------------- ----------- ------------ --------- --------- ----------- ------------ --------- --------- ----------- ----------- --------- --------- ----------- ------------ --------- --------- ----------- -------------------- -------------- --------------- ------------------

**Instructions for Completing Template 6**

**Environmental Benefits Worksheet**

**[Key Assumptions and Data Sources]{.underline}**

-   The forecast year is 2030.

-   Vehicle miles traveled (VMT) data are estimated in the regional
    travel forecasting model and from bus and rail system operating
    plans.

-   The study area consists of the regional transportation network
    modeled for air quality and travel forecasting purposes.

-   Changes in VMT reported in this measure for the New Starts Build
    alternative should only reflect changes as a direct result of the
    Section 5309 New Starts fixed guideway and related transit
    investments in the Build alternative. Changes in VMT should not be
    reported in this measure for HOV or other improvements that may be
    included in the full definition of the Build alternative or
    multi-modal investment strategy, but not proposed for New Starts
    funds.

-   The [criteria pollutant and precursor emissions]{.underline}
    measured include CO, NO~x~, VOC, and PM~10~. Emissions data for
    criteria pollutants are typically produced as part of the air
    quality analysis conducted for alternative analyses and NEPA
    environmental analyses, linking outputs from the regional travel
    forecasting model with emission factors from accepted emission
    models (e.g., EPA\'s MOBILE model for estimating highway vehicle
    emission factors) to provide an overall estimate of emissions for
    the transportation network. Calculation and reporting procedures are
    outlined below.

-   Regional energy consumption in BTU's is based on estimated change in
    VMT discussed previously multiplied by standard energy consumption
    factors for each fuel type.

-   The greenhouse gas emissions are calculated from the BTU estimates
    developed for the energy consumption estimate and multiplied by
    standard tons CO2/million BTU conversion factors provided in the
    template.

-   FTA notes that alternative procedures to estimate emissions may be
    acceptable. Project sponsors wishing to pursue alternative
    procedures should submit their proposed methodology to FTA for
    review in advance of the formal submission of Template 6.

**[Calculation and Reporting Method]{.underline}**

-   **Step 1:** Millions of VMT in the region for the forecast year are
    estimated by vehicle classification for the New Starts Baseline and
    New Starts Build alternatives, using the regional travel forecasting
    model. The model applies average speed of travel on regional
    roadways based on locally observed conditions. These values are
    applied as inputs to accepted regional emissions estimation models
    (such as EPA\'s MOBILE and PART5 software) to generate emissions
    factors.

-   **Step 2:** Emission factors are applied to annual regional VMT by
    vehicle classification to estimate annual tons of CO, NO~x~, VOC,
    and PM~10~ for the New Starts Baseline and Build alternatives.
    Locomotive emissions factors for the diesel commuter rail vehicle
    classification are provided in the template. Millions of VMT are
    converted to VMT by multiplying by 1,000,000. Total VMT is then
    multiplied by the emissions factor and divided by 909,000 to convert
    units from grams to tons. The results of these calculations in tons
    are summed across all vehicle classifications and reported as totals
    for the New Starts Baseline and Build alternatives.

-   **Step 3**: The differences in the total annual tons of emissions
    are calculated and reported for CO, NO~x~, VOC, and PM~10~,
    comparing the New Starts Build alternative to the New Starts
    Baseline alternative.

-   **Step 4**: Factors and procedures for estimating BTU consumption by
    vehicle/fuel type for the forecast year are presented in Template 6.
    In these procedures, passenger vehicles (autos and light duty
    trucks) are assumed as gasoline powered, and various fuel types of
    transit vehicles are considered, including diesel, compressed
    natural gas (CNG), and electricity. Until better data becomes
    available, assume diesel bus BTU efficiency factors for alternative
    fuel buses.

-   **Step 5:** Change in annual BTU consumption, comparing the New
    Starts Build alternative to the New Starts Baseline alternative, is
    calculated by multiplying the change in VMT by the energy
    consumption factor to derive change in regional energy consumption
    in millions of BTU's.

-   **Step 6:** Change in emissions of greenhouse gasses (CO~2~) are
    calculated by multiplying the change in annual energy consumption in
    millions of BTU's by the CO~2~ emissions conversion factors (tons
    CO~2~/million BTU).

**[Quality Control Checks -- Template 6]{.underline}**

-   Emissions should be calculated for each mode in the Region,
    regardless of the mode under consideration by the project sponsor.

-   Non attainment status should be reported based on EPA's latest
    designations (<http://www.epa.gov/air/oaqps/greenbk/>).

[]{#__RefHeading___Toc102457341 .anchor}VI.3 Operating Efficiencies

The only measure for the operating efficiencies criterion is the change
in system-wide operating cost per passenger mile in the forecast year,
comparing the Section 5309 New Starts Build alternative to the New
Starts Baseline alternative. This measure, expressed in constant 2006
dollars, reports the operating cost per passenger mile for the entire
regional transit system. FTA requires that this measure also be reported
by transit mode (e.g., rail, bus) if applicable and available.

# Template 7

**Operating Efficiencies - Change in Operating Cost per Passenger Mile**

  ---------- ----------------- ----------------- --------- ------------ ----------------------------
  ** **      ** **             **Alternative**                          

  **Line**   **Factor**        **New Starts      **New     **New Starts **Source/Calculation**
                               Baseline**        Starts    Build vs.    
                                                 Build**   Baseline**   

  **1**      System Annual     \$                \$                     [Source]{.underline}:
             Operating Cost                                             Transit system operating
             (constant 2006                                             costs, current and projected
             millions of                                                
             dollars)                                                   

  **2**      System Annual                                              [Source]{.underline}:
             Passenger-Miles                                            Forecast system
             (millions)                                                 passenger-miles from
                                                                        regional travel forecasting
                                                                        model or other ridership
                                                                        projection model

  **3**      Cost per          \$                \$        \$           [Calculation]{.underline}:
             Passenger-Mile                                             Annual Operating Cost /
             (\$/mi)                                                    Annual Passenger-Miles (Line
                                                                        1/ Line 2)
  ---------- ----------------- ----------------- --------- ------------ ----------------------------

**Instructions for Completing Template 7**

**Operating Efficiencies - Change in Operating Cost per Passenger Mile**

**[Key Assumptions and Data Sources]{.underline}**

-   The forecast year is 2030.

-   This measure reports operating cost per passenger mile reported to
    three decimal places, comparing the New Starts project to the New
    Starts Baseline alternative, for operation of the entire transit
    system. In addition, FTA requests that this measure also be reported
    by transit mode (e.g., rail, bus) if applicable.

-   System-wide, service area, and route level operating cost data (and
    factors) are typically available as part of ongoing operations
    planning. Forecast year estimates of operating costs for the New
    Starts Baseline and Build alternatives are included in the financial
    feasibility analyses completed as part of the New Starts planning
    and project development process.

-   System-wide, service area, and route level passenger miles data for
    the forecast year are available from a combination of sources
    including the regional travel forecasting model and the local
    agencies\' ongoing operations and service planning databases.

**[Calculation and Reporting Method]{.underline}**

-   **Step 1**: Applying the best available local data sources, report
    the forecast year annual operating cost and annual passenger miles
    for the New Starts Baseline and Build alternatives for the entire
    transit system, and by transit mode if applicable;

-   **Step 2:** Calculate operating cost per passenger mile in the
    forecast year for the New Starts Baseline and Build alternatives for
    the entire transit system and for each mode.

-   **Step 3:** Present additional documentation and background
    information as requested on the template.

**[Quality Control Checks -- Template 7]{.underline}**

-   The transit system annual operating cost should be equal to the
    operating costs reported on Template 9 (Cost Effectiveness Worksheet
    -- User Benefits).

-   Note that this calculation requires forecast systemwide passenger
    miles, not miles attributable only to the New Starts project, as
    used in the calculation of the normalized travel times savings
    measure reported on Template 3 (Transportation System User Benefits
    per Passenger Mile).

-   If there is a change of greater then 5 cents, an explanation must be
    provided. Typically, there should be only a very small change in the
    systemwide operating cost per passenger mile if calculated
    correctly.

[]{#__RefHeading___Toc102457342 .anchor}VI.4 Cost Effectiveness

Project sponsors are requested to submit two measures of cost
effectiveness. The first measure, which FTA uses in its evaluation of
candidate New Starts projects, is defined as incremental cost divided by
transportation system user benefits. The second measure is defined as
incremental cost per incremental passenger, and is reported for
informational purposes only.

Incremental Cost Divided by Transportation System User Benefits

The measure used by FTA in its evaluation of candidate New Starts
projects is the incremental project cost divided by its transportation
system user benefits. The inputs to calculate this measure are produced
as a matter of course in the development of travel forecasts for the
proposed project. Project sponsors should continue to submit the
previous incremental cost per incremental trip measure for informational
purposes.

The user benefit calculation expressed in time equivalent units (hours)
will serve as the denominator of the cost-effectiveness measure. The
numerator is annualized capital and operating costs, resulting in a cost
effectiveness measure of dollars per hour of transportation system user
benefits.

The specific SCC worksheets for the New Starts Build and New Starts
Baseline alternatives and Template 9 are included for reporting this
measure.

Incremental Cost per Incremental Passenger in Forecast Year

The second cost effectiveness measure is defined as the incremental cost
per incremental passenger in the forecast year. This measure, expressed
in constant base year (current year) dollars, is based on the annualized
total capital investment (Federal and local funds) and annual operating
costs divided by the forecast change in annual transit system ridership
measured in **LINKED** trips[^6], comparing the New Starts project to
the New Starts Baseline. The estimate for annualized cost is the same
for both cost effectiveness measures. Template 10 is included for
reporting this measure.

**Instructions for Completing SCC Annualized Cost Worksheets for Build
and Baseline Alternatives**

**[Key Assumptions and Data Sources]{.underline}**

-   Capital costs in constant or base year dollars are estimated for
    both the New Starts Build and New Starts Baseline alternatives
    during the New Starts planning and project development process.
    Capital costs are annualized for input to the calculation of cost
    effectiveness based on FTA's assumptions on the useful life of
    specific cost components and an established discount rate.

-   Where new feeder bus service is necessary to make the New Starts
    Build or New Starts Baseline alternatives viable, the cost for this
    feeder bus service should be included in the calculation of
    annualized cost. Note that the cost of this feeder bus service must
    be added to the annualized cost worksheet, as it is not included in
    the Main Worksheet and it is not an eligible cost under an FFGA.

-   The New Starts Build and New Starts Baseline Annualized Cost
    worksheets provide the project sponsor with the opportunity to claim
    12 to 18 years for the estimated useful life for buses. If the
    project sponsor claims a useful life longer than 12 years, the
    project sponsor must submit supporting documentation for the
    reasonability of such a claim.

**[Calculation and Reporting Method]{.underline}**

-   BUILD and BASELINE Annualized Cost worksheets are located within the
    Standard Cost Categories (SCC) workbook on FTA's website at
    <http://www.fta.dot.gov/grant_programs/transportation_planning/major_investment/technical_guidance/10049_15878_ENG_HTML.htm>.

-   For each line item within the SCC, a useful life in years is
    identified, allowing for a more accurate annualized capital cost
    total.

-   Base Year costs are automatically populated in the worksheet from
    the Main Worksheet, except for the costs for new feeder bus service
    where it is required to make the alternative viable. Where new
    feeder bus service is required, enter the quantity (or increase in
    quantity) of buses and the total base year cost for buses on this
    worksheet. Spread the Unallocated Contingency across the line items
    according to perceived risks. The annualized capital cost of the
    alternative will automatically calculate.

    ![](media/image3.wmf){width="6.488194444444445in"
    height="8.809722222222222in"}

**[Quality Control Checks]{.underline}**

-   The project sponsor must submit the Annualized Cost Worksheets for
    the New Starts Build and New Starts Baseline alternatives.

-   Cost parameters for the New Starts Baseline alternative have been
    added to the worksheet for reference. For additional information on
    these, see Section IV.1. *Key Policy and Planning Principles* above.

**Template 9**

**Cost Effectiveness --**

Incremental Cost per Hour of Transportation System User Benefits

+---+----------+-----+---+-----+------+-----+------+---------------------+
|   |          | **  | * |     | **Co | **  | **Co |                     |
|   |          | Col | * |     | lumn | Col | lumn |                     |
|   |          | umn | C |     | C**  | umn | E**  |                     |
|   |          | A** | o |     |      | D** |      |                     |
|   |          |     | l |     |      |     |      |                     |
|   |          |     | u |     |      |     |      |                     |
|   |          |     | m |     |      |     |      |                     |
|   |          |     | n |     |      |     |      |                     |
|   |          |     | B |     |      |     |      |                     |
|   |          |     | * |     |      |     |      |                     |
|   |          |     | * |     |      |     |      |                     |
+---+----------+-----+---+-----+------+-----+------+---------------------+
|   |          | **A |   |     | *    |     | *    |                     |
|   |          | lte |   |     | * ** |     | * ** |                     |
|   |          | rna |   |     |      |     |      |                     |
|   |          | tiv |   |     |      |     |      |                     |
|   |          | e** |   |     |      |     |      |                     |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | **Va     | **  |   | **  | **   | **  | **An | **S                 |
| * | riable** | New |   | New | Chan | Ann | nual | ource/Calculation** |
| L |          | Sta |   | Sta | ge** | ual | Tot  |                     |
| i |          | rts |   | rts |      | Fa  | al** |                     |
| n |          | B   |   | B   | **(B | cto |      |                     |
| e |          | ase |   | uil | uild | r** |      |                     |
| * |          | lin |   | d** | --   |     |      |                     |
| * |          | e** |   |     | Bas  |     |      |                     |
|   |          |     |   |     | elin |     |      |                     |
|   |          |     |   |     | e)** |     |      |                     |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | An       |     |   |     |      |     |      | Source: SCC         |
| * | nualized |     |   |     |      |     |      | Annualized Cost     |
| 1 | Capital  |     |   |     |      |     |      | Worksheets,         |
| * | Cost     |     |   |     |      |     |      | respectively for    |
| * | (        |     |   |     |      |     |      | the BUILD and       |
|   | Constant |     |   |     |      |     |      | BASELINE            |
|   | 2006     |     |   |     |      |     |      | alternatives        |
|   | millions |     |   |     |      |     |      | (Templates 8).      |
|   | of       |     |   |     |      |     |      |                     |
|   | dollars) |     |   |     |      |     |      |                     |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | Total    |     |   |     |      |     |      | Source: System-wide |
| * | Sy       |     |   |     |      |     |      | operating and       |
| 2 | stemwide |     |   |     |      |     |      | maintenance cost    |
| * | Annual   |     |   |     |      |     |      | estimates for the   |
| * | O        |     |   |     |      |     |      | New Starts Baseline |
|   | perating |     |   |     |      |     |      | and Build           |
|   | and      |     |   |     |      |     |      | alternatives        |
|   | Mai      |     |   |     |      |     |      | (attach             |
|   | ntenance |     |   |     |      |     |      | documentation).     |
|   | Cost     |     |   |     |      |     |      |                     |
|   | (        |     |   |     |      |     |      |                     |
|   | Constant |     |   |     |      |     |      |                     |
|   | 2006     |     |   |     |      |     |      |                     |
|   | millions |     |   |     |      |     |      |                     |
|   | of       |     |   |     |      |     |      |                     |
|   | dollars) |     |   |     |      |     |      |                     |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | Total    |     |   |     |      |     |      | Calculation Columns |
| * | An       |     |   |     |      |     |      | A and B: Sum of     |
| 3 | nualized |     |   |     |      |     |      | annualized capital  |
| * | Cost in  |     |   |     |      |     |      | costs (Line 1) and  |
| * | Forecast |     |   |     |      |     |      | annual O&M costs    |
|   | Year     |     |   |     |      |     |      | (Line 2).           |
|   | (        |     |   |     |      |     |      |                     |
|   | Constant |     |   |     |      |     |      | Calculation Column  |
|   | 2006     |     |   |     |      |     |      | C: Column B value   |
|   | millions |     |   |     |      |     |      | minus Column A      |
|   | of       |     |   |     |      |     |      | value.              |
|   | dollars) |     |   |     |      |     |      |                     |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | Weekday  |     |   |     |      |     |      | Source: Weekday     |
| * | User     |     |   |     |      |     |      | user expenditure    |
| 4 | Exp      |     |   |     |      |     |      | savings from SUMMIT |
| * | enditure |     |   |     |      |     |      | software.           |
| * | Savings  |     |   |     |      |     |      | Multiplying the     |
|   | (hours)  |     |   |     |      |     |      | weekday estimate    |
|   |          |     |   |     |      |     |      | (Column C) by the   |
|   |          |     |   |     |      |     |      | Annual factor       |
|   |          |     |   |     |      |     |      | (Column D) produces |
|   |          |     |   |     |      |     |      | the annual estimate |
|   |          |     |   |     |      |     |      | (Column E).         |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | User     |     |   |     |      |     |      | Source: If desired, |
| * | Benefits |     |   |     |      |     |      | calculate off-model |
| 5 | from     |     |   |     |      |     |      | user benefits.      |
| * | O        |     |   |     |      |     |      | Annual factor is    |
| * | ff-Model |     |   |     |      |     |      | based on number of  |
|   | Trips    |     |   |     |      |     |      | events for this     |
|   | (hours)  |     |   |     |      |     |      | special trip        |
|   |          |     |   |     |      |     |      | generator. Attach   |
|   |          |     |   |     |      |     |      | documentation.      |
|   |          |     |   |     |      |     |      | Multiplying the     |
|   |          |     |   |     |      |     |      | weekday estimate    |
|   |          |     |   |     |      |     |      | (Column C) by the   |
|   |          |     |   |     |      |     |      | Annual factor       |
|   |          |     |   |     |      |     |      | (Column D) produces |
|   |          |     |   |     |      |     |      | the annual estimate |
|   |          |     |   |     |      |     |      | (Column E).         |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | User     |     |   |     |      |     |      | Source: If desired, |
| * | Benefits |     |   |     |      |     |      | calculate off-model |
| 6 | from     |     |   |     |      |     |      | user benefits.      |
| * | O        |     |   |     |      |     |      | Annual factor is    |
| * | ff-Model |     |   |     |      |     |      | based on number of  |
|   | Trips    |     |   |     |      |     |      | events for this     |
|   | (hours)  |     |   |     |      |     |      | special trip        |
|   |          |     |   |     |      |     |      | generator. Attach   |
|   |          |     |   |     |      |     |      | documentation.      |
|   |          |     |   |     |      |     |      | Multiplying the     |
|   |          |     |   |     |      |     |      | weekday estimate    |
|   |          |     |   |     |      |     |      | (Column C) by the   |
|   |          |     |   |     |      |     |      | Annual factor       |
|   |          |     |   |     |      |     |      | (Column D) produces |
|   |          |     |   |     |      |     |      | the annual estimate |
|   |          |     |   |     |      |     |      | (Column E).         |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | User     |     |   |     |      |     |      | Source: If desired, |
| * | Benefits |     |   |     |      |     |      | calculate off-model |
| 7 | from     |     |   |     |      |     |      | user benefits.      |
| * | O        |     |   |     |      |     |      | Annual factor is    |
| * | ff-Model |     |   |     |      |     |      | based on number of  |
|   | Trips    |     |   |     |      |     |      | events for this     |
|   | (hours   |     |   |     |      |     |      | special trip        |
|   |          |     |   |     |      |     |      | generator. Attach   |
|   |          |     |   |     |      |     |      | documentation.      |
|   |          |     |   |     |      |     |      | Multiplying the     |
|   |          |     |   |     |      |     |      | weekday estimate    |
|   |          |     |   |     |      |     |      | (Column C) by the   |
|   |          |     |   |     |      |     |      | Annual factor       |
|   |          |     |   |     |      |     |      | (Column D) produces |
|   |          |     |   |     |      |     |      | the annual estimate |
|   |          |     |   |     |      |     |      | (Column E).         |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | Inc      |     |   |     |      |     |      | Calculation: Sum    |
| * | remental |     |   |     |      |     |      | annual user benefit |
| 8 | User     |     |   |     |      |     |      | estimates (sum      |
| * | Benefits |     |   |     |      |     |      | Lines 4 thru 7      |
| * | (hours)  |     |   |     |      |     |      | Column E)           |
+---+----------+-----+---+-----+------+-----+------+---------------------+
| * | Cost     |     |   |     |      |     |      | Calculation: Divide |
| * | -Effecti |     |   |     |      |     |      | Incremental         |
| 9 | veness - |     |   |     |      |     |      | Annualized Cost     |
| * | Inc      |     |   |     |      |     |      | (Line 3, Column C)  |
| * | remental |     |   |     |      |     |      | by Incremental User |
|   | Cost     |     |   |     |      |     |      | Benefits (Line 8,   |
|   | (\$) /   |     |   |     |      |     |      | Column E) for the   |
|   | User     |     |   |     |      |     |      | New Starts Build    |
|   | Benefits |     |   |     |      |     |      | vs. New Starts      |
|   | (hours)  |     |   |     |      |     |      | Baseline            |
|   |          |     |   |     |      |     |      | alternative.        |
+---+----------+-----+---+-----+------+-----+------+---------------------+

**Instructions for Completing Template 9**

**Cost Effectiveness -- Incremental Cost per Hour in Transportation
System User Benefits**

**[Key Assumptions and Data Sources]{.underline}**

-   The forecast year is 2030.

-   All of the data inputs applied in the calculation of this measure
    (capital and operating/ maintenance cost estimates, transit system
    ridership and user benefits forecasts) are developed as part of the
    New Starts planning and project development process. Size of fleet
    is determined from the 20-year systemwide ridership forecast. The
    latest available data should be applied in the calculation, and
    documentation of these inputs should be provided.

-   Capital costs in constant or base year dollars are estimated for
    both the New Starts Build and New Starts Baseline alternatives using
    the Standard Cost Categories during the New Starts planning and
    project development process, and reported as annualized costs. The
    New Starts Build and New Starts Baseline alternatives' annualized
    capital costs should reflect all costs above the systemwide
    expenditures assumed in the No-Build alternative (unless FTA has
    accepted the No-Build as the New Starts Baseline alternative).

-   Annual systemwide operating and maintenance costs in constant or
    base year dollars including the transit elements of the New Starts
    Build and New Starts Baseline alternatives are estimated. The latest
    available cost estimates, accurately reflecting the definition of
    alternatives, should be applied in the calculation.

-   The study area consists of the region modeled for travel forecasting
    purposes.

-   Transportation system user benefits in equivalent hours are
    calculated by subtracting the transportation system user
    expenditures in hours in the New Starts Build alternative from the
    New Starts Baseline alternative.

-   The calculation of transportation system user expenditures in hours
    is produced by the Summit software using files, produced by running
    the regional travel forecasting model, containing the generalized
    cost of each trip and associated trip tables for each market sector
    and mode for the New Starts Baseline and New Starts Build
    alternatives.

Transportation system user benefits reported in this measure for the New
Starts Build alternative should only reflect savings as a direct result
of the New Starts fixed guideway. User benefits that would result from
HOV or other roadway improvements that may be included in the full Build
alternative or multi-modal investment strategy but not proposed for
Section 5309 New Starts funds should not be reported in this measure.

**[Calculation and Reporting Method]{.underline}**

-   **Step 1:** Report the total annualized cost for both the New Starts
    Build and New Starts Baseline alternative from the respective SCC
    Worksheet.

-   **Step 2:** Applying the best available local data sources, report
    total annual operating and maintenance costs for the entire transit
    system under full operating conditions in the forecast year for both
    the New Starts Baseline and New Starts Build alternatives in
    constant 2005 dollars. Local agencies should attach documentation of
    the data inputs and factors applied in the estimation of annual
    operating and maintenance costs.

-   **Step 3:** The annualized capital costs (Step 1) are added to
    annual operating and maintenance costs (Step 2) to report the total
    annualized cost for both the New Starts Baseline and New Starts
    Build alternatives. The incremental cost for the New Starts project
    (compared to the New Starts Baseline) is calculated and reported by
    subtracting annualized total costs for the New Starts Baseline
    alternative from the annualized total costs for the New Starts
    investment.

-   **Step 4:** Run the modified travel forecasting model for the New
    Starts Baseline and New Starts Build alternatives to produce the
    files containing the generalized cost of making trips and the
    associated trip tables for each market sector and mode. These files
    are created and saved by the travel forecasting model. The Summit
    software will use the information in these files to estimate user
    benefits of the New Starts project relative to the New Starts
    Baseline.

-   **Step 5:** Locate the Summit report file and report calculations
    for change in user benefits (expenditure savings in equivalent
    hours) between the New Starts Baseline and New Starts Build
    alternatives. All project sponsors must submit the Summit report
    files created for the user benefit analysis to FTA in advance of the
    formal submission of Template 9.

-   **Step 6:** Report annualization factor in the template and
    calculate the annual savings in user expenditures in travel time
    equivalent units (hours). This value is called transportation system
    user benefits.

-   **Step 7:** If the project sponsor includes off-model trips in the
    ridership forecasts, the project sponsor may estimate user benefits
    associated with these trips, estimate the proper annualization
    factors, and enter the information into Template 9.[^7]

**[Quality Control Checks -- Template 9]{.underline}**

-   The transit system annual operating cost should equal the systemwide
    annual operating cost reported in Template 7 (Operating Efficiencies
    Template).

-   Justification must be provided when annual operating costs for the
    New Baseline alternative exceed the annual operating cost for the
    Build alternative.

-   Total annual ridership should equal the total forecast year annual
    transit system linked trips reported in Template 1 (Project
    Description Worksheet.).

-   Annual new riders (the difference in riders between the New Starts
    Build and New Starts Baseline alternatives) should equal the
    systemwide annual new riders shown on Template 1 (Project
    Description Worksheet).

-   It is unusual for the number of new riders attracted to a New Starts
    project to exceed 50 percent of annual project boardings. If this is
    the case, reasons for such a high level of new riders must be
    justified in the Making the Case document that supports the project.

-   Total annual ridership for the New Starts Build alternative, when
    divided by the annualization factor reported in Template 3
    (Transportation System User Benefits Per Passenger Mile), should be
    equal to the average weekday transit system linked trips reported in
    Template 1 (Project Description Worksheet).

-   The annualization factor must be the same as the factor used to
    calculate the normalized travel time savings measure under mobility
    benefits.

-   Weekday user expenditure hours reported on Template 9 (line 4)
    should equal the daily user benefits reported in the Summit summary
    report multiplied by the annualization factor.

-   Provide documentation for the method used to calculate any off-model
    user benefits (only if data is reported on lines 5, 6 or 7 of
    Template 9).

-   Provide an explanation for any significant differences in the
    cost-effectiveness of the project from last year.

**Template 10**

**Cost Effectiveness - Incremental Cost per Incremental Passenger**

  ---------- -------------------- ----------------- ----------- ------------ ----------------------------
                                  **Alternative**               ** **         

  **Line**   **Factor**           **New Starts      **New       **New Starts **Source/Calculation**
                                  Baseline**        Starts      Project vs.  
                                                    Project**   Baseline**   

  **1**      Total Annual                                                    Source: Regional travel
             Ridership in Linked                                             forecasting model (attach
             Trips (forecast                                                 documentation of factors to
             year)                                                           annualize daily ridership,
                                                                             if applicable)

  **2**      Incremental                                                     Source:\
             Annualized Cost                                                 Line 3 from Template 9.
             (constant 2006                                                  
             millions of dollars)                                            

  **3**      Incremental Annual                                              Calculation:\
             Ridership                                                       Subtract Total Annual
                                                                             Ridership (Line 1) for the
                                                                             New Starts Baseline from New
                                                                             Starts Build alternative

  **4**      Cost-Effectiveness                                              Calculation: Divide
             (Incremental Cost                                               Incremental Annualized Cost
             per New Rider)                                                  (Line 2) by Incremental
                                                                             Annual Ridership (Line 3)
  ---------- -------------------- ----------------- ----------- ------------ ----------------------------

**Instructions for Completing Template 10**

**Cost Effectiveness - Incremental Cost per Incremental Passenger**

**[Key Assumptions and Data Sources]{.underline}**

-   The forecast year is 2030.

-   All of the data inputs applied in the calculation of this measure
    (capital and operating/ maintenance cost estimates, transit system
    ridership and user benefits forecasts) are developed as part of the
    New Starts planning and project development process. Size of fleet
    is determined from the 20-year systemwide ridership forecast. The
    latest available data should be applied in the calculation, and
    documentation of these inputs should be provided.

-   Capital costs in constant or base year dollars are estimated for
    both the New Starts Build and New Starts Baseline alternatives
    during the New Starts planning and project development process, and
    are reported as annualized costs. The New Starts Build and New
    Starts Baseline alternatives' annualized capital costs should
    reflect all costs above the systemwide expenditures assumed in the
    no-Build alternative (unless FTA has accepted the No-Build as the
    New Starts Baseline alternative).

-   Annual operating and maintenance costs in constant current year
    dollars for the transit elements of the New Starts Baseline and New
    Starts Build alternatives are estimated. The latest available cost
    estimates, accurately reflecting the definition of alternatives,
    should be applied in the calculation.

-   Annual transit ridership, measured as "linked\" trips, is derived
    from the travel forecasting model.

-   The cost effectiveness index reported in this measure should only
    reflect costs and new transit riders as a direct result of the New
    Starts fixed guideway and related transit investments included in
    the New Starts Build alternative.[^8]

**[Calculation and Reporting Method]{.underline}**

-   **Step 1:** Applying the best available forecasts from the regional
    travel forecasting model, report total annual transit system
    ridership in linked trips under full operating conditions in the
    design year for the New Starts Baseline and New Starts Build
    alternatives. Any locally derived annualization factors applied to
    convert daily linked trips to annual totals must be reported and
    documented. Annual forecasts of linked trips are used to estimate
    the "new riders\" applied in the calculation of the index. FTA
    requires that the measure of new riders applied in this index only
    reflect incremental linked trips from the introduction of the
    Section 5309 New Starts transit investment. HOV riders are not
    included.

-   **Step 2:** Report the incremental annualized cost for the proposed
    New Starts project from Line 3 of Template 9.

-   **Step 3:** The measure of incremental linked trips for the New
    Starts project is calculated and reported by subtracting annual
    linked trips for the New Starts Baseline from the annual linked
    trips for the New Starts Build alternative.

-   **Step 4:** The value generated in Step 3 (incremental costs) is
    divided by the value generated in Step 3 (incremental linked trips).
    The result is the cost effectiveness index of the proposed New
    Starts project compared to the New Starts Baseline alternative.

**[Quality Control Checks -- Template 10]{.underline}**

-   Total annual ridership should equal the total forecast year annual
    transit system linked trips reported in Template 1 (Project
    Description Worksheet).

-   Annual new riders (the difference in riders between the New Starts
    Build and New Starts Baseline alternatives) should equal the
    systemwide annual new riders shown in Template 1 (Project
    Description Worksheet).

-   Total annual ridership, when divided by the annualization factor
    used in Template 3 (Transportation System User Benefits Per
    Passenger Mile), should be equal to the average weekday transit
    system linked trips reported in Template 1 (Project Description
    Worksheet).

-   Incremental annualized cost should equal line 3 on Template 9 (Cost
    Effectiveness - Incremental Cost per Hour in Transportation System
    User Benefits in the Forecast Year).

-   If data reported on Template 10 has changed significantly from last
    year, please provide an explanation.

[]{#__RefHeading___Toc102457343 .anchor}VI.5 Existing Land Use, Transit
Supportive Land Use Policies, and Future Patterns

FTA staff, with assistance from designated contractors, gathers and
reviews summary information, supporting documentation, and quantitative
data prepared by local agencies to assess the existing land use, transit
supportive land use policies, and future patterns associated with
proposed New Starts projects. This guidance is intended to assist local
agencies in the preparation and submission of the materials that FTA
uses to assess and rate a proposed project\'s transit supportive land
use.

FTA uses three primary rating categories in its evaluation of New Starts
projects. These rating categories reflect the desire to clearly
distinguish among three primary aspects of land use: (1) existing land
use patterns; (2) plans and policies; and, (3) expected impacts. The
categories and factors are:

1.  **Existing Land Use**

2.  **Transit Supportive Plans and Policies** -- Includes the following
    factors:

    Growth Management;

    Transit Supportive Corridor Policies;

    Supportive Zoning Regulations Near Transit Stations; and

    Tools to Implement Land Use Policies.

3.  **Performance and Impacts of Policies** -- Includes the following
    factors:

-   Performance of Land Use Policies; and

-   Potential Impact of Transit Project on Regional Land Use.

Local agencies may also report "other land use considerations" in the
case of unusually exceptional land use characteristics or benefits,
which are not otherwise captured under the categories presented above.
Other land use considerations may include historic or culturally
sensitive areas; community preservation efforts; brownfields
redevelopment; designated Federal enterprise zone or empowerment
community; etc.

Each of the factors listed above also has associated "supporting
factors." These supporting factors are considered individually in
developing overall category ratings, and are used to help project
sponsors structure the information that they submit. Figure 8 provides
guidance on the type of information and supporting documentation that
should be provided for each supporting factor.

Information and Data Sources for Existing Land Use, Transit Supportive
Land Use Policies, and Future Patterns

In general, local agencies are not expected to generate additional
analyses, documents, or quantitative data addressing land use issues in
order to satisfy the reporting requirement for the *Existing Land Use,
Transit Supportive Land Use Policies, and Future Patterns* criterion. In
most instances, agencies will be able to rely on readily available
materials that have been prepared in conjunction with other studies and
analyses.

Local agencies, municipalities, regional planning and governmental
agencies, neighborhood organizations, and the private sector prepare
information and documents useful for meeting the reporting requirements
for the New Starts land use criterion. These materials are developed
routinely in conjunction with local and regional land use plans, livable
communities initiatives, and economic development activities, as well as
in feasibility studies, alternatives analyses, major investment studies,
corridor studies, environmental analyses, and other planning efforts for
transit New Starts investments.

To assist in the development of accurate project ratings, FTA requests
that project sponsors submit full or relevant portions, as appropriate,
of corridor and station area maps, local comprehensive plans and zoning
ordinances, local and regional policies and agreements regarding land
use planning, documentation of station area planning efforts, and
documentation of other tools, incentives, and programs affecting
corridor and station area land use. Additional descriptions of the
information requested for the *Existing Land Use, Transit Supportive
Land Use Plans, and Future Patterns* criterion are provided in Figure 8.

Quantitative Data

Quantitative data on population and employment served by a proposed New
Starts project are critical inputs to the assessment of existing and
future land use conditions. Key indicators include total employment in
the Central Business District (CBD), employment served by the system as
a whole, and population and employment densities in the corridor and in
station areas. Template 12 is the *Quantitative Land Use Information
Worksheet*. Appendix A provides a sample methodology for estimating
station area population, households, and employment. FTA requests that
sponsoring agencies follow this methodology in order to ensure
consistent reporting of quantitative data among New Starts applicants.

FTA recognizes that some agencies may have to utilize additional data
sources, beyond those described above, to provide the quantitative data
requested in Template 12. Likely sources are additional reports and data
from the Census, MPOs, and local planning agencies. FTA intends to use
these data to arrive at a more complete understanding of proposed
projects and to develop more thorough information about population and
employment densities and development forecasts and proposals. It is
hoped that, in cases where agencies have not prepared these data
previously, the development of this information will be as useful for
agency planning and analysis as it is for FTA\'s New Starts project
review.

Reporting Method

Upon request from FTA, local agencies will submit written summaries and
supporting materials to contractors employed by FTA to assist in
information gathering during the New Starts review process. Information
on the *Existing Land Use, Transit Supportive Land Use Plans, and Future
Patterns* criterion should be organized as follows:

**Table of Contents:** Local agencies should provide a Table of Contents
at the beginning of their submission, summarizing all provided
materials.

**Project Description:** Applicants are required to submit the Project
Description worksheet as part of their full New Starts application.
Applicants should include a copy of this worksheet with their land use
submittal.

**Maps:** Project maps should be submitted that clearly indicate the
location of the project and all stations, with reference to: 1) the
major highway network; 2) other major transit connections; 3) the CBD
and other major activity centers; 4) boundaries of local jurisdictions;
and 5) boundaries of the project study corridor.

**Summary Information (Qualitative Data):** Template 11 is the reporting
format for providing summary qualitative information on each of the
rating categories: (1) Existing Land Use; (2) Transit Supportive Land
Use Plans and Policies; (3) Performance and Impacts of Policies; and (4)
Other Land Use Considerations (optional). Template 11 allows local
agencies to provide written statements to highlight or expand upon
information for specific factors. Local agencies may also provide
specific references to existing maps, plans, or other documentation
attached with the submittal that address the specific factor and type of
information requested by FTA.

**Quantitative Data:** Template 12 is the reporting format for
Quantitative Data. The objective of gathering these data is to better
understand base year and forecast year information about population,
housing units, and employment associated with the project. These
subjects are addressed in various combinations at the metropolitan, CBD,
corridor, and station area levels. Appendix A provides a sample
methodology for estimating station area population, households, and
employment. This guidance is intended to assist local agencies with
providing quantitative data at the station area level in a uniform
manner.

**Supporting Documentation:** Agencies should provide full or relevant
portions of supporting documentation referenced in their submission.
Some particularly helpful pieces of supporting documentation are
described below.

**Visual aids (maps, photographs, and illustrations)** -- The
characteristics of existing land use, as well as planned future
development, can be most readily communicated through information that
is visual or graphical in nature. Some recommended types of visual and
graphical information to include with the submission are:

-   Maps of station areas showing the street network, existing land
    uses, planned land uses, and zoning;

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-   Aerial and ground-level photographs of station areas;

-   Maps showing existing and forecast population and employment
    densities in the corridor; and

-   Photographs or illustrations of existing transit supportive station
    area development that has taken place around any existing transit
    stations or corridors in the region.

**Planning documents** -- Land use plans, policies, and reports
developed by local and regional agencies represent a key source of
information on the potential for future transit supportive development.
Some examples from which to provide either full documents or relevant
excerpts include:

-   Regional growth management policies and agreements;

-   Local comprehensive plans, small-area or station area plans, zoning
    ordinances, and design guidelines relevant to station areas;

-   Station area planning documents (conceptual plans, land inventories,
    market studies);

-   Analysis of land development trends and market potential for transit
    supportive development within the region and station areas;

-   Descriptions of the corridor and station area physical environment
    from environmental review documents;

-   Descriptions of other tools and incentives available for influencing
    development; and

-   Site plans or descriptions of station area development proposals.

Guidance for Agencies That Have Submitted Materials Previously

Agencies that fully reported land use assessment information for a
recent preliminary engineering or final design approval or for a
previous *Annual Report on* *New Starts,* need only provide information
that reflects changes since the most recent submission. Unless indicated
to the applicant by FTA, prior year submissions remain available in
FTA's files. **New documents or other materials not previously submitted
to FTA, or information that was incomplete or unavailable in prior year
submissions, should be reported** **and highlighted.**

Importance of Organized, Comprehensive Submittal

It is important for sponsoring agencies to consider that ratings
assigned to the land use measurement factors by FTA will be directly
related to the ability of FTA and its reviewers to readily identify,
locate, review, and assess locally provided documentation. A
well-organized submittal is to the advantage of the local agency.

Additional Guidance

Following are several suggestions for improving agency submissions of
information for the *Existing Land Use, Transit Supportive Land Use
Policies, and Future Patterns* criterion:

-   Project sponsors should provide documentation to substantiate
    qualitative information rather than rely solely upon reference;

-   To the extent possible, sponsors should quantify data, e.g.,
    density, employment, trip generators, etc.;

-   Sponsors should provide detailed documentation and maps, including
    approved policies and plans, market studies and economic analyses,
    etc. Where appropriate, maps and graphics should be used to
    supplement data; for example, the reporting of development and
    pedestrian amenities via maps and/or aerial photos is helpful;

-   Submissions should be brief and precise, but thorough, in providing
    explanatory statements; important information should not be omitted
    for the sake of brevity;

-   Brief descriptions of anticipated development and implemented
    projects, rather than simply a list, is helpful;

-   Submissions should provide an explanation of the impact of transit
    supportive land use policies and how implementation would be
    achieved, particularly when significant changes are anticipated;

-   Submissions should distinguish between existing conditions and those
    expected from the implementation of land use policies and
    development practices;

-   Submissions should distinguish between station area, corridor,
    municipal, and regional transit supportive policies and plans;

-   Information submitted should identify the mix of land uses within
    the corridor;

-   Submissions should address parking policies and pricing strategies;

-   Sponsors are strongly encouraged to present land use information in
    the format established in these reporting instructions.

In addition, project sponsors are reminded of the importance of
providing FTA adequate time to evaluate and rate each project\'s
*Existing Land Use, Transit Supportive Land Use Policies, and Future
Patterns*. Please comply with the specified timeframe for submitting
information, and with the mailing directions indicating to whom the
various materials are to be submitted.

+----------------------------+-----------------------------------------+
| Figure 8: Assessment of    |                                         |
| Existing Land Use, Transit |                                         |
| Supportive Land Use        |                                         |
| Policies, and Future       |                                         |
| Patterns: Guidance on      |                                         |
| Documentation and          |                                         |
| Information to be          |                                         |
| Submitted                  |                                         |
+============================+=========================================+
| Information Requested      | Documentation Supporting Land Use       |
|                            | Criterion                               |
+----------------------------+-----------------------------------------+
| **I. EXISTING LAND USE**   |                                         |
+----------------------------+-----------------------------------------+
| Existing corridor and      | -   Corridor and station area           |
| station area development   |     population, housing units, and      |
| (population, employment,   |     employment (provide information in  |
| high trip generators)      |     template form,                      |
|                            |                                         |
|                            | -   Listing and description of high     |
|                            |     trip generators (examples include   |
|                            |     colleges/universities,              |
|                            |     stadiums/arenas, hospitals/medical  |
|                            |     centers, shopping centers,          |
|                            |     performing arts centers, and other  |
|                            |     significant trip generators)        |
+----------------------------+-----------------------------------------+
| Existing station area      | -   Description of character of         |
| development character      |     existing land use mix and           |
|                            |     pedestrian environment in corridor  |
|                            |     and station areas                   |
|                            |                                         |
|                            | -   Station area maps with uses and     |
|                            |     Building footprints shown           |
|                            |                                         |
|                            | -   Ground-level or aerial photographs  |
|                            |     of station areas                    |
+----------------------------+-----------------------------------------+
| Existing station area      | -   Station area maps identifying       |
| pedestrian facilities,     |     pedestrian facilities and access    |
| including access for       |     provisions for persons with         |
| persons with disabilities  |     disabilities                        |
|                            |                                         |
|                            | -   Documentation of achievement of    |
|                            |     curb ramp transition plans and      |
|                            |     milestones required under CFR       |
|                            |     35.150(d)(2)                        |
+----------------------------+-----------------------------------------+
| Existing corridor and      | -   Existing parking spaces per square  |
| station area parking       |     footage of commercial development   |
| supply                     |     and/or per dwelling unit            |
|                            |                                         |
|                            | -   Parking spaces per employee in the  |
|                            |     CBD and/or other major employment   |
|                            |     centers                             |
|                            |                                         |
|                            | -   Land area within ½ mile of station  |
|                            |     devoted to parking                  |
|                            |                                         |
|                            | -   Average daily parking cost in the   |
|                            |     CBD and/or other areas              |
+----------------------------+-----------------------------------------+
| **II. TRANSIT SUPPORTIVE   |                                         |
| PLANS AND POLICIES**       |                                         |
|                            |                                         |
| **a. Growth Management**   |                                         |
+----------------------------+-----------------------------------------+
| Concentration of           | -   Regional plans or policies that     |
| development around         |     promote increased development,      |
| established activity       |     infill development, and             |
| centers and regional       |     redevelopment in established urban  |
| transit                    |     centers and activity centers,       |
|                            |     and/or limit development away from  |
|                            |     primary activity centers            |
|                            |                                         |
|                            | -   Regional plans or policies to       |
|                            |     concentrate development around      |
|                            |     major transit facilities            |
|                            |                                         |
|                            | -   Local comprehensive plans or        |
|                            |     capital improvement plans that give |
|                            |     priority to infill development      |
|                            |     and/or provide for opportunities    |
|                            |     for high density redevelopment      |
+----------------------------+-----------------------------------------+
| Land conservation and      | -   Growth management plans (e.g.       |
| management                 |     growth management areas, urban      |
|                            |     growth boundaries, agricultural     |
|                            |     preservation plans, open space      |
|                            |     preservation plans) with maps       |
|                            |                                         |
|                            | -   Policies that allow for transfer of |
|                            |     development rights from open space  |
|                            |     or agricultural land to urban areas |
+----------------------------+-----------------------------------------+
| **II. TRANSIT SUPPORTIVE   |                                         |
| PLANS AND POLICIES         |                                         |
| (continued)**              |                                         |
|                            |                                         |
| **b. Transit Supportive    |                                         |
| Corridor Policies**        |                                         |
+----------------------------+-----------------------------------------+
| Plans and policies to      | -   Adopted city, county, and regional  |
| increase corridor and      |     plans and policies and private      |
| station area development   |     sector plans and initiatives that   |
|                            |     promote development in the transit  |
|                            |     corridor and station areas; plans   |
|                            |     may include general plans, specific |
|                            |     plans (subarea, station area,       |
|                            |     etc.), redevelopment project plans, |
|                            |     or other district plans             |
|                            |                                         |
|                            | -   Examples of transit supportive      |
|                            |     policies include: general policy    |
|                            |     statements in support of transit as |
|                            |     a principal mode of transportation  |
|                            |     within the corridor; policies that  |
|                            |     support and promote the use of      |
|                            |     transit; policies/plans that        |
|                            |     provide for high density            |
|                            |     development within the corridor and |
|                            |     station areas; and policies that    |
|                            |     support changes to zoning within    |
|                            |     the corridor and station areas      |
+----------------------------+-----------------------------------------+
| Plans and policies to      | -   Elements of adopted city, county,   |
| enhance transit-friendly   |     and regional plans and policies     |
| character of station area  |     that promote transit-friendly       |
| development                |     character of corridor and station   |
|                            |     area development                    |
|                            |                                         |
|                            | -   Policies to promote mixed-use       |
|                            |     projects                            |
|                            |                                         |
|                            | -   Policies to promote housing and     |
|                            |     transit-oriented retail             |
|                            |                                         |
|                            | -   Policies that allow/promote         |
|                            |     vertical zoning within the corridor |
|                            |                                         |
|                            | -   Façade improvement programs         |
|                            |                                         |
|                            | -   Funds to support transit-oriented   |
|                            |     plans                               |
|                            |                                         |
|                            | -   Private sector plans and            |
|                            |     initiatives consistent with the     |
|                            |     public plans and policies listed    |
|                            |     above                               |
+----------------------------+-----------------------------------------+
| Plans to develop           | -   Requirements and policies for       |
| pedestrian facilities and  |     sidewalks, connected street or      |
| enhance disabled access    |     walkway networks, and other         |
|                            |     pedestrian facility development     |
|                            |     plans for station areas             |
|                            |                                         |
|                            | -   Capital improvement programs to     |
|                            |     enhance pedestrian-friendly design  |
|                            |     in station areas                    |
|                            |                                         |
|                            | -   Curb ramp transition plans and      |
|                            |     milestones required under CFR       |
|                            |     35.150(d)(2), and other plans for   |
|                            |     retrofitting existing pedestrian    |
|                            |     infrastructure to accommodate       |
|                            |     persons with disabilities in        |
|                            |     station areas                       |
|                            |                                         |
|                            | -   Street design guidelines or manuals |
|                            |     addressing pedestrian and           |
|                            |     transit-oriented street design      |
|                            |     (lighting, street furniture,        |
|                            |     sidewalk width, etc.)               |
+----------------------------+-----------------------------------------+
| Parking policies           | -   Policies to reduce parking          |
| (allowances for reductions |     requirements or cap parking in      |
| in parking requirements    |     station areas                       |
| and traffic mitigation     |                                         |
| requirements for           | -   Policies establishing maximum       |
| development near station   |     allowable parking for new           |
| areas, plans for           |     development in areas served by      |
| park-and-ride lots,        |     transit                             |
| parking management)        |                                         |
|                            | -   Shared parking allowances           |
|                            |                                         |
|                            | -   Mandatory minimum cost for parking  |
|                            |     in areas served by transit          |
|                            |                                         |
|                            | -   Parking taxes                       |
+----------------------------+-----------------------------------------+
| II\. **TRANSIT SUPPORTIVE  |                                         |
| PLANS AND POLICIES         |                                         |
| (continued)**              |                                         |
|                            |                                         |
| **c. Supportive Zoning     |                                         |
| Regulations Near Transit   |                                         |
| Stations**                 |                                         |
+----------------------------+-----------------------------------------+
| Zoning ordinances that     | -   Ordinances and maps describing      |
| support increased          |     existing zoning (allowable uses and |
| development density in     |     densities)                          |
| transit station areas      |                                         |
|                            | -   Recent changes to zoning ordinances |
|                            |     to allow or encourage development   |
|                            |     with transit supportive densities   |
|                            |     and uses                            |
|                            |                                         |
|                            | -   Transit overlay zoning              |
|                            |                                         |
|                            | -   Zoning incentives for increased     |
|                            |     development in station areas        |
|                            |     (density bonuses, housing fund      |
|                            |     subsidies, regulation relaxation,   |
|                            |     expedited zoning review, etc.)      |
+----------------------------+-----------------------------------------+
| Zoning ordinances that     | -   Zoning regulations that allow       |
| enhance transit-oriented   |     mixed-use development               |
| character of station area  |                                         |
| development and pedestrian | -   Zoning regulations addressing       |
| access                     |     placement of Building footprints,   |
|                            |     pedestrian facilities, façade       |
|                            |     treatments, etc.                    |
|                            |                                         |
|                            | -   Architectural design guidelines and |
|                            |     mechanisms for                      |
|                            |     implementation/enforcement of these |
|                            |     guidelines                          |
+----------------------------+-----------------------------------------+
| Zoning allowances for      | -   Residential and commercial parking  |
| reduced parking            |     requirements (minimums and/or       |
|                            |     maximums) in station areas under    |
|                            |     existing zoning                     |
|                            |                                         |
|                            | -   Zoning ordinances providing reduced |
|                            |     parking requirements for            |
|                            |     development near transit stations   |
+----------------------------+-----------------------------------------+
| II\. **TRANSIT SUPPORTIVE  |                                         |
| PLANS AND POLICIES         |                                         |
| (continued)**              |                                         |
|                            |                                         |
| **d. Tools to Implement    |                                         |
| Land Use Policies**        |                                         |
+----------------------------+-----------------------------------------+
| Outreach to government     | -   Promotion and outreach activities   |
| agencies and the community |     by the transit agency, local        |
| in support of land use     |     jurisdictions, and/or regional      |
| planning                   |     agencies in support of station area |
|                            |     planning, growth management, and    |
|                            |     transit-oriented development        |
|                            |                                         |
|                            | -   Inter-local agreements,             |
|                            |     resolutions, or letters of          |
|                            |     endorsement from other government   |
|                            |     agencies in support of coordinating |
|                            |     land use planning with transit      |
|                            |     investment                          |
|                            |                                         |
|                            | -   Actions of other groups, including  |
|                            |     Chambers of Commerce, professional  |
|                            |     development groups, citizen         |
|                            |     coalitions, as well as the          |
|                            |     private/commercial sector, in       |
|                            |     support of transit-oriented         |
|                            |     development practices               |
|                            |                                         |
|                            | -   Public outreach materials and       |
|                            |     brochures                           |
+----------------------------+-----------------------------------------+
| Regulatory and financial   | -   Regulatory incentives (e.g.,        |
| incentives to promote      |     density bonuses, streamlined        |
| transit-supportive         |     processing of development           |
| development                |     applications) for developments near |
|                            |     transit                             |
|                            |                                         |
|                            | -   Zoning requirements for traffic     |
|                            |     mitigation (e.g., fees and in-kind  |
|                            |     contributions) and citations of how |
|                            |     such requirements can be waived or  |
|                            |     reduced for locations near transit  |
|                            |     stations                           |
|                            |                                         |
|                            | -   Programs that promote or provide    |
|                            |     incentives for transit- oriented    |
|                            |     development such as tax increment   |
|                            |     financing zones, tax abatement      |
|                            |     programs, and transit-oriented loan |
|                            |     support programs                    |
|                            |                                         |
|                            | -   Other economic development and      |
|                            |     revitalization strategies for       |
|                            |     station areas or within the         |
|                            |     corridor                            |
+----------------------------+-----------------------------------------+
| Efforts to engage the      | -   Outreach, education, and            |
| development community in   |     involvement activities targeted at  |
| station-area planning and  |     the development community           |
| transit-supportive         |     (including developers, property     |
| development                |     owners, and financial institutions) |
|                            |                                         |
|                            | -   Transit-oriented market studies     |
|                            |                                         |
|                            | -   Joint development programs and      |
|                            |     proposals                           |
|                            |                                         |
|                            | -   Letters of endorsement or other     |
|                            |     indicators of support from the      |
|                            |     local development community         |
+----------------------------+-----------------------------------------+
| Public involvement in      | -   Description of public involvement   |
| corridor and station area  |     process, including corridor and     |
| planning                   |     station area land use planning      |
|                            |     activities                          |
|                            |                                         |
|                            | -   Description of the level of         |
|                            |     participation in land use planning  |
|                            |     activities and support for these    |
|                            |     activities by the general public    |
|                            |     and community groups                |
|                            |                                         |
|                            | -   Public outreach materials and       |
|                            |     brochures                           |
+----------------------------+-----------------------------------------+
| **III. PERFORMANCE AND     |                                         |
| IMPACTS OF LAND USE        |                                         |
| POLICIES**                 |                                         |
|                            |                                         |
| **a. Performance of Land   |                                         |
| Use Policies**             |                                         |
+----------------------------+-----------------------------------------+
| Demonstrated cases of      | -   Documentation of projects that have |
| developments affected by   |     recently been built consistent with |
| transit supportive         |     transit-oriented design principles  |
| policies                   |     (higher density, orientation toward |
|                            |     street, provision of pedestrian     |
|                            |     access from transit, etc.)          |
|                            |                                         |
|                            | -   Documentation of projects that      |
|                            |     incorporate a mix of uses or        |
|                            |     increased amounts of housing        |
+----------------------------+-----------------------------------------+
| Station area development   | -   Descriptions and plans for new      |
| proposals and status       |     development, including joint        |
|                            |     development proposals, including    |
|                            |     size, types of uses, and expected   |
|                            |     dates of start of construction and  |
|                            |     completion                          |
+----------------------------+-----------------------------------------+
| **III. PERFORMANCE AND     |                                         |
| IMPACTS OF LAND USE        |                                         |
| POLICIES (continued)**     |                                         |
|                            |                                         |
| **b. Potential Impact of   |                                         |
| Transit Project on         |                                         |
| Regional Land Use**        |                                         |
+----------------------------+-----------------------------------------+
| Adaptability of station    | -   Description or inventory of land    |
| area land for development  |     near transit stations that is       |
|                            |     vacant or available for             |
|                            |     redevelopment, and amount of        |
|                            |     development anticipated for these   |
|                            |     parcels                             |
|                            |                                         |
|                            | -   Projected timeline for development  |
|                            |     of station area properties          |
|                            |                                         |
|                            | -   Amount of development allowed at    |
|                            |     station area Build-out compared to  |
|                            |     existing amount of development      |
+----------------------------+-----------------------------------------+
| Corridor economic          | -   Regional and corridor economic      |
| environment                |     conditions and growth projections   |
|                            |                                         |
|                            | -   Development market trends in        |
|                            |     existing corridors and station      |
|                            |     areas (for areas with existing      |
|                            |     transit)                            |
|                            |                                         |
|                            | -   Demonstrated market support for     |
|                            |     higher-density and                  |
|                            |     transit/pedestrian-oriented         |
|                            |     development                         |
|                            |                                         |
|                            | -   Locations of major employment       |
|                            |     centers in the region, and expected |
|                            |     growth in these centers             |
|                            |                                         |
|                            | -   Projected population, employment,   |
|                            |     and growth rates in corridor or     |
|                            |     station areas compared to region    |
+----------------------------+-----------------------------------------+
| **IV. OTHER LAND USE       |                                         |
| CONSIDERATIONS             |                                         |
| (Optional)**               |                                         |
+----------------------------+-----------------------------------------+
| Other unidentified or      | Examples may include:                   |
| unusual circumstances,     |                                         |
| conditions, or constraints | -   Unique project purpose              |
| under which the transit    |                                         |
| agency operates and which  | -   Exceptional examples of historical, |
| influence local and        |     environmental or community          |
| regional land use          |     preservation and enhancement        |
| policies, plans, and       |                                         |
| implementation             | -   Topography                          |
|                            |                                         |
|                            | -   Brownfields redevelopment           |
|                            |                                         |
|                            | -   Central city redevelopment          |
|                            |                                         |
|                            | -   Designation as a Federal Enterprise |
|                            |     Zone/Empowerment Community          |
|                            |                                         |
|                            | -   Type and condition of market (e.g., |
|                            |     resort, seasonal)                   |
|                            |                                         |
|                            | -   Intermodal connections              |
|                            |                                         |
|                            | -   Other factors                       |
+----------------------------+-----------------------------------------+

# Template 11

Supplemental Land Use Information and Supporting Documentation

+--------------------------------------+-------------------------------+
| # Information Requested              | Documentation Supporting Land |
|                                      | Use Criterion                 |
+--------------------------------------+-------------------------------+
| **1. EXISTING LAND USE**             |                               |
+--------------------------------------+-------------------------------+
| > Existing Station Area Development  | []{.mark}                     |
+--------------------------------------+-------------------------------+
| > Existing Station Area Development  | []{.mark}                     |
| > Character                          |                               |
+--------------------------------------+-------------------------------+
| > Existing station area pedestrian   | []{.mark}                     |
| > facilities, including access for   |                               |
| > persons with disabilities          |                               |
+--------------------------------------+-------------------------------+
| > Existing station area parking      | []{.mark}                     |
| > supply                             |                               |
+--------------------------------------+-------------------------------+
| **2. TRANSIT SUPPORTIVE PLANS AND    |                               |
| POLICIES**                           |                               |
+--------------------------------------+-------------------------------+
| 2.A. GROWTH MANAGEMENT               |                               |
+--------------------------------------+-------------------------------+
| > Concentration of development       | []{.mark}                     |
| > around established activity        |                               |
| > centers and regional transit       |                               |
+--------------------------------------+-------------------------------+
| > Land conservation and management   | []{.mark}                     |
+--------------------------------------+-------------------------------+
| 2.B. TRANSIT SUPPORTIVE CORRIDOR     |                               |
| POLICIES                             |                               |
+--------------------------------------+-------------------------------+
| > Plans and policies to increase     | []{.mark}                     |
| > station area development           |                               |
+--------------------------------------+-------------------------------+
| > Plans and policies to enhance      | []{.mark}                     |
| > transit friendly character of      |                               |
| > station development                |                               |
+--------------------------------------+-------------------------------+
| > Plans to improve pedestrian        | []{.mark}                     |
| > facilities, including facilities   |                               |
| > for persons with disabilities      |                               |
+--------------------------------------+-------------------------------+
| > Parking policies                   | []{.mark}                     |
+--------------------------------------+-------------------------------+
| 2.C. SUPPORTIVE ZONING REGULATIONS   |                               |
| NEAR TRANSIT STATIONS                |                               |
+--------------------------------------+-------------------------------+
| > Zoning ordinances that promote     | []{.mark}                     |
| > transit supportive development     |                               |
| > density in transit station areas.  |                               |
+--------------------------------------+-------------------------------+
| > Zoning ordinances and design       | []{.mark}                     |
| > guidelines that enhance            |                               |
| > transit-oriented character of      |                               |
| > station area development and       |                               |
| > pedestrian access.                 |                               |
+--------------------------------------+-------------------------------+
| > Zoning ordinances that support     | []{.mark}                     |
| > reductions in parking.             |                               |
+--------------------------------------+-------------------------------+
| 2.D. TOOLS TO IMPLEMENT LAND USE     |                               |
| POLICIES                             |                               |
+--------------------------------------+-------------------------------+
| > Outreach to government agencies    | []{.mark}                     |
| > and the community in support of    |                               |
| > land use planning                  |                               |
+--------------------------------------+-------------------------------+
| > Regulatory and financial           | []{.mark}                     |
| > incentives to promote transit      |                               |
| > supportive development             |                               |
+--------------------------------------+-------------------------------+
| > Efforts to engage the development  | []{.mark}                     |
| > community in station area planning |                               |
| > and transit supportive development |                               |
+--------------------------------------+-------------------------------+
| **3. PERFORMANCE AND IMPACTS OF LAND |                               |
| USE POLICIES**                       |                               |
+--------------------------------------+-------------------------------+
| 3.A. PERFORMANCE OF LAND USE         |                               |
| POLICIES                             |                               |
+--------------------------------------+-------------------------------+
| > Demonstration cases of             |                               |
| > developments affected by transit   |                               |
| > supportive policies                |                               |
+--------------------------------------+-------------------------------+
| > Station area development proposals |                               |
| > and status                         |                               |
+--------------------------------------+-------------------------------+
| 3.B. POTENTIAL IMPACT OF PROJECT ON  |                               |
| REGIONAL LAND USE                    |                               |
+--------------------------------------+-------------------------------+
| > Adaptability of station area land  |                               |
| > for development                    |                               |
+--------------------------------------+-------------------------------+
| > Corridor economic development      |                               |
+--------------------------------------+-------------------------------+
| **4. OTHER LAND USE CONSIDERATIONS   |                               |
| (OPTIONAL)**                         |                               |
+--------------------------------------+-------------------------------+

# Template 12

# Quantitative Land Use Information Worksheet

Project sponsors should adhere to the following guidelines when
completing this template:

1.  Please indicate the specific year for reporting base and forecast
    year estimates.

2.  Please report the density of population and employees *per mile*
    (not per acre).

3.  The forecast year reported on Template 12 should match the forecast
    year reported on Template 1 (Project Description).

+--------------------------------+-----------+-----------+-----------+
| Population and Employment Data |           |           |           |
| -- Metropolitan Area, CBD, and |           |           |           |
| Corridor                       |           |           |           |
+--------------------------------+-----------+-----------+-----------+
|                                |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Data                           | Base Year | Forecast  | Growth    |
|                                |           | Year      | (%)       |
|                                | \_\_ \_\_ |           |           |
|                                |           | 20 \_\_   |           |
+--------------------------------+-----------+-----------+-----------+
|                                |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Metropolitan Area              |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Total Population               |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Total Employment               |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Central Business District[^9]  |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Total Employment               |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Employment -- Percent of       |           |           |           |
| Metropolitan Area              |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Employment Density (e.g.,      |           |           |           |
| employees/acre)                |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Corridor                       |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Total Population               |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Total Employment               |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Population -- Percent of       |           |           |           |
| Metropolitan Area              |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Employment -- Percent of       |           |           |           |
| Metropolitan Area              |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Corridor Land Area (sq. mi.)   |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Population Density (persons    |           |           |           |
| per sq. mi.)                   |           |           |           |
+--------------------------------+-----------+-----------+-----------+
| Employment Density (jobs per   |           |           |           |
| sq. mi.)                       |           |           |           |
+--------------------------------+-----------+-----------+-----------+

  ------------------------------ ------------- ------------- -------------
  Population and Employment Data                             
  \-- Station Area (1/2-mile                                 
  radius)[^10]                                               

                                                             

  Data                           Base Yr.      Forecast Yr.  Growth (%)
                                 \_\_\_\_      20\_\_        

                                                             

  Total, All Station Areas                                   

  Housing Units                                              

  Population                                                 

  Employment                                                 

  Land Area (indicate sq. mi.)                               

  Housing Unit Density (units                                
  per sq. mi.)                                               

  Population Density (persons                                
  per sq. mi.)                                               

  Employment Density (persons                                
  per sq. mi.)                                               

                                                             

  Station Area 1[^11]                                        

  Housing Units                                              

  Population                                                 

  Employment                                                 

  Land Area (indicate                                        
  units)[^12]                                                

  Housing Unit Density (units                                
  per sq. mi.)                                               

  Population Density (persons                                
  per sq. mi.)                                               

  Employment Density (persons                                
  per sq. mi.)                                               

                                                             

  Station Area 2, etc.                                       

  Housing Units                                              

  Population                                                 

  Employment                                                 

  Land Area (indicate units)                                 

  Housing Unit Density (units                                
  per sq. mi.)                                               

  Population Density (persons                                
  per sq. mi.)                                               

  Employment Density (persons                                
  per sq. mi.)                                               

                                                             
  ------------------------------ ------------- ------------- -------------

[]{#__RefHeading___Toc102457351 .anchor}VI.6 Other Factors

This criterion presents local agencies with an opportunity to provide
FTA with information regarding other factors that may contribute to the
overall success of the proposed New Starts investment. FTA may consider
these factors if they are well documented and convincingly demonstrate
benefits which are not otherwise captured by the other project
justification criteria and measures. Examples of other factors include:

-   Environmental justice considerations and equity issues;

-   Opportunities for increased access to employment for low-income
    persons, and welfare to work initiatives;

-   Consideration of innovative financing, procurement, and construction
    techniques, including design-Build turnkey applications;

-   Any other factor which the New Starts project sponsor believes
    articulates the benefits of the proposed major transit capital
    investment but which is not captured within the other project
    justification criteria.

Consistent with SAFETEA-LU, FTA intends that economic development should
be an "other factor" of particular significance for the FY 2008
evaluation cycle. Through its ongoing rulemaking process, FTA hopes to
define specific measures for evaluating the economic development impacts
of candidate New Starts projects. Until such measures are defined and
subject to industry comment, FTA encourages project sponsors to submit
information which they feel best justifies the anticipated economic
development impacts of their proposed New Starts investments. FTA is
particularly interested in quantifiable economic development benefits
which can be clearly distinguished from a) the transportation system
user benefits which comprise one variable of FTA's measure for cost
effectiveness, and b) land use impacts which are reported and evaluated
in support of the transit supportive land use plans and policies
criteria. Specifically, FTA desires to avoid both the double-counting of
benefits *and* the crediting of benefits to projects which may be more
appropriately attributable to supporting economic development policies,
initiatives, and incentives by isolating the specific impacts resulting
from the presence of fixed guideway transit in a given corridor. FTA's
objectives for measuring economic development are outlined in Part II of
its January 11, 2006 New Starts Policy Guidance, and will be further
articulated in a formal notice of proposed rulemaking planned for later
in 2006.

[]{#__RefHeading___Toc102457352 .anchor}VII. Local Financial Commitment
Criteria

SAFETEA-LU requires FTA to ensure that proposed New Starts projects are
supported by an acceptable degree of local financial commitment and
resources, including evidence of stable and dependable funding sources
to construct, maintain, and operate the fixed guideway capital
investment, as well as the rest of the transit system. Project sponsors
submit financial plans, project finance templates, and supporting
documentation to FTA and selected contractors. FTA evaluates the
sponsor's financial condition and local financial commitment based on
the financial submission. This assessment is used to report specific
measures from which a rating is assigned. All candidate New Starts
projects in or seeking entry into preliminary engineering or final
design are rated.

FTA uses three measures to determine *Local Financial Commitment*:

1.  The proposed share of total project costs from sources other than
    Section 5309 New Starts, including Federal formula and flexible
    funds, the local match required by Federal law, and any additional
    capital funding;

2.  The strength of the proposed capital funding plan; and

3.  The ability of the sponsoring agency to fund operation and
    maintenance of the entire transit system as planned once the
    guideway is built.

The evaluation of each measure results in FTA assigning a summary
financial rating of "High," "Medium-High," "Medium," "Medium-Low," or
"Low" to reflect FTA's assessment of the sponsoring agency's ability and
commitment to meet the funding requirements of the New Start project. As
a project proceeds through the project development process, it is
expected that project cost estimates and local funding sources will
become more refined and committed. Consequently, projects in or
requesting entrance into final design must meet a higher rating
threshold than projects in preliminary engineering.

Increasing demands on limited New Starts funds have brought additional
scrutiny to the New Starts rating process. Congress and others have
directed FTA to improve the financial reporting guidance and to
aggressively evaluate the financial capacity of project sponsors to
successfully implement major transit capital investments. For this
reason, FTA has developed more detailed instructions for preparing
financial submittals, which can be found in the document entitled
*Guidance for Transit Financial Plans (June 2000)* located on FTA's
website for *New Starts Project Planning and Development*
<http://www.fta.dot.gov/grant_programs/transportation_planning/9924_ENG_HTML.htm>.

**Financial Information Reporting Items**

Sponsoring agencies will submit documentation of local financial
commitment to FTA and the designated contractor. FTA needs the following
items to evaluate and rate the project sponsor's local financial
commitment:

-   a completed Template 13 (New Starts Project Finance Worksheet);

-   a comprehensive financial plan;

-   supporting documentation; and

-   a completed financial submittal checklist.

    These items are described in detail in the next sections.

    [All project sponsors must provide all of the required information
    included in the *Guidance for Transit Financial Plans*.]{.underline}
    Failure to include any of the elements required for the financial
    review will adversely impact the project's financial rating and may
    result in a "low" financial rating. A "low" rating for the project
    finance criteria ensures a "Low" project rating, which will prevent
    a project from moving forward in the New Starts project development
    process.

New Starts Project Finance Worksheet

[All sponsoring agencies -- including sponsors of projects which are
exempt from the New Starts criteria - must complete Template 13 (New
Starts Project Finance Worksheet)]{.underline} and are encouraged to
work closely with FTA staff and FTA contractors to ensure that the most
appropriate and up-to-date information is applied in the assessment. For
non-exempt projects, FTA staff and FTA contractors will review
information in order to assess each measure and assign ratings. Template
13 is designed to provide a uniform reporting method for the basic
financial information and transit system characteristics necessary for
FTA to assess the local financial commitment for the proposed New Starts
project. It is not intended as a substitute for a financial plan. A
written explanation should be provided for not submitting any requested
or current data. Failure to adequately justify any non-compliance will
adversely impact the project's financial rating.

Please note that finance charges must be accounted for and included in
the capital cost estimate of all New Starts projects. Specifically, only
finance charges that are expected to occur prior to either the revenue
operations date or the fulfilment of the Section 5309 New Starts funding
commitment should be included. In addition, the costs of preliminary
engineering and final design should also be included in the capital cost
estimate.

Financial Plan

[All sponsoring agencies must submit to FTA a financial plan for their
proposed project]{.underline}. For non-exempt projects, FTA evaluates
the financial plan to ensure that the agency has the financial capacity
to construct and operate the proposed New Starts project as well as
operate and maintain the rest of the transit system. FTA has developed
guidance on the content and format of financial plans for transit
agencies. In addition to FTA's long-standing *Guidance for Transit
Financial Plans, (June 2000)*, FTA has updated the financial planning
chapter to its *Procedures and Technical Methods for Transit Project
Planning*. Both documents are available on FTA's web site for *New
Starts Project Planning and Development* at
<http://www.fta.dot.gov/grant_programs/transportation_planning/9924_ENG_HTML.htm>.
Both documents specify the contents and format of an acceptable
financial plan. All agencies submitting information for evaluation and
rating are required to submit financial plans that adhere to these
guidelines. Failure to provide a complete financial plan will adversely
impact the project's financial rating.

Supporting Documentation

The supporting documentation provided by sponsoring agencies to FTA
staff and contractors should be developed as part of the New Starts
planning and project development process (alternatives analysis,
preliminary engineering, environmental impact statement, and final
design). Documentation for each of the funding sources must be provided.
All underlying financial assumptions should be identified in the project
finance plan and reflect capital financing strategies, projected
operating and maintenance costs, revenue stream assumptions, and cash
flow projections.

Figure 9 on the following page provides a summary of typical supporting
documentation for New Starts financial plans. It is important for
sponsoring agencies to understand that the ratings assigned by FTA will
be directly related to the ability of reviewers to readily identify,
locate, review, and assess the provided documentation. A concise,
well-organized submittal is to the advantage of the sponsoring agency.

### Figure 9: Examples of Financial Plan Supporting Documentation

+-----------------------------------------------------------------------+
| **General Documentation**                                             |
|                                                                       |
| -   Background information and description of the transit agency,     |
|     including organizational structure and an outline of any other    |
|     significant capital projects underway (e.g., annual audits and    |
|     annual reports for past three years, current budget).             |
|                                                                       |
| -   Background information and description of the New Starts fixed    |
|     guideway project, including project status (e.g., project         |
|     pamphlets, planning and engineering reports used to select and    |
|     define the project).                                              |
|                                                                       |
| -   Information describing current and forecast economic conditions   |
|     in the region (e.g., regional socioeconomic reports, regional     |
|     planning estimates of socioeconomic growth used in the            |
|     development of the financial and ridership estimates).            |
|                                                                       |
| **Financial Documentation**                                           |
|                                                                       |
| -   Agency capital and operating cash flow analysis for the 20-year   |
|     period (in year of expenditure dollars) as required by planning   |
|     guidelines. The cash flow analysis should include expenses and    |
|     revenues for the proposed project.                                |
|                                                                       |
| -   A description of the types and amounts of funds (in year of       |
|     expenditure dollars) for the transit system and proposed project  |
|     (e.g., local, state, Federal, sales tax, bonds, flexible funding, |
|     innovative funding sources).                                      |
|                                                                       |
| -   Operating and maintenance cost estimates (in year of expenditure  |
|     dollars) for the entire planned transit system, including the     |
|     proposed project.                                                 |
|                                                                       |
| -   Capital cost estimates (in year of expenditure dollars) for the   |
|     proposed project, broken out by major cost categories, including  |
|     contingencies.                                                    |
|                                                                       |
| -   Description of innovative financing techniques (e.g., innovative  |
|     funding sources or financing techniques to be used to support the |
|     project or to be implemented as part of a larger system-wide      |
|     program).                                                         |
|                                                                       |
| -   Latest bonding prospectus, capital and operating financing plans, |
|     and other reports.                                                |
|                                                                       |
| -   Commitment letters, contracts, agreements, legislative            |
|     referendums, joint development agreements, or other documentation |
|     evidencing commitment of funds                                    |
|                                                                       |
| -   Correspondence or other documentation indicating local source's   |
|     "intent to commit" if no formal commitment or programming of      |
|     local funding is yet in place.                                    |
|                                                                       |
| **Additional Documentation**                                          |
|                                                                       |
| -   Regional Long Range Transportation Plan                           |
|                                                                       |
| -   Regional Transportation Improvement Program (TIP)                 |
|                                                                       |
| -   Major Investment Study (MIS) or Alternatives Analysis (AA),       |
|     Environmental Impact Statement (EIS), if applicable               |
|                                                                       |
| -   Independent Audit Reports                                         |
|                                                                       |
| -   Rail vehicle and bus fleet management plans                       |
+-----------------------------------------------------------------------+

## Financial Submittal Checklist

Figure 10 below presents a checklist of information that should be
submitted to FTA. The project sponsor must complete the checklist and
include it with the financial submittal. If the checklist is not
provided, the submittal will be considered incomplete. Insufficient or
incomplete information supporting a project\'s local financial
commitment criteria may result in a "low" rating. Project sponsors are
encouraged to pay careful attention to the reporting requirements
specified in FTA guidance.

### Figure 10: Local Financial Commitment Checklist

+------------------------------------------------+---+---+---+---+--------------+
| **Grantee Financial Submittal**                |   | * |   |   | **Reason Why |
|                                                |   | * |   |   | Information  |
|                                                |   | I |   |   | Has Not Been |
|                                                |   | n |   |   | Provided**   |
|                                                |   | c |   |   |              |
|                                                |   | l |   |   |              |
|                                                |   | u |   |   |              |
|                                                |   | d |   |   |              |
|                                                |   | e |   |   |              |
|                                                |   | d |   |   |              |
|                                                |   | ( |   |   |              |
|                                                |   | c |   |   |              |
|                                                |   | h |   |   |              |
|                                                |   | e |   |   |              |
|                                                |   | c |   |   |              |
|                                                |   | k |   |   |              |
|                                                |   | o |   |   |              |
|                                                |   | n |   |   |              |
|                                                |   | e |   |   |              |
|                                                |   | ) |   |   |              |
|                                                |   | * |   |   |              |
|                                                |   | * |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
|                                                | * |   | * |   |              |
|                                                | * |   | * |   |              |
|                                                | Y |   | N |   |              |
|                                                | e |   | o |   |              |
|                                                | s |   | * |   |              |
|                                                | * |   | * |   |              |
|                                                | * |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| 20-year cash flow statement (in year of        |   |   |   |   |              |
| expenditure dollars) including capital and     |   |   |   |   |              |
| operating financial plans (provided both       |   |   |   |   |              |
| electronically and in hardcopy). The cash flow |   |   |   |   |              |
| statement should clearly show revenues and     |   |   |   |   |              |
| expenses for the project separated from those  |   |   |   |   |              |
| for the remainder of the transit system.       |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| Detailed written description/discussion of all |   |   |   |   |              |
| assumptions used in the financial plan         |   |   |   |   |              |
| including:                                     |   |   |   |   |              |
|                                                |   |   |   |   |              |
| > Federal/state/local/debt proceeds funding    |   |   |   |   |              |
| > assumptions                                  |   |   |   |   |              |
| >                                              |   |   |   |   |              |
| > Average fare assumption                      |   |   |   |   |              |
| >                                              |   |   |   |   |              |
| > Average weekday ridership assumptions        |   |   |   |   |              |
| >                                              |   |   |   |   |              |
| > Debt coverage requirements/assumptions       |   |   |   |   |              |
| >                                              |   |   |   |   |              |
| > Assumptions used in the calculation of       |   |   |   |   |              |
| > operating expenses for each mode (i.e. \--   |   |   |   |   |              |
| > vehicle miles, vehicle hours of service      |   |   |   |   |              |
| > provided, etc.)                              |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| FTA Templates 1 and 13                         |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| Capital cost estimate for the proposed project |   |   |   |   |              |
| (in year of expenditure dollars) in the FTA    |   |   |   |   |              |
| standardized cost category worksheet format    |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| Sensitivity Analysis                           |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| Supporting Documentation Including:            |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Background information and description of    |   |   |   |   |              |
| > the New Starts fixed guideway project,       |   |   |   |   |              |
| > including project status                     |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Historical revenue and expense data (minimum |   |   |   |   |              |
| > of 5 years required, more than 5 years       |   |   |   |   |              |
| > appreciated)                                 |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Commitment letters, contracts, agreements,   |   |   |   |   |              |
| > legislative referendums or other documents   |   |   |   |   |              |
| > demonstrating local share commitment of      |   |   |   |   |              |
| > non-Federal funding partners                 |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Enacting legislative documents for tax       |   |   |   |   |              |
| > referenda                                    |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Joint development agreements, or description |   |   |   |   |              |
| > and supporting documentation of other        |   |   |   |   |              |
| > innovative financing techniques, if          |   |   |   |   |              |
| > applicable                                   |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Annual Operating and Capital Budgets for the |   |   |   |   |              |
| > past 3 years                                 |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Audited Financial Statements and Compliance  |   |   |   |   |              |
| > Reports for the past 3 years                 |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Annual Reports/Comprehensive Annual          |   |   |   |   |              |
| > Financial Reports (CAFR) for the past 3      |   |   |   |   |              |
| > years                                        |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Background information and description of    |   |   |   |   |              |
| > the transit agency, including organizational |   |   |   |   |              |
| > structure and grantee enabling legislation   |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > TIP, STIP and Short Range Transit Plan       |   |   |   |   |              |
| > (SRTP), if available (please provide only    |   |   |   |   |              |
| > relevant pages of these documents)           |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Regional Long Range Transportation Plan      |   |   |   |   |              |
| > (please provide only relevant pages)         |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Sponsoring Agency's Capital Improvement      |   |   |   |   |              |
| > Program Document                             |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Bus and Rail Fleet Management Plans          |   |   |   |   |              |
| > including fleet replacement schedules        |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Latest bonding prospectus/credit facility    |   |   |   |   |              |
| > documents (credit lines, commercial paper,   |   |   |   |   |              |
| > etc.)                                        |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Local development, demographic and economic  |   |   |   |   |              |
| > studies used in preparing the financial      |   |   |   |   |              |
| > plan, plus documentation supporting          |   |   |   |   |              |
| > efficiency or productivity gain assumptions  |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+
| > Other materials (if any), please describe:   |   |   |   |   |              |
+------------------------------------------------+---+---+---+---+--------------+

# Template 13: New Starts Project Finance Worksheet

+------------------------+---------+----------------+-------+---+-----+
| **PROJECT NAME**:      |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| Total Capital Cost of  | \$      | Total Capital  |       | \ |     |
| Project in Base Year   |         | Cost of        |       | $ |     |
| (Constant 2006) \$:    |         | Project in YOE |       |   |     |
| (from SCC Main         |         | \$ (including  |       |   |     |
| Worksheet)             |         | finance        |       |   |     |
|                        |         | charges, cost  |       |   |     |
|                        |         | of PE and FD,  |       |   |     |
|                        |         | and            |       |   |     |
|                        |         | construction): |       |   |     |
|                        |         | (from SCC Main |       |   |     |
|                        |         | Worksheet)     |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| **Section 5309 New     | \$      | **Section 5309 |       | \ |     |
| Starts Funding         |         | New Starts     |       | % |     |
| Anticipated (YOE       |         | Share of       |       |   |     |
| \$):**                 |         | Project Cost   |       |   |     |
|                        |         | (%):**         |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| **Estimated Cost of    | \$      | **Estimated    |       | \ |     |
| Preliminary            |         | Cost of Final  |       | $ |     |
| Engineering (YOE       |         | Design (YOE    |       |   |     |
| \$):**                 |         | \$):**         |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| Total Finance Charges  |         |                |       | \ |     |
| Included in Capital    |         |                |       | $ |     |
| Cost (include only     |         |                |       |   |     |
| finance charges that   |         |                |       |   |     |
| are expected prior to  |         |                |       |   |     |
| either the revenue     |         |                |       |   |     |
| operations date or the |         |                |       |   |     |
| fulfillment of the     |         |                |       |   |     |
| Section 5309 New       |         |                |       |   |     |
| Starts funding         |         |                |       |   |     |
| commitment): (from SCC |         |                |       |   |     |
| Main Worksheet)        |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| Other Federal Capital  |         | **Type of      | **D   |   | **% |
| Funding                |         | Funds**        | ollar |   | of  |
|                        |         |                | Amo   |   | To  |
| (Non-5309 New Starts   |         |                | unt** |   | tal |
| Funds such as FTA      |         |                |       |   | C   |
| Section 5307, Surface  |         |                |       |   | api |
| Transportation Program |         |                |       |   | tal |
| (STP), Congestion      |         |                |       |   | Cos |
| Mitigation and Air     |         |                |       |   | t** |
| Quality (CMAQ),        |         |                |       |   |     |
| Section 5309 Rail      |         |                |       |   |     |
| Modernization, etc.)   |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 1\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 2\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 3\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 4\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| **State Capital        |         | **Type of      | **D   |   | **% |
| Funding Sources**      |         | Funds**        | ollar |   | of  |
|                        |         |                | Amo   |   | To  |
| (Funds provided by     |         |                | unt** |   | tal |
| State agencies or      |         |                |       |   | C   |
| State legislatures     |         |                |       |   | api |
| such as bonds,         |         |                |       |   | tal |
| dedicated sales tax,   |         |                |       |   | Cos |
| annual legislative     |         |                |       |   | t** |
| appropriation,         |         |                |       |   |     |
| transportation trust   |         |                |       |   |     |
| funds, etc.)           |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 1\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 2\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 3\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 4\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+
| 5\)                    |         |                |       |   |     |
+------------------------+---------+----------------+-------+---+-----+

+-----------------------------------+----------------+----------+-----+
| **PROJECT NAME**:                 |                |          |     |
+-----------------------------------+----------------+----------+-----+
| Local Capital Funding Sources     | **Type of      | **Dollar | **% |
|                                   | Funds**        | Amount** | of  |
| (Municipal, City, County,         |                |          | To  |
| Township, or Regional funding     |                |          | tal |
| such as bonds, dedicated sales    |                |          | C   |
| tax, annual legislative           |                |          | api |
| appropriation, regional           |                |          | tal |
| transportation trust funds, etc.) |                |          | Cos |
|                                   |                |          | t** |
+-----------------------------------+----------------+----------+-----+
| 1\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 2\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 3\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 4\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 5\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 6\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| **Private Sector/In-kind          | **Type of      | **Dollar | **% |
| match/Other**                     | Funds**        | Amount** | of  |
|                                   |                |          | To  |
| (Donations of right-of-way,       |                |          | tal |
| construction of stations or       |                |          | C   |
| parking, or the provision of      |                |          | api |
| funding for the project from a    |                |          | tal |
| non-governmental entity,          |                |          | Cos |
| business, or business             |                |          | t** |
| association.)                     |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 1\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 2\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| 3\)                               |                |          |     |
+-----------------------------------+----------------+----------+-----+
| **TOTAL NON-SECTION 5309 SHARE**  |                |          |     |
+-----------------------------------+----------------+----------+-----+

+---------------------+------------+-----------------+-----------------+
| PROJECT NAME:       |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| **New Starts        |            |                 |                 |
| Project Financial   |            |                 |                 |
| Commitment**        |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| **Other Federal     | **Specify  | **Specify       | **Identify      |
| Sources**           | Whether    | Status of Funds | Supporting      |
|                     | New or     | \--Committed,   | Documentation   |
| (Should correspond  | Existing   | Budgeted, or    | Submitted to    |
| to sources listed   | Funding    | Planned**       | Verify Funding  |
| on page 1)          | Source**   |                 | Source**        |
|                     |            | **(See          |                 |
|                     |            | reference notes |                 |
|                     |            | below)**        |                 |
+---------------------+------------+-----------------+-----------------+
| 1\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 2\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 3\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 4\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| **State Sources**   |            |                 |                 |
|                     |            |                 |                 |
| (Should correspond  |            |                 |                 |
| to sources listed   |            |                 |                 |
| on page 1)          |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 1\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 2\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 3\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 4\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 5\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| Local Sources       |            |                 |                 |
|                     |            |                 |                 |
| (Should correspond  |            |                 |                 |
| to sources listed   |            |                 |                 |
| on page 1)          |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 1\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 2\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 3\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 4\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 5\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 6\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| **Private           |            |                 |                 |
| Sector/In-kind      |            |                 |                 |
| Match/Other**       |            |                 |                 |
| (Should correspond  |            |                 |                 |
| to Sources listed   |            |                 |                 |
| on page 1)          |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 1\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 2\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 3\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+
| 4\)                 |            |                 |                 |
+---------------------+------------+-----------------+-----------------+

**Reference Notes:**

1.  The following categories and definitions are applied to funding
    sources:

-   Committed: Committed sources are programmed capital funds that have
    all the necessary approvals (legislative or referendum) to be used
    to fund the proposed project without any additional action. These
    capital funds have been formally programmed in the MPO's TIP and/or
    any related local, regional, or state CIP or appropriation. Examples
    include dedicated or approved tax revenues, state capital grants
    that have been approved by all required legislative bodies, cash
    reserves that have been dedicated to the proposed project, and
    additional debt capacity that requires no further approvals and has
    been dedicated by the transit agency to the proposed project.

-   Budgeted: This category is for funds that have been budgeted and/or
    programmed for use on the proposed project but remain uncommitted,
    i.e., the funds have not yet received statutory approval. Examples
    include debt financing in an agency-adopted CIP that has yet to
    receive final legislative approval, or state capital grants that
    have been included in the state budget, but are still awaiting
    legislative approval. These funds are almost certain to be committed
    in the near future. Funds will be classified as budgeted where
    available funding cannot be committed until the Full Funding Grant
    Agreement (FFGA) is executed, or due to local practices outside of
    the project sponsor's control (e.g., the project development
    schedule extends beyond the TIP period).

-   Planned: This category is for funds that are identified and have a
    reasonable chance of being committed, but are neither committed nor
    budgeted. Examples include proposed sources that require a scheduled
    referendum, reasonable requests for state/local capital grants, and
    proposed debt financing that has not yet been adopted in the
    agency's CIP.

-   

+---------------------+---+---------+-----+-----------+----------------+
| **PROJECT NAME:**   |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Innovative          |   |         |     |           |                |
| Financing Methods   |   |         |     |           |                |
|                     |   |         |     |           |                |
| (Unconventional     |   |         |     |           |                |
| sources of funding  |   |         |     |           |                |
| which may include   |   |         |     |           |                |
| TIFIA, State        |   |         |     |           |                |
| Infrastructure      |   |         |     |           |                |
| Banks,              |   |         |     |           |                |
| Public/Private      |   |         |     |           |                |
| partnerships, Toll  |   |         |     |           |                |
| Investment Credits, |   |         |     |           |                |
| revenue finance     |   |         |     |           |                |
| methods, etc.)      |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| **Innovative        | * |         |     | *         |                |
| Funding Source**    | * |         |     | *Identify |                |
|                     | A |         |     | S         |                |
|                     | n |         |     | upporting |                |
|                     | t |         |     | Docu      |                |
|                     | i |         |     | mentation |                |
|                     | c |         |     | Su        |                |
|                     | i |         |     | bmitted** |                |
|                     | p |         |     |           |                |
|                     | a |         |     |           |                |
|                     | t |         |     |           |                |
|                     | e |         |     |           |                |
|                     | d |         |     |           |                |
|                     | F |         |     |           |                |
|                     | u |         |     |           |                |
|                     | n |         |     |           |                |
|                     | d |         |     |           |                |
|                     | i |         |     |           |                |
|                     | n |         |     |           |                |
|                     | g |         |     |           |                |
|                     | A |         |     |           |                |
|                     | m |         |     |           |                |
|                     | o |         |     |           |                |
|                     | u |         |     |           |                |
|                     | n |         |     |           |                |
|                     | t |         |     |           |                |
|                     | * |         |     |           |                |
|                     | * |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
|                     |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
|                     |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
|                     |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
|                     |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| ##### Op            |   |         |     |           |                |
| erating and Mainten |   |         |     |           |                |
| ance Cost Worksheet |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| **Current Transit   |   |         |     |           |                |
| System Operating    |   |         |     |           |                |
| Characteristics**   |   |         |     |           |                |
| (From National      |   |         |     |           |                |
| Transit Database.   |   |         |     |           |                |
| Otherwise, the      |   |         |     |           |                |
| Baseline            |   |         |     |           |                |
| alternative transit |   |         |     |           |                |
| system operating    |   |         |     |           |                |
| characteristics may |   |         |     |           |                |
| suffice, provided   |   |         |     |           |                |
| that sufficient     |   |         |     |           |                |
| detail is provided) |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| **Current Sources   |   | **D     | T   |           | An             |
| of Operating        |   | ollar** | ype |           | nual/Dedicated |
| Funds** (Existing   |   |         | of  |           |                |
| sources of funds    |   | **A     | F   |           | (Note whether  |
| used to support     |   | mount** | und |           | the funds must |
| operating expenses  |   |         | ing |           | be             |
| of the transit      |   |         | Sou |           | appropriated   |
| system. These       |   |         | rce |           | by legislative |
| typically include a |   |         |     |           | action or      |
| mixture of farebox  |   |         | (F  |           | renewed        |
| revenues and State  |   |         | are |           | ANNUALLY, or   |
| and Local funding   |   |         | box |           | whether the    |
| sources.)           |   |         | rev |           | funding is     |
|                     |   |         | enu |           | DEDICATED to   |
|                     |   |         | es, |           | transit system |
|                     |   |         | ad  |           | operating      |
|                     |   |         | ver |           | expenses       |
|                     |   |         | tis |           | independent of |
|                     |   |         | ing |           | annual         |
|                     |   |         | rev |           | legislative    |
|                     |   |         | enu |           | action)        |
|                     |   |         | es, |           |                |
|                     |   |         | ded |           |                |
|                     |   |         | ica |           |                |
|                     |   |         | ted |           |                |
|                     |   |         | sa  |           |                |
|                     |   |         | les |           |                |
|                     |   |         | t   |           |                |
|                     |   |         | ax, |           |                |
|                     |   |         | ann |           |                |
|                     |   |         | ual |           |                |
|                     |   |         | le  |           |                |
|                     |   |         | gis |           |                |
|                     |   |         | lat |           |                |
|                     |   |         | ive |           |                |
|                     |   |         | ap  |           |                |
|                     |   |         | pro |           |                |
|                     |   |         | pri |           |                |
|                     |   |         | ati |           |                |
|                     |   |         | on, |           |                |
|                     |   |         | re  |           |                |
|                     |   |         | gio |           |                |
|                     |   |         | nal |           |                |
|                     |   |         | tr  |           |                |
|                     |   |         | ans |           |                |
|                     |   |         | por |           |                |
|                     |   |         | tat |           |                |
|                     |   |         | ion |           |                |
|                     |   |         | tr  |           |                |
|                     |   |         | ust |           |                |
|                     |   |         | fun |           |                |
|                     |   |         | ds, |           |                |
|                     |   |         | pr  |           |                |
|                     |   |         | ope |           |                |
|                     |   |         | rty |           |                |
|                     |   |         | tax |           |                |
|                     |   |         | as  |           |                |
|                     |   |         | ses |           |                |
|                     |   |         | sme |           |                |
|                     |   |         | nt, |           |                |
|                     |   |         | or  |           |                |
|                     |   |         | any |           |                |
|                     |   |         | ot  |           |                |
|                     |   |         | her |           |                |
|                     |   |         | pot |           |                |
|                     |   |         | ent |           |                |
|                     |   |         | ial |           |                |
|                     |   |         | lo  |           |                |
|                     |   |         | cal |           |                |
|                     |   |         | f   |           |                |
|                     |   |         | und |           |                |
|                     |   |         | ing |           |                |
|                     |   |         | s   |           |                |
|                     |   |         | our |           |                |
|                     |   |         | ce) |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Farebox Revenues    |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| State Revenue       |   |         |     |           |                |
| Source A            |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| State Revenue       |   |         |     |           |                |
| Source B            |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| State Revenue       |   |         |     |           |                |
| Source C            |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Local Revenue       |   |         |     |           |                |
| Source A            |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Local Revenue       |   |         |     |           |                |
| Source B            |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Local Revenue       |   |         |     |           |                |
| Source C            |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Other               |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+
| Total               |   |         |     |           |                |
+---------------------+---+---------+-----+-----------+----------------+

+------------------------+----------+-----------------------+----------+
| **PROJECT NAME:**      |          |                       |          |
+------------------------+----------+-----------------------+----------+
| ##### Summar           |          |                       |          |
| y Data from the Propos |          |                       |          |
| ed New Starts Project  |          |                       |          |
| Operating Finance Plan |          |                       |          |
+------------------------+----------+-----------------------+----------+
| New Starts Project     |          | Total Transit System  |          |
|                        |          | (including New Starts |          |
| Average Annual         |          | Project) Annual       |          |
| Operating Cost         |          | Operating Cost        |          |
|                        |          |                       |          |
| Forecast Year Dollar   |          | Forecast Year Dollar  |          |
| Amount (YOE \$):       |          | Amount (YOE \$)       |          |
+------------------------+----------+-----------------------+----------+
| **Proposed Sources of  | **Dollar | **Type of Funding     | **An     |
| Operating Funds**      | Amount** | Source**              | nual/Ded |
| (Proposed sources of   |          |                       | icated** |
| operating funds that   |          |                       |          |
| are anticipated to     |          |                       |          |
| support operating      |          |                       |          |
| expenses of the        |          |                       |          |
| transit system. These  |          |                       |          |
| typically include a    |          |                       |          |
| mixture of farebox     |          |                       |          |
| revenues and State and |          |                       |          |
| Local funding sources) |          |                       |          |
+------------------------+----------+-----------------------+----------+
| Farebox Revenues       |          |                       |          |
+------------------------+----------+-----------------------+----------+
| State Revenue Source A |          |                       |          |
+------------------------+----------+-----------------------+----------+
| State Revenue Source B |          |                       |          |
+------------------------+----------+-----------------------+----------+
| Local Revenue Source A |          |                       |          |
+------------------------+----------+-----------------------+----------+
| Local Revenue Source B |          |                       |          |
+------------------------+----------+-----------------------+----------+
| Other                  |          |                       |          |
+------------------------+----------+-----------------------+----------+
| Total                  |          |                       |          |
+------------------------+----------+-----------------------+----------+
| **Transit System       |          |                       |          |
| Operating              |          |                       |          |
| Characteristics**      |          |                       |          |
+------------------------+----------+-----------------------+----------+
| **Current Systemwide   | **Number | **Future Transit      | Numb     |
| Characteristics**      | /Value** | System with New       | er/Value |
|                        |          | Starts Project**      |          |
| (Can be the same data  |          | (Systemwide           |          |
| as reported to FTA for |          | characteristics at    |          |
| the National Transit   |          | completion of the New |          |
| Database)              |          | Starts Project)       |          |
+------------------------+----------+-----------------------+----------+
| Farebox Recovery       |          | Farebox Recovery      |          |
| Percent                |          | Percent               |          |
+------------------------+----------+-----------------------+----------+
| Number of Buses        |          | Number of Buses       |          |
+------------------------+----------+-----------------------+----------+
| Number of Rail         |          | Number of Rail        |          |
| Vehicles (type)        |          | Vehicles              |          |
+------------------------+----------+-----------------------+----------+
| Current Annual         |          | Annual Passenger      |          |
| Passenger Boardings    |          | Boardings (Forecast)  |          |
+------------------------+----------+-----------------------+----------+
| Daily Passenger        |          | Daily Passenger       |          |
| Boardings              |          | Boardings (Forecast)  |          |
+------------------------+----------+-----------------------+----------+
| Average Fare           |          | Average Fare          |          |
+------------------------+----------+-----------------------+----------+
| Average Age of Buses   |          | Revenue Miles of      |          |
|                        |          | Service Provided      |          |
+------------------------+----------+-----------------------+----------+
| Average Age of Rail    |          | Revenue Hours of      |          |
| Vehicles               |          | Service Provided      |          |
+------------------------+----------+-----------------------+----------+
| Revenue Miles of       |          |                       |          |
| Service Provided       |          |                       |          |
+------------------------+----------+-----------------------+----------+
| Revenue Hours of       |          |                       |          |
| Service Provided       |          |                       |          |
+------------------------+----------+-----------------------+----------+

+----------------------+-------------+-------+---+------+---+---+-------+
| **PROJECT NAME:**    |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| **Prior State or     | **Project   |       |   | **Do |   | * |       |
| Local Expenditures   | or Funding  |       |   | llar |   | * |       |
| for Project          | Type**      |       |   | Val  |   | % |       |
| Plan                 |             |       |   | ue** |   | o |       |
| ning/ROW/Overmatch** |             |       |   |      |   | f |       |
| (Includes all funds  |             |       |   |      |   | T |       |
| expended by State or |             |       |   |      |   | o |       |
| local government     |             |       |   |      |   | t |       |
| agencies for project |             |       |   |      |   | a |       |
| planning,            |             |       |   |      |   | l |       |
| environmental        |             |       |   |      |   | C |       |
| studies,             |             |       |   |      |   | o |       |
| right-of-way         |             |       |   |      |   | s |       |
| purchases, or        |             |       |   |      |   | t |       |
| construction         |             |       |   |      |   | s |       |
| EXCLUDING funds      |             |       |   |      |   | * |       |
| allocated to match   |             |       |   |      |   | * |       |
| Federal funds to     |             |       |   |      |   |   |       |
| perform similar      |             |       |   |      |   |   |       |
| tasks)               |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 1\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 2\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 3\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 4\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 5\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| **Prior State or     | **Identify  |       |   |      |   |   |       |
| Local Expenditures   | Supporting  |       |   |      |   |   |       |
| for Project          | Do          |       |   |      |   |   |       |
| Plan                 | cumentation |       |   |      |   |   |       |
| ning/ROW/Overmatch** | Submitted** |       |   |      |   |   |       |
| (Should correspond   |             |       |   |      |   |   |       |
| to those listed      |             |       |   |      |   |   |       |
| above)               |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 1\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 2\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 3\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 4\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| 5\)                  |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| **Previous New       |             |       |   |      |   |   |       |
| Starts Investments   |             |       |   |      |   |   |       |
| in the Region**      |             |       |   |      |   |   |       |
|                      |             |       |   |      |   |   |       |
| (Briefly describe    |             |       |   |      |   |   |       |
| previous New Starts  |             |       |   |      |   |   |       |
| major capital        |             |       |   |      |   |   |       |
| investments within   |             |       |   |      |   |   |       |
| the region. Include  |             |       |   |      |   |   |       |
| the project name and |             |       |   |      |   |   |       |
| the amount and       |             |       |   |      |   |   |       |
| percent of Federal   |             |       |   |      |   |   |       |
| and Non-Section 5309 |             |       |   |      |   |   |       |
| New Starts funding   |             |       |   |      |   |   |       |
| sources used for     |             |       |   |      |   |   |       |
| construction.)       |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
| **Project Name**     |             | **Fe  |   |      | * |   |       |
|                      |             | deral |   |      | * |   |       |
|                      |             | Fu    |   |      | S |   |       |
|                      |             | nding |   |      | t |   |       |
|                      |             | Sh    |   |      | a |   |       |
|                      |             | are** |   |      | t |   |       |
|                      |             |       |   |      | e |   |       |
|                      |             |       |   |      | / |   |       |
|                      |             |       |   |      | L |   |       |
|                      |             |       |   |      | o |   |       |
|                      |             |       |   |      | c |   |       |
|                      |             |       |   |      | a |   |       |
|                      |             |       |   |      | l |   |       |
|                      |             |       |   |      | F |   |       |
|                      |             |       |   |      | u |   |       |
|                      |             |       |   |      | n |   |       |
|                      |             |       |   |      | d |   |       |
|                      |             |       |   |      | i |   |       |
|                      |             |       |   |      | n |   |       |
|                      |             |       |   |      | g |   |       |
|                      |             |       |   |      | S |   |       |
|                      |             |       |   |      | h |   |       |
|                      |             |       |   |      | a |   |       |
|                      |             |       |   |      | r |   |       |
|                      |             |       |   |      | e |   |       |
|                      |             |       |   |      | * |   |       |
|                      |             |       |   |      | * |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             | **Amo | * |      | * |   | *     |
|                      |             | unt** | * |      | * |   | *Perc |
|                      |             |       | P |      | A |   | ent** |
|                      |             |       | e |      | m |   |       |
|                      |             |       | r |      | o |   |       |
|                      |             |       | c |      | u |   |       |
|                      |             |       | e |      | n |   |       |
|                      |             |       | n |      | t |   |       |
|                      |             |       | t |      | * |   |       |
|                      |             |       | * |      | * |   |       |
|                      |             |       | * |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+
|                      |             |       |   |      |   |   |       |
+----------------------+-------------+-------+---+------+---+---+-------+

Instructions for Completing Template 13: New Starts Project Finance
Worksheet

**[Quality Control Checks -- Template 13]{.underline}**

-   The capital costs reported on this template should match what is
    reported in the Main Worksheet of the Standard Cost Categories and
    Template 1 (Project Description)

-   Financing costs should be reported if applicable and included in the
    total capital cost of the project.

-   Verify that the total project cost in constant or base year 2006
    dollars reported on Template 13 differs from that shown on Template
    8 for the Build Alternative Annualized Capital Cost worksheet only
    because the annualized cost does not include finance charges.

-   If the capital cost of the project has changed significantly from
    last year, please provide an explanation.

-   Total Federal funding for the project (New Starts plus other federal
    sources) should not exceed 80 percent.

-   The sum of all proposed sources of operating funds reported on
    Template 13 should equal the total transit system annual operating
    cost in the forecast year.

-   The type of funding sources should be identified for each capital
    and operating revenue source.

Appendix A: Sample Methodology for Estimating Station Area
Socio-Economic Statistics

![](media/image4.wmf){width="4.467361111111111in" height="2.70625in"}

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<col style="width: 8%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 8%" />
<col style="width: 0%" />
<col style="width: 8%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td colspan="7">Census Tract Total</td>
<td colspan="2" rowspan="2"><strong>Fraction of Tract within<br />
1/2 Mile of Station</strong></td>
<td colspan="8"><strong>Within 1/2 Mile of Station</strong></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><strong>Land Area<br />
(sq. mi.)</strong></td>
<td colspan="2"><strong>Pop-ulation</strong></td>
<td colspan="2"><strong>House-holds</strong></td>
<td><strong>Employ-ment</strong></td>
<td colspan="2"><strong>Land Area<br />
(sq. mi.)</strong></td>
<td colspan="2"><strong>Pop-ulation</strong></td>
<td colspan="3"><strong>House-holds</strong></td>
<td><strong>Employ-ment</strong></td>
</tr>
<tr class="odd">
<td colspan="18"><blockquote>
<p><strong>Stations A and B</strong></p>
</blockquote></td>
</tr>
<tr class="even">
<td><blockquote>
<p>Tract 1</p>
</blockquote></td>
<td>0.452</td>
<td colspan="2">2,309</td>
<td colspan="2">987</td>
<td colspan="2">1,654</td>
<td></td>
<td><blockquote>
<p>0.08</p>
</blockquote></td>
<td>0.036</td>
<td colspan="2">185</td>
<td colspan="3">79</td>
<td colspan="2">132</td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Tract 2</p>
</blockquote></td>
<td>0.362</td>
<td colspan="2">133</td>
<td colspan="2">58</td>
<td colspan="2">611</td>
<td></td>
<td><blockquote>
<p>0.06</p>
</blockquote></td>
<td>0.022</td>
<td colspan="2">8</td>
<td colspan="3">4</td>
<td colspan="2">37</td>
</tr>
<tr class="even">
<td><blockquote>
<p>Tract 3</p>
</blockquote></td>
<td>0.294</td>
<td colspan="2">398</td>
<td colspan="2">145</td>
<td colspan="2">1,254</td>
<td></td>
<td><blockquote>
<p>0.52</p>
</blockquote></td>
<td>0.153</td>
<td colspan="2">207</td>
<td colspan="3">76</td>
<td colspan="2">652</td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Tract 4</p>
</blockquote></td>
<td>0.655</td>
<td colspan="2">2,634</td>
<td colspan="2">1,154</td>
<td colspan="2">2,719</td>
<td></td>
<td><blockquote>
<p>0.85</p>
</blockquote></td>
<td>0.557</td>
<td colspan="2">2,239</td>
<td colspan="3">981</td>
<td colspan="2">2,311</td>
</tr>
<tr class="even">
<td><blockquote>
<p>Tract 5</p>
</blockquote></td>
<td>0.429</td>
<td colspan="2">1,038</td>
<td colspan="2">393</td>
<td colspan="2">858</td>
<td></td>
<td><blockquote>
<p>0.41</p>
</blockquote></td>
<td>0.176</td>
<td colspan="2">425</td>
<td colspan="3">161</td>
<td colspan="2">352</td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Tract 6</p>
</blockquote></td>
<td>0.416</td>
<td colspan="2">2,412</td>
<td colspan="2">887</td>
<td colspan="2">1,477</td>
<td></td>
<td><blockquote>
<p>0.19</p>
</blockquote></td>
<td>0.079</td>
<td colspan="2">458</td>
<td colspan="3">168</td>
<td colspan="2">281</td>
</tr>
<tr class="even">
<td><blockquote>
<p>Tract 7</p>
</blockquote></td>
<td>0.380</td>
<td colspan="2">2,088</td>
<td colspan="2">856</td>
<td colspan="2">2,785</td>
<td></td>
<td><blockquote>
<p>0.54</p>
</blockquote></td>
<td>0.205</td>
<td colspan="2">1,127</td>
<td colspan="3">462</td>
<td colspan="2">1,504</td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Tract 8</p>
</blockquote></td>
<td>0.434</td>
<td colspan="2">2,344</td>
<td colspan="2">991</td>
<td colspan="2">2,031</td>
<td></td>
<td><blockquote>
<p>0.68</p>
</blockquote></td>
<td>0.295</td>
<td colspan="4">1.720</td>
<td>720</td>
<td colspan="2">1,349</td>
</tr>
<tr class="even">
<td><blockquote>
<p>Subtotal</p>
</blockquote></td>
<td>3.422</td>
<td colspan="2">13,542</td>
<td colspan="2">5,541</td>
<td colspan="2">13,342</td>
<td></td>
<td></td>
<td>1.523</td>
<td colspan="2">6,370</td>
<td colspan="3">2,652</td>
<td colspan="2">6,618</td>
</tr>
<tr class="odd">
<td colspan="18"><blockquote>
<p><strong>Station C</strong></p>
</blockquote></td>
</tr>
<tr class="even">
<td><blockquote>
<p>Tract 9</p>
</blockquote></td>
<td>0.355</td>
<td colspan="2">1,816</td>
<td colspan="2">722</td>
<td colspan="2">610</td>
<td></td>
<td><blockquote>
<p>0.24</p>
</blockquote></td>
<td>0.085</td>
<td colspan="2">436</td>
<td colspan="3">173</td>
<td colspan="2">146</td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Tract 10</p>
</blockquote></td>
<td>0.462</td>
<td colspan="2">70</td>
<td colspan="2">31</td>
<td colspan="2">1,569</td>
<td></td>
<td><blockquote>
<p>0.40</p>
</blockquote></td>
<td>0.185</td>
<td colspan="2">28</td>
<td colspan="3">12</td>
<td colspan="2">628</td>
</tr>
<tr class="even">
<td><blockquote>
<p>Tract 11</p>
</blockquote></td>
<td>0.504</td>
<td colspan="2">2,645</td>
<td colspan="2">1,156</td>
<td colspan="2">760</td>
<td></td>
<td><blockquote>
<p>0.33</p>
</blockquote></td>
<td>0.166</td>
<td colspan="2">873</td>
<td colspan="3">381</td>
<td colspan="2">251</td>
</tr>
<tr class="odd">
<td><blockquote>
<p>Tract 12</p>
</blockquote></td>
<td>0.540</td>
<td colspan="2">2,573</td>
<td colspan="2">1,010</td>
<td colspan="2">1,873</td>
<td></td>
<td><blockquote>
<p>0.65</p>
</blockquote></td>
<td>0.351</td>
<td colspan="2">1,730</td>
<td colspan="3">687</td>
<td colspan="2">67</td>
</tr>
<tr class="even">
<td><blockquote>
<p>Subtotal</p>
</blockquote></td>
<td>1.860</td>
<td colspan="2">7,192</td>
<td colspan="2">2,966</td>
<td colspan="2">3,041</td>
<td></td>
<td></td>
<td>0.787</td>
<td colspan="2">3,066</td>
<td colspan="3">1,254</td>
<td colspan="2">1,091</td>
</tr>
<tr class="odd">
<td>Total</td>
<td>5.282</td>
<td colspan="2">20,734</td>
<td colspan="2">8,507</td>
<td colspan="2">16,384</td>
<td></td>
<td></td>
<td>2.310</td>
<td colspan="2">9,437</td>
<td colspan="3">3,906</td>
<td colspan="2">7,709</td>
</tr>
</tbody>
</table>

**Sample Methodology for Estimating Station Area Population,
Households**

Instructions for computing station area data:

1.  Plot each station location on a map showing census tracts or,
    alternatively, Traffic Analysis Zones (TAZs).

2.  Draw a circle of ½ mile radius around each station.

3.  Obtain data on total land area, population, households, and
    employment for the tracts or zones that fall partially or completely
    within the station areas. Land area, population, and households can
    be obtained from the census (for census tracts) or from a regional
    land use database used for travel forecasting modeling (for TAZs).
    The regional MPO should have these data available. Employment data
    at the tract or TAZ level may be obtained from the MPO.

4.  Estimate the total land area, population, households, and employment
    contained within each ½ mile station radius by summing the data for
    each tract or zone that falls within the ½ mile station radius. For
    tracts or TAZs that partially fall within the ½ mile station radius,
    station-area population, households, and employment should be
    estimated by multiplying the total for the zone by the proportion of
    the zone estimated to fall within the ½ mile radius. The proportion
    of the zone falling within the ½ mile radius can be estimated either
    visually or using GIS.

5.  Avoid double counting of population and employment for stations that
    are less than 1 mile apart. This can be done in two ways: (a) draw a
    line dividing the area enclosed by the overlapping circles into two
    parts; or, (b) group stations that are less than **1 mile** apart
    into clusters and report total data for each cluster (as shown for
    Stations A and B in the table above). In either case, please report
    the total land area encompassed by the overlapping circles. (Total
    land area for individual stations not grouped together should be
    roughly the area enclosed by a circle of ½-mile radius, i.e.,
    3.1415\*(0.5)\^2 = 0.785 sq. mi.)

6.  If possible, attach a map showing station locations, ½ mile radii,
    and census tracts or traffic analysis zones, along with a Table
    listing the tracts or zones, estimated proportion of each within ½
    mile of the station, and population, households, and/or employment
    for the tract.

Appendix B: FY 2008 New Starts Evaluation and Rating Process

This document describes the methodology that the Federal Transit
Administration (FTA) will use to evaluate, rate, and recommend funding
for candidate New Starts projects beginning May 2006, including FTA's
evaluations for the *FY 2008 Annual Report on New Starts*. This
methodology is similar to the process used in the evaluation of projects
included in the *FY 2004-2007 Annual Reports on New Starts*, and is
consistent with FTA's *Final Rule on Major Capital Investment Projects*
issued on December 7, 2000.

The bulk of this appendix is based on processes that were developed
before passage of the Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for Users (SAFETEA-LU) which was
signed into law on August 10, 2005. However, FTA intends that the FY
2008 project evaluation process will continue to reflect two changes
established in SAFETEA-LU which FTA had implemented in time for the FY
2007 evaluation cycle. Specifically, SAFETEA-LU replaced a three-point
rating scale with a five-point scale, with the overall project rating
designations of *Highly Recommended*, *Recommended*, and *Not
Recommended* replaced with *Low*, *Medium-Low*, *Medium*, *Medium‑High*,
and *High*. In addition, SAFETEA-LU, while continuing to require that a
project's overmatch be evaluated, added a clause that nothing in the Act
shall be construed as authorizing the Secretary to require a non-Federal
financial commitment for a project that is more than 20 percent of the
net capital project cost. Project sponsors are still encouraged to
request the lowest New Starts share possible given limited fund
availability and the overall funding demand of projects in the New
Starts pipeline.

Section I of this appendix introduces the legislative background of
FTA's project evaluation and rating responsibilities; identifies each of
the statutory criteria used by FTA in its evaluation process; and
summarizes the overall project evaluation and rating process. Sections
II and III describe the specific project justification and local
financial commitment measures and ratings, respectively, including an
explanation of the rating ranges and thresholds for each individual
measure, and how they are rolled up into aggregate criteria ratings.
Section IV concludes with a summary of what the overall project rating
will mean for funding recommendations in the President's Budget for FY
2008. All funding recommendations in the President's Budget are subject
to the availability of appropriations.

This document is supplemented by two additional documents. *Guidelines
and Standards for Assessing Transit-Supportive Land Use* and *Guidelines
and Standards for Assessing Local Financial Commitment* provide
additional detail on the process FTA uses to evaluate these two
criteria. These materials are posted on FTA's website at its site for
*New Starts Project Planning and Development*:

<http://www.fta.dot.gov/grant_programs/transportation_planning/9924_ENG_HTML.htm>.

FTA reminds the audience of this appendix that project evaluation is an
on-going process. It is based on an analysis of Section 5309 New Starts
Criteria and documentation submitted to FTA by local agencies. As New
Starts projects proceed through project development, the estimates of
costs, benefits, and impacts are refined. The FTA ratings and
recommendations will be updated at least annually to reflect new
information, changing conditions, and refined financing plans.

**I. LEGISLATIVE BACKGROUND**

SAFETEA-LU continues the evaluation process provisions first established
by the Transportation Equity Act for the 21^st^ Century (TEA-21) in
1998. SAFETEA-LU requires the U.S. Department of Transportation to
submit an annual report to Congress (*Annual Report on New Starts*) that
includes a proposal on the allocation of funds among applicants for
amounts to be made available to finance grants and loans for capital
projects for new fixed guideway systems and extensions to existing fixed
guideway systems. It also requires that the annual report include the
Secretary's evaluations and ratings of the capital projects seeking
grants or loans for new or extended fixed guideway systems.

Like TEA-21, SAFETEA-LU mandates that proposed New Starts projects must
receive FTA approval to advance from "alternatives analysis" to
"preliminary engineering," and from "preliminary engineering" to "final
design and construction." This approval is based, in large part, on an
evaluation of the proposed project's New Starts criteria.

FTA's evaluation includes a review of each project's New Starts criteria
and the assignment of a rating to each criterion. Based on these
criteria-specific ratings, FTA assigns candidate New Starts projects
summary ratings for project justification and local financial
commitment, as well as provide an overall project rating. Sections 1.A
and 1.B below present the criteria used by FTA in its New Starts
evaluation process; Section 1.C provides an overview of how these
criteria fit into the overall evaluation process; and Section 1.D
summarizes how overall project ratings are derived.

***I.A Project Justification Criteria***

Similar to TEA-21, SAFETEA-LU Section 3011(a)(49 USC 5309(d)) requires
that projects proposed for New Starts funding be justified based on a
comprehensive review of the following criteria:

-   Mobility Improvements;

-   Environmental Benefits;

-   Operating Efficiencies;

-   Cost Effectiveness; and

-   Transit Supportive Land Use Policies and Future Patterns

SAFETEA-LU also continues the TEA-21 requirement of considering "other
factors."

SAFETEA-LU further requires that FTA consider in its review the economic
development effects of New Starts projects. FTA desires through the
rulemaking process to work with the industry on the development of
appropriate factors for measuring the economic development effects of
candidate projects, and therefore will not consider economic development
explicitly in the FY 2008 evaluation cycle as a specific criteria for
evaluation However, FTA does encourage candidate New Starts project
sponsors to submit information which they believe demonstrates the
economic development impacts of their proposed transit investments as an
"other factor." FTA will consider this information per the process used
for rating other factors as described in Section II.G of this document.

Section III of this appendix presents the specific measures FTA will use
in the FY 2008 evaluation cycle to represent each of the project
justification criteria, and how FTA will evaluate them.

***I.B Local Financial Commitment***

Similar to TEA-21, SAFETEA-LU Section 3011(a)(49 USC 5309(d)) requires
that proposed projects also be supported by an acceptable degree of
local financial commitment, including evidence of stable and dependable
financing sources to construct, maintain and operate the transit system.
Section 5309(d) calls for an evaluation of the extent to which the
project has a local financial commitment that exceeds the required
non-Federal share of the cost of the project.

The measures for the evaluation of the local financial commitment to a
proposed project to be used in the FY 2008 evaluation cycle are:

-   The proposed share of total project costs from sources other than
    the Section 5309 New Starts program, including Federal formula and
    flexible funds, the local match required by Federal law, and any
    additional capital funding;

-   The strength of the proposed capital financing plan; and

-   The ability of the sponsoring agency to fund operation and
    maintenance of the entire system as planned once the guideway
    project is built.

Section IV describes how FTA used these measures in its evaluation of
candidate New Starts projects.

***I.C The Evaluation Process***

FTA evaluates proposed New Starts projects against the full range of
criteria for both project justification and local financial commitment,
as described in Figure I-1 on the following page. The specific project
justification and local financial commitment measures included in Figure
I-1 are described in detail in Sections II and III of this appendix,
respectively.

## Figure I-1 New Starts Evaluation Process

![](media/image5.jpeg){width="6.779861111111111in"
height="4.627083333333333in"}

***I.D Overall Project Ratings***

TEA-21 required that an overall project rating of *Highly Recommended*,
*Recommended* or *Not Recommended* be assigned to each proposed project,
based on the results of FTA's evaluation of each of the criteria for
project justification and local financial commitment. However,
SAFETEA-LU Section 5309(d) requires that FTA assign overall ratings on a
5-point scale of *High, Medium-High, Medium, Medium-Low*, or *Low* to
each New Starts project subject to evaluation.

To assign overall project ratings to each proposed New Starts project,
FTA considers the individual ratings for each of the local financial
commitment measures and project justification criteria. FTA combines
this information into summary \"finance\" and \"project justification\"
ratings for each project.

For both project justification and finance, summary ratings are assigned
as one of the following: *High, Medium-High, Medium, Medium-Low* or
*Low*. These summary ratings are then combined into an overall project
rating. Table I-1 on the following page summarizes the decision rules
used to reach overall project ratings under both TEA-21 and SAFETEA-LU,
until FTA completes the rulemaking process. As the table demonstrates,
the decision rules remain unchanged; only the designation assigned to
the project's overall rating is different from prior practice. While FTA
anticipates that it will use the full range of ratings, from *High,
Medium-High, Medium, Medium-Low* to *Low* in making this determination,
it intends to use the simpler designations of *High, Medium* and *Low*
until the completion of rulemaking. FTA desires to receive input from
the transit community before using the five-point rating system.

## 

## Table I-1 FY 2007 Overall Rating Decision Rules

+---------------------------------+------------------+-----------------+
| **Summary Ratings**             | **Overall        | **Overall       |
|                                 | Ratings**        | Ratings**       |
|                                 |                  |                 |
|                                 | **TEA-21**       | **SAFETEA-LU**  |
|                                 |                  |                 |
|                                 | **(FY 2000 -FY   | **(FY 2007-FY   |
|                                 | 2006)**          | 2008)**         |
+---------------------------------+------------------+-----------------+
| At least Medium-high for        | Highly           | High            |
| finance and project             | Recommended      |                 |
| justification                   |                  |                 |
+---------------------------------+------------------+-----------------+
| At least Medium for finance and | Recommended      | Medium          |
| project justification           |                  |                 |
+---------------------------------+------------------+-----------------+
| Not rated at least Medium for   | Not Recommended  | Low             |
| finance and project             |                  |                 |
| justification                   |                  |                 |
+---------------------------------+------------------+-----------------+

FTA reminds New Starts project sponsors that candidate projects will not
receive a designation of **Not Rated** if they receive a *Medium* or
higher rating for finance, but cannot produce acceptable information in
support of their project justification criteria. In cases where such
information is either not submitted or submitted but deemed to be
unreliable, FTA will assign a rating of *Low* to the affected project
justification criteria.

***I.E Ratings: An On-going Process***

Again, it is important to emphasize that project evaluation is an
on-going process. FTA evaluation and rating occurs annually in support
of budget recommendations presented in the *Annual Report on New Starts*
and when a project sponsor requests FTA approval to advance their
proposed New Starts project into preliminary engineering and final
design. Consequently, as proposed New Starts projects proceed through
the project development process, information concerning costs, benefits,
and impacts is refined and the ratings are updated to reflect new
information.

**II. SUMMARY PROJECT JUSTIFICATION RATING**

The following summarizes FTA's process for evaluating the project
justification criteria of proposed New Starts projects.

***II.A Project Justification Rating***

FTA assigns a summary project justification rating of *High,
Medium-High, Medium, Medium‑Low* or *Low* to each project based on
consideration of the ratings applied to the project justification
criteria presented in Section I.A and each of the specific measures
identified in Table II-1 on the following page:

**Table II-1 New Starts Project Justification Criteria and Supporting
Measures and Categories**

+-----------------------------------+-----------------------------------+
| **Criterion**                     | **Measures/Categories**           |
+-----------------------------------+-----------------------------------+
| Cost Effectiveness                | -   Incremental Cost per Hour of  |
|                                   |     Transportation System User    |
|                                   |     Benefit                       |
+-----------------------------------+-----------------------------------+
| Transit Supportive Land Use and   | -   Existing Land Use             |
| Future Patterns                   |                                   |
|                                   | -   Transit Supportive Plans and  |
|                                   |     Policies                      |
|                                   |                                   |
|                                   | -   Performance and Impacts of    |
|                                   |     Policies                      |
+-----------------------------------+-----------------------------------+
| Mobility Improvements             | -   Normalized Travel Time        |
|                                   |     Savings (Transportation       |
|                                   |     System User Benefit per       |
|                                   |     Project Passenger Mile)       |
|                                   |                                   |
|                                   | -   Low-Income Households Served  |
|                                   |                                   |
|                                   | -   Employment Near Stations      |
+-----------------------------------+-----------------------------------+
| Operating Efficiencies            | -   System Operating Cost per     |
|                                   |     Passenger Mile                |
+-----------------------------------+-----------------------------------+
| Environmental Benefits            | -   Change in Regional Pollutant  |
|                                   |     Emissions                     |
|                                   |                                   |
|                                   | -   Change in Regional Energy     |
|                                   |     Consumption                   |
|                                   |                                   |
|                                   | -   EPA Air Quality Designation   |
+-----------------------------------+-----------------------------------+

For mobility improvements and transit supportive land use, projects are
aligned for each measure and category in a continuum of values from
*Low* to *High* and broken into five groups, with each group assigned a
numerative rating of 1 (*Low*) to 5 (*High*). The thresholds that
distinguish the five groups are not pure quintiles (that is, 20 percent
each of the total number of projects being evaluated for the measure)
but rather logical break points in the aligned data that separate one
group from another. Where criteria are represented by more than one
measure, ratings for each measure are rolled up and averaged into
criterion-specific ratings, where the numerative rating is converted
into a corresponding *High, Medium-High, Medium, Medium-Low* or *Low*
rating. The mobility improvements and land use rating process are
described in greater detail in *Sections II.C* and *II.D* below.

For the cost effectiveness criterion, specific dollar breakpoints are
defined for *High, Medium-High, Medium, Medium-Low* and *Low* ratings
(these breakpoints are presented in *Section II.B* below). Decision
rules for the operating efficiencies and environmental benefits criteria
are described in *Sections II.E* and *II.F* below.

Criterion-specific ratings are subsequently combined to form the summary
*High, Medium-High, Medium, Medium-Low* or *Low* justification ratings
for each project presented in *Section I.E*.

FTA assigns a weight of 50 percent each to both the cost effectiveness
and land use criteria in order to establish a summary project
justification rating. When the average of the cost effectiveness and
land use rating falls equally between two ratings (say, between a
*Medium* and a *Medium-High* rating), the mobility improvements rating
is introduced as a "tiebreaker." Specifically, when mobility
improvements are rated *Low*, the summary rating will \"round down\" to
the lower of the two ratings; for all other mobility improvement
ratings, the rating is \"rounded-up\" to establish the summary project
justification rating. For example, a project with a cost effectiveness
rating of *Medium-High* and a land use rating of *Low,* along with a
mobility improvements rating of *Medium,* would receive a summary
project justification rating of *Medium*.

Based upon its prior experience in evaluating New Starts projects, FTA
has determined that locally-generated and reported information in
support of the operating efficiencies and environmental benefits
criteria does not distinguish in any meaningful way any differences
between competing major transit capital investments. Consequently, while
ratings for these criteria are assigned by FTA and reported in (among
other places) the *Annual Report on New Starts*, they are not considered
in the determination of an overall project justification rating.

If well documented, and considered by FTA to be an unusually significant
benefit to a proposed project that is not otherwise captured in the
other New Starts criteria, "other factors" may increase a summary
project justification rating by no more than one step (for example, from
*Medium-Low* to *Medium* or from *Medium‑High* to *High*). Consistent
with Congressional intent, as established by SAFETEA-LU, FTA will give
particular attention to well-documented and justified economic
development impacts in its evaluation of "other factors" for candidate
New Starts projects. The evaluation and rating of individual project
justification criteria is discussed below.

Failure to submit acceptable information (for example, reliable travel
forecasts to support the cost effectiveness, mobility improvements, and
operating efficiencies criteria) will result in a *Low* rating for the
affected project justification criteria.

Lastly, if cost effectiveness is rated "Low", a project may not advance
in development (for example, enter into final design) even if a strong
land use rating results in an overall "Medium" rating.

***II.B Cost Effectiveness***

In its evaluation of the cost effectiveness of a proposed project, FTA
considers the incremental cost per hour of transportation system user
benefits in the forecast year. This measure, expressed in constant
base-year dollars, is based on the annualized total capital and annual
operating costs divided by the forecast change in annual user benefits,
comparing the proposed project to the New Starts baseline alternative.
Table II-2 below presents the thresholds FTA will use in FY 2008 for
assigning a *High, Medium-High, Medium, Medium-Low* or *Low* cost
effectiveness rating for each project:

Table II-2 Cost Effectiveness Breakpoints

  ----------------------------------- -----------------------------------
  High                                \$11.49 and under

  Medium-High                         \$11.50- \$14.99

  Medium                              \$15.00-\$22.99

  Medium-low                          \$23.00-\$28.99

  Low                                 \$29.00 and over
  ----------------------------------- -----------------------------------

***II.C Transit-Supportive Existing Land Use and Future Patterns***

In its evaluation of the land use affecting New Starts projects, FTA
explicitly considers the following transit supportive land use
categories and factors:

1.  **Existing Land Use**

2.  **Transit Supportive Plans and Policies**, including the following
    factors:

    -   Growth management;

    -   Transit supportive corridor policies;

    -   Supportive zoning regulations near transit stations; and

    -   Tools to implement land use policies.

3.  **Performance and Impacts of Policies**, including the following
    factors:

-   Performance of land use policies; and

-   Potential impact of transit project on regional land use.

FTA also permits New Starts project sponsors to submit information in
support of an optional "other land use considerations" category.

Based on information submitted to FTA by local agencies, FTA gauges each
category by the factors identified above. FTA assigns one of five
numerical ratings ("1" to "5") to each project for each of these
factors. Each factor is weighted equally within its category, averaged,
and combined into category-specific ratings. These category ratings are
then combined equally (that is, each land use category rating
contributes one-third of the value) and converted to a descriptive
rating of *High, Medium-High, Medium, Medium-Low* or *Low* to determine
the overall land use rating. In rare cases, when based on unusually
compelling "other" land use considerations, FTA may increase the land
use rating by one point.

Additional detail on FTA's land use rating process is contained in
*Guidelines and Standards for Assessing Transit-Supportive Land Use*.
Table II-3 on the following pages summarizes the ratings applied by FTA
in the assessment of each land use category and supporting factor at
each stage of project development.

Table II-3 Ratings Applied in Assessment of Land Use Criterion

+------------+---------+----------------------------------------------+
| **I.       |         |                                              |
| EXISTING   |         |                                              |
| LAND USE** |         |                                              |
+------------+---------+----------------------------------------------+
| *          |         |                                              |
| **Existing |         |                                              |
| Land       |         |                                              |
| Use***     |         |                                              |
+------------+---------+----------------------------------------------+
| Phase of   | Land    |                                              |
| Project    | Use     |                                              |
| D          | Ass     |                                              |
| evelopment | essment |                                              |
|            | Ratings |                                              |
+------------+---------+----------------------------------------------+
| P          | HIGH    | Current levels of population, employment,    |
| reliminary | (5)     | and other trip generators in station areas   |
| E          |         | are suffi­cient to support a major transit    |
| ngineering |         | investment. Most station areas are           |
| and Final  |         | pedestrian-friendly and fully accessible.    |
| Design     |         |                                              |
+------------+---------+----------------------------------------------+
|            | MEDIUM  | Current levels of population, employment,    |
|            | (3)     | and other trip generators in station areas   |
|            |         | marginally support a major transit           |
|            |         | investment. Some sta­tion areas are           |
|            |         | pedestrian-friendly and accessi­ble.          |
|            |         | Significant growth must be realized.         |
+------------+---------+----------------------------------------------+
|            | LOW (1) | Current levels of population, employment,    |
|            |         | and other trip generators in station areas   |
|            |         | are inade­quate to support a major transit    |
|            |         | investment. Station areas are not            |
|            |         | pedestrian-friendly.                         |
+------------+---------+----------------------------------------------+
| Ratings    |         |                                              |
| based on   |         |                                              |
| assessment |         |                                              |
| of the     |         |                                              |
| following: |         |                                              |
|            |         |                                              |
| -          |         |                                              |
|   Existing |         |                                              |
|            |         |                                              |
|   corridor |         |                                              |
|     and    |         |                                              |
|            |         |                                              |
|    station |         |                                              |
|     area   |         |                                              |
|     de     |         |                                              |
| velopment; |         |                                              |
|            |         |                                              |
| -          |         |                                              |
|   Existing |         |                                              |
|            |         |                                              |
|   corridor |         |                                              |
|     and    |         |                                              |
|            |         |                                              |
|    station |         |                                              |
|     area   |         |                                              |
|     d      |         |                                              |
| evelopment |         |                                              |
|            |         |                                              |
| character; |         |                                              |
|            |         |                                              |
| -          |         |                                              |
|   Existing |         |                                              |
|            |         |                                              |
|    station |         |                                              |
|     area   |         |                                              |
|            |         |                                              |
| pedestrian |         |                                              |
|     f      |         |                                              |
| acilities, |         |                                              |
|            |         |                                              |
|  including |         |                                              |
|     access |         |                                              |
|     for    |         |                                              |
|            |         |                                              |
|    persons |         |                                              |
|     with   |         |                                              |
|     dis    |         |                                              |
| abilities; |         |                                              |
|     and    |         |                                              |
|            |         |                                              |
| -          |         |                                              |
|   Existing |         |                                              |
|            |         |                                              |
|   corridor |         |                                              |
|     and    |         |                                              |
|            |         |                                              |
|    station |         |                                              |
|     area   |         |                                              |
|            |         |                                              |
|    parking |         |                                              |
|            |         |                                              |
|    supply. |         |                                              |
+------------+---------+----------------------------------------------+
| **II.      |         |                                              |
| TRANSIT-   |         |                                              |
| SUPPORTIVE |         |                                              |
| PLANS AND  |         |                                              |
| POLICIES** |         |                                              |
+------------+---------+----------------------------------------------+
| ***Growth  |         |                                              |
| Man        |         |                                              |
| agement*** |         |                                              |
+------------+---------+----------------------------------------------+
| Phase of   | Land    |                                              |
| Project    | Use     |                                              |
| D          | Ass     |                                              |
| evelopment | essment |                                              |
|            | Ratings |                                              |
+------------+---------+----------------------------------------------+
| P          | HIGH    | Adopted and enforceable growth management    |
| reliminary | (5)     | and land conservation policies are in place  |
| E          |         | throughout the region. Existing and planned  |
| ngineering |         | densities, along with market trends in the   |
| and Final  |         | region and corridor are strongly compatible  |
| Design     |         | with transit.                                |
+------------+---------+----------------------------------------------+
|            | MEDIUM  | Significant progress has been made toward    |
|            | (3)     | implementing growth management and land      |
|            |         | conservation policies. Strong policies may   |
|            |         | be adopted in some jurisdictions but not     |
|            |         | others, or only moderately enforceable       |
|            |         | policies (e.g., incentive-based) may be      |
|            |         | adopted regionwide. Existing and/or planned  |
|            |         | densities and market trends are moderately   |
|            |         | compatible with transit.                     |
+------------+---------+----------------------------------------------+
|            | LOW (1) | Limited consideration has been given to      |
|            |         | implementing growth management and land      |
|            |         | conservation policies; adopted policies may  |
|            |         | be weak and apply to only a limited area.    |
|            |         | Existing and/or planned densities and market |
|            |         | trends are minimally or not supportive of    |
|            |         | transit.                                     |
+------------+---------+----------------------------------------------+
| Ratings    |         |                                              |
| based on   |         |                                              |
| assessment |         |                                              |
| of the     |         |                                              |
| following: |         |                                              |
|            |         |                                              |
| -   Con    |         |                                              |
| centration |         |                                              |
|     of     |         |                                              |
|     d      |         |                                              |
| evelopment |         |                                              |
|     around |         |                                              |
|     e      |         |                                              |
| stablished |         |                                              |
|            |         |                                              |
|   activity |         |                                              |
|            |         |                                              |
|    centers |         |                                              |
|     and    |         |                                              |
|            |         |                                              |
|   regional |         |                                              |
|            |         |                                              |
|   transit; |         |                                              |
|     and    |         |                                              |
|            |         |                                              |
| -   Land   |         |                                              |
|     co     |         |                                              |
| nservation |         |                                              |
|     and    |         |                                              |
|     m      |         |                                              |
| anagement. |         |                                              |
+------------+---------+----------------------------------------------+

Table II-3 Ratings Applied in Assessment of Land Use Criterion (cont.)

+--------------+--------+----------------------------------------------+
| **II.        |        |                                              |
| TRANSI       |        |                                              |
| T-SUPPORTIVE |        |                                              |
| PLANS AND    |        |                                              |
| POLICIES**   |        |                                              |
+--------------+--------+----------------------------------------------+
| ***Transi    |        |                                              |
| t-Supportive |        |                                              |
| Corridor     |        |                                              |
| Policies***  |        |                                              |
+--------------+--------+----------------------------------------------+
| Final Design | HIGH   | Conceptual plans for the corridor and        |
|              | (5)    | station areas have been developed. Local     |
|              |        | jurisdictions have adopted or drafted        |
|              |        | revisions to compre­hensive and/or small area |
|              |        | plans in most or all station areas. Land use |
|              |        | patterns proposed in conceptual plans and    |
|              |        | local and institutional plan revisions are   |
|              |        | strongly supportive of a major transit       |
|              |        | investment.                                  |
+--------------+--------+----------------------------------------------+
|              | MEDIUM | Conceptual plans for the corridor and        |
|              | (3)    | station areas have been developed. Local     |
|              |        | jurisdictions have initiated the process of  |
|              |        | revising compre­hensive and/or small area     |
|              |        | plans. Land use pat­terns proposed in         |
|              |        | conceptual plans and local and institutional |
|              |        | plan revisions are at least moderately       |
|              |        | supportive of a major transit investment.    |
+--------------+--------+----------------------------------------------+
|              | LOW    | Limited progress, to date, has been made     |
|              | (1)    | toward developing station area conceptual    |
|              |        | plans or revising local comprehensive or     |
|              |        | small area plans. Existing station area land |
|              |        | uses identified in local comprehensive plans |
|              |        | are marginally or not transit-supportive.    |
+--------------+--------+----------------------------------------------+
| Preliminary  | HIGH   | Conceptual plans for the corridor and        |
| Engineering  | (5)    | station areas have been developed.           |
|              |        | Discussions have been undertaken with local  |
|              |        | jurisdictions about revising comprehensive   |
|              |        | plans. Land use patterns proposed in         |
|              |        | conceptual plans for station areas (or in    |
|              |        | existing comprehensive plans and             |
|              |        | institutional master plans throughout the    |
|              |        | corri­dor) are strongly supportive of a major |
|              |        | transit investment.                          |
+--------------+--------+----------------------------------------------+
|              | MEDIUM | Conceptual plans for the corridor and        |
|              | (3)    | station areas are being developed.           |
|              |        | Discussions have been undertaken with local  |
|              |        | jurisdictions about revising comprehensive   |
|              |        | plans. Land use pat­terns proposed in         |
|              |        | conceptual plans for station areas (or       |
|              |        | existing in local comprehensive plans and    |
|              |        | institutional master plans) are at least     |
|              |        | mod­erately supportive of a major transit     |
|              |        | investment.                                  |
+--------------+--------+----------------------------------------------+
|              | LOW    | Limited progress, to date, has been made     |
|              | (1)    | toward developing station area conceptual    |
|              |        | plans or working with local jurisdictions to |
|              |        | revise comprehensive plans. Existing station |
|              |        | area land uses identified in local           |
|              |        | comprehen­sive plans are marginally or not    |
|              |        | transit-supportive.                          |
+--------------+--------+----------------------------------------------+
| Ratings      |        |                                              |
| based on     |        |                                              |
| assessment   |        |                                              |
| of the       |        |                                              |
| following:   |        |                                              |
|              |        |                                              |
| -   Plans    |        |                                              |
|     and      |        |                                              |
|     policies |        |                                              |
|     to       |        |                                              |
|     increase |        |                                              |
|     corridor |        |                                              |
|     and      |        |                                              |
|     station  |        |                                              |
|     area     |        |                                              |
|              |        |                                              |
| development; |        |                                              |
|              |        |                                              |
| -   Plans    |        |                                              |
|     and      |        |                                              |
|     policies |        |                                              |
|     to       |        |                                              |
|     enhance  |        |                                              |
|     tran     |        |                                              |
| sit-friendly |        |                                              |
|              |        |                                              |
|    character |        |                                              |
|     of       |        |                                              |
|     corridor |        |                                              |
|     and      |        |                                              |
|     station  |        |                                              |
|     area     |        |                                              |
|              |        |                                              |
| development; |        |                                              |
|              |        |                                              |
| -   Plans to |        |                                              |
|     improve  |        |                                              |
|              |        |                                              |
|   pedestrian |        |                                              |
|              |        |                                              |
|  facilities, |        |                                              |
|              |        |                                              |
|    including |        |                                              |
|              |        |                                              |
|   facilities |        |                                              |
|     for      |        |                                              |
|     persons  |        |                                              |
|     with     |        |                                              |
|     d        |        |                                              |
| isabilities; |        |                                              |
|     and      |        |                                              |
|              |        |                                              |
| -   Parking  |        |                                              |
|              |        |                                              |
|    policies. |        |                                              |
+--------------+--------+----------------------------------------------+

Table II-3 Ratings Applied in Assessment of Land Use Criterion (cont.)

+-------------+--------+----------------------------------------------+
| **II.       |        |                                              |
| TRANSIT     |        |                                              |
| -SUPPORTIVE |        |                                              |
| PLANS AND   |        |                                              |
| POLICIES**  |        |                                              |
+-------------+--------+----------------------------------------------+
| **          |        |                                              |
| *Supportive |        |                                              |
| Zoning      |        |                                              |
| Regulations |        |                                              |
| Near        |        |                                              |
| Transit     |        |                                              |
| Stations*** |        |                                              |
+-------------+--------+----------------------------------------------+
| Final       | HIGH   | Local jurisdictions have adopted zoning      |
| Design      | (5)    | changes that strongly support a major        |
|             |        | transit investment in most or all transit    |
|             |        | station areas.                               |
+-------------+--------+----------------------------------------------+
|             | MEDIUM | Local jurisdictions are in the process of    |
|             | (3)    | adopting zoning changes that moderately or   |
|             |        | strongly support a major transit investment  |
|             |        | in most or all transit station areas.        |
|             |        | Alternatively: strongly transit-supportive   |
|             |        | zoning has been adopted in some station      |
|             |        | areas but not in others.                     |
+-------------+--------+----------------------------------------------+
|             | LOW    | No more than initial efforts have begun to   |
|             | (1)    | pre­pare station area plans and related       |
|             |        | zoning. Existing station area zoning is      |
|             |        | marginally or not transit-supportive.        |
+-------------+--------+----------------------------------------------+
| Preliminary | HIGH   | A conceptual planning process is underway to |
| Engineering | (5)    | recommend zoning changes for station areas.  |
|             |        | Conceptual plans and policies for station    |
|             |        | areas are recommending transit-supportive    |
|             |        | densities and design characteristics. Local  |
|             |        | jurisdictions have committed to examining    |
|             |        | and changing zoning regulations where        |
|             |        | necessary. Alterna­tively, a "high" rating    |
|             |        | can be assigned if existing zoning in most   |
|             |        | or all transit station areas is already      |
|             |        | strongly transit-supportive.                 |
+-------------+--------+----------------------------------------------+
|             | MEDIUM | A conceptual planning process is underway to |
|             | (3)    | recommend zoning changes for station areas.  |
|             |        | Local jurisdictions are in the process of    |
|             |        | com­mitting to examining and changing zoning  |
|             |        | regulations where necessary. Alternatively,  |
|             |        | a "medium" rating can be assigned if         |
|             |        | existing zoning in most or all transit       |
|             |        | station areas is already moderately          |
|             |        | transit-supportive.                          |
+-------------+--------+----------------------------------------------+
|             | LOW    | Limited consideration has been given to      |
|             | (1)    | pre­paring station area plans and related     |
|             |        | zoning. Existing station area zoning is      |
|             |        | marginally or not transit-supportive.        |
+-------------+--------+----------------------------------------------+
| Ratings     |        |                                              |
| based on    |        |                                              |
| assessment  |        |                                              |
| of the      |        |                                              |
| following:  |        |                                              |
|             |        |                                              |
| -   Zoning  |        |                                              |
|             |        |                                              |
|  ordinances |        |                                              |
|     that    |        |                                              |
|     support |        |                                              |
|             |        |                                              |
|   increased |        |                                              |
|             |        |                                              |
| development |        |                                              |
|     den­sity |        |                                              |
|     in      |        |                                              |
|     transit |        |                                              |
|     station |        |                                              |
|     areas;  |        |                                              |
|             |        |                                              |
| -   Zoning  |        |                                              |
|             |        |                                              |
|  ordinances |        |                                              |
|     that    |        |                                              |
|     enhance |        |                                              |
|     trans   |        |                                              |
| it-oriented |        |                                              |
|             |        |                                              |
|   character |        |                                              |
|     of      |        |                                              |
|     station |        |                                              |
|     area    |        |                                              |
|             |        |                                              |
| development |        |                                              |
|     and     |        |                                              |
|             |        |                                              |
|  pedestrian |        |                                              |
|     access; |        |                                              |
|     and     |        |                                              |
|             |        |                                              |
| -   Zoning  |        |                                              |
|             |        |                                              |
|  allowances |        |                                              |
|     for     |        |                                              |
|     reduced |        |                                              |
|     parking |        |                                              |
|     and     |        |                                              |
|     traffic |        |                                              |
|             |        |                                              |
| mitigation. |        |                                              |
+-------------+--------+----------------------------------------------+

Table II-3 Ratings Applied in Assessment of Land Use Criterion (cont.)

  -------------------- --------- -----------------------------------------------
  **II.                          
  TRANSIT-SUPPORTIVE             
  PLANS AND POLICIES**           

  ***Tools to                    
  Implement Land Use             
  Policies***                    

  Final Design         HIGH (5)  Transit agencies and/or regional agencies are
                                 working proactively with local jurisdictions,
                                 developers, and the public to promote
                                 transit-supportive land use planning and
                                 station area development. The transit agency
                                 has estab­lished a joint development program and
                                 identi­fied development opportunities. Agencies
                                 have adopted effective regulatory and financial
                                 incentives to promote transit-oriented
                                 devel­opment. Public and private capital
                                 improve­ments are being programmed in the
                                 corridor and station areas which implement the
                                 local land use policies and which leverage the
                                 Federal investment in the proposed corridor.

                       MEDIUM    Transit agencies and/or regional agencies have
                       (3)       conducted some outreach to promote
                                 transit-supportive land use planning and
                                 station area development. Regulatory and
                                 financial incen­tives to promote
                                 transit-oriented development are being
                                 developed, or have been adopted but are only
                                 moderately effective. Capital improvements are
                                 being identified that support station area land
                                 use plans and leverage the Federal investment
                                 in the proposed major tran­sit corridor.

                       LOW (1)   Limited effort has been made to reach out to
                                 jurisdictions, developers, or the public to
                                 pro­mote transit-supportive land use planning;
                                 to identify regulatory and financial incentives
                                 to promote development; or to identify capital
                                 improvements.

  Preliminary          HIGH (5)  Transit agencies and/or regional agencies are
  Engineering                    working proactively with local jurisdictions,
                                 developers, and the public to promote
                                 transit-supportive land use planning and
                                 station area development. Local agencies are
                                 making rec­ommendations for effective regulatory
                                 and financial incentives to promote
                                 transit-oriented development. Capital
                                 improvement programs are being developed that
                                 support station area land use plans and
                                 leverage the Federal invest­ment in the proposed
                                 major transit corridor.

                       MEDIUM    Transit agencies and/or regional agencies have
                       (3)       conducted some outreach to promote
                                 transit-supportive land use planning and
                                 station area development. Agencies are
                                 investigating regulatory and financial
                                 incentives to promote transit-oriented
                                 development. Capital improvements are being
                                 identified that support station area land use
                                 plans and leverage the Federal investment in
                                 the proposed major tran­sit corridor.

                       LOW (1)   Limited effort has been made to reach out to
                                 jurisdictions, developers, or the public to
                                 pro­mote transit-supportive land use planning;
                                 to identify regulatory and financial incentives
                                 to promote development; or to identify capital
                                 improvements.
  -------------------- --------- -----------------------------------------------

Table II-3 Ratings Applied in Assessment of Land Use Criterion (cont.)

+------------+--------+-----------------------------------------------+
| **II.      |        |                                               |
| TRANSIT-   |        |                                               |
| SUPPORTIVE |        |                                               |
| PLANS AND  |        |                                               |
| POLICIES** |        |                                               |
+------------+--------+-----------------------------------------------+
| ***Tools   |        |                                               |
| to         |        |                                               |
| Implement  |        |                                               |
| Land Use   |        |                                               |
| Policies   |        |                                               |
| (Con       |        |                                               |
| tinued)*** |        |                                               |
+------------+--------+-----------------------------------------------+
| Ratings    |        |                                               |
| based on   |        |                                               |
| assessment |        |                                               |
| of the     |        |                                               |
| following: |        |                                               |
|            |        |                                               |
| -          |        |                                               |
|   Outreach |        |                                               |
|     to     |        |                                               |
|            |        |                                               |
| government |        |                                               |
|            |        |                                               |
|   agencies |        |                                               |
|     and    |        |                                               |
|     the    |        |                                               |
|            |        |                                               |
|  community |        |                                               |
|     in     |        |                                               |
|            |        |                                               |
|    sup­port |        |                                               |
|     of     |        |                                               |
|     land   |        |                                               |
|     use    |        |                                               |
|            |        |                                               |
|  planning; |        |                                               |
|            |        |                                               |
| -          |        |                                               |
| Regulatory |        |                                               |
|     and    |        |                                               |
|            |        |                                               |
|  financial |        |                                               |
|            |        |                                               |
| incentives |        |                                               |
|     to     |        |                                               |
|            |        |                                               |
|    promote |        |                                               |
|            |        |                                               |
|   transit- |        |                                               |
| supportive |        |                                               |
|     de     |        |                                               |
| velopment; |        |                                               |
|     and    |        |                                               |
|            |        |                                               |
| -          |        |                                               |
|    Efforts |        |                                               |
|     to     |        |                                               |
|     engage |        |                                               |
|     the    |        |                                               |
|     d      |        |                                               |
| evelopment |        |                                               |
|            |        |                                               |
|  community |        |                                               |
|     in     |        |                                               |
|            |        |                                               |
|    station |        |                                               |
|     area   |        |                                               |
|            |        |                                               |
|   planning |        |                                               |
|     and    |        |                                               |
|            |        |                                               |
|   transit- |        |                                               |
| supportive |        |                                               |
|     de     |        |                                               |
| velopment. |        |                                               |
+------------+--------+-----------------------------------------------+
| **III.     |        |                                               |
| P          |        |                                               |
| ERFORMANCE |        |                                               |
| AND        |        |                                               |
| IMPACTS OF |        |                                               |
| LAND USE   |        |                                               |
| POLICIES** |        |                                               |
+------------+--------+-----------------------------------------------+
| ***P       |        |                                               |
| erformance |        |                                               |
| of Land    |        |                                               |
| Use        |        |                                               |
| P          |        |                                               |
| olicies*** |        |                                               |
+------------+--------+-----------------------------------------------+
| Final      | HIGH   | A significant number of development proposals |
| Design     | (5)    | are being received for transit-supportive     |
|            |        | housing and employment in station areas.      |
|            |        | Sig­nificant amounts of transit-supportive     |
|            |        | devel­opment have occurred in other, existing  |
|            |        | transit corridors and station areas in the    |
|            |        | region.                                       |
+------------+--------+-----------------------------------------------+
|            | MEDIUM | Some development proposals are being received |
|            | (3)    | for transit-supportive housing and employment |
|            |        | in station areas. Moderate amounts of         |
|            |        | transit-supportive development have occurred  |
|            |        | in other existing transit corri­dors and       |
|            |        | station areas in the region.                  |
+------------+--------+-----------------------------------------------+
|            | LOW    | A limited number of proposals for             |
|            | (1)    | transit-sup­portive housing and employment     |
|            |        | development in the corridor are being         |
|            |        | received. Other existing transit corridors    |
|            |        | and station areas in the region lack          |
|            |        | significant examples of transit-supportive    |
|            |        | housing and employment development.           |
+------------+--------+-----------------------------------------------+
| P          | HIGH   | Transit-supportive housing and employment     |
| reliminary | (5)    | development is occurring in the corridor.     |
| E          |        | Sig­nificant amounts of transit-supportive     |
| ngineering |        | devel­opment have occurred in other, existing  |
|            |        | transit corridors and station areas in the    |
|            |        | region.                                       |
+------------+--------+-----------------------------------------------+
|            | MEDIUM | Station locations have not been established   |
|            | (3)    | with finality, and therefore, development     |
|            |        | would not be expected. Moderate amounts of    |
|            |        | transit-supportive housing and employment     |
|            |        | develop­ment have occurred in other, existing  |
|            |        | transit corridors and station areas in the    |
|            |        | region.                                       |
+------------+--------+-----------------------------------------------+
|            | LOW    | Other existing transit corridors and station  |
|            | (1)    | areas in the region lack significant examples |
|            |        | of transit-supportive housing and employment  |
|            |        | development.                                  |
+------------+--------+-----------------------------------------------+
| Ratings    |        |                                               |
| based on   |        |                                               |
| assessment |        |                                               |
| of the     |        |                                               |
| following: |        |                                               |
|            |        |                                               |
| -   De     |        |                                               |
| monstrated |        |                                               |
|     cases  |        |                                               |
|     of     |        |                                               |
|     d      |        |                                               |
| evelopment |        |                                               |
|            |        |                                               |
|   affected |        |                                               |
|     by     |        |                                               |
|     transi |        |                                               |
| t-oriented |        |                                               |
|            |        |                                               |
|  policies; |        |                                               |
|     and    |        |                                               |
|            |        |                                               |
| -          |        |                                               |
|    Station |        |                                               |
|     area   |        |                                               |
|     d      |        |                                               |
| evelopment |        |                                               |
|            |        |                                               |
|  proposals |        |                                               |
|     and    |        |                                               |
|            |        |                                               |
|    status. |        |                                               |
+------------+--------+-----------------------------------------------+

Table II-3 Ratings Applied in Assessment of Land Use Criterion (cont.)

+----------+--------+-------------------------------------------------+
| **III.   |        |                                                 |
| PER      |        |                                                 |
| FORMANCE |        |                                                 |
| AND      |        |                                                 |
| IMPACTS  |        |                                                 |
| OF LAND  |        |                                                 |
| USE      |        |                                                 |
| PO       |        |                                                 |
| LICIES** |        |                                                 |
+----------+--------+-------------------------------------------------+
| ***P     |        |                                                 |
| otential |        |                                                 |
| Impact   |        |                                                 |
| of       |        |                                                 |
| Transit  |        |                                                 |
| Project  |        |                                                 |
| on       |        |                                                 |
| Regional |        |                                                 |
| Land     |        |                                                 |
| Use***   |        |                                                 |
+----------+--------+-------------------------------------------------+
| Pre      | HIGH   | A significant amount of land in station areas   |
| liminary | (5)    | is available for new development or             |
| Eng      |        | redevelop­ment at transit-supportive densities.  |
| ineering |        | Local plans, policies, and development          |
| and      |        | programs, as well as real estate market         |
| Final    |        | conditions, strongly support such development.  |
| Design   |        |                                                 |
+----------+--------+-------------------------------------------------+
|          | MEDIUM | A moderate amount of land in station areas is   |
|          | (3)    | available for new development or redevelop­ment  |
|          |        | at transit-supportive densities. Local plans,   |
|          |        | policies, and development programs, as well as  |
|          |        | real estate market conditions, moder­ately       |
|          |        | support such development.                       |
+----------+--------+-------------------------------------------------+
|          | LOW    | Only a modest amount of land in station areas   |
|          | (1)    | is available for new development or             |
|          |        | redevel­opment. Local plans, policies, and       |
|          |        | develop­ment programs, as well as real estate    |
|          |        | market conditions, provide marginal support for |
|          |        | new development in station areas.               |
+----------+--------+-------------------------------------------------+
| Ratings  |        |                                                 |
| based on |        |                                                 |
| as       |        |                                                 |
| sessment |        |                                                 |
| of the   |        |                                                 |
| fo       |        |                                                 |
| llowing: |        |                                                 |
|          |        |                                                 |
| -   Adap |        |                                                 |
| tability |        |                                                 |
|     of   |        |                                                 |
|          |        |                                                 |
|  station |        |                                                 |
|     area |        |                                                 |
|     land |        |                                                 |
|     for  |        |                                                 |
|     deve |        |                                                 |
| lopment; |        |                                                 |
|     and  |        |                                                 |
|          |        |                                                 |
| -        |        |                                                 |
| Corridor |        |                                                 |
|          |        |                                                 |
| economic |        |                                                 |
|     envi |        |                                                 |
| ronment. |        |                                                 |
+----------+--------+-------------------------------------------------+

As Table II-3 indicates, FTA takes into consideration the stage of
development of a proposed project in its evaluation of land use
information. For example, the planning and policy oriented factors
(existing land use, containment of sprawl, and corridor policies) are
relevant in evaluating projects in all stages of project development,
but particularly useful for projects early in project development. On
the other hand, the implementation-oriented factors (supportive zoning
regulations, implementation tools, and performance of land use policies)
are more applicable in evaluating projects more advanced in preliminary
engineering or final design.

***II.D Mobility Improvements***

In its evaluation of the mobility improvements that would be realized by
implementation of a proposed project, FTA reviews three measures:

1.  **Normalized Travel Time Savings**, as measured by transportation
    system user benefits per project passenger mile;

2.  Number of current **Low-income Households** which would be served by
    the proposed New Starts investment; and

3.  Number of current **Jobs** served by the proposed New Starts
    project.

The normalized travel time savings of New Starts projects is weighted 50
percent in the development of the mobility improvements rating; the
low-income households and employment measures *combined* account for the
other 50 percent of the rating. The process FTA uses to establish
measure-specific ratings and the overall mobility improvements rating is
described below:

> **Transportation System User Benefits per Passenger Mile** This
> measure reflects the travel time savings, as measured by minutes of
> transportation system user benefits in the forecast year anticipated
> from the proposed project compared to its baseline alternative. In
> order to rate projects in comparison to other proposed New Starts,
> this measure is normalized by the annual passenger miles traveled on
> the New Starts project in the forecast year.
>
> As noted previously, projects are aligned in ascending order of user
> benefits per passenger mile and categorized into five groups,
> separated by the logical breakpoints indicated by the submitted data
> for the measure. Projects in the highest grouping (that is with the
> most user benefits per passenger mile) receive a "5," while projects
> in the lowest grouping receive a "1."
>
> **Number of Low-income Households and Jobs Served** These two measures
> reflect the absolute number of low-income households (defined as below
> the poverty level) and jobs located within ½ mile of the \"boarding
> points\", or stations, associated with the proposed project. The total
> number of low-income households and jobs located within these ½ mile
> zones is then divided by the total number of stations to determine
> both the average number of low-income households and average number of
> jobs per station. Projects are aligned in ascending order of both
> low-income households per station and jobs per station, categorized
> into five groups, and assigned a numerical rating from "1" to "5."
>
> The numerical ratings assigned for both low-income households and jobs
> are compared for each project. FTA then considers the potential for
> connections of these two markets in assigning a single rating for both
> measures. In the case of projects which are new guideway systems in
> their regions, the lower of the low-income households or jobs rating
> is assigned as the combined rating for the two measures. For
> extensions to existing guideways, the higher of the low-income
> households and employment rating is utilized, unless the employment
> rating is higher and there are few low-income households living along
> the guideway. In this latter case, the low-income rating would be
> assigned as the combined rating of the two measures.

***II.E Operating Efficiencies***

FTA measures this criterion by evaluating the change in system-wide
operating costs per passenger mile in the forecast year, comparing the
Section 5309 New Start investment to the baseline alternative. FTA
assigns a rating of *Medium* to all projects that have information
submitted for this measure. As noted previously, FTA has found that
information submitted in support of the operating efficiencies criterion
does not distinguish with any meaning the merits of competing New Starts
projects. While FTA reports the information submitted by project
sponsors on operating efficiencies to Congress in the *Annual Report on
New Starts*, it does not formally incorporate this measure into its
evaluation.

***II.F Environmental Benefits***

In its evaluation of environmental benefits that would be realized
through the implementation of a proposed project, FTA considers the
current air quality designation by EPA. This measure is defined for each
of the transportation-related pollutants (ozone, CO, and PM-10) as the
current air quality designation by EPA for the metropolitan region in
which the proposed project is located, indicating the severity of the
metropolitan area's noncompliance with the health-based EPA standard
(NAAQS) for the pollutant, or its compliance with that standard. New
Starts project sponsors submit information to FTA on the forecast
reductions in emissions resulting from the New Starts project for each
transportation-related pollutant.

Specifically, FTA follows the following decision rule when assigning
ratings for environmental benefits:

-   Projects in non-attainment areas for any transportation-related
    pollutants that demonstrate a reduction in that pollutant receive a
    "High" rating.

-   Projects that are in attainment areas that demonstrate reductions in
    any transportation-related pollutant receive a "Medium" rating.

-   All other projects are rated "Low."

As noted previously, FTA has found that information submitted in support
of the environmental benefits criterion does not distinguish with any
meaning the merits of competing New Starts projects. While FTA reports
the information submitted by project sponsors on environmental benefits
to Congress in the *Annual Report on New Starts*, it does not formally
incorporate this measure in its evaluation of New Starts projects.

***II.G Other Factors***

Consistent with Section 5309(d), FTA also includes a variety of other
factors when evaluating project justification, including:

-   Environmental justice considerations and equity issues;

-   Opportunities for increased access to employment for low-income
    persons, and welfare to work initiatives;

-   Consideration of innovative financing, procurement, and construction
    techniques, including design-build turnkey applications;

-   Any other factor which the New Starts project sponsor believes
    articulates the benefits of the proposed major transit capital
    investment but which is not captured within the other project
    justification criteria.

Consistent with SAFETEA-LU, FTA intends that economic development should
be an "other factor" of particular significance for the FY 2008
evaluation cycle. Through its ongoing rulemaking process, FTA hopes to
define specific measures for evaluating the economic development impacts
of candidate New Starts projects. Until such measures are defined and
subject to industry comment, FTA encourages project sponsors to submit
information which they feel best justifies the anticipated economic
development impacts of their proposed New Starts investments. FTA is
particularly interested in quantifiable economic development benefits
which can be clearly distinguished from a) the transportation system
user benefits which comprise one variable of FTA's measure for cost
effectiveness, and b) land use impacts which are reported and evaluated
in support of the transit supportive land use plans and policies
criteria. Specifically, FTA desires to avoid both the double-counting of
benefits *and* the crediting of benefits to projects which may be more
appropriately attributable to other supporting local economic
development initiatives, policies, and/or incentives by isolating the
specific impacts resulting from the presence of fixed guideway transit
in a given corridor. FTA's objectives for measuring economic development
are outlined in Part II of its January 11, 2006 New Starts Policy
Guidance, and will be further articulated in a formal notice of proposed
rulemaking planned for later in 2006.

Only in the most compelling of cases are other factors formally assigned
a rating. When they are rated, the other factors rating is introduced
*after* the assignment of an initial summary project justification
rating. If the other factors rating is higher than the summary project
justification rating, FTA may increase this initial summary
justification rating by a maximum of one step (i.e. from *Medium* to
*Medium-High*). In less compelling cases, other factors may be reported
alongside other project information in the *Annual Report on New
Starts*, but not formally considered in the project's evaluation and
rating. Where information in support of being considered as an other
factor is not determined to be worthy of such recognition, it is neither
considered in FTA's evaluation nor reported.

**III. SUMMARY FINANCE RATING**

The following provides a summary of FTA's process for evaluating the
local financial commitment of proposed New Starts projects.

***III.A Financial Rating***

FTA assigns a summary finance rating of *High, Medium-High, Medium,
Medium-Low* or *Low* to each project following consideration of
individual ratings applied to the following measures for local financial
commitment:

1.  **Share of non-New Starts funding**;

2.  Stability and reliability of the proposed project's **capital
    funding plan**, including the following factors:

-   Current capital condition;

-   Completeness of plan;

-   Commitment of capital funds;

-   Capital funding capacity; and

-   Reasonable capital planning assumptions and cost estimates.

3.  Stability and reliability of the proposed project's **operating
    funding plan**, including the following factors:

-   Current operating financial condition;

-   Completeness of operating plan;

-   Commitment of operations and maintenance (O&M) funds;

-   O&M funding capacity; and

-   Operations planning assumptions and cost estimates.

These ratings are based on an analysis of the Section 5309 New Starts
Criteria and documentation submitted to FTA by local agencies. FTA's
evaluation takes into account the stage of project development,
particularly when considering the stability and reliability of the
capital and operating finance plans. Expectations for firm commitments
of non-Federal funding sources become increasingly higher as projects
progress further through development (preliminary engineering, followed
by final design), and are rated accordingly.

The summary finance rating considers the non-Section 5309 New Starts
share of project capital costs. The following ratings are assigned to
the New Starts share of project costs:

-   \>60 percent = *Low* rating

-   50-60 percent = *Medium* rating

-   35-49 percent = *Medium-High* rating

-   \< 35 percent = *High* rating

In addition, FTA rates the capital and operating plan for each factor
according to the standards defined in Tables III-1 and III-2 on the
following pages.

Additional detail on FTA's process for rating local financial commitment
is contained in its *Guidelines and Standards for Assessing Local
Financial Commitment*. However, it should be noted that those guidelines
do not reflect the way that FTA treated the non-Section 5309 New Starts
share of the project in FY2007, nor how it intends to address the share
in the FY 2008 evaluation cycle. Based on language in SAFETEA-LU, where
there is any inconsistency between those guidelines and this appendix,
the practices spelled out in this appendix supersedes those guidelines.

Numerical ratings from 1 to 5 (*Low* to *High*) are assigned to each of
the factors reflecting each measure; these factors are weighted equally
within each measure, then averaged and combined into ratings for each
measure. Once measure-specific ratings have been determined, FTA weighs
the proposed non-New Starts share as 20 percent of the summary financial
rating; the strength and reliability of the capital plan counts as 50
percent of the rating; and the strength and reliability of the operating
plan accounts for 30 percent of the rating. These ratings are combined
and converted by FTA into a summary financial rating of *High,
Medium-High, Medium, Medium-Low* or *Low*.

Failure to submit either a capital or operating financial plan for
evaluation will result in a *Low* rating for finance.

Table III-1 Capital Plan Rating Standards

<table>
<colgroup>
<col style="width: 11%" />
<col style="width: 0%" />
<col style="width: 14%" />
<col style="width: 2%" />
<col style="width: 17%" />
<col style="width: 0%" />
<col style="width: 18%" />
<col style="width: 0%" />
<col style="width: 17%" />
<col style="width: 0%" />
<col style="width: 17%" />
</colgroup>
<thead>
<tr class="header">
<th></th>
<th colspan="2"><strong>High (5)</strong></th>
<th colspan="3"><strong>Medium-High (4)</strong></th>
<th><strong>Medium (3)</strong></th>
<th colspan="2"><strong>Medium-low (2)</strong></th>
<th colspan="2"><strong>Low (1)</strong></th>
</tr>
<tr class="odd">
<th colspan="2"></th>
<th colspan="2"></th>
<th></th>
<th colspan="3"></th>
<th colspan="2"></th>
<th></th>
</tr>
</thead>
<tbody>
<tr class="odd">
<td colspan="2"><strong>Current capital condition</strong></td>
<td colspan="2"><p>- Average bus fleet age under 6 years.</p>
<p>- Bond ratings less than 2 years old (if any) of AAA (Fitch/S&amp;P)
or Aaa (Moody’s) or better</p></td>
<td><p>- Average bus fleet age under 6 years.</p>
<p>- Bond ratings less than 2 years old (if any) of A (Fitch/S&amp;P) or
A2 (Moody’s) or better</p></td>
<td colspan="3"><p>- Average bus fleet age under 8 years.</p>
<p>- Bond ratings less than 2 years old (if any) of A - (Fitch/S&amp;P)
or A3 (Moody’s) or better</p></td>
<td colspan="2"><p>- Average bus fleet age under 12.</p>
<p>- Bond ratings less than 2 years old (if any) of BBB+ (Fitch/S&amp;P)
or Baa (Moody’s) or better</p></td>
<td><p>- Average bus fleet age 12 years or more.</p>
<p>- Bond ratings less than 2 years old (if any) of BBB (Fitch/S&amp;P)
or Baa3 (Moody’s) or below</p></td>
</tr>
<tr class="even">
<td colspan="2"><strong>Completeness</strong></td>
<td colspan="2"><p>Capital plan includes:</p>
<p>- 20-year cash flow</p>
<p>- All assumptions are clearly explained</p>
<p>- High level of detail</p>
<p>- Fleet Management Plan</p>
<p>- Extensive Sensitivity analysis</p>
<p>- More than 5 years of historical data</p></td>
<td><p>Capital plan is complete, i.e. it includes:</p>
<p>- 20-year cash flow</p>
<p>- Key assumptions</p>
<p>- Moderate level of detail</p>
<p>- Fleet Management Plan</p>
<p>- Sensitivity Analysis</p>
<p>- More than 5 years of historical data</p></td>
<td colspan="3"><p>Capital plan is complete, i.e. it includes:</p>
<p>- 20-year cash flow</p>
<p>- Key assumptions</p>
<p>- Missing some explanatory details</p>
<p>- Fleet Management Plan</p>
<p>- 5 years historical data</p></td>
<td colspan="2"><p>Capital plan is partially complete, i.e. it
includes:</p>
<p>- 20-year cash flow</p>
<p>- Missing other items of supporting documentation (i.e. fleet
management plan, key assumptions, historical data)</p></td>
<td>Capital plan is incomplete. Missing some key components, including
the 20-year cash flow.</td>
</tr>
<tr class="odd">
<td colspan="2"><strong>Commitment of capital funds</strong></td>
<td colspan="2"><p>For final design - 100% of Non-Section 5309 New
Starts Funds are committed or budgeted.</p>
<p>For PE – Over 50% of Non-Section 5309 New Starts Funds are committed
or budgeted. The remaining funds are planned.</p></td>
<td><p>For final design - Over 75% of Non-Section 5309 New Starts Funds
are committed or budgeted.</p>
<p>For PE – Over 25% of Non-Section 5309 New Starts Funds are committed
or budgeted. The remaining funds are planned.</p></td>
<td colspan="3"><p>For final design - Over 50% of Non-Section 5309 New
Starts Funds are committed or budgeted.</p>
<p>For PE - No Non-Section 5309 New Starts Funds are committed or
budgeted, but the sponsor has a reasonable plan to secure all needed
funding.</p></td>
<td colspan="2"><p>For final design – Between 25% and 50% of Non-Section
5309 New Starts Funds are committed or budgeted.</p>
<p>For PE - No Non-Section 5309 New Starts funds are committed. The
sponsor has no reasonable plan to secure the necessary funding.</p></td>
<td><p>For final design - Under 25% of Non-Section 5309 New Starts Funds
are committed or budgeted.</p>
<p>For PE - The sponsor has not identified any reasonable funding
sources for the Non-Section 5309 New Starts funding share.</p></td>
</tr>
<tr class="even">
<td colspan="2"><strong>Capital funding capacity</strong></td>
<td colspan="2">The applicant has access to funds via additional debt
capacity, cash reserves, or other committed funds to cover cost
increases or funding shortfalls equal to at least 50% of estimated
project costs.</td>
<td>The applicant has available cash reserves, debt capacity, or
additional funding commitments to cover cost increases or funding
shortfalls equal to at least 25% of estimated project costs.</td>
<td colspan="3"><p>For final design - The applicant has available cash
reserves, debt capacity, or additional committed funds to cover cost
increases or funding shortfalls equal to at least 10% of estimated
project costs.</p>
<p>For PE - The applicant has a reasonable plan to cover cost increases
or funding shortfalls equal to at least 25% of project costs.</p></td>
<td colspan="2"><p>The applicant has a reasonable plan to cover only
minor (under 10%) cost increases or funding shortfalls.</p>
<p>For PE –The applicant has a reasonable plan to cover cost increases
or funding shortfalls equal to at least 10% of estimated project
costs.</p></td>
<td>The applicant has no reasonable plan to cover cost increases or
funding shortfalls.</td>
</tr>
<tr class="odd">
<td colspan="2"><strong>Reasonable capital planning
assumptions</strong></td>
<td colspan="2">Financial plan contains very conservative capital
planning assumptions and cost estimates when compared with recent
historical experience.</td>
<td>Financial plan contains conservative capital planning assumptions
and cost estimates when compared with recent historical experience.</td>
<td colspan="3">Financial plan contains capital planning assumptions and
cost estimates that are in line with historical experience.</td>
<td colspan="2">Financial plan contains optimistic capital planning
assumptions and cost estimates.</td>
<td>Financial plan contains capital planning assumptions and cost
estimates that are far more optimistic than recent history
suggests.</td>
</tr>
</tbody>
</table>

Table III-2 Operating Plan Rating Standards

+-------+---------+-------------+------------+-----------+-----------+
|       | **High  | **          | **Medium   | **M       | **Low     |
|       | (5)**   | Medium-High | (3)**      | edium-low | (1)**     |
|       |         | (4)**       |            | (2)**     |           |
+=======+=========+=============+============+===========+===========+
| **Cu  | \-      | \-          | \-         | \-        | \-        |
| rrent | His     | Historical  | Historical | H         | H         |
| Oper  | torical | and actual  | and actual | istorical | istorical |
| ating | and     | balanced    | balanced   | and       | and       |
| Fina  | actual  | budgets.    | budgets.   | actual    | actual    |
| ncial | p       | Any annual  | Any annual | cash flow | cash flow |
| C     | ositive | cash flow   | cash flow  | show      | show      |
| ondit | cash    | shortfalls  | shortfalls | several   | several   |
| ion** | flow.   | paid from   | paid from  | years of  | years of  |
|       | No cash | cash        | cash       | revenue   | revenue   |
|       | flow    | reserves or | reserves   | sh        | sh        |
|       | shor    | other       | or annual  | ortfalls. | ortfalls, |
|       | tfalls. | committed   | appro      | Any       | or        |
|       |         | sources.    | priations. | annual    | h         |
|       | \-      |             |            | cash flow | istorical |
|       | Current | \- Current  | \- Current | s         | in        |
|       | op      | operating   | operating  | hortfalls | formation |
|       | erating | ratio is at | ratio is   | paid from | not       |
|       | ratio   | least 1.5   | at least   | s         | provided. |
|       | ex      |             | 1.2        | hort-term |           |
|       | ceeding | \- No       |            | b         | \-        |
|       | 2.0     | service     | \- No      | orrowing. | Current   |
|       |         | cutbacks in | service    |           | operating |
|       | \- No   | recent      | cutbacks   | \-        | ratio is  |
|       | service | years.      | or only    | Current   | less than |
|       | c       |             | minor      | operating | 1.0       |
|       | utbacks |             | service    | ratio is  |           |
|       | in      |             | cutbacks   | at least  | \- Major  |
|       | recent  |             | in recent  | 1.0       | Service   |
|       | years.  |             | years      |           | cutbacks  |
|       |         |             |            | \- Major  | in recent |
|       |         |             |            | Service   | years     |
|       |         |             |            | cutbacks  |           |
|       |         |             |            | in recent |           |
|       |         |             |            | years     |           |
+-------+---------+-------------+------------+-----------+-----------+
| *     | Op      | Operating   | Operating  | Operating | Operating |
| *Comp | erating | plan is     | plan is    | plan is   | plan is   |
| leten | plan    | complete,   | complete,  | missing   | missing   |
| ess** | in      | including:  | including: | no key    | some key  |
|       | cludes: |             |            | co        | co        |
|       |         | \- More     | \- 20-year | mponents, | mponents, |
|       | \- More | than 5      | cash flow  | i.e.:     | i.e.:     |
|       | than 5  | years of    |            |           |           |
|       | years   | historical  | \- 5 years | \- 3      | \- No     |
|       | of      | data        | of         | years or  | cash flow |
|       | his     |             | historical | less of   |           |
|       | torical | \- 20-year  | data       | h         | \- No     |
|       | data    | cash flow   |            | istorical | h         |
|       |         |             | \- Key     | data      | istorical |
|       | \-      | \- Key      | a          |           | data      |
|       | 20-year | assumptions | ssumptions | \-        |           |
|       | cash    | identified  | identified | 20-year   |           |
|       | flow    |             |            | cash flow |           |
|       |         | \- Moderate | \- Missing |           |           |
|       | \- Key  | level of    | some       | \-        |           |
|       | assu    | detail      | e          | Missing   |           |
|       | mptions |             | xplanatory | key       |           |
|       | ide     | -           | detail     | as        |           |
|       | ntified | Sensitivity |            | sumptions |           |
|       |         | Analysis    |            |           |           |
|       | \-      |             |            |           |           |
|       | Ex      |             |            |           |           |
|       | tensive |             |            |           |           |
|       | level   |             |            |           |           |
|       | of      |             |            |           |           |
|       | detail  |             |            |           |           |
|       |         |             |            |           |           |
|       | \-      |             |            |           |           |
|       | Ex      |             |            |           |           |
|       | tensive |             |            |           |           |
|       | Sens    |             |            |           |           |
|       | itivity |             |            |           |           |
|       | A       |             |            |           |           |
|       | nalysis |             |            |           |           |
+-------+---------+-------------+------------+-----------+-----------+
| **    | For     | For final   | For final  | For final | For final |
| Commi | final   | design -    | design --  | design -  | design -  |
| tment | d       | Over 75% of | Over 50%   | Sponsor   | Sponsor   |
| of    | esign - | the funds   | of the     | has       | has not   |
| O&M   | 100% of | needed to   | funds      | i         | yet       |
| Fu    | the     | operate and | needed to  | dentified | received  |
| nds** | funds   | maintain    | operate    | r         | any       |
|       | needed  | the         | and        | easonable | funding   |
|       | to      | proposed    | maintain   | potential | co        |
|       | operate | transit     | the        | funding   | mmitments |
|       | and     | project are | proposed   | sources,  | to fund   |
|       | m       | committed   | transit    | but has   | transit   |
|       | aintain | or          | system are | received  | o         |
|       | the     | budgeted.   | committed  | less than | perations |
|       | p       |             | or         | 50%       | and       |
|       | roposed | For PE -    | budgeted.  | co        | ma        |
|       | transit | Over 50% of |            | mmitments | intenance |
|       | project | the funds   | For PE --  | to fund   | and has   |
|       | are     | needed to   | While no   | transit   | not       |
|       | co      | operate and | additional | o         | i         |
|       | mmitted | maintain    | O&M        | perations | dentified |
|       | or      | the         | funding    | and       | any       |
|       | bu      | proposed    | has been   | mai       | r         |
|       | dgeted. | transit     | committed, | ntenance. | easonable |
|       |         | system are  | a          |           | plan for  |
|       | For PE  | committed   | reasonable | For PE -  | securing  |
|       | -- Over | or          | plan to    | Sponsor   | funding   |
|       | 75% of  | budgeted.   | secure     | does not  | com       |
|       | the     | The         | funding    | have a    | mitments. |
|       | funds   | remaining   | c          | r         |           |
|       | needed  | funds are   | ommitments | easonable | For PE -  |
|       | to      | planned.    | has been   | plan to   | Sponsor   |
|       | operate |             | presented. | secure    | has not   |
|       | and     |             |            | O&M       | i         |
|       | m       |             |            | funding.  | dentified |
|       | aintain |             |            | No        | any       |
|       | the     |             |            | un        | r         |
|       | p       |             |            | specified | easonable |
|       | roposed |             |            | sources.  | funding   |
|       | transit |             |            |           | sources   |
|       | system  |             |            |           | for the   |
|       | are     |             |            |           | operation |
|       | co      |             |            |           | and       |
|       | mmitted |             |            |           | ma        |
|       | or      |             |            |           | intenance |
|       | bu      |             |            |           | of the    |
|       | dgeted. |             |            |           | proposed  |
|       | The     |             |            |           | project.  |
|       | re      |             |            |           |           |
|       | maining |             |            |           |           |
|       | funds   |             |            |           |           |
|       | are     |             |            |           |           |
|       | p       |             |            |           |           |
|       | lanned. |             |            |           |           |
+-------+---------+-------------+------------+-----------+-----------+
| **O&M | \-      | \-          | \-         | \-        | \-        |
| Fu    | Pr      | Projected   | Projected  | Projected | Projected |
| nding | ojected | cash        | cash       | cash      | cash      |
| Capac | cash    | balances,   | balances,  | balances, | balances  |
| ity** | ba      | reserve     | reserve    | reserve   | are       |
|       | lances, | accounts or | accounts   | accounts  | ins       |
|       | reserve | access to   | or access  | or access | ufficient |
|       | a       | line of     | to line of | to line   | to        |
|       | ccounts | credit      | credit     | of credit | maintain  |
|       | or      | exceeding   | exceeding  | are less  | balanced  |
|       | access  | 25 percent  | 12 percent | than 8    | budgets.  |
|       | to line | (3 months)  | (1.5       | percent   |           |
|       | of      | of annual   | months) of | (1 month) |           |
|       | credit  | operating   | annual     | of annual |           |
|       | ex      | expenses.   | operating  | operating |           |
|       | ceeding |             | expenses.  | expenses. |           |
|       | 50      |             |            |           |           |
|       | percent |             |            |           |           |
|       | (6      |             |            |           |           |
|       | months) |             |            |           |           |
|       | of      |             |            |           |           |
|       | annual  |             |            |           |           |
|       | op      |             |            |           |           |
|       | erating |             |            |           |           |
|       | ex      |             |            |           |           |
|       | penses. |             |            |           |           |
+-------+---------+-------------+------------+-----------+-----------+
| *     | The     | The         | The        | The       | The       |
| *Oper | assu    | assumptions | a          | as        | as        |
| ating | mptions | supporting  | ssumptions | sumptions | sumptions |
| Pla   | sup     | the         | supporting | s         | s         |
| nning | porting | operating   | the        | upporting | upporting |
| Ass   | the     | and         | operating  | the       | the       |
| umpti | op      | maintenance | and        | operating | operating |
| ons** | erating | cost        | m          | and       | and       |
|       | and     | estimates   | aintenance | ma        | ma        |
|       | main    | and revenue | cost       | intenance | intenance |
|       | tenance | forecasts   | estimates  | cost      | cost      |
|       | cost    | are         | and        | estimates | estimates |
|       | es      | c           | revenue    | and       | and       |
|       | timates | onservative | forecasts  | revenue   | revenue   |
|       | and     | relative to | are        | forecasts | forecasts |
|       | revenue | historical  | consistent | are       | are far   |
|       | fo      | experience. | with       | o         | more      |
|       | recasts |             | historical | ptimistic | o         |
|       | are     |             | e          | relative  | ptimistic |
|       | very    |             | xperience. | to        | than      |
|       | conse   |             |            | h         | h         |
|       | rvative |             |            | istorical | istorical |
|       | r       |             |            | ex        | e         |
|       | elative |             |            | perience. | xperience |
|       | to      |             |            |           | suggests  |
|       | his     |             |            |           | is        |
|       | torical |             |            |           | re        |
|       | expe    |             |            |           | asonable. |
|       | rience. |             |            |           |           |
+-------+---------+-------------+------------+-----------+-----------+

***III.B Financial Rating Decision Rule***

In addition to the non-Section 5309 New Starts share, capital and
operating financial rating considerations and weights described above,
FTA uses the following decision rules to calculate the overall financial
rating.

-   If the New Starts share, which accounts for 20% of the financial
    rating, brings the overall financial rating to less than *Medium*,
    it will be excluded from the overall financial rating calculation.
    In other words, a New Starts share of less than 80 percent can
    improve the project's rating but it cannot hurt it. This rule was
    applied for the first time in FY2007 in order to respond to
    direction in SAFETEA-LU that FTA evaluate the percent of New Starts
    share, as required by Section 5309(d)(4)(B)(v), while ensuring that
    no project is required to provide more than the required 20 percent
    match as provided in Section 5309(h)(5). If and how this rule is
    applied in future years will be subject to rulemaking.

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-   If either of a proposed project's capital or operating finance plan
    receives a *Medium‑Low* or *Low* rating, the summary finance rating
    for the project cannot be higher than a *Medium-Low*.

-   To receive a summary financial rating of *Medium-High*, both the
    capital and operating funding plan must be rated at least
    *Medium-High*.

**IV. RATINGS AND FUNDING RECOMMENDATIONS**

Section 5309(d)(1)(B)(ii) directs FTA to consider for full funding grant
agreements (FFGA) only those projects which receive a *Medium,
Medium-High*, or *High* overall project rating. (Note that for the FY
2007 funding recommendations FTA did not use the *Medium-High* overall
rating; similarly, the FY 2008 evaluation cycle contemplates only using
*High* and *Medium* as a basis for funding recommendations.) FTA notes,
however, that project ratings are intended only to reflect the
worthiness of each project, not the readiness of a project for an FFGA. 
A rating of *High* or *Medium* does not translate directly into a
funding recommendation in any given fiscal year.  Proposed projects that
are rated *High* or *Medium*, will be eligible for multi-year funding
recommendations in the Administration\'s proposed budget
[if]{.underline} other requirements have been met (completion of the
Federal environmental review process, demonstrated technical capability
to construct and operate the project, development of a firm and final
cost estimate and financial plan, etc.) and if funding is available. In
addition, notwithstanding their overall project rating, as a general
practice the Administration will target its funding recommendations in
FY 2007 and beyond to those proposed New Starts projects able to achieve
a *Medium* or higher rating for cost effectiveness, unless the project
has been exempt from this policy.

When determining annual funding allocations among proposed New Starts,
the following general principles are applied: 

-   Any project recommended for new funding commitments should meet the
    project justification, finance, and process criteria established by
    Section 5309(e) and be consistent with Executive Order 12893,
    \"Principles for Federal Infrastructure Investments,\" issued
    January 26, 1994.

-   Existing FFGA commitments should be honored before any additional
    funding recommendations are made, to the extent that funds can be
    obligated for these projects in the coming fiscal year.

-   The FFGA defines the terms of the Federal commitment to a specific
    project, including funding.  Upon completion of an FFGA, the Federal
    funding commitment has been fulfilled.  Additional project funding
    will not be recommended.  Any additional costs beyond the scope of
    the Federal commitment are the responsibility of the grantee.

-   Funding for initial planning efforts such as alternatives analysis
    is provided through grants out of the Section 5303 Metropolitan
    Planning or Section 5307 Urbanized Area Formula programs or from the
    newly created Section 5339 Alternatives Analysis program.

-   Firm funding commitments, embodied in FFGAs, will not be made until
    the final design process has progressed to the point where costs,
    benefits, and impacts are accurately forecasted.

-   Funding should be provided to the most worthy projects to allow them
    to proceed through the process on a reasonable schedule, to the
    extent that funds can be obligated to such projects in the upcoming
    fiscal year.  The results of the project evaluation process and
    resulting finance, justification, and overall ratings determine
    whether particular projects are "worthy."

Again, FTA emphasizes that project evaluation and rating is an on-going
process. As proposed New Starts projects proceed through the project
development process, information concerning costs, benefits, and impacts
is refined and the ratings may be updated to reflect new information.

[^1]: Forecast boardings on the rail or other guideway system, if the
    New Starts project is an extension to such a system.

[^2]: Linked Trips refer to trips that begin at the trip origin and end
    at the FINAL destination. One linked trip could be composed of
    several unlinked trips. For example, driving to a park and ride,
    riding a commuter train, and taking a bus to the final destination
    is all one linked trip which is made up of three unlinked trips and
    two transit system boardings.

[^3]: Sponsor shall generate this estimate by running the regional
    travel forecasting model using the proposed project transit network,
    the existing highway network, and existing estimates of population
    and employment. If the proposed project is within 5 years of the
    planned opening year, opening year estimates can substitute for this
    measure.

[^4]: Please summarize fare policy assumptions used for all regional
    transit services modeled in the forecast year. Attach this summary
    to Template 1.

[^5]: For informational purposes, please report the percentage and total
    number of regional home-based-work user benefits attributable to the
    lowest socio-economic strata (as defined by income or auto
    availability) used in local travel forecasts, for the forecast year.

[^6]: Linked trips refer to trips that begin at the trip origin and end
    at the final destination. One linked trip could be composed of
    several unlinked trips such as driving to a park and ride, riding a
    commuter train, and taking a bus to the final destination is all one
    linked trip but is made up of three unlinked trips and two transit
    system boardings.

[^7]: FTA has developed procedures for estimating the user benefits
    associated with some non-traditional markets. Project sponsors that
    wish to report benefits associated with off-model trips (such as
    stadium or special event trips, fringe parking markets, etc.) are
    encouraged to contact FTA for additional guidance. Other
    locally-developed procedures for capturing off-model or
    non-traditional benefits may be acceptable, but must be submitted to
    FTA for review and acceptance in advance.

[^8]: Cost effectiveness should not be reported for HOV or other roadway
    improvements which may be included in the full definition of the
    Build alternative or multi-modal investment strategy, but not
    proposed for Section 5309 New Starts funds. (FTA will allow local
    agencies to additionally report the cost effectiveness measure
    reflecting the definition of the Build alternative, including HOV
    and roadway improvements, to reflect the multi-modal nature of the
    New Starts investment.)

[^9]: Optionally, employment for the largest activity center(s) served
    by the New Start project may be reported.

[^10]: See "Mobility Benefits" section for guidance on calculating
    stationarea households and Appendix A for a sample methodology for
    estimating station area population, households, and employment.

[^11]: Reporting of data by individual station area is required.

[^12]: This is only necessary in the case of overlapping station areas,
    or other cases in which the data refer to an area other than a
    circle of ½-mile radius. See Appendix A for additional guidance.