Proposed Interim Guidance and Instructions

Small Starts Provision of the Section 5309 New Starts Program

June 5, 2006

Prepared by:

Federal Transit Administration

Office of Planning and Environment

US Department of Transportation

[http://www.fta.dot.gov](http://www.fta.dot.gov/)

Contents

1 Purpose [1](#purpose)

2 Eligibility [2](#eligibility)

2.1 Small Starts [2](#small-starts)

2.2 Very Small Starts [2](#very-small-starts)

2.3 Submission Requirements to Prove Eligibility
[3](#submission-requirements-to-prove-eligibility)

3 Small Starts Planning Requirements
[3](#small-starts-planning-requirements)

3.1 Alternatives Analysis [3](#alternatives-analysis)

3.1.1 Very Small Starts [4](#very-small-starts-1)

3.1.2 Small Starts [4](#small-starts-1)

3.2 Baseline Alternative [5](#baseline-alternative)

3.2.1 Very Small Starts [5](#very-small-starts-2)

3.2.2 Small Starts [5](#small-starts-2)

4 Evaluation Criteria and Measures
[5](#evaluation-criteria-and-measures)

4.1 Small Starts [5](#small-starts-3)

4.2 Very Small Starts [6](#very-small-starts-3)

4.2.1 Evaluation of Project Justification
[6](#evaluation-of-project-justification)

4.2.1.1 Effectiveness [6](#effectiveness)

4.2.1.2 Cost-effectiveness [7](#cost-effectiveness)

4.2.2 Evaluation of Local Financial Commitment
[7](#evaluation-of-local-financial-commitment)

4.2.3 Assessment of the Reliability of the Information
[8](#assessment-of-the-reliability-of-the-information)

5 Entry into Project Development [8](#entry-into-project-development)

6 FTA Funding Recommendations [9](#fta-funding-recommendations)

7 Small Starts/Very Small Starts Reporting Checklist
[9](#small-startsvery-small-starts-reporting-checklist)

# Purpose

SAFETEA-LU amended 49 U.S.C. 5309, which authorizes the Federal Transit
Administration\'s (FTA\'s) fixed guideway capital investment program
known as "New Starts", to add subsection (e) containing a new capital
investment program category for projects requesting New Starts funding
of less than \$75,000,000 with a total project cost of less than
\$250,000,000. That new capital investment program category, referred to
as "Small Starts", is to be funded starting in FY2007. FTA is in the
process of undertaking a rulemaking, as required by SAFETEA-LU, but the
current schedule for completing the Final Rule for Major Capital
Investment Projects is early 2008. Therefore, as an initial step, FTA is
issuing interim guidance and reporting instructions to allow projects
into project development as well as for rating and evaluating project as
part of the Annual New Starts Report and making funding recommendations
until the Final Rule is in effect.

Like all New Starts projects, FTA intends to seek out projects that
address significant transportation problems or opportunities and provide
significant mobility and economic development benefits in a
cost-effective manner. And as congestion is one of the Nation's most
daunting transportation challenges, FTA will facilitate meritorious
projects that are a significant element of a congestion reduction
strategy, in general and a pricing strategy, in particular. FTA seeks to
advance a set of highly meritorious projects under this interim guidance
to ensure that those in the Small Starts pipeline will not experience
any disruption to their project development when the Final Rule becomes
effective. Therefore, the requirements under this interim guidance may
be more stringent than what is included in the Final Rule. This guidance
further reflects FTA's intent to minimize changes to established New
Starts processes, *except* where it provides for streamlining these
processes in the spirit of SAFETEA-LU. Additional changes will be the
subject of the aforementioned rulemaking.

In sum, this interim guidance provides project sponsors of potential
Small Starts projects with the information required to apply for funding
for their projects before the Final Rule for Major Capital Investment
Projects becomes effective. It also describes the process that FTA will
use to evaluate proposed Small Starts projects to support the decision
to approve or disapprove those projects into project development and the
decision to recommend projects for funding. The guidance also defines
"Very Small Starts" projects and explains how these projects will be
evaluated and rated.

FTA further notes that SAFETEA-LU addressed the issue of the current
exemption from the New Starts rating and evaluation process for projects
requesting less than \$25 million in New Starts funds. These projects
will remain exempt until the Final Rule becomes effective. At that
point, all exempt projects will need to be evaluated as Small Starts
projects. Projects that are currently exempt, may choose to remain
exempt until the Final Rule becomes effective or they may choose to be
evaluated and rated according to the procedures described in this
interim guidance.

# Eligibility 

Small Starts projects are defined as projects requesting under \$75
million in New Starts funding with a total cost of less than \$250
million. FTA intends to scale the planning and project development
analysis to the size and complexity of the proposed projects. While it
is expected that this will apply to most Small Starts projects, FTA has
defined a class of projects that are very simple, low-cost and
demonstrably effective called Very Small Starts projects within the
Small Starts Program. Very Small Starts will qualify for a very simple
and expedited evaluation and rating process as described in Section 4.

As described in Section 4, Small Starts projects that do not meet the
criteria for Very Small Starts, will be evaluated and rated in a similar
manner as traditional New Starts projects, but only against the
evaluation criteria that coincide with the criteria specified in Section
5309 (e) based on information for the opening year of the project.

## Small Starts

In addition to the cost and funding limits specified above, a Small
Starts project must either (a) meet the definition of a fixed guideway
for at least 50% of the project length in the peak period, or (b) be a
corridor-based bus project with the following minimum elements:

-   Transit stations,

-   Traffic signal priority/pre-emption, to the extent, if any , that
    there are traffic signals on the corridor,

-   Low-floor buses or level boarding,

-   Branding of the proposed service, and

-   10 minute peak/15 minute off peak headways or better while operating
    at least 14 hours per weekday (not required for commuter rail or
    ferries).

These elements have been identified because experience shows that they
represent key features which contribute to transportation and economic
development benefits. Further, research has shown that the service
frequencies represent the maximum wait times for which passengers are
likely to arrive randomly rather than having to consult schedules.

## Very Small Starts

Very Small Starts projects are simple, low risk projects that, based on
their characteristics and the context in which they are proposed to
operate, qualify for a highly simplified project evaluation and rating
process. Small Starts projects that qualify as Very Small Starts are
projects that:

-   Do not include construction of a new fixed guideway (qualifying
    projects include arterial BRT or rail service on existing trackage);

-   Are in corridors with existing riders who will benefit from the
    proposed project that exceed 3,000 per average weekday with
    passenger loadings of at least 1,000 riders at the terminal
    stations; and

-   Have a total capital cost less than \$50 million and less than \$3
    million per mile, exclusive of rolling stock.

If a project does not meet all three of these criteria, it will be
evaluated as a Small Starts project.

## Submission Requirements to Prove Eligibility

To prove that the proposed project qualifies as a Small Starts project
based on project costs, sponsors shall submit a detailed cost estimate
using FTA's Standardized Cost Categories. Further, project sponsors must
document the funding strategy for the project, specifying the dollar
amount and percent of New Starts funds requested and the sources of the
proposed non-New Starts funds to demonstrate eligibility under the New
Starts share criterion. Project sponsors may request up to 80% of the
net project cost in New Starts funds, up to \$75 million, but, because
of the competitive nature of the program, are encouraged to request the
smallest amount necessary to complete the project. Non-New Starts
federal funds can also be applied to the project.

To prove eligibility for the highly simplified evaluation and rating
process for Very Small Starts, project sponsors shall submit:

-   A detailed definition of the locally preferred alternative,
    describing the project elements demonstrating eligibility under this
    section;

-   Documentation demonstrating that existing transit riders in the
    project corridor that will [demonstrably benefit]{.underline} from
    the proposed Small Starts project exceed 3,000 per average weekday
    and that at least 1,000 existing riders pass or board/alight at the
    terminal stations. This documentation will include the following:

1.  Raw data on transit vehicle loadings in the corridor based on ride
    checks of on's and off's for existing services for 3 days of typical
    ridership and service

2.  Description of the methods used to count riders in the corridor

3.  Grantee verification of reliable data collection practices

-   A transit operating plan that documents the transit services to be
    impacted by the proposed Very Small Starts project. The operating
    plan should document the number of existing riders on each affected
    bus or rail line whose passengers will directly benefit from the
    proposed Small Starts project. The operating plan must demonstrate
    the manner in which existing riders will benefit in terms of reduced
    travel time, added frequency, or improved passenger amenities.

# Small Starts Planning Requirements 

As required by SAFETEA-LU, Small Starts projects must be the result of
planning and alternatives analysis. The following sections describe the
general requirements for an alternatives analysis appropriate to
projects that are seeking funding as a Small Start to support decisions
on entry into project development and to support funding
recommendations.

## Alternatives Analysis

While larger projects require that a number of alternatives be
considered in an alternatives analysis to assess the numerous tradeoffs
in costs, benefits, and impacts, the consideration of Small Starts often
implies that fewer useful alternatives exist and in some cases, there
may only be two alternatives, one representing the Small Start and the
other today's service levels. Nevertheless, the number of alternatives
considered must continue to meet the requirements of NEPA, good planning
practices, and proper identification of project costs and benefits for
funding recommendations.

In addition, SAFETEA-LU states that the results of planning and
alternatives analysis will be analyzed and considered when evaluating
proposed Small Starts projects. Therefore, the alternatives analysis
report should address the evaluation and rating criteria specified in
this guidance that FTA will use to support a decision regarding entry
into project development.

### Very Small Starts

Projects that are Very Small Starts may utilize a very simple project
definition-based alternatives analysis process. The key elements of the
highly simplified alternatives analysis report are:

-   A clear description and assessment of the transportation problem or
    opportunity to improve transportation service in the corridor;

-   A clear description of the project designed to solve the problem or
    take advantage of the opportunity to improve transit service in the
    corridor. This section should include a clearly defined scope, list
    of project elements, their associated costs and expected effect on
    transit service in the corridor;

-   A comparison of the Very Small Start to conditions today; including
    an assessment of the effectiveness of the proposed project in
    solving the problem or taking advantage of the opportunity in the
    corridor;

-   A determination of whether or not the project sponsor can afford the
    capital and operating costs of the alternatives;

-   A well supported explanation for the choice of a proposed project
    that includes an analysis of the likelihood of the proposed project
    achieving the project goals and any uncertainties associated with
    achieving the project goals; and

-   A plan for implementing and operating the proposed project that
    addresses the project sponsor's technical capability to build,
    operate and maintain the proposed project

### Small Starts

FTA envisions that a simplified alternatives analysis process will be
possible for all Small Starts projects as long as one of the
alternatives is [not]{.underline} a potential New Starts project
requesting Section 5309 New Starts funds over \$75 million or with a
total cost over \$250 million. Projects that cannot qualify as a Very
Small Starts project should follow FTA's current guidance on
alternatives analysis and proceed through planning; see the New Starts
Project Planning and Development page on FTA's website for this
guidance. This guidance is flexible enough to take into account the size
and nature of the proposed capital investment. As noted previously, the
nature of Small Starts investments may lend themselves to an evaluation
of a more narrow range of alternatives. Furthermore, less complex
analytical methods may be appropriate for estimating project costs,
benefits, and impacts. FTA Office of Planning and Environment staff
should be consulted with any questions on an appropriate level of
analysis to support the planning and development of Small Starts
projects.

## Baseline Alternative

The measures of mobility that support the project justification are
based on a comparison between the proposed Small Starts project and a
baseline alternative. FTA will approve the baseline alternative to be
used in the evaluation of Small Starts before the project is allowed to
enter into project development.

### Very Small Starts

Because Very Small Starts Projects by their definition do not involve
constructing a new fixed guideway, and are composed of pre-approved
low-cost elements, these projects will use the no-build alternative as
the baseline alternative.

### Small Starts

Small Starts projects that do not qualify as a Very Small Starts project
will define a transportation system management (TSM) alternative to use
as the baseline. The TSM alternative will generally have the features
and costs similar to a Very Small Starts arterial bus project. In
general, the baseline alternative for Small Starts projects (that are
not Very Small Starts) will be defined to address the problem or
opportunity in the corridor, using low-cost non-guideway improvements.

# Evaluation Criteria and Measures

FTA's objectives for all project evaluation efforts are that: (1) the
evaluation measures are accurate indicators of the performance of
proposed projects, (2) the measures are readily computed by project
sponsors, (3) the measures are transit-mode-neutral, and (4) the
measures are free of inherent biases that would distort the level
playing field that is essential to FTA's management of the New and Small
Starts pipeline. Further, FTA hopes to ensure that the evaluation of
proposed projects is sensitive to their scale and complexity.

FTA proposes an evaluation framework and a set of evaluation measures
that is consistent with the framework established for evaluating New
Starts, although fewer measures are required, and their development is
simplified.

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 the 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.

## Small Starts 

Small Starts projects that are not Very Small Starts projects will be
evaluated and rated according to the criteria established in law using a
framework similar to traditional New Starts projects. In other words,
Small Starts projects will have a separate rating for Project
Justification, which will include land use, cost effectiveness, and
other factors (such as economic development, as appropriate), and for
Local Financial Commitment, which will be rolled up into an overall
summary rating. Small Starts projects that cannot qualify as Very Small
Starts should refer to FTA's [*FY2008 Reporting Instructions for the
Section 5309 New Starts
Criteria*](http://www.fta.dot.gov/grant_programs/transportation_planning/major_investment/18312_ENG_HTML.htm)
for a description of the evaluation and rating process.

While New Starts and Small Starts projects are proposed, for now, to
share a common evaluation framework, FTA's evaluation and rating process
for Small Starts will diverge from traditional New Starts in a number of
ways. First, these projects will be rated based on a shorter time frame,
i.e. opening year, and less data, as described in Section 6. Second,
other technically acceptable ridership forecasting procedures, besides
the traditional four-step model, will be allowed with FTA concurrence.
Third, while FTA intends to use the same cost-effectiveness breakpoints
that are applied to all New Starts projects, the opening year user
benefits will be adjusted upward, using a nationally estimated 20-year
growth forecast, to account for the additional user benefits that are
expected to accrue from the project over a 20-year period. Without this
adjustment, Small Starts projects would be held to a higher standard
since the breakpoints were originally calculated assuming a 20-year
forecast. Finally, under the Secretary's authority, FTA will consider
under "Other Factors" for project justification whether a Small Starts
project is proposed as a significant element of a comprehensive
congestion reduction strategy in general, and pricing, in particular.
This factor will result in a project's rating being increased.

## Very Small Starts 

The interim procedures used for Very Small Starts will be very simple
and streamlined compared to traditional New Starts projects.
Nonetheless, since the overall structure for the evaluation must be
consistent with the statutory requirements of Section 5309(e), FTA will
use the following framework to evaluate proposed Very Small Starts
projects prior to the Final Rule. In addition, under the Secretary's
authority, FTA will consider under "Other Factors" for project
justification whether a Small Starts project is proposed as a
significant element of a comprehensive congestion reduction strategy in
general, and pricing, in particular. This factor will result in a
project's rating being increased.

### Evaluation of Project Justification

#### Effectiveness

Meritorious transit projects increase mobility for existing and new
transit riders, support transit oriented land-use and promote economic
development. For Very Small Starts, project effectiveness will be proven
simply by qualifying as a Very Small Starts project. FTA, using a
variety of existing projects, developed the criteria for Very Small
Starts projects in such a way that those projects are "warranted" as
being effective and cost-effective at producing significant mobility
benefits and supporting economic development by their very nature.
Projects in corridors that meet the minimum existing ridership threshold
are in corridors with transit supportive land use appropriate to the
proposed level of investment. Because Very Small Starts projects will
demonstrably provide more accessibility to corridors with transit
supportive land uses, the projects will provide economic development
benefits commensurate with their costs. Therefore, the mobility, land
use and economic development ratings for "warranted" projects will be
"Medium."

#### Cost-effectiveness

Meritorious transit projects provide transportation benefits
commensurate with the cost required to achieve them. FTA has defined
Very Small Starts projects in such a way that they, by definition,
produce significant transportation benefits at a very low cost. FTA has
already determined that these projects are cost-effective so no further
analysis is required and each project will receive a "Medium" rating for
cost-effectiveness.

### Evaluation of Local Financial Commitment

FTA will evaluate the financial capability of the project sponsor to
construct and operate the proposed Very Small Starts project. Due to the
small scale and relative simplicity of Very Small Starts projects, FTA
will streamline the financial evaluation significantly.

If the project sponsor can demonstrate the following, the project will
receive a "Medium" financial rating:

-   A reasonable plan to secure funding for the local share of capital
    costs or sufficient available funds for the local share (all non-New
    Starts funding must be committed before receiving a project
    construction grant agreement);

-   The additional operating and maintenance costs to the agency of the
    proposed Small Starts project are less than 5 percent of the
    agency's operating budget; and

-   The agency is in reasonably good financial condition.

To prove these conditions, the project sponsor shall submit:

-   A detailed plan to secure funding for the local share of project
    costs which includes the sources, amount, and steps needed to secure
    funding commitments;

-   A detailed operating and maintenance cost estimate;

-   The current agency budget documenting that the Very Small Starts
    project O&M meets the 5 percent or less threshold; and

-   Three years of audited financial statements documenting the
    financial health of the transit agency.

If a project sponsor for a Very Small Start project does not have all of
the relevant information to prove these conditions, then the project
sponsor will need to develop and submit a financial plan consistent with
[*FTA's June 2000 Guidance for Transit Financial
Plans*](http://www.fta.dot.gov/documents/gftfp.pdf), but only covering
the period up to and including the opening year. The financial plan will
be evaluated and rated based on 1) the New Starts funding share, 2) the
strength of the capital funding plan, and 3) the strength of the
operating funding plan. The plan will be rated based on the framework
outlined in the [*FY2008 Reporting Instructions for the Section 5309 New
Starts
Criteria*](http://www.fta.dot.gov/grant_programs/transportation_planning/major_investment/18312_ENG_HTML.htm).

### Assessment of the Reliability of the Information

Since FTA is evaluating Very Small Starts using simplified methods
during the interim period before the publication of the Final Rule for
Major Capital Investment Projects, reliability is not a major issue.
These types of projects are, by their nature and definition, simple and
relatively low-cost. As such, projects that qualify as Very Small
Starts, due to their simplicity and use of off-the-shelf project
elements, should result in relatively reliable cost information. In
addition, the need to have a minimum number of existing riders who
benefit from the proposed project means that FTA is not relying on a
ridership forecast to find that the project is effective. FTA does,
however, have a statutory responsibility to ensure the reliability of
the information used to support decision-making. Therefore, FTA will
rely on past performance in determining the reliability of the cost and
ridership information submitted by the project sponsor. Project
sponsors, whose Small Starts projects come in significantly over budget,
may be deemed ineligible to receive funding for future Small Starts
projects until they can demonstrate that they have corrected the source
of the errors which led to the project's failure to meet its ridership
goals and cost estimates.

# Entry into Project Development

For Very Small Starts projects, the decision to approve entry into
project development will be based on a review of the following items:

-   An alternatives analysis report as defined in Section 3.1;

-   Evidence that the Very Small Starts project has been selected as the
    Locally Preferred Alternative;

-   Evidence that the proposed Very Small Starts Project has been
    adopted into the fiscally constrained Long Range Transportation
    Plan;

-   Documentation that the NEPA Notice of Intent and Scoping
    requirements are met, unless the project is being pursued under a
    categorical exclusion or an environmental assessment;

-   A detailed project definition, scope, and cost estimate using FTA
    Standardized Cost Categories in base year and year of expenditure
    dollars; and

-   The financial submission requirements defined in Section 4.2.2.

Small Starts projects that cannot qualify as Very Small Starts must
prepare and submit the same information as traditional New Starts
projects with the following key differences:

-   FTA's cost-effectiveness measure and related travel forecasting
    results will be calculated and reported using the opening year
    forecast,

-   The land use information should be appropriate to the importance of
    land use to the proposed project's success;

-   The financial plan need only cover the period up to and including
    the opening year; and

-   Project sponsors are not required to submit the information on
    Template's 4, 5, 6, 7, and 10 because Section 5309(e) does not
    include these criteria for consideration for Small Starts.

All Small Starts projects will need to achieve an overall rating of
"medium" or better, comprising of a "medium" or better rating for both
project justification and local financial commitment as defined in
Section 4 of this interim guidance.

# FTA Funding Recommendations

FTA will recommend proposed Small Starts/Very Small Starts projects for
funding after they have been approved to enter into project development,
are "ready" to implement their proposed project and continue to be rated
at least "medium" for both project justification and local financial
commitment. Projects that meet these conditions may be recommended for
funding in the upcoming Annual Report on New Starts, subject to funding
availability.

As with all New Starts, the rating process is separate from the funding
decision. Projects that achieve a "medium" or better rating for project
justification and local financial commitment will be eligible to receive
Small Starts funds, but are not guaranteed to receive any funding.

All Small Starts that receive a Project Construction Grant Agreement
will be subject to the Before-and-After Study requirement. Small Starts
that cannot qualify as Very Small Starts shall follow the instructions
regarding the Before-and-After Study requirement for New Starts. For
Very Small Starts, the Before-and-After Study will consist a very simple
analysis of the following:

1.  A post-construction cost summary in FTA standardized cost categories
    compared to the cost estimate at the time of entry into project
    development;

2.  A comparison of actual ridership (on's and off's) in the corridor
    between the counts provided in the application to enter project
    development and new counts done two years after opening; and

3.  A comparison of transit schedules and frequencies between the
    transit services in the corridor as it existed at the time of entry
    into project development and two years after opening.

# Small Starts/Very Small Starts Reporting Checklist

The following checklist is provided to aid project sponsors in preparing
applications to enter into project development for Small Starts. Since
the reporting requirements for Very Small Starts are much less than for
Small Starts, the checklist is divided into two sections: the first for
all Small Starts projects and the second, the additional information
required of Small Starts projects that are not Very Small Starts
projects. Specific information and instructions regarding Templates,
Standardized Cost Categories, SUMMIT reports, Financial Plans, etc., are
provided in much greater detail in the 2008 *[Reporting Instructions for
the Section 5309 New Starts
Criteria](http://www.fta.dot.gov/grant_programs/transportation_planning/major_investment/18312_ENG_HTML.htm)*
and other guidance documents available on the FTA web site.

+---------------------------------------------------+------------------+
| Reporting Item                                    | Required         |
|                                                   | Information      |
+---------------------------------------------------+------------------+
| **FOR ALL SMALL STARTS**                          |                  |
+---------------------------------------------------+------------------+
| **For Entry into Project Development**            |                  |
+---------------------------------------------------+------------------+
| > Alternatives Analysis Report                    | Final Report     |
+---------------------------------------------------+------------------+
| > Selection of the Locally Preferred Alternative  | Proof of local   |
|                                                   | action           |
+---------------------------------------------------+------------------+
| > Agreement on Baseline Alternative               | FTA concurrence  |
+---------------------------------------------------+------------------+
| > Initial information and plan for before and     | Plan, ridership  |
| > after study                                     | and cost inputs  |
|                                                   | and estimates    |
+---------------------------------------------------+------------------+
| > Early Scoping (if required)                     | Scoping Report   |
+---------------------------------------------------+------------------+
| **Project Background and Summary**                |                  |
+---------------------------------------------------+------------------+
| > Project Description Worksheet                   | Template 1       |
+---------------------------------------------------+------------------+
| > Documentation of existing, benefiting transit   | Data,            |
| > riders in corridor                              | methodology,     |
|                                                   | maps of affected |
|                                                   | routes, evidence |
|                                                   | of benefit for   |
|                                                   | affected riders  |
+---------------------------------------------------+------------------+
| > Make the Case Document -- Describe and          | Narrative, Data, |
| > illustrate the nature and extent of the problem | Maps, Graphics   |
| > or opportunity in the corridor                  |                  |
+---------------------------------------------------+------------------+
| **Other Factors**                                 |                  |
+---------------------------------------------------+------------------+
| > Other Factors, as appropriate, including        | Alternate        |
| > documentation on whether the proposed project   | Template 9;      |
| > is a significant element of a comprehensive     | Narrative, Data, |
| > reduction strategy and whether that strategy    | etc.             |
| > includes pricing.                               |                  |
+---------------------------------------------------+------------------+
| **Project Maps**                                  |                  |
+---------------------------------------------------+------------------+
| > Project Site Map                                | Map              |
+---------------------------------------------------+------------------+
| > Vicinity Map                                    | Map              |
+---------------------------------------------------+------------------+
| **Capital Costs**                                 |                  |
+---------------------------------------------------+------------------+
| Standard Cost Categories Worksheets               |                  |
+---------------------------------------------------+------------------+
| > Main Worksheet for Build and Baseline           | SCC              |
+---------------------------------------------------+------------------+
| > Inflation Worksheet                             | SCC              |
+---------------------------------------------------+------------------+
| > Project Schedule                                | SCC              |
+---------------------------------------------------+------------------+
| > Funding Sources by Category                     | SCC              |
+---------------------------------------------------+------------------+
| > Funding Source By Year                          | SCC              |
+---------------------------------------------------+------------------+
| **Local Financial Commitment**                    |                  |
+---------------------------------------------------+------------------+
| > Project Finance Worksheet                       | Template 13      |
+---------------------------------------------------+------------------+
| > Project Finance Plan up to Year of Opening      | Financial Plan   |
| > (submit only if project O&M \> 5 percent of     |                  |
| > total agency operating costs)                   |                  |
+---------------------------------------------------+------------------+
| > Additional Supporting Documentation -- Proof of | Narrative,       |
| > funding commitments and 3 years audited         | Plans, Data,     |
| > financial statements, etc...                    | etc.             |
+---------------------------------------------------+------------------+

+---------------------------------------------------+------------------+
| **ONLY FOR SMALL STARTS THAT ARE NOT VERY SMALL   |                  |
| STARTS**                                          |                  |
+---------------------------------------------------+------------------+
| **Travel Forecasts -- Year of Opening**           |                  |
+---------------------------------------------------+------------------+
| Summit Software Reports and Maps -- Or results of |                  |
| an FTA approved alternative ridership forecasting |                  |
| process (contact FTA if planning to use           |                  |
| alternative methods)                              |                  |
+---------------------------------------------------+------------------+
| > Summary "roll-up" report                        | Summit Output    |
+---------------------------------------------------+------------------+
| > Summary reports for each trip purpose (i.e.     | Summit Output    |
| > HBW, HBO, NHB, etc.)                            |                  |
+---------------------------------------------------+------------------+
| > Trip length frequency reports and row and       | Summit Output    |
| > column sum reports for each trip purpose        |                  |
+---------------------------------------------------+------------------+
| > Map of district boundaries and names that       | Graphic          |
| > includes project alignment and station          |                  |
| > locations                                       |                  |
+---------------------------------------------------+------------------+
| > Two thematic maps for each trip purpose         | Summit Output    |
| > (productions and attractions) and for total     |                  |
| > user benefits across all trip purposes          |                  |
+---------------------------------------------------+------------------+
| > UBQC Worksheet                                  | "UBQC" Template  |
+---------------------------------------------------+------------------+
| > Annualization Factor Justification              | Narrative, Data  |
+---------------------------------------------------+------------------+
| **Mobility Improvements (Year of Opening)**       |                  |
+---------------------------------------------------+------------------+
| > Transportation System User Benefits per         | Template 3       |
| > Passenger Mile Worksheet                        |                  |
+---------------------------------------------------+------------------+
| **Cost Effectiveness (at Year of Opening)**       |                  |
+---------------------------------------------------+------------------+
| > Annualized Cost Worksheets for Build and        | SCC              |
| > Baseline                                        |                  |
+---------------------------------------------------+------------------+
| > Cost Effectiveness Worksheet -- User Benefits   | Template 9       |
+---------------------------------------------------+------------------+
| **Other Factors**                                 |                  |
+---------------------------------------------------+------------------+
| > Other Factors such as Economic Development      | Alternate        |
| > Impacts, as appropriate                         | Template 9;      |
|                                                   | Narrative, Data, |
|                                                   | etc.             |
+---------------------------------------------------+------------------+
| **Transit Supportive Existing Land Use and Future |                  |
| Patterns**                                        |                  |
+---------------------------------------------------+------------------+
| > Supplemental Land Use Information Worksheet     | Template 11      |
+---------------------------------------------------+------------------+
| > Quantitative Land Use Information Worksheet     | Template 12      |
+---------------------------------------------------+------------------+
| > Additional Supporting Land Use Documentation    | Narrative,       |
|                                                   | Plans, Data,     |
|                                                   | etc.             |
+---------------------------------------------------+------------------+