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pdfReporting Instructions for the
Section 5309
Capital Investment Grants Program
Small Starts
January 2025
Revision A
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 Capital Investment Grants program evaluation criteria, and for
specific questions related to this document, contact Pete Mazurek, Acting Director, Office of
Capital Project Development, Federal Transit Administration, Washington, DC, at
peter.mazurek@dot.gov.
TABLE OF CONTENTS
I.
Introduction .......................................................................................................1
II. Principles to Ensure a Level Playing Field for Comparison of Projects .....4
III. General Reporting Information .......................................................................6
III.1.
Project Background Information .................................................................................. 6
III.2.
Travel Forecasts............................................................................................................ 8
III.3.
Operations and Maintenance Costs ............................................................................ 14
III.4.
Capital Costs ............................................................................................................... 14
IV. Project Justification Criteria .........................................................................18
IV.1.
Project Justification Warrants ..................................................................................... 18
IV.2.
Mobility Improvements .............................................................................................. 18
IV.3.
Cost Effectiveness ...................................................................................................... 18
IV.4.
Congestion Relief ....................................................................................................... 19
IV.5.
Land Use ..................................................................................................................... 19
IV.6.
Economic Development ............................................................................................. 21
IV.7.
Environmental Benefits .............................................................................................. 29
V. Local Financial Commitment Criteria..........................................................31
V.1.
Small Starts Finance Template ................................................................................... 31
V.2.
Streamlined Financial Evaluation ............................................................................... 32
V.3.
Standard Financial Evaluation .................................................................................... 33
Appendix A. General Reporting and Project Justification Checklist............ A-1
Appendix B. Travel Forecasting Meeting in Advance of CIG Submittal for
Evaluation and Rating ..................................................................B-1
Appendix C. Sample Methodologies for Land Use Measures ........................ C-1
Appendix D. Local Financial Commitment Checklist..................................... D-1
FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Introduction
I.
The Federal Transit Administration (FTA) has produced these Reporting Instructions for the
Section 5309 Capital Investment Grants Program (“Reporting Instructions”) to inform sponsors
of proposed Small Starts projects of the information they must provide to FTA so that it may
undertake the statutorily required evaluation and rating of the project. These Reporting
Instructions take effect immediately and remain applicable until updated Reporting Instructions
are released by FTA. Companion documents published by FTA with these Reporting
Instructions include the Small Start Standard Cost Category (SCC) Workbook and Templates.
These Reporting Instructions do not outline all the steps or requirements of the Capital
Investment Grants (CIG) Program. Project sponsors should read and understand the Capital
Investment Grants Program Policy Guidance published in December 2024 before using these
Reporting Instructions [see 2024 CIG Policy Guidance].
FTA reviews and evaluates the information submitted by project sponsors according to these
instructions to:
•
Assign ratings to proposed Small Starts projects for the Annual Report on Funding
Recommendations (“Annual Report”);
•
Assign ratings to proposed Small Starts projects for an optional early rating, and
•
Determine final ratings for Small Starts projects prior to a Small Starts construction grant
agreement.
FTA emphasizes that project sponsors may request advancement into Project Development at
any time throughout the year and need not tie advancement to the Annual Report schedule.
Project sponsors should talk to their assigned FTA staff member in the Office of Planning and
Environment to determine what needs to be submitted and when.
Parallel sets of reporting instructions for New Starts and Core Capacity projects are available on
FTA’s website at How to Apply.
Reporting Format
Project sponsors should submit information electronically via email to the FTA Office of
Planning and Environment staff member assigned to their project. FTA requests electronic
files in their original format (Excel/Microsoft Word/etc.) and not PDF files. When
submitting a financial cash flow electronically in Excel format, sponsors must submit a
version with the formulas included and not just a version with hardcoded numbers.
As a reminder, Small Starts project sponsors must use the most recent Small Starts SCC
Workbook issued by FTA for reporting the capital cost and schedule for their proposed project.
Project sponsors should report costs in 2025 constant dollars and use the most recent Small Starts
Templates issued by FTA.
The Small Starts SCC Workbook and Templates include formulas and locked cells to ensure the
validity and consistency in the FTA evaluation and rating process. The cells are marked as
follows:
•
White cells require data entry by the project sponsor.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
•
Gray or green shaded cells are locked to protect FTA formulas and calculations that
generate information for project evaluation and rating.
Project sponsors should enter information in the white data entry cells. Project sponsors should
not unlock, alter, or otherwise modify the SCC Workbook or Templates. Project sponsors
who submit an SCC Workbook and/or Templates that have been altered or changed will be
required to submit revised information using the original, unaltered SCC Workbook and
Templates. This will delay FTA’s evaluation and rating of the project.
Project sponsors should include with their submittal a cover letter addressed to FTA’s Associate
Administrator for Planning and Environment from the Chief Executive Officer (CEO) of the
sponsoring agency attesting that the technical approaches and assumptions used are consistent
with FTA’s Reporting Instructions and CIG Policy Guidance. If a project sponsor finds it
necessary to deviate from FTA’s guidance, the letter should identify any differences and explain
why. Any such differences should be discussed with FTA’s Office of Planning and Environment
in advance so that appropriate guidance can be provided. The cover letter should also summarize
what changes were made to the project and to the information in the submittal since the last FTA
evaluation and rating and explain the reasons those changes were made. Specific details on any
changes should be provided. For example, if changes were made to the inflation assumptions in
the SCC Workbook, those changes and the associated reasons should be summarized.
The Small Starts Templates include a tab that provides a ratings summary that project sponsors
can use to estimate their rating. The Ratings Summary Template automatically populates several
of the project justification criteria ratings from the Land Use, Mobility, Cost Effectiveness and
Congestion Relief, and Environmental Benefits Templates. Estimated ratings for economic
development and local financial commitment must be entered by the project sponsor. This tool
is provided by FTA to help project sponsors understand how their project might rate based on
information sponsors enter in the templates. The final rating assigned by FTA may differ.
The graphic below is an overview of the evaluation and rating process.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
New CIG Policy Guidance
FTA released new CIG Policy Guidance on December 17, 2024. This new CIG Policy Guidance
became effective on January 16, 2025. FTA is exempting certain projects from following the
new CIG Policy Guidance. Specifically, projects already in the Project Development or
Engineering phases of the CIG program as of December 17, 2024, that have been evaluated and
rated at least once by FTA under the 2023 CIG Policy Guidance and that meet the requirements
for receipt of a CIG construction grant award by the end of calendar year 2025 are exempt from
following the new CIG Policy Guidance. These projects may continue to follow the 2023 CIG
Policy Guidance. To demonstrate a project has met the requirements for receipt of a
construction grant award by the end of calendar year 2025, the project sponsor must submit a
complete construction grant application to FTA no later than September 1, 2025. If a project
sponsor desires to have an exempt project evaluated and rated under the new CIG Policy
Guidance rather than the 2023 CIG Policy Guidance, the sponsor may notify FTA of this desire.
Sponsors of projects exempt from following the new CIG Policy Guidance should contact their
CIG team leader for unique Reporting Instructions, SCC Workbook, and Templates. All other
projects will follow these January 2025 Reporting Instructions and use the FY 2027 SCC
Workbook and Templates.
Contacting FTA
For additional guidance on the CIG program evaluation criteria, and for specific questions
related to this document, contact Susan Eddy, Director, Office of Capital Project Development,
Federal Transit Administration, Washington, DC, at (202) 366-5499 or susan.eddy@dot.gov.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
II.
Principles to Ensure a Level Playing Field for Comparison of
Projects
FTA strives to create a “level playing field” upon which a wide variety of candidate projects
compete for funding. This section summarizes FTA’s key principles to ensure consistency in
project evaluations and ratings. Please visit FTA’s Capital Investment Grants Program webpage
for additional guidance.
Time Horizons
FTA requires sponsors of proposed Small Starts projects to calculate the measures for the
evaluation criteria using current year inputs. The current year is defined as the most recent year
for which demographic and transit usage data are available. The current-year build scenario
must reflect the opening year service plan. At their option, sponsors may also calculate the
evaluation criteria using a horizon year, either 10 or 20 years in the future. Horizon years are
based on available socioeconomic forecasts from metropolitan planning organizations (MPO),
which are generally prepared in five-year increments such as for the years 2030 and 2035. The
year 2045 may be used as the horizon year if the area’s MPO has officially adopted 2045 as its
planning horizon year.
Points of Comparison
Most evaluation measures are based on absolute rather than incremental values. Where a basis
for comparison is required to calculate the evaluation measure, the no-build will be the point of
comparison. The no-build scenario is defined in the table below.
Analysis year
No-Build Point of comparison
Current
Existing transportation system (excluding the proposed
Small Starts project)
10-year horizon
Existing transportation system plus transportation
investments committed in the Transportation
Improvement Program (TIP) pursuant to 23 CFR 450
(excluding the proposed Small Starts project). Project
sponsor should use the TIP that is in place at the time
that the sponsor seeks to be considered for a funding
recommendation. If forecasts are updated later, as
required when there is a significant change in the project
or prior to a construction grant agreement, the point of
comparison would include the projects in the TIP at that
time.
20-year horizon
Existing transportation system plus all projects identified
in the metropolitan planning organization’s fiscally
constrained long range transportation plan (excluding the
proposed Small Starts project)
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In cases where a CIG project is part of a multimodal package that includes infrastructure for
other modes, such as highway expansion, the components of the package that are not proposed
for CIG funding are not evaluated as part of the project. If a proposed project is proposed to be
built in phases, FTA generally evaluates and funds each phase separately. Thus, only the phase
currently seeking CIG funds would be evaluated according to the criteria.
Cost Estimating Assumptions
A project’s capital cost estimate includes costs for planning, design, and construction. It
includes labor and material for construction of the improvement – such as guideways, stations,
support facilities, sitework, special conditions and systems – as well as costs for vehicle design
and procurement, environmental mitigation, right-of-way acquisition, relocation of existing
households and businesses, planning, facility design, construction management, project
administration, finance charges, and contingencies. Project sponsors must use the most recent
SCC Workbook issued by FTA for reporting the capital cost and schedule of their proposed
project. Project sponsors should report costs in 2025 constant dollars.
FTA expects the cost estimate for the project to be up to date, based on unit costs that apply to
expected conditions during construction, and specifically identify remaining uncertainties in
those unit costs. Similarly, estimates of operations and maintenance 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, consistent with experience in similar settings elsewhere.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
III. General Reporting Information
This section describes information that must be submitted to FTA for project evaluation and
rating. Appendix A provides a short summary of the required general reporting and project
justification information.
III.1. Project Background Information
The following subsections describe information necessary for FTA to understand the project, its
planning context, and how (and why) it addresses the identified transportation problems in the
corridor. Project background information comprises the three items described in this section:
•
Project Description Template;
•
Project Narrative; and
•
Project Maps.
Project Description Template
Project sponsors must provide descriptive information on the proposed project and the regional
public transportation system. FTA uses the information in the Project Description Template to
understand the project characteristics and to obtain local contact information. All project
sponsors must submit this template to FTA.
Project Narrative
A project sponsor may submit to FTA at their option a short (no more than five-page) narrative
that succinctly describes the benefits of the proposed project. This document helps to familiarize
FTA with the proposed project and its rationale; it does not affect a project’s rating. The short
narrative should describe key project outcomes drawn from planning studies performed by the
project sponsor that were used as the basis for selecting the proposed project.
Below is an outline of what the narrative could contain.
•
Project Identification. In two or three short sentences, provide the essential
characteristics of the proposed project: its location, length, termini, number of stations,
hours of service, and frequency by time period.
•
Setting. Along with a good map of the corridor, in a few paragraphs describe the key
elements of the setting such as the major activity centers within the corridor, significant
highway facilities, existing transit facilities like fixed-guideways and transfer centers, and
the alignment of the proposed project.
•
Current Conditions. Important conditions might include: the population and
employment of the corridor and any major activity centers within the corridor; congestion
levels on important highway facilities; existing transit shares; ridership volumes; and any
key attributes (capacity issues, rider characteristics, etc.) that are important for the
project. Highlight the principal functions of transit services in the corridor, focusing on
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
whatever limitations exist on the performance of the transit system. Focus on the
corridor itself, rather than the metropolitan area.
•
Conditions in the Horizon Year (if applicable). If a project sponsor opts to submit
horizon year data to FTA, the narrative might describe the anticipated changes in key
corridor characteristics between today and the horizon year – absent significant transit
improvements in the corridor. Particularly in rapidly growing corridors, this would
highlight major changes in demographics, travel patterns, volumes and speeds on major
highway facilities, the service quality and capacity of transit services, and anticipated
transit ridership. The discussion should make clear the key functions of the transit
system in the corridor and highlight whatever limitations are anticipated on its
performance. As with the discussion of current conditions, this section must focus on the
key characteristics of the corridor itself rather than aggregate information on broader
geographical areas.
•
Purpose of the Project. Succinctly describe the specific ways that the proposed project
will address the problems identified in the corridor.
•
Merits of the Project. Describe how the project addresses the purpose more effectively
compared to other alternatives.
•
Summary. In one paragraph draw together the key points made in the document.
Highlight the conditions that motivate consideration of a major transit improvement, the
specific purpose of the project, and the ways that the project succeeds in addressing the
purpose.
Project Maps
All sponsors must submit an electronic map of their proposed project. To ensure compatibility,
maps should be created in a geographic information system (GIS) program such as MapInfo,
ArcInfo, Maptitude, or TransCAD. In lieu of a GIS-based map, a clearly legible map of the
project may be submitted. All maps should be submitted to FTA in Adobe Acrobat (PDF)
format.
To ensure consistency among projects, maps submitted to FTA must include the following
features:
•
A title indicating the project’s name and primary city and state.
•
The alignment of the project, not including future proposed extensions of the proposed
project or extensions to the existing transit system. For example, if the project is an
initial operating segment, then only the initial operating segment should be shown on the
map. The map should be scaled to the project; also, the line style used to depict the
project’s alignment should be easily distinguishable from styles used for other
transportation infrastructure.
•
Stations included in the project, marked in a distinguishable manner from existing transit
stations and labeled. Stations with park and ride facilities should be further distinguished
from others, either via markings or labels.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
•
Any transit vehicle maintenance or storage facilities to be constructed as part of the
project.
•
Street, highway, and railroad networks in the area surrounding the project, with major
streets’ names and highways’ designations labeled as appropriate.
•
Key connecting mass transit lines including existing stations, particularly if the project
represents an extension of an existing line.
•
Major water bodies with names labeled as appropriate.
•
Names of cities and/or counties to be served by the project, with jurisdictional boundaries
demarcated as appropriate.
•
A legend, scale, and compass.
Elements of the maps should be distinguishable when reproduced in grayscale. The map should
fit on one 8.5 by 11-inch paper, with one-inch margins. Maps may be provided in landscape or
portrait orientation depending on the alignment of the project; typically, north-south alignments
are provided in portrait orientation and east-west alignments are provided in landscape
orientation.
III.2. Travel Forecasts
Project sponsors may choose to predict trips using one of three basic approaches: their own
locally adopted travel forecasting procedures, FTA’s forecasting tool entitled Simplified-Tripson-Projects Software (STOPS), or, in some cases, an incremental data-driven method.
The chosen forecasting method should be discussed with FTA well before the submittal of
information by the project sponsor for project evaluation and rating. Such discussions will
involve a review of the forecast methodology validation and input assumptions specific to the
project. FTA’s travel forecasting webpage provides timelines (by method) for submittals in
advance of a project rating request.
For project sponsors seeking an evaluation and rating, FTA requires sponsors to meet with its
Systems Planning and Analysis team two months prior to their submittal. Therefore, for those
seeking an evaluation and rating as part of the FY 2027 Annual Report (which has a deadline of
August 22, 2025, for a complete submission), FTA requires project sponsors to meet with the
Systems Planning and Analysis team prior to June 21, 2025. Please contact Jeff Roux at
Jeffrey.Roux@dot.gov or (202) 366-1806 to schedule this required meeting. Appendix B
contains a meeting agenda for this discussion. FTA welcomes project sponsors to add additional
items to the agenda. The due dates for travel forecasting materials to be submitted to FTA for
the FY 2027 Annual Report are:
•
Submissions with methods other than STOPS – On or before June 30, 2025
•
Submissions with STOPS – On or before July 25, 2025
Due dates for travel forecasting materials to be submitted to FTA for submissions other than for
the FY 2027 Annual Report will be discussed at the first meeting.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Project sponsors submitting ridership information to demonstrate eligibility for the use of Project
Justification Warrants are not required to meet with FTA. However, they are required to submit
their information to FTA one month in advance of their full submittal. The due date for
submitting information to demonstrate eligibility for Project Justification warrants for the FY
2027 Annual Report is July 25, 2025.
Travel forecasting deadlines for the FY 2027 Annual Report are summarized in the table below.
Sponsor meeting with FTA’s Systems
Planning and Analysis team
Prior to June 21, 2025
Submission of travel forecasting materials
using methods other than STOPS
On or before June 30, 2025
Submission of information demonstrating
eligibility for Project Justification warrants
On or before July 25, 2025
Submission of travel forecasting materials
with STOPS
On or before July 25, 2025
If STOPS is chosen as the method used, documentation of the methodology and validation and a
detailed review by FTA is not necessary. However, project sponsors who prepare the forecasts
using STOPS must provide FTA with an electronic copy of their STOPS application, including
both the inputs and the output reports.
The following items must be submitted concurrently to FTA in support of the travel forecasts:
•
Travel Forecasts Template;
•
Forecast Results Reports; and
•
Supporting tabulations.
Travel Forecasts Template
The Travel Forecasts Template includes the data used to calculate the mobility improvements,
congestion relief, cost effectiveness, and environmental benefits criteria. This information is
entered once by the project sponsor in the Travel Forecasts Template and then automatically
populated in the other templates to avoid the need for project sponsors to enter duplicate
information.
All project sponsors are required to submit a current year forecast. At their option, project
sponsors may also choose to submit a horizon year forecast either 10 or 20 years in the future.
The horizon year must be selected in the Project Description Template. A selection of “none”
signifies that the project sponsor is foregoing the optional horizon-year analysis and the cells for
horizon-year entries in the Travel Forecasts Templates are shown in gray indicating no inputs are
necessary.
Project sponsors seeking project justification warrants enter “Yes” to the question on this topic
found on the Project Description Template. They also enter existing weekday transit trips in the
corridor on the Project Description Template. They use the Travel Forecasts Input Template to
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
input only the Vehicle-Miles of Travel (VMT) information at the bottom of the template. Other
cells are shaded in gray signifying no inputs are necessary.
•
Trips On the Project Section:
o Daily linked trips on the project, non-transit dependent users (Lines 1a and 2a):
the number of daily linked trips using any part of the proposed project, excluding
trips made by transit-dependent persons or the “special market” trips identified in
Lines 3-6. Please contact FTA’s Office of Planning and Environment with any
questions regarding project trips.
o Daily linked trips on the project, transit dependent users only (Lines 1b and 2b):
the number of daily linked trips using any part of the proposed project made by
transit dependent persons. Transit-dependent trips are represented in STOPS and
most local models as trips made by individuals from households that do not own a
car, but some local models may instead represent them as trips made by
individuals in the lowest household income category.
o Special market project trips per-event and per-day by market (Lines 3-6): the
number of trips on the proposed project per-event or per-day for each special
travel market not considered by the travel model and for which ridership estimates
were prepared “off model.” Per-event markets include sports venues, concerts,
and other intermittent activities. Per-day markets include air passengers,
circulation travel, and other markets that are present every day.
o Annualization factors: the factors needed to compute annual totals from the daily
estimates provided by the travel models and special event trips. Because trips
generated by the special markets are annualized separately, the annualization
factor reported for lines 1 and 2 must exclude the effects of special markets.
For daily linked trips on the project (lines 1 and 2), the annualization factor
should be consistent with local experience in the existing transit system and also
appropriate to the proposed operating plan. For special market trips (lines 3-6),
market-specific annualization factors should be used and explained. For example,
a venue for major league baseball should have an annualization factor of
approximately 81 because every year each major league team plays 162 games,
81 as the home team and 81 as the visitor.
In addition to filling out the annualization factors in the Travel Forecasts
Templates, a written justification for the annualization factors should be provided
to FTA.
o New Transit Trips (line 9): the number of total new daily linked transit trips
using any part of the proposed project. This is an incremental value based on the
comparison of daily linked transit trips in the build and the no-build alternatives.
•
Vehicle-Miles of Travel (VMT) section:
o Daily VMT, automobile (Line 10): the total weekday VMT by automobile (any
occupancy) for the no-build and build scenarios. Estimates of changes in VMT
come from either the local travel model or STOPS. With STOPS, project
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
sponsors will need to use an appropriate auto occupancy to convert the STOPSpredicted changes in passenger-miles of travel in automobiles to change in VMT.
The annualization factor for automobile VMT should be the same as the transit
annualization factor entered for trips on the project in lines 1 and 2.
o Annual VMT, transit modes (Lines 11 through 19): the annual VMT for the nobuild and build scenarios for each mode of public transit that has different service
levels in the two scenarios. If a mode exists in a project sponsor’s region but will
not be affected by the proposed project, nothing needs to be entered for that mode
because there would be no change in VMT between the no-build and build
alternatives. Annual VMT totals for each mode that will be affected by the
project should be calculated based on service plans. For rail transit modes, car
mileage should be reported rather than train mileage.
Travel Forecast Results Report
The travel forecast results report focuses on the forecasts themselves rather than on the methods
used to prepare the forecasts. Documentation on the methods used to prepare the forecasts
should have been previously submitted and discussed with FTA. The results report provides a
narrative describing the key characteristics of the forecasts. It is a concise, plain-English
narrative of the primary mobility benefits of the project as indicated by the travel forecasts,
including:
•
the markets that the project serves and the difficulties those markets face (transportation
and/or economic);
•
the way the project improves transit service to address those difficulties;
•
project station-to-station travel times and the methodology used to derive them;
•
the way overall transit ridership responds to the implementation of the project;
•
the resulting trips on the project;
•
uncertainties inherent in all these items;
•
discussion of the reasons for any large changes in district-to-district trips from no-build to
build (or from current year to horizon year, as applicable) that will help FTA reach an
overall conclusion of forecast plausibility;
•
summary figures as appropriate to support the narrative; and
•
an index of the supporting tabulations for easy reference.
Supporting Tabulations
The travel forecasts results report includes a series of summary tabulations of forecast results.
Such tabulations should be provided as spreadsheets that are sized and formatted to be easily
readable on a computer screen. Sponsors are encouraged to package the information into as few
electronic files as possible using multiple pages or spreadsheet tabs. FTA can provide a sample
formatted spreadsheet if requested, but the characteristics of each project are different and thus
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the size and layout of the tables may vary. Hard-copy paper printouts of the tabulations included
in the spreadsheet files should not be provided to FTA. Electronic prints, in the form of a single
PDF file of all tabulations, may be provided in addition to the spreadsheets to assist FTA with its
review, but are not required.
The summaries should tabulate the forecasts for the current year and, if used in the project
ratings, the horizon year. In cases where the sponsor has used locally developed travel
forecasting procedures, the summaries must also tabulate the model-validation forecasts. The
summaries are based on a set of summary districts defined by the sponsor to sum zone-to-zone
information from the forecasts to a reviewable level of aggregation. The required tabulations
are:
1. Demographic and socio-economic characteristics:
•
Information used for trip (or tour) production generation (e.g., households by socioeconomic group, population, and workers in households) by Transportation Analysis
Zone (TAZ) and summary district;
•
Information used for trip (or tour) attraction generation (e.g., number of jobs by
classification type) by TAZ and summary district; and
•
All data fields should be clearly labeled.
2. Highway speeds:
•
For current year forecasts: unweighted average peak and off-peak period speeds
computed across all zone-to-zone pairs within each district-to-district cell.
•
For horizon-year forecasts if applicable:
o unweighted average peak and off-peak period speeds computed across all
zone-to-zone pairs within each district-to-district cell; and
o the horizon-year-to-current-year ratio in each cell of the unweighted average
peak and off-peak period speeds tabulations.
3. Linked transit trips (for the no-build and build alternatives, including horizon year if
applicable):
•
Trips on the entire transit system for each travel market (trip purpose by time-of-day
by transit-access mode by socio-economic stratum), and the grand total across all
markets, as represented in the mode choice analysis; and
•
Trips on the project for each of the same travel market breakdowns as discussed in
the bullet above.
4. Weekday total and home-based-work person trip tables (district-to-district, with row and
column totals). One single set of person trip tables must be used for both the no-build
and build forecasts.
5. Weekday transit trip tables (district-to-district, with row and column totals), separately
for walk- and drive-access, tabulating:
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•
Total transit trips and home-based work transit trips -- no-build, build, and changes
between the two
•
Trips on the project (by trip purpose and, separately, by access mode)
•
The number of zone-to-zone transit trips in the build alternative found in zone-tozone cells that are zero in the no-build and non-zero in the build
•
The number of zone-to-zone transit trips in the no-build alternative found in zone-tozone cells that are zero in the build and non-zero in the no-build; and
•
The change in the number of zone-to-zone trips (build minus no-build) found in zoneto-zone cells that are lower in the build than the no-build and non-zero in both.
6. Change in automobile VMT summarized at the district-to-district level. The change in
automobile VMT is computed as the difference in automobile trips (both all automobile
trips and drive-to-transit trips) between the no-build and build scenarios multiplied by the
zone-to-zone automobile travel distance.
7. Transit weekday ridership:
•
For the entire transit system: total system boardings (unlinked trips) by mode,
no-build and build.
•
For the project (in trip production-attraction format):
o Station-to-station transit linked trips. For projects that are extensions to
existing services, existing stations may be aggregated for simplicity except for
the existing terminus from which the proposed project extends;
o Station ONs and OFFs and link volumes between stations, by direction; and
o Modes of access and egress by station.
8. A map (in PDF format) showing the boundaries of TAZs and summary districts, the
name and number of each district, and the alignment and station locations of the project,
with the park and ride stations clearly marked. Generally, sponsors should include
between 15 and 20 districts that are designed specifically to focus on the project, with
smaller districts near the project and larger districts elsewhere in the region.
9. A map (in PDF format) and supporting tables of information that show changes in the
coded transit route alignments, stop locations, and/or service frequencies between the no
build and build scenarios.
10. GIS layers (ArcGIS shape file preferred):
•
the TAZ layer;
•
the summary district layer;
•
a layer containing the alignment and station locations of the project, with the park and
ride stations clearly marked; and
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•
a layer showing changes in the no-build transit routes to accommodate the coding for
the build alternative.
Some of the above information may not be available (or may not be readily available) from some
local travel forecasting procedures. If local forecasting procedures are unable to produce one or
more of these items, project sponsors should contact FTA to discuss possible remedies or a
waiver of the individual reporting requirement. Project sponsors should contact FTA prior to
preparation of the tabulations to discuss the proposed summary district structure, plus the
demographic/network specifications for the current year and (if part of the submission) horizon
year.
Sponsors using STOPS are not required to prepare detailed tabulation spreadsheets, because the
necessary tabulations are included in the STOPS reporting files and will be included in the
required submittal of the STOPS implementation to FTA. Sponsors using STOPS will rely on
these tabulations to prepare the written Travel Forecast Results Reports. Sponsors must also
provide the supporting maps described in bullets 8, 9, and 10 above.
Submittals must include plausible project travel times and anticipated fare policy. Due to
increasing CIG program demand and the schedule required to publish the Annual Report, project
sponsors with major project changes to their initial submittal (e.g., build alternative definition,
fare policy) may be required to withdraw their submittal for that Annual Report cycle.
III.3. Operations and Maintenance Costs
System-wide and project specific operations and maintenance costs are a key component of the
project financial plan. Project sponsors are required to submit to FTA documentation
summarizing how operating and maintenance costs were developed. Additionally, the following
considerations apply:
•
System-wide and route level operating cost data (and factors) are typically available as
part of ongoing operations planning.
•
The latest available operating and maintenance cost estimates, accurately reflecting the
latest scope and service plan of the proposed project, should be used.
III.4. Capital Costs
This section provides information on the SCC Workbook and general guidelines for when a
project capital cost estimate should be updated.
Standard Cost Categories
Project sponsors are required to submit capital cost information electronically in the SCC
Workbook and provide it to FTA in Excel format (not PDF format). Project sponsors must use
the most recent Small Starts SCC Workbook issued by FTA found on the FTA website. The
capital cost estimate must be reported in 2025 constant dollars (also known as base year dollars).
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The SCC Workbook establishes a consistent format for the reporting of capital cost and schedule
information within 10 major cost categories. Project sponsors should refer to the following two
worksheets in the SCC Workbook for general guidance on how to input information:
•
SCC Definitions. This worksheet contains explanations of the individual line items and
thus helps to achieve consistent data input by all parties. Contact the FTA Office of
Capital Project Management if you have questions or would like to comment on the
definitions.
•
Scopes and Activity Line Items (ALIs). When applying for a grant from FTA (any
grant, e.g., Congestion Mitigation and Air Quality, Section 5307, Section 5309, etc.) for
your project, use the 14-Series Scopes and ALIs shown on this worksheet to input your
grant budget. The 14-Series matches the SCC Categories.
Project sponsors must complete the following worksheets in the SCC Workbook:
•
Build Main: Report capital costs by category. Ensure that allocated contingency
amounts are entered.
•
Inflation: The inflation rates shown in the SCC Worksheet are provided only as an
example. The project sponsor should input inflation rates representative of conditions in
their area.
•
Project Description
•
Schedule SSGA A4
•
Build Annualized
•
Funding Sources by Category: The Funding Sources by Category Worksheet requires
project sponsors to identify all sources of capital funding for the proposed project. FTA
uses this data to understand the funding sources for the proposed project – federal and
non-federal. It is used to help calculate the annualized federal share in the Build
Annualized worksheet, which is used in the calculation of the cost-effectiveness and
environmental benefits criteria.
•
Funding Sources by Year: FTA uses this data to understand the annual CIG funding
amounts the project sponsor is requesting along with annual funding amounts from other
sources. The information contained in this worksheet should match what is provided in
the financial plan submitted to FTA.
SCC Build Annualized Worksheet
The capital cost in constant or base year dollars is estimated by the project sponsor for the
proposed project. The Build Annualized Worksheet automatically calculates the annualized
federal share for the project based on the useful lives of the various cost items, an established
discount rate, and the information on project funding sources entered by the project sponsor in
the Fund Source by Category Worksheet of the SCC Workbook. The annualized federal share
for the project is an input to the calculation of the cost effectiveness and environmental benefits
criteria.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Below are specific instructions that must be followed when completing the Build Annualized
Worksheet:
•
Useful Life Assumptions: The Build Annualized Worksheet provides the project sponsor
with the opportunity to claim anywhere from 12 to 18 years for the estimated useful life
for buses on SCC Line 70.04. If the project sponsor claims a useful life longer than 12
years, documentation demonstrating experience with maintaining buses beyond 12 years
(e.g., National Transit Database records) must be provided supporting the reasonability of
such a claim.
•
Unallocated Contingency: Base Year costs are automatically populated in the Build
Annualized Worksheet from the Build Main Worksheet. However, Unallocated
Contingency must be manually distributed across the line items according to perceived
risks.
Funding Sources by Cost Category Worksheet
The Funding Sources by Category Worksheet requires project sponsors to identify all sources of
capital funding for the proposed project, differentiating federal from non-federal sources. Small
Starts projects are evaluated based on their annualized federal share (CIG plus all other federal
sources), which is calculated in the Build Annualized Worksheet using the information reported
in the Funding Source by Category Worksheet. The annualized federal share is then used in
calculating the cost-effectiveness and environmental benefits criteria.
On December 29, 2022, the Consolidated Appropriations Act, 2023 was signed into law giving
state, local, and Tribal governments more flexibility to use Department of Treasury Coronavirus
State and Local Fiscal Recovery Funds (SLFRF) funds from the American Rescue Plan Act to
provide emergency relief from natural disasters, build critical infrastructure, and support
community development. The law specified eligible infrastructure projects include surface
transportation projects funded by several Department of Transportation grant programs including
CIG. The Consolidated Appropriations Act included additional requirements to use SLFRF
funds for surface transportation.
FTA has created a special column in the Funding Sources by Category Worksheet of the SCC
Workbook for the reporting of SLFRF funds. CIG project sponsors intending to use SLFRF
funds on the proposed project must use the column indicated. Sponsors not using SLFRF fund
should leave this column blank. FTA treats SLFRF funds as non-federal funds for the purposes
of calculating the annualized federal share.
Additional Cost Information
Project sponsors are required to submit the following:
•
Written Project Description and Scope, including Level of Design
•
Project Schedule
o Basis of the Schedule
o Schedule file in project sponsor’s original format
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
•
Current Capital Cost Estimate
o Basis of the Estimate or estimating methodology memo
o Complete cost estimate in project sponsor’s original format, including
calculations for inflation by year
In previous years, this information was collected by FTA’s Project Management Oversight
Contractors after the Annual Report submittal deadline. Starting in 2025, this information must
be included with the sponsor’s Annual Report submittal.
When to Report Updated Project Cost Estimates
The capital cost estimate should be updated when it no longer accurately reflects the current
scope and schedule of the project, triggered by either an expansion or reduction in the scope or
schedule. The update should be accompanied by a brief explanation of what changed and why.
More specifically, a project capital cost estimate should be updated when any of the following
events occurs:
•
Requests to Advance Through the Process
o The project sponsor requests a construction grant agreement.
•
Scope changes
o Design and construction scope of work changes - Horizontal or vertical
alignment, number or type of stations, number or type of vehicles, length of
guideway, mode, quantity of material, substitution of material, value engineering
changes.
o Planning context changes - Political, institutional, or project management changes
impacting project scope or schedule; project procurement conditions change such
as changes in the bidding climate, price of commodities, or contracting
methodology.
•
Schedule changes
o Schedule has slipped or been extended by six months or more, resulting in
additional cost for labor, materials, and/or inflation, which could result from
extended community input, project review, funding disapproval, labor disputes,
etc.
•
Cost changes
o The costing methodology has changed as a natural part of the continued
development of the project, for example, from a parametric estimate to a detailed
labor and materials quantity take-off.
o A change in a funding source or financing method has caused modification of
scope, schedule, or cost.
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IV. Project Justification Criteria
The following summarizes the information that must be submitted to support the project
justification criteria evaluation and rating. Specific information on the criteria and their
associated measures can be found in the CIG Policy Guidance found on FTA’s website (Capital
Investment Grants Program Regulations & Guidance). 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’s Office of Capital Project Development.
IV.1. Project Justification Warrants
Warrants are pre-qualification approaches that allow a proposed project to automatically receive
satisfactory ratings on certain project justification criteria based on the project’s characteristics or
the characteristics of the project corridor. For information on how to become eligible for project
justification criteria warrants, please see the CIG Policy Guidance found on FTA’s website.
Project sponsors wishing to be considered for warrants should discuss the matter with FTA
during Project Development, prior to submitting information to FTA for evaluation and rating.
Sponsors seeking project justification warrants indicate “Yes” to the question posed on the
Project Description Template. The templates then automatically adjust to shade the fields where
data entry is required by the project sponsor in white, and shade as gray the fields where data
input by the project sponsor is not required since project justification warrants are being sought.
The project sponsor reports daily transit ridership data from the most recent year for which
ridership data in the corridor is available (2024 or 2025) on the Project Description Template.
The sponsor inputs transit VMT data based on the current and proposed operating plans on the
Travel Forecasts Template to inform the environmental benefits criterion calculations. Cells
where inputs are required are shaded in white. All others are shaded in gray.
Additional information on documenting existing ridership to qualify for warrants can be found
on FTA’s website at: How to Apply.
IV.2. Mobility Improvements
The following data must be entered in the templates to compute the mobility improvements
criterion if the project is not warranted:
•
Trip information (in lines 1 through 6 of the Travel Forecasts Templates), and
•
Horizon year (in the Project Description Template), if applicable.
IV.3. Cost Effectiveness
The following data must be entered in the templates to compute the cost effectiveness criterion,
if the project is not warranted:
•
Trip information (in lines 1 through 6 of the Travel Forecast Templates);
•
Horizon year (in the Project Description Template), if applicable; and
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•
The project’s annualized federal share in constant 2025 dollars as generated by the Build
Annualized Worksheets of the SCC Workbook. (Annualized federal share should be
entered in Line 3 of the Mobility, Cost Effectiveness and Congestion Relief Template.)
IV.4. Congestion Relief
The following data must be entered in the templates to compute the congestion relief criterion if
the project is not warranted:
•
New daily linked transit trips (in line 9 of the Travel Forecasts Templates), and
•
Horizon year (in the Project Description Template), if applicable.
IV.5. Land Use
The land use rating is based on quantitative measures of existing corridor conditions. The land
use submission requires a complete Land Use Template.
The Land Use Template allows FTA to better understand current year information about
population, employment, housing units/affordable housing, community risk, and essential
services associated with the project.
Appendix C provides a sample methodology for estimating station area population, employment,
housing units/affordable housing, community risk, and essential services. FTA requests that
sponsoring agencies follow this methodology to ensure consistent reporting of quantitative data
among applicants.
Documentation of Information for Existing Land Use
FTA requests that project sponsors submit the items in the following table. The footnotes denote
whether the information should be submitted as supporting documentation or entered directly
into the quantitative Land Use Template.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
INFORMATION REQUESTED
DOCUMENTATION
•
•
Station area population, housing units, and employment+
Map showing station locations, ½-mile radii, and census
Existing station area development
tracts or traffic analysis zones, along with a table listing the
(population, employment, housing
tracts or zones, estimated fraction of each within ½ mile of
units)
the station, and population, employment, and housing units,
for the tract*
• Total number of legally binding affordability restricted
(LBAR) housing units^ within a ½-mile radius of all station
areas+
• Total housing units of all types and LBAR housing units for
each county (or city when independent from any county) in
which project stations are located+
• Identification of the source(s) of the affordable housing
Existing affordable housing
data. Provide a signed certification by the head(s) of the
entities, such as state or local housing agencies or nonprofit
organizations that maintain databases of affordable housing
units, from where the information was gathered attesting to
the accuracy of the numbers provided.* (Certification is not
needed if using the National Housing Preservation Database
to obtain affordable housing counts.)
• Community Resilience Estimates (CRE) for total and highrisk populations+
• Map showing station locations, ½-mile radii, and census
Community Risk
tracts, along with a table listing the tracts, the estimated
fraction within ½ mile of the station, CRE population, and
high-risk CRE population for the tract*
• The essential services+ (hospitals, urgent care centers,
Veterans Affairs Medical Centers, colleges/universities,
supplemental colleges, and public schools) within a oneEssential Services
mile radius of all project stations
• Map showing station locations, 1-mile radii, and essential
services, along with a table listing the count of essential
service facilities by each station area or cluster*
* Provide this information as supporting documentation.
+ Enter this information in the quantitative land use template.
^ For purposes of the affordable housing measure, a legally binding affordability restriction is a lien,
deed of trust or other legal instrument attached to a property and/or housing structure that restricts the
cost of housing units to be affordable to households at specified income levels for a defined period of
time and requires that households at these income levels occupy these units. This definition includes
but is not limited to, state or federally supported public housing and housing owned by organizations
dedicated to providing affordable housing. For the land use measure looking at existing affordable
housing, FTA is seeking LBAR housing units to renters with household incomes at or below 60 percent
of the area median income (AMI) and/or owners with household incomes at or below AMI that are
within a ½-mile radius of stations and in the counties through which the project travels.
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Timing and Frequency of the Land Use Submittal
At a minimum, FTA will evaluate and rate land use once. FTA does not require project sponsors
to resubmit land use information for re-evaluation and rating after that point unless the project
sponsor changes the project in such a way that alters the existing corridor conditions evaluated
under the land use measure or the land use rating was previously assessed using CIG Policy
Guidance published prior to December 2024. For example, a land use re-evaluation and rating
would be required if a project sponsor changes the number or locations of stations included in the
project scope. Project sponsors may also submit updated information and request that FTA reevaluate land use at any time prior to a construction grant award if they believe that new
information would result in a higher rating.
IV.6. Economic Development
The economic development criterion is based on a qualitative analysis of plans and policies to
focus future development in station areas.
Elements of the economic development submission include:
•
The Supplemental Economic Development Information and Supporting Documentation
Template; and
•
Supporting documentation.
The Supplemental Economic Development Information and Supporting Documentation
Template allows project sponsors to provide written statements to summarize, highlight or
expand upon information for specific factors. Sponsors may also provide specific references to
existing maps, plans, or other attached documentation that address the specific factor and type of
information requested by FTA.
The supporting documentation should consist of full or relevant portions of the documentation
referenced in the Supplemental Economic Development Information and Supporting
Documentation Template. Visual aids, such as maps, photographs, and illustrations are also
useful to help communicate the impact of planned future development.
Required documentation is provided in the table below. Some examples from which to provide
either full documents, visual aids, or relevant excerpts include:
•
Local comprehensive plans, small-area or station area plans, zoning ordinances, and
design guidelines relevant to station areas;
•
Station area planning documents (conceptual plans, inventories of developable land, real
estate market studies);
•
Local affordable housing plans (or sections of other local plans that concern affordable
housing) that affect station areas;
•
Analysis of land development trends and market potential for transit-supportive
development within the region and station areas;
•
Descriptions of other tools and incentives available for influencing development;
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•
Site plans or descriptions of station area development proposals, with emphasis on the
character and features of the development;
•
Maps of station areas showing the street network and planned land uses; and
•
Photographs or illustrations of recent station area development that has taken place
around any existing transit stations or corridors in the region.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Documentation of Information for Economic Development Effects
FTA requests that project sponsors submit the following information:
INFORMATION REQUESTED
DOCUMENTATION
I. SUPPORTIVE ZONING IN STATION AREAS
•
Zoning ordinances that support increased
development density in transit station areas
•
•
•
Zoning ordinances that enhance transitoriented character of station area
development and pedestrian access and
include requirements for universal design
•
Zoning allowances for reduced parking and
traffic mitigation
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•
For each station area (or group of adjacent station areas where
similar provisions apply), report the following:
o Allowable uses and prescribed minimum and/or
maximum densities or floor area ratios. Include
applicable overlay districts. Identify approximate
floor area ratios if these are not identified in the
zoning (for instance, under form-based codes).
o Any recently adopted or drafted changes to zoning
ordinances to allow or encourage development with
transit supportive densities and uses
Include links to or electronic copies of zoning maps and
relevant portions of zoning ordinances with the submittal.
Include maps of all zoning designations and zoning overlays
in station areas. The maps must display the following:
o Station names
o Half-mile radius around each station area (or group
of station areas)
o Boundary lines for each jurisdiction with land use
authority
o Legend including scale, north arrow or compass rose,
and a description of symbols, styles, or colors used
on the map
For each station area (or group of station areas where similar
provisions apply), report the following:
o Zoning regulations addressing the mix or separation
of uses
o Zoning regulations addressing lot coverage,
placement of building footprints and parking,
pedestrian facilities, façade treatments, etc.
o Architectural design guidelines and mechanisms for
implementation/enforcement of these guidelines
o Zoning ordinances requiring universal design
Residential and commercial parking requirements (minimums
and/or maximums) in all station areas under existing zoning
Any zoning provisions that reduce parking requirements for
development near project stations
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
INFORMATION REQUESTED
DOCUMENTATION
II. PERFORMANCE AND IMPACTS OF TRANSIT SUPPORTIVE PLANS AND POLICIES
a. Transit-Supportive Corridor Policies
•
Plans and policies to increase station area
development
•
•
Plans and policies to enhance transit-friendly
character of station area development,
including policies promoting or requiring
universal design
•
•
Plans to improve pedestrian facilities,
including facilities for persons with
disabilities
•
•
•
Parking policies
•
•
•
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For each station area (or group of station areas where similar
provisions apply), identify applicable city, town, county, and
campus/institutional plans and policies, and report the
following:
• Recommended land uses and development densities
• Any recommendations or policies for high-density
development in the corridor and station areas, and/or
policies that support changes to zoning in the corridor
and station areas
• Status of the plans (i.e., adopted or under development).
For plans that are under development, indicate the
remaining steps and expected timeframe for adoption
Include links to or electronic copies of the plans with the
submittal. Note that plans may include general plans, specific
plans (subarea, station area, etc.), redevelopment project
plans, or other district plans.
For each station area (or group of station areas where similar
provisions apply), report the following:
• Recommendations for development character or form
from the plans identified above
• Any recommendations or policies to promote pedestrianand transit-friendly development (e.g., mixed uses,
vertical zoning, buildings oriented toward the street)
• Any policies promoting or requiring universal design
Policies for sidewalks, connected street or walkway networks,
and other pedestrian facility development plans that apply to
project station areas
Capital improvement programs to enhance pedestrian
facilities 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 that apply to station areas
Recommended parking provisions (i.e., proposed minimum
and maximum ratios, shared parking allowances, changes in
the amount of land occupied by parking facilities, policies to
encourage structured parking) for all station areas per plans
and policies
Mandatory minimum cost for parking in areas served by
transit or policies to encourage “unbundling” of parking costs
from rents
Parking taxes and fees
Proposals or adopted actions to reduce or eliminate zoning
requirements related to parking
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INFORMATION REQUESTED
DOCUMENTATION
II. PERFORMANCE AND IMPACTS OF TRANSIT SUPPORTIVE PLANS AND POLICIES
b. Tools to Implement Transit-Supportive Plans and Policies
•
•
Outreach to government agencies and the
community in support of land use planning
•
•
•
•
Regulatory and financial incentives to
promote transit-supportive development
•
•
•
Efforts to engage the development
community in station area planning and
transit-supportive development
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•
•
Promotion and outreach activities by the transit agency, local
jurisdictions, and/or regional agencies specifically in support
of station area planning, growth management, and transitoriented development
Description of the public involvement process for land use
planning in project station areas and the level of participation
Inter-local agreements, resolutions, or letters of support from
other government agencies in support of coordinating their
land use planning with transit investment, as available
Any 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 in project station areas
Regulatory incentives (e.g., density bonuses, streamlined
processing of development applications) for developments
near transit
Zoning requirements for traffic mitigation (e.g., fees and inkind contributions) and citations of how such requirements
can be waived or reduced for locations near transit stations
Programs that promote or provide incentives for transitoriented development such as grants for planning or
implementation, 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
Project station area-focused outreach, education, and
involvement activities targeted at the development community
(including developers, property owners, and financial
institutions)
Joint development programs and proposals
Letters of endorsement or other indicators of support from the
local development community
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INFORMATION REQUESTED
DOCUMENTATION
II. PERFORMANCE AND IMPACTS OF TRANSIT SUPPORTIVE PLANS AND POLICIES
c. Performance of Transit-Supportive Plans and Policies
•
•
Demonstrated cases of developments affected
by transit-oriented policies
•
•
•
Station area development proposals and
status
•
Characterization of the quantity and transit-supportiveness (in
terms of uses, scale, parking quantity, and design) of recently
built developments within existing and planned transit station
areas
Description and/or pictures of any projects that have recently
been built consistent with transit-oriented design principles
(higher density, orientation toward street, provision of
pedestrian access from transit, mix of uses, transit-supportive
parking ratios, etc.). Include the location, size, development
character (e.g., setbacks, façade treatments, amount, and
location of parking), type of use, and completion dates of each
project and preferably a map of the locations.
Descriptions of how developments were affected by transitoriented policies, such as identifying any regulatory or
financial incentives used for the developments.
Characterization of the quantity, location, and nature of
proposed developments within project station areas (including
any joint development proposals)
More detailed descriptions of a representative sample of
proposed developments in project station areas. Include
renderings as available and identify the location of the
development. Descriptions should indicate the size,
development character, types of uses, and expected dates of
start of construction and completion.
Descriptions of how developments are being affected by
transit-oriented policies, such as identifying any regulatory or
financial incentives considered for the developments.
II. PERFORMANCE AND IMPACTS OF TRANSIT SUPPORTIVE PLANS AND POLICIES
d. Potential Impact of Transit Project on Station Area Development
•
Adaptability of station area land for
development
•
•
•
Regional and station area economic
environment
•
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Description or inventory of land near project stations that is
vacant or available for redevelopment
Assessment of development anticipated for these parcels
Assessment of the amount of development allowed at station
area build-out compared to existing development
Information that indicates the level of market support for
transit-oriented development in station areas, including:
o Regional and station area economic conditions and
growth projections
o Development market trends in existing corridors and
station areas (for areas with existing transit)
o Real estate market study examining prospects for higherdensity and transit/pedestrian-oriented development in
station areas
o Permitting and construction data from local governments
o Locations of major employment centers in station areas,
and expected growth in these centers
Projected population, employment, and growth rates in station
areas compared to region
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INFORMATION REQUESTED
DOCUMENTATION
III. TOOLS TO MAINTAIN OR INCREASE THE SHARE OF AFFORDABLE HOUSING
Evaluation of affordable housing needs and
supply specific to station areas
•
•
•
•
•
Plans and policies to preserve and increase
affordable housing including antidisplacement policies in the region and/or
station areas
•
•
•
•
•
•
Adopted local and/or state financing tools
and strategies targeted to preserving and
increasing affordable housing in the region
and/or station areas
•
•
•
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Regional and/or station area-specific needs assessment that
evaluates the demand for affordable housing and compares it
to the supply of affordable housing
Inclusionary zoning or housing programs that require or
provide incentives for developers to set aside a percentage of
units for income-qualified buyers or renters
State-level laws requiring transit-supportive zoning, such as
density minimums or minimal (if any) parking requirements,
near transit stations
Density bonuses or reduction of parking requirements for the
provision of units made available for income-qualified buyers
or renters
Employer-assisted housing policies, using tax credits,
partnerships, matching funds, and/or other mechanisms to
encourage employers to help employees to buy or rent homes
close to work or transit
Rent controls or condominium conversion controls on existing
units to maintain affordability for renters
Minimized regulatory processes for affordable housing
development or preservation projects, such as streamlined
permitting and environmental review, reduced parking
requirements, or waived development fees
Zoning to promote housing diversity, such as zoning that
permits accessory or “in-law” units, and residential zoning
based on floor area ratio rather than dwelling units to reduce
the disincentive to build smaller units
Tenant “right of first refusal” laws, which require that an
owner provide the tenants with an opportunity to purchase the
property at the same price as a third-party buyer
Affordability covenants, which limit appreciation of rents
and/or sales values for units rented or sold to income-qualified
tenants for a given length of time
Funding (particularly state, regional, or local) for targeted
property acquisition, rehabilitation, and development of lowincome housing, including direct funding for public and
nonprofit development authorities, low-income housing tax
credits (including criteria that favor application of credits in
transit station areas), and local tax abatements for low-income
or senior housing
Land banking programs to support the assembly of land for
new affordable housing development by public, private, or
nonprofit developers
Financial assistance (particularly state, regional, or local) to
housing owners and/or tenants through mechanisms, including
affordable housing operating subsidies, weatherization and
utilities support programs, tax abatement, or mortgage or
other home ownership assistance for lower-income and senior
households
State, local, or regional affordable housing trust funds to
provide a source of low-interest loans for affordable housing
developers
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
INFORMATION REQUESTED
DOCUMENTATION
•
Evidence of developer activity to preserve
and increase affordable housing in station
areas
•
•
Extent to which the plans and policies
account for long-term affordability and the
needs of very and extremely low-income
households in the station areas
•
Targeted tax increment financing, other value-capture
strategies, or transfer tax programs to generate revenue that
can be directed toward low-income housing programs
Examples of the provision of affordable housing in planned or
recent developments, including location within station areas,
number of units, specific affordability restrictions, length of
time restrictions apply, etc.
Documentation of evidence that legal affordability restrictions
in station areas will be continued over the long-term following
the project’s opening. Examples include commitments tied to
the receipt of Low-Income Housing Tax Credits, HOME or
other HUD funds, payment in lieu of taxes (PILOT)
agreements, and other legal instruments tied to the receipt of
Federal, state, local and/or private funds/financing.
Documentation of how plans, policies, tools, etc. address the
needs of very and extremely low-income households
Timing and Frequency of the Economic Development Submission
FTA does not require project sponsors to resubmit economic development information for reevaluation and rating, unless the project sponsor changes the project such that different plans and
policies would apply to the corridor or the economic development rating was assessed using CIG
Policy Guidance published prior to December 2024. For example, an economic development reevaluation and rating may be required if a project sponsor changes the number of stations
included in the project scope. Also, at their discretion, project sponsors may submit new
information and request that FTA re-evaluate economic development if they believe that new
information would result in a higher rating.
Alternatively, FTA will allow project sponsors that submitted economic development
information within the last five years using previous CIG Policy Guidance to resubmit the
economic development portion of the project’s last Supplemental Economic Development
Information and Supporting Documentation Template along with a signed letter and zoning maps
as described on page 24. The letter should attest to the project sponsor’s understanding that FTA
will apply the economic development standards and weights described the December 2024 CIG
Policy Guidance.
Importance of an Organized, Comprehensive Submittal
Ratings assigned by FTA will be directly related to the ability of FTA to readily identify, locate,
review, and assess the provided documentation. Thus, project sponsors should strive to produce
well-organized submittals.
Additional Guidance
•
Provide a table of contents at the beginning of the submittal summarizing all materials
that are being provided to FTA.
•
Provide documentation to substantiate qualitative information rather than rely solely upon
reference. This can be provided via links or attachments.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
•
Be brief and precise, but thorough, in providing explanatory statements; important
information should not be omitted for the sake of brevity.
•
Rather than repeating identical information in the template (e.g., certain zoning
provisions that apply to multiple station areas or groups of station areas), refer to the first
instance of the information.
•
Identify all supporting documents included with the submittal in your narrative in the
Supplemental Economic Development Information and Supporting Documentation
Template.
•
Identify plan and policy recommendations, as well as zoning provisions, for all project
station areas. The information provided should not be limited to recommendations and
provisions that might be considered transit supportive.
•
Provide brief descriptions of anticipated development and implemented projects, rather
than simply a list. In lieu of written descriptions of developments, provide links to
websites that include photographs or renderings.
•
Include explanations of the impact of transit-supportive policies and how implementation
would be achieved, particularly when significant changes are anticipated.
•
Whenever possible, identify or calculate the quantitative elements of zoning for station
areas and parking supply.
•
Use precise language to identify which policies are recommended and which are
mandated. This is particularly important when planning and zoning in station areas is
structured atypically relative to most other jurisdictions in the United States.
•
When revising narrative text from a prior submittal, clearly identify all changes including
new or updated information with bold type, highlights, or “track changes,” so that FTA
can easily identify what has changed.
•
Refer to the Guidelines for Economic Development Effects for New Starts and Small
Starts Projects for additional information on how FTA determines factor ratings and what
information should be provided.
IV.7. Environmental Benefits
Environmental benefits are evaluated based on the change in VMT resulting from
implementation of the proposed project. The estimated environmental benefits are then
monetized automatically in the Environmental Benefits Template and compared to the
annualized federal share of the proposed project.
VMT data is entered in the VMT section of the Travel Forecasts Templates (described in Section
III.2 Travel Forecasts). Annualized federal share from the SCC Workbook is entered in the
Mobility, Cost Effectiveness and Congestion Relief Template. The templates automatically
transfer this information into the Environmental Benefits Template.
Project sponsors must enter the following information into the Environmental Benefits Template:
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
o The Environmental Protection Agency’s (EPA) air quality designation for four air quality
criteria pollutants for the metropolitan area in which the proposed project is located (lines
1 through 4). This information can be found in EPA’s Green Book; and
o If the project is seeking to be warranted, the existing annual transit ridership in the
corridor today (line A) and the percentage change in corridor annual transit vehicle hours
that would result from implementation of the proposed project (line B).
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Local Financial Commitment Criteria
V.
V.1. Small Starts Finance Template
All project sponsors must complete the Finance Template. The Finance Template 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
Small Starts project. It is not intended as a substitute for a financial plan. Failure to provide the
information will adversely impact the project’s financial rating.
Project sponsors should ensure that information reported in the Finance Template matches that
reported in other documentation including the financial plan. FTA recommends that project
sponsors perform the following quality control checks on data entered in the Finance Template:
•
The capital costs reported on this template should match what is reported in the Build
Main Worksheet of the SCC Workbook. The capital cost estimate must include Project
Development activities.
•
Finance charges must be included in the capital cost estimate. Specifically, only finance
charges expected to occur prior to either the revenue operations date or the fulfillment of
the CIG funding commitment in the construction grant agreement, whichever occurs later
in time, should be included.
•
If the capital cost of the project has changed significantly from last year, please provide
an explanation.
•
Total Federal funding for the project (CIG funding plus all other Federal sources) should
not exceed 80 percent.
•
The sum of all proposed sources of operating funds reported on the Finance Template
should equal the total transit system annual operating costs in the first full year of project
operation.
•
The type of funding sources should be identified for each capital and operating revenue
source.
Level of Commitment Definitions
Documentation demonstrating the level of commitment for each of the funding sources included
in the Finance Template must be provided. FTA uses the following definitions to classify the
level of commitment for each capital funding source:
•
Committed: Committed sources are programmed capital funds that have all the necessary
approvals to fund the proposed project without any additional action. Specifically, these
capital funds have all legislative and/or voter approvals needed and have been formally
programmed in the MPO’s TIP and/or any related local, regional, or state documents
such as an approved annual budget or multi-year Capital Improvement Program (CIP).
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
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
proposed project, and debt capacity that requires no further approvals and has been
dedicated to the proposed project.
•
Budgeted: This category is for funds that have been budgeted and/or programmed for use
on the proposed project but are not yet fully committed, 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 final legislative appropriations. 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 construction grant
agreement is executed, or due to local practices outside of the project sponsor’s control
(e.g., the project development schedule extends beyond the TIP or CIP 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 that are not yet approved, and proposed debt financing that has not yet been fully
approved.
•
Uncertain: This category is applied when it is unclear from the agency’s submission
whether a funding source is committed, budgeted, or unavailable. Instances where the
plan to secure committed funds is deemed to be unreasonable may be classified as
uncertain. This category applies to funding sources that the project sponsor may describe
as committed or budgeted but for which no supporting documentation is provided to
FTA. Additionally, funding proposals that have repeatedly failed (more than once), such
as failed local referendums or repeated denial of state grants, will be classified as
uncertain.
•
Unspecified: This category is applied when the proposed non-CIG funding sources are
not sufficient or have not been clearly identified.
In addition to the Finance Template, project sponsors must complete either a streamlined
financial evaluation or a standard financial evaluation.
V.2. Streamlined Financial Evaluation
A streamlined financial evaluation is possible when a when a project sponsor can demonstrate
the following:
•
A reasonable plan to secure funding for the non-CIG share of capital costs or sufficient
available funds for the non-CIG capital share (all non-CIG funding must be committed
before receiving a construction grant);
•
The additional operating and maintenance cost of the proposed Small Starts project is less
than ten percent of the project sponsor’s current year approved system-wide operating
budget; and
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
•
The project sponsor is in reasonably good financial condition, as demonstrated by the
past three years audited financial statements indicating a positive cash flow over the
period, a reasonable current ratio, and no negative material findings.
Project sponsors submit the following items to demonstrate that they meet these conditions:
•
A completed Small Starts Finance Template;
•
A detailed plan to secure funding for the non-CIG share of project costs that includes the
sources, amount, and steps needed to secure funding commitments;
•
A detailed operating and maintenance cost estimate;
•
The current year approved transit agency budget documenting that the project’s operating
and maintenance costs would constitute no greater than ten percent of current systemwide operating and maintenance costs; and
•
Three years of audited financial statements documenting the financial health of the
project sponsor(s).
V.3. Standard Financial Evaluation
If a project sponsor does not meet the criteria for a streamlined financial evaluation, then FTA
requires submittal of:
•
a completed Small Starts Finance Template;
•
a comprehensive financial plan, including a 10 or 20-year cash flow model (see CIG
Policy Guidance for details) submitted electronically in excel format with formulas
included rather than just hardcoded numbers;
•
supporting documentation; and
•
a completed financial submittal checklist.
These items are described below.
Project sponsors must provide all the required information included in FTA’s Guidance for
Transit Financial Plans. Failure to include any of the elements required for the financial review
will adversely impact the project’s financial rating.
Financial Plan
All project sponsors not qualifying for the streamlined financial evaluation must submit a
financial plan to FTA.
All project sponsors receiving a full financial assessment must submit a 10-year or 20-year
financial plan to FTA. Project sponsors that do not qualify for the highly simplified evaluation
are generally required to submit a 20-year cash flow statement. However, sponsors may submit
a 10-year financial plan and cash flow statement if the following conditions are applicable to the
project:
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
•
The project construction period plus five years of operations is less than 10 years in
length; AND
•
The project sponsor is not submitting 20-year horizon year information for the other CIG
evaluation and rating criteria (the sponsor is submitting 10-year horizon data or no
horizon year data).
Once the financial plan is provided, FTA evaluates the financial plan to ensure that the project
sponsor has the financial capacity to construct and operate the proposed project while continuing
to operate and maintain the existing transit system in accordance with the law. FTA has
developed guidance on the content and format of financial plans for transit agencies in FTA’s
Guidance for Transit Financial Plans. All project sponsors 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 a project’s financial rating.
For project sponsors opting to prepare horizon year estimates of benefits, the financial plan
should include any additional expenses needed to meet horizon year service plans that serve as
inputs to the horizon year estimates of benefits. For example, if additional vehicles are needed to
meet increased service frequency projected for the horizon year, then the financial plan must
include the cost associated with additional vehicles and demonstrate that the sponsor has
sufficient funding to pay for them.
Documentation describing and justifying all assumptions included in the financial plan must be
provided. All underlying financial assumptions should be identified in the project finance plan
and reflect capital financing strategies, projected State of Good Repair costs for the existing
system, operations and maintenance costs for the proposed project and the existing system,
revenue stream assumptions, and cash flow projections.
Appendix D provides a checklist of information that must be provided for financial plans. The
ratings assigned by FTA are directly related to the ability of reviewers to readily identify, locate,
review, and assess the provided documentation. Therefore, a concise, well-organized submittal
is to the advantage of the project sponsor.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Appendix A. General Reporting and Project Justification Checklist
Please refer to Section III General Reporting Information and Section IV Project Justification
Criteria for additional details regarding how to prepare each of the documents listed below. This
checklist is optional and not an exhaustive list of required materials; FTA may request additional
information regarding project submissions.
GENERAL REPORTING & PROJECT JUSTIFICATION
CHECKLIST
Included
(check one)
Yes
No
Reason Why Information
Has Not Been Provided
Small Starts Templates Part 1
Small Starts Template Part 2: Supplemental Economic Development Information and Supporting
Documentation Templates for Small Starts Projects
Table of contents summarizing all materials being provided to FTA
Visual aids to help communicate impact of planned future development
Documentation of Information for Economic Development Effects (either full documents or
relevant excerpts)
If a prior submittal, all changes identified in narrative text (e.g., bold type, highlights, or track
changes)
Signed certification attesting to the accuracy of the affordable housing numbers unless using the
National Housing Preservation Database
Small Starts Standard Cost Category (SCC) Workbook
Forecast Results Report
Assumptions and methodology approved by TPE-10 in advance of submission
Supporting ridership tabulations
If seeking project justification warrants, documentation of existing ridership
Operating and maintenance cost development documentation
System-wide and route level operating cost data and factors
Operating and maintenance cost of project
Capital Cost supporting information
Project map
Project narrative (optional)
Other materials (if any), please describe:
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Appendix B. Travel Forecasting Meeting in Advance of CIG
Submittal for Evaluation and Rating
Meeting Agenda
1. Project Overview
2. Travel Forecasting Methodology
3. Transit Rider Data Availability
4. Model Calibration/Validation
5. Special Markets, if applicable
6. Project Attributes
a. Project operating plan
i. Headways
ii. Travel Times
b. Supporting service changes
i. Feeder routes
ii. Elimination of existing service
c. Fixed Guideway Elements
7. Discussion/Next Steps
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Appendix C. Sample Methodologies for Land Use Measures
C.1. Station Area Socio-Economic Statistics
A sample approach follows for computing the station area population, employment, and housing
unit statistics requested in the Land Use Template. Figure C-1 and Table C-1 provide examples
of the approach applied to a hypothetical project.
Figure C-1: Sketch of Socio-Economic Station Areas for a Hypothetical Project
1
2
9
10
Station C
Station A
3
1/2
mi.
5
4
11
Station B
1/2
mi.
6
7
12
8
Table C-1: Calculation of Socio-Economic Station Area Statistics for a Hypothetical Project
Census Tract Total
Area
Population Employment
(sq. mi.)
Housing
Units
Fraction
of Tract
Area
within
1/2 Mile
of
Station
Within 1/2 Mile of Station
Area
Population Employment
(sq. mi.)
Housing
Units
Stations A and B
Tract 1
0.452
2,309
1,654
987
0.08
0.036
185
132
79
Tract 2
0.362
133
611
58
0.06
0.022
8
37
3
Tract 3
0.294
398
1,254
145
0.52
0.153
207
652
75
Tract 4
0.655
2,634
2,719
1,154
0.85
0.557
2,239
2,311
981
Tract 5
0.429
1,038
858
393
0.41
0.176
426
352
161
Tract 6
0.416
2,412
1,477
887
0.19
0.079
458
281
169
Tract 7
0.380
2,088
2,785
856
0.54
0.205
1,128
1,504
462
Tract 8
0.434
2,344
2,031
991
0.68
0.295
1,594
1,381
674
Subtotal
3.422
13,356
13,389
5,471
1.523
6,244
6,650
2,605
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Census Tract Total
Area
Population Employment
(sq. mi.)
Housing
Units
Fraction
of Tract
Area
within
1/2 Mile
of
Station
Within 1/2 Mile of Station
Area
Population Employment
(sq. mi.)
Housing
Units
Station C
Tract 9
0.355
1,816
610
722
0.24
0.085
436
146
173
Tract 10
0.462
70
1,569
31
0.40
0.185
28
628
12
Tract 11
0.504
2,645
760
1,156
0.33
0.166
873
251
381
Tract 12
0.540
2,573
1,873
1,010
0.65
0.351
1,672
1,217
657
Subtotal
1.861
7,104
4,812
2,919
0.787
3,009
2,242
1,224
Total
5.283
20,460
18,201
8,390
2.310
9,253
8,892
3,829
1. Plot each station location on a map showing census tracts or, alternatively, Transportation
Analysis Zones (TAZs).
2. Draw a circle of ½-mile radius around each station.
3. Obtain data on total area, population, employment, and housing units for the tracts or
zones that fall partially or completely within the station areas. Area and population 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 Metropolitan Planning
Organization (MPO) should have these data available. Employment data at the tract or
TAZ level may be obtained from the MPO. Total residential housing unit data can be
obtained from the latest American Community Survey five-year estimates at the county
and census tract levels. Data on legally binding affordability restricted housing can be
obtained by contacting area housing authorities. In addition, some statistics on affordable
housing can be found in the National Housing Preservation Database
(preservationdatabase.org). This database includes an address-level inventory of
federally assisted housing. It does not contain information on affordable units supported
only by state and local programs.
4. Estimate the total area, population, employment, and housing units contained within each
½-mile station radius by summing the data for each tract or zone that falls within the ½mile station radius. For tracts or TAZs that partially fall within the ½-mile station radius,
station area population, employment, and housing units should be estimated by
multiplying the total for the tract or zone by the fraction of the tract or zone area within ½
mile of the station. The fraction of the zone falling within the ½-mile radius should be
estimated using GIS.
5. Avoid double counting of population, employment, and housing units for stations that are
less than one 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
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
one 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 area encompassed by the
overlapping circles. (Total 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. Attach a map showing station locations, ½-mile radii, and census tracts or TAZs, along
with a table listing the tracts or zones, estimated fraction of each within ½ mile of the
station, and population, employment, and housing units, for the tract.
C.2. Community Risk Statistics
A sample approach follows for computing the community risk statistics requested in the Land
Use Template. Figure C-2 and Table C-2 provide examples of the approach applied to a
hypothetical project.
Figure C-2: Sketch of Community Risk Station Areas for a Hypothetical Project
1
2
9
10
Station C
3
Station A
1/2
mi.
5
4
11
Station B
1/2
mi.
6
7
12
8
Table C-2: Calculation of Community Risk Station Area Statistics for a Hypothetical Project
Census Tract Total
Area
(sq. mi.)
Population
High-Risk CRE
Population
Fraction of Tract Area
within 1/2 Mile of
Station
Within 1/2 Mile of Station
High-Risk CRE
Population
Stations A and B
Tract 1
0.452
2,309
600
0.08
48
Tract 2
0.362
133
28
0.06
2
Tract 3
0.294
398
350
0.52
182
Tract 4
0.655
2,634
1,132
0.85
962
Tract 5
0.429
1,038
647
0.41
265
Tract 6
0.416
2,412
524
0.19
100
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Census Tract Total
Area
(sq. mi.)
High-Risk CRE
Population
Population
Fraction of Tract Area
within 1/2 Mile of
Station
Within 1/2 Mile of Station
High-Risk CRE
Population
Tract 7
0.380
2,088
794
0.54
429
Tract 8
0.434
2,344
1,056
0.68
718
Subtotal
3.422
13,356
5,131
Tract 9
0.355
1,816
88
0.24
21
Tract 10
0.462
70
70
0.40
28
Tract 11
0.504
2,645
894
0.33
295
Tract 12
0.540
2,573
987
0.65
642
Subtotal
1.861
7,104
2,039
986
Total
5.283
20,460
7,170
3,692
2,706
Station C
1. Plot each station location on a map showing census tracts.
2. Draw a circle of ½-mile radius around each station.
3. Obtain data on total area and CRE population estimates for the tracts that fall partially or
completely within the station areas. Area can be obtained from the census (for census
tracts). CRE population estimates can be obtained on the Census Bureau’s website
(census.gov/programs-surveys/community-resilience-estimates/data/datasets.html).
4. Estimate the total area and CRE populations contained within each ½-mile station radius
by summing the data for each tract that falls within the ½-mile station radius. The two
CRE populations for analysis are: (a) “total CRE population,” which is labeled as
“POPUNI” in the CRE dataset; and (b) “high-risk CRE population,” which is defined as
the estimated number of individuals with three plus components of social vulnerability
and is labeled “PRED3_E” in the CRE dataset. For tracts that partially fall within the ½mile station radius, station area CRE populations should be estimated by multiplying the
total for the tract by the fraction of the tract area within ½ mile of the station. The
fraction of the zone falling within the ½-mile radius should be estimated using GIS. Note
that the area reported in census tract data should be converted from square meters to
square miles for analysis.
5. Avoid double counting of CRE populations for stations that are less than one 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 one 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 area encompassed by the overlapping
circles. (Total 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.)
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
6. Attach a map showing station locations, ½-mile radii, and census tracts, along with a
table listing the tracts, the estimated fraction within ½ mile of the station, CRE
population, and high-risk CRE population for the tract.
C.3. Essential Services Statistics
A sample approach follows for computing the essential services statistics requested in the Land
Use Template. Figure C-3 and Table C-3 provide examples of the approach applied to a
hypothetical project.
Figure C-3: Sketch of Essential Services Station Areas for a Hypothetical Project
Hospital
Urgent Care Center
Veterans Affairs Medical Center
College/University
Supplemental College
Public School
Table C-3: Calculation of Essential Services Station Area Statistics for a Hypothetical Project
Essential Service
Count
Stations A and B
January 2025
Hospital
1
Urgent Care Center
2
Veterans Affairs Medical Center
1
College/University
1
Supplemental Colleges
1
Public School
3
Subtotal
9
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Essential Service
Count
Station C
Hospital
1
Urgent Care Center
1
Veterans Affairs Medical Center
0
College/University
1
Supplemental Colleges
0
Public School
2
Subtotal
5
Total
14
1. Plot each station location on a map.
2. Draw a circle of 1-mile radius around each station.
3. Obtain GIS datasets on essential services from the Homeland Infrastructure FoundationLevel Data website (hifld-geoplatform.hub.arcgis.com). The essential services are
hospitals, urgent care centers, Veterans Affairs Medical Centers, colleges/universities,
supplemental colleges, and public schools.
4. Using GIS, calculate the total number of essential services within a one-mile radius of all
project stations.
5. Avoid double counting of essential services for stations that are less than two miles 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 two miles apart
into clusters (as shown for Stations A and B in the figure above).
6. Attach a map showing station locations, 1-mile radii, and essential services along with a
table listing essential service types and counts for each station area or cluster.
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
Appendix D. Local Financial Commitment Checklist
This Checklist presents the information that should be submitted to FTA if the Small Starts
project does not qualify for the streamlined financial evaluation. 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.
LOCAL FINANCIAL COMMITMENT CHECKLIST
Included
(check one)
Yes
No
Reason Why Information
Has Not Been Provided
A 10 or 20-year cash flow statement (in year of expenditure dollars) including capital and operating
financial plans (provide both electronically and in hardcopy). The cash flow must begin with the
current year (2025), and clearly show: revenues and expenses for the project separated from those for
the remainder of the transit system; level of service assumptions; and the debt service schedule for all
existing and planned debt.
Detailed written description/discussion of all assumptions used in the financial plan including:
•
•
•
•
•
•
•
•
Federal, state, local, and debt proceed assumptions for all capital and operating revenue sources
for the project and overall transit system
Fare revenue assumptions, including average fares, the frequency and amount of fare increases,
and fare elasticities applied to account for ridership losses when fares are raised
Average weekday ridership assumptions for the project and annual ridership assumptions for the
overall transit system used in the financial plan to predict various costs and revenues (these should
match the ridership estimates used in the rest of the submittal to FTA)
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.)
System-wide State of Good Repair cost and revenue assumptions
Assumptions regarding cash balances or reserve accounts included in the financial plan
Regional economic forecast assumptions and their implications for the project and transit system
Project Description and Finance Template
FTA SCC workbook
Sensitivity Analysis (spreadsheet calculations as well as narrative summary), including a description of
a plan for covering unexpected funding shortfalls or cost increases on the project, e.g., access to funds
via cash reserves, additional debt capacity, or other available funds.
Supporting Documentation Including:
Background information and description of the Small Starts project, including project status
Historical revenue and expense data (minimum of five years required for all data (2020-2024), and
at least 10 years (2015-2024) required for major funding sources that comprise more than 25 percent
of the capital funding for the project or the overall transit system operation).
Documents demonstrating the commitment level of all non-CIG funding sources for the project.
Examples include: completed, final, and signed third-party agreements with relevant sections
identified; copies of Board-approved budgets or CIPs specifying funding amounts for the project; a
capital program or budget approved by the state legislature specifying state funding for the project,
etc.
Enacting legislation for tax referenda, with relevant sections identified
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/ Annual Comprehensive Financial Reports (ACFR/CAFR) for the past 3 years
Background information and description of the transit agency, including organizational structure and
enabling legislation
January 2025
D-1
FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program - Small Starts
LOCAL FINANCIAL COMMITMENT CHECKLIST
Included
(check one)
Yes
No
Reason Why Information
Has Not Been Provided
TIP/STIP (please provide only relevant pages of these documents showing the project listing)
Regional Long Range Transportation Plan (please provide only relevant pages showing the project
listing)
Capital Improvement Program (CIP) Documents (please provide only relevant pages showing the
project listing)
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
Transit Asset Management Plan
Other materials (if any), please describe:
January 2025
D-2
| File Type | application/pdf |
| File Title | FY 2027 Small Starts Reporting Instructions |
| Subject | Commitment to Accessibility: DOT is committed to ensuring that information is available in appropriate alternative formats to me |
| Author | DOT - Federal Tranist Administration |
| File Modified | 2025-07-28 |
| File Created | 2025-07-28 |