49 CFR Part 611 Major Capital Investment Projects

Reporting Instructions for the
Section 5309
Capital Investment Grants Program
Core Capacity

January 2025

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 Susan Eddy, Director, Office of Capital
Project Development, Federal Transit Administration, Washington, DC, at (202) 366-5499 or
susan.eddy@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 .......................................................................5
III.1.

Project Background Information .................................................................................. 5

III.2.

Documenting Existing Ridership in the Project Corridor ............................................ 7

III.3.

Operations and Maintenance Costs .............................................................................. 8

III.4.

Capital Costs ................................................................................................................. 8

IV. Project Justification Criteria .........................................................................12
IV.1.

Mobility Improvements .............................................................................................. 12

IV.2.

Cost Effectiveness ...................................................................................................... 12

IV.3.

Existing Capacity Needs of the Corridor .................................................................... 12

IV.4.

Congestion Relief ....................................................................................................... 14

IV.5.

Economic Development ............................................................................................. 14

IV.6.

Environmental Benefits .............................................................................................. 14

V. Local Financial Commitment Criteria..........................................................15
V.1.

Core Capacity Finance Template ............................................................................... 15

V.2.

Streamlined Financial Evaluation ............................................................................... 16

V.3.

Standard Financial Evaluation .................................................................................... 17

Appendix A. General Reporting and Project Justification Checklist............ A-1
Appendix B. Local Financial Commitment Checklist ......................................B-1

FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

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 Core Capacity 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 Core Capacity 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 Core Capacity projects for the purpose of deciding whether
projects may advance into the Engineering phase of the Core Capacity process;

•

Assign ratings to proposed Core Capacity projects for the Annual Report on Funding
Recommendations (“Annual Report”); and,

•

Determine final ratings for Core Capacity projects prior to a Full Funding Grant
Agreement (FFGA).

FTA emphasizes that project sponsors may request advancement into Project Development or
Engineering 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 FTA
Headquarters Office of Planning and Environment to determine what needs to be submitted and
when.
Parallel sets of reporting instructions for New Starts and Small Starts projects are also 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, Core Capacity project sponsors must use the most recent Core Capacity SCC
Workbook issued by FTA for reporting the capital cost and schedule for their proposed project.
Sponsors of projects that are joint intercity rail and public transportation projects must use the
SCC Workbook for joint intercity rail and public transportation projects. Project sponsors should
report costs in 2025 constant dollars. Project sponsors must also use the most recent Core
Capacity templates issued by FTA.

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

The Core Capacity SCC Workbook and Templates include formulas and locked cells to ensure
validity and consistency in the FTA evaluation and rating process. The cells are demarcated as
follows:
•

White cells require data entry by the project sponsor.

•

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 and Templates. Project sponsors
who submit an SCC Workbook 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 Core Capacity 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 Mobility, Cost Effectiveness, Capacity Needs,
and Congestion Relief Templates. Automatic Medium ratings are given to all Core Capacity
projects for Environmental Benefits and Economic Development. Estimated ratings for 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 – Core Capacity

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 – Core Capacity

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.
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. Core Capacity 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 that cost estimates for the project be up to date, be 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 – Core Capacity

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
learn about the existing fixed guideway corridor and the existing and proposed service in the
peak hour in the peak direction, which helps FTA to determine eligibility. Additionally, FTA
uses the information in the Project Description Template to understand the project characteristics
and 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 describes 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

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

project. Highlight the principal functions of transit services in the corridor, focusing on
whatever limitations exist on the performance of the transit system. Focus on the
corridor itself, rather than the metropolitan area.
•

Purpose of the Project. Succinctly describe the specific ways that the proposed project
addresses the capacity problems identified in the corridor.

•

Summary. In one paragraph draw together the key points made in the document.
Highlight the conditions that motivate consideration of the transit improvement and the
specific capacity improvements expected to result from implementation of the proposed
project.

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 existing fixed guideway corridor identifying the parameters of the
core capacity project along that corridor. For example, show whether the core capacity
project covers the entire corridor or just a portion of the corridor. 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.

•

If applicable, new stations included in the project should be labeled and marked in a
distinguishable manner from existing transit stations. Stations with park & ride facilities
should be further distinguished from others, either via markings or labels.

•

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.

•

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
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

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. Documenting Existing Ridership in the Project Corridor
Project sponsors are not required to meet with FTA staff prior to submitting information
documenting existing ridership in the project corridor. However, they are required to submit
their ridership information to FTA one month in advance of a complete submittal for evaluation
and rating. As the due date for a complete submission for the FY 2027 Annual Report is August
22, 2025, the due date for submitting ridership information to demonstrate Core Capacity
existing ridership for the FY 2027 Annual Report is July 22, 2025.
Project sponsors should prepare and submit the following information to document existing
ridership in the project corridor today. All information must be representative of typical
weekdays in 2024 or 2025. This information is used to demonstrate eligibility for the CIG
program and to calculate the capacity needs, congestion relief, cost effectiveness, and mobility
improvements evaluation criteria.
1. A map of the proposed project, showing the existing fixed guideway line or lines that
pass through the proposed project corridor. The map should highlight or otherwise
delineate the stations and station-to-station segments that are included in the proposed
project.
2. A spreadsheet that includes the following information:
•

Existing peak-hour, peak-direction boardings (“ons”) and alightings (“offs”) by
individual station for the entire length of the existing line (or lines) where the
proposed project is located. If multiple lines operate in the area of the proposed
project, this information should be provided for each line individually.

•

For each line, the spreadsheet should include a computation that reports on-board
loading for each station-to-station segment along the entire line using the following
formula:
Segment Load = Load on Previous Segment + Station Boardings – Station Alightings

•

The spreadsheet should compute the average load over all segments included in the
proposed project so the project sponsor can enter this data in line 3 of the Capacity
Needs & Congestion Relief Template.

3. A separate spreadsheet that includes the same information as contained in item 2 above
but showing total average weekday boarding and alighting information by line rather than
peak-hour, peak direction boarding and alighting information. The project sponsor
should use this spreadsheet to compute the average weekday linked trips information for
inclusion in lines 1a and 1b of the Mobility & Cost Effectiveness Template.
4. A description of the methodology used by the project sponsor to collect the existing
ridership data, including the dates of collection. Data collections should be representative
of an average weekday, which often means that they be based on Tuesdays, Wednesdays,
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

or Thursdays, since Mondays and Fridays may have differing ridership patterns.
Additionally, they should not generally include weekdays when extra service is scheduled
to meet special service needs such as civic celebrations, parades, or holiday events.
Project sponsors should contact FTA if they do not currently have the data requested above to
discuss what information they may instead have available.

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 in the financial plan.

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 enter capital cost information in the SCC Workbook and provide
it to FTA in Excel format (not PDF format). Project sponsors should ensure they use the correct
one for their type of project. One is specific to joint intercity rail and public transportation
projects. The other is to be used by all other Core Capacity projects that are not joint intercity
rail and public transportation projects. The most recent Core Capacity SCC Workbook issued by
FTA must be used. The capital cost must be reported in 2025 constant dollars (also known as
base year dollars).
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:
•

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 Core Capacity 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 of the SCC Workbook:
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

•

Build Main: Report capital costs by category. Ensure that allocated contingency
amounts are entered.

•

Project Description

•

Inflation: The inflation rates shown in the SCC Workbook are provided only as an
example. The project sponsor should input inflation rates representative of conditions in
their area.

•

Schedule FFGA 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.

•

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 Main Worksheet
Project sponsors may often undertake a major construction project that involves both Core
Capacity and State of Good Repair elements. When this is the case, FTA requires project
sponsors to differentiate early in the Project Development phase the percentage of costs in each
SCC line item associated with capacity improvements versus the percentage associated solely
with State of Good Repair elements. This is necessary to determine what costs are eligible for
which type of FTA funds since the law does not allow CIG funding to be used on State of Good
Repair elements. These percentages are reviewed and discussed with FTA per the direction in
the CIG Policy Guidance.
If a project includes both Core Capacity and State of Good Repair elements, the project sponsor
must enter the Core Capacity percentage of costs for each SCC line item in the Core Capacity
Percentage Column of the Build Main worksheet. For projects that do not include any State of
Good Repair elements, project sponsors should enter 100 percent in the Core Capacity
Percentage Column.
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
Core Capacity 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 cost
figure is an input to the calculation of cost effectiveness.
Below are specific instructions that must be followed when completing the Build Annualized
Worksheet:

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

•

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.

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

•

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 entry into the Engineering phase or requests a
construction grant.

•

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

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

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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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

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. Mobility Improvements
The following data must be entered in the templates to compute the mobility improvements
criterion:
•

Existing daily linked trips on the existing line or lines in the project corridor for nontransit dependent and transit dependent persons (in lines 1a and 1b of the Mobility &
Cost Effectiveness Template). For project sponsors who do not have readily available the
number of those existing linked trips made by transit dependent persons, FTA allows
sponsors to estimate the number of existing trips made by transit dependent persons by
multiplying the total number of linked trips on the existing line in the corridor today by
the percent of low income or zero car households located in the project corridor as shown
in the annual American Community Survey.

•

Annualization factor (in lines 1a and 1b of the Mobility & Cost Effectiveness Template).
The annualization factor should be consistent with the current service offered in the fixed
guideway corridor today. In addition to filling out the annualization factor in the
Mobility & Cost Effectiveness Template, a written justification for the annualization
factor must be provided to FTA.

IV.2. Cost Effectiveness
The following data must be entered in the templates to compute the cost effectiveness criterion:
•

Existing daily linked trips on the existing line or lines that operate in the fixed guideway
project corridor today for non-transit dependent and transit dependent persons (in lines 1a
and 1b of the Mobility & Cost Effectiveness Template),

•

Annualization factor (in lines 1a and 1b of the Mobility & Cost Effectiveness Template),
and

•

The annualized Core Capacity share of the project cost in constant 2025 dollars as
generated by the Build Annualized Worksheet of FTA’s SCC Workbook (enter in line 3
of the Mobility & Cost Effectiveness Template). For additional guidance on the
calculation of annualized capital cost see Section III.4 Capital Costs.

IV.3. Existing Capacity Needs of the Corridor
The following data must be entered in the templates to compute the capacity needs criterion:
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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

Project Description Template
•

Details on existing operations in the peak hour and peak direction that is consistent with
the supplied existing ridership information, including the following:
o The train number and name (e.g., color, letter, route name) of every train that
enters the Core Capacity project corridor during the peak hour in the peak
direction.
o The time of day that each train enters the Core Capacity project corridor during
the peak hour in the peak direction (place this information in the column labeled
“Departure Time”).
o Information on each type of railcar that comprises each train during the peak hour
in the peak direction.
▪

For heavy rail and light rail projects, enter the length and width of the
passenger cars in feet and inches for each train. Also enter the dimension
of any driver cab compartment for each car. Use multiple rows to report
the data for each train if necessary if the types of railcars used in the train
consist have differing dimensions. The usable space (length of railcar x
width of railcar minus space used for the driver cab compartment) is
automatically calculated in the Capacity Needs & Congestion Relief
Template. Sponsors must provide FTA with supporting documentation
confirming the space calculations using a vehicle specification diagram
and/or photographs.

▪

For commuter rail projects, enter the number of seats per passenger car for
each train. Use multiple rows to report the data for each train if necessary
if the types of railcars used in the train consist have differing numbers of
seats.

Capacity Needs & Congestion Relief Template
•

Existing ridership in the peak hour in the peak direction. For additional guidance on the
calculation of existing ridership see Section III.2 Documenting Existing Ridership in the
Project Corridor.

Separately Provided Narrative
•

A description of any temporary measures to increase short-term capacity that have been
implemented along with an explanation of why they are only temporary or short-term in
nature. This information is needed because the Bipartisan Infrastructure Law (BIL)
specifies that the project corridor must be at or over capacity currently or will be within
ten years without regard to any temporary measures employed by the applicant expected
to increase shot-term capacity within the next ten years. FTA has not defined “temporary
measures employed by the applicant expected to increase short-term capacity within the
next ten years”. Instead, FTA intends to make determinations on a case-by-case basis.

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IV.4. Congestion Relief
The following data must be entered in the templates to compute the congestion relief criterion:
Project Description Template
•

Details on existing operations in the peak hour and peak direction as described above in
the previous section – number and departure time of trains, cars per train, rail car
dimensions or seats, etc.

•

The same details on planned operations in the peak hour and peak direction when the
project opens -- number and departure time of trains, cars per train, rail car dimensions or
seats, etc.

Capacity Needs & Congestion Relief Template
•

Existing ridership in the peak hour in the peak direction for the Core Capacity project
corridor. For additional guidance on the calculation of existing ridership see Section III.2
Documenting Existing Ridership in the Project Corridor.

IV.5. Economic Development
No information needs to be reported for this criterion. The CIG Policy Guidance specifies that
FTA considers Core Capacity projects to be warranted for this measure because the existing
development in the corridor must already be transit supportive otherwise there would not be
capacity constraints resulting from high ridership. Therefore, FTA automatically assigns a
Medium rating for the Economic Development criterion to all proposed Core Capacity projects.
However, at the project sponsor’s option, information may be submitted to FTA for evaluation
and rating in accordance with the requirements under the New Starts Economic Development
criterion if the sponsor wishes to strive for rating higher than Medium. Project sponsors who
wish to submit information for this criterion should contact the FTA Office of Capital Project
Development at headquarters for additional guidance.

IV.6. Environmental Benefits
No information needs to be reported for this criterion. The CIG Policy Guidance specifies that
FTA considers Core Capacity projects to be warranted for this measure because the existing
fixed guideway corridor already has extensive ridership that produces environmental benefits.
Therefore, FTA automatically assigns a Medium rating for the Environmental Benefits criterion
to all proposed Core Capacity projects. However, at the project sponsor’s option, information
may be submitted to FTA for evaluation and rating in accordance with the requirements under
the New Starts Environmental Benefits criterion if the sponsor wishes to strive for a rating higher
than Medium. Project sponsors who wish to submit information for this criterion should contact
the FTA Office of Capital Project Development at headquarters for additional guidance.

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

Local Financial Commitment Criteria

V.

V.1. Core Capacity 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 Core
Capacity 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 project capital cost reported on this template should match what is reported in the
Build Main Worksheet of the SCC Workbook. The capital cost estimate must include
costs for Project Development and Engineering 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 FFGA, whichever occurs later in time, should be
included.

•

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
revenue service.

•

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
proposed project, and debt capacity that requires no further approvals and has been
dedicated to the proposed project.

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

•

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 FFGA is executed, or
due to local practices outside of the project sponsor’s control (e.g., the project
development schedule extends beyond the TIP 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 Core Capacity project is less than
$400 million and the 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 an FFGA);

•

The additional operating and maintenance cost of the proposed Core Capacity project is
less than a ten percent increase in the project sponsor’s current year approved systemwide operating budget; and

•

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 must submit the following items to demonstrate that they meet these conditions:

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

•

A completed Finance Template;

•

A description of the plan to secure funding for the non-CIG share of the project cost that
includes the sources, amounts, and steps needed to secure funding commitments;

•

A detailed operating and maintenance cost estimate;

•

The current year approved budget documenting that the project’s operating and
maintenance costs would constitute no greater than a five percent increase in current
system-wide 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 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:
•

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).

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

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.
Documentation describing and justifying all assumptions included in the financial plan must be
provided. All underlying financial assumptions should be identified in the 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 B 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 – Core Capacity

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

Core Capacity Templates
Core Capacity Standard Cost Category (SCC) Workbook
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 – Core Capacity

Appendix B. Local Financial Commitment Checklist
The project sponsor must complete the checklist and include it with the financial submittal. If
the checklist is not provided, the submittal will be considered incomplete. Insufficient or
incomplete information supporting a project's local financial commitment criteria may result in a
“Low” rating. Project sponsors are encouraged to pay careful attention to the reporting
requirements.
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 submitted 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 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

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FTA Reporting Instructions for the Section 5309 Capital Investment Grants Program – Core Capacity

LOCAL FINANCIAL COMMITMENT CHECKLIST

Included
(check one)
Yes

No

Reason Why Information
Has Not Been Provided

Background information and description of the transit agency, including organizational structure and
enabling legislation
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:

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