49 CFR Part 611 Major Capital Investment Projects

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Overview

Project Description
Mobility & Cost Effectiveness
Capacity Need&Congestion Relief
Finance
Rating Estimation

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Sheet 1: Project Description

CORE CAPACITY PROJECT DESCRIPTION TEMPLATE

PROJECT NAME:

Enter your official name for the project as you would like it reflected in the Annual Report on Funding Recommendations

Participating Agencies

Lead Agency

Name

Contact Person

Address

Telephone Number

Fax Number

Email

Metropolitan Planning Organization

Name

Contact Person

Address

Telephone Number

Fax Number

Email

Transit Agency

Name

Contact Person

Address

Telephone Number

Fax Number

Email

State Department of Transportation

Name

Contact Person

Address

Telephone Number

Fax Number

Email

Other Relevant Agencies

Name

Contact Person

Address

Telephone Number

Fax Number

Email

Other Relevant Agencies

Name

Contact Person

Address

Telephone Number

Fax Number

Email

Other Relevant Agencies

Name

Contact Person

Address

Telephone Number

Fax Number

Email

CORE CAPACITY PROJECT DESCRIPTION TEMPLATE (Page 2)

Project Definition

Length (miles)

Mode/Technology

Total Number of Stations

Number of New Stations (if any)

Count paired inbound/outbound boarding platforms as one station (do not report the total number of boarding platforms)

Include park and ride spaces that are part of this project. Do not include existing park and ride spaces. List each new station (if any) separately, including the number of park and ride spaces at each and whether structured or surface parking

Insert additional rows if necessary

List each station with major transfer facilities to other modes

Insert additional rows if necessary

Number of vehicles/ rolling stock to be included as part of the project

Type of Alignment by Segment (Number of Miles)

Above grade

Below grade

At grade

Exclusive

Mixed Traffic

Status of Existing Right of Way

Ownership – who owns the right of way?

Current Use: active freight or passenger service?

Project Planning Dates

"Existing" is the most recent year for which the data on demographics and the existing transit system are available. It is the year used to establish eligibility. Existing Year

Opening Year

Capital Cost Estimate

2025 constant dollars

Value linked from Finance Template $-

Year of Expenditure

Value linked from Finance Template $-

Estimated Number of U.S. Jobs Related to Design, Construction, Operation and Maintenance of the Project

Project Planning and Development Schedule

Project Schedule

Insert anticipated or actual date

Anticipated NEPA Class of Action

(Select…)

Entry into Project Development

(Select NEPA class of action above)

LPA selected

LPA included in the financially constrained long range plan

Approval into Engineering

Anticipated FFGA Award

Construction Duration (enter start and end dates)

Substantial Completion - (Normal Revenue Service Begins)

CORE CAPACITY PROJECT DESCRIPTION TEMPLATE (Page 3)

Detail of Existing Operations

Heavy Rail/Light Rail

Commuter Rail

Train #

Notes on the Detail of Operations: Enter the operating schedule for the peak hour as defined by the project definition. "Train Line Reference" should be used to specify the line name, number, color, or other identifying characteristic of each train. Departure time should be the time when each train enters the defined project area. If more lines are needed to represent operations in the peak hour, please contact FTA for further instructions. For Light Rail/Heavy Rail, the overall car length and width should be entered in Feet and Inches with no reductions. The usable space calculation will automatically deduct 6'7" of length and 8" of width as per guidance. Please enter whole feet and whole inches with no decimals or fractions. Train Line Reference (e.g. Name/Color/Number)

Departure Time

Number of Cars

Car Length (ft) (in)

Car Width (ft) (in)

Car Space (sqft)

Driver Cab Length (ft) (in)

Driver Cab Width (ft) (in)

Driver Cab Space (sqft)

Total Usable Space (sqft)

Seats per Car

Seats Per Train

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

Total

During the Peak Hour

-

-

-

-

Detail of Operations At Project Opening

Heavy Rail/Light Rail

Commuter Rail

Train #

Line Reference

Departure Time

Number of Cars

Car Length (ft) (in)

Car Width (ft) (in)

Car Space (sqft)

Driver Cab Length (ft) (in)

Driver Cab Width (ft) (in)

Driver Cab Space (sqft)

Total Usable Space (sqft)

Seats per Car

Seats Per Train

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

Total

During the Peak Hour

-

-

-

-

CORE CAPACITY PROJECT DESCRIPTION TEMPLATE (Page 4)

Project Management

Project Manager

Name

Address

Phone

Fax

Email

Agency CEO

Name

Address

Phone

Fax

Email

Key Agency Staff: Overall Core Capacity Criteria

Name

Address

Phone

Fax

Email

Key Agency Staff: Ridership Statistics and Data

Name

Address

Phone

Fax

Email

Key Agency Staff: Cost Estimates

Name

Address

Phone

Fax

Email

Key Agency Staff: Environmental Documentation

Name

Address

Phone

Fax

Email

Key Agency Staff: Financial Assessment

Name

Address

Phone

Fax

Email

Key Agency Staff: Project Maps

Name

Address

Phone

Fax

Email

Contractors

Current Prime Contractor

Name

Address

Phone

Fax

Email

Prime Contractor: Project Manager

Name

Address

Phone

Fax

Email

Contractor Responsible for Ridership Data

Name

Address

Phone

Fax

Email

Contractor Responsible for Capital Cost Estimates

Name

Address

Phone

Fax

Email

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Sheet 2: Mobility & Cost Effectiveness

CORE CAPACITY MOBILITY IMPROVEMENT AND COST-EFFECTIVENESS TEMPLATE

PROJECT NAME:

Mobility Improvements

Line

Item

Daily

Annualization Factor*

Annualized (annualization factor x daily)

Source/Calculation

1a

Existing Daily Linked Trips on the existing line(s) as defined in the project definition

Non-transit-dependent

0

Average Weekday On/Off Counts, see Reporting Instructions

1b

Transit-dependent

0

<select source of transit-dependent data>

1c

Overall percentage of transit-dependent trips

-

Line 1b / (Line 1a+Line 1b)

2

Total trips with five times weight given to transit dependent trips (value used in rating)

0

Line 1a annualized + 5*(Line 1b annualized)

-

*Attach documentation describing annualization factor assumed.

Cost Effectiveness

Line

Item

Values

Source/Calculation

3

Annualized Core Capacity capital cost (constant 2025 dollars)

Source: SCC Build Annualized worksheet

4

Annual linked trips on the existing line(s) as defined in the project definition (no extra weight given for transit dependent trips)

0

Line 1a + Line 1b (unweighted annualized sum)

5

Annualized Core Capacity cost per annual linked trip (value used in rating)

$0.00

Line 3 / Line 4

-

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Sheet 3: Capacity Need&Congestion Relief

CORE CAPACITY NEEDS AND CONGESTION RELIEF TEMPLATE
PROJECT NAME:
Vehicle and Service Characteristics
Line	Item		Existing	At Opening	Increase	Source/Calculation
1	Total usable space per peak hour, in the peak direction		0	0	0	From Project Description Template, Page 3
2	Total available seats per peak hour, in the peak direction		-	-	-	From Project Description Template, Page 3
Capacity Needs
Line	Item		Existing			Source/Calculation
3	Existing Ridership per peak hour, in the peak direction					Peak hour average load from counts, see Reporting Instructions
4	Total Usable space per passenger per peak hour, in the peak direction					Line 1 / Line 3 (Light Rail/Heavy Rail only)
5	Percent Seated Load per peak hour, in the peak direction		-			Line 3 / Line 2 (Commuter Rail only)
6	Existing Capacity Needs (Value used in Rating)					Line 4 (Light Rail/Heavy Rail) or Line 5 (Commuter Rail)
			-
Congestion Relief
Line	Item		Existing	At Opening	Increase	Source/Calculation
7	Total usable space per passenger, in the peak hour, in the peak direction					Line 1 /Line 3 (Light Rail/Heavy Rail only)
8	Percent Seated Load per peak hour, in the peak direction		-	-	-	Line 3/ Line 2 (Commuter Rail Only)
9	Congestion Relief (Value used in Rating)					Line 7 (Light Rail/Heavy Rail) or Line 8 (Commuter Rail)
			-

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Sheet 4: Finance

CORE CAPACITY FINANCE TEMPLATE
PROJECT NAME:
Core Capacity Capital Cost of Project in Constant 2025 Dollars (from the SCC Main Worksheet)	Please enter entire numbers in the cells in this worksheet. Do not abbreviate or round. For example, enter $1,000,105 rather than $1.0 or $1,000,000. Otherwise calculations will not work correctly.	Total Capital Cost of Project in YOE dollars (including finance charges, costs of Project Development and Engineering, and construction): (from SCC Main Worksheet)
Section CIG Funding Anticipated (YOE $):		FTA CIG Share of Project Cost:		0.0%
Estimated Cost of Project Development (YOE $):		Estimated Cost of Engineering (YOE $):
Total Finance Charges Included in Capital Cost (include finance charges that are expected prior to either the revenue operations date or the fulfillment of the CIG funding commitment, whichever is later in time): (from SCC Main Worksheet)
Other Federal Capital Funding Sources		Type of Funds	Dollar Amount (YOE)		% of Total Capital Cost
(Non-CIG Funds such as FTA Section 5307, Surface Transportation Program (STP), Congestion Mitigation and Air Quality (CMAQ), etc.)
1. (Example: CMAQ)					0.0%
2.					0.0%
3.					0.0%
4.					0.0%
State Capital Funding Sources		Type of Funds	Dollar Amount (YOE)		% of Total Capital Cost
(Funds provided by state agencies or legislatures such as bonds, dedicated sales tax, annual legislative appropriation, transportation trust funds, etc.)
1. (Example: State Transportation Fund)					0.0%
2.					0.0%
3.					0.0%
4.					0.0%
5.					0.0%
6.					0.0%
Local Capital Funding Sources		Type of Funds	Dollar Amount (YOE)		% of Total Capital Cost
(Municipal, City, County, Township, or Regional funding such as bonds, sales tax, legislative appropriation, transportation trust funds, etc.)
1.					0.0%
2.					0.0%
3.					0.0%
4.					0.0%
5.					0.0%
6.					0.0%
7.					0.0%
8.					0.0%
9.					0.0%
10.					0.0%
11.					0.0%
12.					0.0%
Private Sector/In-kind match/Other		Type of Funds	Dollar Amount (YOE)		% of Total Capital Cost
(Donations of right-of-way, construction of stations or parking, or funding for the project from a non-governmental entity, business, or business assoc.)
1.					0.0%
2.					0.0%
3.					0.0%
4.					0.0%
5.					0.0%
TOTAL NON-CIG FUNDING (YOE dollars)			$0		0.0%
QA/QC CHECK: TOTAL CAPITAL COSTS LESS CIG FUNDING LESS NON-CIG FUNDING (SHOULD EQUAL $0)			$0		---
CORE CAPACITY FINANCE TEMPLATE (Section 2)
Core Capacity Project Financial Commitment
Other Federal Sources	Are the funds obligated in an existing grant?	Are the funds programmed in the current TIP/STIP?	If funds are beyond the current TIP/STIP period, are they programmed to the project via MPO Board resolution or other official action?		For discretionary or competitive grant funds, has the selection been announced or funds allocated?
(Linked from Section 1)
1. (Example: CMAQ)	(Select…)	(Select…)	(Select…)		(Select…)
2.	(Select…)	(Select…)	(Select…)		(Select…)
3.	(Select…)	(Select…)	(Select…)		(Select…)
4.	(Select…)	(Select…)	(Select…)		(Select…)
State Sources	Are the funds authorized by existing state law?	Do the funds require annual/biennial appropriation by state legislature?	Do the funds require approval via competitive or discretionary state grant process?		Are the funds allocated by formula?
(Linked from Section 1)
1. (Example: State Transportation Fund)	(Select….)	(Select….)	(Select….)		(Select….)
2.	(Select….)	(Select….)	(Select….)		(Select….)
3.	(Select….)	(Select….)	(Select….)		(Select….)
4.	(Select….)	(Select….)	(Select….)		(Select….)
5.	(Select….)	(Select….)	(Select….)		(Select….)
6.	(Select….)	(Select….)	(Select….)		(Select….)
Local Sources	Are the funds authorized by existing state/local law?	Are the funds approved for the project in a Board-approved Capital Improvement Program, budget, or resolution?	Are the funds committed to the project by a signed, final and completed third-party agreement?		Are the funds contingent on a voter referendum?
(Linked from Section 1)
1.	(Select….)	(Select…)	(Select…)		(Select…)
2.	(Select….)	(Select…)	(Select…)		(Select…)
3.	(Select….)	(Select…)	(Select…)		(Select…)
4.	(Select….)	(Select…)	(Select…)		(Select…)
5.	(Select….)	(Select…)	(Select…)		(Select…)
6.	(Select….)	(Select…)	(Select…)		(Select…)
7.	(Select….)	(Select…)	(Select…)		(Select…)
8.	(Select….)	(Select…)	(Select…)		(Select…)
9.	(Select….)	(Select…)	(Select…)		(Select…)
10.	(Select….)	(Select…)	(Select…)		(Select…)
11.	(Select….)	(Select…)	(Select…)		(Select…)
12.	(Select….)	(Select…)	(Select…)		(Select…)
Private Sector/In-kind Match/Other	Are the funds committed to the project by a signed, final, and completed third-party agreement?	If in-kind contribution, has the value been approved by FTA per requirements of FTA Circular 5010?
(Linked from Section 1)
1.	(Select….)	(Select….)
2.	(Select….)	(Select….)
3.	(Select….)	(Select….)
4.	(Select….)	(Select….)
5.	(Select….)	(Select….)
CORE CAPACITY FINANCE TEMPLATE (Section 3)
Core Capacity Project Financial Commitment
Other Federal Sources	Name of entity with ultimate programming authority for source of funds	Describe all remaining actions needed to make the funds available to the project		Identify and Describe Supporting Documentation Submitted to Verify Commitment Status of Funding Source
(Linked from section 1)
1. (Example: CMAQ)				(Example: Relevant pages from TIP/STIP)
2.
3.
4.
State Sources	Name of entity with ultimate programming authority for source of funds	Describe all remaining actions needed to make the funds available to the project		Identify and Describe Supporting Documentation Submitted to Verify Commitment Status of Funding Source
(Linked from section 1)
1. (Example: State Transportation Fund)				(Example: Relevant pages of authorizing legislation with applicable sections identified, official allocation notice from State agency)
2.
3.
4.
5.
6.
Local Sources	Name of entity with ultimate programming authority for source of funds	Describe all remaining actions needed to make the funds available to the project		Identify and Describe Supporting Documentation Submitted to Verify Commitment Status of Funding Source
(Linked from section 1)
1.				(Example: Relevant pages from Board-approved CIP; official Board resolution; final, complete third-party agreement with relevant sections/clauses identified)
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
Private Sector/In-kind Match/Other	Name of entity with ultimate programming authority for source of funds	Describe all remaining actions needed to make the funds available to the project		Identify and Describe Supporting Documentation Submitted to Verify Commitment Status of Funding Source
(Linked from section 1)
1.				(Example: Final, complete third-party agreement with relevant sections/clauses identified)
2.
3.
4.
5.
Reference Notes: The following categories and definitions are applied to funding sources:
Committed: Committed sources are programmed capital funds that have all the necessary approvals to be used to fund the proposed project without any additional action. These funds have all legislative and/or voter approvals needed, and 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 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.
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 or not 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. Also, 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.
CORE CAPACITY FINANCE TEMPLATE (Section 4)
Innovative Financing Methods
(Unconventional funding/financing arrangements such as USDOT credit instruments (RRIF/TIFIA loans, PABs), State Infrastructure Banks, Public/Private partnerships, Toll Credits, Joint Development revenues, etc.)
Innovative Funding Source	Anticipated Funding Amount ($)	Name of entity with final approving authority	Describe all actions needed to make the funds available to the project		Identify and Describe Supporting Documentation Submitted
Summary Information from the Operating Finance Plan
Core Capacity Project Annual Operating Cost in the Opening Year (YOE$):		For both the project and the transit system, provide the costs for the first full year of service (even if this period extends into the next fiscal or calendar year). Total Transit System (including Core Capacity Project) Annual Operating Cost in the Opening Year (YOE$)
Proposed Sources of Operating Funds (Proposed sources of operating funds that are anticipated to support operating expenses of the transit system including the Core Capacity project in the opening year.)	Dollar Amount ($)	Type of Funding Source	Committed, Budgeted or Planned	Specify Whether New or Existing Funding Source
Farebox Revenues		---	---	---
(Example: State Revenue Source A)
(Example: State Revenue Source B)
(Example: State Revenue Source C)
(Example: Local Revenue Source A)
(Example: Local Revenue Source B)
(Example: Local Revenue Source C)
(Example: Private/Value Capture Funding Source)
Other
Total	$0
Transit System Operating Characteristics
Current Systemwide Characteristics	Number/Value	Future Transit System with Core Capacity Project (Systemwide characteristics at completion of the Core Capacity Project)		Number/Value
(Can be the same data as reported to the FTA for the National Transit Database)
Farebox Recovery Percent		Farebox Recovery Percent
Number of Buses		Number of Buses
Number of Rail Vehicles		Number of Rail Vehicles
Average Fare		Average Fare
Average Age of Buses
Average Age of Rail Vehicles
Revenue Miles of Service Provided		Revenue Miles of Service
Revenue Hours of Service Provided		Revenue Hours of Service

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Sheet 5: Rating Estimation

CORE CAPACITY RATING ESTIMATION
PROJECT NAME:
Use this tool to calculate potential ratings for your Core Capacity project. Complete yellow cells with the ratings you anticipate for local financial commitment. *
Project Justification						Local Financial Commitment
Criterion	Weight	Estimated Rating	Source/Calculation		Do you anticipate that your project will qualify for the simplified financial assessment? (See the Local Financial Commitment section of the Core Capacity portion of the CIG Policy Guidance for the qualifying criteria.)				-
Mobility Improvements	16.66%	-	Mobility & Cost-Effectiveness Template
Cost Effectiveness	16.66%	-			Criterion	Weight	Estimated Rating	Source/Calculation
Congestion Relief	16.66%	-	Capacity Need & Congestion Relief Template		Current Financial Condition	25%	<select>	Enter your estimations of these ratings. See the Local Financial Commitment section in the New Starts chapter of the CIG Policy Guidance for information on how FTA rates these factors.
Capacity Needs	16.66%	-			Commitment of Capital and Operating Funds	25%	<select>
Environmental Benefits	16.66%	MEDIUM	Automatic MEDIUM for Core Capacity projects		Reasonableness of Financial Plan	50%	<select>
Economic Development	16.66%	MEDIUM	Automatic MEDIUM for Core Capacity projects		CIG Share (Please complete the Finance Template)	-	-	Finance Template
Summary Rating		-	Ratings are assigned to each criterion on a five-point scale, with Low = 1, Medium-Low =2, Medium = 3, Medium-High = 4, and High = 5. Individual criterion ratings are then weighted 16.66% each to develop the summary Project Justification rating.		Summary Rating		-	Ratings are assigned to each subfactor on a five-point scale, with Low = 1, Medium-Low=2, Medium=3, Medium-High =4, and High = 5. Individual subfactror ratings are then weighted as shown to develop the summary Local Financial Commitment rating. If the summary rating is at least Medium and Core Capacity share is less than 50%, the summary rating is increased one level. If project qualifies for the simplified financial evaluation, the rating is High if the Core Capacity share is 50 percent or less; otherwise it is Medium.
			Estimated Overall Project Rating: (The Project Justification and Local Financial Commitment summary ratings are each weighted equally at 50%. However, both must be at least Medium to obtain a Medium or better overall rating.)		Complete all templates and the highlighted cells in this worksheet to see the estimated overall rating.
			Link to CIG Program Guidance on the FTA Website
* FTA is providing this tool solely to help project sponsors understand how their projects may rate. Any anticipated ratings entered into this spreadsheet will not inform the ratings that FTA assigns, and any ratings computed in the templates are subject to verification by FTA. FTA has sole responsibility for assigning project ratings according to the evaluation and rating framework described in the Capital Investment Grants Policy Guidance.