New Starts/Small Starts Program

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New Starts/Small Starts Program. APTA Rail Conference San Francisco, CA June 5, 2008. Topics. Overview of the Program New/Small Starts Project Planning & Development New/Small Starts Evaluation and Funding Outreach. FTA Aspirations the Program. Goal: Fund meritorious projects - PowerPoint PPT Presentation

Text of New Starts/Small Starts Program

  • New Starts/Small Starts Program

    APTA Rail ConferenceSan Francisco, CAJune 5, 2008

  • TopicsOverview of the Program New/Small Starts Project Planning & DevelopmentNew/Small Starts Evaluation and FundingOutreach

  • FTA Aspirations the ProgramGoal: Fund meritorious projectsManagement objectives:Make decisions with reliable information on project benefits and costsTreat all projects equitably across the USFacilitate communication between FTA, transit industry and Congress

  • How FTA Meets Its GoalsSound and rigorous management of the programPromote - and assist in - the development of reliable information on costs and benefitsTransparent evaluation process Local decisions, project ratings, and funding recommendations are based on the best information available to both the public and decision-makers

  • Long-standing Legislative Requirements for FundingAlternative analysisCost effectivenessLocal financial commitment

  • Key Program PrinciplesInformation used evaluations must properly reflect costs and benefits of the project - THIS IS HARD!FTA evaluations are mode-neutralPurpose of each project development phase should be accomplished before progressing to the nextProjects accepted into PE/PD are worthy of funding

  • Principle: Proper Identification of Project Benefits and Costs Maintain policy variables between project and baseline alternative with respect to:Land useParking costsTransit service frequencies and coverageTransit fareTransit service levels outside study corridorHighway networks

  • Principle: Mode-neutralCredit ridership attractiveness to those attributes that riders value, not mode per seCredit likelihood of economic development to those factors associated with it: developability of land, economic climate, plans and policies and accessibility.

  • Principle: Accomplish Purpose of Development Phase Before ProgressingSystems planning: corridor identificationAlternatives analysis: mode and alignmentPE: final scope/cost, completion of NEPA, financial plan commitmentsFinal design: construction documents

  • Principle: Projects Accepted into PE Are Worthy of FundingAt completion of AA minimize uncertainties that affect:Alignment or modeCapital costTransportation benefitsFinancial planOthers that could significantly affect project viability

  • New Starts/Small Starts Funding: Supply and DemandDemand:18 New Starts projects in PE and Final Design16 Small Starts projects in PDTotal cost of pipeline: >$22.6 billion, $10.3 billion in New Starts fundingFTA tracking >100 planning studies considering major transit capital investmentsAnnual fundingNew Starts: $1.4+ billion Small Starts: $200 million

  • SAFETEA-LU Highlights for Alternatives AnalysesBefore and After StudyRequired for both New Starts and Small Starts project compares cost and ridership forecasts with actual numbers 2 years after revenue operations beginsBefore and After Study ReportRequired annually to Congress documenting results of B&A studiesContractor Performance Assessment ReportRequired annually to Congress citing contractor forecastsIncentives awards Allows more federal funding if actual ridership is at least 90% and cost no more than 110% of forecasts made during alternatives analysis

  • Eligibility: New StartsNew fixed guideway systems and extensions New Starts funding > $75M or costs $250mFixed guideway is established by any of the following characteristics:Rail; Separate right-of-way for the use of public transportation or high occupancy vehicles; or Catenary

  • Eligibility: Small StartsCost criteriaTotal cost
  • Eligibility: Very Small StartsSmall Starts criteria for cost and scopePlus additional eligibility criteria:Total cost under $50 millionCost per mile < $3 million per mile, excluding rolling stock(Existing weekday riders over 3,000)

  • Small Starts/Very Small StartsEligible ApplicantsAny public body is eligible to apply for Small Starts fundsIf the applicant is not the operator:The small starts application must demonstrate how the project will be operated and maintainedProject sponsor must provide an executed operating agreement before a PCGA can be finalized

  • The New Starts EnvironmentIndividual Senate and House Members 150Projects15 FFGAs, 34 FD/PE/PD, 100 AAInspectorGeneralGovt AccountabilityOfficePress

  • New Starts Planning and Project Development

  • New Starts Project Development ProcessProject Development: Typically 6-12 YearsAlternatives Analysis 1-2 yearsPreliminary Engineering2-3 years3-7 yearsOperationFTA Approval Required for Full Funding Grant Agreement (FFGA)~ 100 AA Studies12 PE Projects6 FD ProjectsFTA Approval Required

    FTA Approval Required15 FFGA ProjectsConstructionFinal Design

  • Length of Project Development LPA to Opening

  • Key Decisions for Each Phase of Project DevelopmentSystems planning: priority corridorAlternatives analysis: mode and alignmentPreliminary engineering: final scope/cost, completion of NEPA, financial planFinal design: construction documentsFull Funding Grant AgreementFTA: fundingProject sponsor: delivery of the project

  • Planning and Project DevelopmentAlternatives AnalysisPreliminary Engineering

    Select LPA FTA Approval to Start PEFTA Approval to Start Final DesignSystem PlanningDecisions

    Mode, general alignment Financial plan Decisions

    Needs Policies Priority corridor(s) Decisions

    Refinements to LPA Final scope and cost Complete NEPA Implement financial plan

  • History of Alternatives Analysis

  • Alternatives Analysis:Guiding PrinciplesLocal process, local decisionsEarly and ongoing participation by a wide range of stakeholdersSufficient level of analysis is necessary to select a mode and general alignmentDocumentation and presentation of key study componentsDevelopment of alternatives that isolate the costs and benefits of capital investment in guideways

  • Alternatives Analysis: Key ElementsIdentification of corridor problems, project purpose and need, and goals and objectivesDevelopment of a range of alternatives that address causes of transportation problems Analysis of costs, benefits, and impacts of alternativesRefinement of AlternativesEvaluation of alternatives

  • Useful FTA Reviews during AAScope of workInitiation packageTechnical frameworkTechnical resultsFinal report (AA report or AA/DEIS)

  • Requirements for FTA Approval into Preliminary Engineering (New Starts)Completed alternatives analysisNo outstanding planning issues remainLocally preferred alternative adopted into fiscally constrained long range planProjected New Starts evaluation measures confirmedMedium or higher rating for projectat least medium rating for both project justification and local financial commitmentSponsor demonstration of technical capacity

  • FTA Suggestions to Expedite PE Approval ProcessInvolve FTA in the alternatives analysis study early onPermit FTA to review AA study productsDevelop a defensible TSM alternative (and get FTA concurrence) as part of the study; dont wait until the end to seek approval for what will become New Starts baseline alternativeInform FTA of intent to request entry into PE well in advance of formal requestDo not submit formal request until all readiness thresholds and FTA approvals/findings have been met

  • Preliminary EngineeringWhat It Is Work necessary to develop a firm scope and cost estimate with appropriate contingencies:Finalize station locations and configurationYard and shop locationAlignmentPark and ride size and configurationNumber of vehicles and peak capacity needs Work necessary to complete the environmental requirementsWork necessary to firm up funding commitments

  • Preliminary EngineeringWhat It Is NOT Just engineering

    Work necessary to complete 30% of design Work necessary to develop a preliminary cost estimate that likely will increase during final design as project is better defined

    An indication of likely New Starts funding

  • Responsibilities of Project Management Oversight Contractors (PMOCs)Serve as extension of FTA staff: - project management - construction management - project sponsor technical capacityMonitor project progress: - schedule and budget - conformance with design criteria - construction to approved specificationsProvide technical guidance to grantee

  • Requirements for FTA Approval into Final DesignCompleted NEPA process (ROD or FONSI)Approved Project Management Plan (PMP)Approved Rail and Bus Fleet Management PlanAddress Railroad Right-of-Way (ROW) IssuesEstablish Process for Real Estate and ROW AcquisitionMedium or Higher Project RatingAt least Medium rating for both Project Justification and Finance (including commitment of 50% of non-5309 funds)

  • What is a Full Funding Grant Agreement (FFGA) ?Formal Agreement signed by FTA and Grantee following detailed review by DOT, OMB and CongressAgreement on Project Scope, Budget, and ScheduleTerms and Conditions of Federal ParticipationMulti-year Funding Commitment (subject to Congressional Appropriations)Caps Federal Section 5309 New Starts funds

  • Full Funding Grant AgreementTo receive an FFGA a project must:Be Authorized in LawComplete the Planning, Project Development, and NEPA ProcessesMeet Project Readiness Requirements (techinical capacity, firm and final cost estimate and funding)Receive a Medium or higher overall ratingReceive a Medium or higher cost effectiveness ratingMeet all other Federal Requirements

  • Significance of FFGA Historically, 85% of New Starts Funds Appropriated for FFGAs and Projects with Medium or Higher RatingsAll Projects Eventually Recei