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STIP/TIP Fiscal Constraint Worksheets


[Note: This document has been incorporated into and/or superseded by the FHWA/FTA Final Rule on statewide and metropolitan transportation planning and programming and congestion management processes / systems which was published in the Federal Register on February 14, 2007 and became effective on March 16, 2007. This Final Rule can be accessed at: HTML version: PDF version: (394KB). - ed.] To view PDF files, you need the Acrobat® Reader®.

The attached worksheets are intended as tools for a State DOT or MPO to utilize to organize and summarize financial information for the STIP and/or a metropolitan TIP for purposes of demonstrating fiscal constraint to the FHWA/FTA. The use of the worksheets is not mandatory. If used, however, they will provide information on the types and categories of revenue and cost data that are needed to show fiscal constraint and can show whether costs and revenues are balanced both within each funding category and overall. FHWA/FTA field offices are encouraged to modify the worksheet to better meet local needs. The worksheets are intended specifically for use with the STIP and/or metropolitan TIP and could be modified/simplified for purposes of demonstrating metropolitan long-range transportation plan fiscal constraint.

The file, "STIP TIP Fiscal Constraint - Worksheet 1.xls" includes cells for anticipated revenues from Federal, State and local sources, innovative financing sources, and other sources. These revenues are further broken down into specific funding categories. A column is provided for state and/or local match to the Federal funds. Reviewers should ensure that programmed funds included in each fund category are eligible for use in that category. All sources of revenue are shown because the demonstration of fiscal constraint must account for all sources of transportation funds, not just the Federal share. The file, "STIP TIP Fiscal Constraint - Worksheet 2.xls" consolidates Federal funds and is intended to break out State revenues by funding category.

Operations and maintenance (O&M) revenues and costs are identified separately from capital costs to demonstrate that operation and maintenance costs of the existing and planned system are identified over the life of the TIP and STIP. O&M costs are typically those costs related to maintaining and operating a facility once it is completed and open to traffic. Capital improvement costs are shown in a separate column and would include costs for items such as environmental studies, preliminary engineering, right-of-way, construction, re-construction, rehabilitation, and replacement for highway and transit facilities.

Both worksheets allow for a comparison of anticipated revenues with the total amount of funds programmed to assist in determining whether fiscal constraint requirements have been met.

If you have difficulty accessing these sheets, please contact your FHWA division planner.

Updated: 10/19/2015
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