Transportation Planning and Programming: STIP Process

Section 2: STIP Process

How is the STIP Developed?

Texas has both a decentralized and centralized programming process. A majority of the expected federal highway and transit funds are distributed to the twenty-three MPOs and the twenty-five TxDOT Districts for the selection of federally funded projects in the STIP. Federal funds that are not targeted to these groups are used for the statewide bridge and safety programs that are solicited and awarded centrally. Public input is provided at various points within the STIP development process. The STIP is updated on a biennial basis in odd numbered years. The general development process is shown in Table 17-1.

Anchor: #i1004857Table 17-1. STIP Development Steps
Step #	Responsible Party	Action	Timeframe
1	TxDOT Commission	Approves funding levels (UTP)	August
2	Districts, MPOs	Develop TIPs (Districts –Rural TIPs & MPOs – Metropolitan TIPs)	August-March
3	Districts, MPOs	Public involvement /comment period (District – Rural TIPs & MPOs – Metropolitan TIPs)	March-April
4	Districts, MPOs, TTP STIP staff	e-STIP: Districts enter TIP information in TxDOT CONNECT screen. TIP information; entered electronically into STIP database via Internet Portal. (Districts –Rural TIPs & MPOs – Metropolitan TIPs)	April-May
5	TTP STIP staff	e-STIP: Locks STIP database to review/compile electronic STIP data	May-June
6	TTP STIP staff, GCD	STIP public hearing notice published in Texas Register (starts 30-day public comment period) TPP Notifies FHWA and FTA that STIP data is available for review/comment.	Late June or Early July
7	TTP STIP staff, GCD	Public hearing held in Austin	August
8	TTP STIP staff	Compiles STIP exhibit, MO for Commission meeting	August
9	TxDOT Commission	Commission adopts DRAFT STIP after comment period expires/comments addressed	August
10	TxDOT Administration / Governor	Administration / Governor reviews and approves DRAFT STIP, signs letter for transmittal to FHWA and FTA.	August-Early September
11	TTP STIP staff	Transmits letter to FHWA and FTA	Early September
12	FHWA, FTA	e-STIP: Reviews, makes comments, and approves STIP data in database. STIP no longer DRAFT. Previous STIP becomes null and void.	Late October or Early November

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Who Develops the STIP?

TxDOT’s Transportation Planning and Programming Division (TPP) develops the STIP in cooperation with the MPOs and the TxDOT districts who also work in consultation with the RPOs and non-metropolitan local officials. The STIP begins as a compilation of the MPOs' Transportation Improvement Programs (TIPs) and the districts’ Rural TIPs and evolves into a comprehensive list of all highway and transit projects that are federally funded. It is consistent with the statewide long-range transportation plan, metropolitan transportation plans (MTPs), and is approved jointly by FHWA and FTA.

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STIP Frequency

While the STIP is a 4-year document, it is updated every two years and is revised quarterly in November, February, May and August. Out-of-cycle revisions require prior administration approval.

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STIP Revisions

Amendment/Revision means a revision that involves a major change to a project included in a metropolitan transportation plan, TIP, or STIP. A revision requires public review and comment, re-demonstration of fiscal constraint, and a conformity determination (for MTPs and TIPs involving ‘‘non-exempt’’ projects in nonattainment and maintenance areas). For projects using highway or transit funds, formal STIP revisions are required based on the following criteria:

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The change adds new individual FHWA funded projects.

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The change adds regionally significant state or locally funded projects.

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The change adds or removes a phase of work such as preliminary engineering, right-of-way, construction, etc. to the project.

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The change results in project scope change.

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Change in project limit/termini.

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Change in types of lanes (same as project scope of work changing) examples:
- (HOV / E x L) – HOV / Tolled Express Lanes
- (ML / T) - Tolled Managed Lanes
- (HOV) – HOV Lanes

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Change from state funding category to federal funding category (same as adding a federally funded project)

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If the MPO’s project selection procedures do not provide for selecting projects in the second or third years, a change in TIP year would require a revision

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Changes in Transit Grantees for FTA Section 5310 projects

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Changes in an estimated federal cost exceeding 50% AND resulting in a revised total cost exceeding $1,499,999. An amendment is not required when a change in estimated federal cost results in a total project cost of under $1,500,000.

Table 17-2 shows examples of federal cost changes.

Anchor: #i1005483Table 17-2. Examples of Federal Cost Changes that Need an Amendment
Initial Cost	Revised Cost	Amendment Needed
$800,000	$1,450,000	No (increase > 50%, revised cost < $1,499,999)
$800,000	$1,550,000	Yes (increase > 50%, revised cost > $1,499,999)
$1,550,000	2,200,000	No (increase < 50%, revised cost > $1,499,999)
$1,500,000	$2,300,000	Yes (increase > 50%, revised cost > $1,499,999)
$14,000,000	$20,000,000	No (increase < 50%, revised cost > $1,499,999)
$20,000,000	$32,000,000	Yes (increase > 50%, revised cost > $1,499,999)

Administrative modification means a minor revision that includes minor changes to project/ project phase costs, minor changes to funding sources of previously-included projects, and minor changes to project/ project phase initiation dates. An administrative modification is a revision that does not require public review and comment, re-demonstration of fiscal constraint, or a conformity determination (in nonattainment and maintenance areas). The following are considered administrative modifications:

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Change in project ID (CSJ)

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Change in estimated federal cost resulting in a total project cost of less than $1.5 million

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Change in TIP year for federally funded projects (that DO NOT cross AQ analysis years)

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Change from one state funding category to another state funding category

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Change in the project limits for a state-funded project (which may impact environmental documents)

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Change in TIP year for a state-funded project

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Change in project scope of work for a state-funded project

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Change in one federal funding category to another federal category unless that category needs Commission approval (Categories 2, 4 and 12) or a category that is specific to that project, e.g. CBI or CMAQ funding.

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Addition of a project to a Statewide Program, e.g. TPWD projects

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Addition of a Grouped Project

The following steps are required for a STIP revision:

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Rural/MPO TIPs must be amended first, and, an MPO TIP must be approved by the Policy Board.

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Rural/MPO TIP public involvement must be completed before submitting for a STIP revision.

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Amended projects in TIPs are updated within the eSTIP portal per schedule with all backup documentation uploaded.

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TPP reviews locked projects within eSTIP portal. Once reviewed, TPP assigns the project in pending review status for the revision within portal. This highlights the project in yellow as a flag to FHWA/FTA that their review can begin.

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Amended STIP is posted on TxDOT's website; public hearing notice is posted in Texas Register which begins the 30-day review and comment period. TPP holds public hearing approximately 15 days after posting.

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Once FHWA/FTA review has been complete and finalized, all projects will appear in the eSTIP in green indicating review is complete

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The next STIP revision cannot be created within the eSTIP portal until the prior revision has been reviewed by FHWA/FTA and completed.

To receive a federal action all STIP projects must be consistent with the individual TIP, MTP and environmental documents.

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Grouped Projects

Projects that are not considered by the department, FHWA and an MPO to be of appropriate scale for individual identification in a given program year (e.g., minor rehabilitation, preventive maintenance, safety, nonurbanized transit projects) may be grouped by function, geographic area, or work type. Grouping allows for more efficient programming, and reduces the need for revisions to the rural TIPs, MPO TIPs and STIP. In nonattainment and maintenance areas, classification must be consistent with the exempt project classifications contained in the Environmental Protection Agency (EPA) conformity regulations.

Some types of projects may be excluded from an MPO TIP and the STIP by agreement with FHWA in accordance with requirements established in 43 TAC §16.101(d). Those projects include:

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Safety projects funded under 23 USC §402 (highway safety programs) and emergency relief projects, except those involving substantial functional, location, and capacity changes;

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Planning and research activities, except those activities funded with National Highway System or Surface Transportation Program funds other than those used for major investment studies; and

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Projects under 23 USC §104(b)(1), (b)(4), and §144 that are for resurfacing, restoration, rehabilitation, reconstruction, or highway safety improvement, and which will not alter the functional traffic capacity or capability of the facility being improved.

Project grouping is encouraged (e.g., Grouped CSJ for PE or Grouped CSJ for ROW). However, all phases of added capacity projects in non-attainment areas are to be listed individually in the STIP. Grouping a project is done by type of work, not its funding type. Funding for grouped projects is based on a statewide account or need of those types of projects that are eligible, (e.g., Safety and preventive maintenance).

In April 2018, FHWA agreed to revise the group project definition for the Transit Improvement and Programs category to include the replacement and acquisition of transit vehicles representing a small expansion of the fleet. The list of grouped project CSJs can be found in the Introduction section of the current STIP at http://ftp.dot.state.tx.us/pub/txdot-info/tpp/stip/2019-2022/introduction.pdf.

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Additional STIP Contents

The STIP contains a self-certification form, financial constraint information, an overview of the planning and programming process and NEPA and a discussion of the public involvement.

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STIP Public Involvement

As part of the statewide planning process, TPP develops a Public Involvement Plan (PIP). The PIP demonstrates how the Texas Department of Transportation (TxDOT) has a documented public involvement process that provides opportunities for public review and comment at key decision points during the statewide transportation planning process as required by federal and state regulations. It is updated every 5 years and is designed to initiate a hands-on public involvement process that provides early and timely information about transportation issues that affect all Texas citizens.

TxDOT holds one public hearing to solicit input on the Draft STIP prior to Texas Transportation Commission approval of the STIP. Notices, sign-in sheets, comments, Title VI information and responses (if applicable) related to the STIP are included in the STIP document. MPOs are responsible for conducting public involvement activities at the local level prior to adoption of their TIPs based on their established public involvement process. A TxDOT District is responsible for conducting public involvement at the local level according to the process in the TAC prior to submitting rural TIPs for inclusion in the STIP according to their documented Rural Consultative Process. These processes are also included within the STIP document.

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STIP Approval

Federal regulations require the Governor or his designee to approve the STIP. In November 2015, the Governor delegated his signature authority on necessary transportation planning and programming related documents to the TxDOT Executive Director. The initial Draft STIP is adopted by the Texas Transportation Commission and certified by the Executive Director in August and sent to FHWA/FTA for approval. This process happens biennially in odd-numbered years (the four years covered by the STIP would begin with an odd numbered year). The FHWA/FTA approval letter is sent to TPP and the TxDOT Finance Division (FIN). In addition, TPP sends the letter to all MPOs and districts and post it online. The approval letter is also uploaded into eSTIP portal and the approval date for the projects uploaded into TxDOT CONNECT.

While the initial STIP requires the Commission’s approval and adoption, revisions only require approval by the Executive Director prior to sending forward to FHWA / FTA for federal approval.

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