At the start of each federal fiscal year, the new year's apportionment, carryover, and obligation limitation must be entered in FMIS Accounts. STIP Manager does not load these amounts from FHWA. Until they are entered, the new year shows no available funds in FMIS Status of Funds, and obligations cannot be requested against it.
Only users with a role that includes the Manage FMIS Accounts permission can add transactions. Users also need View FMIS Projects (or View Projects) for the FMIS Accounts filters to load.
Before You Start
Before you begin this process, ensure you:
- Have the FHWA notices for the new year at hand: the apportionment notices (N4510 series) and the obligation limitation notice (N4520 series).
- Ensure every program code has a Fund Source (see "Setting Up a New Program Code"). Amounts entered for an unmapped code show under "Uncategorized" in Status of Funds.
Which Transaction Type to Use
| What you are entering | Account Type | Transaction Type | Amount and Comment |
| Carryover from prior years | Program Code | Initial Carryover | The unobligated balance brought forward. Date it October 1. |
| Lapsing funds | Program Code | Adjustment | A negative amount. Comment: "Lapsing Funds". |
| Apportionment or allocation | Program Code | Original Amount | The notice amount. Comment: the notice number, e.g. "FHWA Notice # N4510.xxx". |
| Obligation limitation | Limitation | Original Amount | The limitation for that Limitation Account. Comment: the notice number, e.g. "N4520.xxx". |
| Later notices, including August redistribution | Program Code or Limitation | Adjustment | The change (positive or negative). Comment: the notice number and a short reason. |
| Transfers (e.g. to FTA) | Program Code | Transfer | A negative amount for money going out, positive for money coming in. |
Enter the Transactions
To enter the transactions, follow these steps:
- Click the "FMIS" tab on the Main Menu.
- Select FMIS Accounts.
- Click Add Transaction.
- Enter the Transaction Date.
- Select the new fiscal year in "Year".
- Select the Account Type: Program Code or Limitation.
- Select the Program Codes value (or the Limitation Account). For "Limited by Demo", also enter the Demo ID and the Program Code.
- Select the Transaction Type from the table above and enter the Transaction Amount.
- Enter the notice number in "Comment".
- Click Save.
- Repeat for each program code and limitation account.
NOTE: STIP uses the "Transaction Date" to decide which fiscal year a transaction counts toward. A transaction dated September 30 counts toward the old year even if "Year" is set to the new year. Keep the date and the Year in the same fiscal year.
Check the Results
To check the results, follow these steps:
- Open "FMIS Status of Funds" for the new year. Each program code should show its Apportioned/Allocated and Carryover amounts, and nothing should be under Uncategorized.
- Run the Limitation Account Balances report for the new year to confirm the limitation amounts.
State program codes and state limitation accounts use the State Fiscal Year. Select "State Fiscal Year" at the top of FMIS Accounts before adding those transactions.
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