1. Anna Bergmark Region 7 Local Program Local Program ARRA Training: ARRA Reporting Requirements

2. Questions to be answered:  What reports are required?  What is the purpose of each report?  Who is responsible for which reports?  When are they due and how to fill them out?

3. What reports are required?  Form 1589 (FHWA)  Monthly Form (NYSDOT)  AAP 21LL (NYSDOT)

4. What is the purpose of each report? Form 1589 (FHWA) Tracks direct, on-project jobs FHWA uses them to calculate jobs being created by stimulus money being spent and reports to Washington, D.C.

5. What is the purpose of each report? Monthly Form (NYSDOT) Tracks actual spending (not reimbursements) Shows progress of the project Provides data on DBE participation (Federal Aid Requirement)

6. What is the purpose of each report? AAP 21LLs (NYSDOT) Tracks payments to the subconsultant/subcontractors

7. Who is responsible for each report? 1589’s Sponsor (only if they will be requesting reimbursement for work done by their own forces) Consultants Contractors Monthly Forms Sponsor AAP 21LL Sponsor

8. When are the reports due? All reports should be submitted to your Regional Local Program Liaison (RLPL) by the 10 th of the month for the previous month. Example: Reports pertaining to February are due by March 10 th Submitting prior to the 10 th is strongly encouraged! Forms are submitted even if they are showing zeros.

9. How to fill in a 1589 Form: 1.Report Month: (mm/yyyy) 2.Contracting Agency: The Sponsor 3.Federal- Aid Project Number: The program code + the first 7 digits of the PIN 4.State Project Number or ID Number: The 9 digit pin. 5.Project Location 6.Contractor Name and Address: this should be who ever is the prime listed on the 1589.

10. How to fill in a 1589 Form cont.: 7. Contract/Subcontractor DUNSs Number: DUNS number for the prime listed on the 1589 8. Employment Data: The prime and any subcontractor/subconsultants that have an agreement with the prime are listed in this section DBE firms should have a note stating “DBE Firm” following their name 9. Prepared By CEO or Payroll Official

11. Important Notes Concerning 1589 Forms: The hours listed in the 1589 will be checked when reimbursements are submitted. You can’t show 0 hours for a month and expect reimbursement for work done during that month. The sponsor, consultant, and contractor each submit their own 1589 with their subs listed.

12. How to fill in a Monthly Form: Construction Dollars Paid to Date: Sponsor paid to contractor (not reimbursements) DBE Actual Payments - Contractor paid to DBE subs RA O-O-C Funding - OOC amount approved by NYSDOT that the Sponsor will pay the Contractor with RA funds. Construction Dollars Percent Complete - Dollars paid to date (including accepted materials paid for) divided by total Contract Value x 100%

13. How to fill in a Monthly Form: Project Time Percent Complete - (Actual Start Date to Current date) divided by (Actual Start date to anticipated finished date) x100% Consultant Contract Information –Either the CI for construction or Design consultant in the case of projects that receive ARRA funds for design (e.g. TEP projects). Consultant Dollars Paid to Date - Sponsor paid to Consultant Consultant Contract DBE participation - Consultant Goal (%) DBE Actual Payments - Consultant to DBE sub- consultant.

14. How to fill in a AAP 21LL: Final Report: Check YES or NO, as appropriate Contract No: 9 digit PIN and the D contract number County: Enter the name of the county or counties this project is located in. Report Date: Enter date (Month/Day/Year) through which payments due and made are reflective of. Contractor and Vendor Data: Enter names, and addresses (including zip code), Telephone numbers (including area codes) and Federal Identification Numbers for both the Contractor and Vendor.

15. How to fill in a AAP 21LL continued: Total Payments Due to Date: Enter total of payments due to the vendor to date. Retainage or Other Withholding to Date: Enter amount due to the vender that has not been paid due to retainage or other withholding. Total Payment to Date: Value of payments to date (less retainage or other withholding). Comments: Amounts recorded as retainage or other withholding must be accompanied by a brief description of the circumstances necessitating the withholding along with item numbers involved (if any). Signatures: Authorized representative of both the Prime Contractor and Vendor sign and date. Notarization: On the Final Report, or when directed by the Department, Prime Contractor and Vendor signatures must be notarized.

16. For Future Questions Contact: Anna Bergmark 315-785-7900 or abergmark@dot.state.ny.us Any Questions?