NY.gov Portal State Agency Listing Search all of NY.gov
D E C banner
D E C banner

Disclaimer

The New York State Department of Environmental Conservation has added a link to a translation service developed by Microsoft Inc., entitled Bing Translator, as a convenience to visitors to the DEC website who speak languages other than English.

Additional information can be found at DEC's Language Assistance Page.

ARRA/CWA Section 604(b) Information for Sub-Recipients

This page contains links to instructions, forms, and useful web sites for organizations who received American Recovery and Reinvestment Act (ARRA) 604(b) funds from NYSDEC. If you are interested in an overview of the eleven ARRA 604(b) projects funded by DEC and quarterly updates about project activities, visit the ARRA/CWA Section 604(b) Funding Awards page.

Information for Sub-recipients

Sub-recipients are non-federal entities that expend federal awards received from another entity. For ARRA 604(b) funding, sub-recipients are the eight regional and interstate organizations that received funding from DEC.

Sub-recipients should use the instructions and forms provided on this page to prepare and submit quarterly and final reports, and reimbursement requests. Documents are grouped according to their purpose under the appropriate heading below. Use the following links to find the information you need:

Quarterly Reports

Sub-recipients are required to report quarterly beginning with the quarter in which the award was made, regardless of whether any money has yet been spent (see the ARRA Reporting Schedule table below). Sub-recipients should use the following forms and templates when preparing quarterly reports.

Instructions and Examples

Sub-recipients should have read the Reporting Instructions soon after receiving their award letter and should stay up-to-date with any changes to reporting requirements.

Reporting Instructions (PDF) (85 kB) - Contains detailed instructions for filling out and submitting quarterly reports.

Quarterly Report & Reimbursement Request Quick Reference Guide (PDF) (90 kB) - Condensed version of quarterly reporting and reimbursement request instructions. This document is designed to be printed and serve as a guide when filling out quarterly reports and reimbursement requests.

Quarterly Report Example (PDF) (1,015 kB) - Includes suggestions for filling out the quarterly report forms in a manner that satisfies ARRA reporting requirements. This document is intended to be used in conjunction with the Project Work Plan and Reimbursement Request examples.

Instructions for Reporting Job Information (PDF) (222 kB) - Procedures for sub-recipients to follow when reporting Full Time Equivalent (FTE) job estimates on quarterly reports. Also included: step-by-step instructions for using the ARRA FTE Calculator and example information for "Description of Jobs Created" cell on the ARRA Federal Quarterly Reporting spreadsheet.

Quarterly Reporting Q & A (PDF) (344 kB) - Memo and supporting documents addressing common questions from sub-recipients. Includes a section clarifying the reporting of jobs data, or FTEs.

M/WBE Goals & Reporting Responsibilities - Link to the DEC Affirmative Action Bureau webpage where information about Minority/Women's Business Enterprise (M/WBE) goals and forms can be found. The M/WBE quarterly report form is linked in the second to last paragraph in the middle of the page.

Templates and Forms

Each quarterly report should consist of the following completed pieces:

  • Cover Page
  • Project Progress, Contractor Information, and Highly Compensated Officers tables
  • ARRA Federal Quarterly Reporting spreadsheet
  • FTE Calculator

Templates for each of these pieces can be found below.

Quarterly Report Cover Page Template (MS Word) (51 kB) - Cover page for ARRA 604(b) quarterly reports. This document should be included with all quarterly reports sent to DEC.

Quarterly Report Project Progress Template (MS Word) (52 kB) - Includes the Project Progress, Contractor (Sub-recipient) Information and Highly Compensated Officers tables required for quarterly reporting. All three tables should be included with each quarterly report, even if a table does not apply to your organization.

ARRA Federal Quarterly Reporting Spreadsheet (MS Excel) (1.0 mB) - The ARRA contains requirements for specific data to be reported to the federal government. Sub-recipients must provide data to DEC using this spreadsheet and must submit it electronically with the rest of the quarterly report elements. Instructions to help sub-recipients fill out the federal reporting spreadsheet are found in the Reporting Instructions document listed above. Sub-recipients need only fill out two sections of the template:

  • On the Prime Recipient tab, lines 29-48.
  • On the Vendor tab, lines 8-X, where X is the number of vendors used by the sub-recipient. Only information about vendors should be entered in this section. Information about sub-recipients of sub-recipients should be entered on the Contractor (Sub-recipient) Information table included in the Quarterly Report Project Progress Template listed above.

ARRA FTE Calculator (MS Excel) (162 kB) - DEC staff have created an FTE calculator for sub-recipients to use when generating job data for quarterly reports.

Where and How to Submit Quarterly Reports

Quarterly reports should be submitted electronically to DEC via the wqipuser@gw.dec.state.ny.us email address by close of business on the first day following the end of the quarter. To assure proper delivery of all documents, use the correct email subject line as shown in the example below (click link to open email). Please include your state contract number in the subject line as well.

Submit ARRA CWA 604(b) Quarterly Report [state contract number]

Reimbursement Requests

Reimbursement requests are required for quarters when total life-to-date project expenditures reach or exceed 25%, 50%, 75%, and 100% of the total award amount. Sub-recipients may submit reimbursement requests more frequently if desired.

Instructions and Examples

Quarterly Report & Reimbursement Request Quick Reference Guide (PDF) (90 kB) - Condensed version of quarterly reporting and reimbursement request instructions. This document is designed to be printed and serve as a guide when filling out quarterly reports and reimbursement requests.

Expenditure & Reimbursement Form Instructions (PDF) (618 kB) - Step-by-step instructions for using the Excel-based Expenditure & Reimbursement form (E&R form). Also includes a description of key differences users might notice if opening the E&R form with Excel 2003 or older.

Reimbursement Request Example (PDF) (50 kB) - Demonstrates how and where sub-recipients should connect payment requests to progress reported in the quarterly report. This document is intended to be used in conjunction with the Project Work Plan and Quarterly Report examples.

Reimbursement Request Requirements (PDF) (70 kB) - Instructions for preparing and submitting reimbursement requests and using the Expenditure and Reimbursement Report form.

Templates and Forms

All reimbursement requests should include the following documents: Expenditure and Reimbursement Report Form, Self-Certification Form and State Aid Voucher. Templates for these three documents are below.

Expenditure & Reimbursement Form (MS Excel) (4.2 mB) - Used for reporting project expenses and requesting reimbursement. This form must be included with each reimbursement claim package sent to DEC beginning with the third quarter of 2010.

Self-Certification Form (PDF) (12 kB) - Use this form to certify that the costs shown in your reimbursement requests are reasonable, eligible and allowable under the contract. The form must be signed by the authorized representative of the organization and be included in each reimbursement request package.

State Aid Voucher and Instructions (PDF) (122 kB) - The voucher is the request for payment. Print out and submit a hard copy with original signatures as described in the "Where and How to Submit Reports and Reimbursement Requests" section below.

Where and How to Submit Reimbursement Requests

Hard copies of all reimbursement requests (including original signatures) should be mailed to DEC using the address below. A copy of each reimbursement request should be sent to the DEC project manager(s) assigned to your project (this copy may be submitted via email).

Hard copy mailing address for reimbursement requests:

Pieter Bridge
NYS DEC, Division of Water
Bureau of Program Resources
625 Broadway, 4th Floor
Albany, NY 12233-3507

Requests for reimbursement will not be processed if a quarterly report has not been submitted. Indicate on the cover page of the quarterly report that a reimbursement request will follow by mail.

Final Report

When the project is complete, a final report summarizing the entire project must be submitted. The final report is required in addition to the quarterly report for the final quarter of the project.

Final Report Template (PDF) (1.54 mB) - When the project is complete, use the instructions and form in this document to prepare the final report. The final report does not replace the quarterly report for the last quarter of the project.

Where and How to Submit Final Reports

Final reports should be submitted electronically to DEC via the wqipuser@gw.dec.state.ny.us email address. To assure proper delivery of all documents, use the correct email subject line as shown in the example below. Please include your state contract number in the subject line as well.

Submit ARRA CWA 604(b) Final Report [state contract number]

ARRA Reporting Schedule

Schedule of Dates for Submitting ARRA Quarterly Reports and Reimbursement Requests to NYSDEC
Quarter End Date Quarterly Report Due
to NYS DEC
Reimbursement Requests Due
to NYS DEC
09/30/2009 10/01/2009 10/21/2009
12/31/2009 01/04/2010 01/21/2010
03/31/2010 04/01/2010 04/21/2010
06/30/2010 07/01/2010 07/21/2010
09/30/2010 10/01/2010 10/21/2010
12/31/2010 01/03/2011 01/21/2011
03/31/2011 04/01/2011 04/21/2011
06/30/2011 07/01/2011 07/21/2011
09/30/2011 10/03/2011 10/21/2011
12/31/2011 01/03/2012 01/21/2012
03/31/2012 04/02/2012 04/21/2012

Work Plans and Contracts

Resources and Templates for Developing Work Plans

Attachment B Resolution Form (MS Word) (30 kB) - The sub-recipient's governing body must pass a resolution stating its willingness to execute and comply with the terms of the contract and naming an authorized representative to act on its behalf.

Work Planning Instructions (PDF) (60 kB) - Instructions for creating a work plan for your project.

Work Plan Template (MS Word) (174 kB) - Use this form to prepare the work plan.

Project Work Plan Example (PDF) (478 kB) - Shows the relationship between the work plan tasks and the quarterly report. This document is intended to be used in conjunction with the Quarterly Report and Reimbursement Request examples.

DUNS - Sub-recipients must have an identification number issued by Dun and Bradstreet. If your organization does not have a DUNS number, you may apply for one. Visit the D&B DUNS website (see links leaving DEC's website in the right hand column) to apply.

TMDL Statement of Work (PDF) (58 kB) - Work Plans for TMDL Elements projects should be developed using the tasks, deliverables and schedules laid out in this document as a basis and augmenting as appropriate for their individual project.

Contract Development Resources and Information

Sample ARRA Contract (PDF) (245 kB) - Example of an ARRA contract, signature page, Rider A, Rider B, Attachment I, Attachment II, Appendix A and Appendix B.

Minority and Women-Owned Business Enterprises (M/WBE)/Equal Opportunity Program (PDF) (46 kB) - Provides instructions and a template for documenting compliance with the M/WBE program.

DEC Contact Information

ARRA/CWA 604(b) Program Questions

Susan Van Patten, 518-402-8267
sevanpat@gw.dec.state.ny.us

ARRA/CWA 604(b) Fiscal Questions

Pieter Bridge, 518-402-8267
pmbridge@gw.dec.state.ny.us