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CWA Section 604(b) Information for Awardees

This page provides successful applicants with important forms and instructions. For an overview of the ten current 604(b) projects funded by DEC, visit the Clean Water Act, Section 604(b) Funding Awards page.

Information for Awardees

604(b) grant awardees should use the instructions and forms provided on this page to prepare and submit quarterly narrative/qualitative 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:

Narrative/Qualitative Reports

Resources and Templates for Reporting

Awardees are required to submit narrative/qualitative reports describing progress made towards program objectives during the quarter. These reports must be submitted each quarter of the contract term beginning with the quarter in which the award was made, regardless of whether any money has been spent. Awardees should use the following template when preparing narrative/qualitative reports.

Baseline Planning Program Narrative/Qualitative Report Template (MS Word) (76 KB) - Use this form to prepare the quarterly narrative/qualitative reports for the Baseline Planning Program.

Statewide Coordination Planning Program Narrative/Qualitative Report Template (MS Word) (59 KB) - Use this form to prepare the quarterly narrative/qualitative reports for the Statewide Coordination Planning Program.

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

Where and How to Submit Narrative/Qualitative Reports

Narrative/Qualitative Reports are due 30 days after the end of each quarter. They should be submitted electronically to each of the following:

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, the year, and the quarter number in the subject line as well.

Submit CWA 604(b) Narrative/Qualitative Report.

Reimbursement Requests

Instructions and Forms for Requesting Reimbursement

All reimbursement requests should include all of the following documents:

  • Expenditure Report
  • Self-Certification Form
  • State Aid Voucher

Expenditure Report (MS Excel) (475 KB) - This form is used for reporting program expenditures detailed by object of expense.

Self-Certification Form (PDF) (12 KB) - This form is used 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) - This 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. Reimbursement requests should be submitted on a quarterly basis, not later than 30 days after the end date for which reimbursement is being claimed. A copy of each reimbursement request should also be sent to the program's corresponding DEC Regional Water Engineer or their designated program manager (this copy may be submitted via email).

Hard copy mailing address for reimbursement requests:

Toni Shields
NYS DEC, Division of Water
Bureau of Water Compliance
625 Broadway, 4th Floor
Albany, NY 12233-3506

Requests for reimbursement will not be processed if a narrative/qualitative report has not been submitted for the same reporting period. Indicate on the cover page of the narrative/qualitative report whether a reimbursement request will follow by mail.

Work Plans

The work plans completed in the NYS Grants Gateway during the application process will be used for the entire term of the contract. For each annual period of the contract, grant recipients are expected to work with their regional Division of Water regional water engineer or their designated program manager to revise their annual work plans and budgets based on available funding and regional water quality planning objectives. Work plans and budgets will be revised and submitted for DEC review and approval in the Grants Gateway Grant Opportunity Portal (a direct link is in the "Links Leaving DEC's website")

Contracts

Sample 604(b) Contract (PDF) (945 KB) - The 604(b) grant program uses the State of New York Master Contract for Grants, which includes the following:

  • Master Contract for Grants Face Page (contractor and project specific information)
  • Standard Terms and Conditions (NYS standard terms and conditions)
  • Attachment A-1 Program Specific Terms and Conditions (agency and program specific terms and conditions)
  • Attachment A-2 Federally Funded Grants (federal terms and conditions)
  • Attachment B-1 Expenditure Based Budget (project expense categories and detail)
  • Attachment C Work Plan (project objectives, tasks and performance measures)
  • Attachment D Payment and Reporting Schedule (claims for reimbursement and grant reporting provisions)

604(b) awardees may view their contracts on the NYS Grants Gateway Grant Opportunity Portal (a direct link is in the "Links Leaving DEC's Website" section of the right-hand column of this page).

Minority and Women-Owned Business Enterprises (M/WBE)/Equal Opportunity Program - This page provides instructions and forms for reporting compliance with the M/WBE program.

2014 Request for Applications

2014 Request for Applications: Clean Water Act, Section 604(b) (PDF) (243 KB) -- The RFA has details on the program objectives, application process, scoring criteria, and contractual requirements for this round of funding.

Funding has been awarded for the following two 604(b) programs:

For a list of applicants that were awarded funding, refer to the 604(b) Funding Awards table on the Water Quality Management Planning Programs web page.

Baseline Planning Program

  • DEC anticipates that approximately $600,000 will be available annually from 2015-2018.
  • Actual amounts available for grants each year will depend on Congressional appropriations.
  • The minimum amount of local match funds required for this program is 10% of the total approved program cost.
  • DEC prefers program periods of 3 to 4 years.
  • DEC anticipates that approximately 10 applications will be funded for this program.
  • Programs may begin as early as April 1, 2015.
  • Programs must be complete, and all funds expended, by March 31, 2019.

Statewide Planning Coordination Program

  • Up to $25,000 will be available annually from 2015-2018.
  • DEC prefers program periods of 4 years.
  • Only one application will be funded for this program.
  • Programs may begin as early as April 1, 2015.
  • Programs must be complete, and all funds expended, by March 31, 2019.

DEC Contact Information

CWA, Section 604(b) Program

Susan Van Patten, 518-402-8179