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CWA Section 604(b) Information for Awardees

This page provides successful applicants with important forms and instructions. If you are interested in an overview of the fourteen 604(b) projects funded by NYSDEC, visit the Clean Water Act (CWA) 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 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

Resources and Templates for Quarterly Reporting

Awardees are required to report quarterly beginning with the quarter in which the award was made, regardless of whether any money has yet been spent. Awardees should use the following template when preparing quarterly reports.

Quarterly Report Template (MS Word) (79 KB) - Use this form to prepare the quarterly reports.

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 Quarterly Reports

Quarterly reports should be submitted electronically to each of the following:

  • DEC via the user.water@dec.ny.gov email address.
  • The regional DEC Project Manager assigned to the project.
  • The New York Association of Regional Councils (NYSARC) Statewide Program Coordinator.

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) Quarterly Report [state contract number] [year and quarter number]

Reimbursement Requests

Instructions and Forms for Requesting Reimbursement

All reimbursement requests should include the following documents: Expenditure and Reimbursement Report Form, Self-Certification Form and State Aid Voucher.

Expenditure & Reimbursement Form Instructions (PDF) (540 KB) - Step-by-step instructions for using the Excel-based Expenditure and 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.

Expenditure and Reimbursement Form (MS Excel) (4.2 MB) - Excel-based spreadsheet used for reporting project expenses and requesting reimbursement.

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:

Toni Shields
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 whether a reimbursement request will follow by mail.

Final Reports

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.

Where and How to Submit the Final Report

Final reports should be submitted electronically to DEC via the user.water@dec.ny.gov email address. 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 CWA 604(b) Final Report [state contract number]

Work Plans and Contracts

Resources and Templates for Developing Work Plans

Regional or Interstate Organization Resolution Form (PDF) (10 KB) - The awardee'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) (174 KB) - Instructions for creating a work plan for your project.

Four-Year Work Plan Template (MS Word) (51 KB) - Use this form to prepare the four-year work plan.

Annual Work Plan Template (MS Word) (50 KB) - Use this form to prepare the annual work plan.

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

2010 604(b) Request for Applications (PDF) (866 KB) - The RFA has details on the priorities, application process, project scoring and contractual requirements for this round of funding.

  • DEC anticipates that approximately $900,000 will be available annually from 2011-2014.
  • Grant recipients will receive similar funding amounts each year. The actual amount provided to recipients each year is subject to change based on the amount DEC receives from EPA.
  • DEC prefers project periods 3-4 years.
  • Projects may begin as early as April 1, 2011.
  • Projects must be completed and all funds expended by March 31, 2015.

Contract Development Resources and Information

Contract Development and Execution Timeline, May 2011 - This page provides a chart that should be used as a guide to assist with the contracting process.

Sample 604(b) Contract (PDF) (60 KB) - Example of a 604(b) contract and summary 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.

Total Maximum Daily Loads (TMDLs)

Resources for Developing Total Maximum Daily Loads

The links below have information helpful to 604(b) awardees whose project(s) include TMDL development.

DEC Contact Information

CWA 604(b) Program

Susan Van Patten, 518-402-8267

More about CWA Section 604(b) Information for Awardees: