Contracts Overview
Recipients of WQIP grant funding are required to enter into a contract with DEC. Grantees receive written notification of their award, which begins the process of entering into a contract. Grants awarded use the New York State Master Contract for Grants, which is administered via the Statewide Financial System (SFS).
SFS Access Guidance for Grantees
Access by Grantee staff to the Statewide Financial System of New York (SFS) Vendor Portal is required. At least one member of your team must have the following two roles in SFS to update the workplan and budget and update insurance information in SFS:
- Grants Contract Collaborator and Grants Contract Approver
For assistance, the following two SFS videos provide helpful information on setting up roles in SFS:
- Creating a New Vendor User and Adding Roles - NYS Information Technology Service WebEx Enterprise Site
- Adding Roles to an Existing Vendor User - NYS Information Technology Service WebEx Enterprise Site
All grant recipients should visit the NYS Grants Management Applicant Resources webpage and become familiar with the SFS Handbook (PDF).
Contract Execution Timeline and Process
It usually takes about three-six months to execute a contract after a grant is awarded.
The following steps are necessary to complete the contract process in SFS:
- DEC develops the contract shell.
- Grantees will receive an email from DEC when their contract is available in SFS.
- The Grantee enters workplan and budget information and uploads supporting documents.
- DEC reviews the workplan, budget, and supporting documents.
- The Grantee electronically signs the contract.
- DEC (and if applicable, the Office of the Attorney General and Office of the State Comptroller) electronically signs the contract.
Project Work Plan/Budgets
The work plan and budget worksheets below should first be drafted offline (not in SFS) in coordination with DEC staff. Grantees should then use the completed forms to help enter the project work plan and budget information into SFS. Grantees that have been awarded WQIP funding from a federal source cannot use a federal source as match. The Grantee will be notified by DEC if their project was awarded from a federal source.
- Attachment B-1 - Expenditure Based Budget (PDF) Note: SFS does not perform calculations, so be sure to check your math!
- Attachment C - Work Plan (PDF)
Workplans and budgets should only include eligible activities and costs that are listed in the program overview for the round of funding the project was awarded under.
- WQIP Round 21 Program Overview (PDF)
- WQIP Round 20 Program Overview (PDF)
- WQIP Round 19 Program Overview (PDF)
- WQIP Round 18 Program Overview (PDF)
- WQIP Round 17 Program Overview (PDF)
- WQIP Round 16 Program Overview (PDF)
- WQIP Round 15 Program Overview (PDF)
- WQIP Round 14 Program Overview (PDF)
- WQIP Round 13 Program Overview (PDF)
- WQIP Round 12 Program Overview (PDF)
Contract and Required Supporting Documents
Example of the WQIP master contract with program terms and conditions: Example WQIP Contract (PDF)
Grantees must upload the following information into the SFS.
- Minority and Women-Owned Business Enterprises/ Equal Employment Opportunity Program Requirements - This page provides instructions and forms for reporting compliance with the M/WBE program. An M/WBE-EEO Staffing Plan (PDF) and Policy Statement (PDF) must be completed and uploaded to the Grantee Document folder prior to contract execution.
- Vendor Responsibility Questionnaires- DEC requires a Vendor Responsibility Questionnaire (PDF) for both construction and non-construction sub-contracting entities and for all not-for-profit grant recipients. The sub-contractor must submit the appropriate questionnaire, either construction or non-construction, to the grant recipient for each sub-contract that equals or exceeds $100,000. Sub-contractors/vendors and all not-for-profit grant recipients should be registered in the New York State VendRep System. The grant recipient then must upload each original signed and notarized questionnaire. We prefer vendors file the required Vendor Responsibility Questionnaire online via the New York State VendRep System. If the sub-contractor completes the questionnaire online, the grant recipient shall provide a copy of the system certification to DEC. Additional information is available on the NYS Office of the State Comptroller's VendRep webpage.
- Workers Compensation Benefits - Worker's Compensation coverage must be provided for work to be performed in New York State. Grant recipients must provide and maintain full New York State coverage during the life of this contract for the benefit of such employees as are required to be covered by the New York State Worker's Compensation Law. Evidence of Worker's Compensation and Employers Liability coverage must be provided on one of the following forms specified by the Chairman of the New York State Worker's Compensation Board:
| Form # | Form Title |
|---|---|
| C-105.2 | Certificate of Worker's Compensation Insurance |
| U-26.3 | State Insurance Fund Version of the C-105.2 form |
| SI-12/GSI-105.2 | Certificate of Worker's Compensation Self-Insurance |
| CE-200 | Certificate of Attestation of Exemption (no employees) |
- Disability Benefits - Disability Benefits coverage must be provided for work to be performed in New York State. Grant recipients must provide and maintain full New York State coverage during the life of this contract for the benefit of such employees as are required to be covered by the New York State Disability Benefits Law. Any waiver of this requirement must be approved by DEC and will only be granted in unique or unusual circumstances. Evidence of Disability Benefits coverage must be provided on one of the following forms specified by the Chairman of the New York State Worker's Compensation Board:
| Form # | Form Title |
|---|---|
| DB-120.1 | Certificate of Disability Benefit Insurance |
| DB-155 | Certificate of Disability Benefit Self-Insurance |
| CE-200 | Certificate of Attestation of Exemption (no employees) |
- Other Insurances - Other insurance may be required based on DEC's review of the project workplan and budget.
State Environmental Quality Review
DEC's SEQR webpage has information to assist with SEQR requirements. SEQR will either be one of the following:
- Type II action: If the grant recipient determines the project is classified as a Type II action, they should submit a letter to the Regional Permit Administrator stating this determination.
- Negative Declaration: If the grant recipient determines the project will not have a significant adverse impact on the environment, they should submit a negative declaration determination document to the Regional Permit Administrator.
- If the grant recipient prepared an environmental impact statement for the project; they need to submit a copy of the SEQR findings statement to the Regional Permit Administrator.
Quarterly Report/Final Reports
Grant recipients must submit Quarterly Reports every quarter. Quarterly reports are required every quarter even if no progress has been made or no payment request is being submitted to the Department. No payments will be made unless a Quarterly report and any other requested information is submitted.
Note: If you are submitting a request for payment with this quarterly report, you must also submit a Expenditure and Reimbursement form, a State Aid Voucher and a Self-Certification form.
Grant recipients are also required to submit a Final Report upon completion of the WQIP project. The final payment will not be made unless a Final Report is submitted for the project.
Specific funding sources (i.e. 2022 Environmental Bond Act) may require additional reporting. Grantees will be notified of any extra reporting requirements.
Reporting Templates
Quarterly Report (MS Word) - Use this template to prepare your quarterly reports
Quarterly Report for Land Acquisition Projects (MS Word) - Use this template to prepare your quarterly reports for Land Acquisition Projects
Final Report (MS Word) - Use this template to prepare your final report
Payment Documents Needed For All Projects
These documents have been made into fillable and savable PDF format. Both documents must be submitted with all payment requests. These documents can be scanned and emailed or printed and mailed. Use the links below for the documentation and report forms needed to submit a request for payment.
- Expenditure and Reimbursement Report Form (PDF)
- Claim for Payment (PDF) and Claim for Payment Instructions (PDF) - The claim for payment is the request for payment and can be scanned and emailed or printed and mailed for each payment request.
- Self-Certification Form (PDF) - This form will certify that the State Aid Voucher submitted is eligible for reimbursement and can be scanned and emailed or printed and mailed. for each payment request.
