WQIP Contract Process, Documents And Forms

Recipients of WQIP grant funding are required to enter into a contract with DEC. Grant recipients receive written notification of their award, which begins the process of entering into a contract. Grants awarded in Round 12 or later use the Statewide Master Contract for Grants (MCG), which is administered via the New York State Grants Gateway. All grant recipients should visit the NYS Grants Management Applicant Resources webpage and become familiar with Grants Gateway.

The following steps are necessary to complete the contract process in Grants Gateway:

  1. DEC develops the contract shell.
  2. The grant recipient enters workplan and budget information and uploads supporting documents.
  3. DEC reviews the workplan, budget, and supporting documents.
  4. The grant recipient electronically signs the contract.
  5. DEC (and if applicable, the Office of the Attorney General and Office of the State Comptroller) electronically signs the contract.

Contract Timelines

It usually takes about three months to execute a contract after a grant is awarded.

Project Work Plan/Budgets

The work plan and budget worksheets below should first be drafted offline (not in Grants Gateway) in coordination with DEC staff. For Rounds 12 and later, applicants should then use the completed forms to help enter the project work plan and budget information into Grants Gateway. Grant recipients will receive an email when their contract is available in Grants Gateway.

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.

Contract and Required Supporting Documents

Example of the WQIP master contract with program terms and conditions: Round 17 WQIP Contract (PDF)

For Rounds 12 and later, grant recipients will upload the following information into the Grantee Document folder in Grants Gateway.

  • 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 Utilization Plan must be completed and uploaded to the Grantee Document folder prior to contract execution.
  • Pollutant Load Reduction Estimate Report (PDF) - This report is not required for any projects in WQIP Round 15, 16 or 17; however, it is required for all non-point source projects prior to Round 15. It assesses the effectiveness of the project and the best management practice used.
  • Attachment F - Municipal Separate Storm Sewer System (MS4) Lead Applicant Self Certification Form (PDF) - All funded MS4 projects must submit this form certifying that an Inter-municipal Agreement or a signed commitment exists between the Lead Applicant and each participating MS4.
  • Vendor Responsibility Questionnaires- DEC requires a Vendor Responsibility Questionnaire 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 (leaves DEC's website).
  • 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:
Table of the Worker's Compensation Forms
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:
Table of Disability Benefit Forms
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:

  1. 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.
  2. 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.
  3. 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.

Reporting Requirements

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.

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

Documentation Requirements and Expenditure and Reimbursement Report Forms

Use the links below for the documentation and the Expenditure and Reimbursement Report Forms needed in order to submit a request for payment. Please use the forms for the type of project (NPS, WWT, AHR, MS4, SWP, Salt or WQM) and percentage that your project was awarded funding. These documents can be scanned and emailed or printed and mailed.

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.

  • State Aid Voucher and Instructions (PDF) - The voucher 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.

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Division of Water
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Albany, NY 12233

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