Page 1 of 19 REQUEST FOR PROPOSAL (RFP) To Participate in a Proof of Concept for an IT Application Development Platform Introduction The New York City Housing Development Corporation (NYC HDC) is the nation’s largest municipal Housing Finance Agency and is charged with helping to finance the creation and preservation of affordable housing under Mayor Bill de Blasio’s Housing New York plan. Since 2003, HDC has financed more than 150,000 housing units. HDC ranks among the nation’s top issuers of mortgage revenue bonds for affordable multi- family housing on Thomson Reuter’s annual list of multi-family bond issuers. NYC HDC is seeking proposals for a no-cost Proof of Concept for the redesign and development of the Housing Developer Intake Form (currently known as the New Financing Application) along with the high- level design and development of the Development Pipeline Process. NYC HDC wants the vendor to design, develop, and launch a data entry application platform that incorporates best practices in design functionality and data modeling. NYC HDC welcomes both traditional and non-traditional solutions, including low code or no code development platforms. Business Application Overview The Affordable Housing Development Pipeline Process tracks affordable housing development projects from the initial intake of a developer/project information to the creation of the Pipeline Report. Data entered through the pipeline will eventually be the input to several downstream HDC systems including, but are not limited to, Loan Servicing and Asset Management. The current Affordable Housing Development Pipeline Process is a manual process that involves the New Financing Application, and a series of Excel spreadsheets. The existing process causes duplication in data entry, inconsistent data and only allows for rudimentary reporting and no forecasting/analysis capabilities. The process needs to be streamlined and, in parallel, a logical data model needs to be defined along with the data warehouse. NYC HDC wants to begin the redesign of the Affordable Housing Development Pipeline Process by creating the Housing Developer Intake Form as the first step.
Transcript
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REQUEST FOR PROPOSAL (RFP)
To Participate in a Proof of Concept for an IT Application Development Platform
Introduction The New York City Housing Development Corporation (NYC HDC) is the nation’s largest municipal Housing Finance Agency and is charged with helping to finance the creation and preservation of affordable housing under Mayor Bill de Blasio’s Housing New York plan. Since 2003, HDC has financed more than 150,000 housing units. HDC ranks among the nation’s top issuers of mortgage revenue bonds for affordable multi-family housing on Thomson Reuter’s annual list of multi-family bond issuers.
NYC HDC is seeking proposals for a no-cost Proof of Concept for the redesign and development of the Housing Developer Intake Form (currently known as the New Financing Application) along with the high-level design and development of the Development Pipeline Process. NYC HDC wants the vendor to design, develop, and launch a data entry application platform that incorporates best practices in design functionality and data modeling. NYC HDC welcomes both traditional and non-traditional solutions, including low code or no code development platforms.
Business Application Overview The Affordable Housing Development Pipeline Process tracks affordable housing development projects from the initial intake of a developer/project information to the creation of the Pipeline Report. Data entered through the pipeline will eventually be the input to several downstream HDC systems including, but are not limited to, Loan Servicing and Asset Management. The current Affordable Housing Development Pipeline Process is a manual process that involves the New Financing Application, and a series of Excel spreadsheets. The existing process causes duplication in data entry, inconsistent data and only allows for rudimentary reporting and no forecasting/analysis capabilities. The process needs to be streamlined and, in parallel, a logical data model needs to be defined along with the data warehouse. NYC HDC wants to begin the redesign of the Affordable Housing Development Pipeline Process by creating the Housing Developer Intake Form as the first step.
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Proof of Concept The no-cost Proof of Concept (POC) will include the creation of the Housing Developer Intake Form and the creation of the Pipeline Report.
HDC Website
Intake Form – Initial(Housing Developer Input)
Database
HDC InternalReview and Approval
Intake Form – Updates(HDC Project Manager Input)
1
2
3
4
HDC DevelopmentPipelineReport
5
Notification sent to HDC
Development Team
6
7
In the current business process workflow, these are represented by the following steps:
The objective is to utilize the POC to pilot and choose a solution that NYC HDC can then purchase and use to develop the rest of the business process workflow.
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We are looking for vendors willing to build the POC application free of charge for us to evaluate. NYC HDC will then decide whether to purchase the tools and/or professional services. We do not require the POC to be built as part of the proposal; rather the strategy, design, tools and thought process for building the POC. The vendor is welcome to do a quick prototype for the proposal, but it is not a requirement.
NYC HDC will select the vendor and tool/method that is best qualified, and we will then engage in the full POC with that single vendor. Once the POC is built, NYC HDC will decide whether to proceed further with the vendor or go back to the number 2 ranked vendor.
A successful POC will have, at a minimum, the following components:
• The Housing Developer Intake Form
• Integration: Exporting data from the form into a database/data warehouse structure as described above as well as exporting data from the database into an Excel template (format TBD)
• Reporting: Capabilities within the tool itself or integration with a reporting tool such as Power BI, OBIEE
• Workflows: Decision points in the POC with review and approval steps
• User permission/access level handling
• Strategy for how to design, develop and implement the rest of the business process workflow, beyond the Development Pipeline process
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Logical Data Model The high-level future state logical data model below shows the relationships between the major data entities that NYC HDC uses.
Logical Data Model
The best practice design of the data model is crucial to NYC HDC. Data and analytic capabilities are believed to be the single most impactful area where NYC HDC IT can provide value to their users. NYC HDC wants to bring life to data and reports through rich visualizations that closely mirror NYC HDC’s business mission. This includes user driven capabilities around dashboards and reports.
While the design of the future data model is not a requirement for the POC, NYC HDC wants the vendors to take it to consideration as part of the proposal particularly in terms of putting together the strategy for the design, development and implementation of the business process workflow.
Proposal Requirements NYC HDC is looking to review proposals from potential vendors that include the following requirements. Please include the following in your proposal response:
• Overview of your company • Overview of how you will meet our objectives • Explanation of your proposed platform • Outline of your data entry platform, reporting design and development strategy • High level design of the rest of the pipeline • Plan for integration with existing systems • Plan for how to establish the building blocks of the data warehouse • Details about your team • Recent design and development examples • References • Any key differentiators about you • Pricing with optional elements line-itemed • Terms and conditions
Project
Properties
Buildings
Projects/ContactsContacts
Units Tenants
Loans/Project Loans Escrow
Project/Bonds/Loans Bonds Investments
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RFP and Project Timeline NYC HDC anticipates the vendor proposal and selection process to proceed along the following approximate timeframes:
• July 2020: Issue RFP
• August 2020: Proposal Submissions
• September 2020: Vendor Presentations and Vendor Selection
• October – December 2020: POC Discovery and Build
• January – March 2021: POC Testing and Assessment
• April 2021: Decision to move forward or not
Submission Participating vendors will be required to submit one (1) electronic copy of their proposals, along with the Appendices and the attached Doing Business Data Form to [email protected].
Any questions must be submitted via email to [email protected] and are due by 3:00 PM on August 10, 2020.
Submissions are due by 3:00 PM on August 24, 2020. Proposals received after 3:00 PM on August 24, 2020 will be deemed late and will not be considered.
After a review of the proposals, HDC will select those vendors who will be invited to make a presentation to HDC staff. It is anticipated that vendor presentations will be conducted in September 2020 via online meetings. Presentations by the selected vendors will be limited to a maximum of 90 minutes. The final selection of a vendor will be made after analyzing the qualifications of the respondents and their presentations.
Any inquiries to this RFP can be submitted via email to both Sheila Iiams, IT PMO Director, at [email protected], and Melissa Barkan, Special Counsel, at [email protected].
REFERENCE DOCUMENTS Housing Developer Intake Form (New Financing Application)
Housing Developer Intake Form
PROJECT SUMMARY Project Name (TEXT field no max limit)
Developer Name(s)
Developer 1 Developer 2 Developer 3 Add more rows as needed. Need “Add More Rows” button for each additional entry row.
Guarantor Name(s) Guarantor 1 Guarantor 2 Guarantor 3 Add more rows as needed. Need “Add More Rows” button for each additional entry row.
HDC Program
Pick List Field ELLA Mixed Income: Mix & Match Mixed-Middle Income Mixed-Income (50/30/20) Neighborhood Pillars Loan Preservation Mitchell-Lama Reinvestment Repair Loan *Add to list
New Construction/Rehab
Pick List Field New Construction Moderate Rehab Substantial Rehab *Add to list
Total Units
# of Buildings
Building Gross Square Footage
Commercial Use and SF Y/N Checkbox Square Footage Y N
Community Facility Use and SF Y/N Checkbox Square Footage Y N
Parking [# of spaces, below or at grade, share for residential
or commercial] (TEXT field no max limit)
Tax Abatement / Exemption Amount Years Residential Commercial
Green Efficiencies
Pick List Field Enterprise Green Communities LEED Basic LEED Silver LEED Gold LEED Platinum Waiver Passive House N/A Other – when other is selected need to prompt user to add additional detail in a free text box as needed. New values need to be added to the picklist as preapprove values that do not appear on
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the picklist until approved.
Location Information Borough Pick List Field
Manhattan Brooklyn Bronx Queens Staten Island Various
Neighborhood
Address(s)/BBLs Please list all unique Address/Block/Lot combinations
Address Block Lot Add more rows as needed. Need “Add More Rows” button for each additional entry row.
RFP Site Y/N Checkbox If Yes, specify Y N
Status of Site Control Picklist Developer Acquisition Loan To Be Purchased City Owned
Flood Zone Pick List Field
DEVELOPMENT TEAM* (If certain team members have not yet been selected, please indicate which firms or individuals are currently under consideration.) Developer Contact (include contact info)
Name Email Phone Number Add more rows as needed. Need “Add More Rows” button for each additional entry row.
Development Consultant (include contact info)
Name Email Phone Number Add more rows as needed. Need “Add More Rows” button for each additional entry row.
Borrower’s Counsel Borrower’s Counsel 1 Borrower’s Counsel 2 Borrower’s Counsel 3 Add more rows as needed. Need “Add More Rows” button for each additional entry row.
LC Bank/Credit Enhancer
Tax Credit Investor
Syndicator
Architect
General Contractor
Property Manager
Social Service Provider
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Financial & Construction Information
First Mortgage Amount Type Amount Terms (mos.) Construction (Total Bonds/Senior Loans)
Source Amount HPD Third Mtg (City Capital) HPD Fourth Mtg (Our Space) HPD Fifth Mtg (ResoA) LIHTC Deferred Developer Fee Accrued Interest Picklist HPD Article 8A HPD Housing Infrastructure Funds HPD MIRP HPD Reso A HPD 661 Grant HPD HTF HPD HOME HPD Restructured HPD City Capital HPD-NSP HPD Our Space HPD SARA HPD Infrastructure Fund HPD Green Reserve Loan HPD SHLP HPD-HHAP HPD Neighborhood Pillars Solar Tax Credit Equity NYSERDA Brownfield Tax Credits NYS HHAC NYS-CIF Inclusionary Housing Proceeds 421a Fund Mortgage ACS City Capital City Council HCR Developer Equity Existing Reserves
Tax Credit Raise
Credit Enhancement for Construction
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Project Narrative & Additional Attachments
Document Attach File(s) Is there a list of expected file type? Would recommend for consistency.
Project Narrative • Site acquisition history, Project
design (including green features), construction method, description of commercial and community facility spaces and prospective tenants, special needs population, support services and rental subsidy/funding for services
• For preservation projects, also include building information: history of each building (year built, acquisition, year and scope of most recent rehab), existing financing, current heating and electrical systems, estimated number/percentage of over- income tenants, proposed construction scope and phasing, tenant relocation plan, tenant share of utility costs (pre and post construction).
Browse to attach?
Development Team Experience o Bios/Resumes of Key Personnel o List of prior HPD/HDC-financed projects
Browse to attach?
Site Map Browse to attach?
Architectural Renderings /Site Plan Browse to attach?
Preliminary Underwriting (S&U, Development Budget, Income Projection, M&O Budget, Cash Flow Projection)
.xls or .xl Required
Browse to attach?
Organizational Chart Browse to attach?
Letters of Interest or Funding Commitments from prospective financial partners, commercial/community facility tenants
Browse to attach?
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Project Summary & Financial – Internal Use Only This should be hidden or inactive prior to submission.
Project Manager Picklist – to be gathered from telephone list
Picklist Still need list
Attorney Picklist - to be gathered from telephone list
Picklist Still need list
Total New Volume Cap Bonds
Total Senior Recycled Cap
Permanent Mortgage Insurance
Pick List Field REMIC 20% SONYMA 50% Freddie Mac Enhanced Long Term LOC FHA Risk Share (50/50 FHA Risk Share (90/10 SONYMA 100% Fannie Mae Enhance N/A Other – when other is selected need to prompt user to add additional detail in a free text box as needed. New values need to be added to the picklist as preapprove values that do not appear on the picklist until approved.
Taxable Bonds
Corporate Reserves
HPD Grant Deal? Y/N
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Data Category Mapping Field Pick List Field Type Data Category Notes Project Summary Date of Submission Date Project Project Name Text Project
Developer Name(s) Text Contact Multiple entries possible
Developer 2 Text Contact Multiple entries possible
Developer 3 Text Contact Multiple entries possible
Guarantors Name(s) Text Contact Multiple entries possible
Guarantors 2 Text Contact Multiple entries possible
Guarantors 3 Text Contact Multiple entries possible
HDC Program
ELLA Mixed Income: Mix & Match Mixed Middle Income Mixed Income (50/30/20) Neighborhood Pillars Loan Preservation Mitchell Lama Reinvestment Repair Loan Add to list Text Project
New Construction/Rehab
New Construction Moderate Rehab Substantial Rehab Text Project
Total Units Number Project # of Buildings Number Project
Building Gross Square Footage Number Project Commercial Use Yes/No Boolean Project Commercial Use SF Number Project Community Facility Use Yes/No Boolean Project Community Facility Use SF Number Project Parking Text Project
Tax Abatement / Exemption Residential Amount Number Project
Tax Abatement / Exemption Residential Years Number Project
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Tax Abatement / Exemption Commercial Amount Number Project
Tax Abatement / Exemption Commercial Years Number Project
Green Efficiencies
Enterprise Green Communities LEED Basic LEED Silver LEED Gold LEED Platinum Waiver Passive House N/A Other Text Project
Location Information
Borough
Manhattan Brooklyn Bronx Queens Staten Island Various Text Project
Neighborhood Text Project
Address Text Properties Multiple entries possible
Block Number Properties Multiple entries possible
Lot Number Properties Multiple entries possible
Address 2 Text Properties Multiple entries possible
Block 2 Number Properties Multiple entries possible
Lot 2 Number Properties Multiple entries possible
Address 3 Text Properties Multiple entries possible
Block 3 Number Properties Multiple entries possible
Lot 3 Number Properties Multiple entries possible
RFP Site Yes/No Boolean Project RFP Site (If Yes, specify) Text Project
Status of Site Control
Developer Acquisition Loan To Be Purchased City Owned Text Project
Flood Zone Yes/No Boolean Project
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Flood Zone (If Yes, specify) Text Project Development Team
Developer Contact Name Text Contact Multiple entries possible
Developer Contact Email Text Contact Multiple entries possible
Developer Contact Phone Number Number Contact
Multiple entries possible
Developer Contact Name 2 Text Contact Multiple entries possible
Developer Contact Email 2 Text Contact Multiple entries possible
Developer Contact Phone Number 2 Number Contact
Multiple entries possible
Developer Contact Name 3 Text Contact Multiple entries possible
Developer Contact Email 3 Text Contact Multiple entries possible
Developer Contact Phone Number 3 Number Contact
Multiple entries possible
Development Consultant Text Contact Multiple entries possible
Development Consultant Email Text Contact
Multiple entries possible
Development Consultant Phone Number Number Contact
Multiple entries possible
Development Consultant 2 Text Contact Multiple entries possible
Development Consultant Email 2 Text Contact
Multiple entries possible
Development Consultant Phone Number 2 Number Contact
Multiple entries possible
Development Consultant 3 Text Contact Multiple entries possible
Development Consultant Email 3 Text Contact
Multiple entries possible
Development Consultant Phone Number 3 Number Contact
Multiple entries possible
Borrower's Counsel Text Contact Multiple entries possible
Borrower's Counsel 2 Contact Multiple entries possible
Borrower's Counsel 3 Contact Multiple entries possible
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LC Bank/Credit Enhancer Text Contact Multiple entries possible
Tax Credit Investor Text Contact Multiple entries possible
Syndicator Contact Multiple entries possible
Architect Text Project General Contractor Text Project Property Manager Text Project Social Service Provider Text Project Financial & Construction Information
First Mortgage Construction (Total Bonds/Senior Loans) Amount Number Loan
First Mortgage Construction (Total Bonds/Senior Loans) Terms (mos.) Number Loan
First Mortgage Permanent (Total Long Term) Amount Number Loan
First Mortgage Permanent (Total Long Term) Terms (mos.) Number Loan
Subsidy Amount (Total HDC Subsidy) Number Loan
Non - HDC Financing Sources (Total HPD Subsidy & Non HDC Sources) Source Text Financing Source
Full picklist in form.
Non - HDC Financing Sources (Total HPD Subsidy & Non HDC Sources) Amount Number Financing Source
Non - HDC Financing Sources Source 2 Text Financing Source
Non - HDC Financing Sources Amount 2 Number Financing Source
Non - HDC Financing Sources Source 3 Text Financing Source
Non - HDC Financing Sources Amount 3 Number Financing Source
Non - HDC Financing Sources Source 4 Text Financing Source
Non - HDC Financing Sources Amount 4 Number Financing Source
Non - HDC Financing Sources Source 5 Text Financing Source
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Non - HDC Financing Sources Amount 5 Number Financing Source
Non - HDC Financing Sources Source 6 Text Financing Source
Non - HDC Financing Sources Amount 6 Number Financing Source
Tax Credit Raise Decimal Project
Credit Enhancement for Construction Text Loan Project Narrative & Additional Attachments Project Narrative Text Project Development Team Experience o Bios/Resumes of Key Personnel o List of prior HPD/HDC-financed projects
File Attachment Project
Allow for browse file & attach
Site Map File Attachment Project
Allow for browse file & attach
Architectural Renderings /Site Plan
File Attachment Project
Allow for browse file & attach
Preliminary Underwriting (S&U, Development Budget, Income Projection, M&O Budget, Cash Flow Projection) .xls or .xl Required
File Attachment Project
Allow for browse file & attach
Organizational Chart File Attachment Project
Allow for browse file & attach
Letters of Interest or Funding Commitments from prospective financial partners, commercial/community facility tenants
File Attachment Project
Allow for browse file & attach
Project Summary & Financial – Internal Use Only Project Manager Text Contact Attorney Text Contact
Total New Volume Cap Bonds Text Financing Source Total Senior Recycled Cap Number Financing Source
Permanent Mortgage Insurance Text Loan Taxable Bonds Number Financing Source Corporate Reserves Number Financing Source HPD Grant Deal? Yes/No Boolean Financing Source
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Development Pipeline to Construction Loan Setup Business Process Workflow
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Appendix 1 1. Equal Employment If any, provide a copy of the firm’s most recent Employer Information Report EEO-1 and include as Attachment to the Proposal. Please state how many women and minorities work in your firm.
2. Minority and Women Owned Business Enterprise (MWBE) NYC HDC is dedicated to furthering the participation of minority and women-owned businesses in its work. All respondents are urged to include in their proposals methods for facilitating the participation in the project of businesses that have been certified by the New York City Department of Small Business Services (“SBS”) as women or minority owned. This can take any form a Respondent considers appropriate including, but not limited to, proposals intended to ensure the utilization of certified minority and women-owned businesses as subcontractors or as joint-venture partners. In addition, proposals from minority and women-owned respondents are encouraged.
3. New York City Location
a. State whether the firm maintains its headquarters, or other offices, in New York City, and the number of the firm’s employees who are employed in New York City. Describe the firm’s commitment to its location in New York City. Since January 1, 2017, has the firm relocated any employees from offices in New York City to locations outside New York City? Does the firm have any plans to relocate any employees or offices outside of New York City in the next two years?
b. Describe the firm’s corporate citizenship and commitment to The City of New York, including local procurement of goods and services, development or participation in internship programs or scholarships, corporate philanthropy, specifically in the areas of housing and community development, and policies with regards to the use of women-owned, minority-owned and small business enterprises.
4. Local Law 34 Compliance Pursuant to Local Law 34 of 2007, amending the City’s Campaign Finance Law, the City is required to establish a computerized database containing the names of any “Person” that has business dealings with the “City” as such terms are defined in the Local Law. In order for the City to obtain necessary information to establish the required database, your response to this RFP is required to include a completed Doing Business Data Form (the “Data Form”), which is attached hereto. The Data Form will be submitted to the Mayor’s Office of the City of New York (the “City”). If the City determines that your Data Form is not complete, you will be notified by the City and given
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four (4) calendar days to cure the specified deficiencies. Failure to do so will result in your proposal being deemed incomplete and therefore non-responsive.
5. Conflicts of Interest The proposal must disclose any other employment or situation which may create a conflict of interest if your firm were to be selected, including any relationship that the firm or any of its employees may have with HDC. Please describe any such relationship in your proposal, or affirmatively state that no such relationship exists.
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APPENDIX 2
The issuance of this Request for Proposal (“RFP”), and the submission of a proposal by the firm or the acceptance of such proposal by HDC, does not obligate HDC in any manner whatsoever. Legal obligations will only arise upon the execution of formal agreements by HDC and the firm selected to render services described herein.
HDC reserves the right to amend, modify, postpone or withdraw this RFP; to waive any requirement of this RFP; to require supplemental statements and information from proposing entities, to accept or reject any or all proposals received as a result of this RFP; to extend the deadline for submission of proposals; to negotiate with any proposing entity which responds to this RFP; to hold discussions with any proposing entity; and to correct deficient proposals which do not completely conform to the instructions given in this RFP. HDC may exercise such rights at any time without notice and without liability to any proposing entity or other parties for their expenses incurred in preparation of the proposal. In its review, HDC may accept a proposal but require modification or negotiation of scope. Although discussions may be conducted with proposing entities submitting acceptable proposals, awards may be made without discussion.
The scope of services described in this RFP provide the most current and accurate descriptions of services sought by HDC. However, at the time contracts are executed, programmatic changes may result in changes to the scope of services.
All documents presented in response to this RFP will become the property of HDC. The Corporation is subject to the New York State Freedom of Information Laws (“FOIL”) and as such HDC shall release all records subject to FOIL without notice or consent of responder.
Fees and Commissions
HDC will not pay any fees or commissions for the Proof of Concept that is being requested in this RFP. Upon completion of a successful Proof of Concept, HDC may decide not to obtain licenses for the software development platform and may decide not to purchase any professional services that might be used to implement the software development platform for future HDC information technology projects.
Any entity receiving, applying for or proposing on an award or agreement must complete a Doing Business Data Form (see Q&A sheet for more information). Please either type responses directly into this fillable form or print answers by hand in black ink, and be sure to fill out the certification box on the last page. Submission of a complete and accurate form is required for a proposal to be considered responsive or for any entity to receive an award or enter into an agreement.
This Data Form requires information to be provided on principal officers, owners and senior managers. The name, employer and title of each person identified on the Data Form will be included in a public database of people who do business with the City of New York, as will the organizations that own 10% or more of the enitity. No other information reported on this form will be disclosed to the public. This Data Form is not related to the City's PASSPort registration or VENDEX requirements.
Please return the completed Data Form to the City office that supplied it. Please contact the Doing Business Accountability Project at [email protected] or 212-788-8104 with any questions regarding this Data Form. Thank you for your cooperation.
If you are completing this form by hand, please print clearly.
Doing Business Data FormTo be completed by the City agency prior to distribution Agency Transaction ID
Check One Transaction Type (check one)
Proposal Award Concession Economic Development Agreement Franchise Grant Pension Investment Contract Contract
Entity is a Non-Profit Yes No
Entity Type Corporation (any type) Joint Venture LLC Partnership (any type) Sole Proprietor Other (specify)
Address
City State Zip
Phone E-mail Provide your e-mail address in order to receive notices regarding this form by e-mail.
Entity InformationEntity EIN/TIN Entity Name
Filing Status (Select One)
Entity has never completed a Doing Business Data Form. Fill out the entire form.
Change from previous Data Form dated . Fill out only those sections that have changed, and indicate the name of the persons who no longer hold positions with the entity.
No Change from previous Data Form dated . Skip to the bottom of the last page.
Principal OfficersPlease fill in the required identification information for each officer listed below. If the entity has no such officer or its equivalent, please check "This position does not exist." If the entity is filing a Change Form and the person listed is replacing someone who was previously disclosed, please check "This person replaced..." and fill in the name of the person being replaced so his/her name can be removed from the Doing Business Database, and indicate the date that the change became effective.
Chief Executive Officer (CEO) or equivalent officer This position does not exist The highest ranking officer or manager, such as the President, Executive Director, Sole Proprietor or Chairperson of the Board.
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
This person replaced former CEO on date
Chief Financial Officer (CFO) or equivalent officer This position does not exist The highest ranking financial officer, such as the Treasurer, Comptroller, Financial Director or VP for Finance.
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
This person replaced former CFO on date
Chief Operating Officer (COO) or equivalent officer This position does not exist The highest ranking operational officer, such as the Chief Planning Officer, Director of Operations or VP for Operations.
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
This person replaced former COO on date
NEW: Data Forms submitted now must include the listing of organizations, as well as individuals, with 10% or more ownership of the entity. Until such certification of ownership is submitted through a change, new or update form, a no change form will not be accepted.
1/2018 For information or assistance, please contact the Doing Business Accountability Project at [email protected] or 212-788-8104.
Principal OwnersPlease fill in the required identification information for all individuals or organizations that, through stock shares, partnership agreements or other means, own or control 10% or more of the entity. If no individual or organization owners exist, please check the appropriate box to indicate why and skip to the Senior Managers section. If the entity is owned by other companies that control 10% or more of the entity, those companies must be listed. If an owner was identified on the previous page, fill in his/her name and write "See above." If the entity is filing a Change Form, list any individuals or organizations that are no longer owners at the bottom of this section. If more space is needed, attach additional pages labeled "Additional Owners."
There are no owners listed because (select one): The entity is not-for-profit The entity is an individual No individual or organization owns 10% or more of the entity
Other (explain)
Individual Owners (who own or control 10% or more of the entity)
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
Organization Owners (that own or control 10% or more of the entity)
Organization Name
Organization Name
Organization Name
Remove the following previously-reported Principal Owners
Name Removal Date
Name Removal Date
Name Removal Date
Senior ManagersPlease fill in the required identification information for all senior managers who oversee any of the entity's relevant transactions with the City (e.g., contract managers if this form is for a contract award/proposal, grant managers if for a grant, etc.). Senior managers include anyone who, either by title or duties, has substantial discretion and high-level oversight regarding the solicitation, letting or administration of any transaction with the City. At least one senior manager must be listed, or the Data Form will be considered incomplete. If a senior manager has been identified on a previous page, fill in his/her name and write "See above." If the entity is filing a Change Form, list individuals who are no longer senior managers at the bottom of this section. If more space is needed, attach additional pages labeled "Additional Senior Managers."
Senior Managers
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
First Name MI Last Birth Date (mm/dd/yy)
Office Title Employer (if not employed by entity)
Home Address
Remove the following previously-reported Senior Managers
Name removal date
Name removal date
CertificationI certify that the information submitted on these two pages and additional pages is accurate and complete. I understand that willful or fraudulent submission of a materially false statement may result in the entity being found non-responsible and therefore denied future City awards.
Name Title
Entity Name Work Phone #
Signature Date
Please return this form to the City agency that supplied it to you, not to the Doing Business Accountability Project. Standard Form
