The NYC Doing Business Data Form is a required document for entities engaging in affordable housing transactions with the City of New York. Its primary function is to gather detailed information on principal officers, owners, and senior managers, ensuring compliance with Local Law 34 of 2007, aimed at campaign finance reform. This form not only facilitates transparency but also contributes to the public database of individuals and organizations that have business interactions with the city, thereby bolstering accountability and fairness within municipal transactions.
The Doing Business Data Form (DBDF) stands as a crucial document for entities engaging in affordable housing transactions with the New York City government. Aimed at enhancing transparency and compliance with Local Law 34 of 2007—a campaign finance reform measure—the form mandates thorough reporting by entities of their principal officers, owners, and senior managers who partake or oversee housing transactions. Its design ensures the collection of essential identity and business details, subsequently entered into a public database, highlighting the intricate relationship between private organizations and public services. Notably, while specific personal information is safeguarded from public disclosure, the involvement of these individuals and entities in city transactions is transparently documented, adhering to both accountability and privacy standards. Moreover, the updated requirement as of January 2018 to disclose organizational entities owning more than 10% further underscores the city's commitment to transparency. Entities must submit this form accurately completed for each transaction, with distinct provisions for new submissions, updates, or affirmations of no change, reinforcing the ongoing dialogue and integrity checks between the city and businesses engaged in its housing sector. Additionally, it distinguishes itself from other city documentation processes like the PASSPort system, focusing on a specialized subset of the city's commercial interactions, particularly those affecting its housing landscape.
Doing Business Data Form
Affordable Housing Transactions
To be completed by the City agency prior to distribution
Agency
Transaction ID
Check One
Transaction Type (check one)
Solicitation Award
Dispostition (D) Loan/Grant (L)
Discretionary Approval (A)
Inclusionary Housing (I) Tax Benefit (B) Tax Credit (C)
Entities participating in affordable housing transactions with the City of New York 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 any entity to enter into an affordablehousing transaction.
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 DoingBusiness@mocs.nyc.gov or 212-788-8104 with any questions regarding this Data Form. Thank you for your cooperation.
Entity Information
If you are completing this form by hand, please print clearly.
Entity EIN/TIN
Entity Name
Filing Status
(Select One)
NEW: Data Forms submitted now must include the
Entity has never completed a Doing Business Data Form. Fill out the entire form.
listing of organizations, as well as individuals, with 10%
Change from previous Data Form dated
. Fill out only those sections that have
or more ownership of the entity. Until such certification
changed, and indicate the name of the persons who no longer hold positions with the entity.
of ownership is submitted through a change, new or
No Change from previous Data Form dated
. Skip to the bottom of the last page.
update form, a no change form will not be accepted.
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
Principal Officers
Provide your e-mail address in order to receive notices regarding this form by e-mail.
Please 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
The highest ranking financial officer, such as the Treasurer, Comptroller, Financial Director or VP for Finance.
This person replaced former CFO
Chief Operating Officer (COO) or equivalent officer
The highest ranking operational officer, such as the Chief Planning Officer, Director of Operations or VP for Operations.
This person replaced former COO
1/2018
For information or assistance, please contact the Doing Business Accountability Project at DoingBusiness@mocs.nyc.gov or 212-788-8104.
Principal Owners
Please 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)
Organization Owners (that own or control 10% or more of the entity)
Organization Name
Remove the following previously-reported Principal Owners
Name
Removal Date
Senior Managers
Please fill in the required identification information for all senior managers who oversee any of the entity's affordable housing transactions with the City. 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 affordable housing 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."
Remove the following previously-reported Senior Managers
removal date
Certification
I 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.
Title
Work Phone #
Signature
Date
Please return this form to the City agency that supplied it to you, not to the Doing Business Accountability Project.
AH
Questions and Answers About the
Affordable Housing Transactions Doing Business Data Form
What is the purpose of the Doing Business Data Form (DBDF)?
To collect accurate, up-to-date identification information about organizations that have business dealings with the City of New York in order to comply with Local Law 34 of 2007 (LL 34), a campaign finance reform
law. LL 34 limits municipal campaign contributions from principal officers, owners and senior managers of entities doing business with the City and mandates the creation of a Doing Business Database to allow the City to enforce the law. The information requested in this DBDF must be provided, regardless of whether the organization or the people associated with it make or intend to make campaign contributions.
No sensitive personal information collected will be disclosed to the public.
Why have I received this DBDF?
Any entity that has purchased or acquired city owned land, applied for an affordable housing loan or grant, requested a discretionary tax benefit, applied for a low income housing tax credit or requested an inclusionary housing agreement is considered doing business with the City under LL 34 and therefore must complete this Data Form. No covered transaction will be entered into unless this form is completed. Other types of transactions that are covered by LL 34 include contracts for goods, services and construction; concessions; franchises; grants; economic development agreements; pension investment contracts, real property transactions and land use actions with the City.
What individuals will be included in the Doing Business Database?
The principal officers, owners and certain senior managers of organizations listed in the Doing Business Database are themselves considered to be doing business with the City and will be included in the Database.
•Principal Officers are the Chief Executive Officer (CEO), Chief Financial Officer (CFO) and Chief Operating Officer, or their functional equivalents. See the DBDF for examples of titles that apply.
•Principal Owners are individuals who own or control 10% of more of the organization. This includes stockholders, partners and anyone else with an ownership or controlling interest in the entity.
•Senior Managers include anyone who, either by job title or actual duties, has substantial discretion and high-level oversight regarding the solicitation, letting or administration of any affordable housing transaction with the City. At least one Senior Manager must be listed or the DBDF will be considered incomplete.
NEW FOR 2018: As of January 2018, the DBDF must report organizations, as well as individuals, that own 10% or more of the entity. A DBDF with such a certification, filed as a full (never filed before) or as a change form, must be submitted before an entity can then file a DBDF that indicates no changes since the previous form. Contact DBA at 212-788-8104 or at doingbusiness@mocs.nyc.gov to inquire if DBA has received such a form.
Will the personal information on the DBDF be available to the public?
No. The names and titles of the officers, owners and senior managers reported on the DBDF will be made available to the public, as will information about the entity itself. However, personal identifying information, such as home address and date of birth, will not be disclosed to the public, and home address will not be used for communication purposes.
I have already completed a Doing Business Data Form, do I have to submit another one?
Yes. An organization is required to submit a DBDF each time it enters into a transaction considered a business dealing with the City. However, the DBDF has both a Change option, which requires only information that has changed since the last DBDF was filed, and a No Change option. No organization should have to fill out the entire DBDF more than once.
If you have already submitted a DBDF for one transaction type (such as a contract), and this is the first time you are completing a DBDF for an affordable housing transaction, please select the Change option and complete Section 4 (Senior Managers).
I provided some of this information in PASSPort; do I have to provide it again?
Yes. Although a Doing Business Data Form and PASSPort request some of the same information, they serve entirely different purposes. In addition, the DBDF requests information concerning senior managers, which is not in PASSPort.
No one in my organization plans to contribute to a candidate; do I have to fill out this DBDF? Yes. All organizations are required to return this DBDF with complete and accurate information, regardless of the history or intention of the entity or its officers, owners or senior managers to make campaign contributions. The Doing Business Data Form must be complete so that the Campaign Finance Board can verify whether future contributions are in compliance with the law.
How does a person remove him/herself from the Doing Business Database?
When an organization stops doing business with the City, the people associated with it are removed from the Database automatically. However, any person who believes that s/he should not be listed may apply for removal. Reasons that a person would be removed include his/her no longer being the principal officer, owner or senior manager of the organization. Organizations may also update their database information by submitting an update form. Removal Request and Update forms are available online https://www1.nyc.gov/site/mocs/resources/forms.page or by calling 212-788-8104.
How does an entity and its officers, owners and senior managers remain listed on the Doing Business Database?
•Affordable housing transactions are generally considered business dealings from the submission of a proposal or application through the completion of the transaction, plus one year.
•Land Use actions under City Charter sections 195, 197c or 201 are generally considered business dealings from the start of negotiations until final action by the City Council, plus 120 days.
•Unsuccessful proposers remain on the Database until an awardee is selected.
For information on these or other transactions types covered by LL 34, contact Doing Business Accountability.
What are the campaign contribution limits for people doing business with the City?
Contributions to City Council candidates are limited to $250 per election cycle; $320 to Borough President candidates; and $400 to candidates for citywide office. Please contact the NYC Campaign Finance Board for more information at www.nyccfb.info, or 212-306-7100.
The DBDF is to be returned to the City office that issued it.
If you have any questions about the Doing Business Data Form please contact the Doing Business Accountability Project at 212-788-8104 or doingbusiness@mocs.nyc.gov.
Filling out the NYC Doing Business Data form is a critical step for entities involved in affordable housing transactions with the City of New York. It's not just about compliance; it's about transparency and ensuring that the public can trust in the integrity of city transactions. The data gathered plays a significant role in maintaining a transparent and accountable process by providing essential information about those who conduct business with the city. Here’s a step-by-step guide to ensure that you complete the form accurately and comprehensively.
Once you have submitted the form, the details provided will be reviewed and processed to update the City's public database of entities doing business within the affordable housing sector. This process is not just about fulfilling a regulatory requirement; it's a commitment to upholding the principles of transparency and integrity in city transactions. Should you have any questions or require clarification, the Doing Business Accountability Project is available to assist, ensuring that you can successfully navigate this necessary compliance step.
The DBDF is designed to gather up-to-date identification information about organizations that engage in business dealings with the City of New York. This form ensures compliance with Local Law 34 of 2007 (LL 34), which is a set of campaign finance reform laws aimed at limiting municipal campaign contributions from principal officers, owners, and senior managers of entities doing business with the city and to maintain a public Doing Business Database to enforce these regulations.
You've received this form because your entity is engaging in a transaction that is considered doing business with the City. This includes purchasing or acquiring city-owned land, applying for affordable housing loans or grants, requesting discretionary tax benefits, applying for low income housing tax credits, or requesting inclusionary housing agreements among others. You must complete this form to proceed with any such transactions.
Who will be included in the Doing Business Database?
Starting January 2018, organizations with 10% or more ownership must also be reported.
No, personal identifying information, such as home addresses and birth dates, will not be disclosed to the public. Only the names, titles of the officers, owners, and senior managers, and information about the entity itself will be made publicly available. Home addresses are not used for communication purposes.
If I have already completed a DBDF, do I need to submit another one?
Yes, an organization must submit a DBDF each time it enters into a transaction considered doing business with the City. However, if nothing has changed since the last submission, you can select the No Change option. For new transactions or changes in information, the appropriate sections on the form must be updated accordingly.
I provided some of this information in PASSPort; do I need to provide it again?
Yes. Despite both the DBDF and PASSPort forms collecting similar information, they serve different purposes. Particularly, the DBDF requests details about senior managers, which is not covered in PASSPort.
No one in my organization plans to contribute to a candidate; do I still need to fill out the DBDF?
Absolutely. All organizations must submit a complete and truthful DBDF, irrespective of their current or future intentions regarding campaign contributions. The completeness of this form allows the Campaign Finance Board to verify compliance with applicable laws.
Individuals are automatically removed when an organization ceases its business interactions with the City. Additionally, requests for removal can be made if the individual is no longer a principal officer, owner, or senior manager of the organization. The organization can also submit updates to their information by filling out an update or removal request form, available online or through contact with the office.
How does an entity and its officers, owners, and senior managers remain listed on the Doing Business Database?
Entities and their associated personnel remain listed for the duration of their business dealings, plus an additional specified time depending on the transaction type. Affordable housing transactions extend through the transaction duration and one year beyond, while land use actions and unsuccessful proposals have their own specific periods.
For those doing business with the City, contribution limits are set at $250 for City Council candidates, $320 for Borough President candidates, and $400 for citywide office candidates, per election cycle. These limits help maintain fairness in city elections and ensure no undue influence from business entities.
Filling out the NYC Doing Business Data Form is a crucial step for entities involved in affordable housing transactions with the City of New York. However, errors in completing this form can lead to delays or even denial of the necessary approvals. Here are some common mistakes to avoid:
Overlooking the requirement to list organizations with 10% or more ownership. Since January 2018, the form demands disclosure of both individuals and organizations that hold a significant ownership stake. Neglecting this section might render the submission incomplete.
Entering information in the incorrect format or section. For instance, using informal nicknames instead of full legal names, or incorrectly marking the transaction type, can lead to processing errors.
Failing to certify the form. The certification statement at the end of the form requires a signature to attest to the accuracy and completeness of the information provided. Missing this step can nullify the form.
Using outdated forms. Always verify that the version of the form being filled out is the most current. Outdated forms may lack recent requirements or changes in the submission process.
Incomplete senior manager information. The form stipulates at least one senior manager must be listed; omitting this information is a common oversight that can lead to an incomplete categorization.
Ignoring instructions for changes or updates. For entities that have previously submitted a Doing Business Data Form, it’s critical to correctly follow the instructions for indicating changes or asserting no changes since the last submission. Failing to do so can result in incorrect information in the database.
In conclusion, thoroughness and attention to detail are paramount when filling out the NYC Doing Business Data Form. By avoiding these mistakes, entities can ensure smoother interactions with the City of New York during affordable housing transactions. For further assistance, entities are encouraged to contact the Doing Business Accountability Project directly.
Completing a Doing Business Data Form (DBDF) for affordable housing transactions with New York City is a crucial step for entities wishing to engage in such activities. This process ensures transparency and adherence to Local Law 34 of 2007, aimed at reforming campaign finance. Alongside the DBDF, several other forms and documents are commonly utilized to ensure compliance and facilitate these transactions. Understanding each of these documents helps streamline the application process and ensures entities meet all necessary legal requirements.
Together, these documents play critical roles in the City's procurement and development processes, particularly in the realm of affordable housing. They ensure that entities are responsible, transparent, and compliant with local laws and regulations. By familiarizing themselves with these forms and maintaining accurate and current information, entities can effectively navigate the complexities of doing business with New York City. The importance of diligence and accuracy in completing these documents cannot be overstated, as they collectively help uphold the integrity of the City's affordable housing initiatives.
The Vendor Information Form bears a strong resemblance to the NYC Doing Business Data form, especially in its focus on identifying key company details. Like the NYC form, the Vendor Information Form collects basic organization data, including company name, address, and type of entity, which is crucial for regulatory compliance and procurement processes. This information helps in creating a transparent registry of vendors that might engage in business transactions with institutions or government entities, mirroring the NYC form's intent to maintain a public database of entities engaged in affordable housing transactions.
Conflict of Interest Questionnaires share the purpose of capturing potential conflicts among individuals holding significant positions within entities, akin to the scrutiny applied in the NYC Doing Business Data form. These questionnaires delve into the relationships and financial interests that might influence decision-making, paralleling the NYC form's requirement to disclose principal officers and significant owners. Both documents aim to ensure integrity and impartiality in business dealings, albeit in different contexts.
The Business License Application aligns closely with the Doing Business Data form by gathering essential data from entities engaging in commercial activities. It's designed to register and authorize businesses to operate legally within a jurisdiction, similar to how the NYC form records entities for affordable housing dealings. The focus on entity type, ownership structure, and key personal information underscores the shared goal of regulatory compliance and transparency.
The Non-Disclosure Agreement (NDA), while primarily concerned with confidentiality, intersects with the Doing Business Data form in its treatment of sensitive information. NDAs protect proprietary information, similar to how the NYC form safeguards personal details like home addresses and dates of birth from public disclosure. Both forms navigate the balance between transparency and privacy in business contexts.
Annual Reporting Forms for corporations serve a parallel function to the Doing Business Data form by demanding detailed information on an entity's operational and financial status. These forms often require disclosures about principal officers and significant shareholders, miriting the NYC form's collection of similar data to comply with Local Law 34. The overarching goal is to provide stakeholders, including government agencies and the public, with a clear picture of the entity's business stature.
Contractor Prequalification Questionnaires are akin to the NYC Doing Business Data form in their goal to vet entities before they engage in significant transactions, specifically in the construction or service provision sectors. These questionnaires assess a company's financial health, experience, and key personnel, reflecting the NYC form's objective to gather comprehensive data on entities involved in affordable housing transactions, ensuring they are responsible and capable.
Lobbyist Registration Forms, similar to the Doing Business Data form, require lobbyists and their employing entities to disclose substantial amounts of organizational and personal information. This includes identification of the lobbyists, their clients, and the nature of the lobbying activities, which parallels the NYC form's requirement for entities to list principal officers and significant owners. Both forms serve to increase transparency in interactions between public officials and private interests.
Grant Application Forms echo the Doing Business Data form in their requirement for detailed information about entities seeking funding, including their operational structure and leadership. These forms often necessitate disclosure of substantial owners or key management figures, aligning with the NYC form’s emphasis on transparency in the administration of public funds or incentives, especially in sectors like affordable housing.
The Change of Ownership Forms, utilized during mergers, acquisitions, or significant ownership shifts, share similarities with sections of the NYC Doing Business Data form that concern updates or changes in ownership. Both documents necessitate detailed disclosures about new principals or significant owners, catering to the need for up-to-date information in public or corporate registries to ensure compliance and maintain trust in business operations.
Finally, the Political Contribution Disclosure Forms resonate with the Doing Business Data form through their mutual goal of promoting transparency in the intersection of business and politics. These disclosures aim to prevent conflicts of interest and undue influence in government decision-making by requiring entities and their key figures to report political donations, akin to the NYC form’s objective to regulate campaign contributions from businesses engaging in affordable housing transactions with the City.
When filling out the NYC Doing Business Data Form, especially for those involved in affordable housing transactions, there are several best practices to ensure your submission is complete, accurate, and compliant. Below are essential dos and don'ts to guide you through the process.
Things You Should Do:
Things You Shouldn't Do:
Adhering to these guidelines will help streamline the submission process and ensure compliance with the City's requirements for doing business, particularly in affordable housing transactions. This proactive approach will facilitate a smoother interaction with city agencies and contribute to the success of your transactions.
When it comes to the NYC Doing Business Data Form, there are a number of misconceptions that need to be addressed. Understanding these misconceptions can help ensure that entities are better prepared for and compliant with the requirements when engaging in transactions with the City of New York, especially in relation to affordable housing projects.
It's only for corporations: Some believe the Doing Business Data Form is exclusively for corporations. However, it must be completed by all entities, including sole proprietors, partnerships, LLCs, and nonprofits, that engage in affordable housing transactions with the City.
Personal information is publicly disclosed: There's a concern that personal information provided in the form, like home addresses and birth dates, will be public. While the form does require this information for identification purposes, such personal details are not disclosed to the general public.
Submission is optional: Another misconception is that submission of the form is optional. In reality, submitting a complete and accurate Doing Business Data Form is mandatory for an entity to enter into an affordable housing transaction with the City.
No need to update if there are no changes: Entities might think they don't need to submit a new form if there are no changes since their last submission. Actually, an updated form must be submitted for each transaction, regardless of whether there are changes.
Only principal owners need to be listed: It's incorrectly assumed that only principal owners need to be mentioned. The form requires information on all individuals or organizations that own or control 10% or more of the entity, not just the principal owners.
It's unrelated to campaign finance laws: Some entities might not realize the form's connection to campaign finance regulation. The purpose of collecting this data is to comply with Local Law 34 of 2007, which limits campaign contributions from those doing business with the City to ensure transparency and fairness in electoral campaigns.
Information from other city forms can be reused: There may be an assumption that information provided on other City forms, like the PASSPort system, negates the need to complete the Doing Business Data Form. Each system serves different purposes, and relevant information must be provided in both.
Listing ends with the project completion: Some believe that once their project is complete, their listing in the Doing Business Database ends immediately. In fact, the listing continues for a year beyond the completion of the transaction, or upon stopping doing business with the City, to ensure ongoing compliance with campaign finance restrictions.
Understanding these points ensures entities can accurately navigate the requirements of engaging in affordable housing projects with New York City, fostering a transparent and compliant business environment.
When engaging with the City of New York on affordable housing projects, entities are required to fill out the Doing Business Data Form. This necessity ensures transparency and adherence to campaign finance reforms, as outlined in Local Law 34 of 2007. To assist in navigating this process, here are seven key takeaways:
Understanding these key points ensures that entities can navigate the requirements and implications of the Doing Business Data Form more effectively, contributing to a transparent and accountable process in engaging with the City of New York's affordable housing activities.
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