Common use of Senior Managers Clause in Contracts

Senior Managers. Please 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.” First Name: Office Title: Employer (if not employed by entity): MI: Last: Birth Date (mm/dd/yy): Home Address: Home Phone #: First Name: Office Title: Employer (if not employed by entity): MI: Last: SAMPLE Birth Date (mm/dd/yy): Home Address: Home Phone #: First Name: Office Title: Employer (if not employed by entity): MI: Last: Birth Date (mm/dd/yy): Home Address: Home Phone #: Name: Signat Entity N Title: Name: Name: Removal Date: Removal Date: ure: Date: ame: Work Phone #: DOING BUSINESS ACCOUNTABILITY PROJECT QUESTIONS AND ANSWERS ABOUT THE DOING BUSINESS DATA FORM What is the purpose of this Data Form? 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), the recently passed 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 Data Form 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 Data Form? The contract, franchise, concession, grant or economic development agreement you are proposing on, applying for or have already been awarded is considered a business dealing with the City under LL 34. No proposal or application will be considered and no award will be made unless this Data Form is completed. Most transactions valued at more than $5,000 are considered business dealings and require completion of the Data Form. Exceptions include transactions awarded on an emergency basis or by publicly advertised, non-pre-qualified, competitive sealed bid. Other types of transactions that are considered business dealings include real property and land use actions with the City. What individuals will be included in the Doing Business Database? SAMPLE 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 also be included in the Database. • Principal Officers are the Chief Executive Officer (CEO), Chief Financial Officer (CFO) and Chief Operating Officer (COO), or their functional equivalents. See the Data Form 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 contract, concession, franchise, grant or economic development agreement with the City. At least one Senior Manager must be listed or the Data Form will be considered incomplete. I have already completed a Doing Business Data Form; do I have to submit another one? Yes. An organization is required to submit a Doing Business Data Form each time it enters into a transaction considered a business dealing with the City, including contract, concession and franchise proposals. However, the Data Form has both a Change option, which requires only information that has changed since the last Data Form was filed, and a No Change option. No organization should have to fill out the entire Data Form more than once. If you have already submitted a Data Form for one transaction type (such as a contract), and this is the first time you are completing a Data Form for a different transaction type (such as a grant), please select the Change option and complete Section 4 (Senior Managers) for the new transaction type. Will the personal information on this Data Form be available to the public? No. The names and titles of the officers, owners and senior managers reported on the Data Form will be made available to the public, as will information about the organization itself. However, personal identifying information, such as home address, home phone and date of birth, will not be disclosed to the public, and home address and phone number information will not be used for communication purposes. Yes. Although the Doing Business Data Form and the VENDEX Questionnaire request some of the same information, they serve entirely different purposes. In addition, the Data Form requests information concerning senior managers, which is not part of the VENDEX Questionnaire. What organizations will be included in the Doing Business Database? Organizations that hold $100,000 or more in grants, contracts for goods or services, franchises or concessions ($500,000 for construction contracts), or that hold any economic development agreement or pension fund investment contract, are considered to be doing business with the City for the purposes of LL 34. Because all of the business that an organization does or proposes to do with the City will be added together, the Data Form must be completed for all transactions valued at more than $5,000 even if the organization doesn’t currently do enough business with the City to be listed in the Database. No one in my organization plans to contribute to a candidate; do I have to fill out this Data Form? Yes. All organizations are required to return this Data Form 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 Database must be complete so that the Campaign Finance Board can verify whether future contributions are in compliance with the law. A joint venture that does not yet exist must submit a Data Form for each of its component firms. If the joint venture receives the award, it must then complete a form in the name of the joint venture. SAMPLE How long will an organization and its officers, owners and senior managers remain listed on the Doing Business Database? • Contract, Concession and Economic Development Agreement holders: generally for the term of the transaction, plus one year. • Franchise and Grant holders: from the commencement or renewal of the transaction, plus one year. • Pension investment contracts: from the time of presentation on an investment opportunity or the submission of a proposal, whichever is earlier, until the end of the contract, plus one year. • Line item and discretionary appropriations: from the date of budget adoption until the end of the contract, plus one year. • Contract proposers: for one year from the proposal date or date of public advertisement of the solicitation, whichever is later. • Franchise and Concession proposers: for one year from the proposal submission date. For information on other transaction types, contact the Doing Business Accountability Project. 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 manger of the organization. Organizations may also update their database information by submitting an update form. Removal Request and Update forms are available online at ▇▇▇.▇▇▇.▇▇▇/▇▇▇▇ (once there, click MOCS Programs) or by calling ▇▇▇-▇▇▇-▇▇▇▇. 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 ▇▇▇.▇▇▇▇▇▇.▇▇▇▇, or ▇▇▇-▇▇▇-▇▇▇▇. The Data Form is to be returned to the City office that issued it. If you have any questions about the Data Form please contact the Doing Business Accountability Project at ▇▇▇-▇▇▇-▇▇▇▇ or ▇▇▇▇▇▇▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇.▇▇▇.▇▇▇. 1/3/2011 Payee/Vendor Account Activation Guide 1. From the PIP home page, click the "Activate" button to begin. 2. Read and accept the "Terms and Conditions" page. SAMPLE 3. Search in PIP to determine whether your payee/vendor account exists (if you have done business recently with the City of New York, your account may already exist). If your account is found, see the “Activating an Existing Vendor Account” Section, pages 4 through 6 of this guide: If you are activating a brand new payee/vendor account, see the “Activating a New Vendor Account” Section, pages 7 - 15 of this guide: 4. Enter a valid 10-digit check number from a NYC check stub; or enter a 15-digit EFT number from your online bank account; or enter contract or purchase order ID.

Senior Managers. Please 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.” First Name: Office Title: Employer (if not employed by entity): MI: Last: Birth Date (mm/dd/yy): Home Address: Home Phone #: First Name: Office Title: Employer (if not employed by entity): MI: Last: SAMPLE Birth Date (mm/dd/yy): Home Address: Home Phone #: Home Address: First Name: MI: Last: Office Title: Employer (if not employed by entity): MI: Last: Birth Date (mm/dd/yy): Home Phone #: Home Address: First Name: MI: Last: Office Title: Employer (if not employed by entity): Birth Date (mm/dd/yy): Home Phone #: Name: Signat Entity N TitleHome Address: Name: Name: Removal Date: Removal Date: ureName: Signature: Date: ameEntity Name: Title: Work Phone #: DOING BUSINESS ACCOUNTABILITY PROJECT QUESTIONS AND ANSWERS ABOUT THE DOING BUSINESS DATA FORM What The Department has established the following Minority Business Enterprise (MBE) and Women's Business Enterprise (WBE) utilization goals for this contract. This goal is expressed as a percentage of the total bid price. It is the purpose Contractor's responsibility to secure utilization in the work of this Data Form? To collect accuratethe contract by MBEs and 'WBEs in satisfaction of the goals, upand to document satisfactory good-to-date identification information about organizations that have business dealings with faith efforts taken to fulfill the City of New York in order to comply with Local Law 34 of 2007 (LL 34), the recently passed campaign finance reform lawgoals. LL 34 limits municipal campaign contributions from principal officers, owners MBE 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 Data Form WBE firms must be provided, regardless certified by Empire State Development Division 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 Data Form? The contract, franchise, concession, grant or economic development agreement you are proposing on, applying Minority and Women's Business Development for or have already been awarded is considered a business dealing with the City under LL 34. No proposal or application will be considered and no award will be made unless this Data Form is completed. Most transactions valued at more than $5,000 are considered business dealings and require completion of the Data Form. Exceptions include transactions awarded on an emergency basis or by publicly advertised, non-pre-qualified, competitive sealed bid. Other types of transactions that are considered business dealings include real property and land use actions with the City. What individuals will be included in the Doing Business Database? SAMPLE The principal officers, owners and certain senior managers of organizations listed in the Doing Business Database are themselves considered all items to be doing business with performed. Utilization is measured as the City amount actually paid to MBEs and will also be included in WBEs, not the Database. • Principal Officers are the Chief Executive Officer (CEO), Chief Financial Officer (CFO) and Chief Operating Officer (COO), or their functional equivalents. See the Data Form 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 contract, concession, franchise, grant or economic development agreement with the City. At least one Senior Manager must be listed or the Data Form will be considered incomplete. I have already completed a Doing Business Data Form; do I have to submit another one? Yes. An organization is required to submit a Doing Business Data Form each time it enters into a transaction considered a business dealing with the City, including contract, concession and franchise proposals. However, the Data Form has both a Change option, which requires only information that has changed since the last Data Form was filed, and a No Change option. No organization should have to fill out the entire Data Form more than once. If you have already submitted a Data Form for one transaction type (such as a contract), and this is the first time you are completing a Data Form for a different transaction type (such as a grant), please select the Change option and complete Section 4 (Senior Managers) contract bid price for the new transaction typework. Will the personal information on this Data Form be available to the public? No. The names and titles of the officers, owners and senior managers reported on the Data Form will be made available to the public, as will information about the organization itself. However, personal identifying information, such as home address, home phone and date of birth, will not be disclosed to the public, and home address and phone number information will not be used for communication purposes. Yes. Although the Doing Minority Business Data Form and the VENDEX Questionnaire request some of the same information, they serve entirely different purposes. In addition, the Data Form requests information concerning senior managers, which is not part of the VENDEX Questionnaire. What organizations will be included in the Doing Enterprise Utilization Goal See Part E - Schedule A Women Business Database? Organizations that hold $100,000 or more in grants, contracts for goods or services, franchises or concessions ($500,000 for construction contracts), or that hold any economic development agreement or pension fund investment contract, are considered to be doing business with the City for the purposes of LL 34. Because all of the business that an organization does or proposes to do with the City will be added together, the Data Form must be completed for all transactions valued at more than $5,000 even if the organization doesn’t currently do enough business with the City to be listed in the Database. No one in my organization plans to contribute to a candidate; do I have to fill out this Data Form? Yes. All organizations are required to return this Data Form 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 Database must be complete so that the Campaign Finance Board can verify whether future contributions are in compliance with the law. A joint venture that does not yet exist must submit a Data Form for each of its component firms. If the joint venture receives the award, it must then complete a form in the name of the joint venture. SAMPLE How long will an organization and its officers, owners and senior managers remain listed on the Doing Business Database? • Contract, Concession and Economic Development Agreement holders: generally for the term of the transaction, plus one year. • Franchise and Grant holders: from the commencement or renewal of the transaction, plus one year. • Pension investment contracts: from the time of presentation on an investment opportunity or the submission of a proposal, whichever is earlier, until the end of the contract, plus one year. • Line item and discretionary appropriations: from the date of budget adoption until the end of the contract, plus one year. • Contract proposers: for one year from the proposal date or date of public advertisement of the solicitation, whichever is later. • Franchise and Concession proposers: for one year from the proposal submission date. For information on other transaction types, contact the Doing Business Accountability Project. 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 manger of the organization. Organizations may also update their database information by submitting an update form. Removal Request and Update forms are available online at ▇▇▇.▇▇▇.▇▇▇/▇▇▇▇ (once there, click MOCS Programs) or by calling ▇▇▇-▇▇▇-▇▇▇▇. 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 ▇▇▇.▇▇▇▇▇▇.▇▇▇▇, or ▇▇▇-▇▇▇-▇▇▇▇. The Data Form is to be returned to the City office that issued it. If you have any questions about the Data Form please contact the Doing Business Accountability Project at ▇▇▇-▇▇▇-▇▇▇▇ or ▇▇▇▇▇▇▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇.▇▇▇.▇▇▇. 1/3/2011 Payee/Vendor Account Activation Guide 1. From the PIP home page, click the "Activate" button to begin. 2. Read and accept the "Terms and Conditions" page. SAMPLE 3. Search in PIP to determine whether your payee/vendor account exists (if you have done business recently with the City of New York, your account may already exist). If your account is found, see the “Activating an Existing Vendor Account” Section, pages 4 through 6 of this guide: If you are activating a brand new payee/vendor account, see the “Activating a New Vendor Account” Section, pages 7 Enterprise Utilization Goal See Part E - 15 of this guide: 4. Enter a valid 10-digit check number from a NYC check stub; or enter a 15-digit EFT number from your online bank account; or enter contract or purchase order ID.Schedule A