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COIB Electronic Financial Disclosure

Liaison User Guide

(February 2010)

CITY OF NEW YORK Conflicts of Interest Board Financial Disclosure Unit

2 Lafayette Street, Rm 1010, New York, NY 10007

Electronic Financial Disclosure (EFD) Liaison Guide

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Table of Contents About This Manual ...................................................................................................................... 3 Electronic Financial Disclosure ................................................................................................... 3

Security ..................................................................................................................................... 3 Designation of Filers ................................................................................................................. 4 Who Has to File ........................................................................................................................ 4 DOI Filing Criteria .................................................................................................................... 4 Process Overview...................................................................................................................... 6 Filing Dates ............................................................................................................................... 7

Electronic Financial Disclosure Admin Application ................................................................... 7 Usernames, Passwords, and the Audit Trail ............................................................................. 7

Your Username and Password .............................................................................................. 7 Getting Your Username and Password ................................................................................. 7 Losing Your Password ......................................................................................................... 8 Liaisons Who Have Left the Agency.................................................................................... 8 Audit Trail ............................................................................................................................ 8

Understanding EINs and “Constructed” IDs ............................................................................ 8 Getting to the Admin Application ........................................................................................... 12 Logging In ............................................................................................................................... 12 Searching ................................................................................................................................ 14 Adding/Editing Filers.............................................................................................................. 16 Editing Filer Information ........................................................................................................ 21

Entering Filer Information .................................................................................................. 22 Saving a Record .................................................................................................................. 24

Email addresses ....................................................................................................................... 24 Deleting a Filer ....................................................................................................................... 24 Managing Distribution Locations ........................................................................................... 25

Editing a Distribution Location .......................................................................................... 26 Deleting a New Distribution Location ................................................................................ 26 Adding a New Distribution Location ................................................................................. 26

Finalizing Agency Filer List ................................................................................................... 27 Making Revisions after Finalizing .......................................................................................... 27 Logging Out ............................................................................................................................ 28

Packet Distribution .................................................................................................................... 28 Procedure to Distribute User Packets...................................................................................... 29

Appeals ...................................................................................................................................... 29 Lost User Packets and Password Resets .................................................................................... 30

Lost User Packets .................................................................................................................... 30 Password Resets ...................................................................................................................... 30

Contact Information/Help .......................................................................................................... 31 Glossary and Reference ............................................................................................................. 31


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About This Manual

This manual provides information that you, as an agency liaison, will need in order to successfully facilitate financial disclosure filings for your agency. As a liaison, your primary responsibilities are:

• Maintaining and updating your agency’s list of required filers, as well as each filer’s reasons for filing, demographics, contact information, and filing year status using the Electronic Financial Disclosure (EFD) Administration Application (Admin Application); and

• Distributing user packets which the filers need to log into the Electronic Financial Disclosure Filing Application (Filing Application) and complete the Electronic Financial Disclosure Report.

• Collecting receipts from filers. A filer is required to download and sign a receipt once he/she has electronically submitted the financial disclosure report.

• Returning original sign-out sheets and filers’ receipts to COIB. This documentation provides some background on financial disclosure, explains the EFD process, and details how to use the Admin Application.

Electronic Financial Disclosure

Local Law 43 of 2003 mandated that, beginning January 1, 2006, the process of filing Financial Disclosure Reports would be accomplished electronically. The Filing Application makes filing faster, more convenient, and ultimately more secure. The Filing Application allows filers to fill out their financial disclosure report online, at home, at work, or anywhere else they can access the Internet, save draft disclosure reports, and submit the final version of the report electronically.

Security

The Filing and Admin Applications were developed and are hosted by the Department of Information Technology and Telecommunications (DoITT). DoITT will not have access to the information in the filings at any time. Social Security numbers (SS#) are NOT stored in either application, and only the last four digits are used. The filers’ information is submitted through the click of a button; unlike the paper form, it does not pass through anybody’s hands. The Filing Application has been designed so that ‘in process’ filings - that is, filings that are started, but not yet completed - are encrypted. The encryption process and overall security of the Application have been reviewed by third-party security experts and have passed rigorous testing. Only the filer will have access to his or her information while in process, and upon completion, only COIB will maintain the information. Once the filer has transmitted his or her filing to COIB,


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DOI will have access to COIB filings from the Admin Application for individuals who are filing with both COIB and DOI.

Designation of Filers

Each agency designates those employees and officers who are required to file financial disclosure reports, applying the statutory criteria set forth below.

Who Has to File

New York City’s financial disclosure law, Section 12-110 of the City’s Administrative Code (http://www.nyc.gov/html/conflicts/downloads/pdf2/Local_Law_14.pdf), requires that some 7,500 New York City employees, officers, and elected officials file annual reports of their financial affairs, as well as the financial affairs of their spouses or domestic partners and dependent children. NOTE: Liaisons are required to specify a filer’s reason for filing in the Admin Application. The following individuals are required to file:

o Elected Officials including: The Mayor Members of the City Council The Borough Presidents The Comptroller The Public Advocate District Attorneys for the five boroughs of the City of New York Local political party officials as defined in the Administrative code

o All candidates for the above offices o Any New York City public servant who is an agency head, a deputy agency head, an

assistant agency head, or a member of any board or commission who is entitled to compensation for such service, even if such compensation is declined

o A City employee in the City Council, District Attorney’s Office, or Special Narcotics Prosecutor’s Office, whose responsibilities involve the independent exercise of managerial or policymaking functions

o A City employee who is paid in accordance with the Mayor’s Management Pay Plan, at level 4 or higher, or holds a policymaking position as of April 30, 2010

o A City employee whose duties involved, at any time during the calendar year 2009, the negotiation, authorization, or approval of contracts, leases, franchises, revocable consents, concessions, or applications for zoning changes, variances, or special permits

DOI Filing Criteria

Executive Order 91 (EO91) requires three categories of employees to file the annual financial report. The Department of Investigation must certify the roster of those employees in your agency:

The first category includes the Mayor, deputy mayors, agency heads, and deputy agency heads. Also included are all full-time and part-time salaried commissioners serving on the

http://www.nyc.gov/html/conflicts/downloads/pdf2/Local_Law_14.pdf


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various Mayoral commissions, boards, and agencies, such as the Tax Commission, Civil Service Commission, and City Planning Commission.

The second category covers employees of Mayoral agencies who serve in exempt or non-competitive classes of civil service or who are provisional employees, whose duties directly involve the negotiation, authorization, or approval of contracts, leases, franchises, revocable consents, concessions, and applications for zoning changes, variances, and special permits.

The third category includes any other employees of Mayoral agencies in exempt or non-competitive classes of civil service, or provisional employees, who are required by this Department to comply. As in past years, the Department of Investigation has determined that all provisional, non-competitive, or exempt managerial employees paid at the M-4 level and above are covered by this category, as are all employees of the Department of Investigation.

All filers who are designated as EO91 filers in the Admin Application are required to prepare and submit their EO91 filing, along with their COIB filing, using the online Electronic Financial Disclosures Filing Application. Liaisons are required to collect EO91/COIB disclosure filing receipts and return them to COIB. Not all agencies file EO91 disclosures. To identify EO91 agencies, refer to the table “Agency Codes, Acronyms, EINs & ‘Constructed’ IDs, and EO91 Agencies” within the “Understanding EINs and ‘Constructed’ IDs” section of this document.

In the Admin Application, filers who also have to file EO91 disclosures with the DOI should be identified as such. Each year, the list of filers from the previous year will be carried over to facilitate the process of determining who should file. In the Admin Application, a check in the “EO91 Filer” checkbox will identify each EO91 filers. By default, the “EO91 Filer” checkbox will be checked for those filers required to file EO91 disclosures. If you are unclear about what the criteria are for EO91 filers, you can contact Mark French at (212) 825-5280 or [email protected] or Peggy Tierney at (212) 825-2266 or [email protected].

mailto:[email protected]


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Process Overview

Agency liaisons need to update their filer lists annually, in advance of the filing period.

The following sets forth the sequence of events:

1. Each agency will designate those officers and employees who are required to file. Agency liaisons update and finalize their filer list using the Admin Application. Please note that email addresses are required for each filer.

2. COIB generates user packets and sign-out sheets based on the finalized lists.

3. User packets contain a temporary Password, which allows the specific filer to login to the Filing Application and to enter their financial disclosure information.

4. Sign-out sheets are generated for each distribution location for each agency. Sign-out sheets document which filers have received their user packets and who distributed them.

5. The sign-out sheets will be emailed to the liaisons. For security reasons, the sign-out sheets and user packets are distributed separately.

6. Agency liaisons pick up the packets from COIB. These are very important documents and need to be secured while in the liaisons’ possession.

7. Liaisons distribute user packets to the filers in their agencies. Filers need to pick up and sign for their packets in person and present a photo ID.

8. Filers must sign the sign-out sheet acknowledging receipt of the packet; the liaison must also sign the sign-out sheet at the time each packet is distributed to confirm the filer’s receipt of the packet.

9. Filers use the packets to access the Filing Application and complete their financial disclosure report.

10. After filers submit their electronic filings, they print out and sign receipts for the filing and return the signed receipts to their agency COIB liaisons.

11. Agency COIB liaisons collect the signed receipts and return them to the COIB with the original sign-out sheets.

12. Liaisons from non-PMS agencies and agencies with board or commission members provide COIB with identifying information on their filers.


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Filing Dates

AGENCY START DATE

END DATE

RECEIPT END DATE

EXT

APPEALS

PENALTIES IMPOSED

ALL agencies excluding HHC,DOE, NYCHA

April 19 May 14 June 14 April 28 May 14 May 22

HHC May 3 May 28 June 28 May 12 May 28 June 5

NYCHA May 3 May 28 June 28 May 12 May 28 June 5

DOE May 3 May 28 June 28 May 12 May 28 June 5

Electronic Financial Disclosure Admin Application

Usernames, Passwords, and the Audit Trail

Your Username and Password • For security and tracking purposes, each user of the Admin Application must have his or

her own Username and Password. • If your agency has more than one liaison, each liaison will be assigned his or her

individual account.

NOTE: Usernames and passwords should be treated as confidential information, and should not be shared.

• If you are the liaison or contact person for more than one facility (e.g., multiple

hospitals), you will receive an individual account for each facility.

Getting Your Username and Password • All liaisons and contact people were provided with Usernames and Passwords last year. • If you have forgotten your Username, please contact COIB. • COIB will provide you with a new temporary Password. • If you were never provided with a Username for the administration application, please

contact COIB. • For security reasons, no Usernames or Passwords will be sent by email.


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Losing Your Password If you lose or forget your Username or Password, you should contact COIB.

Liaisons Who Have Left the Agency If a liaison leaves your agency or no longer requires access to the Admin Application, it is imperative that your agency contact COIB in writing as soon as possible to ensure that the liaison’s account is disabled. It is the agency’s responsibility to ensure liaison Usernames and Passwords are properly disabled.

Audit Trail For security, there is an audit trail tracking every change made to a filer record, which can be viewed by the liaison as well as COIB.

Understanding EINs and “Constructed” IDs

Before using the Admin Application, you may find it helpful to gain a clear understanding of Employee Identification Numbers (EINs) and “Constructed” IDs. An EIN is an Employee Identification Number, a unique identifier for an employee in the City’s Payroll Management System (PMS). Agencies not in the PMS will not have EINs for their employees, and must use a different unique identifier in the “EIN” field of the Admin Application. For a filer in a non-PMS agency, the Admin Application will generate a unique or “constructed” ID. The “constructed” ID would start with the agency’s acronym followed by the first letter of the employee’s last name followed by the last four digits of the employee’s Social Security number. (If there are multiple employees with the same last initial and last four digits of SS#, use the first two letters of the last name, etc.) If you have a filer for whom you are using the first two letters of the last name, please so advise the filer at the time that you distribute the user packet. The packet instructs the filer to use only the first letter of the last name, therefore for filers where two letters were used, the liaison needs to advise the filer accordingly to avoid confusion for the filer when attempting to log in to the filing application. NOTE: EINs are NOT case-sensitive. For example, a filer could log in with either DOTS7890 or dots7890. The following table, sorted by agency code, indicates which agencies use EINs and which use “constructed” IDs. The table also indicates which agencies require EO91 filings.

Agency Codes, Acronyms, EINs and “Constructed” IDs,

and EO91 Agencies

Agency Code Acronym Agency

EIN / Constructed Logins

EO91 Agency

002 MO Mayor’s Office EIN Yes


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EO91 Agency

003 BOE Board of Elections/Canvassers EIN No 004 CFB Campaign Finance Board EIN No 008 ACT Office of the Actuary EIN Yes

009 NYCERS NYC Employees’ Retirement System EIN Yes

010 MNBP Manhattan Borough President EIN No 011 BXBP Bronx Borough President EIN No 012 BKBP Brooklyn Borough President EIN No 013 QBP Queens Borough President EIN No 014 SIBP Staten Island Borough President EIN No 015 COMP Office of the Comptroller EIN Yes 017 OEM Office of Emergency Management EIN Yes 019 OMB Office of Management and Budget EIN Yes 021 TC Tax Commission EIN Yes 025 LAW Law Department EIN Yes 030 DCP Department of City Planning EIN Yes 032 DOI Department of Investigation EIN Yes 040 DOE Department of Education EIN Yes 041 TRS Teachers’ Retirement System EIN Yes 044 SCA School Construction Authority Constructed Yes 054 CCRB Civilian Complaint Review Board EIN Yes 056 NYPD Police Department EIN Yes 057 FDNY Fire Department EIN Yes

067 ACS Administration for Children’s Services EIN Yes

069 HRA Human Resources Administration EIN Yes 071 DHS Department of Homeless Services EIN Yes 072 DOC Department of Correction EIN Yes 073 BOC Board of Correction EIN Yes 101 PA Public Advocate’s Office EIN Yes 102 COUNCIL The City Council EIN No 103 CLERK Office of the City Clerk EIN No 125 DFTA Department for the Aging EIN Yes 126 DCLA Department of Cultural Affairs EIN Yes

127 FISA Financial Information Services Agency EIN Yes

130 DJJ Department of Juvenile Justice EIN Yes 131 OPA Office of Payroll Administration EIN Yes 132 IBO Independent Budget Office EIN No

133 EEPC Equal Employment Practices Commission EIN Yes

134 CCSC City Civil Service Commission EIN Yes

136 LPC Landmarks Preservation Commission EIN Yes

156 TLC Taxi & Limousine Commission EIN Yes


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EO91 Agency

214 OLR Office of Labor Relations EIN Yes 226 HRC Human Rights Commission EIN Yes 256 PPF Police Pension Fund EIN No

260 DYCD Department of Youth & Community Development EIN Yes

312 COIB Conflicts of Interest Board EIN Yes 313 OCB Office of Collective Bargaining EIN Yes 500 OTB Off-Track Betting Corp. Constructed No

740 SCI

Special Commissioner of Investigation for the NYC School District EIN Yes

781 DOP Department of Probation EIN Yes 801 SBS Department of Business Services EIN Yes

806 HPD Department of Housing Preservation & Development EIN Yes

810 DOB Department of Buildings EIN Yes 815 HHC Health and Home Care Constructed No

816 DOHMH Department of Health and Mental Hygiene EIN Yes

818 HHC Dr. Susan Smith McKinney Nursing and Reh. Center Constructed No

819 HHC Metro Plus Health Center Constructed No

826 DEP Department of Environmental Protection EIN Yes

827 DSNY Department of Sanitation EIN Yes 831 BIC Business Integrity Commission EIN Yes 836 DOF Department of Finance EIN Yes 841 DOT Department of Transportation EIN Yes

846 DPR Department of Parks and Recreation EIN Yes

850 DDC Department of Design and Construction EIN Yes

858 DoITT Department of Info. Tech. & Telecomm EIN Yes

860 DOR Department of Records EIN Yes 866 DCA Department of Consumer Affairs EIN Yes 868 DCAS Citywide Administrative Services EIN Yes 901 DANYC District Attorney, Manhattan EIN No 902 DABC District Attorney, Bronx EIN No 903 DAKC District Attorney, Brooklyn EIN No 904 DAQC District Attorney, Queens EIN No 905 DARC District Attorney, Staten Island EIN No

906 OSN Special Narcotics Prosecutor’s Office EIN No

907 HDC Housing Development Corp. Constructed No 908 NYCIDA Industrial Development Agency Constructed No


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EO91 Agency

909 NYCCO NYC & CO Constructed No 941 PANY Public Administrator/Manhattan Constructed No 942 PABC Public Administrator/Bronx Constructed No 943 PAKC Public Administrator/Brooklyn Constructed No 944 PAQC Public Administrator/Queens Constructed No 945 PASI Public Administrator/Staten Island Constructed No 996 NYCHA Housing Authority Constructed Yes 998 EDC Economic Development Corp. Constructed Yes 86A RGB Rent Guidelines Board Constructed No 89A HHC Bellevue Hospital Constructed No 89B HHC Jacobi Medical Center Constructed No 89C HHC Elmhurst Hospital Center Constructed No

89D HHC Health and Hospitals Corp. (Central Office) Constructed No

89E HHC Coler Memorial Hospital Constructed No 89F HHC Coney Island Hospital Constructed No

89G HHC Cumberland Diagnostic & Treatment Center Constructed No

89H HHC Emergency Medical Service Constructed No 89I HHC Family Health Services Constructed No 89J HHC Goldwater Memorial Hospital Constructed No

89K HHC Gouverneur Diagnostic & Treatment Center Constructed No

89L HHC Harlem Hospital Center Constructed No 89M HHC Kings County Hospital Constructed No 89N HHC Lincoln Medical Center Constructed No 89O HHC Correctional Health Services Constructed No 89P HHC Metropolitan Hospital Constructed No

89Q HHC Morrisania Diagnostic & Treatment Center Constructed No

89R HHC Neponsit Health Care Center Constructed No

89S HHC North Central Bronx Hospital Center Constructed No

89U HHC Queens Hospital Center Constructed No

89V HHC Sea View Hospital & Rehabilitation Center Home Constructed No

89W HHC Renaissance Health Care Center Constructed No 89X HHC Woodhull Medical Center Constructed No 89Y HHC Segundo Ruiz Belvis Care Center Constructed No

89Z HHC East New York Diagnostic & Treatment Center Constructed No


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Getting to the Admin Application

How you access the Admin Application will be different depending on whether or not you are on the City’s network (CityNet). Most City agencies’ computers are on CityNet, but your agency might not be, or you might be trying to access the Application from home or another computer. NOTE: To see if you are currently on the City’s network, try to access the Web site http://cityshare.nycnet/. If you can access the page, you are on CityNet.

• If you are on CityNet – you can use your browser to access the Admin Application at the following address: https://efd.nycnet/filer_admin/ The Admin Application login screen will appear.

• If you are not on CityNet – you can access the Admin Application through the City’s remote access (RA) system. Browse to the following address: https://efd.ra.nyc.gov

1. Enter your Username in the first field. 2. Enter your Password in the second field. 3. Click the “Sign-In” button. 4. The Admin Application login screen will appear. NOTE: If the Admin Application login screen does not appear, and you are unable to login using remote access, contact the Citywide Service Desk at 718-403-8888.

Logging In

Login Screen

http://cityshare.nycnet/

https://efd.nycnet/filer_admin/

https://efd.ra.nyc.gov/


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1. Enter your assigned Username in the first field on the Login screen. (This field is case

sensitive, so be sure to enter your Username exactly as it was given to you.) 2. Enter your Password in the second field. (This field is case sensitive, so be sure to enter

your Password exactly as it was given to you.) 3. Click “Login” button to enter the Application. The first time you log into the EFD

Application, you will be prompted to create a new Password.

4. Your old password will appear in the “Old Password” field. Enter your new Password in

the “Password” field and enter it again in the “Confirm Password” field. NOTE: Your new Password must be at least eight characters long, with a mix of letters and numbers.

5. Please click “Submit” button to create the Password and log in. NOTE: Do not share your Username or Password with anyone, including other liaisons and contact personnel. For security reasons, every individual using the Application must have his or her own login information.

Changing Your Password Any time you wish to change your Password, click the “Change Password” link near the top left corner of the page.


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You will be prompted to change your Password. 1. Enter your old Password in the in the “Old Password” field. 2. Enter your new Password in the “Password” field and again in the “Confirm Password”

field. NOTE: Your new Password must be at least eight characters long, with a mix of letters and numbers.

3. Please click “Submit” button to create the Password and log in.

Searching

The first thing you see upon logging into the Application is the Search screen / Main window. At the top will be a form with all of the fields you are able to search by. You can search for a specific filer using that filer’s First or Last Name, the last four digits of the filer’s Social Security number (SS#), or the filer’s EIN. You can also search for groups of filers by Filing Year, current Filing or Active/Inactive Status, Distribution Location, or EO91 Filer designation.

1. Enter or select the desired search criteria. 2. Press the “Search” button to initiate the search, or press the “Clear” button to clear the

criteria.


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Search Screen / Main Window

Search Results appear underneath the search form. The Search Results section will list the Filing Year, Filer Name, Distribution Location, Filing Date, and Filing Status of all the filers matching your search criteria, as well as whether or not each one is also an EO91 Filer. In addition, the Search Results will show filers for whom email addresses have been entered. Next to each result is a link to either edit or delete a given filer’s information.


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NOTE: When you first login to the Admin Application, you will see a sampling (up to 100 records) of filer information in the Search Results section. To see more, do a search or click “Next” or “Previous.”

Adding/Editing Filers

• To add a filer who is not already in the filer list for your agency, click the “Add Filer” button in the upper-right corner of the Search screen / Main window. The Add Filer screen will appear.

1. Select the “Filing Year” from the drop-down menu. 2. Enter the filer’s Employee Identification Number (EIN). NOTE: For EIN agencies, this

field is required. For agencies that use “constructed” IDs, it is not, and the screen will differ slightly as shown below. If you are unsure whether your agency uses EINs or ‘constructed’ IDs, refer to the “Agency Codes, Acronyms, EINs and ‘Constructed’ IDs, and EO91 Agencies” table in this manual.


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3. Enter the filer’s Last Name. 4. Enter the last four digits of the filer’s Social Security number (SS#). 5. Click the “Search” button to proceed. A few different scenarios may occur.

• If an exact EIN match is found at another agency in the state “Awaiting Signoff,” a popup message will appear.

If the match is in fact the filer you would like to add, press the “OK” link. If not, click the “Cancel” link. If you clicked the “OK” link, a confirmation alert will appear asking you to confirm the move. NOTE: If you move the filer to your agency, the COIB liaison at the filer’s old agency will get an email alert that the filer has been moved.


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Press the “OK” button to proceed, or the “Cancel” button to select another filer. If you selected “OK” to confirm the move, the filer’s fiscal year (FY) form will appear for editing, with the agency value already switched to the new agency. The Application will automatically send an email alert to the previous agency’s liaison. NOTE: Refer to the “Entering Filer Information” section of this document to learn how to complete the form. If there is any concern, contact the liaison at the previous agency to resolve.

• If no exact EIN matches are found, the Application will automatically search for

filers in the current year with the same last four Social Security number (SS#) digits. (A filer may exist in another agency’s list but with a different EIN. For instance, a filer’s old agency may use constructed IDs, while the new agency uses EINs, or vice-versa.) A popup will appear listing all of the matching filers’ names, EINs, and agencies. NOTE: The list will be sorted by Last Name, then First Name.


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If a listed filer is the person to be added, press the corresponding “Move to (Agency)” button to switch that filer’s current FY record to the new agency. A popup message will appear asking if the match is in fact the filer you would like to add.

NOTE: If you move the filer to your agency, the COIB liaison at the filer’s old agency will get an email alert that the filer has been moved.


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Press the “OK” button to proceed, or the “Cancel” button to select another filer. If you selected “OK” to confirm the move:

The filer’s FY form already switched to the new agency will appear with the relevant information carried over.

An email alert will be sent to the previous agency’s liaison. If there is any concern, contact the liaison at the previous agency to resolve.

A record of the change will appear within the audit trail for each FY record. When the FY record is saved, the EINs in all of the filer’s previous FY

records will be changed to the new value. If you are adding a filer who filed at another agency for the prior filing year,

please delete the filer’s prior distribution location. Otherwise the sign-out sheet will be generated reflecting the filer’s prior distribution location.

NOTE: Refer to the “Entering Filer Information” section of this document to learn how to complete the form.


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• If the filer to be added does not appear in the current year list, click the “No

Matches” button. The system will search the historical record for filers with the same last four SS# digits. The filer may have an entry for the same agency, if, for instance, the filer had skipped filing the previous year. The filer may also appear with a different agency code if the filer filed an FD report in a previous year for a different agency. A popup will appear listing all of the matching filers’ names, EINs, and agencies. The list will be sorted by Last Name, then First Name.

If the filer to be added appears in the list, select the “Copy” button to create an instance of the filer’s record in the current FY.

The filer’s prior FY record will be copied, but with the agency as the liaison’s agency.

If the previous agency is the same as the current, there will be no change to the EIN.

For non-EIN agencies, the system will construct a new Login ID based on agency acronym, last initial, and last four digits of the SS#. If necessary, the system will continue to add letters from the filer’s last name until the Login ID is unique.

A record of the change will appear within the audit trail for each FY record.

Once the FY record is saved, the EINs in all of the filer’s previous FY records will be changed to the new value.

If the filer does not appear in the historical list, select “No Matches.” The FY form with the Name, Agency, Filing Year, EIN, and last four SS# digits already filled in.

Editing Filer Information

To edit information about a filer already listed for your agency, find the filer’s name in the list at the bottom of the Search screen / Main window or in a search result, and click the “Edit” button to the right of the entry.


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Entering Filer Information

Filer Information Screen

The Filer Information screen has two sections: Demographics and Filing Year Status. • Demographics –


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o Filing Year: The Filing Year will be filled in based on what was previously entered.

o Last Name, First Name, EIN / Unique ID, and SS# will already be filled in. EXAMPLE: If a filer named John Smith worked at the Department of Transportation, and had a Social Security number of 123-456-7890, his Unique ID would be DOTs7890.

o Email: Enter the filer’s Email Address. Note that this is now a required field. o Distribution Location: Select the Distribution Location from the drop-down

menu. “Distribution Location” refers to the location where this filer’s user packet will be distributed. When the user packets are generated, a separate sign-out sheet will be made for each distribution location. Agencies that will be distributing their packets from only one location can ignore this field. To edit your distribution location list, refer to the “Managing Distribution Locations” section of this manual.

o Filing Reasons: Click your cursor in the checkbox that represents the reason this filer is required to file.

o EO91 Filer: This box indicates if the filer is also required to file with the DOI in accordance with EO91. It should already be checked if the filer is also an EO91 Filer.

o Active Status: Select “Active” or “Inactive” from the drop-down menu. o Inactive Date: If the status for this filer is “Inactive,” enter the inactive date

(mm/dd/yyyy) in the open field or click the “calendar” icon to select it from popup calendar. NOTE: Filers who are leaving City service up to June 4, 2010 may file a combined 2009/10 report. If a filer is leaving City service after June 4, 2010, do not change the filer’s status from active to inactive; please leave the filer’s 2009 record as active. Once the filer has submitted a 2009 report, you will need to add a record for 2010 for this filer.

o Packet Serial Number: Automatically appears after packets are generated. It is a unique serial number identifying a filer’s packet.

o Work Phone: Enter the filer’s Work Phone. o Work Address: Enter the filer’s Work Street Address. o City: Enter the filer’s work address City. o State: Enter the filer’s work address State. o ZIP: Enter the filer’s work address ZIP code.

• Filing Year Status – This section will be pre-populated with information regarding the filer’s due date and compliance status for the current year.


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Saving a Record After each time you make any additions or changes to a filer’s information, you must make sure to save the record. You do so by clicking “Save Filer” in the upper-right of the Filer Information screen. NOTE: Clicking “Cancel” instead of “Save Filer” will NOT save any of the changes made.

Email addresses

Email addresses are now required for all filers. You can verify which filers have email addresses at the main search screen. For all filers who do not have email addresses, you must edit the filer’s record and add the filer’s email address and save the filer’s record.

Deleting a Filer

To delete a filer from your EFD list: 1. Find the filer’s name in the list at the bottom of the Search screen / Main window or in

the Search Results area. 2. Click “Delete” to the right of the entry.

You can also delete a filer from the Filer Information screen for that specific filer, reached by clicking “Edit” to the right of the filer’s name in the Search Results section of the Search screen / Main window. To do so, when the Filer Information screen appears, click the “Delete Record” button in the upper-right corner of the screen.


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Please note that filers who left City service in 2009 and were required to file at the time that they left City service should not be deleted. NOTE: Also remember to delete any filers who are no longer required to file due to a change in position or status.

Managing Distribution Locations

You may find it helpful to establish multiple locations from which to distribute user packets. The goal of having multiple distribution locations is to help simply the packet distribution process, so be sure to set up only as many as are necessary. The EFD Application will generate a separate sign-out sheet for each location. EXAMPLE: If you are a liaison for the Department of Information Technology and Telecommunications (DoITT), you may decide to distribute user packets at 75 Park Place and 59 Maiden Lane. To manage distribution locations, on the Search screen / Main window, click the “Manage Distribution Locations” button at the top-right of the screen.

The Manage Locations screen will appear. When you first arrive at the screen, all previous distribution locations for your agency will appear. From the Distribution Locations screen, you can edit, delete, or add locations as explained below. At any time, you may return to the Search screen / Main window, by clicking the “Back to Search” button.


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Editing a Distribution Location

To edit a distribution location, click the “Edit” link to the right of the corresponding location.

The Add/Edit Distribution Location screen will appear. Edit the location and click the “Save” button. The Distribution Locations screen will reappear.

Deleting a New Distribution Location

To delete a distribution location, click the “Delete” link to the far right of the corresponding location. The location will be removed and you will be returned to the “refreshed” list.

Adding a New Distribution Location

To add a new distribution location, click the “Add New Location” button near the top right of the Distribution Locations screen.

The Add/Edit Distribution Location screen will appear. Add the new location and click the “Save” button. The Distribution Locations screen will reappear.


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Finalizing Agency Filer List

Once you are done entering and editing the data for all of your filers, and you have no more changes to make, click on the “Finalize List” button on the right of the main screen. If you have filers to delete, make sure you do so before finalizing. Once your list has been finalized, you will not be able to delete a filer until the following year. COIB, however, can still delete filers. Please note that you will not be able to finalize your list if any filers are missing email addresses. You will see a message indicating that there are filers who are missing email addresses. You will need to review your list and edit those filers’ records where there is no email address entered.

When you click the “Finalize List” button, an email will automatically be sent to COIB. This will allow COIB to generate user packets and sign-out sheets for your agency based on the list of filers. Once you finalize the list, the Filing Status for each entry will change from “Awaiting Signoff” to “Awaiting Packet Generation.”

Making Revisions after Finalizing

You can still make some changes after finalizing your list: • Adding a Filer – to add another filer or filers after finalizing your list:

1. Log back into the Admin Application. 2. Add filers as normal using the “Add Filer” button. 3. Click “Finalize List” again when finished. This will send an email to COIB

notifying them that another list has been composed by your agency and they will generate additional user packets and sign-out sheets.


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• Deleting a Filer – to delete a filer, you need to contact COIB. Only COIB can delete a filer from a list that has been finalized. Once user packets have been generated, filers can no longer be deleted.

Logging Out

You may log out of the Electronic Financial Disclosure Application at any time by clicking the “Logout” link at the top of the screen.

Be sure to log out any time you expect to not be active in the application. For security purposes, your session will automatically time out (prevent you entering data) after 20 minutes of inactivity. A session time out warning will appear in the upper right of the screen five minutes before the session times out. NOTE: If you logged in via remote access (RA), you will also need to log out of RA after you log out of the EFD Application. You can log out of RA by clicking the small door icon at the top right of the RA screen.

Packet Distribution

After picking up the user packets from COIB, the agency liaisons have to distribute them to the filers in their agencies. For large agencies, the packets can be distributed at multiple locations. Liaisons can delegate this task to a co-worker or staff member who can sign an affidavit and is at least 18 years old. Even if this task is delegated, the liaison retains full responsibility for the proper completion of the task and must provide clear instructions on how to carry it out.


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Procedure to Distribute User Packets

1. The liaison asks each filer to come to him/her (the distribution location) to sign for and pick up user packet. For filers considered senior staff, the liaison may make arrangements to take user packet directly to the filer.

2. Filers must bring a photo ID, and may not delegate someone to pick up their packet. 3. The liaison verifies filer identity, and releases user packet to the filer. Both the filer and

the liaison must sign the sign-out sheet. 4. Once user packets are distributed, the liaison retains the completed sign-out sheet. (If the

distribution task was delegated, the liaison is responsible for collecting the original sign-out sheet.)

5. The liaison collects receipts from filers. Liaison signs and dates the sign-out sheet and then returns to COIB with the receipts.

Appeals

• A filer may appeal the determination that he/she is required to file a financial disclosure report.

• Appeals will be filed on paper. • The agency liaison will provide the individual with the appeal form. • The filer must complete the appeal form and return it to the liaison no later than the filing

deadline for the agency. • The liaison then immediately sends the completed appeal form to the Agency Head, with

notice by email to the COIB.


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Lost User Packets and Password Resets

Lost User Packets

This procedure is used only before the filer has first logged in to the Application and created his or her own Password. NOTE: If a filer has already logged into the Application and created his or her own Password, the Password Reset procedure below must be followed.

• If a filer loses his packet, he or she must contact COIB. • COIB verifies the filer’s identity.

o For filers at non-PMS agencies, and agencies with board or commission members, COIB verifies the identity of filers who call COIB to have their Password reset using identifying information provided by liaisons after finalizing their filer lists. (The required information can be sent to COIB in hard copy or electronic format.)

o For PMS agencies, COIB verifies the filer’s identity using PMS data. • If COIB is unable to verify the filer’s identity because the agency liaison has not

provided COIB with required identifying information, or the information provided by the caller differs from the information provided by the agency, COIB will advise the filer that he/she will have to physically go to COIB. Filer will have to produce government-issued photo identification to sign for and pick up a new packet.

Password Resets

• If a filer loses or forgets their Password, they need to contact COIB. • COIB verifies the filer’s identity.

o For filers at non-PMS agencies, and agencies with board or commission members, COIB verifies the identity of filers who call COIB to have their Password reset using identifying information provided by liaisons after finalizing their filer lists. (The required information can be sent to COIB in hard copy or electronic format.)

o For filers at PMS agencies, COIB verifies the filer’s identity using PMS data. • COIB resets the filer’s Password, and informs filer of new temporary Password. • Any data that the filer has already entered will be saved. • If COIB is unable to verify the filer’s identity because the agency liaison has not

provided COIB with required information, or the information provided by the caller differs from the information provided by the agency, COIB will advise the filer that he/she will have to physically go to COIB and present government issued photo identification, to sign for and pick up a new packet. NOTE: If the filer needs to pick up a new packet, any information the filer previously entered will be lost. NOTE: If a liaison forgets his or her password, it can be reset by COIB in the same fashion as user Passwords.


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Contact Information/Help

For questions and concerns about COIB issues, contact one of the following people: • Holli Hellman

212-442-1413 [email protected]

• Joanne Giura-Else 212-442-1414 [email protected]

For questions and concerns about EO91 issues, contact one of the following people: Peggy Tierney 212-825-2266 [email protected] Mark French 212-825-5280 [email protected]

Glossary and Reference

• Administration (Admin) Application – The Admin Application is the tool with which agency financial disclosure liaisons enter and keep track of the filers in their agencies. User packets and sign-out sheets for filers will be generated based on the list maintained and finalized using the Admin Application.

• COIB – COIB stands for the Conflicts of Interest Board of the City of New York. The Conflicts of Interest Board is the ethics board for the City of New York, charged with interpreting and enforcing the Conflicts of Interest Law and the City’s Financial Disclosure Law. COIB is the agency that handles your financial disclosures and is managing the Electronic Financial Disclosure Program.

• Filer – “Filer” refers to any employee or member of your agency who is required to file a financial disclosure form with COIB.

• Filing Application – The Filing Application is the tool filers use to fill out and submit their Electronic Financial Disclosures. They will access this Application with the use of the user packets they will pick up from their agency liaisons. The Filing Application replaces the paper financial disclosure process.

• Liaison – The liaison is the designated person at each agency whose responsibility it is to manage the financial disclosures from their agency. In this Application, the liaisons enter the information about their agencies’ filers so that COIB generates the correct user packets and sign-out sheets for their agencies.

• EIN – An EIN is an Employee Identification Number, a unique identifier for an employee in the City’s Payroll Management System (PMS). Agencies not in the PMS will not have EINs for their employees, and must use a different identifier for their employees in the “Unique ID” field of the Admin Application. The Unique ID for non-PMS agencies is the agency’s acronym followed by the first letter of the employee’s last





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name followed by the last four digits of the employee’s Social Security number. (If there are multiple employees with the same last initial and last four digits of SS#, use the first two letters of the last name, etc.) There are some cases where a PMS agency has some filers who don’t have EINs. In these cases, the liaisons should tell the filers what their logins are when handing out the user packets.

• PMS Agency – A PMS agency is one on the City’s Payroll Management System. PMS agencies will have Employee Identification Numbers (EINs) for its employees. (See entry for “EIN”).

• User Packet – COIB generates a user packet for each filer. Each user packet contains a temporary Password, which will enable the filer initial access to the Filing Application. The packets are generated after the agency liaison finalizes his or her list. COIB then contacts the liaison to arrange for the liaison to pick up the packets.

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