procurement report for new york city municipal water ... reports/fye2016/local...procurement report...

Procurement Report for New York City Municipal Water Finance Authority

Fiscal Year Ending: 06/30/2016 Status: CERTIFIED

Run Date: 11/15/2016

of 31

1.

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7.

8.

8a

9.

Does the Authority have procurement guidelines?

Are the procurement guidelines reviewed annually, amended if

needed, and approved by the Board?

Does the Authority allow for exceptions to the procurement

guidelines?

Does the Authority assign credit cards to employees for

travel and/or business purchases?

Does the Authority require prospective bidders to sign a

non-collusion agreement?

Does the Authority incorporate a summary of its procurement

policies and prohibitions in its solicitation of proposals,

bid documents or specifications for procurement contracts?.

Did the Authority designate a person or persons to serve as

the authorized contact on a specific procurement, in

accordance with Section 139-j(2)(a) of the State Finance

Law, "The Procurement Lobbying Act"?

Did the Authority determine that a vendor had impermissible

contact during a procurement or attempted to influence the

procurement during the reporting period, in accordance with

Section 139-j(10) of the State Finance Law?

If Yes, was a record made of this impermissible contact?

Does the Authority have a process to review and investigate

allegations of impermissible contact during a procurement,

and to impose sanctions in instances where violations have

occurred, in accordance with Section 139-j(9) of the State

Finance Law?

Question

Yes

No

No

No

Yes

Yes

Yes

No

Yes

Response

http://www.nyc.gov/html/nyw/pdf/nyw_procurement_policy_10_

10_12.pdf

URL (if applicable)

Procurement-Information:



Run Date: 11/15/2016

of 31

ACACIA Financial Group Inc. Aecom Water Technology Corp.Vendor Name: Vendor Name:

Financial Advisor Consulting EngineerProcurement Description: Procurement Description:

Authority Contract - Competitive Bid Authority Contract - Competitive BidAward Process: Award Process:11/10/2011 07/01/2014Award Date: Award Date:

06/30/2016 06/30/2019End Date: End Date:

$71,131 $43,442.48Amount: Amount:

13000 Lincoln Dr W 605 Third AveAddress Line1: Address Line1:Address Line2: Address Line2:

MARLTON NEW YORKCity: City:

NJ NYState: State:

08053 10158Postal Code: Postal Code:

Plus 4: Plus 4:Province Region: Province Region:

Procurement Transactions Listing:

USA USACountry: Country:

1. 2.

$71,131 $43,442.48Amount Expended for Fiscal

Year:

Amount Expended for Fiscal

Year:

Other Professional Services Other Professional ServicesType of Procurement: Type of Procurement:

Fair market value: Fair market value:

Explain why the fair market

value is less than the amount:





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Amawalk Consulting Group LLC BLX Group LLCVendor Name: Vendor Name:

Rate Consultant Arbitrage RebateProcurement Description: Procurement Description:


09/30/2021 06/30/2020End Date: End Date:

$173,845.93 $62,500Amount: Amount:

26 Broadway 51 West 52nd StreetAddress Line1: Address Line1:Address Line2: Address Line2:

NEW YORK NEW YORKCity: City:

NY NYState: State:





3. 4.

$173,845.93 $62,500Amount Expended for Fiscal

Year:


Year:









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BMO Capital Markets GKST Inc. Bank of America N.A.Vendor Name: Vendor Name:

Underwriters Liquidity ProviderProcurement Description: Procurement Description:


03/17/2020End Date: End Date:

$40,109 $3,246,195Amount: Amount:

3 Times Square PO Box 660576Address Line1: Address Line1:Address Line2: Address Line2:

NEW YORK DALLASCity: City:

NY TXState: State:





5. 6.

$40,109 $3,246,195Amount Expended for Fiscal

Year:


Year:









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Bank of Montreal Bank of New York MellonVendor Name: Vendor Name:

Liquidity Provider TrusteeProcurement Description: Procurement Description:



$410,176 $381,850.25Amount: Amount:

360 Madison Ave 1 Wall StAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





7. 8.


Year:


Year:









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Bank of Nova Scotia Bank of Tokyo-Mitsubishi UFJVendor Name: Vendor Name:

Liquidity Provider Liquidity ProviderProcurement Description: Procurement Description:


10/27/2017 09/04/2018End Date: End Date:

$269,818 $1,699,961Amount: Amount:

One Liberty Plaza 1251 6th AveAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





9. 10.


Year:


Year:









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Barclays Bank PLC Barclays Capital Inc.Vendor Name: Vendor Name:

Liquidity Provider UnderwritersProcurement Description: Procurement Description:



$793,440 $508,115Amount: Amount:

745 7th Avenue 745 7th AvenueAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





11. 12.

$793,440 $508,115Amount Expended for Fiscal

Year:


Year:









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Bayern LB Cabrera Capital MarketsVendor Name: Vendor Name:




$110,835 $29,335.25Amount: Amount:

560 Lexington Ave 650 5th AveAddress Line1: Address Line1:

#21Address Line2: Address Line2:


NY NYState: State:





13. 14.


Year:


Year:









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Citibank N.A. Citigroup Global MarketsVendor Name: Vendor Name:




$237,106 $1,119,271Amount: Amount:

390 Greenwich St. 390 Greenwich St.Address Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





15. 16.


Year:


Year:









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Creative Source Dexia Credit LocaleVendor Name: Vendor Name:

CAFR Designer Liquidity ProviderProcurement Description: Procurement Description:


02/24/2017 10/27/2017End Date: End Date:

$13,050 $149,501Amount: Amount:

130 W 25th S 445 Park AvenueAddress Line1: Address Line1:

#5CAddress Line2: Address Line2:


NY NYState: State:





17. 18.


Year:


Year:









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Drexel Hamilton LLC Fidelity Capital MarketsVendor Name: Vendor Name:

Pricing Advisor UnderwritersProcurement Description: Procurement Description:



$40,000 $30,094Amount: Amount:

40 Wall Street 61 BroadwayÿÿNew YorkAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





19. 20.


Year:


Year:









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Goldman Sachs & Co. JPMorgan Chase Bank N.A.Vendor Name: Vendor Name:




$349,073.75 $3,398,915Amount: Amount:

85 Broad Street 270 Park AvenueAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





21. 22.

$349,073.75 $3,398,915Amount Expended for Fiscal

Year:


Year:









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JPMorgan Securities Inc. Jefferies LLCVendor Name: Vendor Name:

Underwriters UnderwritersProcurement Description: Procurement Description:


End Date: End Date:

$748,872 $147,773.25Amount: Amount:

270 Park Avenue 520 Madison AvenueAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





23. 24.


Year:


Year:









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Lamont Financial Services Corporation Landesbank (Helaba)Vendor Name: Vendor Name:

Financial Advisor Liquidity ProviderProcurement Description: Procurement Description:


06/30/2018 06/15/2021End Date: End Date:

$136,017 $1,388,360Amount: Amount:

30 2 Bridges Rd 420 Fifth AvenueAddress Line1: Address Line1:

24th flAddress Line2: Address Line2:

FAIRFIELD NEW YORKCity: City:

NJ NYState: State:





25. 26.


Year:


Year:









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Lebenthal and Co. LLC Loop Capital Markets LLC Vendor Name: Vendor Name:



End Date: End Date:

$36,525 $39,199.25Amount: Amount:

521 Fifth Avenue 88 Pine StreetAddress Line1: Address Line1:

24th flAddress Line2: Address Line2:


NY NYState: State:





27. 28.


Year:


Year:









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Marks Paneth LLP Marks Paneth LLPVendor Name: Vendor Name:

Auditors AuditorsProcurement Description: Procurement Description:


06/30/2018 06/14/2017End Date: End Date:

$140,000 $40,000Amount: Amount:

685 3rd Avene 685 3rd AveneAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





29. 30.


Year:


Year:









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Merrill Lynch PF&S Inc. Mizuho Coporate Bank Ltd.Vendor Name: Vendor Name:




$984,698.5 $3,438,818Amount: Amount:

4 World Financial Ctr 1251 6th AveAddress Line1: Address Line1:

northAddress Line2: Address Line2:


NY NYState: State:





31. 32.


Year:


Year:









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of 31

Mizuho Securities USA Inc. Mohanty Gargiulo LLCVendor Name: Vendor Name:

Underwriters Swap AdvisorProcurement Description: Procurement Description:



$41,790 $60,000Amount: Amount:

1251 6th Ave 100 Park AveAddress Line1: Address Line1:

Suite 1600Address Line2: Address Line2:


NY NYState: State:





33. 34.


Year:


Year:









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Morgan Stanley & Co. Nixon Peabody LLPVendor Name: Vendor Name:

Underwriters Bond Counsel DisclosureProcurement Description: Procurement Description:



$250,538.5 $210,000Amount: Amount:

1221 Avenue of the Americas 437 Madison AveAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





35. 36.


Year:


Year:









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Orrick Herrington & Sutcliffe LLP PFM Asset Management LLCVendor Name: Vendor Name:

Bond Counsel Investment Management ServicesProcurement Description: Procurement Description:


12/31/2016 05/09/2017End Date: End Date:

$750,000 $63,157Amount: Amount:

666 5th Ave 905 Marconi AveAddress Line1: Address Line1:Address Line2: Address Line2:

NEW YORK RONKONKOMACity: City:

NY NYState: State:





37. 38.


Year:


Year:









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PNC Bank NA PNC Capital Markets LLCVendor Name: Vendor Name:




$610,641 $74,001Amount: Amount:

340 Madison Ave 340 Madison AveAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





39. 40.


Year:


Year:









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Piper Jaffrey & Co. RBC Capital Markets Vendor Name: Vendor Name:



End Date: End Date:

$40,055 $538,821Amount: Amount:

345 Park Ave One Liberty Plaza 165 BroadwayAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





41. 42.


Year:


Year:









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RR Donnelly Ramirez & Co.Vendor Name: Vendor Name:

Printer for OS UnderwritersProcurement Description: Procurement Description:



$105,878 $699,095.5Amount: Amount:

255 Greenwich 61 BroadwayÿÿNew YorkAddress Line1: Address Line1:

#BAddress Line2: Address Line2:


NY NYState: State:





43. 44.


Year:


Year:









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Raymond James & Associates Inc. Rice Financial Products CompanyVendor Name: Vendor Name:



End Date: End Date:

$129,286 $35,630Amount: Amount:

250 Park Avenue 17 State StreetAddress Line1: Address Line1:

2nd flAddress Line2: Address Line2:


NY NYState: State:





45. 46.


Year:


Year:









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Roosevelt and Cross Incoporated Royal Bank of CanadaVendor Name: Vendor Name:




$36,350 $3,113,304Amount: Amount:

One Exchange Plaza 12 East 49th StreeAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





47. 48.


Year:


Year:









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Siebert Brandford Shank & Co. LLC State Street Bank & trust Company N.A.Vendor Name: Vendor Name:




$80,299.25 $1,653,452Amount: Amount:

100 Wall Street 225 Franklin StreetAddress Line1: Address Line1:Address Line2: Address Line2:

NEW YORK BOSTONCity: City:

NY MAState: State:





49. 50.


Year:


Year:









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Sumitomo Mitsui Banking Corp. TD Bank NAVendor Name: Vendor Name:

Liquidity Provider Liquidity ProviderProcurement Description: Procurement Description:


06/04/2020 09/17/2018End Date: End Date:

$1,862,061 $1,168,330Amount: Amount:

277 Park Avenue 31 W 52nd StAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





51. 52.

$1,862,061 $1,168,330Amount Expended for Fiscal

Year:


Year:









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TD Securities US Bank/LiquidityVendor Name: Vendor Name:




$218,016 $2,294,422.71Amount: Amount:

31 W 52nd St 461 5th AvenueAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





53. 54.

$218,016 $2,294,422.71Amount Expended for Fiscal

Year:


Year:









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US Bank/Remarketing Wells Fargo Bank NA/LiquidityVendor Name: Vendor Name:




$485,627.25 $897,260.37Amount: Amount:

461 5th Avenue 330 Madison AveAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





55. 56.

$485,627.25 $897,260.37Amount Expended for Fiscal

Year:


Year:









Run Date: 11/15/2016

of 31

Wells Fargo Bank NA/Remarketing Wells Fargo Insurance Services of New

York Inc.

Vendor Name: Vendor Name:

Underwriters D&O InsuranceProcurement Description: Procurement Description:



$389,671.28 $186,573Amount: Amount:

330 Madison Ave 330 Madison AveAddress Line1: Address Line1:Address Line2: Address Line2:


NY NYState: State:





57. 58.


Year:


Year:









Run Date: 11/15/2016

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Additional Comments:

procurement report for new york city municipal water ... reports/fye2016/local...procurement report...

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