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NEW YORK STATE THRUWAY AUTHORITY200 Southern Boulevard
Post Office Box 189
Albany, NY 12201-0189 March 13, 2013
REQUEST FOR PROPOSAL
RFP 12C20 CUSTODY & SAFEKEEPING SERVICES Inquires To: Denis Britvan - 518-436-3075E-mail: [email protected]
Fax: (518) 471-4442
Time and Due Date of Proposal Submission:1:00 P.M., April 24, 2013
Time and Date of Pre-proposal Meeting:N/A
Contract Period: The Contract shall be for a term of five years.
INSTRUCTIONS
Attach this form to the front of your proposal.
Indicate whether or not your firm is certified by NYS as a Minority or Women Owned Business Enterprise by circling yes or no.Circle one: Yes No
Complete all information below, including signature, to acknowledge your understanding and acceptance of the provisions of theNon-Collusive Bidding Certification as indicated at the bottom of this document.
The Signatory to this document must be authorized to bind the proposing firm contractually.
Firm Name Federal Tax ID No.
Street Address City/State/Zip
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New York State Thruway Authority
And
New York State Canal Corporation
Request for Proposal
CCUUSSTTOODDYY AANNDD SSAAFFEEKKEEEEPPIINNGG SSEERRVVIICCEESS
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RFP TABLE OF CONTENTS
Article I Background/Administrative Matters Pages
Section 1.1 Background.. 3Section 1.2 Key Dates. 4Section 1.3 Permissible Contacts/Contact Person. 4Section 1.4 Written Questions & Responses.. 5Section 1.5 Exceptions to Terms & Conditions.. 5Section 1.6 RFP Errors or Omissions.. 5
Article II Services Requested
Section 2.1 Background. 6Section 2.2 Scope of Services.. 6Section 2.3 Fee Proposal.. 8
Article III Proposal Requirements
Section 3.1 Content of Proposal.. 8Section 3.2 Submission of Proposal 12
Article IV Evaluation of Proposals
Section 4.1 Overview.. 13
Section 4.2 Preliminary Review. 13Section 4.3 Evaluation/Criteria.. 13Section 4.4 Oral Presentations/Interviews/Facility Inspections 14Section 4.5 Selection of Proposer(s) 14
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ARTICLE I - Background/Administrative Matters
Section 1.1 - Background
The New York State Thruway Authority is seeking proposals from experienced andqualified financial firms to provide custody and safekeeping services for investments,deposits, delivery, securities valuation and other services in connection with theinvested funds held by the Authority.
The Thruway Authority is a public corporation organized and existing pursuant to
Article 2, Title 9 of the New York State Public Authorities Law for the purpose offinancing, constructing, reconstructing, improving, developing, maintaining andoperating a highway system known as the Governor Thomas E. Dewey Thruway. Thepowers of the Thruway Authority are vested in and exercised by a seven-member Boardappointed by the Governor with the advice and consent of the State Senate.
The Thruway is a 570-mile superhighway system crossing the State. It is the longesttoll superhighway system in the United States. The Thruway route from the New YorkCity line to the Pennsylvania line at Ripley is 496 miles long and includes the 426-milemainline connecting New York City and Buffalo, the States two largest cities. OtherThruway sections make direct connections with the Connecticut and MassachusettsTurnpikes, New Jersey Garden State Parkway and other major expressways that leadto New England, Canada, the Midwest and the South. In 1991 the Cross-WestchesterExpressway was added to the Thruway system. In all, the Thruway is comprised of2818 lane miles of roadway, 806 bridges, over 350 buildings, 134 interchanges, 35
tandem areas, 27 service areas, 275 toll booths, nearly 120 water services, 18 wastewater treatment plants and 26 motor fueling stations for Authority vehicles andequipment. Operationally, the Authority is segmented into four regional divisions NewYork, Albany, Syracuse and Buffalo with the Administrative Headquarters located in
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For the purposes of this Request for Proposals (RFP), the term Authority shall mean
both the New York State Thruway Authority and the New York State Canal Corporation. Section 1.2 - Key Dates
Provided below is a tentative schedule for the milestones in this RFP process, listed inthe order of occurrence. The Authority reserves the right to change any or all of thesedates as it deems necessary or convenient in its discretion; in the event of such a datechange, all parties that have been furnished with this RFP will be duly notified.
Event Date
RFP Issuance March 13, 2013Deadline for Written Questions and Exceptions to
Terms and Conditions March 27, 2013Issuance of Written Responses April 10, 2013Proposal Due Date April 24, 2013, 1:00 PM
Section 1.3 Permissible Contacts/Contact Person
This procurement is subject to and shall be conducted in accordance with the ThruwayAuthority/Canal Corporation Guidelines Regarding Permissible Contacts During aProcurement and the Prohibition of Inappropriate Lobbying Influence (attached heretoas Exhibit 1). All questions concerning this RFP must be addressed to the persons
listed below. Proposers and prospective Proposers may not approach any otherAuthority officer, employee, contractor or agent or any other State entity relative to thisRFP (except as provided in Exhibit 1).
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Michael Sikule
Director of Investments and Asset ManagementNew York State Thruway Authority/New York State Canal Corporation
200 Southern BoulevardAlbany, New York 12209
In the event the contact persons listed above are not available, Proposers may directtheir questions to Mari-Ann Brower at (518) 436-3161 or Kevin Allen at (518) 436-2736
Section 1.4 - Written Questions & Responses
The Authority will provide official written responses to all written questions that aresubmitted to the Authority contact person identified as a Purchasing representative inSection 1.3 hereof on or before the date set forth in Section 1.2 of this RFP. Theseofficial responses will be distributed to all parties that have been furnished with thisRFP. Prospective Proposers should rely only on these official written responses.Questions submitted after the due date set forth in Section 1.2 of this RFP may notreceive an official answer.
Section 1.5 - Exceptions to Terms and Conditions
The selected Proposer will be required to enter into a Contract with the Authority thatincludes, but is not limited to, the terms and conditions set forth in Article V of this RFP
and Appendix A attached hereto. If a Proposer objects to any such term or condition,the Proposer must state such objection in writing and submit such objection to theAuthority contact person identified as a Purchasing representative in Section 1.3 hereofby the deadline for submission of written questions set forth in Section 1.2 herein. Such
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ARTICLE II Services Requested
Section 2.1 Background
The Authority is seeking a qualified financial firm to provide custody and safekeepingservices for the Authoritys investments and related banking activities pursuant to thecustody and safekeeping requirements of the Public Authorities Law and the StateFinance Law.
It is the goal of the Authority to utilize firms that have a demonstrated history of hiring,training, developing, promoting and retaining minority group members and women and
to encourage participation by qualified certified Minority and Women-Owned BusinessEnterprise (M/WBE) firms.
The Thruway Authority manages four separate portfolios of investments subject to ourcurrent custody and safekeeping agreement. During 2011, the Authority purchasedapproximately 400 investments within the four separate portfolios classified betweenapproximately twenty (20) different funds. As of September 30, 2012 the totalinvestment balance for the four portfolios was approximately $1,069,000,000. It isanticipated that this contract will include an additional portfolio for investment activitiesrelated to financing for the Tappan Zee Hudson River Crossing Project.
The Authority also has government banking relationships with four banks. All cash heldat these banks needs to be fully collateralized. The provider of custody and safekeepingservices is required to hold the collateral associated with these funds.
For additional information and reference, please see our website atwww.thruway.ny.gov for the New York State Thruway Authority Investment Policy andPolicy Amendments; www.osc.state.ny.us/pubauth/documents/regulations, for Public
Authority Regulations Part 201 Section 3 - Investment Guidelines for Public Authorities;
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3. The identification and daily collection of all receipts/income which becomes due
and payable on assets and the daily payment of receipts/income.
4. Open and maintain any and all necessary accounts for providing custodialservices.
B. Provide all necessary accounting and reporting for cash and non-cashinvestment transactions affecting assets held by the Authority to include:
1. Verification of trades, including calculations necessary to process delivery andsettlement of payment for individual securities purchases and redemptions.
2. Daily pricing for all publicly held securities.
3. Availability of on-line accounting data and standard hard copy accountingproduction reports.
4. Daily processing of all cash and non-cash accounting transactions pertaining toassets held in custody.
C. Provide all necessary systems support capable of accommodating current andanticipated Authority service needs, to include, but not limited to:
1. On line access to custodian management information/accounting system 6:00AM to 6:00 PM EST Monday through Friday.
2. a. Ability to provide production reports on sales, purchases, income, holdings,and total fund level by account and for variable time intervals.
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D. Provide custody for securities held as collateral for cash deposits as required byPublic Authorities Law and Section 105 of the State Finance Law.
1. Provide safekeeping for these securities in a location and manner satisfactory tothe Authority.
2. Ensure securities meet the requirements of Section 201.3 of the PublicAuthorities Law and Section 105 of the NYS Finance Law.
3. Allow the release or substitution of these securities only upon the proper
authorization of designated Authority staff.
4. Provide confirmation of all transactions to the Authority.
5. Provide the Authority with monthly market value report of holdings for eachescrow account.
6. Provide online access to the securities being held by escrow account.
E. Participation and cooperation with scheduled audits and inventory of securitiesconducted by independent audit firms designated by the Authority, if necessary.
F. Other services required by the Authority and normally performed by a mastercustodian to a governmental or public authority.
Section 2.3 Fee Proposal
Each proposal shall include a Fee Proposal (see Attachment 1). Please list all feescharged by your firm for the services indicated in this RFP, as detailed in the
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To expedite the review of submissions, the Authority requests that the proposal be
submitted in a binder with the material separated by tabs numbered/lettered to matchthe specific information requested below; provided, however, that the fee proposal shallbe submitted in a separate envelope marked Fee Proposal. Additional information, ifany, should be submitted in a separate binder. No information beyond that specificallyrequested is required, and Proposers should keep their submissions to the shortestlength consistent with making a complete presentation, not to exceed 12 pages. Suchpage limit shall apply to all information that must be submitted except the fee proposaland those materials required by paragraph C(6) and paragraph D of this Section.
A. Cover Letter A cover letter, which is an integral part of the proposal, mustbe signed by the individual or individuals authorized to bind the Proposercontractually. The letter must indicate for each signatory that the signer is soauthorized and the title or position the signer holds in the Proposersorganization. The cover letter shall include the following:
1) The Proposers name, nature of organization (e.g. corporation,
partnership, etc.), location of main office - address, telephone/fax numbersand e-mail address and the name, business address, telephone/faxnumbers and e-mail address of the person within the organization who willbe the Authority's primary contact concerning the proposal.
2) A statement that the proposal is an irrevocable offer for 120 days from thedate when proposals are due, or longer by mutual agreement.
3) A statement that the Proposer is ready, willing and able to provide theproposed services in a timely manner upon reasonable notice.
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3. Describe the procedures and controls in place for documenting and
safeguarding the delivery and receipt of custodial assets.
4. Describe the methods and timing of clearing and settlementcapabilities of your firm and how your firm will coordinate securitiestransactions with Authority staff.
5. Describe in detail how your firm will assure the Authority that allnecessary cash transactions are identified and handled in a proper and
expeditious manner.
6. Describe in what manner and how quickly Authority staff will be notifiedof any failed trades.
7. Describe your dispute handling procedures in the case of faileddelivery of securities or non receipt of payment. If any securities heldhave been misplaced, lost during the last three years, please describe
the circumstances and what was done to correct the problem.
8. Identify the location(s) where services will be rendered and how yourbank can accommodate the Authority working hours of operationsbetween 7:30 AM to 5:00 PM.
9. Provide samples or screen shots of the key reports you would prepareto satisfy Section 2.2 (B and C) of the Scope of Services requirement.Identify how the Authority will access such reports.
10. Describe the computer system in place that will support the
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2) Detailed documentation of the Proposers qualifications and experiencerelated to the scope of work required by this RFP.
3) The resumes of key management and supervisory personnel who will bedirectly assigned to provide the services to the Authority and a descriptionof the specific function each will perform. This information should includeeach individuals qualifying experience to perform the services assignedand his/her position and length of service with the Proposer.
4) A client list including a detailed description of the size, total dollar value,and specific services provided for each client to which the Proposer
provided similar services within the past five (5) years; specify the name,address and telephone number of the individual responsible at the clientorganization for the supervision of such services.
5) A list of at least three (3) references.
6) Copies of the Proposers audited financial statements for the past twoyears. If a Proposer does not have audited financial statements, Proposer
should submit any financial statements that it does have (e.g. lines ofcredit, statements compiled by an outside accounting firm, etc.) and anyother information Proposer feels is pertinent in establishing the financialstability of its business/organization. If a Proposer has questions aboutwhat evidence of the Proposers financial stability will be acceptable to the
Authority, the Proposer should communicate with the Authority contactperson.
D. Other Required Materials each proposal must include the following requiredmaterials, completely filled out and executed by the individual or individualswho signed the cover letter and are authorized to bind the Proposer
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3) a. Vendor Responsibility Questionnaire (Supplement 3) the Authoritys
Procurement Policy provides that the Authority will award procurementcontracts for services to responsive and responsible Proposers on thebasis of best value. The Authority uses the information provided byProposers on this Questionnaire to assist it in making a determination ofresponsibility of a proposed Contractor. OR
b. If Proposer submitted a completed Vendor Responsibility Questionnaireto the Authority within the past twelve months in connection with an
Authority procurement, and if Proposer was awarded a contract as a resultof such procurement, and if there have been no material changes to theinformation Proposer provided on the previously submitted VendorResponsibility Questionnaire, then Proposer may submit a Certificate ofNo Change (Supplement 4) along with a copy of the previously submittedVendor Responsibility Questionnaire in lieu of submitting a new VendorResponsibility Questionnaire.
4) ST-220-CA New York State Department of Taxation and FinanceContractor Certification (Supplement 5) Section 5-a of the New YorkState Tax Law, and regulations, bulletins and guidelines promulgatedthereunder, require that the Authority collect this information for contractswith a value in excess of $100,000.
Section 3.2 Submission of Proposal
A Proposer must submit 6 copies of its proposal to the Authority contact personidentified as a Purchasing representative in Section 1.3 hereof on or before the due
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All proposals submitted in response to this RFP shall become the property of the Authority.
A Proposer should mark those sections of its proposal that it believes contain proprietaryinformation. The Authority reserves the right to make its own, independent determinationas to whether material so marked is proprietary; the Authority will give proprietarytreatment only to that material which it has determined to be proprietary. Further, the
Authoritys response to third party requests for information contained in a proposal shall begoverned by New York State Public Officers Law Articles 6 and 6-A, as applicable. Thereturn of proposals not selected for award shall be in the sole discretion of the Authority.
The Authority will notaccept proposals by telegraph, fax or electronic means.
ARTICLE IV Evaluation of Proposals
Section 4.1 Overview
An Evaluation Committee comprised of Authority staff will review and evaluate each of
the properly submitted written proposals. The purpose of the evaluation process, whichwill be conducted as set forth in this Article, is twofold: (1) to examine the responses forcompliance with this RFP; and (2) to identify the proposals that will provide the bestvalue to the Authority pursuant to the criteria set forth in Section 4.3. The evaluationprocess may also include, in the Authoritys sole discretion, reference checks, oralpresentations, facility inspections and/or interviews with selected Proposers.
Section 4.2 Preliminary Review
A. Each proposal will be date and time stamped when received.
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D. The qualifications, experience and availability of the Proposers lead person(s)
and other staff who would be assigned to provide services to the Authority.
E. Overall completeness, clarity, quality and responsiveness of the proposal to theRFP.
Section 4.4 Oral Presentations/Interviews/Facility Inspections
The Authority reserves the right to require some or all Proposers to give oral
presentations regarding their proposals or to appear before the Authority for aninterview. The Authority also reserves the right to require a facility inspection at aProposers location. The Authority shall not be liable for any costs a Proposer incurs inassociation with such presentations/interviews/inspections.
The purpose of the oral presentation/interview/facility inspection is to give the Authorityan opportunity to pose any questions that may have arisen during the review processand to give the Proposer an opportunity to elaborate on how specific services will be
furnished and its ability to deliver those services. In the event the Authority decides toimplement this stage of the evaluation process, further information will be provided toaffected Proposers.
Section 4.5 Selection of Proposer(s)
The Authority, as best suits its interests, may at any time enter into Contractnegotiations with more than one Proposer. The Authority will notify those Proposer(s)
so selected for Contract negotiations.
The Authority will provide all Proposers with a Notice of Tentative Contract Award whichi di t th f l P ( ) t hi h th A th it i t d t d C t t
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Section 4.6 Additional Procurement Rights
By submission of a proposal, the Proposer acknowledges and agrees that the Authorityreserves the right to:
x Accept or reject any or all proposals received in response to this RFP.
x Reject any proposal where the Authority finds that the Proposer is non-responsible under State Finance Law 139-j or 139-k or another State agencyor authority has found the Proposer non-responsible under State Finance Law
139-j or 139-k within the prior four (4) years.
x Correct any arithmetic errors in the proposals.
x Waive informalities and excuse minor irregularities contained in proposalsubmissions. This waiver shall in no way modify the RFP or excuse a Proposerthat enters into a Contract with the Authority from full compliance with theRFP.
x Request that Proposers clarify elements in their proposals and submit revisedproposals that incorporate such clarifications.
x Negotiate Contract terms with the Proposer(s) that best serve the interests of theAuthority, consistent with RFP requirements, statutory requirements, andAuthority policies and procedures.
x Contact any clients on the Proposers client list and/or references furnished aspart of the proposal, with the understanding that the Authority will keep suchcontacts confidential
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Section 5.1 - Contract Term
The Contract shall be for a term of five years.
Section 5.2 Independent Contractor
The Proposer is and shall be, in all respects, an independent contractor in performingservices pursuant to the Contract. In accordance with its status as an independentcontractor, the Proposer shall covenant and agree that neither it nor its agents and/oremployees will hold itself or themselves out as or claim to be an officer or employee ofthe Authority, and that neither the Proposer nor its agents and employees shall make
any claim, demand or application to or for any right or privilege applicable to an officeror employee of the Authority, including, but not limited to Workers Compensationcoverage, Unemployment Insurance benefits, Social Security coverage or RetirementSystem membership or credit.
Section 5.3 Personnel, Equipment and Supplies
The Proposer shall provide all resources, personnel, equipment and supplies necessary
to perform services pursuant to the Contract. If in order to provide such services theProposer must make an external connection to the Authoritys data communicationsinfrastructure and/or access Authority information systems, the Proposer shall in allrespects comply with all Authority policies and procedures regarding such connectionsand information systems access and undertake whatever actions are necessary in thediscretion of the Authority to ensure such compliance. The Proposer shall beresponsible for all costs associated with ensuring that its own network securitymeasures comply with all Authority policies and procedures regarding externalconnections.
Section 5.4 - Insurance Requirements
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4) The Proposer shall furnish the Authority with Certificate(s) of Insurance onACORD Form 25, accompanied by the Authority Supplemental Insurance
Certificate (Exhibit 2 TA-W51343-9), for each insurance carrier involved.Such Certificate(s) shall be executed by a duly authorized representativeof the insurance carrier, certifying such authorization and showingcompliance with the Authoritys insurance requirements set forth herein.The Proposer shall furnish the Authority with a copy of each Endorsementrequired herein. For work to be performed within New York State, proof ofWorkers Compensation and Disability Benefits Insurance shall beindicated on the appropriate Workers Compensation Board form;
generally C-105.2 for Workers Compensation and DB-120.1 for NYSDisability Benefits.
5) All policies, by specific Endorsement, shall provide for written notice to theAuthority no less than thirty (30) days prior to the cancellation,nonrenewal, or material alteration of any insurance policies referred totherein. Any such notice shall be sent by certified mail to: InsuranceCompliance Section, Office of Investments and Asset Management, New
York State Thruway Authority, P.O. Box 189, Albany, New York 12201-0189.
6) If insurance policies utilized for Authority projects contain Deductibles orSelf-Insured Retentions (SIRs), they must be declared as such withapplicable levels on the Certificate(s) of Insurance and the AuthoritySupplemental Insurance Certificate. The Authority has the option toaccept or reject the Deductibles or SIRs, or the Proposer itself, or toimpose additional security or other requirements, in view of the Authorityspreference that insurance policies utilized for Authority projects have noDeductibles or SIRs.
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10) If the Proposer fails to maintain the required insurance, the Authority shallhave the right, but not the obligation, to purchase said insurance at the
Proposers expense. The Proposer agrees that all premiums, costs, andexpenses associated with such purchase, or the recovery of thosepurchase amounts by the Authority, shall be deducted from the Proposerspayments under the Contract, or by any other lawful means, includingdeduction from any current or future contract with the Authority.
11) By requiring insurance, the Authority does not represent that certaincoverages and limits will necessarily be adequate to protect the Proposer,
and such coverages and limits shall not be deemed a limitation on theProposers liability under the indemnities granted to the Authority underany provision of the Contract.
12) The Proposer and its subcontractors shall waive all rights against theAuthority and its agents, officers, directors, and employees, for recovery ofdamages to the extent these damages are covered by the CGL policy.
13) The Proposer shall provide a copy of the Authoritys InsuranceRequirements to its insurance producer(s) and insurance carrier(s).
B. The specific types and amounts of insurance that the Proposer must providepursuant to the Contract are as follows:
1) Commercial General Liability Insurance The Proposer shall maintainCommercial General Liability (CGL), with no less than the following limitsand coverages:
Each Occurrence Limit: $1,000,000
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2) Bankers Professional Liability Insurance The Proposer shall maintainBankers Professional Liability Insurance with a limit of no less than
$5,000,000 per occurrence/$5,000,000 aggregate. Such insurance shallapply to professional acts or omissions arising out of the scope of servicescovered by the Contract.
3) Workers Compensation & NYS Disability Benefits Insurance --- TheContract shall be void and of no force and effect unless the Proposer shallprovide and maintain coverage during the life of the Contract for thebenefit of such employees as are required to be covered by the Workers
Compensation/Disability Benefits Law. The Proposer must provide proofof exemption, certified by the Workers Compensation Board, to obtain awaiver from the requirements of this provision.
Section 5.5 Liability
The Proposer shall be responsible for all damage to life and property due to negligent orotherwise tortious acts, errors or omissions of the Proposer in connection with its
services under the Contract. Further, it is expressly understood that the Proposer shallindemnify and save harmless the Authority and/or the State of New York, as theirinterests may appear, from claims, suits, actions, damages, and costs of every nameand description resulting from the negligent performance of the services of the Proposeror the quality of goods provided under the Contract, and such indemnity shall not belimited by reason of enumeration of any insurance coverage herein provided. However,the Proposer shall not be required to indemnify the Authority for that portion of anyclaim, suit, action, damage or cost which arises due to the negligent act or omission ofthe Authority and shall not be required to indemnify the State of New York for thatportion of any claim, suit, action, damage or cost which arises due to the negligent actor omission of the State. The provisions of this section shall survive the expiration or
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The Proposer shall identify and provide the Authority with notice of those Proposer
employees who are former employees of the Authority or New York State and will beassigned to perform services under the Contract. The Authority may request that theProposer provide it with whatever information the Authority deems appropriate abouteach such persons engagement, work cooperatively with the Authority to solicit advicefrom the JCOPE, and, if deemed appropriate by the Authority, instruct any such personto seek the opinion of the JCOPE. The Authority shall have the right to cancel orterminate the Contract at any time if any work performed under the Contract is in conflictwith any Ethics Provision.
Section 5.7 Confidentiality and Non-Disclosure
A. Confidential Information means any information not generally known to thepublic, whether oral or written, that the Authority claims is confidential anddiscloses to the Proposer so that the Proposer can provide services to the
Authority pursuant to the Contract. Confidential Information may include, butis not limited to, operational and infrastructure information relating to: bid
documents, plans, drawings, specifications, reports, product information, anddata; business and security processes and procedures; personnel andorganizational data, and financial statements; information system IPaddresses, passwords, security controls, architectures and designs; and suchother data, information and images that the Authority deems confidential. The
Authority will identify written Confidential Information by marking it with theword Confidential and will identify oral Confidential Information asconfidential at the time of disclosure to the Proposer.
B. Confidential Information does not include information which, at the time of theAuthority disclosure to the Proposer: (a) is already in the public domain or
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D. The Proposer shall hold Confidential Information confidential to the maximumextent permitted by law. The Proposer shall safeguard Confidential
Information with at least the same level of care and security, using allreasonable and necessary security measures, devices and procedures thatthe Proposer uses to maintain its own confidential information.
E. Upon the written request of the Authority, the Proposer shall return all writtenConfidential Information to the Authority.
Section 5.8 New York State Finance Law 139-j and 139-k Certification
By execution of the Contract, Proposer will certify that all information Proposer hasprovided to the Authority with respect to New York State Finance Law 139-j and 139-k is complete, true and accurate.
Section 5.9 Iran Divestment Certification
By execution of the Contract, Proposer will certify each person and each person signingon behalf of any other party certifies, and in the case of a joint bid or partnership eachparty thereto certifies as to its own organization, under penalty of perjury, that to thebest of its knowledge and belief, that each person is not on the list created pursuant toparagraph (b) of subdivision 3 of Section 165-a of the State Finance Law.
Section 5.10 Suspension, Abandonment and Termination
The Authority shall have the right, in its sole discretion, to postpone, suspend, abandonor terminate the Contract at any time and for any reason, and such action shall in noevent be deemed a breach of contract. This includes the Authoritys right to terminatethe Contract in the event the Authority finds that the certification made by the Proposer
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Section 5.11 - Standard Contract Clauses, Appendices, Exhibits and Supplements
The Appendices listed below and attached hereto will be incorporated into and made apart of the Contract. Proposer must complete and submit Exhibit 2 to the Authority priorto commencement of work under the Contract. Proposer must also complete andsubmit Supplements 1, 2, 3 or 4, 5, and Attachment 1 with its proposal.
Appendix A Standard Clauses
Exhibit 1 Thruway Authority/Canal Corporation Guidelines RegardingPermissible Contacts During a Procurement and the Prohibition ofInappropriate Lobbying Influence
Exhibit 2 Authority Supplemental Insurance Certificate (TA-W51343-9)
Supplement 1 New York State Finance Law 139-j and 139-k Disclosure of PriorNon-Responsibility Determinations
Supplement 2 Certificate of Compliance with the Authority/Corporation GuidelinesRegarding Permissible Contacts During a Procurement and theProhibition of Inappropriate Lobbying Influence
Supplement 3 Vendor Responsibility Questionnaire
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TAP-335 (10/2010)
New York State Thruway Authority/New York State Canal Corporation
Guidelines Regarding Permissible Contacts During a Procurement and the Prohibition of
Inappropriate Lobbying Influence
Chapter 1 of the Laws of 2005, as amended (referred to as the Lobbying Law), set forth in theLegislative Law and State Finance Law specific requirements relative to lobbying ongovernment procurements and procurement contracts. More specifically, the Lobbying Law
created two new sections in the State Finance Law: Section 139-j addresses restrictions oncontacts during the procurement process; and Section 139-k addresses the disclosure ofcontacts and the responsibility of offerers1 during the procurement process. In this regard, aprocurement contract means a contract or agreement (including an amendment, extension,renewal or change order to an existing contract where such amendment, extension, renewal orchange order is not authorized and payable under the terms of the contract) involving anestimated annual expenditure in excess of $15,000 for a commodity, service, technology, publicwork, or construction; purchase, sale, lease, or acquisition of real property; or revenue contract.
In conformity with the Lobbying Law, during the restricted period2 for anAuthority/Corporation procurement, an offerer may only make permissible contacts regardisuch procurement, which means that the offerer shall contact only the Authority/Corporationdesignated contact person(s) for that procurement. In this regard, contact means any oral,written or electronic communication with a governmental entity under circumstances wherereasonable person would infer that the communication was intended to influence thegovernmental entitys conduct or decision regarding the Authority/Corporation procurement.
ng
a
Request for Proposals (RFP), Invitation
Exceptions to this rule include:
x submission of a written proposal in response to afor Bids (IFB) or any other solicitation method;
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x written complaints that the Authority/Corporation designated contact for a procurementfails to respond in a timely manner to authorized offerer contacts;
x negotiation of procurement contract terms with the Authority/Corporation followingtentative award;x contacts between designated Authority/Corporation staff and an offerer to request the
review of a procurement contract award;
x communications with the Authority/Corporation regarding an appeal, protest or otherreview of a procurement, participation in an administrative or judicial proceedingregarding a procurement and complaints regarding a procurement made to the AttorneyGeneral, Inspector General, District Attorney or State Comptroller; and,
x communications between Authority/Corporation staff and offerers that solely address thedetermination of vendor responsibility.
An offerer shall not, under any circumstance, attempt to influence an Authority/Corporationprocurement in a way that violates or attempts to violate: Public Officers Law Section 73(5),relating to gifts intended to influence; or Public Officers Law Section 74, relating to the code ofethics for employees of state agencies, public authorities and public benefit corporations,
members of the New York State Legislature, and Legislative employees.
An offerer who contacts the Authority/Corporation designated contact person for a procurementduring the restricted period must be prepared to provide the following information: name,address, telephone number, place of principal employment and occupation of the person ororganization making the contact, and whether the person/organization making the contact is theofferer or is retained, employed or designated by or on behalf of the offerer to appear before orcontact the Authority/Corporation about the procurement.
An offerer that submits a proposal, bid or other response to an Authority/Corporation RFP, IFBor other solicitation method must: certify that it understands and agrees to comply with theseGuidelines regarding permissible contacts during a procurement and the prohibition of
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of any determinations of non-responsibility or debarments due to violations of the LobbyingLaw.
These Guidelines and related forms are available on the Authoritys website,www.thruway.ny.gov , under Purchasing Services; Forms, Guidelines and Reports section;Lobbying Law Forms & Guidelines or on the Corporations website, www.canals.ny.gov, underthe Doing Business section. Copies of Sections 73 and 74 of the Public Officers Law are alsoavailable on the Authority/Corporation websites. If you require further guidance on the newLobbying Law, you are encouraged to visit the Advisory Council on Procurement Lobbyingwebsite at www.ogs.state.ny.us/aboutogs/regulations/defaultadvisorycouncil.html, where the
Lobbying Law and the Guidelines on Procurement Lobbying (Frequently Asked Questions)adopted by the Council are posted.
http://www.thruway.ny.gov/http://www.canals.ny.gov/http://www.canals.ny.gov/http://www.thruway.ny.gov/7/30/2019 Thruway Rfp
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Clear Form
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VENDOR RESPONSIBILITY QUESTIONNAIRE
STATE OF NEW YORK
9.
4.
2.
6.
1.
12.
10.
5.
3.
7.
13.
Vendor is:
PRIME CONTRACTOR SUB-CONTRACTOR
11.
8.
Doing Business As (D/B/A)(if applicable) & County Filed
Vendor's Legal Business Name
Address of Primary Place of Business/Executive Office
Address of Primary Place of Business/Executive Officein New York State (if different from above)
Primary Place of Business in New York State is:
Identification Numbers
Website Address (if applicable)
Phone No.
Phone No.
Authorized Contact for this Questionnaire
Fax No.
Fax No.
Owned Rented
If rented, please provide landlord's name, address, and phone number below:
a) FEIN #
b) DUNS #
a) Business Corporation Date of Incorporation State of Incorporation*
b) Sole Proprietor Date Established
c) General Partnership Date Established
St t f I ti *
Name
Title
Phone No.
Fax No.
E-mail Address
Vendor's Business Entity is (check appropriate box and provide requested information):14.
( ) - ( ) -
( ) - ( ) -
Clear Form
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FOR QUESTIONS 18 - 29, A DETAILED EXPLANATION IS REQUIRED FOR EACH QUESTION ANSWERED WITH A "YES",AND MUST BE PROVIDED AS AN ATTACHMENT TO THE COMPLETED QUESTIONNAIRE. YOU MUST PROVIDE
ADEQUATE DETAILS OR DOCUMENTS TO AID THE NEW YORK STATE THRUWAY AUTHORITY/CANAL CORPORATION(NYSTA/CC) IN MAKING A DETERMINATION OF VENDOR RESPONSIBILITY. PLEASE NUMBER EACH RESPONSE TO
MATCH THE QUESTION NUMBER.
STATE OF NEW YORKVENDOR RESPONSIBILITY QUESTIONNAIRE
Is the vendor certified in New York State as a (please check):18.
Please provide a copy of any of the above certifications that apply.
Yes No
Does the vendor use, or has it used in the past ten (10) years, any other businessname, FEIN, DUNS or D/B/A other than those listed in items 2-4 above?
19.
List all other business name(s), FEIN(s), DUNS(s) or any D/B/A names and the dates that these names ornumbers were/are in use. Explain the relationship to the vendor.
Yes
No
Yes
No
20. Are there any individuals now serving in a managerial or consulting capacity to the vendor, includingprincipal owners and officers, who now serve or in the past three (3) years have served as:
a)
b) Yes
No
Within the past five (5) years, has the vendor, any individuals serving in a managerial or consulting capacity,principal owners, officers, major stockholder(s) (10% or more of the voting shares for publicly traded
21.
Minority Business Enterprise (MBE)
Women's Business Enterprise (WBE)
Disadvantaged Business Enterprise (DBE)
a full or part-time employee at the NYSTA/CC or a New York State agency, or as a consultant, in anindividual capacity, to the NYSTA/CC or a New York State agency?
List each individual's name, business title or consulting capacity, New York State agency name (ifapplicable) and employment position with applicable service dates.
If yes to item #20a, did this individual perform services related to the solicitation, negotiation,operation and/or administration of public contracts for the NYSTA/CC or a New York State agency?
List each individual's name, business title or consulting capacity, New York State agency name (ifapplicable) and the consulting/advisory position with applicable service dates. List each contract nameand assigned contract number.
STATE OF NEW YORK
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In the past five (5) years, has the vendor or its affiliates had any claims, judgments (satisfied orunsatisfied), injunctions, liens, fines or penalties secured by any governmental agency including, but notlimited to, judgements based on taxes owed or fines or penalties assessed by any federal, state or local
government agency?
federal, state or local health laws, rules or regulations, including but not limited to OccupationalSafety & Health Administration (OSHA) or New York State labor law;
STATE OF NEW YORKVENDOR RESPONSIBILITY QUESTIONNAIRE
c) been issued a citation, notice, violation order, or are pending an administrative hearing,proceeding or determination for violations of:
ii.iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
Yes No
For yes answers to any of the above, detail the situation(s), the date(s), name(s), title(s) and address(es) of any individualsinvolved and, if applicable, and any corrective action(s) taken by the vendor.
i.
22.1
23.
24. Is the vendor exempt from income taxes under the Internal Revenue Code?
Has the vendor (for profit and not-for-profit corporations) or its affiliates , in the past three (3) years, hadany governmental audits that revealed material weaknesses in its system of internal controls, compliancewith contractual agreements and/or laws and regulations or any material disallowances?
Yes No
Yes No
Yes No1
Indicate if this is applicable to the submitting vendor or affiliate. Detail the type of material weakness foundor the situation(s) that gave rise to the disallowance, any corrective action taken by the vendor and thename of the auditing agency.
Indicate the reason for the exemption and provide a copy of any supporting information
Indicate if this is applicable to the submitting vendor or affiliate. State whether the situation(s) was a claim,judgment, injunction, lien or other with an explanation. Provide the name(s) and address(es) of the agency,the amount of the original obligation and outstanding balance. If any of these items are open or unsatisfied,indicate the status of each item as "open" or "unsatisfied'.
d) been investigated by any federal, state or local government agency for a civil violation for anybusiness related conduct ?
state or federal environmental laws;unemployment insurance or workers' compensation coverage or claim requirements;
Employee Retirement Income Security Act (ERISA);
federal, state or local human rights laws;
civil rights laws;
federal or state security laws;
federal Immigration and Naturalization Services (INS) and Alienage laws;
state for federal anti-trust laws; or
charity or consumer laws
Yes No
STATE OF NEW YORK
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County of:
STATE OF NEW YORKVENDOR RESPONSIBILITY QUESTIONNAIRE
State of:
Yes NoIn the past five (5) years, has the vendor or any affiliates :
a) defaulted or been terminated on, or had its surety called upon to complete, any contract (public or private)
awarded;
b) received an overall unsatisfactory performance assessment from any government agency on any contract; or
c) had any liens or claims over $25,000 filed against the firm which remain undischarged or were unsatisfied for
more than 90 days?
Indicate if this is applicable to the submitting vendor or affiliate. Detail the situation(s) that gave rise to the
negative action, any corrective action taken by the vendor and the name of the contracting agency.
29. 1
"Affiliate" meaning: (a) any entity in which the vendor owns more than 50% of the voting stock; (b) any individual, entity or group ofprincipal owners or officers who own more than 50% of the voting stock of the vendor; or (c) any entity whose voting stock is more than50% owned by the same individual, entity or group described in clause (b). In addition, if a vendor owns less than 50% of the votingstock of another entity, but directs or has the right to direct such entity's daily operations, that entity will be an "affiliate" for purposes ofthis questionnaire.
)
1
The undersigned: recognizes that this questionnaire is submitted for the express purpose of assisting the New York State Thruway
Authority/Canal Corporation (NYSTA/CC) in making a determination regarding an award of contract or approval of a subcontract;
acknowledges that the NYSTA/CC may in its discretion, by means which it may choose, verify the truth and accuracy of all
statements made herein; acknowledges that intentional submission of false or misleading information may constitute a felony
under Penal Law Section 210.40 or a misdemeanor under Penal Law Section 210.35 or Section 210.45, and may also be
punishable by a fine and/or imprisonment of up to five years under 18 USC Section 1001 and may result in contract termination;and states that the information submitted in this questionnaire and any attached pages is true, accurate and complete.
The undersigned certifies that he/she:
CERTIFICATION:
has the financial resources necessary to fulfill the requirements of the proposed contract;
has not altered the content of the questions in the questionnaire in any manner;
has read and understands all of the items contained in the questionnaire and any pages attached by the submitting vendor;
has supplied full and complete responses to each item therein to the best of his/her knowledge, information and belief;
is knowledgeable about the submitting vendor's business and operations;
ss:)
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CERTIFICATE OF NO CHANGE
STATE OF )
: SS.:
COUNTY OF )
The undersigned, being duly sworn, deposes and says:
1. I am ___________________________, the _____________________________ (title) of
________________________________________________________________________(hereinafter Contractor), which is currently submitting a proposal in response to New York
State Thruway Authority (hereinafter Authority) RFP/IFB # ______.
2. Contractor previously submitted a completed Vendor Responsibility Questionnaire, dated
________________________ to the Authority in connection with Authority RFP/IFB #______.
3. Attached is an accurate and true copy of Contractors previously submitted Vendor
Responsibility Questionnaire dated __________________.
4. I hereby certify that with the exception of the information specified in Question 13 of theVendor Responsibility Questionnaire previously submitted to the Thruway Authority, and as
changed herein, there has been no material change in the information pertaining to the
Contractor specified on such attached Questionnaire.
AUTHORIZED CONTACT FOR THE PROPOSED CONTRACT:
Name: ______________________________________________________________
Title: _______________________________________________________________Telephone Number:
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New York State Department of Taxation and Finance
ST 220 CA
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New York State Department of Taxation and Finance
Contractor Certification to Covered Agency(Pursuant to Section 5-a of the Tax Law, as amended, effective April 26, 2006)
ST-220-CA(6/06)
Contractor name
Contractors principal place of business City State ZIP code
Contractors mailing address (if different than above)
Contractors federal employer identification number (EIN) Contractors sales tax ID number (if different from contractors EIN)
Contractors telephone number Covered agency name
Covered agency address
I, , hereby affirm, under penalty of perjury, that I am (name) (title)
of the above-named contractor, that I am authorized to make this certification on behalf of such contractor, and I further certifythat:
(Mark anX in only one box)
G The contractor has filed Form ST-220-TDwith the Department of Taxation and Finance in connection with this contract and, to the best of
contractors knowledge, the information provided on the Form ST-220-TD, is correct and complete.
G The contractor has previously filed Form ST-220-TD with the Tax Department in connection with(insert contract number or description)
and, to the best of the contractors knowledge, the information provided on that previously filed Form ST-220-TD, is correct and complete
as of the current date, and thus the contractor is not required to file a new Form ST-220-TD at this time.
Sworn to this day of , 20
(sign before a notary public) (title)
For covered agency use only
Contract number or description
Estimated contract value overthe full term of contract (but notincluding renewals)
$
Covered agency telephone number
For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5-a(see Need Help? on back).
Page 2 of 2 ST 220 CA (6/06)
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Individual, Corporation, Partnership, or LLC Acknowledgment
STATE OF }
: SS.:
COUNTY OF }
On the day of in the year 20 , before me personally appeared ,
known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that
he resides at ,
Town of ,
County of ,
State of ; and further that:
[Mark an Xin the appropriate box and complete the accompanying statement.]
G (If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf.
G (If a corporation): _he is the
of , the corporation described in said instrument; that, by authority of the Boardof Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for
purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and onbehalf of said corporation as the act and deed of said corporation.
G (If a partnership): _he is a
of , the partnership described in said instrument; that, by the terms of saidpartnership, _he is authorized to execute the foregoing instrument on behalf of the par tnership for purposes set forththerein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of saidpartnership as the act and deed of said partnership.
G (If a limited liability company): _he is a duly authorized member of ,LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrumenton behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, he executed
Page 2 of 2 ST-220-CA (6/06)
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Attachment 1
Custody and Safekeeping Services
RFP No: 12C20FEE PROPOSAL
Five Year Term
Name of Proposer:
________________________________________________________________________
A. One Time Fee
1. Setup Fees (one time only fee) $___________
2. Other (please describe1) $___________
TOTAL ONE TIME FEES
(Total of A1 and A2) $___________
________________________________________________________________________
B. Annual Fees:
1. Annual Maintenance Fee, (paid semi-annually), Lump Sum total only:
$___________ Year 1$___________ Year 2
$___________ Year 3
$ Y 4
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3. Reporting Package (if any)
$___________ Year 1
$___________ Year 2
$___________ Year 3
$___________ Year 4
$___________ Year 5
___________ Subtotal B3
4. Other (Please describe, if any) $___________ Year 1
$___________ Year 2
$___________ Year 3
$___________ Year 4
$___________ Year 5
$___________ Subtotal B4
TOTAL ANNUAL FEES
(Total of Subtotals B1 B4)$___________
______________________________________________________________________
C. Per Item Fees
1. Receipt of Securities (Purchase) - (Assume 500 investment transactions3
per year,
based on the average number of investments processed over the past 3 years )
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2. Redemption of Securities (Maturity)
(per transaction)
$___________ x 500 = $___________ Year 1
$___________ x 500 = $___________ Year 2
$___________ x 500 = $___________ Year 3
$___________ x 500 = $___________ Year 4
$___________ x 500 = $___________ Year 5
___________ Subtotal C2
3. Receipt of Collateral
(per transaction)
$___________ x 500 = $___________ Year 1
$___________ x 500 = $___________ Year 2
$___________ x 500 = $___________ Year 3
$___________ x 500 = $___________ Year 4
$___________ x 500 = $___________ Year 5
___________ Subtotal C3
4. Return of Collateral
(per transaction)
$___________ x 500 = $___________ Year 1
$___________ x 500 = $___________ Year 2
$___________ x 500 = $___________ Year 3$___________ x 500 = $___________ Year 4
$___________ x 500 = $___________ Year 5
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6. Other (Please describe, if any)
$___________ x _____ = $___________ Year 1
$___________ x _____= $___________ Year 2
$___________ x _____ = $___________ Year 3
$___________ x _____ = $___________ Year 4
$___________ x _____ = $___________ Year 5
___________ Subtotal C6
TOTAL PER ITEM FEES
(Total of Subtotals C1 C6) $____________
TOTAL FEES FOR PROPOSAL (TOTAL
ONE TIME FEES + TOTAL ANNUAL FEES +
TOTAL PER ITEM FEES) $________________
The Signatory to this document must be authorized to bind the proposing firm contractually.
____________Print name Signature Date
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ATTACHMENT 2
Securities held as of September 30, 2012
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Page 2 of 5
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Page 2 of 5
Fund Security Description / Maturity Date
Yield to
Maturity (%) Cost Par
Securities Held by PortfolioNew York State Thruway Authority
As of September 30, 2012
General Reserve INGFDG (ING US Funding LLC) 0.00 10/03/12 0.2029 3,098,570.56$ 3,100,000.00$General Reserve GECC (Gen Elec Cap Corp) CP 0.00 11/06/12 0.1608 9,996,697.90 10,000,000.00
General Reserve Bank Nova Sco NY CP 0.00 10/16/12 0.1450 6,998,999.00 7,000,000.00General Reserve INGFDG (ING US Funding LLC) 0.00 12/12/12 0.2866 2,998,046.04 3,000,000.00
23,092,313.50$ 23,100,000.00$
Revenue Fund FHLMC Discount Note 0.00 11/27/12 0.1268 2,320,290.81$ 2,321,000.00$
Revenue Fund FHLMC 1.10 12/27/12 0.1420 4,999,601.85 4,974,000.00
7,319,892.66$ 7,295,000.00$
E-ZPass Fund (Revenue) FHLB 0.22 04/23/13 0.2230 8,999,730.00 9,000,000.00E-ZPass Fund (Revenue) FNMA 4.375 03/15/13 0.2137 10,418,430.53 10,000,000.00
E-ZPass Fund (Revenue) FFCB 1.75 02/21/13 0.2067 10,158,524.44 10,000,000.00
29,576,684.97$ 29,000,000.00$
GRAND TOTAL THRUWAY PORTFOLIO 318,115,316.60$ 317,580,000.00$
Page 3 of 5
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Page 3 of 5
Fund Security Description / Maturity Date
Yield to
Maturity (%) Cost Par
Securities Held by PortfolioNew York State Thruway Authority
As of September 30, 2012
Trust Fund Proceeds Fund Treasury Bill 0.00 10/18/12 0.1471 99,915,416.68$ 100,000,000.00$
Trust Fund Proceeds Fund FHLMC Discount Note 0.00 10/25/12 0.1522 49,954,791.65 50,000,000.00Trust Fund Proceeds Fund FNMA Discount Note 0.00 01/04/13 0.1929 60,707,584.00 60,800,000.00
Trust Fund Proceeds Fund INGFDG (ING US Funding LLC) 0.00 10/25/12 0.3552 15,792,861.52 15,807,000.00Trust Fund Proceeds Fund FHLB Discount Note 0.00 10/25/12 0.0710 117,678,304.24 117,687,000.00
TOTAL TRUST FUND PROCEEDS PORTFOLIO 344,048,958.09$ 344,294,000.00$
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Page 5 of 5
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g
Fund Security Description / Maturity Date
Yield to
Maturity (%) Cost Par
Securities Held by PortfolioNew York State Thruway Authority
As of September 30, 2012
CHIPS Administrative Fund (No investments) -$ -$
TOTAL CHIPS PROGRAM PORTFOLIO -$ -$
GRAND TOTAL ALL PORTFOLIOS 1,068,775,277.72$ 1,068,834,000.00$
Note: The above list does not include Debt Service Funds which are handled under a separate agreement with the Trustee.