Report of the Independent Procurement Integrity Monitor
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TAPPAN ZEE HUDSON RIVER CROSSING PROJECT Report of the Independent Procurement Integrity Monitor January 2013 TABLE OF CONTENTS I. INTRODUCTION.................................................................................................... 1 II. BACKGROUND ..................................................................................................... 1 A. History of the Tappan Zee Hudson River Crossing Project ........................................1 B. Design-Build ...............................................................................................................2 III. THACHER ASSOCIATES’ ROLE AS AN INDEPENDENT PROCUREMENT INTEGRITY MONITOR ........................................... 4 A. Selection of an Independent Procurement Integrity Monitor ..................................4 B. Thacher Associates’ Experience .................................................................................4 C. Thacher Associates’ Scope of Work ...........................................................................6 IV. PROCUREMENT REQUIREMENTS .......................................................................... 8 A. Federal Design-Build Procurement Rules ..................................................................8 B. Office of General Services Procurement Guidelines .................................................9 V. SELECTION OF PROPOSERS ................................................................................... 10 A. RFQ Process................................................................................................................10 B. RFP Process ................................................................................................................11 VI. GUIDELINES FOR THE EVALUATION PROCESS ........................................................ 11 A. Instructions to Proposers ...........................................................................................11 B. Evaluation & Selection Plan for Design-Build Proposal .............................................11 C. Procurement Management Team Guidelines ...........................................................12 D. Blue Ribbon Selection Committee Guidelines ...........................................................12 E. Training & Evaluation Package ...................................................................................12 F. Other Guidelines ........................................................................................................12 VII. OVERVIEW OF SELECTION PROCESS TEAMS .......................................................... 13 A. Procurement Management Team .............................................................................13 B. Legal Team .................................................................................................................13 i C. Financial Team ...........................................................................................................13 D. Price Reasonableness Team .......................................................................................13 E. Technical Evaluation Teams .......................................................................................14 F. Value Assessment Team - Technical .........................................................................14 G. Blue Ribbon Selection Committee .............................................................................14 i. Brief Bios of Team Members ...............................................................................15 a. David Aukland, Tarrytown Planning Board Member .....................................15 b. Allen Biehler, Former Pennsylvania DOT Secretary .......................................15 c. Keith Brownlie, Bridge Architect ....................................................................16 d. Edward Buroughs, Westchester County Planning Commissioner .................16 e. Nuria Fernandez, Chief Operating Office of MTA ..........................................16 f. Richard Kohlhausen, South Nyack Civic Leader .............................................16 g. Joan McDonald, Commissioner of NYS DOT ..................................................17 h. Gene McGovern, Business and Construction Executive ................................17 i. Karen Rae, NY Deputy Secretary for Transportation .....................................17 j. Brandon Sall, NYSTA Board Member .............................................................17 k. Thomas Vanderbeek, Rockland Commissioner of Planning ..........................18 l. Robert Yaro, President of Regional Plan Association ....................................18 H. Bridge Design Aesthetic Team ...................................................................................18 i. Brief Bios of Team Members ...............................................................................18 a. Jeffrey Koons, Artist .......................................................................................18 b. Richard Meier, Architect ................................................................................19 c. Thomas P. Campbell, Director and CEO of The Metropolitan Museum of Art ...............................................................................................19 d. Alison Spear AIA, LEED AP, Architect .............................................................19 e. Thomas Wermuth, Director, Hudson River Valley Institute & Vice President of Academic Affairs and Dean of Faculty, Marist College .....19 I. Selection Executives ...................................................................................................20 J. New York State Thruway Authority Board .................................................................20 VIII. SELECTION PROCESS............................................................................................. 20 A. Overview of the Selection Process ............................................................................20 i. Pass/Fail Review ...................................................................................................21 ii. Technical Evaluation ............................................................................................21 iii. Preparation of Summary Reports of Technical Evaluation ..................................21 iv. Presentation of Technical Information to the BRSC ............................................21 v. Technical Ranking of Proposers by BRSC .............................................................22 vi. Evaluation of Pricing Information ........................................................................23 ii vii. Presentation of Pricing Information to BRSC .......................................................23 viii. BRSC’s “Best Value” Determination.....................................................................24 ix. Concurrence by Selection Executives ..................................................................25 x. Limited Negotiations with Niagara ......................................................................26 xi. Reaffirmation by BRSC of “Best Value” Determination .......................................27 xii. Ratification of the Contract by the Thruway Authority Board ............................27 IX. FINDINGS AND OBSERVATIONS ............................................................................ 27 A. Integrity of the Procurement .....................................................................................27 B. Compliance with Applicable Rules and Regulations ..................................................28 i. Document and Information Security ...................................................................29 ii. Information Control .............................................................................................31 iii. Bias Elimination ....................................................................................................32 iv. Other Issues .........................................................................................................33 X. CONCLUSION ....................................................................................................... 38 iii EXHIBIT LIST 1. 23 CFR § 636.101 et seq. 2. New York State Procurement Guidelines, State Procurement Council, dated July 2009 3. ITP, dated September 7, 2012 (Section 5) 4. Evaluation & Selection Plan for Design-Build Proposals, dated August 15, 2012 5. Procurement Management Team Guidelines, July 27, 2012 6. Blue Ribbon Selection Committee Guidelines, dated August 31, 2012 7. Training & Evaluation Package, dated July 25, 2012 8. Golden Rules, dated July 29, 2012 9. Platinum Rules, dated August 3, 2012 10. Titanium Rules, dated August 13, 2012 11. BRSC Ranking Sheet – Niagara 12. BRSC Ranking Sheet – Oneida 13. BRSC Ranking Sheet – Catskills 14. Blue Ribbon Selection Committee Report, dated November 30, 2012 15. PowerPoint presentation to BRSC of Limited Negotiations iv I. INTRODUCTION This report is provided in response to a request from Governor Andrew Cuomo, the New York State Thruway Authority and the New York State Department of Transportation that Thacher Associates, LLC (“Thacher”) provide a third-party independent assessment of the procurement process by which a contractor was selected for the Hudson River Crossing Project. From the point that the proposals were submitted, Thacher Associates (i) monitored the selection process to ensure that the procurement process incorporated best practices to achieve