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OGS Procurement Services Group 2007 State Purchasing Forum
State Finance Law Aspects of the Procurement Lobbying Law
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Presenter’s Contact Information
Lisa K. Fox
Legal Services
New York State Office of General Services
(518) 474-5988
OGS Website:
www.ogs.state.ny.us
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Overview
• The Procurement Lobbying Law obligates Governmental Entities and Offerers to undertake specific actions as part of the procurement process
• Sets forth specific requirements regarding communications during the procurement process
• Establishes specific contractual requirements
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Imposes new consequences if Offerers have impermissible communications
• Non-responsibility determination
• No contract award
• Debarment for four year period
Prohibited from submitting proposals
Prohibited from receiving contract awards
How Can this Law Impact Your Business?
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Two separate sets of provisions
Legislative Law
State Finance Law §§139-j and 139-k • Requirements are different
• Requirements apply at different times to different communications
• Need to determine if both laws apply to your business
What is the Procurement Lobbying Law?
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Business community is only allowed to make “permissible Contacts”
• Two kinds of “permissible Contacts”
• 1st – Designated Contact – person or persons identified by Governmental Entity to receive “Contacts” on a transaction
• 2nd – Permissible Subject Matter Categories
Series of common stages in a procurement
New Statute May Require Change to Business Practices
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Who is a Designated Contact?
• A person or persons identified by a Governmental Entity to receive “Contacts” on a transaction
• Generally identified in a writing provided to the business community
• Can receive all communications and Contacts on a procurement
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Permissible Subject Matter Categories
#1 - submission of a written proposal from an Offerer
#2 - submission of written questions in accordance with a process sent out in the solicitation, that must include sending all responses to all Offerers
#3 - participation in a conference provided for in a solicitation
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
#4 - complaints by an Offerer that the Designated Contact has not been responsive filed in writing to Counsel’s Office
#5 - negotiation of a Procurement Contact after tentative award
#6 - review of a procurement contract award (debriefings)
Permissible Subject Matter Categories
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
#7 - protests, appeals or other review proceedings, such as judicial
proceedings or allegations of improper conduct. Category includes the ability of an Offerer to file a written protest, appeal or complaint to the state comptroller’s office during the process of contract approval
Permissible Subject Matter Categories
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Net Result
• Business can always “Contact” the Designated Contact
• “Contacts” to Non-Procuring Governmental Entity are limited to SFL §139-j(3)(a)(1-7) (PSMC)
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• If “Contact” made to someone else, it may be violation of statute and could result in debarment (“impermissible Contact”)
• “Contacts” to Non-Procuring Governmental Entity are limited to SFL §139-j(3)(a)(1-7)
Protests, appeals or complaints to OSC must
be written
A “contact” to a non-procuring governmental entity could result in debarment
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Applies to contracts over $15,000 annualized value with more than 400 different governmental entities
Applies to construction and professional services contracts
Applies to sole and single source contracts
• Limited transactions are exempt from these new requirements, such as grants and intergovernmental agreements
Contracts Subject to Requirements
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• “Restricted Period” - Time period from advertisement or other request for a proposal until the contract receives all the required approvals, such as OSC approval
• This is the only time period where these formal requirements apply regarding who can be “Contacted” and the creation of a record
Applies to a specific transaction
New State Finance Law Requirements Apply During the Restricted Period
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Example of State Agency Competitive Procurement
Definition of business need
Restricted Period(limits who can
receive Contacts)
Ad in Contract Reporter
Approval of
contractby OSC
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Not all communications are “Contacts”!
• Communications that are intended to influence the governmental procurement (Contacts)
• However, communications with Legislature are not governed by the State Finance Law (unless a legislative procurement)
New Requirements Apply to “Contacts”
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• A Contact is an
oral, written or electronic communication
with a Governmental Entity
under circumstances where a reasonable person would infer
the communication was intended to influence the Governmental Procurement
• Treatment of a communication may be different under Legislative Law
What is a Contact?
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Offerer must provide written affirmation on understanding of and agreement to entity’s policy on permissible Contacts
Affirmation is element examined to determine if an impermissible Contact was knowing and willful
• Offerer must certify that information provided under State Finance Law §139-k is complete, true and accurate
Standardized Information Collection and Contract Provisions
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Offerer must disclose additional information about prior findings of non- responsibility
Expansion of the areas examined for vendor responsibility
• Offerer must agree to the inclusion of specific termination clause in contract
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
For the Business Community
• Understand the Government Entity’s policy on permissible Contacts and consider its impact on how conduct business
• Very significant consequences of impermissible Contacts – non-responsibility finding or debarment
OGS is obligated to maintain a listing of these determinations on the Internet
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Determine if there is a Restricted Period- Ask the right questions!
• Determine who is the Designated Contact for that procurement
• Follow the processes in the solicitation
• Direct communications and Contacts correctly
• Comply with requests for information
For the Business Community
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Understand the Governmental Entity’s policy on permissible Contacts before execute the affirmation
–Affirmation is a legal document that will be examined if there is an allegation of a possibly impermissible Contact
• Provide training to staff – especially on the Restricted Period and directing communications to the Designated Contacts
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
• Advisory Council on Procurement Lobbying has prepared guidance, model forms and language and other materials that are available at:
http://www.ogs.state.ny.us/aboutOgs/ regulations/defaultAdvisoryCouncil.html
• This web site and its materials can be used to educate staff and the business community regarding these legal requirements.
Where to Get More Information
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Questions and Answers
?
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2007 Purchasing Forum – Aspects of the Procurement Lobbying Law
Presenter’s Contact Information
Lisa K. Fox
Legal Services
New York State Office of General Services
(518) 474-5988
OGS Website:
www.ogs.state.ny.us