Replaces previously released version in its entirety


7.9. Can you provide clarification regarding the obligation of the Governmental Entity to complete a Record of Contact under the following circumstances?

  • Is a Record of Contact Form required from everyone on an Evaluation Committee who reviews a written proposal as a result of an RFP?
  • Do discussions among agency personnel who review and rate proposals require Record of Contact forms? Do Record of Contact forms have to be prepared each time these discussions occur?
  • Is a Record of Contact form required when agency personnel contact vendors in the competitive range to set up oral presentations?
  • Does each negotiating session with an intended awardee under an RFP require completion of a Record of Contact form? (Last Updated: 6/14/2010)

State Finance Law §§ 139-j and 139-k obligate a Governmental Entity to create a Record of Contact for every Contact, but not for every communication. It is intended to make a record of those attempts to influence the Governmental Entity’s conduct or decision regarding a Governmental Procurement that occur between an Offerer and a Governmental Entity. There is no obligation to create a Record of Contact when agency personnel review and rate proposals or when agency personnel communicate among themselves about a proposal. Similarly, there is no obligation to create a record when it is a factual exchange of information, such as determining the availability of a vendor to attend a meeting and identification of who will attend the meeting.

A Governmental Entity is obligated to create a Record of Contact when the vendor’s communication constitutes an “attempt to influence” the Governmental Entity’s conduct or decision regarding a Government Procurement. Since a negotiation with a vendor is typically an “attempt to influence” then a Record of Contact should be completed by each of the agency personnel and filed in the procurement record. A record would be created for each negotiation session that constitutes a Contact.

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