Procurement File Organization Presented by Betsy Bratton, CPPB, VCO Nancy Davis, CPPO, CPPB, VCO

Procurement File Organization

Presented byBetsy Bratton, CPPB, VCONancy Davis, CPPO, CPPB, VCO

Introduction

• Disclaimer: Information provided herein is based on the standard documentation procedures used by DMV and may not necessarily be approved for use by your entity. Check your internal policies or with your Purchasing Manager about documentation requirements for your entity.

• Origin of the Checklists

File Organization - General

APSPM 3.8, Documentation of Files

• A complete file should be maintained in one place for each purchase transaction, containing all the information necessary to understand the why, who, what, when, where and how of the transaction.

File Organization - General

APSPM 10.3, Procurement Records

• Record must contain as a minimum, as applicable:– Description of requirements– Sources solicited– VBO posting– Cancellation notices–Method of evaluation and award

File Organization - General

APSPM 10.3, Procurement Records (cont’d)

– Signed copy of the contract or PO– Contractor performance reports–Mods or change orders– Vendor Complaint Forms– Cure letters– Usage data– Any other actions relating to the

procurement

Hard Copy File Organization

Small Purchase Checklist

• Checklists for file organization of small purchases, $0 to $100,000

• Checklists in the handouts are designed for term contracts

• Modify the checklist accordingly for spot buys (i.e. no “sections”, no renewals, no red rope file needed)

Hard Copy File Organization

Small Purchase Checklist

Checklists for:• Up to $5,000 - Single Quotation• $5,000 to $100,000– Unsealed Bidding (Quick Quote)– Unsealed Proposals– Unsealed Best Value Acquisition

Hard Copy File Organization

• Sole Source Checklist– Any dollar value over $5,000

• Not Included In Handouts:– Emergency Checklist– Reverse Auction Checklist

Competitive Sealed Bidding Checklist• SECTION A: Pre-Receipt Documents

(Back Section)• SECTION B: Receipt & Evaluation (Mid-

Section)• SECTION C: Post Award & Contract

Administration (Front-Section)

Hard Copy File Organization

Competitive Negotiation Checklist• Pre-Award Documents (Back

Section)• Receipt & Evaluation (Mid-

Section)• Post Award & Contract Administration

(Front-Section)

Hard Copy File Organization

Electronic File Organization

• Electronic Filing on the LAN

Authorized by the Code of Virginia, § 1-257. Written; writing; in writing

§59.1-485. Legal recognition of electronic records, electronic signatures, and electronic contracts

Traditional RFP Documentation

3 proposals were received on this RFP solicitation.

Traditional Procurement File

3 binders contain the procurement file documentation. This does not

include the larger contract administration binder

Electronic Procurement File

The documentation of this procurement activity, including redacted proposals is contained on 1 CD.

Electronic File Organization

DMV Best Practice• Nearly paperless process• Saves filing space• Efficient process - No copying the

electronic document• Saves money – copying & binder expense• FOIA requests easy to fulfill – provide CD• Easy electronic searches (Ctrl + F)

Electronic File Organization

• Require a CD containing the Offerors sealed proposal when it submits the RFP

• Require a second CD containing any redacted information the Offeror desires to protect from disclosure

• Maintain an “Official Procurement File” on your Local Area Network (LAN)

• If email is needed documentation, save it in the electronic file

• Maintain regular email in an Outlook file folder (in case of a protest)

Electronic File Organization

How to Set up your Official Electronic Procurement File

Three primary sections:• Pre-Receipt• Receipt & Evaluation• Negotiation & Award

May add other sections, e.g., VITA, Approvals, as needed

Pre-Receipt

• Written Justification• Approval to Issue-VITA• RFP as issued• Newspaper Advertisement• VBO eVA Posting• Offerors solicited• Pre-proposal conference Attendance List• Addenda• Q&A• Evaluation Committee COI or NDA

statements

Receipt & Evaluation

Receipt• Proposal Opening Record • Checklist to determine if submission

requirements were met/correspondence with offerors to request missing information (if applicable)

• Receipt of Missing Information• Copies of Redacted Proposals for public file

Receipt & Evaluation

Evaluation• Committee Names & Meeting Notes• Oral Presentations, Site Visits, Demos• Small Business Subcontracting Plan• Financial Evaluation• References Checked• Other Responsibility checks• Consensus Evaluation Score Sheets• Summary of Evaluation Ratings• Unsuccessful Proposals

Negotiation & Award

Negotiation• List of Points to Negotiate• Documentation of Negotiation, BAFO• Documented Changes to Offerors proposal• Contract Document• Approval of Award Decisions• Notice to Unsuccessful Offerors• Notice to Successful Offeror, Award Letter

Negotiation & Award

Award• Notice of Award or Notice of Intent to

Award posted on eVA• Protest/Response (if applicable)• Original Signed Bilateral Contract• Copy of eVA PO (if applicable)• Letter Assigning Contract Administration

Responsibilities

Electronic File Organization

After Award/Contract Administration FileNot a part of the “Official Procurement File” but may be electronic and include:• Change Orders and Contract Modifications• Contractor Evaluation Form• Contract Renewals and eVA POs• Correspondence, e.g., complaint letters,

cure notices• SWAM reports from Contractor• Other

Electronic File Organization

Demo an actual electronic Procurement File

Electronic File Organization

Filing within eVA• Benefits include: – Saves time. More productive and

efficient. – Easy access to historical procurement

documents, especially for those who inherit the work of others

– Reliable central repository for long-term storage of procurement documents

Electronic File Organization

Filing within eVA (cont’d)

• Use the Attachment feature in eVA • Attach supporting documents to the PR /

PO, including:– Approved hard copy requisition (if

applicable)– Approved sole source justification– Other approvals (VITA APR, Waivers,

etc.)

Electronic File Organization

Filing within eVA (cont’d)

– Vendor quote / proposal– Statement of Work– Signed 2-Party contract– Underlying contract (ex: Treasury

contract with American Express for credit card fees)

– Relevant communications (email trails)

Electronic File Organization

Filing within eVA (cont’d)

• There is no limit on the number of attachments

• Attachments can be internal only or visible to supplier

• Internal documents such as sole source justification, waivers, etc. should not visible to the supplier

Electronic File Organization

Filing within eVA (cont’d)• Documents such as a statement of work or

a vendor quote should be visible to the supplier

• When the attachment is visible to supplier, and the supplier is “electronic”, the attachments will transmit to the supplier with the PO– There is a 10mb cumulative size limit for

all attachments to transmit to the supplier

Electronic File Organization

Filing within eVA (cont’d)

• The eVA requisition title is your “at a glance” filing label

• Standardize titling (naming) of eVA requisitions– Vendor Name, Item/Service, Requestor– 256 characters available

Electronic File Organization

Filing within eVA (cont’d)• Limitation – May not be the complete

procurement file for RFP/IFB/term contracts, for example:

• Minutes from pre-proposal conference• Negotiation memo• Unsuccessful bids / proposals• Protest

• But it could be the complete procurement file for spot buys – it all depends on how much you choose to attach

Needed Equipment/Software

• Desktop scanner or multi-function copier / scanner

• Adobe Acrobat Professional

Electronic File Organization

Document Management System

• A computer system used to track and store electronic documents

• Encompasses: capturing (imaging), indexing, storage, retrieval, distribution, security, workflow, collaboration, versioning, searching, reporting, publishing and reproduction

Electronic File Organization

Document Management System (cont’d)

• A complete procurement file (cradle to grave) can be captured/imaged and contained in the DMS

• Used at DMV for an agency-wide contract repository application– PO’s for term contracts are imported

directly from eVA into the DMS, no printing or scanning required

Summary

• Presented hard copy and electronic filing methods

• Provided sample checklists for methods of procurement

• Presented and demonstrated how to set up an electronic “Official Procurement File”

• Discussed filing in eVA and a Document Imaging and Management System

Thank you for attending the session!

Betsy and Nancy