Procurement File Organization Presented by Betsy Bratton, CPPB, VCO Nancy 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, § Written; writing; in writing § 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 is needed documentation, save it in the electronic file Maintain regular 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 File Not 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 ( 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