Recordkeeping for a
Ronald L. King, CPPB, CPPO, VCO
•Objective of a Review
•Documentation Open to the Public
Objectives of a Review
•Evaluate Operations & Assess
•Advice & Consultation
•Identify Training Needs
•Request for Increased DPA
•Time Since Last Review
•Other Performance Indicators
•Policies, Procedures, &
•No Documentation That WAMS
•No Documentations for Single
Quotes < $5K
•Not Using Quick Quote >$5K < $50K
•Purchase Orders Not Issued
•No Documentation That Competition
Was Obtained >$5K
•Too Few Vendors Solicited >$5K
•No Evidence of Vendor Insurance
•No Evidence of Vendor License
•Competitive Negotiation Procedures
Not Followed Correctly
•Lack of Adequate Contract
•Unauthorized Purchases (No eVA
•Unauthorized Personnel Signing
Vendor Contracts/Other Procurement
•Appearance of Order Splitting
•Not Using Mandatory Sources
•Incomplete SPCC Purchase Logs
•Conduct Periodic End User Training
•Have End Users Enter Reqs in eVA
•Control Unauthorized Purchases
•Issue SPCC To Appropriate Staff
•Utilize IFB & RFP Checklists in
APSPM (Annex 6-D and 7-E)
Manual or Automated Office
•Is your office automated, manual, or
a combination of both automated and
•What information in a purchasing
office needs to be kept, updated, and
•Organize the office to retrieve
Files to Manage
•Internal purchasing procedures
Files to Manage
–HR, IT, Payroll forms
–Complaints & closure
Files to Manage—cont’d
–Commodity code listings
–Organization membership information
Types of Filing Equipment
•Vertical file cabinets
•Lateral file cabinets
•Files MUST be able to
be found. File contract
and procurement files by
•Cross reference special
files such as sole source,
emergency, and vendor
Filing Spot Purchases
•How do you file spot purchases?
–In manila files
–Bound with rubber bands
When Should I Use a Folder?
•Will depend upon the
amount of required
•The dollar level of the
•How often will you
need to refer to it?
The File Folder
•File tabs should show:
–Vendor name & year of award
–Renewals (number of years)
•Manila folders OR divided
–What determines the type of file
or folder to use?
A Look Inside
•Purchase transactions for large
purchases should include a
checklist to be certain all
information required is included
in the procurement file.
•Use of a checklist depends upon
state, local, and internal
Developing a Checklist
•Look at your legal
–Internal policies &
IFB SO LICITA TION CHEC KLIST FILE CHECKLIST
S pecial Ap provals Release fro m Correct ions, VIB, DP S
Ap proved Purchase Requ isition Internally ap proved requ isition.
S pecificatio ns/Scope of W ork What is wanted, where, when , an d h ow many or h ow much
Pre-b id C onferences/S ite Visits Pre-b id sign-in sheet, optional or mandatory
General Terms and Con ditions Stan dard & A pproved B oilerp late
S pecial Terms an d Co nd itions F or each solicitation, use carefully to ensure pro per ones are included
Metho d of Award Based o n the requirements stated, e.g., other than line item, lot, or grand total, a pricing scenario shou ld be
included to illustrate how the low bid will be deter mined Total or Scenario
Metho d of Payment Procedure for Pay ment; e.g., progress payments, partial pay ments, etc.
References Resu lts of Reference Checks (if requested)
B id ders L ist Name, addresses of B id ders so licited .T he list sh ould n ote which vend ors are minority or wo men-owned vend ors .
P ub lic Notice P ub lic not ice of the solicitation
VBO Ad vertisement
Orig inal So licitation Orig inal IFB , as issued
Ad den da A copy of all addenda issued must be maintained in the file
Questions/Respo nses Answers to questions fro m p otential bidders
B id O pen ing an d Evaluatio n B id tabu lation sheet
Not ice of Award or Award Document Not ice of Award or Notice of Intent to Award
Successfu l B id A copy of the successfu l b id is retained in the active procurement file
Co ntract A dmin istration Assign ment assigned in writing
Insurance/L icenses/References If other infor mation was requ ired of the contractor, these items must be retained in the procurement file.
Unsuccessfu l B ids Co pies of the unsuccessfu l bids are retained as a part of the inact ive permanent record
Why is Documentation
•Public procurement is conducted
in a “fishbowl.”
•Documentation is open to
inspection by the public.
•Purchases and related
documentation may be
Virginia Freedom of
Your purchasing files are public records.
•May be accessed upon request and
open to disclosure under the VFOIA.
•There are no unofficial files,
including your own files in your desk
drawer or at home. They may also
be disclosed under the VFOIA.
What Should NOT be in Your
•Unprofessional comments, e.g. “he
doesn’t have a clue” or “a little fish in a
big pond,” that happen as a result of
individual notes taken at meetings or
while on the phone, etc.
•Draft copies of the solicitation. Only
keep the original, as issued.
•Extraneous papers and post-it notes.
•Remove unnecessary notes, copies, and
What Information is NOT Open
cannot be disclosed to the
public unless by court
•If a protest is probable,
copy your attorney and can
mark your documentation
•You will learn when it is necessary
to appoint a Contract Administrator
(CA), how to make the appointment,
and what information to include and
•After the award is made, term
contracts, including time & materials
contracts & some high dollar or
complicated spot purchases need a
CA assigned to be sure the vendor
(and the entity) comply with the Ts
& Cs of the contract.
•Always appoint a CA in writing &
document the procurement file.
Responsibilities of a Contract
•Make sure your appointment
–Their authority limits
–The Purchasing office’s
–A copy of the contract (IFB, RFP,
PO, or other)
It’s Not Over Till It’s Over. . .
•After the order is placed, it
must be received & paid for.
–Three way match
•What department maintains
the record of the procurement?
Code of VA §42.1-19.1
•Requires that you submit all
publications, except those that are
used only for the daily operation of
business (such as forms), to the
Library of Virginia (LVA).
•Includes: annual reports, studies,
brochures, & any other publication
produced for the public & paid for in
whole or in part at gov’t expense.
Code of VA §2.2-609 &
•The LVA asks that you send 20
copies of each publication. You
must supply these free of charge.
•The LVA keeps at least two copies
for its collection & distributes the
others to geographically diverse
libraries throughout the state & to
the Library of Congress.
Where to Send the
State Documents Receiving
The Library of Virginia
800 E. Broad Street
Richmond, VA 23219-8000
Library & Archive Information
•Library of Virginia
Electronic Resources Manager
•Library of Virginia
Electronic Records Guidelines
•Know who your entity’s Records
Management Analyst is.
•This information can be found on
the LVA’s website.
Electronic Records Guidelines
•Digitally born records may need to
be managed differently.
•They must be preserved in
accordance with applicable laws, &
in compliance with LVA standards &
It’s Still Not Over . . .
What do you do with
all those files that you
over the years?
•Bid/Proposal Files—Retain 3 years after
award, closure, cancellation, or until
audit, whichever is longer; then destroy.
•P.O.s, Requisitions, Receipts, Receiving
Records/Reports—Retain 3 years.
•Contracts & Agreements
–Purchases—Retain 3 years after
completion and/or termination
•State agencies & localities must obtain
approval from the Library of Virginia to
destroy public records.
•A signed Certificate of Records
Destruction (Form RM-3) must be
approved by the designated records
officer before records can be destroyed.
•After records are destroyed, the original
signed RM-3 must be sent to the Library
Five Required Steps for
•A LVA-approved retention schedule
must exist covering the records to be
•Required retention periods are passed.
•Audit, investigations, litigation have
•RM-3 submitted to the LVA.
•RM-3 has been approved.
•Control the file; eliminate extra copies.
•Establish a basic file plan; include procedures
and controls which fulfill requirements.
•Use correct equipment to accommodate
records with ease of operation.
•Develop retention, transfer, & disposal plans.
•Delegate authority & responsibility for the file
•How will you be able
to use the training
you received today?
•Have you learned
•Are there ideas that
you can put into
•Did the training hit