Vendor Contracts Forms by mov19316


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									Recordkeeping for a
Procurement Review
           FORUM 2006
Ronald L. King, CPPB, CPPO, VCO
•Objective of a Review
•Review Indicators
•Compliance Findings
•Operational Recommendations
•File Organization
•Documentation Open to the Public
•Contract Administration
•Retention Schedule
•Destroying Records
Objectives of a Review
•Management Tool
•Promote Compliance
•Evaluate Operations & Assess
•Advice & Consultation
•Identify Training Needs
Review Indicators
•Agency Request
•Request for Increased DPA
•Time Since Last Review
•Procurement Metrics
•Staff Turnover
•Other Performance Indicators
•Policies, Procedures, &
Organizational Chart
•Procurement Files
•Accounting Files
•Personnel Interviews
•Operational Efficiencies
Compliance Findings
•No Documentation That WAMS
Were Solicited
•No Documentations for Single
Quotes < $5K
•Not Using Quick Quote >$5K < $50K
Compliance Findings—cont’d
•Purchase Orders Not Issued
Through eVA
•No Documentation That Competition
Was Obtained >$5K
•Too Few Vendors Solicited >$5K
•No Evidence of Vendor Insurance
Compliance Findings—cont’d
•No Evidence of Vendor License
•Competitive Negotiation Procedures
Not Followed Correctly
•Lack of Adequate Contract
•Unauthorized Purchases (No eVA
Compliance Findings—cont’d
•Unauthorized Personnel Signing
Vendor Contracts/Other Procurement
•Appearance of Order Splitting
•Not Using Mandatory Sources
•Incomplete SPCC Purchase Logs
Operational Recommendations
•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
manual systems?
•What information in a purchasing
office needs to be kept, updated, and
easily retrieved?
•Organize the office to retrieve
information easily.
Files to Manage
  –Service/Term contracts
  –Goods procurements
  –Canceled procurements
  –Sole source
•Internal purchasing procedures
and updates
•State contracts
Files to Manage
  –Management forms
  –Leave slips
  –HR, IT, Payroll forms
  –Expense forms
  –Purchasing forms
  –Performance reports
  –Complaints & closure
Files to Manage—cont’d
•Resource materials
  –Reference catalogues
  –Technical bulletins
  –Sample solicitations
  –Commodity code listings
•Professional Development
  –Seminar Information
  –Organization membership information
Types of Filing Equipment
•Vertical file cabinets
•Lateral file cabinets
•Open shelf
File Organization
          •Files MUST be able to
          be found. File contract
          and procurement files by
          vendor name,
          •Cross reference special
          files such as sole source,
          emergency, and vendor
          payment files.
Filing Spot Purchases
•How do you file spot purchases?
  –In manila files
  –Bound with rubber bands
  –Electronic folders
  –Other suggestions?
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
  –Contract Number
  –Contract/Performance period
  –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
requirements—and dollar
Developing a Checklist
        •Look at your legal
        requirements first
          –State guidelines
          –Local ordinances
          –Internal policies &
    Sample Checklist
    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
Information Act
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
Procurement File?
•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
to Disclosure?
          •Proprietary information
          cannot be disclosed to the
          public unless by court
          •If a protest is probable,
          copy your attorney and can
          mark your documentation
          Attorney/Client privilege.”
Contract Administration
•You will learn when it is necessary
to appoint a Contract Administrator
(CA), how to make the appointment,
and what information to include and
•It’s teamwork!
Contract Administration

•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 responsibilities
  –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
             •Purchase order
             •Receiving record
        •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
  –Conley Edwards
  Director, Records
  Management Services
Electronic Resources Manager
•Library of Virginia
  –Kathy Jordan
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
  have accumulated
  over the years?
Retention Schedule
•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
  –Capital Improvements—Permanent
  –Purchases—Retain 3 years after
  completion and/or termination
Destroying Records
•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.
Destroying Records
•After records are destroyed, the original
signed RM-3 must be sent to the Library
of Virginia.
Five Required Steps for
Record Disposal
•A LVA-approved retention schedule
must exist covering the records to be
•Required retention periods are passed.
•Audit, investigations, litigation have
been resolved.
•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
Your Feedback
•How will you be able
to use the training
you received today?
•Have you learned
anything new?
•Are there ideas that
you can put into
•Did the training hit
the target?

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