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Updated 7/19/2018 Page 1 G:\Policies & Procedures\026- Electronic File Management\DP-OPO-026 Electronic File Management Desk
Procedure.docx
Oregon Department of Transportation
DESK PROCEDURE
NUMBER
DP-OPO-026
SUPERSEDES
3/16/2016 Version EFFECTIVE DATE
7-26-2018 PAGE NUMBER
1 OF 16
REVIEW DATE
7/26/2019 REFERENCE
SUBJECT
Electronic File Management APPROVED SIGNATURE
Melissa Canfield, Chief Procurement Officer
PURPOSE: Provide guidance to staff that sets the standard method for filing procurement documents electronically.
APPLICABILITY: Procurement and Contract Specialists.
POLICY: All ODOT Procurement Office (OPO) Employees shall follow this procedure for electronically filing contract/bid documents. To ensure consistent document management the file structure is not to be modified.
RESPONSIBILITY ACTION
Procurement and Contract Specialist
Create folder for new assignment/contract/bid
1. Copy the sample from the template folder for the type of procurement you are filing.
2. Paste the sample folder in the correct location in the file structure as found in Attachment A.
3. Rename the folder using the naming convention: PSK/GTS PA, Contracts, Bids - 00000 Project Name Sample - 12345 Smith Bridge Sub folders within PA or Contracts:
WOC – WOC 0 Project Name Sample – WOC 1 Smith Bridge Amendment/Change Order – Amd 0 Sample – Amd 1
Construction Bid Opening – Contract Number Sample – 14656
Create folder for the type of procurement
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NOTE: Please keep all subfolders even if they are not being used for your project, such as OCR and DOJ. All subfolders need to remain.
Step 1. Open Folder Templates (PSK/GTS) crew0954/Bid-ContractFolders or (Construction) H:\Bid Opening\00 Project E-Files
Step 2. Copy the folder for the correct type of procurement
Step 3. Paste the folder in the appropriate location for the type of procurement
Step 4. Rename the folder using the naming convention below
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RESPONSIBILITY ACTION
Procurement and Contract Specialist
Filing Guideline
File all documents according to the associated filing guideline attachment.
PSK/GTS – Attachment A Solicitations (Attachment A1) Contract Amendments (Attachment A2) Contracts/WOC/PA (Attachment A3)
Construction – Attachment B Bid/Solicitations (Attachment B1)
File Close Out – Attachment C
Procurement Checklist and File Notes
Complete the procurement checklist and file it according to the filing guideline for the associated type of procurement. File the checklist in the main contract/bid folder for the procurement unless otherwise directed in the filing guideline. The file name must follow the standard naming convention listed in Attachment A and B (contract #_Checklist). File notes that are critical to highlight deviations from standard process should be filed in the main contract/bid folder. File notes must be named Contract#_File Note_ YYMMDD.
Electronic Filing
Convert each paper document to an electronic document and save in the correct location according to the filing guidelines. Recycle paper documents or place in the confidential shred bin based on the type of document. If an item cannot be converted to an electronic document (e.g., product samples) note in the procurement checklist where the item is located. File documents electronically as they are created or received. Confirm all documents are filed no later than 10 business days after completion of the solicitation or execution of the contract or amendment.
Administrative Specialist Template Folder Maintenance
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Replace the template folder monthly with the master file to ensure that the folder is regularly updated.
Reference Documents for this Desk Procedure
Determination and Transitional Waiver, Special Request No. 148-08. Agency may implement e-filing and retention of contacts without original ink signatures.
Attachment A Document Naming Convention – PSK/GTS
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Italics are used to show when a buyer should fill in the information applicable to their procurement in the document naming convention.
Document Type Naming Convention
All Documents
Unless Noted
Contract/Solicitation #_Name of Document
Example: 12345_BOC
Example: 12345_Internal Estimate
Please Note: The buyer may add a date or version # to any document if it is applicable for that situation. Follow the naming convention:
Date Example: 12345_BOC_160111
Version Example: 12345_Internal Estimate_V1
DOJ emails to include DOJ in the subject line
Date (YYMMDD)_Description (Revise Subject Line)
Example: 150928_DOJ Review
ORPIN/ORPIN Addenda Contract/Solicitation #_Bid#_ORPIN or Bid#_ORPIN_AD1
Example: 12345_ORPIN
Example: 12345_ORPIN_AD1
Proposals/Evaluations Contract/Solicitation#_Firm_Document Name
Example: 12345_DEA_Proposal
Example: 12345_DEA_TIN
Evaluation Packets Contract/Solicitation #_Document Name Evaluator Name
Example: 12345_COI_L Cimino
Documents filed in the main contract/solicitation folder: Procurement Checklist - Contract#_ Checklist File Note – Contract#_File Note_ YYMMDD
Attachment A1 Filing Guideline PSK/GTS – Solicitation
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Folder Type of Document Naming Convention
1 Cost Data
Breakdown of Cost (BOC) Solicitation#_BOC
Internal Estimate Solicitation#_Internal Estimate
Pre Negotiation Plan (PNP) Solicitation#_PNP
Profit Fee Worksheet Solicitation#_Profit Fee Worksheet
Record of Negotiation (RON) Solicitation#_RON
2 DOJ
HB 2375 Contract Verification Solicitation#_Contract Verification
2.1 DOJ Correspondence
DOJ Related Correspondence YYMMDD_Email Subject
Release Approval Email YYMMDD_DOJ Approval
Request for Legal Review YYMMDD_DOJ Request for Legal Review
2.2 DOJ Approved Docs
2.3 DOJ Drafts
2.4 Protests
2.5 Public Records
3 Draft Documents
All Drafts Solicitation#_Document Name_Draft
4 Email
All Correspondence YYMMDD_Email Subject
5 Evaluation
5.1 Proposals_ Bids
Firm Name Proposal_Bids Solicitation#_Firm Name_Proposal
Confidential TIN Solicitation#_Firm Name_TIN
5.2 Selection Notices
Non-Selection Notices Solicitation#_Firm Name_Non Selection
Notice of Intent to Award Solicitation#_Firm Name_Intent to Award
5.3 Evaluation Packet *Can add subfolders for each evaluator if needed
Draft Scoresheets Solicitation#_Draft Scoresheet
Evaluator Conflict of Interest Solicitation#_COI_Evaluator Name
Instruction to Eval Committee Solicitation#_Instruction to Eval Committee
5.4 Scoring_ Bid Tabulation
Award Determination
Competitive Range Competitive Range Notice Selected
Solicitation#_Firm Name_Competitive Range Selected
Competitive Range Notice Non-Selected
Solicitation#_Firm Name_Competitive Range Non-Selected
Demonstration_ Interview
Evaluator Scoresheets Scoresheets Solicitation#_Firm Name_Evaluator Name
Matrix Score Matrix Solicitation#_Score Matrix
Pass-Fail Pass-Fail Solicitation#_Firm Name_Pass-Fail
References *May add subfolders for each firm if needed
References Solicitation#_Firm Name_Reference Name
6 Final Posted Docs_ Solicitations
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6.1 Addenda
Addenda Solicitation#_Addenda#
6.2 ORPIN (PDF after close)
ORPIN Posting Solicitation#_ORPIN
ORPIN Addenda Posting Solicitation#_ORPIN Addenda#
6.3 Q&A
Q&A Solicitation#_QA_Vol#
6.4 Solicitation
ORPIN RFP Solicitation#
Attachments Solicitation#_Attachment #
7 OCR
Correspondence YYMMDD_DBE Goal Request
DBE Goal Email YYMMDD_DBE Goal
8 Other Documents
Certified Small Business Outreach Plan
Solicitation#_Outreach Plan
Cost Analysis and/or Feasibility
Study Solicitation#_Cost Analysis
Information Resource Request (IRR)
Solicitation#_IRR
PSK Request Form Solicitation#_Request
SEIU Feasibility Study Solicitation#_SEIU Feasibility Study
A&E/Non A&E Determination Solicitation#_AE_NONAE Determination
Responsibility Inquiry Solicitation#_Responsibility Inquiry
8.1 Delegations
Email delegation YYMMDD_Delegation
DAS Delegation Authority Letter Solicitation#_Delegation Letter
8.2 Special Procurements
ORPIN Posting Solicitation#_ORPIN
Public Notice Solicitation#_Public Notice
Special Procurement Request Solicitation#_SP Request
9 Protests
9.1 Award Protests
Protest Responses Solicitation#_Firm Name_Protest Response
Submitted Protests Solicitation#_Firm Name_Protest
9.2 Solicitation Protest
Protest Responses Solicitation#_Firm Name_Protest Response
Submitted Protests Solicitation#_Firm Name_Protest
10 Public Records Request
10.1 Approved for Release
Public Records Request Form Solicitation#_Firm Name_PRR
10.2 Redacted Documents
Any Redacted Document Solicitation#_Document Name_Redacted
11 Insurance
Risk Assessment Tool Solicitation#_Risk Assessment
Attachment A2
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Filing Guideline PSK/GTS – Amendment
Folder Type of Document Naming Convention
1 Cost Data
Breakdown of Cost Contract/WOC#/AMD#_BOC
Internal Estimate Contract/WOC#/AMD#_Internal Estimate
Pre Negotiation Plan Contract/WOC#/AMD#_PNP
Profit Fee Worksheet Contract/WOC#/AMD#_Profit Fee Worksheet
Record of Negotiation Contract/WOC#/AMD#_RON
2 DOJ
DOJ Related Correspondence YYMMDD_Email Subject
DOJ Approved Document YYMMDD_DOJ Approval
Request YYMMDD_DOJ Request for Legal Review
HB 2375 Contract Verification Contract/WOC#/AMD#_Contract Verification
3 Draft Documents
All Drafts Contract/WOC#/AMD#_Document Name
4 Email
All Correspondence YYMMDD_Email Subject
5 Executed_ Originals
Executed PDF Version Contract/WOC#/AMD#_Executed
Fax/Email Signature Certification Contract/WOC#/AMD#_Email Sig Cert
Final Word Version Contract/WOC#/AMD#_Final
5.1 ORPIN
ORPIN Posting Contract/WOC#/AMD#_ORPIN
6 OCR
Correspondence YYMMDD_Email Subject
DBE Goal Email YYMMDD_DBE Goal
7 Other Documents
Conflict of Interest (EA/EIS) Contract/WOC#/AMD#_COI
Cost Analysis and/or Feasibility
Study Contract/WOC#/AMD#_Cost Analysis
Cost Overrun Determination Contract/WOC#/AMD#_Cost Overrun
Emergency Declaration Contract/WOC#/AMD#_Emergency Declaration
IRR Contract/WOC#/AMD#_IRR
Ratification Document Contract/WOC#/AMD#_Ratification Document
Reinstatement Request Contract/WOC#/AMD#_Reinstatement Request
Reinstatement Findings Contract/WOC#/AMD#_Reinstatement Findings
Retroactive Approval Contract/WOC#/AMD#_Retroactive Approval
PSK Request Form Contract/WOC#/AMD#_Request
SEIU Feasibility Study Contract/WOC#/AMD#_SEIU Feasibility Study
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7.1 Delegations
Email delegation YYMMDD_Delegation
7.2 Special Procurement
ORPIN Posting Contract/WOC#/AMD#_ORPIN
Public Notice Contract/WOC#/AMD#_Public Notice
Special Procurement Request Contract/WOC#/AMD#_SP Request
8 Insurance
Risk Assessment Tool Contract/WOC#_Risk Assessment
Attachment A3
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Filing Guideline PSK/GTS – Contracts/PA/WOC
Folder Type of Document Naming Convention
1 Cost Data
Breakdown of Cost Contract/WOC#_BOC
Internal Estimate Contract/WOC#_Internal Estimate
Pre Negotiation Plan Contract/WOC#_PNP
Profit Fee Worksheet Contract/WOC#_Profit Fee Worksheet
Record of Negotiation Contract/WOC#_RON
2 DOJ
DOJ Related Correspondence YYMMDD_Email Subject
DOJ Approved Document YYMMDD_DOJ Approval
Request YYMMDD_DOJ Request for Legal Review
HB 2375 Contract Verification Contract/WOC#_Contract Verification
3 Draft Documents
All Drafts Contract/WOC#_Document Name
4 Email
All Correspondence YYMMDD_Email Subject
5 Executed_ Originals
Executed PDF Version Contract/WOC#_Executed
Fax/Email Signature Certification Contract/WOC#_Email Sig Cert
Final Word Version Contract/WOC#_Final
5.1 ORPIN
ORPIN Documents Contract/WOC#_ORPIN
6 OCR
Correspondence YYMMDD_Email Subject
DBE Goal YYMMDD_DBE Goal
7 BOLI
All BOLI Documents Contract/WOC#_Document Name
8 Other Documents
LPA Tier-2 Selection Form
Contract/WOC#_Selection Form
Conflict of Interest (EA/EIS) Contract/WOC#_COI
Cost Analysis and/or Feasibility
Study Contract/WOC#_Cost Analysis
Cost Overrun Determination Contract/WOC#_Cost Overrun
Cure Notices Contract/WOC#_Document Name
Direct Appoint Certification Contract/WOC#_DA Certification
Direct Appoint Determination Contract/WOC#_DA Determination
Emergency Declaration Contract/WOC#_Emergency Declaration
IRR Contract/WOC#_IRR
Request Form Contract/WOC#_Request
Responsibility Inquiry Contract/WOC#_Responsibility Inquiry
SEIU Feasibility Study Contract/WOC#_SEIU Feasibility Study
A&E/Non A&E Determination Solicitation#_AE_NONAE Determination
Confidential TIN Contract/WOC #_Firm Name_TIN
8.1 Delegations
Email delegation YYMMDD_Delegation
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DAS Delegation Authority Letter Contract/WOC#_Delegation Letter
8.2 Special Procurement
ORPIN Posting Contract/WOC#_ORPIN
Public Notice Contract/WOC#_Public Notice
Special Procurement Request Contract/WOC#_SP Request
8.3 Sole Source Determination
ORPIN Posting Contract/WOC#_ORPIN
Sole Source Justification Contract/WOC#_SS Justification
Sole Source Notice Contract/WOC#_SS Request
9 Insurance
Insurance Certificate Contract/WOC#_Firm Name_Insurance
Risk Assessment Tool Contract/WOC#_Risk Assessment
***Optional Best Practice *** Create a shortcut to the associated solicitation file and place it in the contract file. See Quick Reference Guide for details.
Attachment B
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Document Naming Convention – Construction Italics are used to show when a buyer should fill in the information applicable to their procurement in the
document naming convention.
Document Type Naming Convention
All Documents
Unless Noted
Contract #_Name of Document
Example: C12345_BOLI Ineligible
Example: C12345_DBE
Example: C12345_Schedule
DOJ emails to include DOJ in the subject line
Contract #_Description (Revise Subject Line)_Date
(YYMMDD)
Example: 151004_C12345_DOJ Review
Example: 150917_C12345_HDA
*Other:
Low Bidder Bid
TERO
Federal Excluded Parties List
SOS
CCB Business Detail
Bids
SDF Low
Protest_Rejection_Rescind
Contract #_Contractor Name_Name of Document
Example: C12345_ABC Firm_Low Bid
Example: C12345_Tribe Name_TERO
Documents filed in the main contract folder: Contract Technician Checklist - Contract#_Construction Contract Checklist.pdf Bid Review Checklist - Contract#_Bid Review Checklist.pdf
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Attachment B1 Filing Guideline – Construction
Folder Type of Document Naming Convention
1 Pre Bid
PD-02 Exception Letter Contract#_PD02
Special Provisions Checklist Contract#_Special Provisions Checklist
Special Provisions with Notes Contract#_Special Provisions Cover
Work Type Contract#_Work Type
Wage Information Contract#_Wage Info
1.1 Notice to Contractors
CMD NTC Contract#_CMD
DJC NTC Contract#_DJC
Notice to Web Contract#_Notice #_MMYYDD Ad Length
1.2 Plans and Specs
Bid Booklet Contract#_Bid Booklet.pdf
Special Provisions Contract#_Special Provisions.pdf
Bidding Plans Contract#_Bidding Plans
Addendums Letters Contract#_Addendum #
Clarification Letters Contract#_Clarificaiton #
2 Bid Review Evaluation
*Low Bidder Bid Contract#_Contractor Name_Low Bid
Deposit Confirmation Email Contract#_Deposit
Pre-bid Conference Sign in Sheet
Contract#_Pre-Bid Sign In
*TERO (Current Spreadsheet) Contract#_Tribe Name_TERO
State Funded-Non Residency Screen Shot
Contract#_State Residency
Plan Holder List Contract#_Plan Holder List
CCB Contractors Not Qualified Contract#_CCB Not Qualified
*Federal Excluded Parties List Contract#_Contractor Name_SAMS
BOLI Ineligible Contractors Contract#_BOLI Ineligible
Cashier Check Contract#_Cashier Check
*SOS Contract#_Contractor Name_SOS
*CCB Business Detail Contract#_Contractor Name_CCB30K
Apparent Bid Results (Written) Contract#_Apparent Bid Results
Surety Lookup (If Paper Bid) Contract#_Surety Lookup
XTabDat File BidOpeningDate(YYMMDD).DAT
2.1 Unsuccessful Bidders
*Bids Contract#_Contractor Name
3 Subcontractor Disclosure Form
*SDF Low Contract#_Contractor Name_SDF
SDF All Contract#_SDF
4 OCR
DBE Goal Results Report Email Contract#_DBE Analysis
DBE Good Faith Contract#_DBE Good Faith
DBE Commitment Certification Contract#_DBE
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DBE Form 2 Email Contract#_DBE Form 2_YYMMDD
5 Protest, Rejection, Rescind
5.1 Protest
*Protest Letter Contract#_Contractor Name_Protest
*Protest Response Contract#_Contractor Name_Protest Response
*Protest Response Email Contract#_Contractor Name_Protest Response_YYMMDD
5.2 Rejection
*Rejection Letter Contract#_Contractor Name_REJECTION REASON
*Protest Contract#_Contractor Name_Protest
*Protest Response Contract#_Contractor Name_Protest Response
5.3 Rescind
*Rejection Letter Contract#_Contractor Name_RESCIND REASON
*Protest Contract#_Contractor Name_Protest
*Protest Response Contract#_Contractor Name_Protest Response
6 Award
CE Budget Contract#_CE Budget.pdf
Cost Analysis Contract#_Cost Anlysis.doxc
Notice of Intent Contract#_NOI.pdf
Award Recommendation Memo Contract#_Award Recommendation.pdf
Award Letter Contract#_Award.pdf
Insurance Instructions Contract#_Insurance Instructions.pdf
Summary of Bids Received Contract#_Summary of Bids.pdf
Highway Division Admin Approval Email
YYMMDD_Contract#_HDA
Chief Engineer Approval Email YYMMDD_Contract#_SPDM
FHWA Concurrence YYMMDD_Contract#_FHWA
Bid Price Extension Contract#_Price Extensions
Pay Equity Certificate Contract#_Pay Equity Certificate (or Email Confirmation if <50FTE)
Contract Review Checklist Contract#_Federal_State Contract Review Checklist
Contract Verification Contract#_Contract Verification.pdf
Anticipated Items Contract#_Anticipated Items.pdf
Bid Tab without EE Contract#_Bid Tab
Bid Tab .SQF Bid Tab.SQF
Contract Schedule Contract#_Schedule.pdf
Contract Signature Page Template
Contractor Name.docx
Award Recommendation Contract#_Award Recommendation.pdf
7 Notice to Proceed (NTP)
Notice to Proceed Contract#_NTP.pdf
Contract Signature Pages Signed
Contract#_Signature Pages.pdf
Contract Contract#_Contract.pdf
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CCB Responsibility Form Contract#_CCB Resp Form
8 Insurance, Bonds, POA
Insurance Certificate Contract#_COI
Power of Attorney Contract#_POA
Insurance/Surety Lookup Contract#_Surety Lookup
Performance & Payment Bonds Contract#_Bonds
9 Email
All Correspondence YYMMDD_Contract#_SUBJECTD
Award Letter to Internal YYMMDD_Contract#_AwardFS DBE
Cost Analysis YYMMDD_Contract#_Cost Analysis
Notice to Proceed YYMMDD_Contract#_NTP
BOLI Request Form YYMMDD_Contract#_PWR Fee
Request for CE Budget YYMMDD_Contract#_Request for CE Budget
CE Budget Email YYMMDD_Contract#_CE Budget
Request for Signatures YYMMDD_Contract#_Request for Signatures
10 Other Documents
UPS Shipping Label Contract#_UPS
All document templates Contract#_Subject.docx
11 DOJ Confidential
All DOJ Emails YYMMDD_Contract #_DOJ Review
*Please refer to list of Other Documents on page 12
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Attachment C Filing Guideline – Contract Closeout
Italics are used to show when a buyer should fill in the information applicable to their procurement in the document naming convention.
Document Type Naming Convention
All Documents
Unless Noted
Contract/Solicitation #_Name of Document
Example: 12345_Contract Closeout Checklist
Example: 12345_Consultant Eval
DOJ emails to include DOJ in the subject line
Date (YYMMDD)_Description (Revise Subject Line)
Example: 150928_DOJ Review
Folder Type of Document Naming Convention
1 Admin Amend_Final Notification
Contract Closeout Amendment Contract#_Closeout Amendment
2 Audits
Closeout Email YYMMDD_Closeout Audit
3 Checklists
Contract Closeout Checklist Contract#_Contract Closeout Checklist
4 Closeout Memo
Agency Closeout Memo Contract#_Agency Closeout
Consultant Closeout Memo Contract#_Consultant Closeout
5 Emails
All Correspondence YYMMDD_Email Subject
6 Evaluations
Consultant Evaluation Tool Contract#_Consultant Eval
7 Final Invoices
Final Invoices Contract#_Document Name
8 Invoice Summary
Closeout Summary Contract#_Closeout Summary
Invoice Summary with Retainage Contract#_Invoice Summary