desk procedure...updated 7/19/2018 page 2 g:\policies & procedures\026- electronic file...

$: DESK PROCEDURE...Updated 7/19/2018 Page 2 G:\Policies & Procedures\026- Electronic File Management\DP-OPO-026 Electronic File Management Desk Procedure.docx ContractFolders or (Construction)$
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


Procedure.docx

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


Procedure.docx

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


Procedure.docx

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


Procedure.docx

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

Email

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


Procedure.docx

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


Procedure.docx

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


Procedure.docx

Filing Guideline PSK/GTS – Amendment


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 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


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


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


Procedure.docx

7.1 Delegations


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


Procedure.docx

Filing Guideline PSK/GTS – Contracts/PA/WOC


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 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


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


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



Procedure.docx

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


Procedure.docx

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.


All Documents

Unless Noted

Contract #_Name of Document

Example: C12345_BOLI Ineligible

Example: C12345_DBE

Example: C12345_Schedule

Email


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


Procedure.docx

Attachment B1 Filing Guideline – Construction


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


Procedure.docx

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


5.3 Rescind

*Rejection Letter Contract#_Contractor Name_RESCIND REASON

*Protest Contract#_Contractor Name_Protest


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


Procedure.docx

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


Procedure.docx

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.


All Documents

Unless Noted

Contract/Solicitation #_Name of Document

Example: 12345_Contract Closeout Checklist

Example: 12345_Consultant Eval

Email


Date (YYMMDD)_Description (Revise Subject Line)

Example: 150928_DOJ Review


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


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