Files Duties

1. Definition of Different Files
1. Current Bid Files: This file cabinet houses all bids and proposal that are out for bid (top drawer) and any tagged files that may have already been opened, but not awarded yet or need to be pulled for further action at a predetermined date (2nd drawer)
2. Current closed files: This is a series of files where awarded requisitions, bids and proposal from the current fiscal year are filed along with any related purchase orders (POTs/Award Notices). These are filed by Area number and then document number.
3. Archive Files: These are located on the 7th floor in a secure space. This area is designed to hold the previous years files.
4. Fat Files: This is a series of files (usually RFPs) that have such large or bulky proposal from vendors that it is not practical to file them along with our regular files. Closed fat files are kept on the 7th floor storage area even if they are a new enough closed folder to be filed in our office. Whenever a Fat File is filed separately from our other files, a dummy folder will be placed at the appropriate place in the file cabinet explaining the reason why the folder and documents are not available in the expected file and it should direct the person to the Fat Files to find the folder.
5. Alpha Files: These are files with no Purchasing assigned numbers to file by so that we file by the description of the bid or proposal. For example we have the Coke contract and the Aramark contracts in our Alpha files. These are located in the bottom left cabinets of the closed files on the east wall.
2. General Files Duties
1. Pull out Bid folders that open today from the "unopened bids" (top) drawer in the black file cabinet. Put them in the "Bids opening Today" basket. These are held until the 3 pm opening.
2. Pull out bid folders that are due from the department today from the "opened and referred bids" (second from the top) drawer in the black file cabinet. Give them to the buyer whose name is on the front of the folder.
3. Get the new RXs from the "New RX" slot on top of the black file cabinet and from the fax area. Follow procedures for logging new RXs. Do this throughout the day as soon as new RXs come in. Update RX Log list.
4. Get any bid responses from basket at the front desk area and the fax area and file the responses in their corresponding bid folders.
5. Update "Bids to be Opened" list.
6. Match returned Referral packets to the tagged folder and give to assigned buyer.
3. Files "In-baskets" and What They Are For
1. In-boxes on top of the black file cabinet
• "New RXs": The front desk person will put any new RXs that arrive by mail in this slot.
• "Gets": Buyers and/or PAs will put requests for items that they want pulled from the files in this slot.
• "Misc. Filing": This slot is for filing that is not for the current fiscal year's file area - it could be for the previous fiscal year or something that needs to be filed upstairs, in a U-wide, or in Alpha files (located on the bottom files of the current fiscal year).
2. In boxes on the Files Desk Area
• "To be Filed": This is for closed files/bid folders and faxed purchase orders that are ready to be filed in the current fiscal year's file area.
• "To be 'Closed'": This is for RXs and Bid/RFP folders that need to be stamped with the "CLOSED" stamp before being put into the "To be Filed" slot.
• "Bids": This is for bid/RFP folders that are either brand new and need to be recorded in URQS, a table in CUFS, stamped with the buyer's name, and filed in the "unopened" file drawer or bids that have been referred and need to be recorded in URQS and filed in the "opened" file drawer.
• "To be Faxed": This is for purchase orders that have been signed by the buyer and are ready to be faxed out to the vendor and the department and then put in the "To be Filed" slot for filing.
• "In Box": Self-explanatory…anything else for the Files person, can also be used by Purchasing staff when they don't know where to put something.
• "RXs to be done": This is the holding box for the RXs that the Files person PA work that they do for their buyer.
• "Bids Opening Today" Basket: This is the holding basket for bids/RFPs folders that will be opening today at 3pm.
4. Faxing
Purchase Orders (POs) are Faxed to Vendors and Departments when we have the fax number. Faxes in the "to be faxed" box need to be Faxed out every day, preferably as early in the afternoon as possible.
Check List prior to faxing:
1. Check for vendor and department fax numbers. If not listed research and try to find fax numbers.
2. Verify the regular terms and conditions are to be sent. These are located on the wall over the fax machine. These should be Faxed out with every Purchase Order unless you are instructed otherwise.
3. Check for federal funds. If yes, be sure to include the Federal Fund clauses. This is also located on the cubicle wall near the fax machine.
5. Fax Confirmations
Confirmations will come through telling you whether the document went through (OK) and if it didn't (NG - meaning no good). If OK, staple the documents together, with PO first, then any attachments and the fax confirmation last. Then also take the VENDOR COPY FAXED stamp and stamp it on the bottom of the PO to verify that the copy has been faxed.
If you have also faxed a copy to the Department, staple that copy on the very back of the pile and stamp the DEPT COPY FAXED on our PO file copy.
Should the confirmation come back NG, the fax did not go through on either the vendor or the department, research the problem and re-fax. Mailing should be the last resort.
6. Mailed POs
For the rare cases when faxing will not work and there are any attachments, copy them and staple the copy to the PO and place the vendor copy in the mail. Date stamp the Purchasing copy so we know precisely when the PO was mailed out should there be any questions later. (NG FAX Confirmations can be recycled.)
PO's can then be placed in the "to be filed" box. This can be done when it is convenient, but don't let it pile up more than two days.
7. Filing
1. Once an award has been completed, the RX's and PO's need to be filed in the closed files.
2. When time permits, file these. RX's and PO's are filed numerically by area. It is easiest to first sit at the desk and put them all in numerical order before you go over to file cabinets. The order within an area is:
   1. Award Notices
   2. POTs
   3. RX and Bids/RFP Folders
8. Vendor Calls
Vendors may call (or staff may transfer vendor voice mail calls) to Files for the following reasons:
1. Requesting a bid/proposal
   Vendors who are not subscribers to BIS, will call and request a blank copy of the bid/proposal that has been issued in BIS.
   Write down the vendor (company) name, address, phone/fax numbers, contact name and contact e-mail. Add this information to the list of vendors at the back of the bid/proposal folder. This is critical since only those vendors in BIS or listed in the back of the folder will be sent any addendum notices later.
   If the vendor representative (sales person) wants to stop in and pick up the copy, try to get a business card from them and paste this in the back of the folder instead of writing the details.
   Make sure you have the entire document. The vendor should get any attachments, samples, exhibits, addendums etc. that have been issued to the other vendors. Don't give the last one of anything without checking with the buyer.
   Fax (mail if necessary) the copy to the vendor or give it to any vendors waiting in the lobby.
2. Status of a bid/rfp or its Award:
   Vendors will call to obtain information on whether the bid/rfp they are interested in has been awarded and if not, what is the current status.
   BID: If not awarded yet, provide whatever information is available ie: who responded to the bid, any dollar amounts, etc. If it has been awarded, also provide the name of the vendor awarded.
   RFP: If not awarded yet, only the names of the responding companies may be provided and the current status, which is "under evaluation". If awarded AND there is not pink folder of confidential information, the proposals and prices are all public information.
3. Vendor Requests to View Documents in Person:
   Vendors may stop in our office to view all opened or closed bids or closed rfps (without confidential pink folders).
   At the time when a file is made available for viewing/copying, the File Person will complete the yellow form, which is taped to the bottom of the inside back cover of the folder.
   Vendors should be watched as they view files. Although it has not been documented here, other institutions have had problems with vendors stealing other vendors quotes out of the file folder, or changing information and prices on the submitted quotes in the files. If it appears the review will be lengthy, the files person should make arrangements with the receptionist to take over the watch. This should be done plainly in front of the vendor so they know not to try anything.
   For larger documents, the vendor may request copies rather than writing down all the pertinent information. The File person will document what is to be copies and who is requesting it. The File Person is responsible for coordinating the pick up and delivery of copies and the original back to Purchasing Services from the U of MN Copy Center. This may take several days, so the copies will need to be mailed or picked up later. Copies will not be released until payment is received by the Office Manager. The only exception to this policy is when a request is received from another University. We will NOT charge a fee in that situation. The U of MN Copy Center charges plus a flat $10.00 handling fee are passed along to the requestor. See the details in Policy and Procedures for Copying Done for Vendors.
   Once a document is Rebid, the original bid (price quoted/names of who was sent copies, who responded, etc.) is now not public information until the rebid is completed.
NOTE: While complying with a request for viewing documents, whether it is a bid or RFP, give out only the pertinent documents, such as; bids/RFPs, tabulations, evaluation sheets, etc. Keep the folder behind with confidential documents, correspondence and et cetera.
9. Look-ups/Gets
Look Ups or Gets are documents that are requested from files. When people cannot find something they are looking for, note will be put in the slot called "Gets" asking you to look for the requested document.
Many times it is a current Fiscal Year RX or PO so just look in the files current open, tagged or closed files first. When you find it, paper clip it to the back of the request, cross out the date the person put on it and initial it and place it in their inbox.
If it is not available in the current files, it may be and older file, a fat files or a U wide contract that is available upstairs on 7th floor. Same process is used for these.
10. Bid Opening
1. The file person places all bids and proposals in the corresponding bid/RFP folder as they are received.
2. On the date the bid/RFP is due, pull the folder(s) from the Open Files and place in the holding basket on the top of the black file cabinet. Continue filing any last minute bids/proposal in these folders.
3. Just before 3 pm each day, check the bid basket next to the receptionist to file any last minute documents received. Also check the receiving fax machine and the File fax slot for other last minute submissions. File these in the folders.
4. After 3:01 pm on our office time clock, bring all folders due to a conference room for a public opening of the bids/proposals.
5. Write the names of all vendors responding in the back inside cover of the folder along with the number of bids received, the date and your initials. Put a line through these names to signify they were the ones who responded. If a representative from the company is attending the opening, ask them what company they are from and add a small R next to their company name. This tells the buyer there was a representative at the bid opening in case there are questions later.
6. Vendors may attend this public opening.
1. BIDS: For Request for BIDs (manila/beige folders), the vendors may view the responses from all of their competitors. They may write down any notes they wish regarding what everyone else has quoted.
2. RFI/RFPs: For Request for Proposals (yellow folders), only the names of the respondents are public at this time. Attending vendors are NOT allowed to view any of the information submitted by their competitors except the names of those responding.
7. Place preprinted "Original" label on the original copy of the RFP and "Copy" on all other copies of the RFP. Place these labels on the outside front cover page.
8. Give the folder to the assigned buyer. Identify any late or unsigned bids for the buyer. Also identify any confidential information if you notice it. (Also see Confidentiality Procedures)
   See also PA Duties
   NOTE: Most vendors are reputable, however, there have been cases of vendors changing either their own bid or other vendor's bids during a bid opening. This is not ethical. The file person should be aware that these vendors who attend the bid opening can only view documents. They are not allowed to make any changes or notes on theirs or other vendors bid/proposal documents.
11. Late Bids
Any bid/proposals received after 3pm (based on our office time clock) is late and is not considered. The bid/proposal is just filed in the back of the folder. The names of late bid vendors are still crossed off the back of the folder and "r" is added next to their name showing a representative from that company was their to view the opening.
Bids are late if received at 3:01 pm or later, regardless of the method of delivery. Faxed bids where the 1st page is received at 3:00 or earlier and the rest of the document comes in after 3 pm will be accepted.
Bids that are late should be clearly marked late for the buyer to see. Bids mailed to confirm a bid that was previously faxed in are not late bids, they are call confirming bids and should be stapled to the previously submitted bid.
12. Confidentiality (See Full Confidential Procedures for details)
During the opening, if any notations of a bid or proposal being confidential are noticed, bring this to the buyer's attention.
If the confidential statement is noticed on a bid, do not share the bid with any vendors attending the bid opening. The buyer will handle any questions on this.
There is little risk for RPFs since the vendors are not allowed to read the proposals of their competitors at this time. If the confidential statement is noticed on a proposal, just note it for the buyer to see.
Closed folders that have confirmed confidential information will be filed in a pink folder. If anyone asks for information that includes a pink folder, follow the Confidential Procedures.
13. Referrals Return
When the RFP responses are returned to Purchasing Services, the Receptionist will date stamp the Referral sheet (the one with the department's recommendation) and turn over all materials to the Files. The File person will store all returned responses (EXCEPT the ORIGINAL copy) in the 7th floor storage dumpster. These will be shredded along with the shredding of other purged documents once a year. The stamped referral sheet along with the original RFP responses would be forwarded to the appropriate buyer.
When RFB responses are returned to Purchasing Services, the Receptionist will date stamp the Referral sheet (the one with the department's recommendation) and turn over all materials to the Files Section. The File person will pull the original folder from the filing cabinet and forward everything to the appropriate buyer.
14. Year End File Move
Purchasing Services' current policy is to keep the 2 fiscal year's worth of closed files (requisitions, bid/rfps, award notices and purchase orders) in our office on 5th floor This includes the current fiscal year and 1 previous fiscal year. We also keep 5 fiscal years of files in our storage area on 7th floor.
Once a requisition/bid/rfp has been awarded, it is closed and filed in the east wall files along with the related purchase order(s). The north wall of files is for the closed previous year files.
July Move
1. Any documents closed after July 1 will be filed in the newest fiscal year files.
2. End of June - order a supply of Banker Boxes from U Stores to hold the files that will be moved.
3. During the month of July each year, the oldest fiscal year files are boxed up in banker boxes and moved to the 7th floor storage area.
4. Label boxes legibly with the following information:
   • Fiscal Year
   • Beginning and ending Area numbers that are in the box.
   • Destroy date (7 years from the current fiscal year)
5. New boxes added to the 7th floor area are arranged in one specific area for convenient retrieval.
15. New Federal Audit Procedures
Coming Soon.