OFFICIAL CONTRACT RECORD CHECK LIST
CONTRACT FILE DOCUMENT CHECKLIST
[This checklist is by no means exhaustive. Tailor to meet your specific requirement.]
DATE:
|SOLICITATION NO: | |SUPPLY | |SERVICE |
|CONTRACT NO: |CONTRACTOR: |VALUE: $ |
|MODIFICATION / ORDER NO: |CONTRACT TYPE: |
|CONTRACTING OFFICER: |CONTRACT SPECIALIST: |
|CONTRACTING OFFICER’S REPRESENTATIVE (COR): |
|PLANNING PHASE |
|NO. |ITEM |INFO/R|NA |
| | |EFEREN| |
| | |CE | |
| | |INFORM| |
| | |ATION | |
|1 |Procurement |NOAA AGO Handbook Chapter 11 – Describing Agency Needs | | | |
| |Request (including|NOAA AGO | | | |
| |funding document | | | | |
| |or evidence of | | | | |
| |availability of | | | | |
| |funds) | | | | |
|2 |Independent |SEE NOAA IGCE Guide | | | |
| |Government Cost | | | | |
| |Estimate (IGCE) | | | | |
|3 |PWS / SOO / SOW / |FAR 11.1/2, FAR 37.602 | | | |
| |Specification | | | | |
|4 |CDRL (DD Form |DFARS 215.470 | | | |
| |1423) |DoD 5010.12M: Procedures for the Acquisition and Management of Technical Data | | | |
| | | | | | |
| | |See | | | |
|5 |Acquisition Plan |FAR 7.1, NOAA AGO Handbook p. 81-91 | | | |
| |or Milestone Plan | | | | |
|Market Research-related Documentation (applies to 6–7) | | | |
|6 |Market Research | | | | |
| | | | | | |
| | |Reference: | | | |
| | |FAR Part 10 | | | |
| | |FAR 10.002(d)(1), (2), and (e) | | | |
| | |FAR 12.101 | | | |
| | |FAR 7.102(a) | | | |
| | |FAR 6.303-2(a)(8) | | | |
|7 |Suggested Sources | | | | |
| |List | | | | |
|Service Contract-related Documentation (applies to 8–10) | | | |
|8 |Draft QASP |FAR 37.604 & FAR 46: Quality Assurance | | | |
|9 |Acquisition |DOC DAO 208-10 Management of Contracted Services | | | |
| |Strategy | | | | |
| |(for Services > | | | | |
| |SAT) | | | | |
| | | | | | |
|10 |Notice of |FAR 22.10, Service Contract Act of 1965, As Amended | | | |
| |Intention To Make | | | | |
| |a Service Contract| | | | |
| |and Response to |Wage Determinations On-Line | | | |
| |Notice (SF 98 and | | | | |
| |SF 98A) | | | | |
| | |Wage Determinations On-Line Program User’s Guide | | | |
|Solicitation-related Documentation (applies to 11–14) | | | |
|11 |Government |FAR Part 45 : Government Property | | | |
| |Furnished Property| | | | |
| |List | | | | |
|12 |IT Security |DOC IT Security Program at | | | |
| |Checklist | | | | |
|13 |Type of Contract |FAR 16.103(d): Negotiating contract type. | | | |
| | |Each contract file shall include documentation to show why the particular contract type was | | | |
| | |selected. | | | |
|14 |Contracting |CAM 1301-670 at | | | |
| |Officer’s | | | | |
| |Representative | | | | |
| |(COR) / Alternate | | | | |
| |COR Nomination | | | | |
| |Letters | | | | |
|Evaluation-related Documentation (applies to 15-16) | | | |
|15 |Source Selection | | | | |
| |Plan |NOAA AGO Handbook Part 15 | | | |
|16 |Award Fee / |FAR 16.4: Incentive Contracts | | | |
| |Incentive Fee Plan| | | | |
|Other Documentation (applies to 17–26) | | | |
|17 |D&F |FAR 1.704: Content of a D&F | | | |
| |[Contracting |FAR 17.503, FAR 16.601: T&M Contracts | | | |
| |Officer must |FAR 16.603 Approval to issue Letter Contracts | | | |
| |determine when a |FAR 45.302-1: Providing Facilities | | | |
| |D&F is required for|FAR 37.203 Advisory & Assistance | | | |
| |an individual | | | | |
| |contract or classes| | | | |
| |of contract | | | | |
| |actions.] | | | | |
|18 |J&A |FAR 6.302 and 6.303, | | | |
| |(For other than |FAR 8.405-6: For Orders Under GSA FSS | | | |
| |full and open | | | | |
| |competition, e.g., | | | | |
| |Sole Source, | | | | |
| |Limited | | | | |
| |Competition) | | | | |
|19 |Small Business Set |FAR 13.003(b)(1): SAP Policy | | | |
| |Aside Review– |FAR 19.201, 19.2: Small Business Program General Policy | | | |
| |CD-570 Form |FAR 19.5: Set-Asides for Small Businesses | | | |
| | | | | | |
| | |SEE | | | |
|20 |EIT / Section 508 |FAR 39.201 SEE: | | | |
| |Compliance | | | | |
|21 |Foreign Disclosure |Required whenever Controlled Unclassified Information (CUI) or technology or classified | | | |
| |Deemed Export |information/technology is being disclosed to a foreign entity or international organization. | | | |
| |Review | | | | |
| | |SEE | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | |and NAO 208-12 Technology Controls and Foreign National Access – at | | | |
| | | | | | |
|22 |Overtime |FAR 22.103, FAR 52.222-2, | | | |
| |Authorization | | | | |
| |Request | | | | |
|23 |Buy American Act |FAR 25.1, | | | |
| |Exception |FAR 25.102: Acquire only domestic end products for public use inside the United States. | | | |
| |Determination | | | | |
|24 |Memo for the |FAR 17.2, | | | |
| |Inclusion and | | | | |
| |Evaluation of | | | | |
| |Options | | | | |
|25 |Organizational |FAR Subpart 9.5: Organizational and Consultant Conflicts of Interest | | | |
| |Conflicts of | | | | |
| |Interest (OCI) | | | | |
|26 |Lease vs. Purchase |FAR 7.4 | | | |
| |Analysis | | | | |
| PRE-SOLICITATION AND SOLICITATION PHASE |
|NO. |ITEM |INFO/REFERENCE INFORMATION |NA |REQ |COMMENTS/FILE TAB # |
|28 |Pre-Solicitation Notice |FAR 5.204: Pre-Solicitation Notices | | | |
| |(include Conference/Site Visit |FAR 15.201 & 15.202(a): Contracting By | | | |
| |Minutes/Notes if applicable) pr Special |Negotiation, Advisory Multi-Step Process | | | |
| |Notice |FAR 5.205(c): Special Notice. Special situations | | | |
| | |such as a business fair, presolicitation or | | | |
| | |preproposal conference, site visit opportunity, or| | | |
| | |meeting | | | |
|29 |Sources Sought Synopsis |FAR 15.201: Exchanges with Industry | | | |
|30 |Request for Information (RFI) |FAR 15.201: Exchanges with Industry | | | |
|31 | |FAR 5.203(a)(2): Publicizing and Response Time | | | |
| |Combined Synopsis / Solicitation |FAR 12.603: Streamlined Solicitation for | | | |
| | |Commercial Items | | | |
|32 | Draft Solicitation |FAR 13.106-1: Soliciting Competition under SAP | | | |
| | |FAR 14.2: Solicitation of Bids | | | |
| | |FAR 15.203: Requests for Proposal | | | |
| | |FAR 15.204: Contract Format | | | |
|33 |Solicitation Review & Approval |As applicable: e.g., Legal Counsel, , Level above | | | |
| | |Contracting Officer, Contract Review Board Review | | | |
| | |Board | | | |
|34 |Solicitation (including attachments & |FAR 5.102: Availability of Solicitations | | | |
| |exhibits) |FAR 15.205: Issuing Solicitations | | | |
|35 |Amendments (including any supporting |FAR 15.206: Amending the Solicitation | | | |
| |documentation) | | | | |
| |
|OFFERORS’ RESPONSES |
|NO. |ITEM |INFO/REFERENCE INFORMATION |NA |REQ |COMMENTS/FILE TAB # |
|37 |Late Offer Correspondence / Memo For File|FAR 15.2: Submission, Modifications and | | | |
| | |Withdrawals of Proposals | | | |
|38 |Preaward Protests |FAR 33.103 Protests To the Agency | | | |
| | |FAR 33.104(b) Protests To GAO | | | |
| | |FAR 33.201, | | | |
| | |FAR 52.233-2: Service of Protest | | | |
| |
|EVALUATION PHASE |
|NO. |ITEM |INFO/REFERENCE INFORMATION |NA |REQ |COMMENTS/FILE TAB # |
|40 |NDA / OGE 450 |See DOC OGC Ethics Summary and NDA Conflict of | | | |
| | |Interest Templates | | | |
|41 |D&F For Using Contractors as Evaluators |FAR 37.204 | | | |
|42 |Field Pricing Assistance Documentation |FAR 15.404-2(b)(1)(ii): Reporting Field Pricing | | | |
| | |Information | | | |
|43 |Report of Individual Contract Profit Plan|DFARS 215.404-4: Proposal Analysis Profit | | | |
| |(Weighted Guidelines, DD Form 1547) | | | | |
|44 |Prenegotiation Source Selection Reports |SSEB, C/PAT, PPET | | | |
|45 |Prenegotiation Business Case Memorandum |FAR 15.406 | | | |
| |(BCM) |Required for all negotiated actions over the | | | |
| | |simplified acquisition procedure threshold (100K.)| | | |
|46 |Letter to Contractors Opening Discussions|FAR 15.306: Exchanges with Offerors After Receipt | | | |
| | |of Proposals | | | |
| | |FAR 15.306(d): Discussions | | | |
|47 |Notice of Exclusion from Competitive |FAR 15.503(a)(1): Preaward Notices of Exclusion | | | |
| |Range |from Competitive Range | | | |
|48 |Preaward Debriefing Documentation |FAR 15.505: Preaward Debriefing of Offerors | | | |
|49 |Request for Final Proposal Revision / |FAR 15.307: Proposal Revisions | | | |
| |Final Revised Offers | | | | |
|50 |Final Source Selection Reports |FAR 15.308: Source Selection Decision | | | |
| |[SSEB, C/PAT, PPET] | | | | |
|51 |Equal Employment Opportunity (EEO) |FAR 22.8: Equal Employment Opportunity | | | |
| |Compliance |FAR 22.805: Procedures | | | |
| | |For prime and first-tier subcontractor. For awards| | | |
| | |greater than or equal to $10M (base award plus | | | |
| | |options.) | | | |
|52 |Small Business Subcontracting Plan Review| | | | |
| | |FAR 19.7,: The Small Business Subcontracting | | | |
| | |Program | | | |
|53 | |FAR 9.103(b): Responsible Prospective Contractors | | | |
| |Contractor Responsibility Determination/ |Policy | | | |
| |Debarred List Verification |General Standards: FAR 9.104-1 | | | |
| | |Determination Procedures: FAR 9.105 | | | |
| | |Debarment: FAR 9.4 | | | |
| | |Excluded Parties List System: | | | |
|54 |Central Contractor Registration |FAR 4.1103/4: Central Contractor Registration | | | |
| |Verification (CCR) |Policy and Clauses | | | |
| | | | | | |
| | |Required unless exception exists per FAR 4.1102. | | | |
|55 |Preaward Survey |FAR 9.106: Preaward Surveys | | | |
| | | | | | |
| | |Typically required when information is | | | |
| | |insufficient to make a determination of | | | |
| | |responsibility, or information indicates the | | | |
| | |contractor has serious performance deficiencies. | | | |
|56 |Certificate of Competency (COC) |FAR 19.6: Certificates of Competency and | | | |
| | |Determinations of Responsibility | | | |
| | |Upon determining apparent successful small | | | |
| | |business offeror to be nonresponsible, refer small| | | |
| | |business to SBA for a possible COC. | | | |
|57 |Certification of Current Cost and Pricing| | | | |
| |Data |FAR 15.406-2: Certificate of Current Cost or | | | |
| | |Pricing Data. | | | |
| | |When cost or pricing data are required. | | | |
|58 |Pre/Postnegotiation BCM |FAR 15.406: Contracting by Negotiation | | | |
| |[If no discussions were held] |Documentation | | | |
| |OR |FAR 15.308 Source Selection Decision | | | |
| |Postnegotiation BCM |DFARS 215.406-1: Prenegotiation Objectives | | | |
| |[SSA Recommendation for Award] |MAPS 15.406-90 and Appendix K | | | |
|59 |Preaward Protest Resolution Documentation|FAR 33.103(g) and (h): : Protests to the Agency | | | |
| | |FAR 33.104(d) Protests to GAO | | | |
| | |FAR 33.201: Alternative Dispute Resolution | | | |
|AWARD PHASE |
|NO. |ITEM |INFO/REFERENCE INFORMATION |NA |REQ |COMMENTS/FILE TAB # |
|61 |Challenges to Small Business Status |FAR 19.302(d)(1): Protesting a Small Business | | | |
| | |Representation | | | |
|62 |8(a) Offering Letter |FAR 19.804-2,: The 8(a) Program | | | |
| | | | | | |
| | |Required when issuing an 8(a) contract. Forwarded| | | |
| | |to SBA for approval. | | | |
|63 |Award Review & Approval |As applicable: e.g., legal counsel, , Level above | | | |
| | |Contracting Officer, Contract Review Board | | | |
|64 |Contract Award |FAR 13.106-3: Award and Documentation under SAP | | | |
| | |FAR 15.504: Award to Successful Offeror when | | | |
| | |Contracting by Negotiation | | | |
| | |FAR 15.204 Contract Format | | | |
| | |FAR 16.603 Letter Contracts | | | |
|65 |Award Announcement Synopsis |FAR 5.3: Synopses of Contract Awards | | | |
|66 |Postaward Notification To Unsuccessful |FAR 15.503(b): Postaward Notification to | | | |
| |Offeror(s) |Unsuccessful Offerors | | | |
|67 |Postaward Debriefing Documentation |FAR 15.506(f): Postaward Debriefing of Offerors | | | |
|68 |DCMA Contract Administration Delegation |FAR 42.2 & 42.3,: Contract Administration | | | |
| |Letter (If AGO does not provide |Functions | | | |
| |Post-Award K-management and delegates to | | | | |
| |DCMA) | | | | |
|69 |Contracting Officer’s Representative |CAM 1301.670: Contracting Officer Representative | | | |
| |(COR) / Alternate COR (ACOR) Designation |Certification Program | | | |
| |Letter | | | | |
|70 |Contract/Modification/Order Distribution |FAR 4.2,: Contract Distribution | | | |
| |Documentation/Checklist | | | | |
| |
|POSTAWARD PHASE |
|NO. |ITEM |INFO/REFERENCE INFORMATION |NA |REQ |COMMENTS/FILE TAB # |
|72 |Postaward Protest |FAR 33.103(f)(3): Protests To the Agency | | | |
| | |FAR 33.104(c) : Protests To GAO | | | |
| | |FAR 33.201, Alternative Dispute Resolution | | | |
| | |FAR 52.233-2: Service of Protest | | | |
|73 |D&F to Continue Performance in the Face |FAR 33.104: Protests to GAO | | | |
| |of a GAO Protest | | | | |
|74 |Postaward Conference Record (DD 1484) |FAR 42.503-3: Postaward Conference Report | | | |
|75 |Contract Funding Summary Spreadsheet |FAR 32.7: Contract Financing | | | |
|76 |QASP (for Service Contracts) |FAR 46.103(a): Quality Assurance | | | |
|77 |Informal Performance Assessment Reports |Submitted quarterly. Required for contracts | | | |
| | |greater than $50M. | | | |
|78 |Contractor Performance Assessment Report |FAR 42.15,: Contractor Performance Information | | | |
| |(and supporting documentation) |Submitted electronically through CPS. | | | |
|79 |Contract Deliverables |As required by contract such as: project status | | | |
| | |reports, monthly progress reports, meeting minutes| | | |
|80 |Delivery / Task Orders |FAR 2.101: Definition of DO | | | |
| | |FAR 16.505,: Ordering under IDIQ contracts | | | |
|81 |Fair Opportunity Exception Memo (Under |FAR 16.505(b)(1) and (2): Fair opportunity when | | | |
| |MACs) |ordering under Multiple Award Contracts | | | |
|82 |Modifications (including supporting |FAR 43.102 and 43.103: Contract modifications | | | |
| |documentation for each mod) | | | | |
|Options (applies to 83–86) | | | |
|83 |Option Exercise 120-day Request Letter |FAR 17.207: Use of options. | | | |
|84 |Project Office Response to 120-day | | | | |
| |Request Letter |FAR 17.207: Use of options. | | | |
|85 |60-Day Notification to Contractor of | | | | |
| |Government Intent to Exercise Option |FAR 17.207: Use of options. | | | |
|86 |D&F to Exercise Contract Options IAW FAR |FAR 17.207: Use of options. | | | |
| |17.207 | | | | |
|87 |Collective Bargaining Agreement (CBA) |FAR 22.1010: Notification to interested parties | | | |
| |Notification Letter [for Service |under collective bargaining agreements. | | | |
| |Contracts Exceeding Micropurchase | | | | |
| |Threshold] | | | | |
|88 |Stop-Work Order |FAR 42.1303: Stop-Work Orders | | | |
|89 |Change Order |FAR 43.2: Change Orders | | | |
|90 |Claims and REAs |FAR 33.2: Disputes and Appeals | | | |
| | |FAR 52.233-1: Disputes Clause | | | |
|91 |Technical Analysis Report (TAR) |Upon receipt of a claim or REA. | | | |
|92 |Cure Notice/Show Cause Notice/Termination|FAR 49.607 Delinquency notices | | | |
| |Notice |FAR 49: Termination of Contracts | | | |
| | |FAR 12.403: Termination of Commercial Item | | | |
| | |Contract | | | |
|93 |Ratification of Unauthorized Commitments |FAR 1.602-3: Ratification of unauthorized | | | |
| |Letter to the Initiator |commitments. | | | |
|94 |D&F for Ratification of Unauthorized |FAR 1.602-3 | | | |
| |Commitments | | | | |
|95 |COR Revocation Letter |CAM 1301.670 | | | |
|96 |Additional Post-Award Correspondence and | FAR 4.803: Contents of contract files. | | | |
| |Miscellaneous Documentation | | | | |
|97 |Closeout of Contract File (checklist and |FAR 4.803: Contents of contract files. | | | |
| |required documentation) |FAR 4.804: Closeout of contract files. | | | |
| | |FAR 4.805: Retention periods. | | | |
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