Contract Organization and Filing

1. Contract Organization and Filing June 09 Procurement Training Forum Presented by Code 210.M

2. What Do Your Contract Files Look Like? or

3. Code 210.M’s Top Five Reasons Why Contract Files Are Disorganized • I left the file this way so that you can see what I inherited. Can you believe this mess? • There are a few loose papers in the middle of the file to get the reviewer’s attention. You open the file. The papers fall out and you get the reviewer’s attention. • As you can see, there has been a lot of issues and discussion related to this action. So, I’ve included every single email so that you (the reviewer) can understand what I’ve been dealing with. • I knew that I would get a number of comments if I included the document in the file. So I excluded it and received one comment that the document was missing. • I’ve included the same document several times in the file. This document is important, and I wanted to ensure that the reviewer saw it. If they missed it the first time, then there is a second and third opportunity….

4. Provide an overview of how contract files should be organized. Discuss ways to improve contract files to facilitate reviews and audits Emphasize importance of maintaining organized files throughout the life of the contract Objectives

5. Why Is Contract Organization Important? • Contract files are a reflection of everything we do and well organized files show that we care about our work • Contract file organization can either facilitate or impede the review process • Contract files are organized differently throughout Code 210 which adds to the challenge of locating and reviewing documents • Procurement surveys have noted the need to improve contract organization and filing • we may be written up for documents that can not be located because they were not filed properly • Contracts are frequently transferred between specialists who are unable to locate file documentation

6. NASA Form 1098 • Review each item on the NF 1098 to determine what documents are needed and applicable to the contract. • The NF 1098 should identify all documents included in the file or annotate were documents have been filed. Make sure that the NF1098 is correct. If an item is checked off, do not forget to put the document in the file. • A completed NF1098 should filed on the top of the backup documentation (left hand side of file). A copy of the NF1098 should be included in all contract files.

7. One Method to Assemble A Basic Contract File • Green “Official Contract File” should be used for NASA GSFC contracts • File has 8 tabs counting the front and back cover of the green file folder and the front and back sides of the 3 brown dividers inside the file folder • The first tab (inside front green cover) should include all the supporting papers for the basic contract. • Documents should be tabbed and labeled and organized according to NASA Form 1098 “Checklist for Contract Award File Content” (NF1098 tabs 1-82) • If documentation supporting the contract are too voluminous to fit in a single folder, the original NF1098 should be annotated to reflect where applicable documents will be filed in additional file folders • The second tab should include the original, signed contract and a signed copy of each modification to the contract. • Documents being reviewed should be put on the right side of a contract file (opposite the inside front green cover).

8. One Method to Assemble A Basic Contract File (Continued) • The third tab may include all supporting papers for each modification, organized and tabbed from the first modification, filed on the bottom (i.e. NF1098 tab 96). • Each modification tab could be organized and tabbed as the supporting papers for the contract, following the subjects from the NF 1098 relevant to each modification • Each modification tab should include any review and approval route sheets associated with it • The fourth tab may include all secondary administration documents, such as DOD agencies, Office of Patent Counsel, COTR appointments, etc. (i.e. NF1098 tab 98, etc.) • The fifth tab may include all miscellaneous papers that do not belong with any other Tabs. • The sixth tab may include all financial reports (i.e. NF1098 Tab 105)

9. One Method to Assemble A Basic Contract File (Continued) • The seventh tab may include all vouchers, invoices, and receiving and inspection reports (e.g., DD250, Material Inspection and Receiving Report, etc.)(i.e. NF1098 tabs 107 and 109) • The eighth tab (inside back green cover) may include all post award reports, such as progress reports, final reports, property reports, new technology reports, etc.) (i.e. NF1098 tabs 99, 100, 106, etc.)

10. Ways To Improve Contract Files And Facilitate Reviews And Audits • Label files for easy identification. • Don’t leave post-it notes (and other types of temporary notes) in the file. • Ensure that all documentation included in the file is relevant. For example, if emails are not needed to document the record or facilitate the review and approval process, then exclude them (or file under a misc. or correspondence tab). • Replace ‘draft’ versions of documents with the ‘final’ versions. • Ensure that documents such as memorandum for the record, determination & findings, etc. are signed and dated. • Secure loose documents in the file. In additional, use staples versus paperclips to secure the review and approval sheet. Use tab sheets instead of post-it tabs.

11. Ways To Improve Contract Files And Facilitate Reviews And Audits (Continued) • Type contract (versus handwrite) file documentation (especially route sheets). Typewritten documents are more legible and easier to review. • Use official green file folders for contracts. For small documents (i.e. deviation request, JOFOC, etc.), use green sturdy folders unless the document must go to Code 100 then a manila folder should be used.  It’s important to keep documents looking professional. • Proof-read documents. Take time to run spell check and correct grammatical errors. • Provide reviewers with a chrono file which includes the basic contract and modifications. A modification log would also be helpful. For large contracts, may want to consider maintaining a conformed contract. • If appropriate, include a memorandum to the file explaining a modification or action. This may help reduce the number of questions by the reviewer.

12. Tips To Facilitate Contract File Review • Consult the review and approval matrix to ensure that actions are reviewed by the required participants. Remember if a file needs to be reviewed by the procurement officer, then it must be reviewed by the procurement policy office. • Remember to coordinate review of electronic packages (and documents be transmitted) with reviewers. • If the reviewer marks-up a document and the file needs to be re-reviewed, then provide the original comments (i.e. marked up document) back to the reviewer.

13. Tips To Facilitate Contract File Review • Consult the review and approval matrix to ensure that actions are reviewed by the required participants. Remember if a file needs to be reviewed by the procurement officer, then it must be reviewed by the procurement policy office. • Remember to coordinate review of electronic packages (and documents be transmitted) with reviewers. • If the reviewer marks-up a document and the file needs to be re-reviewed, then provide the original comments (i.e. marked up document) back to the reviewer.

14. Maintaining Organized Contract Files • While it’s important to organize contract files to facilitate the review and approval process, it’s equally important to continue filing contract documentation in a timely and organized manner through-out the life of the contract. Other people may need to access your contract files and locate documents with minimal effort. • Properly organized contract files saves time and energy, facilitates the review and approval process, and reflects well on the procurement community.