Official Contract Record Check List

EMERGENCY ACQUISITION 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/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB #

Requirements Documentation

Procurement Request NOAA AGO Handbook Chapter 11 – (including funding document 1 Describing Agency Needs or evidence of availability of NOAA AGO funds)

Independent Government Cost 2 SEE NOAA IGCE Guide Estimate (IGCE) PWS / SOO / SOW / 3 FAR 11.1/2, FAR 37.602 Specification DFARS 215.470 DoD 5010.12M: Procedures for the Acquisition and Management of Technical Data 4 CDRL (DD Form 1423) See http://www.ago.noaa.gov/ad/policy/Claus es_with_Deliverables_or_Report_Requir ements.pdf Acquisition Plan FAR 7.1, NOAA AGO Handbook p. 81- 5 or Milestone Plan 91 (EA KO AP)

Market Research-related Documentation (applies to 6–7)

Reference: FAR Part 10 6 Market Research 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)

FAR 37.604 & FAR 46: Quality 8 Draft QASP Assurance

of 8 Contract File Document Checklist for Emergency Acquisition Contract insert solicitation/contract number

PLANNING PHASE Acquisition Strategy (for Services > SAT) DOC DAO 208-10 Management of 9 Memo obtaining approval of Contracted Services service acquisitions that are not PBSA.

FAR 22.10, Service Contract Act of 1965, As Amended Notice of Intention To Make a Service Contract and http://www.wdol.gov 10 Response to Notice (SF 98 Wage Determinations On-Line and SF 98A) http://www.wdol.gov/usrguide/index.html Wage Determinations On-Line Program User’s Guide

Solicitation-related Documentation (applies to 11–14)

Government Furnished 11 FAR Part 45 : Government Property Property List DOC IT Security Program at 12 IT Security Checklist http://ocio.os.doc.gov/ITPolicyandProgra ms/IT_Security/DEV01_002757 FAR 16.103(d): Negotiating contract Type of Contract type. 13 Each contract file shall include documentation to show why the particular contract type was selected. Contracting Officer’s CAM 1301-670 at Representative (COR) / http://oamweb.osec.doc.gov/docs/CAM_ 14 Alternate COR Nomination 1301.67.pdf Letters

Evaluation-related Documentation (applies to 15-16)

15 Source Selection Plan NOAA AGO Handbook Part 15

16 Award Fee / Incentive Fee Plan FAR 16.4: Incentive Contracts

Other Documentation (applies to 17–27)

FAR 1.704: Content of a D&F D&F FAR 17.503, FAR 16.601: T&M [Contracting Officer must determine Contracts 17 when a D&F is required for an FAR 16.603 Approval to issue Letter individual contract or classes of Contracts contract actions.] FAR 45.302-1: Providing Facilities FAR 37.203 Advisory & Assistance

J&A FAR 6.302 and 6.303, 18 (For other than full and open FAR 8.405-6: For Orders Under GSA competition, e.g., Sole Source, Limited Competition) FSS

PLANNING PHASE FAR 13.003(b)(1): SAP Policy FAR 19.201, 19.2: Small Business Small Business Set Aside Program General Policy Review– 19 FAR 19.5: Set-Asides for Small CD-570 Form Businesses

SEE http://www.osec.doc.gov/osdbu/Forms.htm FAR 39.201 SEE: 20 EIT / Section 508 Compliance http://www.ago.noaa.gov/acq_alerts/aa- 01-02Sect508.pdf Required whenever Controlled Unclassified Information (CUI) or technology or classified information/technology is being disclosed to a foreign entity or international organization.

SEE Foreign Disclosure Deemed http://deemedexports.noaa.gov/Management 21 %20Model.doc Export Review http://deemedexports.noaa.gov/index.html

and NAO 208-12 Technology Controls and Foreign National Access – at http://www.corporateservices.noaa.gov/~ame s/NAOs/Chap_207/207-12.pdf Overtime Authorization 23 FAR 22.103, FAR 52.222-2, Request

FAR 25.1, Buy American Act Exception 24 FAR 25.102: Acquire only domestic end Determination products for public use inside the United States.

Memo for the Inclusion and 25 FAR 17.2, Evaluation of Options

Organizational Conflicts of FAR Subpart 9.5: Organizational and 26 Interest (OCI) Consultant Conflicts of Interest

27 Lease vs. Purchase Analysis FAR 7.4

PRE-SOLICITATION AND SOLICITATION PHASE

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # FAR Part 5: Publicizing Contract Actions FAR 5.207: Preparation and Submittal of Synopses 28 Synopsis FAR 12.603: Streamlined Solicitation for Commercial Items (SEE FAR 18.103 for exceptions) 29 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 Negotiation, Advisory Multi-Step Process Special Notice FAR 5.205(c): Special Notice. Special situations such as a business fair, presolicitation or preproposal conference, site visit opportunity, or

meeting

30 Sources Sought Synopsis FAR 15.201: Exchanges with Industry

FAR 5.203(a)(2): Publicizing and Combined Synopsis / Response Time 31 Solicitation FAR 12.603: Streamlined Solicitation for Commercial Items As applicable: e.g., Legal Counsel, , Level 32 Solicitation Review & Approval above Contracting Officer, Contract Review Board Review Board Solicitation (including FAR 5.102: Availability of Solicitations 33 attachments & exhibits) FAR 15.205: Issuing Solicitations Amendments (including any 34 FAR 15.206: Amending the Solicitation supporting documentation)

OFFERORS’ RESPONSES

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # FAR 4.803(a)(10) Offers/Responses (including 35 If separate folders are necessary, ensure no bids) that the folders are clearly labeled (e.g., File x of x, Unsuccessful Offerors, RFP#, Project Title) Late Offer Correspondence / FAR 15.2: Submission, Modifications 36 Memo For File and Withdrawals of Proposals FAR 33.103 Protests To the Agency FAR 33.104(b) Protests To GAO 37 Preaward Protests FAR 33.201, FAR 52.233-2: Service of Protest

EVALUATION PHASE

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # FAR 15.305: Proposal Evaluation Source Selection Kick-Off FAR 3.104-4: Disclosure, Protection, and 38 Memo (including any Marking of Contractor Bid or Proposal supporting documentation) Information and Source Selection Information

See DOC OGC Ethics Summary and 39 NDA / OGE 450 NDA Conflict of Interest Templates

D&F For Using Contractors as 40 FAR 37.204 Evaluators FAR 15.404-2(b)(1)(ii): Reporting Field Field Pricing Assistance 41 Pricing Information Documentation

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # Report of Individual Contract DFARS 215.404-4: Proposal Analysis 42 Profit Plan (Weighted Profit Guidelines, DD Form 1547) Prenegotiation Source 43 SSEB, C/PAT, PPET Selection Reports

FAR 15.406, MAPS 15.406-90 Prenegotiation Business Case 44 Memorandum (BCM) Required for all negotiated actions over the simplified acquisition procedure threshold (100K.)

FAR 15.306: Exchanges with Offerors Letter to Contractors Opening 45 After Receipt of Proposals Discussions FAR 15.306(d): Discussions Notice of Exclusion from FAR 15.503(a)(1): Preaward Notices of 46 Competitive Range Exclusion from Competitive Range

Preaward Debriefing FAR 15.505: Preaward Debriefing of 47 Documentation Offerors

Request for Final Proposal 48 FAR 15.307: Proposal Revisions Revision / Final Revised Offers

Final Source Selection Reports 49 FAR 15.308: Source Selection Decision [SSEB, C/PAT, PPET] FAR 22.8: Equal Employment Opportunity Equal Employment Opportunity FAR 22.805: Procedures 50 (EEO) Compliance For prime and first-tier subcontractor. For awards greater than or equal to $10M (base award plus options.)

Small Business Subcontracting FAR 19.7,: The Small Business 51 Plan Review Subcontracting Program

FAR 9.103(b): Responsible Prospective Contractors Policy Contractor Responsibility General Standards: FAR 9.104-1 52 Determination/ Debarred List Determination Procedures: FAR 9.105 Verification Debarment: FAR 9.4 Excluded Parties List System: http://epls.gov FAR 4.1103/4: Central Contractor Central Contractor Registration Registration Policy and Clauses 53 Verification (CCR) http://www.ccr.gov Required unless exception exists per FAR 4.1102. FAR 9.106: Preaward Surveys

Preaward Survey Typically required when information is 54 insufficient to make a determination of responsibility, or information indicates the contractor has serious performance deficiencies.

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # FAR 19.6: Certificates of Competency Certificate of Competency and Determinations of Responsibility (COC) 55 Upon determining apparent successful small business offeror to be nonresponsible, refer small business to SBA for a possible COC.

Certification of Current Cost FAR 15.406-2: Certificate of Current 56 and Pricing Data Cost or Pricing Data. When cost or pricing data are required. FAR 15.406: Contracting by Negotiation Pre/Postnegotiation BCM Documentation [If no discussions were held] FAR 15.308 Source Selection Decision 57 OR DFARS 215.406-1: Prenegotiation Postnegotiation BCM [SSA Recommendation for Award] Objectives MAPS 15.406-90 and Appendix K FAR 33.103(g) and (h): : Protests to the Agency Preaward Protest Resolution 58 FAR 33.104(d) Protests to GAO Documentation FAR 33.201: Alternative Dispute Resolution

AWARD PHASE

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # Small Business Preaward FAR 15.503(a)(2): Preaward notices for 59 Notice small business programs Challenges to Small Business FAR 19.302(d)(1): Protesting a Small 60 Status Business Representation FAR 19.804-2,: The 8(a) Program 8(a) Offering Letter www.sba.gov 61 Required when issuing an 8(a) contract. Forwarded to SBA for approval. As applicable: e.g., legal counsel, , Level 62 Award Review & Approval above Contracting Officer, Contract Review Board FAR 13.106-3: Award and Documentation under SAP FAR 15.504: Award to Successful 63 Contract Award Offeror when Contracting by Negotiation FAR 15.204 Contract Format FAR 16.603 Letter Contracts Award Announcement 64 FAR 5.3: Synopses of Contract Awards Synopsis Postaward Notification To FAR 15.503(b): Postaward Notification 65 Unsuccessful Offeror(s) to Unsuccessful Offerors

Postaward Debriefing FAR 15.506(f): Postaward Debriefing of 66 Documentation Offerors Contracting Officer’s Representative (COR) / CAM 1301.670: Contracting Officer 68 Alternate COR (ACOR) Representative Certification Program Designation Letter

AWARD PHASE

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # Contract/Modification/Order 69 Distribution FAR 4.2,: Contract Distribution Documentation/Checklist

POSTAWARD PHASE

Contracting Action Report FAR 4.602: Federal Procurement Data 70 (CAR) System Submitted electronically through FPDS-NG.

FAR 33.103(f)(3): Protests To the Agency FAR 33.104(c) : Protests To GAO 71 Postaward Protest FAR 33.201, Alternative Dispute Resolution FAR 52.233-2: Service of Protest

D&F to Continue Performance 72 FAR 33.104: Protests to GAO in the Face of a GAO Protest Postaward Conference Record FAR 42.503-3: Postaward Conference 73 (DD 1484) Report Contract Funding Summary 74 FAR 32.7: Contract Financing Spreadsheet

75 QASP (for Service Contracts) FAR 46.103(a): Quality Assurance

Informal Performance Submitted quarterly. Required for contracts 76 Assessment Reports greater than $50M.

Contractor Performance FAR 42.15,: Contractor Performance 77 Assessment Report (and Information supporting documentation) Submitted electronically through CPS.. As required by contract such as: project 78 Contract Deliverables status reports, monthly progress reports, meeting minutes FAR 2.101: Definition of DO 79 Delivery / Task Orders FAR 16.505,: Ordering under IDIQ contracts FAR 16.505(b)(1) and (2): Fair Fair Opportunity Exception 80 opportunity when ordering under Memo (Under MACs) Multiple Award Contracts Modifications (including FAR 43.102 and 43.103: Contract 81 supporting documentation for modifications each mod)

Options (applies to 82–85)

Option Exercise 120-day 82 FAR 17.207: Use of options. Request Letter Project Office Response to 83 FAR 17.207: Use of options. 120-day Request Letter

AWARD PHASE

NO. ITEM INFO/REFERENCE INFORMATION NA REQ COMMENTS/FILE TAB # 60-Day Notification to 84 Contractor of Government FAR 17.207: Use of options. Intent to Exercise Option D&F to Exercise Contract 85 FAR 17.207: Use of options. Options IAW FAR 17.207 Collective Bargaining Agreement (CBA) Notification FAR 22.1010: Notification to interested 86 Letter [for Service Contracts parties under collective bargaining Exceeding Micropurchase agreements. Threshold] 87 Stop-Work Order FAR 42.1303: Stop-Work Orders

88 Change Order FAR 43.2: Change Orders

FAR 33.2: Disputes and Appeals 89 Claims and REAs FAR 52.233-1: Disputes Clause

Technical Analysis Report 90 Upon receipt of a claim or REA. (TAR) FAR 49.607 Delinquency notices Cure Notice/Show Cause FAR 49: Termination of Contracts 91 Notice/Termination Notice FAR 12.403: Termination of Commercial Item Contract Ratification of Unauthorized FAR 1.602-3: Ratification of 92 Commitments Letter to the unauthorized commitments. Initiator

D&F for Ratification of 93 FAR 1.602-3 Unauthorized Commitments

94 COR Revocation Letter CAM 1301.670

Additional Post-Award 95 Correspondence and FAR 4.803: Contents of contract files. Miscellaneous Documentation

Closeout of Contract File FAR 4.803: Contents of contract files. 96 (checklist and required FAR 4.804: Closeout of contract files. documentation) FAR 4.805: Retention periods.