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-Part 4 - Administration and Information Matters ......................................................................... 8+Part 4 - Administration and Information Matters
+FC 4.101 Contents of contract files.
+Contract files serve as the official repository for all documents related to an acquisition, ensuring
+regulatory compliance, supporting audit requirements and providing a complete administration
+record of acquisition activities from presolicitation through contract closeout. Contract files
+should be complete yet tailored to the specific acquisition. Each office with responsibilities for a
+contract should establish procedures to ensure timely filing of required documents and maintain
+appropriate cross-references between files when documents are maintained in different
+locations (e.g., different shared drives or electronic contract filing systems).
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+The contracting office maintains the most comprehensive file, containing all documents related
+to the acquisition decision-making process and contract award. This file serves as the primary
+record of the government's acquisition actions and rationale.
+Example documentation that may be included in the contract file, as appropriate:
+1. Purchase request, acquisition planning information, and other presolicitation documents
+2. Justifications and approvals, determinations and findings, and associated documents
+3. Evidence of availability of funds
+4. Copy of or reference to posting notice of proposed acquisition
+5. The list of sources solicited, and a list of any firms or persons whose requests for copies
+of the solicitation were denied, together with the reasons for denial
+6. Set-aside decision including the type and extent of market research conducted
+7. Government estimate of contract price
+8. A copy of the solicitation and all amendments
+9. Security requirements and evidence of required clearances
+10. A copy of each offer or quotation and records of determinations concerning late offers or
+quotations. Unsuccessful offers or quotations may be maintained separately if cross-
+referenced to the contract file. The only portions of the unsuccessful offer or quotation
+that should be maintained are the completed solicitation (e.g., sections A, B, K and any
+other part the offeror or quoter has altered or annotated), technical and management
+proposals, and cost/price proposals.
+11. Preaward survey reports or reference to previous preaward survey reports relied upon
+12. Source selection or evaluation documentation
+13. Contracting officer's determination of the contractor's responsibility
+14. Small Business Administration Certificate of Competency
+15. Records of contractor's compliance with labor policies including equal employment
+opportunity policies
+16. Data and information related to the contracting officer's determination of a fair and
+reasonable price
+17. Packaging and transportation data
+18. Cost or price analysis
+19. Audit reports or reasons for waiver
+20. Record of negotiation
+21. Justification for type of contract
+22. Authority for deviations from regulation, statutory requirements, or other restrictions
+23. Required approvals of award
+24. Notice of award
+25. The original signed contract or award, all contract modifications, and supporting
+documents
+26. Copy of or reference to posting notice of award
+27. Notice to unsuccessful quoters or offerors and record of any debriefing
+28. Acquisition management reports
+29. Bid, performance, payment, or other bond documents, or a reference thereto, and
+notices to sureties
+30. Postaward conference documentation
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+31. Notice to proceed, stop orders, and any overtime premium approvals granted at the time
+of award
+32. Documents requesting and authorizing modification in the normal assignment of contract
+administration functions and responsibility
+33. Approvals or disapprovals of requests for waivers or deviations from contract
+requirements
+34. Rejected engineering change proposals
+35. Royalty, invention, and copyright reports or reference thereto
+36. Contract completion documents
+37. Documentation regarding termination actions for which the contracting office is
+responsible
+38. Any additional documents on which action was taken or that reflect actions by the
+contracting office pertinent to the contract
+39. A current chronological list identifying the awarding and successor contracting officers,
+with inclusive dates of responsibility
+40. When limiting competition or awarding on a sole source basis to small business
+concerns, documentation of the type and extent of market research and that the NAICS
+code assigned to the acquisition is for an industry that SBA has designated
+The contract administration office maintains records focused on postaward contract
+management and performance oversight. This file supports the day-to-day administration of the
+contract after award. Cross-reference to documents that are located elsewhere in the contract
+file rather than duplication of documentation is appropriate.
+Example documentation that may be included in the contract administration file or contract
+administration section of the contract file, as appropriate:
+1. Copy of the contract and all modifications, together with official record copies of
+supporting documents executed by the contract administration office
+2. Any document modifying the normal assignment of contract administration functions and
+responsibility
+3. Security requirements
+4. Certified cost or pricing data, Certificates of Current Cost or Pricing Data, or data other
+than certified cost or pricing data; cost or price analysis; and other documentation
+supporting contractual actions executed by the contract administration office
+5. Preaward survey information
+6. Purchasing system information
+7. Consent to subcontract or purchase
+8. Performance and payment bonds and surety information
+9. Postaward conference records
+10. Orders issued under the contract
+11. Notice to proceed and stop orders
+12. Insurance policies or certificates of insurance or references to them
+13. Documents supporting advance or progress payments
+14. Progressing, expediting, and production surveillance records
+15. Quality assurance records
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+16. Property administration records
+17. Documentation regarding termination actions for which the contract administration office
+is responsible
+18. Any additional documents on which action was taken or that reflect actions by the
+contract administration office pertinent to the contract
+19. Contract completion documents
+The paying office maintains a focused file containing documents necessary for processing
+payments and maintaining financial records related to the contract. Cross-reference to
+documents that are located elsewhere in the contract file rather than duplication of
+documentation is appropriate.
+Example documentation that may be included in the payments and financial records file or
+payments and financial records section of the contract file, as appropriate:
+1. Copy of the contract and any modifications
+2. Bills, invoices, vouchers, and supporting documents
+3. Record of payments or receipts
+4. Other pertinent documents
+FC 4.301(b) Contract reporting in centralized assisted acquisitions.
+Agencies awarding assisted acquisitions handle required contract reporting, including
+appropriately allocating small-business goals credited among the multiple requesting agencies
+when requirements are combined on a single contract or order using demand aggregation
+method.
+FC 4.308 Low-risk contract closeout.
+A large contract closeout backlog not only poses a significant burden to various acquisition and
+financial systems but also impedes an agency’s ability to effectively manage its annual financial
+statement audit.
+The quick-closeout procedure in FAR 42.507 provides relief for certain cost-type contracts
+involving indirect rates, but not for other contract types. To supplement this, at least one agency
+has promulgated rules to use low-risk closeout procedures for specific types of expired
+contracts to streamline the closeout process, reducing the backlog of open contracts with
+unliquidated funds or undelivered orders.
+Key aspects of low-risk closeout procedures included:
+● Risk Assessment: Identifying low-risk contracts based on specific criteria, including
+contract type, expiration date, and lack of recent payment activity.
+● Public Posting: Publishing a Federal Register, SAM.GOV, or similar notice that asks
+contractors with specific contracts to submit any outstanding invoices to the cognizant
+contracting activities within 60 days after that notice was published.
+● No Change in Contractor Rights: Despite the expedited process, contractors' rights
+were preserved under the Contract Disputes Act of 1978, allowing them to file claims.
+● Standard File Retention: Normal contract file retention requirements applied after the
+low-risk closeout process, following FAR guidelines.
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