FAR Companion Part 4

Part 4 - Administration and Information Matters

FC4.101 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). Federal Acquisition Regulation (FAR) Companion 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 Federal Acquisition Regulation (FAR) Companion 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 Federal Acquisition Regulation (FAR) Companion 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 Federal Acquisition Regulation (FAR) Companion 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 Federal Acquisition Regulation (FAR) Companion 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 Federal Acquisition Regulation (FAR) Companion 2. Bills, invoices, vouchers, and supporting documents 3. Record of payments or receipts 4. Other pertinent documents

FC4.301(b) 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.

FC4.308 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. Federal Acquisition Regulation (FAR) Companion