3- Contract File Checklist Under SAT.pdf

Contract File Checklist Last Revision: April 15, 2022

Under SAT - Supplies, Services, Construction, Stewardship, IT

*Note: This checklist may not be all inclusive. It is the Contracting Officer’s responsibility to ensure all required documentation is included in the official contract file. If item not applicable, enter "NA" in comments.

Transaction Type ☐ Supplies ☐ Services ☐ Commercial Item Supply ☐ Commercial Item Service ☐ Advisory & Assistance ☐ Construction ☐ Stewardship

☐ IT

Contract Type ☐ Firm-Fixed Price ☐ Cost-Reimbursement ☐ Time and Materials ☐ Labor Hours ☐ Other

Extent Competed ☐ Full and Open ☐ Full and Open After the

Exclusion of Sources ☐ Other than Full and Open

Explain:

Contract Instrument ☐ Purchase Order ☐ Single Award IDC ☐ Multi-year ☐ Options ☐ BPA Instrument

Preparer Remarks:

BASIC INFORMATION

Project Title:

Forest/District/Other:

Contracting Officer:

COR:

Solicitation #: Solicitation Issue Date:

Closing Date:

Contract #:

Award Amount including options:

(For Indefinite Delivery Contract (IDC) estimated value=base year and all options)

Contract Award Date:

Base Year Contract Period:

Option Year 1 Contract Period:

Option Year 2 Contract Period:

Option Year 3 Contract Period:

Option Year 4 Contract Period:

Estimated Completion Date:

Contractor:

Address:

POC Name:

Phone:

Email:

Contractor UEI:

Performance-Based: ☐ Y / ☐ N

☐ Excepted ☐ Non-Excepted

CONTRACT DETAILS

NAICS:

Size Standard:

Product or Service Code: Set Aside:

Tab

Document A: Pre-Award

IN File/Comments

A-1 Requirements Package

☐Work Plan or other funding approval documents if required by budget approver (FS-6300-4, AD-700, etc)

☐IAS Requisition ☐Approved by PMO for property buys ☐Approved by Fleet for vehicle buys

☐FS 6500- 224 Commitment & Obligation Request

☐Independent Government Cost Estimate (FAR 4.803, 15.404-1, 36.203) (File in A-2)

☐Schedule of Items (same format as IGE)

(USDA PGI 404.1)

☐Delivery Schedule/Period of Performance

(FAR 11.4)

☐Specs & Drawings, Plans, Vicinity Map ☐Section J Attachments

☐List of GFP (FAR 45.102, FAR 45.201)

☐Sole Source Request Documentation

☐COR Nomination (FAR 1.602-2; USDA PGI

401.602-2, NRE PGI 4D01.604)

☐FAC-COR Certificate/Learning Achievement Certificate from CSOD (NRE

PGI 4D01.604)

☐Technical Evaluation Factor recommendations

☐Market Research/Suggested Sources/Existing IDIQ/BPA # (FAR 10) (File in A-3)

☐Statement of Work/Statement of Objectives/Performance Work Statement

(FAR 7.302, 11.0, 37.602)

☐QASP (FAR 37.6, 46.4)

☐Warranty Requirements

☐Equipment Lease/Purchase Determination

(FAR 7.4, NRE PGI 4D07.4)

☐Inherently Governmental Determination for Services (USDA PGI 407.5)

☐Unfunded Solicitation Approval (FAR 32.7, AGAR 432.7, NRE PGI 4D32.703)

☐Stewardship Proposal Approved Letter (FSH 2409.19, Ch 60)

☐Other Stewardship Required Documents (App A, B, C, D, 2400-17, unit volume summary, etc)

☐IT – Contract Security Classification Specification (SA4, SA9)

☐IT – AAR & Section 508 Review

☐CIPS Approval > $25K (USDA PGI 405.502)

☐Fire Plan

A-2 Independent Government Cost Estimate (FAR 4.803, 36.203, USDA PGI 436.203) IGE $______________

A-3 Market Research (FAR Part 7, 10, 12.202, USDA PGI 410):

☐Customer Provided Market Research ☐Review USDA’s Shared First/CM Policy (USDA PGI 416.70 supplemental)

☐Market Research/Supporting Documents (recommended < SAT) (FAR 7.102, 10.001)

☐USDA Category Mgmt (CM) Market Research Assessment (USDA PGI 410.001, 416.70) (required if soliciting on open market)

☐USDA CM Exception Request (USDA PGI 406.101(c), 410.001, 416.70) (Required if BIC or USDA mandatory solution available and not used)

☐Required Sources (FAR 8, Unicor, AbiltyOne, GPO, etc)

☐Historical Purchase Data

☐Commerciality Determination/ Commercial Markets

(FAR 12.101, 32.202-3)

☐RFI/Draft RFQ (FAR 10.002)

☐Bio-based & Energy Efficiency Applicability

☐Review USDA’s Shared First/CM Policy (USDA PGI 416.70)

☐Best In Class (Mandatory & Preferred) Best in Class | GSA ☐Dept Wide Contract Search USDA Procurement (Text-Only), https://www.dm.usda.gov/procurement/toolkit/orderingtools.htm ☐GSA Advantage & E-buy Search Welcome to GSA eLibrary Welcome to GSA Advantage!

☐Interagency Contract Directory https://www.contractdirectory.gov/contractdirectory/ ☐Contract Portal Search https://apps.fs.usda.gov/contract-portal/ https://usdagcc.sharepoint.com/sites/USDAAcquisitionWorkforce/Shared%20Documents/Forms/AllItems.aspx?csf=1&e=dbgAZg&utm%5Fcampaign=20220328&utm%5Fcontent=51412636&utm%5Fmedium=email&utm%5Fsource=govdelivery&web=1&cid=14aa7c6e%2Da417%2D4e7c%2D9dbd%2D2d819fc320a1&RootFolder=%2Fsites%2FUSDAAcquisitionWorkforce%2FShared%20Documents%2FProcurement%20Policy%20Templates%2FOCP%20PPD%2FPolicy%20and%20Regulations&FolderCTID=0x0120004A5EE821AB771A46A7FE56C65DF1547D https://usdagcc.sharepoint.com/sites/USDAAcquisitionWorkforce/Shared%20Documents/Forms/AllItems.aspx?csf=1&e=dbgAZg&utm%5Fcampaign=20220328&utm%5Fcontent=51412636&utm%5Fmedium=email&utm%5Fsource=govdelivery&web=1&cid=14aa7c6e%2Da417%2D4e7c%2D9dbd%2D2d819fc320a1&RootFolder=%2Fsites%2FUSDAAcquisitionWorkforce%2FShared%20Documents%2FProcurement%20Policy%20Templates%2FOCP%20PPD%2FPolicy%20and%20Regulations&FolderCTID=0x0120004A5EE821AB771A46A7FE56C65DF1547D https://hallways.cap.gsa.gov/app/#/solutionsfinder?category=9 https://ias.usda.gov/usdacontracts/ https://www.dm.usda.gov/procurement/toolkit/orderingtools.htm https://www.gsaelibrary.gsa.gov/ElibMain/ElibHome?user=newAdvantage&referer=3EOnqYr3L5AcxVGQPnEHlAVKB5Bz721xgxTQChvGMKvAZBeNYbUDFw%3D%3D https://www.gsaadvantage.gov/advantage/ws/main/start_page https://www.contractdirectory.gov/contractdirectory/ https://apps.fs.usda.gov/contract-portal/

(FAR Part 23, USDA PGI 423)

☐Dynamic Small Business Search or other web-based research http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm ☐Set-aside decision (FAR 19, USDA PGI 19)

A-4 D&F, Approvals, Justifications, and Waivers ☐NEPA Approvals/Archeological Approvals ☐Advisory & Assistance (USDA PGI 437.2 FAR

16.504(c)(2), 37.2) ☐Justification for other than Full and Open

Competition (FAR 6.303, FAR 13.106-1(b), USDA PGI 413.1) (incl. Brand Name)

☐Interagency Acquisition D&F (FAR Subpart

17.5, USDA PGI 417.5)

☐Ratification (USDA PGI 401.602-3)

☐Personal Services D&F (FAR 37.103, 37.104, USDA PGI 437.1)

☐Multi-Year D&F (FAR 17.105) ☐Bundling D&F (FAR 7.107-3,4, 19.202, USDA

PGI 419 & FSH2409.19, Ch 60) ☐SBA 8(a) Correspondence (FAR 19.8, USDA

PGI 419.4)

☐Inclusion of Options D&F (FAR 17.202, 17.205, USDA PGI 417.2)

☐Other than Fixed-Price Contract Type D&F (incl EPA clauses) (FAR 12.207, 16.203-3, 16.203-4, 16.206-3, 16.301-2, 16.401(d), 16.601(d), 16.602, 16.603-3, AGAR 416.2, USDA PGI 412.2, 416.1)

☐Buy American Act Exceptions/Waivers > $25K (MASCO to HCA to Sam.gov) (FAR

25.103, 25.202, AGAR 425.1, USDA PGI

425.1)

☐Wage Determination Exemption D&F (FAR

22.10, USDA PGI 422.1)

☐Bid Bond Waiver (FSH 2409.19, Ch 60)

☐10 Year D&F (FAR 17.204, NRE PGI 4D17.104(a)1)

☐>10 Year D&F (FAR 17.204, NRE PGI 4D17.104(a)2)

A-5 Acquisition Planning Documents (FAR 7.1; USDA PGI 407.1, 434.004) ☐Requirements Plan (USDA PGI 407), approved at appropriate level

☐Abbreviated Acquisition Plan (USDA PGI 407), approved at appropriate level

☐Formal Acquisition Plan (USDA PGI 407), approved at appropriate level

☐Combined Acquisition Strategy/Acq Plan (USDA PGI 407), approved at appropriate level

☐High-level plan briefing at the appropriate level & written synopsis documentation (USDA PGI 407)

A-6 Synopsis, Solicitation & GPE Posting (FAR 5.101, 5.2, 6.302, 8.405, 12.3, 12.6, 13.105, 13.106, FSH 2409.19, Ch 60) ☐Presolicitation Notice/Synopsis (FAR 5.101, 5.204)

☐Documentation of Synopsis Exception (FAR 5.202(a)(1-13)) ☐Solicitation includes Updated clauses IAW latest FAC ☐Solicitation and All Attachments (NRE PGI 4D04.1)

☐Documentation of Review at Appropriate Level (NRE PGI 4D01.601-91)

☐Combined Synopsis/Solicitation (FAR 12.6)

☐Wage Determination- WD#___________ Date:_________ County_____________ ☐Documentation of GPE Posting

A-7 Solicitation Amendments/Documentation ☐Amendments & Documentation

☐Documentation of Review at Appropriate Level (NRE PGI 4D01.601-91)

☐Site Visit Notes/Pre-Proposal Meetings/Q&As ☐GPE Posting

A-8 Offers Received (FAR 4.803(a)(10) ☐Documentation of Each Offer Received ☐Documentation of Rejected Offers

☐Amendments Acknowledged

☐Acceptable Bid Guarantee (bond checklist, surety verification) (FAR 28.101-4, AGAR 428)

A-3 http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm

☐Abstract of Offers

A-9 Technical Evaluations (if applicable) ☐Record of Technical Evaluation (FAR 12.209, 12.602, 13.106-2,3)

A-10 Determination of Contractor Responsibility ☐Check for Debarment, Suspension, Ineligibility (FAR 9.4) (www.sam.gov ) ☐SAM.gov Registration Verification (FAR

4.11) ☐FedDataCheck Contractor Responsibility

Report (email awardee UEI to vendorreport@feddatacheck.net)

☐VETS-4212 Compliance (FAR 52.222-37)

☐Check Certification Regarding Responsibility Matters (FAR 9.104-5)

☐Check for MSPA or IRCA Violations/Incident Report (NRE PGI 4D09)

☐Obtain Farm Labor Certificate (farm labor contracts) (NRE PGI 4D09 and 4D22.1803)

☐Responsibility Determination Decision (FAR 9.1, 9.105-2 and FAR 19.6)

☐Non-Responsibility Determination (FAR 9.1, 9.105-2 and FAR 19.6)

☐SBA Certificate of Competency Documentation (FAR 19.601, 9.105-2)

☐Section 889 Waiver Request (USDA PGI 404.21)

A-11 Award Decision ☐Price Reasonableness Determination (FAR 13.106-3, 12.209)

☐Award Decision (FAR 13.106-3)

☐Documentation of Review at Appropriate Level (NRE PGI 4D01.601-91)

A-12 Solicitation Cancellation (Including FBO or e-Buy Posting) (FAR 14.209, 14.404)

A-13 Miscellaneous Pre-Award Documentation ☐Timber Information Manager Gate 5 Certification (FSH 2409.19 Ch. 60)

☐Stewardship award in IAS with “4000” series mask (NRE PGI 4D437.714)

☐Stewardship award letter with Line-Item allocations of appropriations & traded timber value

☐Other: _____________________________________________________________________

A-14 Pre-Award Protest Documents (FAR 19.305, 33) ☐Notification of Protest

☐Statement of Facts (GAO)

☐Memorandum of Law (GAO)

☐Protest Result Notification

☐Correspondence

Reviewer Comments:

Tab

Documents B-Post-Award

IN File/Comments

B-1 Executed Contract/Award Document ☐Amendments incorporated into contract ☐Complete Copy of Executed Award Document and all Attachments (USDA PGI 404.5, 404-16) ☐Complete Award Transaction in Procurement Systems (USDA PGI 404.5, NRE PGI 4D04)

B-2 FPDS (Initial Award) (FAR 4.6, USDA PGI 404.6, NRE PGI 4D04.606) Copy in FPDS

B-3 Contract Modifications (FAR Part 43, USDA PGI 443) ☐Modification Checklist (VAO or USDA Template) http://www.sam.gov/ mailto:vendorreport@feddatacheck.net

☐Contract Modification & Supporting Documentation (FAR 4.6, FAR 43)

☐Documentation of Review at Appropriate Level (NRE PGI 4D04.1) (NRE PGI 4D01.601-91) ☐Modification Posted to GPE (if required) (FAR 5.201(b)(1)(ii), 5.202)

* The following log is recommended; however not required.

Mod

Date Amount Reason for Mod New

Contract Total

IAS FPDS

Mod

Distro

1 ☐ ☐ ☐ 2 ☐ ☐ ☐ 3 ☐ ☐ ☐ 4 ☐ ☐ ☐ 5 ☐ ☐ ☐

B-4 Contract Distribution and Award Notices (FAR 4.2) ☐Notice to Awardee (incl DOL Poster Distribution -FAR 22.404-10, 22.1205, 22.805(b), 22.1404, 22.1602, 22.2110) ☐GPE Synopsis of Award (FAR 5.3) ☐SBA notification of 8(a) awards (FAR 19.8, USDA PGI 419.4, SBA MOU)

☐DOL notification for Construction awards> $10K (FAR 22.804-2 (b))

☐Explanation of Award Decision to Unsuccessful Offerors (FAR 8.405-3(b)(3), 13.106-3(d)).

☐Copy in IAS ☐COR Copy ☐GTM Copy ☐Contractor Copy ☐Property Copy ☐ASC Copy ☐PM Copy ☐_________

B-5 COR/GTM/Inspector Designations ☐COR Designation (FAR 1.602-2(d); USDA PGI 401.602, NRE PGI 4D01.604)

☐Government Technical Monitor Designations (NRE PGI 4D46.1)

B-6 Bonding/Pymt Protections/Insurance Certificates (FAR 28.1, 28.2, AGAR 428) ☐Bond Review Checklist & Treasury Verification of Surety ☐Original hardcopy bond(s) on file, electronic copy in IAS ☐Surety Notices ☐Certificate of Insurance (FAR 28.3, NRE PGI 4D22)

B-7 Contract Administration ☐MSPA/Employment Eligibility Verifications (FAR 22.18, NRE PGI 4D22) ☐Post Award Conference Documentation (FAR 42.502,503, 36.212, 36.522, NRE PGI 4D42.5) ☐Project Schedule (FAR 52.236-15) ☐Submittals ☐Daily Diaries (FAR 46, USDA PGI 401.670) ☐Surveillance Documentation (IAW QASP) (FAR 37.604, 46.102, 46.4) ☐H-2B Inspection Documentation (NRE PGI 4D22.1803) ☐DOL Correspondence (FAR 22) ☐Consent to Subcontract (FAR 52.222-11) ☐Notice to Proceed ☐Suspension of Work/Stop Work Orders/Resume Work (FAR 42.13, 46.104, NRE PGI 4D42.13) ☐Work Orders/Notice of Non-compliance ☐Performance Evaluations/CPARS (FAR 42.15, USDA PGI 436.201, 442.15) ☐Termination Documentation/FAPIIS Entry (FAR 42, 42.1503(h)) ☐Suspension & Debarment Action (FAR 9.4; DR 2280-001, USDA PGI 409.4) ☐Certificate of Final Inspection FS-6300-15 (Required for Construction) (FAR 46) ☐Contractor Claims (FAR 33.2)

B-3

☐Contractor Reporting (biobased, etc) (FAR 52.222-26, 52.222-37, 52.223-2) ☐Post Award Reviews/Audits ☐Value Engineering Proposals (FAR 48, NRE PGI 4D48) ☐Other _________________________________________________________

B-8 Protest After Award (FAR 33.1, 19.302) ☐Notification of Protest

☐Statement of Facts (GAO)

☐Memorandum of Law (GAO)

☐Protest Result Notification

☐Correspondence ☐Protest Entered in IAS Post-Award Tab (required for agency protest, optional for other protests)

B-9 Miscellaneous ☐IT – Service Deliverables, SLAs ☐IT – Program Management Reviews (PMRs) ☐IT – Key Personnel ☐IT – Transition Plan ☐IT – Government Furnished Equipment / Property (GFE / GFP) ☐IT – Contract Ceiling Information ☐IT – FOIA Requests, Audits ☐Other FOIA Requests

B-10 Certified Payrolls (Construction) (FAR 22.406-6)

B-11 Invoices/Payments (FAR 32, USDA PGI 404.805) ☐Invoices/Payment Vouchers ☐Receiving Reports/Delivery Tickets ☐Certification for Construction Progress Payments (FAR 32.904(d)(3)) ☐Progress Reports - Stewardship Credits and Progress Reports - Stewardship Payments (FSH 2409.19 Ch. 60) ☐Forest Products Financial System Report Certification by CO (FSH 2409.19 Ch. 60) ☐Assignment of Claims (FAR 32.8, NRE PGI 4D32.8) ☐Record of Final Payment

* The following log is recommended however not required.

Invoice # Date Amount Notes Balance

Remaining

B-12 Contract Closeout Documents (FAR 4.804, USDA PGI 404.8, FS PGI 4D04.804) ☐Evidence of Receipt of Products/Services, Final Payment, Excess Funds Deobligated

(USDA PGI 404.804-5)

☐Release of Claims (FAR 52.212-4 (Alt 1), 52.232-7(g), 52.232-5(h)) (Construction, T&M/LH) ☐Closeout Completed in IAS (NRE PGI 4D04.804) Date Closed: _____________________

Reviewer Comments:

Note: Checklist does not reflect USDA FAR Class Deviations.

USDA Acquisition Workforce - FAR Class Deviations - All Documents (sharepoint.com)

Prepared By:

CO/CSA Lead:

Zone PA Review:

Zone Chief Review:

https://usdagcc.sharepoint.com/sites/USDAAcquisitionWorkforce/Shared%20Documents/Forms/AllItems.aspx?id=%2Fsites%2FUSDAAcquisitionWorkforce%2FShared%20Documents%2FProcurement%20Policy%20Templates%2FOCP%20PPD%2FPolicy%20and%20Regulations%2FFAR%20Class%20Deviations&viewid=9aeee97d%2D3da2%2D4106%2Dbcff%2Dfce647be820c%20

Contract Closeout Documents (FAR 4.804, USDA PGI 404.8, FS PGI 4D04.804)