Create and Finish an Ad Hoc Document for Supplier Contracts in NUFinancials: Vendor-Supplied Template

This guide will walk a Contract Administrator through the process of creating an Ad Hoc Document when it’s not possible to use a Northwestern University approved template.

For additional information about the Supplier Contract Management process in NUFinancials, please refer to the PPS Supplier Contract Management website.

Contract Administrators create ad hoc documents for non-monetary purposes (non-disclosure, riders, etc.). The document is built by answering questions in a document wizard and is sent to the supplier for collaboration. Ad hoc documents are also routed for collaboration with colleagues to get their feedback. If edits are made, they may be reviewed by central offices and internal Collaborators. Once clause approvals and collaboration have been completed, all contracts are submitted for approval. Ad Hoc contracts may be attached to the transactional contract for signatures. For the purchase of goods and services, use a transactional contract as the main or primary contract document.

Contents

Create an Ad Hoc Document in NUFinancials

Step 1: Add a Document

Step 2: Import Document

Step 3: Document Details

Step 4: Attach Related Documents

Step 5: Document Management

Internal Collaboration

External Collaboration

Finish an Ad Hoc Document in NUFinancials

Step 6: Document Management

Finalize Internal Collaboration

Submit for Approval

Step 7: Finalize the Document and Send for Signatures

Appendix A: Find an Existing Document

Appendix B: Review Document Modifications & Versions

 

Create an Ad Hoc Document in NUFinancials

Step 1: Add a Document

Navigation: NUFinancials > Navigator > Supplier Contracts > Create Contracts and Documents > Document Management

Tip: Click 3 Dot Action List icon > Add to Favorites > OK

1. Do not change Source Transaction, SetID, or Ad Hoc ID.
2. Add a meaningful Description (60 characters max.). Consult with your department for Ad Hoc naming conventions to use. 
3. Select Contract Style as Adhoc Document.
4. Select a Document Type: Supplier Doc Upload
5. Optional: Enter Supplier ID if supplier profile exists within NUFinancials.

6. Click Import Document. This takes you to the Import Document.  
    

Step 2: Import Document

1. Optional: Enter the NetID of the contract’s Sponsor (proponent/negotiator, yourself or another user). They will be automatically assigned as a collaborator on this contract. If a sponsor is only for informative purposes and does not need to take action on the contract review, then the Contract Administrator needs to remove the Sponsor as a Collaborator. If a Sponsor does not collaborate, but wants access to the contract, then they need to complete a security access form for the ”Contract Administrator” role.
2. Enter the Department ID (from chart string) to be associated with this contract. It does not have to match the chart string that will be used in the requisition/purchase order.
3. Enter Version as 1, Enter Status as Draft, Enter Status Date same as Begin Date, and Upload and Browse for your saved file.
4. Click Done with Import.

 

Step 3: Document Details

The Ad Hoc ID (contract number) appears on the Document Management page.

1. Click the Document Details link.
2. Enter the NetID of the document’s Sponsor (proponent/negotiator, yourself or another user). They will be automatically assigned as a collaborator on this document. If a sponsor is only for informative purposes and does not need to take action on the contract review, then the Contract Administrator needs to remove the Sponsor as a Collaborator. If a Sponsor does not collaborate, but wants access to the contract, then they need to complete a security access form for the “Contract Administrator” role.
3. Enter the Department ID (from chart string) to be associated with this document. It does not have to match the chart string that will be used in the requisition/purchase order.
4. Enter the document’s Begin Date. This defaults to today and may be changed to a future date or a previous date.
5. Enter the document’s Expire Date (as needed). This should be the event date, date of services rendered, etc. or later. Associated requisitions cannot be created after a contract’s expiration.
6. Click OK to return to Document Management page.

 

 

 

Step 4: Attach Related Documents

You may wish to attach related documents to the document record. This could include agreements, forms, or other Ad Hoc documents. If applicable the intake form should be included as an attachment.

1. Click Add Attachments/Related Documents.

2. Upload a Document Attachment File - attach a document 

• Click Upload another Document Attachment File.
• Browse and Upload your saved file. 
• Click the Allow Email/Dispatch checkbox (as needed, to send this document to the supplier).
• Enter a descriptive Title for the attachment. 
• To add more details, click the Description tab and enter a Document Description (optional).
• Please note that only “Attachments” can be sent electronically for signature from NUFinancials. If an additional document will need to be sent for electronic signature from NUFinancials, please upload it to the attachment section. 

3. Related Documents - attach an existing Ad Hoc document 

• Click the Allow Email/Dispatch checkbox (as needed, to send this document to the supplier).
• Select Source Transaction: Ad Hoc
• Select the Ad Hoc ID using the magnifying glass. 
• Please note that “Related Documents” cannot be sent for signature via NUFinancials. Add any documents that should be sent for signature to the “Attachments” section as shown in the previous step. 
• Click OK.

Step 5: Document Management

1. Select the checkbox if the contract is particularly sensitive or includes materially risky subject matter. When applicable, this box must be selected to automate notifications to OGC.

Some examples of this are: IT services contracts where vendors will have access to Northwestern’s sensitive IT systems or sensitive or confidential information, contracts with vendors that will have access to proprietary materials or human biological samples, etc. For more information on what this includes, click the hyperlink to review on the OGC website.

 

Internal Collaboration

4. Click Route Internally. This takes you to the Internal Contacts / Collaborators page.  

• If there is a related Ad Hoc document, attach it using Attachments/Related Documents before routing internally. 
• All ad hoc documents must go through collaboration before being submitted for approval. Once submitted for Approvals, the “Route Internally” option is no longer available. This means that internal business stakeholders and SMEs are added now, as Collaborators. For clauses with no SME assigned any vendor proposed changes are business decisions. These include: Acceptance of Services, Cancellation, Compensation; Payment Terms, Delivery, Inspection of Goods, Payment, Scope of Services, Services, Speaker Engagement Fee, Term and Termination, Termination, Value of Equipment, Warranties (PO Terms).
• Who is added as a Collaborator?
  • Internal Business Matters: For those within a unit involved with business decisions, add those roles as a "Collaborator." For clauses with no SME assigned any vendor proposed changes are business decisions.
  • Central Office Subject Matters Experts (SMEs): add roles as a "Collaborator" from the resources on the Supplier Contract Management website  based upon the scope and clauses of the vendor's form.
    Clauses: (*for OGC only over $100k or meets an exception)

1. Enter User NetID of the NUFinancials user you want to collaborate on this document. The Sponsor will automatically be included as a Collaborator and you may wish to Set Up Default Collaborators in advance.
2. Select which users can be a Collaborator (view only) and Can Edit During Collaboration (as needed).
3. Click + (plus sign) to add additional users (as needed).
4. Enter Collaboration Instructions. 
5. Click Route Internally. Collaborators are notified via system email and their NUFinancials Worklist. 

 

External Collaboration

To send for external collaboration with the supplier, you have two options:

1. Download the contract and send via email OR
2. Click Send to Contacts.

1. Select Delivery Method: Email (follow steps B-G, below) or Manual (Click OK, send offline, manually)
2. Select Send as File Type: PDF.
3. Select Files to Be Sent options:
   • Current Document (always)
   • Attachments (if applicable)
   • Related Documents (if applicable)
   • Set to Checked Out (always)
   • Send Copy to Administrator (optional)
4. Enter Description (body of email). Provide the supplier with your contact information.
5. Enter supplier Contacts information.
   • Click the Selected checkbox.
   • Enter supplier contact’s Name, Title (optional) and Email ID.
   • Click + (plus sign) to add additional contacts (as needed).
6. Ensure that your Attachments – Files are properly Selected (Internal intake form should not be sent to vendors). Attachments don't have to be in XML.
7. Click OK.
   • The supplier will receive an email with your attachment(s).
   • The supplier will respond as you specified with your contact info in Description, above, via email.

3. Check in document with supplier’s changes. (or Cancel Check Out if there are no supplier changes).
   1. Select Version changes; Minor Version (0.01) (small re-writes, cosmetic) or Major Version (1.00) (recreated, new attachment).
   2. Enter Check In Comments.
   3. Click Ok.
   4. Browse and Upload your saved document.

 

 

 

Finish an Ad Hoc Document in NUFinancials

After routing an ad hoc document for collaboration, all documents must be submitted for approval. Once Approved the document can be sent for e-signature via DocuSign directly from NUFinancials or associated to a transactional contract. After all signatures are applied, the fully executed document is automatically imported to the record in NUFinancials.

Navigation: NUFinancials > Navigator > Supplier Contracts > Create Contracts and Documents > Document Management

Tip: Click 3 Dot Action List icon > Add to Favorites > OK

1. Click Find an Existing Document.

2. Select a Source Transaction: Ad Hoc. Enter additional search criteria as needed.
3. Click Search.
4. From the Search Results, click on the Document Keys link of the Contract ID if you wish to, this takes you to the Document Management page. 

 

Step 6: Document Management

Finalize Internal Collaboration

1. Once Internal Collaboration has completed, click Finalize Collaboration. Internal Collaboration is completed once all Collaborators have “Marked As Reviewed.” The Contract Administrator will receive an email notification when collaboration is completed. A Contract Administrator can initiate multiple rounds of collaboration.

 

Submit for Approval

2. Click Submit for Approval. Then click Return to Document Management.

• Documents on Vendor-Supplier paper will be auto-approved as NUFinancials does not track clause changes within vendor paper. 
  • The document will change to “Approved” status .

 

Optional: Send to Contacts

If it is necessary to send the contract documents to internal contacts for review prior to submitting for signature, you can dispatch from NUFinancials using the "Send to Contacts" function.

• After the contract document is fully approved, under Other Document Actions, click the Send to Contacts button.

 

1. Select Delivery Method: Email
2. Select Send as File Type: PDF
3. Select Files to Be Sent options:
   • Current Document (always)
   • Attachments (if applicable) (ensure attachments are marked for dispatch in the attachments section)
   • Related Documents (if applicable)
   • Send Copy to Administrator (optional)
4. Enter Subject (subject of email). Provide the contact with your additional information.
5. Enter Description (body of email). Provide the contact with additional information.
6. Enter recipient Contact information.
   • Click the Selected checkbox.
   • Enter contact’s Name, Title (optional) and Email ID.
   • Click + (plus sign) to add additional contacts (as needed).
7. Ensure that your Attachments – Files are properly Selected.
8. Click OK.
   • The contact will receive an email with your attachment(s).
   • The contact will respond as you specified in Description, above, via email.

 

Step 7: Finalize the Document an Send for Signatures

• If it is a standalone document, such as a Non-Disclosure Agreement, please follow the steps below.
• If the vendor form is associated with a primary contract, then incorporate it to the transactional record uploaded as an attachment and you can send the Ad Hoc document and underlying agreement for signatures at the same time.

If there is a need for sending the contract documents directly from DocuSign rather than via NUFinancials, please reference the Sending Ad Hoc Document or Transactional Contract for Signature via DocuSign article.

Please note: To send contract documents for signature, Contract Administrators will need a DocuSign account in order to route/send for signatures via DocuSign in SCM. The process for obtaining an account varies by school/unit, but for more information, please visit the PPS DocuSign – eSignatures webpage.

1. Obtain signatures.
   • Click Prepare and Route for e-Signature.

1. Enter the contact’s Email Address, NetID (if internal), Name, and Sign Order.
2. Click + plus to add additional contacts (as needed).
3. Select Carbon Copy checkbox if you would like that additional contact to receive a signed copy of the document.
4. Select External Signer if contact is not internal.
5. Enter a Subject and Message to be which will appear in e-Signature email notification (sample is shown below).
6. Expand Attachments section and select Attachments to send for signature (as needed).
7. Click Send.

   

2. Sender will receive email notifications throughout the signing process including when the document is fully signed.

3. The fully signed document will automatically upload back to Document Management in NUFinancials.
   1. If this does not seem to have occurred, expand the Signing Details.
   2. Click Get e-Signature Status. 

 

Appendix A: Find an Existing Document

Navigation: NUFinancials > Navigator > Supplier Contracts > Create Contracts and Documents > Document Management

Tip: Click 3 Dot Action List icon > Add to Favorites > OK

1. Click Find an Existing Document.
2. Select a Source Transaction: Ad Hoc. Enter additional search criteria as needed.
3. Click Search.
4. From the Search Results, click on the Document Keys link of the Contract ID you wish to open. This takes you to the Document Management page.

 

Appendix B: Review Document Versions

Use Document Version History to review a summary of the latest changes between document versions.

Navigation: NUFinancials > Navigator > Supplier Contracts > Create Contracts and Documents > Document Management

1. Click Find an Existing Document.

2. Select a Source Transaction: Ad Hoc. Enter additional search criteria as needed.
3. Click Search.
4. From the Search Results, click on the Document Keys link of the Contract ID you wish to open. This takes you to the Document Management page.

5. Click Document Version History to review document versions, comments and answers to document wizard questions.  

• Click on a Version number to open that version of the document in Microsoft word. Open versions individually. 
• Click the Details icon to view details such as collaboration comments and answers to document wizard questions. 
• Click the Comments tab to view document check-in comments (when a document has been edited).

 

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