Create and Finish an Ad Hoc Document for Supplier Contracts in NUFinancials: Northwestern Template

This guide will walk a Contract Administrator through the process of creating an Ad Hoc Document for a Northwestern 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: Document Selection Wizard (if applicable)

Step 3: Wizard Execute – Document Creator

Step 4: Document Details

Step 5: Attach Related Documents

Step 6: Document Management

External Collaboration

Internal 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. For a description of Document Types, see Contract Process: Templates.
  5. Optional: Enter Supplier ID if supplier profile exists within NUFinancials.

  1. Click Add a Document. This takes you to the Create Document.  
     

Step 2: Document Selection Wizard (if applicable)

Some document types may be selected based on answers to a series of questions in the form of a “Configurator Selection Wizard”. If no wizard box appears, proceed to step 4: Document Details.

  1. Answer all Questions in the Question Your answers will be used to populate the applicable document.
  2. Click Finish after completing the Question Group.


 

Step 3: Wizard Execute – Document Creator

  1. Answer all Questions in the Question Groups. Your answers will be used to populate the document with pre-approved clauses.
  2. Click Next after completing a Question Group.
  3. When all questions have been answered, click Finish. This takes you to the Document Management page. If you receive a “Generation Error Log” message, contact PPS for assistance. 

 

Step 4: Document Details

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

  1. Click the Document Details link.

  1. 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.
  2. 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.
  3. Enter the document’s Begin Date. This defaults to today and may be changed to a future date or a previous date.
  4. 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.
  5. Click OK to return to Document Management page.

 

Step 5: 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.

  1. 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. 
  1. 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 6: 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.

 

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: XML.
  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.
  1. 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.
    • Be sure to maintain XML file type.
  5. Review any changes made via Review Document Modifications & Versions (See Appendix B).

 

Internal Collaboration

  1. 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 are added now, as Collaborators, before SME central office reviews are sent for Approvals. 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) (see Supplier Contract Management website).  

  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. 

 

Finish an Ad Hoc Document in NUFinancials

After routing an Ad Hoc contract for collaboration, all documents must be submitted for approval. Once Approved the document can be sent for e-signature via DocuSign directly from NUFinancials. After all signatures are applied, the fully executed agreement is automatically imported to the contract 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.

  1. Select a Source Transaction: Ad Hoc. Enter additional search criteria as needed.
  2. Click Search.
  3. 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

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

  • Documents will only be routed for approval if designated template clause language has been edited or deleted. Not every clause changed will require SME review and approval.
  • When SME review is not required, the document will change to “Approved” status – this is on a document, not clause level.

  • Contract Administrators can see which SME is reviewing the document, not which clause(s) they are reviewing.
  • If a SME denies the change, they will indicate their response in the comments which can be viewed via Approval Details.

 

 

  • The Contract Administrator is responsible for ensuring the approved language is updated in the document. The Approval Process should be canceled, and the Contract Administrator can then edit the document accordingly and check it back in. The Approval Process should then be reinitiated as shown in Step 2 above. Please note that the Approval Process cannot be reinitiated until the original denied process is cancelled.
  • Upon approval, you will receive an email notification and the document’s Status changes from "Collaborated" to "Approved".
    • The Contract Administrator is responsible for ensuring the approved language is updated in the contract document by editing the document and checking it back in. The system will not make modifications to the document itself once a SME has approved.

 

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 NU template is a rider, please follow the steps on the Supplier Contract Management website where once the rider document itself is finalized, incorporate it to the transactional record uploaded as an attachment and you can send the rider and underlying agreement for signatures at the same time. SME review happens within Ad Hoc/Document Management since notifications are automated in connection with the template.

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.

   

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

  1. 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 Modifications & Versions

Use Document Modification Summary 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.

  1. Select a Source Transaction: Ad Hoc. Enter additional search criteria as needed.
  2. Click Search.
  3. 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.

  1. Click Document Modification Summary to compare most recent and earliest document versions side by side.  

    • Each time that a contract is edited and checked in, the system tracks and displays a summary of the changes on this page. When the changes pertain to clauses, you can use this page to help determine which clause changes in a document require workflow approval .

  1. 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).

 

For additional assistance please contact the IT Support Center at 847-491-4357 (1-HELP) or email servicedesk@northwestern.edu.

 

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