This guide walks a Contract Administrator through the process of creating a Transactional Purchasing Contract using an internal 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 can create transactional contracts for the purchase of goods and services. The contract is built by answering questions in a document wizard. Contracts are routed for collaboration with colleagues to get their feedback. If edits are made to clauses, they may be reviewed by internal Collaborators and central offices for approval.

New contracts should be created in NUFinancials when contract terms/terms & conditions need to be reviewed and no Preferred Vendor contract exists. If a Preferred Vendor contract exists, a requisition should be created with the agreed upon statement of work/event description attached.

• Collaboration may take place in a single or multiple rounds of collaboration. Once collaboration has completed, all contracts must be submitted for approval.
• Approvals for NU templates are automatically sent to NU Subject Matter Experts (SMEs) based upon vendor proposed changes to NU standard clauses. Not every change to a clause requires SME approval and the system will indicate which are routed for approval.
• The contract can be sent for e-signature via DocuSign directly from NUFinancials. Once all signatures are applied, the fully executed agreement is automatically imported to the contract record in NUFinancials. Transactional contracts are dispatched and marked as "executed". Finally, the contract’s status must be changed to "approved" in order to process requisitions against them.

Alternatively, a vendor-supplied contract may be used when a vendor won’t accept a Northwestern template.

Contents

Create a Transactional Contract in NUFinancials

Step 1: Contract Entry

Step 2: Create Document

Step 3: Document Management

Step 4: Attach Related Documents

Step 5: Internal and External Collaboration

Finish a Transactional Contract in NUFinancials

Step 6: Document Management

Finalize Internal Collaboration

Submit for Approval

Step 7: Finalize the Document and Send for Signatures

Appendix A: Set Up Thresholds & Notifications

Appendix B: Set Up Default Collaborators

Appendix C: Review Document Modifications & Versions

 

Create a Transactional Contract in NUFinancials

 

Step 1: Contract Entry

Log in to NUFinancials.

Navigation: NUFinancials > Navigator > Supplier Contracts > Create Contracts and Documents > Contract Entry

Alternative Navigation: NUFinancials > Employee Self Service Homepage > Contract Entry Tile

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

1. Click Add. Do not change SetID, Contract ID, or Contract Process Option fields.

 

2. Enter the NetID of the Contract Administrator/Buyer.

 

3. Select the supplier by clicking the Supplier Search. A supplier must have an active profile in NUFinancials before a contract can be created. See Add a Supplier, as needed.

 

1. Type search criteria (do not press enter).
2. Search Results, and review Search Results.

• Option: Increase the number of Max Rows and search again (as needed).
• Option: Click the View All link (as needed).
• Option: To view and address, click the Set check box on a line. Click the Address link.

3. Select the supplier for this contract by clicking the Select check box.

4. Click OK.

 

4. Enter the Supplier Contract Reference number (optional; when a contract ID is provided by the supplier).
5. Enter a meaningful Description (30 characters , required     ). Consult with your department for any naming conventions to use.
6. Enter the contract’s Begin Date. This defaults to today and may be changed to a future date or a past date.  
7. Enter the contract’s Expire Date (as needed). This should be the event date, date of last services rendered, etc. or later. Associated requisitions cannot be created after a contract's expiration date, however, payments are not affected.
8. Enter the contract’s Renewal Date (as needed). This must be 30-90 days before the Expire Date (or longer, as needed).
9. Enter a Contract Amount. This does not have to be exact and can be estimated (required).

 

10. Under Contract Items – Lines – Details section, click the magnifying glass and select a purchasing Category (required). These are the same categories used in requisitions and can later be used to search for contracts in the Supplier Contract Workbench.

• If you receive the following error, “Another contract with this supplier, for the category on line 1, begins on the same date. This category has been put on a different contract with the same beginning date for the same The system maintains only one contract for a given beginning date for the same category/supplier combination.”  Select a different closely related Category.
• Optional: click + (plus sign) to add additional lines for more categories (as needed). Enter number of rows to Click OK. 

11. Under Contract Categories – Lines – Details section, click the magnifying glass and select a purchasing Category (required). These are the same categories used in requisitions and can later be used to associate contracts with requisitions. 

• If you receive the following error, “Another contract with this supplier, for the category on line 1, begins on the same date. This category has been put on a different contract with the same beginning date for the same supplier. The system maintains only one contract for a given beginning date for the same category/supplier.” Select a different closely related Category.

• Optional: click + (plus sign) to add additional lines for more categories (as needed). Enter number of rows to Click OK. 

 

12. 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.

13. Click Save. Your Contract ID number is assigned at the top of the page. 
14. To set up email notifications (recommended), click Thresholds & Notifications. (See Appendix A: Set Up Thresholds & Notifications for more information.)
15. Click Add a Document. This takes you to the Create Document page. 

 

Step 2: Create Document

This step continues from the Contract set-up page. 

1. Select a Document Type. For a description of Document Types, see Contract Process: Templates.  If you are using a supplier supplied contract, reference Create and Finish a Transactional Contract Using Vendor-Supplied Documentation.

 

2. 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.
3. Enter the Department ID (from chart string, required) to be associated with this contract. It does not have to match the chart string that will be used in the requisition/purchase order.
4. Click Create Document. This opens the document wizard DO NOT use Import Document.

 

 

Wizard Execute - Document Creator

1. Answer all Questions in the Question Your answers will be used to populate the contract 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 3: Document Management

1. Click View Document (read only) or Edit Document (make changes to exhibits only). 

1. Open the XML document in Word (2007 or later, not IE plugin).
2. To edit the document, create a Contract folder on your desktop and save the file Do not change the file type/extension!
3. After editing, click Check In (or Cancel Check Out if you have not made edits).
4. Select Version changes; Minor Version (0.01) (small re-writes, cosmetic) or Major Version (1.00) (recreated, new attachment).
5. Enter Check In Comments.
6. Click OK.
7. Browse and Upload your saved
   • The file name must exactly match the document you downloaded for editing. 
   • “Checking In” a document does not automatically delete the file you saved to your computer. 
   • Manually delete an old file before saving a new version.  
      

Step 4: Attach Related Documents

You may wish to attach related documents to the contract record. This could include agreements, forms, or other Ad Hoc documents. The intake form must be included as an attachment.

1. Click 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: External and Internal 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.

 

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.
   • Send document back for additional internal/external collaboration (as needed).
   • Review any changes made via Review Document Modifications & Versions (See Appendix C).

 

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 transactional contracts 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. Click Find an Existing Document.

2. Select a Source Transaction: Purchasing Contracts (transactional). 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 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 contract 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 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. Contract Administrator as the 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. 
4. Once the contract is fully signed, the Contract Administrator needs to dispatch prior to updating the document status.
   1. Click Dispatch
   2. Optional: If final contract/contract documents should be sent to anyone, leave Delivery Method as Email and enter their information in the Contacts section. Click OK to send.
   3. Otherwise, select Manual from Delivery Method dropdown. Click OK.

5. Click Execute Contract.

6. To update the contract status, click the Contract ID hyperlink to return to the Contract Entry page.

7. A new tab will open with the Contract Entry page. Update the Status to Approved.

Scroll to bottom of page and click Save.

 

Appendix A: Set Up Thresholds & Notifications

You can elect to receive an email notification when you are nearing an expiration/renewal date or amount spent by setting up Thresholds & Notifications. 

1. On the Contract Entry page, click the Thresholds & Notifications link.

 

2. Click Send Date/Amount Notifications.
3. Click Expand All.
4. Enter number of days to be notified before the Expire Date (as needed).
5. Enter number of days to be notified before the Renewal Date (as needed). Approval date is not being used. 
6. Select Notification Type: Expiration or Renewal. The Notification Type will default to Expiration, this can be changed as necessary.
7. Enter the NUFinancials User ID (NetID) of the person to be notified. The User ID will default to the Administrator ID, this can be changed as necessary.
8. Click + (plus sign) to add a row (as needed).
9. Click OK. 
    

Appendix B: Set Up Default Collaborators

Set up a default list of colleagues you want to collaborate on your contracts.

Navigation: NUFinancials > Navigator > Supplier Contracts > Create Contracts and Documents > My Document Preferences

 

1. Enter the User NetID of a Collaborator. 
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. Click Save. Role Level View Access is not being used. 

 

Appendix C: 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.

2. Select a Source Transaction: Purchasing Contracts (transactional). 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 view. 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 .

2. 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.