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UT System Administration Policy Library -- Policy UTS145
Processing of Contracts |
Responsible Officer: Executive Vice Chancellor for Business Affairs
Sponsoring Office: Office of the Executive Vice Chancellor for Business Affairs
Effective Date: January 26, 2006
Last Reviewed: March 13, 2009
Next Scheduled Review: January 26, 2010
Errors or changes to: policyoffice@utsystem.edu
CONTENTS
Policy Statement
Rationale
Scope
Website Address For This Policy
Related Statutes, Policies, Requirements Or Standards
Contacts
Definitions
Responsibilities
Procedures
Forms Tools/Online Processes
Appendix
POLICY STATEMENT
Each UT institution and System Administration shall process contracts and agreements in accordance with this policy.
RATIONALE
This policy summarizes the Regents’ Rules and Regulations and other procedures and practices applicable to the processing of contracts and agreements.
SCOPE
All institutions and UT System Administration
WEBSITE ADDRESS FOR THIS POLICY
http://www.utsystem.edu/policy/policies/uts145.html
RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS
UT System Administration Policies & Standards |
Other Statutes, Policies & Standards |
- UTS134, Code of Ethics for Financial Officers and Employees
- UTS137, Historically Underutilized Business (HUB) Program
- UTS139, Texas Public Information Act
- UTS140, Enhancing Large Software Purchases
- UTS141, Guidelines for Employee Discount Programs
- UTS142.3, Policy on Capital Leases vs. Operating Leases for Lessees
- UTS142.4, Policy for Construction in Progress
- UTS147, Processing of Sales and Leases of Real Estate
- UTS148, Protest Procedures related to Procurements of Goods and Services
- UTS150, Access by Persons with Disabilities to Electronic and Information Resources Procured by The University of Texas System Administration and The University of Texas System Institutions
- UTS156, Purchaser Training and Certification
- UTS159, Purchasing
- UTS161, Environmental Review for Acquisition of Real Property
- UTS165, Information Resources Use and Security Policy
- UTS167, Banking Services Policy
- UTS168, Capital Expenditure Policy
- UT System Docket Resource Guide
- OGC Contract Processing Procedures
- Office of Business Affairs Contract Processing Checklist
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CONTACTS
If you have any questions about UT System Administration Policy UTS 145, Processing of Contracts, contact the following offices:
DEFINITIONS
OGC: UT System Office of General Counsel
Special Procedure Contracts: Those contracts and agreements listed on the Office of General Counsel – Special Procedure Contracts web page.
Standard Contracts: Those contracts and agreements listed on the Office of General Counsel – Standard Contracts web page.
RESPONSIBILITIES
UT Personnel Processing Contract
- Follows Procedures in this policy to process contracts and agreements.
UT System Chief Information Officer
- Reviews and approves contracts and agreements related to the System-wide use of computer software, computer hardware, or other information system components.
Executive Vice Chancellor for Business Affairs and Vice Chancellor and General Counsel
- Review and approve written requests to increase an institution’s contract review threshold if the increase is in the best interest of the institution and the UT System.
Office of General Counsel
- Reviews and approves contracts and agreements requiring Office of General Counsel review and approval.
Office of Academic Affairs
- Reviews and approves contracts and agreements requiring Office of Academic Affairs review and approval.
Office of Business Affairs
- Reviews and approves contracts and agreements requiring Office of Business Affairs review and approval.
Office of Health Affairs
- Reviews and approves contracts and agreements requiring Office of Health Affairs review and approval.
Board of Regents
- Reviews and approves contracts and agreements requiring Board of Regents review and approval.
Executive Vice Chancellor for Business Affairs or his delegate
- Signs contracts and agreements on behalf of System Administration or a majority of the institutions of UT System.
UT Institution President or his/her delegate
- Signs contracts and agreements on behalf of UT institution.
PROCEDURES
Note - Each institution’s President has established internal review and approval procedures for all contacts at his or her institution. Your contract should be processed in accordance with this policy only after all internal review and approval procedures have been completed.
STEP 1: System Approvals Required Before Legal Review
If your contract does not relate to the System-wide use of computer software, computer hardware, or other information system components, please proceed to Step 2. If your contract relates to the System-wide use of computer software, computer hardware, or other information system components, please forward your contract to the System Chief Information Officer for review and approval. After this approval is obtained, please proceed to Step 2.
STEP 2: Standard Contracts
Click this link to the Standard Contracts list to determine if you are using a Standard Contract form. If you are not using a Standard Contract form or if you are using a Standard Contract form but the form has been modified, please proceed to Step 3.
If your contract is an unmodified Standard Contract that is listed on the Standard Contracts list and your contract does not require approval by the Board of Regents (see Summary of Contracts Requiring Board Approval), your contract does not need to be submitted to System Administration for review or approval. Please proceed to Step 9.
If your contract is an unmodified Standard Contract and requires approval by the Board (see Summary of Contracts Requiring Board Approval), please proceed to Step 6.
Please Note - If your contract requires approval by the Board, it may not be signed before such approval is granted unless your contract contains an acceptable limitation such as the following statement:
This [Contract] is not effective until approved by the Board of Regents of The University of Texas System.
STEP 3: Determine if Contract is Special Procedure Contract
Click on this link to the Special Procedure Contracts list and determine whether your contract has “special” processing procedures.
If your contract does not have “special” processing procedures, please proceed to Step 4.
If your contract is one of the categories of special contracts listed on the Special Procedure Contracts list, please follow the “special” procedures designated on the list. Unless the “special” procedures exempt your contract from review by the Office of General Counsel, please proceed to Step 5 upon completion of the “special” procedures.
STEP 4
: Determine Value of Contract
The Executive Vice Chancellor for Business Affairs and the Vice Chancellor and General Counsel have established the following dollar thresholds which trigger mandatory review by the Office of General Counsel:
$250,000 |
$500,000 |
$1,000,000 |
UT Brownsville |
UT Arlington |
UT Austin |
UT Pan American |
UT Dallas |
UT Medical Branch Galveston |
UT Permian Basin |
UT El Paso |
UT HSC - Houston |
UT Health Center Tyler |
UT HSC - San Antonio |
UT Southwestern Medical Center |
UT Tyler |
UT San Antonio |
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The threshold for UT M.D. Anderson Cancer Center contracts is $2,500,000.
The threshold for System Administration contracts is $100,000.
If your contract is below the threshold and has been reviewed by institution counsel under guidelines established by the institution, the contract does not require review by the Office of General Counsel and the OGC Contract Review Procedures should be used. Click this link to the Contract Review Procedures to begin your review process. Upon completion of the Contract Review Procedures, please proceed to Step 6.
If your contract requires review by the Office of General Counsel, access the link to the Contract Review Procedures to begin the review process. Upon completion of the Contract Review Procedures, proceed to Step 5.
An institution may request an increase in its dollar threshold by submitting a written request to the Executive Vice Chancellor for Business Affairs and the Vice Chancellor and General Counsel who may approve the increase, in whole or in part, if they determine that it is in the best interest of the institution and UT System.
STEP 5: Legal Review by the Office of General Counsel
Forward your completed Contract Intake Form, General Procedure Contract Checklist and Recommendations along with your revised contract to the Office of General Counsel for further review and approval for legal sufficiency. After this approval is obtained, please proceed to Step 6.
Note - Your institution does not have authority to sign the contract until the Office of General Counsel has approved the contract (ref. Section 2, Rule 10501 of the Regents’ Rules and Regulations).
STEP 6 : System Approvals Required After Legal Review
Academic Institutions: If your contract requires approval by the Board (see Summary of Contracts Requiring Board Approval), please forward (1) your contract and (2) either (a) the approval from the Office of General Counsel, or (b) the completed General Procedure Contract Checklist and Recommendations along with a memorandum from you (i) noting all deviations, if any, from the checklist recommendations and (ii) listing the circumstances that justify execution of the contract despite the deviations, to the System Administration Office of Academic Affairs (512/499-4239) for review and approval. After this approval is obtained, please proceed to Step 7. If your contract does not require approval by the Board, please proceed to Step 9.
Health Institutions: If your contract requires approval by the Board (see Summary of Contracts Requiring Board Approval), please forward (1) your contract and (2) either (a) the approval from the Office of General Counsel, or (b) the completed General Procedure Contract Checklist and Recommendations along with a memorandum from you (i) noting all deviations, if any, from the checklist recommendations and (ii) listing the circumstances that justify execution of the contract despite the deviations, to the System Administration Office of Health Affairs (512/499-4226) for review and approval. After this approval is obtained, please proceed to Step 7. If your contract does not require approval by the Board, please proceed to Step 9.
STEP 7 : Determine whether Contract must be Docketed
If your contract requires approval by the Board (see Summary of Contracts Requiring Board Approval), please proceed to Step 8. If not, please proceed to Step 9.
Please note - If your contract requires approval by the Board of Regents, it may not be signed before such approval is granted unless your contract contains an acceptable limitation such as the following statement:
This [Contract] is not effective until approved by the Board of Regents of The University of Texas System.
STEP 8
: Docketing Procedures
Please refer to the System Docket Resource Guide when determining the proper docketing procedures for your contract. Click on this link to the Docket Resource Guide to begin the docketing process. Then, please proceed to Step 9.
STEP 9: Execution of Contract
Academic and Health Institutions: Forward the following items to your President or the person to whom the President has delegated authority to sign your contract: (1) your contract and (2) all the related approvals, including either (a) the approval from the Office of General Counsel if your contract required OGC approval, or (b) the completed General Procedure Contract Checklist and Recommendations along with a memorandum from you (i) noting all deviations, if any, from the checklist recommendations and (ii) listing the circumstances that justify execution of the contract despite the deviations.
System Administration and System-wide Contracts: If your contract is on behalf of System Administration or a majority of the institutions of UT System, forward the following items to System’s Executive Vice Chancellor for Business Affairs: (1) your contract, (2) all the related approvals, including either (a) the approval “as to form” from the Office of General Counsel if your contract required OGC approval, or (b) the completed General Procedure Contract Checklist and Recommendations along with a memorandum from you (i) noting all deviations, if any, from the checklist recommendations and (ii) listing the circumstances that justify execution of the contract despite the deviations, and (3) the completed Office of Business Affairs Contract Processing Checklist
The Executive Vice Chancellor for Business Affairs is in the System Administration Office of Business Affairs (512/499-4560).
FORMS AND TOOLS/ONLINE PROCESSES
UTS145 Contract Processing Flowchart
Standard Contracts
Special Procedure Contracts
Summary of Contracts Requiring Board Approval
Contract Review Procedures
Docket Resource Guide
Office of Business Affairs Contract Processing Checklist
APPENDIX
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keywords: contracts, contract
