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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: January 26, 2006
Next Scheduled Review: January 26, 2009
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 Board of 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 |
- Regents’ Rules and Regulations
- UTS130, Vending Machine Contracts
- UTS126, Processing of Space Lease Agreements
- UTS103, Unrelated Business Income Tax
- UTS128, Consulting Contracts
- UTS125, Procedures for Processing Sponsored Research Agreements
- UTS137, Historically Underutilized Business (HUB) Program
- UTS122, Guidelines for Web Site Solicitation
- UTS156, Purchaser Training and Certification
- UTS166, Protecting the Confidentiality of Social Security Numbers
- UTS141, Guidelines for Employee Discount Programs
- UTS140, Enhancing Large Software Purchases
- UTS167, Protecting the Confidentiality and Integrity of Digital Research Data
- UTS147, Processing of Sales and Leases of Real Estate
- UT System Docket Manual
- 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 Contract list
Standard Contracts: Those contracts and agreements listed on the Office of General Counsel Standard Contracts list
RESPONSIBILITIES
UT Personnel Processing Contract
- Follows Procedures in this policy to process contracts and agreements.
UT System Chief Information Officer
- Reviews and approves contracts 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 requiring Office of General Counsel review and approval.
Office of Academic Affairs
- Reviews and approves contracts requiring Office of Academic Affairs review and approval.
Office of Business Affairs
- Reviews and approves contracts requiring Office of Business Affairs review and approval.
Office of Health Affairs
- Reviews and approves contracts requiring Office of Health Affairs review and approval.
Board of Regents
- Reviews and approves contract requiring Board of Regents review and approval.
Executive Vice Chancellor for Business Affairs or his delegate
- Signs contracts on behalf of System Administration or a majority of the institutions of UT System.
UT Institution President or his/her delegate
- Signs contracts on behalf of UT institution.
PROCEDURES
This Policy has been simplified in an attempt to make it easier to determine the proper UT System contract processing procedure. However, if for any reason you are unable to determine the correct UT System processing procedure for your contract, please contact the Office of General Counsel (512/499-4462) for assistance.
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 indicated 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 MD Anderson |
UT HSC - Tyler |
UT HSC - San Antonio |
UT HSC - Houston |
UT Tyler |
UT San Antonio |
UT Southwestern Medical Center |
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 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 the UT System.
STEP 5: Legal Review by the Office of General Counsel
Forward your completed 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.
Please note - Your contract may not be signed before the Office of General Counsel has approved the contract.
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 Manual when determining the proper docketing procedures for your contract. Click on this link to the Docket Manual 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) 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) 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 Contracting Processes Flowchart
Standard Contracts List
Special Procedure Contracts
Summary of Contracts Requiring Board Approval
Contract Review Procedures
Docket Manual
Office of Business Affairs Contract Processing Checklist
APPENDIX
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