THE UNIVERSITY OF TEXAS MEDICAL BRANCH AT GALVESTON
ISSUED DATE: 09/17/00
LOGISTICS/ACQUISITION OPERATING PROCEDURES
REVISED DATE: 03/18/11
SECTION 3
CONTRACT ADMINISTRATION
SUBJECT 3.10 RECORDS DOCUMENTATION AND RETENTION SCHEDULE
GENERAL INFORMATION
To comply with the state retention guidelines and to better control the documentation and storage of records in
Logistics/Acquisition, the following Record Retention Schedule and Documentation Guidelines has been established.
AUDIENCE
Applicable to all Procurement Staff and designated Satellite Buyers.
DOCUMENTATION POLICY
1.
Purchase Orders
The Purchase Order File shall be prepared by the Buyer and shall, at a minimum, consist of:
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Copy of Purchase Order
Change Order(s), if applicable
Copy of Requisition or request/authorization memorandum
Confirming Quotation or Written Bid/RFP (including clarifications & revised bids/proposals)
Award Recommendation, if applicable
Bid Tabulation and Justification for Method of Purchase
Appropriate Justification (e.g., emergency, sole-source), if applicable
Department (User) Review/Approval Letter or Evaluation Forms, if applicable
Other Than Low Bid Justification - Approval Memo, if applicable
Bidders list, if applicable
Copy of all Submitted Quotations or Written Bids/RFPs, if applicable
HUB Good Faith & Effort Documentation (Orders  $100,000)
Miscellaneous correspondence
Contract Audits/Documentation, if applicable
Document Checklist
The Buyer shall scan the PO file and uploaded into the PeopleSoft PO as a header comment named “e-file”. This
shall be done within 3 business days after the approval of the PO. If a document needs to be added to the PO after it
has closed and can no longer be updated, please see your supervisor.
2.
Contract Files (Including Capital Equipment and Software Licenses)
The Contract File shall be prepared by the individual responsible for administration of the Contract, with assistance
by the responsible Buyer (if different), in accordance with Logistics/Acquisition Procedure 3.50, Contract File
Organization Process and Logistics/Acquisition Procedure 3.40, New Contract Set-Up Process.
RECORD RETENTION SCHEDULE POLICY
Procurement Records shall be retained for a period of nine (9) years from the date of award or expiration of Contract, as
described below.
1.
Purchase Orders
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A.
The Buyer who processed the Purchase Order is responsible for scanning the PO file and uploading into the
PeopleSoft PO as a header comment named “e-file”. If a document needs to be added to the PO after it has
closed and can no longer be updated, please see your supervisor.
B.
At the end of the retention period, the Bid Clerk shall coordinate the destruction of the files with the system
administrator and the Institutional Records Management Office.
Contract Files
A.
The Buyer who processed the Contract (or designee) is responsible for entering the Contract and all other
relevant documentation into the Contract Administration System within two (2) business days of submittal
to the Vendor of the executed Contract.
B.
The Contract will be administered/maintained by the Buyer who processed the Contract (or designee) for
the duration of the Contract plus seven years.
C.
At the end of the retention period, the Bid Clerk shall coordinate the destruction of the files with the system
administrator and the Institutional Records Management Office.
RFP Files (Not Awarded)
A.
The Buyer who processed the RFP is responsible for providing the Bid Clerk with the RFP file and all other
relevant documentation within thirty (30) days of determination not to award.
B.
At a minimum, one original copy of the RFP, supporting documentation, and one (1) copy of all responses
will be maintained during the current fiscal year plus three (3) years after determination not to award.
C.
All extra copies of the responses will be destroyed immediately upon determination not to award.
RFI Files
A.
The Buyer who processed the RFI is responsible for providing the Bid Clerk with the RFI file and all other
relevant documentation within thirty (30) days after the completion of the RFI review.
B.
All RFI files shall be destroyed once any resulting Contract/Project has been completed/closed, or there is a
determination not to proceed with a procurement.
Transmittal of Logistics/Acquisition Records
A.
A “Transmittal of UTMB Records Form” will be completed by the Bid Clerk.
B.
The “Transmittal of UTMB Records Form” will be attached to the front of the file at the time the file is sent
to Document Management for retention.
C.
Document Management will maintain a “tickler” log book based upon the approximate purge date shown
on the “Transmittal of UTMB Records Form”.
D.
Each month Document Management will pull each file with a purge date in that month and request that the
Bid Clerk review the file for purging.
E.
Once the responsible Purchasing Manager has reviewed the file, the Bid Clerk will advise the Institutional
Records Management Office to purge or retain the file.
F.
If Purchasing requests that the file be maintained past the original purge date:
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The Bid Clerk will advise the reason for retaining the file and the extended length of time.
Document Management will extend the purge date in the “tickler” log book and return the
order/contract/RFP to file.
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G.
If the Bid Clerk authorizes the file to be sent to storage, Document Management will follow the established
purge criteria.
EXCEPTIONS
1.
If any litigation, claim, or audit is started before the expiration of the nine (9) year Records Retention Schedule, the
records shall be retained until all litigation, claims or audit findings involving the records have been resolved and
final action taken.
2.
Any other exceptions must be in writing by formal addendum to this procedure or other formal written exception by
the Chief Purchasing Agent.
REFERENCES
UTMB Institutional Handbook of Operating Procedures; Policy 2.1.4
UTMB Records Retention Schedule
UT System Records Retention Schedule
Government Code; Chapter 441
3.10
Records Documentation and Retention Schedule
Approved: Jeffery Bonnardel, C.P.M.
Chief Purchasing Agent
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