THE UNIVERSITY OF TEXAS AT SAN ANTONIO
ISSUED DATE: 8/05/02
MATERIALS MANAGEMENT OPERATING PROCEDURES
REVISED DATE: 03/01/05
----------------------------------------------------------------------------------------------------------------------------- -------------------SECTION
3
CONTRACTS
SUBJECT
3.30
TRACKING AND FILING SYSTEM
I. GUIDELINES
A.
Numbering System; Formal Contracts
1.
Each contract will be assigned a 10-character number. The contract number will be in the
following format:
XX-XXX-XXX-XX
2.
The 1st two characters of the contact number (XX-XXX-XXX-XX) represent the execution year of
the contract. Note: this is the year of contract initiation, which is not necessarily the year the
contract is signed.
3.
The 3rd through the 5th characters of the contact number (XX-XXX-XXX-XX) will be a unique three
digit number assigned sequentially within the “Procurement Database Worksheet” for each
particular fiscal year.
4.
The 6th through the 8th characters of the contact number (XX-XXX-XXX-XX) will be the
commodity class code (but not the commodity item code) representing the content of the contract
as follows:
480
5.
B.
Commodity code class 480 - Microcomputers; other than Apple compatible
The 9th and 10th characters of the contract number (XX-XXX-XXX-XX) will represent the fiscal
year the contract expires.
Numbering System; Multi-Year Purchase Orders
1.
Each multi-year purchase order for services (“Maintenance PO”) will be assigned a 10-character
number. The first four characters will be the fiscal year the Maintenance PO is established and
will automatically be assigned by the electronic purchasing module. The fifth character is “M” and
is inputted by the buyer. Maintenance POs are in the following format:
2006MXXXXX
2.
The 6th, 7th, and 8th characters of the Maintenance PO number (2006MXXXXX) will be a unique
three digit number assigned sequentially within the “Procurement Database Worksheet” for each
particular fiscal year.
3.
The, 9th and 10th characters of the Maintenance PO number (2006MXXXXX) represent the
expiration year of the procurement.
C.
Tracking & Administration
1.
Responsibility: The Buyer will be responsible for tracking in the contracts into the Procurement
Database Worksheet (See below for location). Procurement Assistants will be responsible for
filing the contracts according to their assigned numbers, and maintaining contract files.
2.
Associated RFP’s: If the Contract is a result of an RFP, the contract must be tracked into the
same row and location where the RFP was originally tracked and inputted. Therefore, the RFP
and contract will have the same sequential number within the Procurement Database Worksheet.
If the contract has an associated RFP, do not track the contract into a new row within the
database.
3.
Identification of Contracts: Each contract must be categorized within the database. The following
identification can be selected from the drop down menu in the database:
(a)
(b)
(c)
(d)
(e)
(f)
Construction Agreement;
Architecture/Engineering Agreement;
Standard Service Agreement;
Maintenance Agreement;
Sole Source Agreement;
Group Purchase Agreement.
NOTE: If a contract falls into more than one category, list all categories (i.e. SER, M, SS)
D.
4.
Sequential System: It is important to note that the Procurement Database Worksheet contains,
and is utilized for, not only contracts, but also tracking of Maintenance PO’s and RFPs. The
Procurement Database Worksheet, therefore, is sequential when taken as a whole entity.
However, as a result, the contract numbers, and the RFP and Maintenance PO’s as well, may
skip sequential numbers. For example, there may be many contracts without RFP’s and vice
versa. Regardless, each document is tracked on the first open row unless an RFP is associated
with such document. If an RFP exists, the contract, or the Maintenance PO, must be tracked on
the same row as its associated RFP.
5.
Amendments: All amendments on all formal contracts are to be tracked for amendment number
and financial information.
6.
Additional Information Required: Various other sections are included in the database, such as
"status", “expiration dates”, and “associated document I.D.” (i.e. PO and/or Bid number). These
additional sections should be kept updated throughout the various stages/routing of the process.
7.
Vendor Performance: Vendor payment forms will be returned from the Disbursements Office for
tracking of vendor performance.
Expiration Dates
1.
Expiration Notification: It is critical to assign an actual expiration date into the Procurement
Database Worksheet. This date will be used to “flag” expiring contracts.
2.
Input of Dates: If establishing a firm expiration date is not feasible (i.e. some construction
contracts), input a reasonable approximation of the expiration date.
3.
Renewal Notification: If the contract contains a provision requiring notification to renew or
amend, utilize the earliest notification date as the expiration date.
E.
Filing
1.
Contracts shall be filed separately from the general purchase order files.
2.
All contracts shall be filed by its fiscal year expiration date (not the execution date). Within each
fiscal year, all contracts shall be filed by its associated sequence number.
3.
Each contract file shall contain:
(a)
(b)
(c)
(d)
(e)
(f)
F.
the associated PO (if applicable);
the final signed contract;
the routing document (with all approvals and redline copies) that was submitted for
signature
any additional redline copies if necessary;
additional documentation (i.e. e-mails, correspondence, etc.); and
if it is a construction or A/E contract, all supporting procurement documentation (i.e.
original RFP, vendor responses, scoring matrix, etc).
Filing and Tracking for new Fiscal Years
Because contracts are filed by the fiscal year expiration date, there may already be existing contracts in
the new file when a new year is begun. If a contract exists in the file for a newly started fiscal year, that
contract should be immediately tracked into the new fiscal year Procurement Database Worksheet in the
same row as its related sequence number. Do not change the sequence number.
G.
Other Associated Purchase Orders
1.
It is not necessary to issue a PO when a contract exists, as the contract itself can be utilized as
the payment document. Nevertheless, because a purchase request has typically been issued to
initiate the project, most departments prefer to complete the PO process for purposes of financial
management and oversight. Should this occur, and a PO and a contract are issued for the same
project, the PO should not be sent to the vendor. In addition, the PO should contain verbiage
clearly stating that the terms of the contract prevail.
2.
Note that the separately filed purchase order (not the one in the contract file) should contain a
clear reference to the contract and contract number. The PO number should also be inputted into
the Procurement Database Worksheet and referenced in the contract file.
II. EXCEPTIONS
Because the first year’s implementation of this policy falls in the middle of the fiscal year, the Maintenance PO’s
must begin, and be inputted into the tracking system, after the number of the previously completed Maintenance
PO. For example, therefore, it is possible that the first Maintenance PO tracked into this database may begin with
sequence number 305 (for the first year of implementation only).
III. REFERENCE
The Procurement Database Worksheet is an access database and can be found in the Purchasing Common I
drive, Tracking, “contract_tracking.mdb.”