SB 20 Contract Management - Rules, Regulations, and Ethics

Training Goals

  1. Introduce the contract management process and statutory requirement for training at Texas Tech University Health Sciences Center (TTUHSC).
  2. Outline the rules and regulations associated with Contract Management.
  3. Explain the ethical standards involved with Contract Management.
  4. Identify the relevant references utilized in the Contract Management process.

Contract Management Process and Statutory Requirement

Statutory Requirement

TTUHSC and Texas Tech University System (TTUS) officers and employees authorized to execute contracts on behalf of TTUHSC or TTUS or to exercise discretion in awarding contracts, are required to receive training, including training in ethics, selection of appropriate procurement methods, and information resources procurement technologies.

Contract Management Process

Contract Management involves:

  • The complete contracting process:
    • From Planning through Contract Administration;
    • Concluding with Contract Close Out;
    • Including, but not limited to, the requesting entity or department, the Contracting Office, the Contract Manager, and the vendor.
  • The coordination and management of five core processes:
    • Planning - Identify objectives and contracting strategy for Procurement.
    • Procurement - Purchasing, renting, leasing, or acquiring any Goods and Services, including all functions that refer to the acquisition through Contract Close Out.
    • Contract Formation - Ensure the contract contains provisions that hold the Contractor accountable to the specifications and all State and Federal required terms and conditions.
    • Post-Award Contract Administration - After the awarding of a contract, management actions must be taken for oversight to ensure full compliance with all the terms and conditions contained within a contract.
    • Contract Close Out - Perform final review of the received Goods or Services, confirm the receipt of all Deliverables, and finalize any payments.

Rules and Regulations

Contract rules and regulations include:

  • Planning for a contract
  • Steps for procurement process
  • Submitting a contract
  • Getting a contract authorized
  • Monitoring a contract
  • Closing out a contract

Planning for a Contract

Comply with the State Purchasing and Accountability and Risk Analysis Procedure per Texas Government Code, 2261.256 (a).

Submitting a Contract

Contracts need to be routed through the Contracting System. Select the New Contract option from the home page.

Click the New Contract link

Then, fill in the requested information.

Enter the requested information in the fields for the New Contract

After the new contract is submitted, a confirmation notice will be emailed stating that the Contracting Office has received your contract with an approval sheet for Department and Division signatures.

A fully executed contract is returned and entered in the Contracting System. The contract is activated for use.

Who is Authorized to Execute Contracts?

  • The Board of Regents
  • The Chancellor
  • TTUHSC President
  • Persons with delegated authority from the individuals listed above.

Managing Contracts

Contract managers typically are:

  • Department Administrator
  • Person(s) with equivalent authority

Responsibilities of a contract manger include:

  • Development
  • Negotiation
  • Submission
  • Monitoring
  • Ensuring receipt of all deliverables
  • Close out

Ethical Standards and Policies

General requirements

  • Employees should adhere to the highest level of professionalism in conducting official duties.
  • Employees should remain independent and free from the perception of impropriety.

Standards of Conduct

  • Governed by Federal and State laws and statutes.
  • Regents' Rules and Institutional Operating Policies regulate employee conduct in contracting.
  • Failure to follow these standards in contracting can lead to disciplinary action for employees and the Institution.
  • Contracts that provide financial interest to Institutional employees, officials, or their family members are prohibited.

State employees shall not:

  • Accept any gift, favor, or service that can influence one's behavior, conduct, or official duties.
  • Accept employment or engage in a business or professional activity that would require or induce the disclosure of confidential information.
  • Accept other employment that could reasonably be expected to impair one’s judgment in the performance of official duties.
  • Make personal investments that could create a conflict between the employee's private interest and the Institution's interest.
  • Solicit, accept, or agree to accept any benefit for having exercised one's official duties in favor of another.
  • Conceal any potential Conflicts of Interest with any contract or purchase of Goods or Services; and disclosure must be given to the Institution.

Contracts with retired state employees:

  • Can not occur before the first anniversary of the last date on which the individual was employed by the Institution.
  • Must disclose if employed by the Institution or another State agency any time during the prior two years in the Offer, and details regarding that employment.
  • Can not occur before the second anniversary date of the end of employment or service with the State involving a Person they worked with in Procurement or Contract Negotiation during employment.

To avoid conflicts of interest, TTUHSC shall:

  • Request all potential Contractors and Respondents disclose any actual or potential Conflicts of Interest involving current or former Institution employees and/or related personnel to the Contractor.
  • Not enter into a Contract that requires Regents' approval prior to execution or has a value of at least $1 million without the requisite disclosure by potential Contractors or Bidders.

Ethical and General References

Ethical References

Refer to the following Ethical Standards, Policies, and Institutional Operating Polices and Procedures for additional information:

Refer to the following Ethical Standards, Policies, and Institutional Operating Polices and Procedures for additional information:

General References

Additional guidance, resources, and training materials are available from:

If you have any questions or concerns, contact the TTUHSC Contracting Office in Lubbock at contracting@ttuhsc.edu or send correspondence to their permanent mailing address:

Contracting Office
TTUHSC
3601 4th Street STOP 6217
Lubbock, TX 79430-6217