Acquisition Services

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Table of contents

How to use this tool

  • This tool is designed for IM specialists to use with relevant business areas when identifying information resources of business value (IRBV) and retention specifications.
  • The IRBV and retention specifications contained in this document are recommendations only and should be customized to apply in each institutional context. The complete document should be read before using any recommendations.
  • This Generic Valuation Tool does not provide Government of Canada institutions with the authority to dispose of information. Generic Valuation Tools (GVT) are not Records Disposition Authorities (RDA) and do not replace the Multi-Institutional Disposition Authorities (MIDA).

Validation: The business processes and IRBV of this Generic Valuation Tool have been validated by subject matter experts from the following departments: Public Works and Government Services Canada (October 2013), Aboriginal Affairs and Northern Development Canada (November 2013), Department of National Defence (November 2013), Transport Canada (January 2014).

Defining the Activity

Acquisition Services are identified in Treasury Board of Canada Secretariat’s (TBS) Profile of Government of Canada Internal Services Footnote 1. (2010) and are common across the Government of Canada (GC). It is one of the three activities comprising Asset Management, the other two being Materiel Services and Real Property Services.

“Acquisition Services (formerly Procurement Services) involve activities undertaken to acquire a good or service to fulfill a properly completed request (including a complete and accurate definition of requirements and certification that funds are available) [soliciting bids …] entering into or amending a contract [and contract management].” Footnote 2

This tool will form part of an Asset Management suite of GVTs as the activities to procure a good, service or real property are an integral part of the asset management life cycle.

Procurement activities are somewhat unique in the GC as it is one of the few situations where the initiating department (client department) might not be in control of the process; procurements over a certain monetary value, complexity, or of a certain type (e.g., public opinion research) require the involvement of Public Works and Government Services Canada (PWGSC) procurement officers/specialists from the outset of the activity. In many of the activities, the PWGSC procurement officer is the lead on the file and is also responsible for the creation of the official procurement file; however, there are also situations where the client department is responsible for the creation of certain information resources of business value (IRBV). This Generic Valuation Tool assumes that the client department will be creating “shadow” files to document the process and to allow for the re-creation of all actions undertaken during the procurement activities for purposes of accountability. As a result, the files created and maintained by departments other than PWGSC may contain a mix of original information resources or working copies. The recommendations in this tool are designed to address the business value and retention for shadow files in the control of the client departments, not the files held by PWGSC. In the situations where client departments have used a PWGSC Acquisitions issued procurement tool (such as a Standing Offer or Supply Arrangement), then the client department will be wholly responsible for the process and the documentation.

“The Profile of Government of Canada (GC) Internal Services outlines a common vocabulary and taxonomy of the GC’s internal services for supporting a common government-wide approach to planning, designing, budgeting, reporting and communicating GC internal services.” Footnote 3

It is LAC’s intention that the GVTs for internal services can be used by all departments regardless of their mandated activities.

This tool is intended to be a starting point for those institutions mandated to acquire, as they proceed with the identification of their IRBV, and can be used with close evaluation of the processes and IRBV to ensure that they are accurate for the activities of that institution. As defined by the Profile, the service groupings for Acquisition Services are: Goods Acquisitions, Services Acquisitions, Construction Acquisitions and Other Acquisitions. The PWGSC website buyandsell.gc.ca details what items are covered in these service groupings.

Goods Acquisition

The Goods Acquisition activity involves the definition of goods requirements, the selection of the sourcing method, the implementation of the sourcing method, the awarding of the contract, the administration of the contract and closure of the file. Goods acquisition covers items in the following areas (but not limited to): Audiovisual, Projection, and Videoconferencing Equipment, Computers, Desktop and Network Printers, Fire Fighting, Safety and Rescue Equipment, Fuel, Furniture, Hand Tools, Passenger Vehicles and Trucks, Photocopiers and Multifunction Devices, Security Equipment, Software, Tires and Tubes.

Services Acquisition

The Services Acquisition activity involves the definition of the service requirements, the selection of the sourcing method, the implementation of the sourcing method, the awarding of the contract, the administration of the contract and closure of the file. Services Acquisition covers but are not limited to, services in the following areas: Central Removal Service, Centralized Professional Services, Learning Services, Professional Audit Support Services Supply Arrangement (PASS-SA), Solutions-Based Information Informatics, Professional Services (SBIPS), Task and Solutions Professional Services (TSPS), Clothing Advisory Service (CAS), Commissionaire Services, Communications and Printing, Courier Services (CFS); and Professional Services: Professional Services Online (PS Online), SELECT (Construction, Engineering, Architecture Services), Task Based Informatics Professional Services (TBIPS), Temporary Help Services (THS).

Construction Acquisition

The Construction Acquisition activity involves the definition of the service requirements, the selection of the sourcing method, the implementation of the sourcing method and the awarding of the contract. It may or may not involve the administration of the contract or closure of the file.

Other Acquisitions

Other acquisitions include those that fall outside the definitions of goods and services above.

The acquisition services business processes in this document are laid out in PWGSC’s Supply Manual, Footnote4 and do not map directly to the service groupings above as these are not groupings of activities but rather groupings of service types.

Relationship to Other GVT

Business processes and activities often overlap. When the IRBV from an activity is identified in another GVT, there is a note in the table of IRBV and retention recommendations (below) to direct the user to the proper tool.

Real Property and Materiel Services: Acquisition Services complements the other internal services described in the Asset Management Services suite. Acquisition Services deals with the acquisition/procurement process component of asset management, while Real Property and Materiel Services deal with the management of assets after they are acquired.  Each of these asset management services is addressed in separate GVTs.

Financial Management Services: Acquiring assets may involve functions, tasks, or activities related to the financial management or the Comptrollership of financial transactions as documented by contracts, purchase orders, or other financial records. These business processes and IRBV are addressed in the Financial Management Services GVT.

Management and Oversight: All policy related to asset management is addressed in the Management and Oversight GVT.

Human Resources Management: Acquiring assets may involve functions, tasks, or activities related to human resources management.  These business processes and IRBV are addressed in the Human Resources Management GVT.

Legal Services: Acquiring assets may involve functions, tasks, or activities related to legal services. These business processes and IRBV are addressed in the Legal Services GVT.

Business Processes

The TBS Contracting Policy Footnote 5 contains requirements for the contracting processes that GC client departments are to follow. However, there is little detail regarding documentation in this policy, and as a result, the processes described within this section are taken from the PWGSC Supply Manual.

The acquisition services business processes are laid out in PWGSC’s Supply Manual, Footnote 6 with the exception of assessing and planning. Acquisitions activities are comprised of seven sub-activities:

1. Assess and Plan:

While assessing and planning the acquisition of goods or services is not expressly stated as a process in the PWGSC Supply Manual, it is necessary to perform an evaluation of existing assets and resources on an ongoing basis as well as conduct assessments of current and future organizational needs.

2. Requirements Definition:

Requirements Definition involves identifying the needs of the requester to ensure the goods or services being acquired are the best possible for the situation while adhering to a variety of legal frameworks. Developing the business case, the statement of work or the goods specifications, determining the security requirements, assessing risk and seeking approvals for expenditures are the main activities under Requirements Definition.

3. Procurement Planning:

Procurement Planning (Procurement Strategy) defines in general terms how goods, a service or construction will be procured, and will include, at the highest level, the decision to proceed competitively or non-competitively and provide applicable details in support of industrial and regional benefits or other national objectives, and international trade agreements. The strategy could be quite basic, such as the decision to use a standing offer, or could be more detailed, which would be used for major projects. The planning phase involves reviewing the statement of work and determining the method of supply or the sourcing method, defining the evaluation criteria for the bidders, preparing the selection methodology, and may also include seeking a variety of approvals or legal advice.

4. Solicitation Activities:

Solicitation Activities involves soliciting bids from suppliers, responding to inquiries, evaluating submitted bids/proposals and determining the successful bidder in accordance with the evaluation and selection methodology.

5. Contract Award:

Contract Award involves obtaining the various levels of approval for the project, awarding the project to the selected contractor, making the awarding of the contract public through official notices (e.g., GETS, or any electronic bidding methodology), debriefing the unsuccessful bidders and responding to challenges.

6. Contract Administration:

Contract Administration, an important part of contract management, includes those activities performed after a contract award, to ensure files are properly maintained, that the contractor has met the requirements of the contract, and that payment is initiated.

7. Contract Close-out:

Contract Close-out involves the completion of the acquisition activities, the financial aspects of the file and the evaluation of the contractor.

Retention

Recommended retention specifications in GVTs are determined based on traditional or best practices, a review of government-wide legislation and policy, and validation with subject matter experts. Retention periods are suggestions only; departments must take into account their own legislative requirements and business needs.

The Acquisition of goods and services can fall under the North American Free Trade Agreement (NAFTA) or World Trade Organization (WTO) agreement. However, the only explicit retention recommendations in these agreements are for three and five years, which is a shorter time than the recommendations made within this Generic Valuation Tool.

It is our recommendation that all acquisition files be treated as a case file: all IRBV  related to the procurement of an item should be retained in one repository so that disposition actions can be taken on all components of the file, and as such, the retention recommendations will apply to the complete file.

The trigger for the application of the retention period should be the contract expiry date, or the end of the life of the asset.

Business Value and Retention Recommendations

Please note: that activities may be undertaken in collaboration with PWGSC Procurement Officer/Project Manager and the IRBV recommended might be the original documents, or copies of those held at PWGSC.

1. Assess and Plan

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Assess and plan requirements

Evaluate existing assets and resources

 

Assess current and future organizational needs

Information resources related to planning and evaluation

Needs assessment information resources

See also Management and Oversight GVT for long-term planning information resources

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract.

2. Requirements Definition

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Initiate the project

Initiate contact with PWGSC if required for the scope of the project

Prepare a Specific Service Agreement and Project Charter

Correspondence with PWGSC

Meeting agenda, notes, record of decision

Approved Specific Service Agreement (SSA)

Approved Project Charter

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Define the need

Develop the options analysis/business case

Validate the options analysis/business case

Market Survey

Make or buy analysis

Options analysis/business case

Cost benefit analysis

Life cycle costing analysis

Legal advice

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Determine the method of supply

Justify need for sole source procurement (if required)

Decision information resources

Sole source justification

Justification of non-competitive process

Acceptance/rejection of sole source decision

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Establish a budget and source of funds

Obtain expenditure approval

 

Preliminary budget (preliminary cost estimates and schedules)

Expenditure approval

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Develop the Solicitation Documents

Define the requirement

Develop Statement of Work

Identify intellectual property considerations

Identify environmental considerations

Ensure outgoing procurement documents are translated

Translated, approved Statement of Work (SOW)

Amendments to SOW

Foreground information (intellectual property)

Record of advice from Advertising Coordination and Partnerships Directorate (where applicable)

Information resources relating to environmental considerations

Privacy impact assessment

Inventories and source lists

Qualified products list

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Assess Risk 

Please see the Management and Oversight GVT for Risk Management/Plan Risk assessment generic processes and associated generic IRBV

For retention please see Management and Oversight GVT

Procurement Risk Assessment Tool

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Consult real property investment board (when acquisitions of real propertyare involved)

Correspondence with Real Property Investment Board

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Identify security requirements 

Security requirements checklist (SRCL) signed by Project Authority, Security Authority, and Canadian Industrial Security Directorate (CISD)

Threat and Risk Assessment/Project Complexity and Risk Assessment (PCRA)

Correspondence with the Canadian Industrial Security Directorate

Correspondence with PWGSC

Designated Screening (DOS) application

Facility Security Clearance (FSC) application

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Raise the Requisition

Acknowledgment of requisition

Original requisition and any requisition amendments, related correspondence

Price and Availability Enquiry (P&A)

Request for Information (RFI)

Letter of Interest (LOI)

Form: PWSGC 9200

Complexity Assessment Tool

Statement of Capability

Statement of interest

Invitation to participate

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Commit funds in financial system

Entries into SAP (contract/commitment, amendment, call up, information, approval)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

3.  Procurement Planning

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Project Identification

Determine sourcing strategy/procurement strategy

Develop procurement plan

Secure appropriate reviews and approvals for preliminary planning documents

Approved Preliminary Project Plan (PPP) (PPA)

Approved Feasibility Report (FR)

Project Charter

Centre of Expertise/Owner Investor/Analyst Report

Project complexity and risk assessment

Investment Analysis Report (IAR)

Lease Project Approval (LPA)

Approved procurement plan (copy of, or note to file with procurement number)

Identification Close Out Document (ICOD)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Validate the justification for exceptions to the Government Contracts Regulations and trade agreements

Exception justification documents (PWGSC-TPSCG 563, attestation form)

Documents related to obligations under Comprehensive Land Claim Agreements

Documents relating to obligations under World Trade Organization Agreement on Government Procurement (WTO-AGP) or North American Free Trade Agreement (NAFTA)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Approvals

Seek Supply Officer, Supply Specialist, Manager, Director approvals as necessary

Seek Treasury Board approval as necessary

Seek Procurement Review Committee approval (if project is over $2 million)

Seek project review by Senior Project Advisory Committee (SPAC) (when the procurement is more than $100,000 but not an MCP)

Seek Department of Justice approval when contract involves a practising member of the Bar.

Turnaround Document/Treasury Board project approval (depending on the scope of the project)

Ministerial approval (where appropriate)

Procurement Review Committee (PRC) detail documents

PRC record of decision

Project Review Advisory Committee report

Other approvals as required by the process

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Involvement of Fairness Monitor  (as required by project size, or other factors as identified by the Risk Assessment tool)  

Fairness Monitoring Coverage Assessment and Recommendation form 587

Reports from Fairness Monitor

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Develop Bid Evaluation Criteria  

Establish the evaluation team members, their role and responsibilities

Develop the plan for bid evaluation

Develop the bid evaluation criteria

Develop the scoring grid

Evaluation Criteria documents (criteria, scoring guide, evaluation plan, scoring sheets, rough notes, consensus scoring, technical evaluation report, weighted list)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

4. Solicitation Activities

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Bid Solicitation

Invite tenders/proposals/bids in accordance with the procurement strategy

Prepare and issue bid solicitation documents

Preparatory documents for GETS posting

Translated questions and answers from GETS

Bid Solicitation documents including: Notice of proposed procurement (NPP); Advanced Contract Award Notice (ACAN)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Receipt of Bids
Track bids

Confirmation of receipt of bid

Tracking of bids (bid management control mechanism)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Withdrawal of Bid

Written withdrawal of bid/tender

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Engagement of Bidders

Respond to inquiries from interested suppliers

Hold bidders conference if required

Conduct site visit if required

Amend SOW if required

Responses to interested suppliers

Documents from bidders conference/site visits (agenda, minutes of bidders conference)

Correspondence resulting from site visit

Amended SOW

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Bid Evaluation

Evaluate the suppliers

Evaluate bids, proposals and offers

Be involved in technical negotiations

Recommend a supplier to award the contract

Documents from evaluation meetings

Copies of responses to supplier inquiries

Copies of evaluations of financial and technical proposals

Copies of documents determining the successful bidder

Copies of procurement agreements

Copies of Approval documents

Copies of approved contracts

Copy of Loan Agreement (where the Crown is obligated to provide the contractor with certain items), and related cost benefit analysis

Copies of suppliers bid submissions

Conflict of interest declaration

Report to Industry Canada of identical bids

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Confirm Security Clearances

Security Clearance documents

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

5. Contract Award

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Award Contract

Contract Approval information resource

Copy of winning bid

Notification to winning bidder

GETS entry of winning bidder

Contract Award Notice

Copy of formal contract awarded

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Debrief unsuccessful bidders

Correspondence with unsuccessful bidders

Notes from oral debriefing (based on notes from the evaluation sessions)

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Respond to challenges to the procurement decisions

Challenge from supplier

Input into the legal responses as required

Validation of challenge from appropriate authority

Access to information inquiries and responses

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Acquire

Operating Lease, Capital Lease, Licence, MOU (information resources pertaining to the acquisition of Real Property)

Legal advice or information resources relating to the acquisition of real property

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

6. Contract Administration

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Commencement of work, receipt of goods

Review and understand the contract

Initiate work

Receive goods

For IRBV related to receipt of Goods please see Materiel Management GVT

For retention please see Materiel Management GVT

Monitor progress

Attend progress review meetings

Brief, monitor and interact with suppliers

Document decisions and significant developments

Progress review reports

Minutes from meetings with team/contractors

Documents resulting from examinations of the work in progress, examination of goods

Contract amendments as required

Project audits (financial and technical)

Copies of written notice from the Contractor in the event of a delay with a work-around plan

Copy of contract amendment

Correspondence indicating agreement with the amendment from the contractor

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Task Authorizations

Contract Planning and Advance Approval Form

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Address Performance Issues

Notify the contractor of poor performance

Consult with Legal Services

Copies of written notification from PWGSC regarding poor performance

Correspondence with the Procurement Officer in the event of issues with the commodity following delivery

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Payment on progress claims

See Financial Management GVT

Copy of invoice sent to finance (with signature); progress claims

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Assign the contract (in specific circumstances, as detailed by the negotiated contract)

Correspondence with Legal Services

Formal assignment document assigning the contract to a third party

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Amend the contract

Design Change/Deviation form PWGSC/TPSGC 9038

Formal Contract Amendment

Correspondence with Legal Services

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Dispute Resolution

Correspondence with the Contract Conflict Management Office

Copies of correspondence with contractor to resolve contract dispute

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Raise a warranty claim (when necessary)  

Correspondence with Procurement Specialist regarding a warranty issue

Copies of correspondence with the contractor to resolve a warranty issue

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Termination of contract

Notice of Termination

Correspondence with Legal Services

Correspondence with PWGSC procurement specialist

Copy of correspondence with contractor to terminate the contract in full or in part

Stop Work Order/notice of suspension of services (and subsequent cancellation if the issue is resolved)

Written notice of Crown’s intent to terminate all or part of the contract for default, convenience or mutual consent

Correspondence with CISD

Correspondence with Contract Conflict Management Office

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

7. Contract Close Out

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Approve final payments

Return contract financial security

Copies of final payment claim, certified as per Section 34

Copy of cost submission from contractor

Acquisition card statement (as received from Finance)

Verification documents of total time charged

Correspondence related to cheque requisition for bill of exchange

Correspondence related to release of letters of credit or other negotiable instruments deposited at the start of the process

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Evaluate Contract

Initiate an audit of a cost reimbursable contract (when clause is in the original contract)

Evaluate contractor performance

Assess environmental benefits

Complete a Client Satisfaction Survey

Copy of audit report

Evaluation

Post-contract report on Environmental Assessment

Client Satisfaction Survey

Termination for convenience audit

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract

Report on contracts

TBS data cap annual report

Decentralized activity report

TBS proactive disclosure PSAB

Comprehensive Land Claim Agreement reports

Ad hoc reporting on standing offer

Spend cube data

Proactive disclosure information resources

Annual report to TBS on intellectual property above $25,000

Intellectual property disclosure

Annual performance report of the Procurement Strategy for Aboriginal Business units (PSAB)

Sustainable Development Strategies reports

Audit on cost reimbursable contract

Discretionary audit

Time verification audit

6 fiscal years after the end of the fiscal year after the end of the life of the asset or termination of contract