7. Contractor selection—Assessor Guidance Document—Supply Arrangement Requirements

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7.01 Basis of selection—documentation

Basis of selection report which summarizes the results of the evaluation and forms the basis for the selection of the winning supplier must be on file.

Assessment guidance and notes

The Contracting Authority must document how compliant bids received were ranked and demonstrate that the selection methodology, stated in the bid solicitation document, was applied correctly.

Note

  1. This requirement does not apply to non-competitive procurements
  2. This requirement does not apply to competitive procurements where only one responsive bid has been received
  3. Temporary Help Services (THS) requirements using Right-Fit, file must include which of the 5 justifications were used to make their selection and must be retained in the file for audit purposes
7.01 Basis of selection - documentation Potential findings
Type Description Rationale
Major non-conformance—policy (documentation) Copy of documentation that shows how compliant bids received were ranked and demonstrates that the selection methodology, stated in the bid solicitation, document was applied correctly is not on file and the Contracting Authority is unable to provide it. Without a copy of the required documentation it is not possible for the Assessor to confirm compliance with a subsequent element. (Contravention of TB Contracting Policy sub-section 12.3.1.)
Observation (documentation) Compliance to this requirement cannot be determined because a copy of the bid solicitation document is not on file. If the bid solicitation document is not on file, then a Major non-conformance would already have been raised against a previous element (i.e. element 3.01: Bid Solicitation—Documentation).

Note: Recurrence of this finding may result in the issuance of a Major non-conformance.

7.02 Basis of selection

The basis for selecting the winning bid must be done in accordance with the terms and conditions of the bid solicitation.

Assessment guidance and notes

The potential selection methodologies available include:

  • Responsive bid with lowest price that meets all mandatory technical evaluation criteria (refer Standard Acquisition Clauses and Conditions (SACC) Clause A0031T)
  • Responsive bid that meets all mandatory technical evaluation criteria and has the highest combined rating of technical merit and price (refer SACC Clause A0027T)
  • Responsive bid with lowest price that meets all mandatory technical evaluation criteria and achieves the minimum total number of points, or minimum percentage of points or the minimum number of points for each point rated criterion (refer SACC Clause A0034T)
  • Responsive bid that meets all mandatory technical evaluation criteria and achieves the lowest price per point (refer SACC Clause A0035T)
  • Responsive bid that meets all mandatory technical evaluation criteria and achieves the highest number of points within the budget available for the requirement (refer SACC Clause A0036T)
  • Applicable to THS only—Responsive bid that meets all mandatory criteria and proposed resource meets one of the 5 pre-established justifications allowing them to select a higher priced bid within a +/-20% median band when using right fit

Errors made in the evaluation of bids submitted can affect the ranking of the bids and, ultimately, which supplier was awarded the contract. For example, if the bid solicitation required a minimum level of education and proof of education was not provided, then the conclusions drawn in the evaluation report were not based on objective evidence. Therefore, the resource offered should have been deemed to be non-compliant and the contract should not have been awarded to the supplier in question.

Note

The requirements stated in this element apply to competitive bid solicitations only.

7.02 Basis of selection Potential findings
Type Description Rationale
Major non-conformance (documentation) THS requirements using Right-Fit—the file does not include which of the 5 justifications were used to make their selection. One or more of the 5 justifications must be used to determine the successful bidder and the justification for the selection must be retained in the file for audit purposes. (Contravention of THS rules—The “right-fit” selection method).
Major non-conformance—policy (other) Major discrepancies or errors were made in determining the ranking of suppliers which could have resulted in the issuance of the contract to a different Supplier. TB Contracting Policy requires that the selection process be strictly adhered to and that there have been successful legal challenges to the contractor selection process. (Contravention of TB Contracting Policy sub-section 10.7.27)
Major non-conformance—policy (other) Compliance of the supplier awarded the contract was based on statements made by the supplier related to experience, education, professional designations/certifications, etc. of the resource(s) offered. Objective evidence such as resume of the resource(s) offered, proof of education, proof of professional designation/certification, etc. was not on file. Refer rationale above.
Minor non-conformance Discrepancies or errors in the ranking were not resolved by the Contracting Authority, the resolution of which would not have resulted in the issuance of a contract to a different Supplier. In such cases the discrepancy or error(s) may have resulted in a change in ranking for lower ranked suppliers but would not have caused a change to the highest ranked supplier. Since the award process has not been affected, there would be no basis for a challenge to the award. For this reason, a Major - Policy non-conformance shall not be cited.
Observation (documentation) Compliance to this requirement cannot be determined because a copy of the report detailing how the selection was done is not on file. If the report detailing how the selection was done is not on file, then a Major non-conformance would already have been raised against a previous element (i.e. element 7.01: Basis of Selection—Documentation).

Note: Recurrence of this finding may result in the issuance of a Major non-conformance.
Observation (documentation) Compliance to this requirement cannot be determined because a complete copy of one or more evaluation reports are not on file. If one or more evaluation reports are not on file or are incomplete, a Major non-conformance would already have been raised against a previous element (i.e. element 6.01: Evaluation Reports—Documentation).

Note: Recurrence of this finding may result in the issuance of a Major non-conformance.
Observation (documentation) Compliance to this requirement cannot be determined because a copy of the bid solicitation document is not on file. If the bid solicitation document is not on file, then a Major non-conformance would already have been raised against a previous element (i.e. element 3.01: Bid Solicitation—Documentation).

Note: Recurrence of this finding may result in the issuance of a Major non-conformance.

7.03 Document safeguarding verification—supplier

Validity of the document safeguarding of the Supplier (if applicable) must be confirmed and documented before contract award.

Assessment guidance and notes

The Contracting Authority must verify that the document safeguarding (if applicable) of the Supplier is valid before contract award. Documentation confirming the document safeguarding (if applicable) of the Supplier must include: name of the Supplier and the current security level Refer Assessment Guidance and Notes section under element 8.06 Security Clearance.

Note

  1. Certifications made by the Contractor regarding the security clearance of the company itself is insufficient. Information pertaining to the security clearance must come from Contract Security Program (CSP), PSPC
  2. The requirements stated in this element apply to competitive procurements and those that invoke the "does not exceed $40k" rule
  3. TB Security policy (section 6.1.6) requires that the security screening be performed before commencement of the work to make sure of any security breaches involving the Contractor
7.03 Security clearance/document safeguarding verification - supplier Potential findings
Type Description Rationale
Major non-conformance—policy (documentation) Contract file contains no documentation that confirms validity of document safeguarding of the Contractor. Contracting Authority is unable to provide the required documentation. TB Policy on Government Security requires that individuals be security screened at the appropriate level before starting the work (Contravention of TB Policy on Gov't Security sub-section 6.1.6)
Major non-conformance—policy (other) Document safeguarding of the Supplier was confirmed as NOT being valid at the time of contract issuance. Refer rationale above.
Observation (documentation) Compliance to this requirement cannot be determined because a copy of the contract is not on file. If the contract document was not on file, then a Major non-conformance will be raised against another element (i.e. element 8.01: Contract—Documentation).

Note: Recurrence of this finding may result in the issuance of a non-conformance.

7.04 Security clearance—verification—resources

Validity of the security clearance of the resource must be confirmed and documented before commencement of the assignment.

Assessment guidance and notes

The Contracting Authority must verify that the security clearance of the resource offered is valid not only at the time the assignment begins but also during the period of the entire assignment. Documentation confirming the security clearance of each resource must include: name of the resource or company (as applicable), current security level, current status (validity) of the security clearance and date the security clearance expires or date that it became valid. Refer Assessment Guidance and Notes section under element 8.06 Security Clearance.

Security Clearance Duplication

The security clearance of a resource remains with that resource. However, the security clearance of an individual may be duplicated among multiple organizations providing the following criteria have been met:

  • The security clearance is still valid;
  • The security clearance is not due for updating; and
  • The organization requesting the duplication is registered and in good standing in the CSP.

Supplier Security Clearance

A resource can only hold as high a security clearance with a Supplier as that Supplier has. For example, a resource has Top Secret security clearance. If Firm A wishes to offer this resource and has a security clearance at the Secret level, then Firm A can only offer the resource against bid solicitations that require a security clearance of Secret or less. Further to the previous example, if the resource has a Top Secret clearance with Firm A and the resource is offered by Firm B, who is cleared to North Atlantic Treaty Organization (NATO) Top Secret as verified by PSPC security, then the security clearance from Firm A can be applied to Firm B for assessment purposes. If CSP, PSPC confirms the validity of a resource's security clearance at a specific level, then the Supplier must also have the same level of security. Therefore, confirmation of the validity of a resource's security clearance with a specific Supplier is acceptable proof of the security clearance held by that Supplier.

Note
  1. Certifications made by the Contractor regarding the security clearance of the resource offered are insufficient. Information pertaining to the security clearance must come from CSP, PSPC or, for the resource offered, from CSP, PSPC or the Contracting Authority's security unit
  2. The requirements stated in this element apply to competitive procurements and those that invoke the "does not exceed $40k" rule
  3. TB Security policy (section 6.1.6) requires that the security screening be performed before commencement of the work to make sure of any security breaches involving the Contractor
7.04 Security clearance - verification - resources Potential findings
Type Description Rationale
Major non-conformance—policy (documentation) Contract file contains no documentation that confirms validity of security clearance of the resource(s) named in the contract. Contracting Authority is unable to provide the required documentation. TB Policy on Government Security requires that individuals be security screened at the appropriate level before starting the work (Contravention of TB Policy on Gov't Security sub-section 6.1.6)
Major non-conformance—policy (documentation) Contract file contains documentation that confirms the “pending” status of the transfer or duplication of the security clearance. However, the contract file does NOT contain confirmation of the successful transfer or duplication of the security clearance. Documentation on file must state the successful transfer or duplication of the resource's security clearance. The absence of such documentation makes it impossible for the Assessor to confirm that validity of the security clearance for the resource(s). (Contravention of TB Policy on Gov't Security sub-section 6.1.6)
Major non-conformance—policy (other) Security clearance of the resource offered was confirmed as NOT being valid at the time of contract issuance. Refer rationale above.
Major non-conformance—policy (other) Security clearance of the resource covered by the contract was confirmed as being lower (e.g. Reliability) than that stated in the bid solicitation (e.g. Secret). Response offering the resource in question was deemed to compliant incorrectly. TB Contracting Policy requires that evaluation factors be established beforehand and be strictly adhered to. (Contravention of TB Contracting Policy sub-section 10.7.27)
Major non-conformance—procedural Security clearance of the resource offered was confirmed as being valid before the commencement of the work. However, validity period of the security clearance expired before completion of the work and there is no documentation on file that confirms that the security clearance validity period was extended. The security clauses, covered by each of the Common SRCLs, require that the supplier personnel have a minimum security clearance which must be in place during the entire period of the contract.
Major non-conformance—procedural Documentation on file confirms that the security clearance of the resource is valid but fails to provide the information required to determine the expiry date of the security clearance. Documentation on file must state either the expiration date of the security clearance or the date that the clearance was issued and that it is currently valid. The absence of this information makes it impossible for the Assessor to confirm that validity of the security clearance for the resource(s).
Minor non-conformance Security clearance of the resource covered by the contract was not validated until after commencement of the work. Failure to comply with the requirement does not meet the criteria applicable to a major non-conformance.

Note: Recurrence of this finding may result in the issuance of a major non-conformance.
Observation (documentation) Compliance to this requirement cannot be determined because a copy of the contract is not on file. If the contract document was not on file, then a Major non-conformance will be raised against another element (i.e. element 8.01: Contract—Documentation).

Note: Recurrence of this finding may result in the issuance of a non-conformance.

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