Annexes for Chapter 1 - Public procurement

Annex 1.1: Matrix of responsibilities

Effective date: 2022-05-12

Annex 1.1.1: Matrix of responsibilities between Public Works and Government Services Canada and client departments for the procurement of goods and services (generic)

Effective date: 2024-02-16

Introduction

The following matrix provides a generic division of anticipated types of responsibilities between Public Works and Government Services Canada (PWGSC) and client departments. It forms the basis for an effective and efficient partnering relationship for those who are responsible for activities within the contracting process.
The division of responsibilities as shown in the matrix represents a standard way of doing business. However, as every procurement and associated contract differs, alternate divisions of roles and responsibilities can be established in advance by way of a written agreement between PWGSC and the client department. Such client department or procurement-specific arrangements or matrices will take precedence over this generic matrix. Legislation, regulations and policy will also take precedence over this matrix.
Nevertheless, PWGSC is accountable for the integrity of the procurement process and PWGSC contracting officers must ensure that the procurement process is open, fair and transparent. It is therefore PWGSC’s ultimate role to exercise the challenge function throughout the life cycle of the procurement process. This function entails working with clients to make sure that the procurement process is complete and properly satisfies all requirements (statutes and regulations, agreements, policies, directives, procedures and guidelines, challenge process, etc.) and are consistent with the Government of Canada’s socio-economic and environmental objectives.
Regular communication between PWGSC and the client department is considered essential to success in all activities, even for those activities where no contributing role is indicated within the matrix.

Note: The matrix does not represent a delegation of procurement authority by the Minister of PWGSC, and it does not remove from contracting officers their overall contracting responsibilities.

L: Lead
C: Contributing
S: Shared

Generic matrix of responsibilities between PWGSC and client departments for the procurement of goods and services

No.	Activities	Responsibility
No.	Activities	Client	PWGSC
1 - Requirements Definition
1.1	Define client's operational requirements: As Lead “L”, the client department is responsible for clearly defining the intended outcomes of the procurement, including the operational requirements, end user needs, expected benefits, alignment with the government’s strategic direction and total costs over the life cycle whenever possible; while adhering to the Values and Ethics Code for the Public Sector and the Directive on Conflict of Interest when engaging with suppliers At this stage of the procurement process, PWGSC fulfills a contributory role; it assists the client department to discern its needs and what type of technical information is required by the process
1.1.1	Consider all feasible solutions to meet client's operational requirements	L	C
1.1.2	Determine if the procurement falls under the Procurement Strategy for Indigenous Businesses	C	L
1.1.3	If applicable: Determine if a National Security Exception (NSE) should be invoked	L	C
1.1.4	Develop preliminary project cost estimates and schedule	L
1.1.5	Conduct cost benefit analysis of alternatives (including life cycle costing analysis)	L	C
1.1.6	If applicable, complete the Security Requirements Check List (SRCL) and determine security requirements	L	C
1.2	Client's technical and socio-economic requirements:
1.2.1	Develop Statement of Requirements (SOR) and/or Statement of Work (SOW) and/or performance specifications or standards, including accessibility specifications or criteria, as appropriate, for the goods/services required to meet the operational needs	L
1.2.2	Define the technical requirements for accessibility and other socio-economic factors, quality assurance, acceptance, warranty, training, documentation, packaging, transportation, initial provisioning, provide a signed Justification Form if accessibility criteria/considerations will not be included in requirement, etc.	L
1.3	Complete the requisition (form PWGSC-TPSGC 9200):
1.3.1	Certify the availability of funds. Prepare the funded requisition for goods/services to be forwarded to PWGSC. Include the SRCL, the SOW or SOR, and the security clauses provided by the Contract Security Program, if applicable. Further information can be found in section 2.50.1 Security and requisitions	L
2 - PWGSC Procurement Plan
2.1	Assess potential methods and sources of supply (Canadian vs. offshore, etc.) The client department is responsible for adhering to the required governance processes for projects, assets and procurement decisions, commensurate to the risk and complexity of the procurement and in accordance with the departmental procurement management framework. It is also responsible for engaging with contracting authorities at the outset of planning investments (Early Engagement), to integrate procurement considerations into the planning of programs, services and projects PWGSC must ensure that the documentation provided by the client department properly abides by the requirements of the procurement process; including standing legislation, security requirements, the use of mandatory Standing Offers and Supply Arrangements, and are consistent with the Government of Canada’s socio-economic and environmental objectives	C	L
2.2	Identify applicable major contracting policy issues/considerations, which must be resolved to accomplish the procurement, e.g. Regulations, CLCAs, trade agreements, policies, etc.	C	L
2.3	Ensure that the intended outcomes of the procurement are aligned with the departmental mandate and priorities, available funds, and key socio-economic and environmental benefits *A justification must be provided if there are no applicable accessibility criteria, see PN-142	L	C
2.4	Examine potential problems in relation to patents, licencing, royalties and technology transfer	L	C
2.5	Determine whether the process will be competitive vs. non-competitive	C	L
2.5.1	In the case of a non-competitive process, determine what exceptions to the Government Contracts Regulations should be invoked. See Contracting Policy Notice 2007-4 – Non-Competitive Contracting	L	C
2.5.2	Complete sole-source justification if exception 6(d) to the Government Contracts Regulations has been invoked. If so, the client must provide answers to the 7 questions required by the Treasury Board of Canada	L	C
2.6	Assess the need for a Fairness Monitor		L
2.7	Develop Procurement Plan including:
2.7.1	Delivery schedule and acceptance requirement	L	C
2.7.2	Determine if financial security should be required from the bidders		L
2.7.3	Contractual risk assessment and management	C	L
2.7.4	Develop evaluation criteria	L	C
2.7.5	Determine selection methodology	S	S
2.7.6	Industrial Benefits (IBs), where appropriate	C	L
2.7.7	Interdepartmental and international agreements related to procurement plan	L	C
2.8	Obtain Procurement Plan approval		L
3 - Contracting Process
3.1	Preparation of the translation of procurement documents in accordance with the Official Languages Act (OLA) and the Official Languages (Communications with and Services to the Public) Regulations The client department is responsible for providing documents of equal quality, in both official languages (professionally translated content) for: the SOW and/or performance specifications or standards, technical evaluation criteria, blueprints, architectural drawings, reports, graphics, or other technical documentation that is included as part of the tender package, or for which the client department is the originator PWGSC (AP contracting officers) must ensure that they have received all applicable documents required from the client, and that such documents are complete and correctly filled. It must also ensure that contracting authorities are responsible for publishing all information and documentation related to a solicitation or a contract in both official languages, communicating with suppliers and contractors; and providing them with access to information related to procurement in both official languages For documents with professional seals, this written confirmation must indicate that the translated content adheres to all applicable provincial or territorial requirements with respect to the document’s translation including any statutory or regulatory provisions, as well as requirements of the professional association	C L	L L
3.2	Prepare and distribute/post procurement notice on CanadaBuys and the bid solicitation package, including pre-solicitation request to suppliers (Letter of Interest – LOI / Request for Information – RFI / Draft Request for Proposal – RFP, etc.)(as applicable)		L
3.3	Receipt of bids on bid closing		L
3.4	Evaluate technical elements of bids	L	C
3.5	Evaluate time, cost and other contractual elements of bids		L
3.6	Verify: Vendor Performance Corrective Measure Policy (VPCMP), Integrity Provisions, Security Clearance, etc.		L
3.7	Additional reviews as and when appropriate: Peer review; Legal Services; Cost Analyst; Risk; Contract Quality / Control Review; Other	S	S
3.8	Verify with the Contract Security Program that bidders (individuals and organizations) are in compliance with the security requirements		L
3.9	Negotiate the contract, where applicable	C	L
3.10	Obtain the contract approval		L
3.11	Prepare and award the contract		L
3.12	Prepare post-award documents, Go-Ahead letters, regret letters, etc.		L
3.13	Debrief unsuccessful bidders	C	L
4 - Contract Administration
4.1	General: The client department is responsible for monitoring, documenting and certifying the delivery of the procurement to ensure that the delivery meets the provisions of the contract or contractual arrangement, including such criteria as quality, standards and service levels, as well as supporting any related reporting requirements In consultation with the client department, PWGSC monitors, documents, investigates and discusses contractor performance issues as they arise over the course of the contract in order to select appropriate measures required to address documented issues. PWGSC also ensures that accurate and comprehensive procurement records applicable to the contract file are created and maintained to facilitate management oversight and audit
4.1.1	Monitor work of the contractor, including compliance with the terms and conditions of the contract; and receive the contract deliverables	L	C
4.1.2	Verify invoices and monitor the cash flow.	L	C
4.1.3	Report any problems to the contracting authority	L	S
4.1.4	Resolve any disputes and contractual problems	S	S
4.1.5	Contract Audit
4.1.5.1	Determine that goods and services received are in accordance with the contract, as well as the requirements	S	S
4.1.6	Exercise payment authority, as per section 34. Process the claims for payment.	L	C
4.2	Contract Amendments:
4.2.1	Identify the need for additional work or revisions; provide the funding	L
4.2.2	Confirm that the contract amendment is the appropriate vehicle		L
4.2.3	Negotiate the contract amendment	C	L
4.2.4	Obtain an approval for amendment/change order		L
4.2.5	Prepare and issue the contract amendment		L
4.3	Contract management and compliance:
4.3.1	Determine that goods and services received are in accordance with the requirement	L	C
4.3.2	Determine that goods and services received are in accordance with the contract	C	L
4.4	If applicable, issue Task Authorizations	C	L
4.5	If applicable, call-ups against Standing Offers	L	C
5 - Contract Close-out
5.1	Settle the outstanding claims for payment: It is the client department’s responsibility to inform contracting authorities of contractor performance, including both the challenges and achievement of key deliverables, and communicating any performance issues and consequences to the contractors Once the contract has been deemed satisfactory fulfilled, PWGSC must ensure that all financial obligations have been met before the contract can be deemed closed	L C	C L
5.2	Ensure all payments to the contractor and settlement of claims have been made		L
5.3	Ensure no outstanding action is required	C	L
5.4	Ensure all required documentation is on file	C	L
5.5	If applicable after any audit findings, issue the contract closing amendment		L
5.6	Review any lessons learned including any audit findings		L

Annex 1.1.2: Specific Division of Responsibilities Agreements

Effective date: 2010-01-11

Section A 1.1.2.1: Division of responsibilities between Public Works and Government Services Canada (PWGSC) and Department of National Defence (DND) for the acquisition of goods and services

Effective date: 2020-10-21

This matrix is an assigned division of responsibility, agreed by the Ministers of the Department of National Defence (DND) and Public Works and Government Services Canada (PWGSC) ¹ . It forms the foundation for an efficient and effective partnering relationship for those who are responsible for activities within the procurement process.
This matrix is to be used for all DND goods and services procured by PWGSC. An "X" represents the assignment of each activity to a "Lead" and "Participatory" department. An "M" represents the norm for major crown projects (MCP) and like projects.
The assignment of each activity to a "Lead" and "Participatory" department as indicated in this matrix is to be considered the normal way of doing business. However, as every procurement and associated contract differs with respect to complexity, risk, value and availability of skilled resources, deviations can be agreed jointly in advance as long as justifications are formally filed in an agreement between the two departments, which consider reasons why the norm cannot be applicable in specific areas.
In all activities, it is incumbent upon each "Lead" department to always consider as prudent, continuous communication with the procurement representatives of the other department, even if this "Lead" department is identified as the sole "X." Finally, it is important to note that this matrix of assigned responsibilities is not necessarily sequential.
Effective communications between DND and PWGSC must be worked out on a project-by-project basis. The matrix below sets out anticipated DND internal responsibilities. For any individual project, DND requests that communications be through the procurement functional contact, the applicable DND Procurement Manager/Officer, unless otherwise discussed and agreed to with that procurement functional contact.

DND/PWGSC Responsibility Matrix

This matrix is an assigned division of responsibility, agreed by the Ministers of the Department of National Defence (DND) and Public Works and Government Services Canada (PWGSC).

CODE	DETAIL	RESPONSIBILITY
	PO (Procurement Officer)	PWGSC	DND	PWGSC Normally Participates	DND Normally Participates
	PM (Project Manager)
	TA (Technical Authority - includes LCMM)
	PD (Project Director)
	M (denotes for MCP or MCP-like projects where role is defined in the PMP)
	PM/TA - usually the PM for Capital/NP project procurement and the TA for in-service procurement
1 - DEFINE DND OPERATIONAL REQUIREMENTS
1.1	Define essential characteristics - Statement of Capability Deficiency or Statement of Requirement		PD
1.2	Seek procurement input/advice from DND procurement authority		PO
1.3	Delineate all feasible solutions, within government policy, to meet operational needs (ROM costs)		PD	M
1.4	Identify Total ROM project cost and schedule estimates for SSID		PO
1.5	Obtain operational approval to continue with project (SSID)		PD
1.6	Preparation of cost benefit analysis including life cycle costing analysis of alternatives and uncertainties		PD
1.7	Determine requirement for cooperation & involvement of other Departments/Countries (excluding 3.5.9)		PD
1.8	Determine national and international obligations applicable to operational need		PD
1.9	Determine requirement for phased cycles for project implementation		PM	X
1.10	Determine maintenance and support requirements		PM/TA	X
1.11	Determine total resource requirement for the project		PM	X
1.12	Identify Total Project cost (substantive) and schedule estimates
1.12.1	Obtain and collate cost and schedule information		PD/PO	X
1.12.2	Develop Total Project cost and schedule estimates		PO
1.13	Initiate a PMP (formerly PIP) for project (Responsibility Assignment Matrix)		PM	X
1.14	Develop DND's Procurement Master Plan		PO
1.15	Obtain approval (SRB and SPAC)		PM	X
1.16	Prepare project submission and obtain approval PMB, SS PPA and SS EPA, and Project Briefs)		PD/PM & PO
1.17	Prepare Memorandum to Cabinet (for MCP's only)		M	M
1.18	Execute DND's Procurement Master Plan		PO
2 - Define technical requirements and raise procurement instruments
2.1	Establish team (formal or informal as appropriate) for an individual procurement instrument, including required stakeholder		PO	X
2.2	Identify appropriate DND authorities in the PI (e.g. requisition, technical, QA)		PO
2.3	Statement of Work (SOW)
2.3.1	Define SOW and/or Performance Specifications in support of the operational need. Define accessibility specifications and criteria. Provide a signed Justification Form if accessibility criteria/considerations will not be included in requirement.		PM/TA
2.3.2	Identify Earned Value requirements (for MCP's or MCP-like projects)		M
2.3.3	Review and Refine SOW		PO	X
2.4	Define Government Furnished Resources (e.g. tools, test equipment)		PM/TA
2.5	Define Quality Assurance and Acceptance requirements		PM/TA
2.6	Define other technical requirements (e.g. warranty, training, documentation, Initial Provisioning, etc.)		PM/TA
2.7	Define Technical Evaluation Criteria		PM/TA
2.8	Prepare Procurement Instrument and Associated Documents
2.8.1	Validate cost estimate and secure funding for this PI		PO
2.8.2	Develop Technical Bid Evaluation Plan		PM/TA	X
2.8.3	Establish Technical Bid Evaluation Team		PM/TA	X
2.8.4	Develop proposed procurement schedule (activities and timeline) for this PI		PM/TA
2.8.5	Identify and mitigate DND risks associated with this PI		PO
2.8.6	Develop Content of Procurement Instrument		PO
2.8.7	Review Draft Procurement Instrument		PO	X
2.9	Approve Procurement Instrument (Requisition)		PO
*3 - DEVELOP PWGSC PROCUREMENT PLAN (based on DND Procurement Instrument)**
3.1	Assess the industrial capability*	X
3.2	Identify applicable major contracting policy which must be considered to accomplish procurement*	X
3.3	Review applicable CITT cases and Federal Court Rulings of Procurement	X			PO
3.4	Examine potential problems in relation to patents, licensing, royalties, and technology transfer	X	PM/TA
3.5	Develop Procurement Plan including:
3.5.1	Delivery schedule and acceptance requirement		PO	X
3.5.2	Contracting approach*	X
3.5.3	Target cost and cash flow plan		PO
3.5.4	Stating of appropriate quality control and inspection system standards and qualification approvals		PM/TA
3.5.5	Communications Strategy (e.g. press release, etc.)	X	PM/TA
3.5.6	Risk Management*	X
3.5.7	Evaluation Methodology*	X
3.5.8	Industrial and Regional Benefits	X			PM/TA
3.5.9	Interdepartmental and international agreements related to Procurement Plan (excluding DND/PWGSC)		PM/TA	X
3.6	Obtain approval of procurement plan	X
4 - CONTRACTING PROCESS
4.1	Review requisition or procurement instrument	X			PO
4.2	Review SOW and Technical Evaluation Criteria for its contractibility	X			PO
4.3	Prepare Solicitation Bid Package
4.3.1	Identify Applicable Terms and Conditions (including Basis of Payment)	X			PO
4.3.2	Develop Contractual Evaluation Criteria (time, finance incl. transition, contractual & consolidated evaluation plan)	X			PO
4.3.3	State appropriate authorities (e.g. requisition, technical, contract, quality, etc, as applicable)	X
4.4	Dispatch "Solicitation - Bid" (RFP/ITT) documentation to Industry and DND	X
4.5	Distribute technical data packages to suppliers as required and as applicable		PM/TA	X
4.6	If competitive RFP, ITT or equivalent process), Evaluate Bids and Recommend Supplier
4.6.1	Carry out Technical evaluation (SOW and associated t's & c's) in accordance with the Evaluation Plan		PM/TA	X
4.6.2	Carry out Contractual evaluation (including contract t's & c's) in accordance with the Evaluation Plan	X			M
4.6.3	Consolidate evaluation and recommend supplier	X			PO
4.7	If sole-source, Negotiate contract	X			PO & PM/TA
4.8	Review draft contract documentation		PO
4.9	Obtain TB or Departmental contract approval, as required	X			M
5 - CONTRACT ADMINISTRATION
5.1	Initiate Contract Administration
5.1.1	Implement Tools and Processes for Administration	X	PO
5.1.2	Kick-Off Meetings with Parties, Stakeholders	X			PO & PM/TA
5.2	Provide Government Furnished Resources (GFR) in Support of Contract Work		PO	X
5.3	Ascertain Contract Performance
5.3.1	Technical and Quality of the Deliverables		PM/TA
5.3.2	Contractor's Engineering, Production and Quality Systems		PM/TA
5.3.3	Contractor's Financial and Management Systems	X
5.3.4	Contract Cash Phasing/Cash Flow
5.3.4.1	Cash Flow Actual versus Contracted Cash Flow	X			M
5.3.4.2	Cash Flow Actual versus DND Planned Cash Flow for Financial Forecast		PO
5.3.4.3	Earned Value (monitor progress of work versus planned work and associated cost) for MCP's	X	M
5.3.5	Delivery
5.3.5.1	Monitor materiel and services delivery date		PO
5.3.5.2	Acceptance Trials and Tests		PM/TA
5.3.5.3	Schedule compliance	X	M
5.3.6	Progress Review Meetings
5.3.6.1	Requirements/Technical Work Group Meetings		PM/TA	X
5.3.6.2	Contract Progress Review Meetings with Contractor	X			PO& PM/TA
5.4	Apply Contract Provisions and Processes
5.4.1	Interpretation and Notifications	X
5.4.2	Change Control
5.4.2.1	Technical (Engineering Change Notices/Proposals)		PM/TA
5.4.2.2	Contract Amendments	X			PO
5.4.3	Warranty Provisions
5.4.3.1	Invoke Warranty		PM/TA
5.4.3.2	Enforce Warranty	X
5.4.4	Contractual Issues
5.4.4.1	Identify contractual issues	X	PO
5.4.4.2	Enforce contractual issues	X
5.4.5	Accept Contract Deliverables		PM/TA
5.4.6	Certify and Process Payments	X	PO
5.5	Close Out Contract
5.5.1	Crown Asset Disposition		PO	X
5.5.2	Final Contract Audit	X
5.5.3	Final Payment and Amendment	X	PO

List of acronyms:

CITT - Canadian International Trade Tribunal

DND - Department of National Defence

GFR - Government Furnished Resources

ITT - Invitation to Tender

LCMM - Life Cycle Material Manager

MCP - Major Crown Project

NP - National Procurement

PI - Procurement Instrument

PIP - Project Implementation Plan

PMB - Program Management Board

PMP - Project Management Plan

PRC - Procurement Review Committee

PWGSC - Public Works and Government Services Canada

RFP- Request for Proposal

ROM - Rough Order of Magnitude

SOW - Statement of Work

SPAC - Senior Project Advisory Committee

SRB - Senior Review Board

SS(ID) - Synopsis Sheet (Identification)

SS(EPA) - Synopsis Sheet (Effective Project Approval)

SS(PPA) - Synopsis Sheet (Preliminary Project Assessment)

TB - Treasury Board

Section B 1.1.2.2: Division of Responsibilities between PWGSC and DND for the Quality Assurance of Materiel and Services

Effective date: 2022-05-12

Public Works and Government Services Canada (PWGSC) and the Department of National Defence (DND) agreed in principle to a division of responsibilities between the two departments for the quality assurance of materiel and services acquired on behalf of DND. This agreement will be amended, if and when required, only with the consent of both departments.
This agreement identifies the division of responsibilities as agreed by each department for the quality assurance of materiel and services, as it applies to military specifications, acquired on behalf of DND.
It does not deal with materiel and services to non-military specifications (see Section A: Division of Responsibilities between PWGSC and DND for the Acquisition of Goods and Services) or with the division of responsibilities for materiel and services managed by an interdepartmental project management office, which are the subject of a separate agreement.
Materiel and services to military specifications: Includes all materiel and services, including repair and overhaul, as well as research and development for which a military or other DND specification or requirement is included in procurement documents. Also included in this category are materiel and services which are not covered by DND or military specifications but which are of sufficiently significant concern to DND as to require the division of responsibilities annotated under this heading.
PWGSC will also participate with DND in identifying the application and use of quality assurance techniques at the earliest possible stage in the product life cycle and the development and implementation of cost-effective quality assurance support programs.
DND will be solely responsible for the designation of materiel and services as "Military" or "Non-Military" in technical and procurement documentation.
The division of responsibilities identified for a subactivity does not mean exclusive involvement by one department. Close participation and coordination by both departments is essential throughout the various phases of the procurement program.
Where participation by the other department is indicated, the responsible department is expected to initiate the consultation. However, it does not preclude either department from requesting participation in, or consultation on, any given subactivity relative to an established program.

Materiel and services for military specifications

Sub-activity description

Definition of Requirements - DND assigned overall responsibility
Quality assurance services which support achievement of the quality of design, its practicality for manufacture and the means by which conformance will be demonstrated. The tasks involve participation in:
- A.1
  The evaluation with DND of technical data for completeness, clarity, freedom from irrational or excessive tolerances, contradictions, over stipulation of quality requirements, ability to meet interface requirement, etc.
- A.2
  Review of design to determine completeness of definition, the methods for demonstrating conformance and analysis of system effectiveness of such major elements as:
  1. Safety
  2. Maintainability
  3. Reliability
  4. Performance
  5. Human Engineering
  6. Interchangeability
  7. Configuration Control.
- A.3
  Establishment and definition of test methods with respect to practicality, suitability and cost as related to:
  1. Qualification Approval
  2. Design Approval Model (Prototype)
  3. Production Unit Conformance
  4. Acceptance Trials.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
- A.4
  Applicability of technical data to current programs of maintenance, repair and overhaul and reprovisioning.
  Responsibility for Sub-activity- DND
- A.5
  Selection of parts, components or process, with avoidance of those which are difficult to control, subject to excessive variation or high failure rate, etc.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
- A.6
  Classification of quality characteristics with respect to their importance to design objectives.
- A.7
  Designation of quality control and inspection system standards.
- A.8
  Definition of preferred warranty requirements.
- A.9
  Establishment of requirements for technical reports from suppliers.
  Responsibility for Sub-activity- DND
Quality Assurance Support Programs- DND assigned overall responsibility
Develop, support and maintain programs conducive to efficient procurement and quality assurance which includes such tasks as:
- B.1
  Development as appropriate of contractor quality system standards/specifications for contract use.
- B.2
  Maintenance of qualified/approved product programs.
- B.3
  Evaluation of the acceptability of suppliers' quality control/inspection systems, commercial test, laboratory and calibration facilities.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
- B.4
  Selection of suppliers with acceptable quality control/inspection systems, commercial test, laboratory and calibration facilities.
  Responsibility for Sub-activity- PWGSC
  Normally Participates in Sub-activity- DND
Requisitioning- DND assigned overall responsibility
Quality assurance tasks associated with requisitioning (contract demands, local purchase orders).
- C.1
  Review of the requisition with DND for applicability of the technical data.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
- C.2
  Development of Quality Assurance Plan.
- C.3
  Assurance that workmanship standards are established.
- C.4
  Determine which contractor quality control/inspection requirements are applicable.
- C.5
  1. Designation of the Quality Assurance Authority, and
  2. Designation of government quality assurance at source or inspection at destination.
  Responsibility for Sub-activity- DND
- C.6
  Develop and include special clauses of significance to the assurance of quality.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
Preparation of Bid Solicitation- PWGSC assigned overall responsibility
Quality assurance tasks associated with the preparation of bid solicitations.
- D.1
  Review of quality requirements on the requisition for completeness and clarity.
  Responsibility for Sub-activity- DND
- D.2
  Establishment of criteria for the evaluation of bids/proposals for compliance with quality requirements.
- D.3
  Review of past performance of potential bidders in respect of their quality history, to determine potential suppliers.
- D.4
  Explanation of quality requirements at the prebidders' conference.
  Responsibility for Sub-activity- PWGSC
  Normally Participates in Sub-activity- DND
Bid Evaluation and Supplier Selection - PWGSC assigned overall responsibility
Quality assurance tasks associated with evaluation and supplier selection in relation to:
- E.1
  Evaluation of bidders' quality capabilities based upon their quality history and pre-award survey of their quality control/inspection systems.
- E.2
  Evaluation with DND of the quality/quality assurance implications of selecting alternative products.
- E.3
  Trade-off analysis of performance cost and schedule.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
Contract Preparation and Final Award- PWGSC assigned overall responsibility
Quality assurance tasks associated with contract preparation and final award in relation to:
- F.1
  Resolution of negotiations with contractor on quality-cost matter not finalized at the bid evaluation stages and review of contract quality requirements to ensure mutual understanding
- F.2
  Verification with DND that the contract includes the required quality system requirements.
  Responsibility for Sub-activity- PWGSC
  Normally Participates in Sub-activity- DND
Contract Administration- PWGSC assigned overall responsibility
Performance of the following activities in support of PWGSC contract administration throughout the duration of the contract, as applicable:
- G.1
  Quality Assurance Verification of the continuing effectiveness of the contractor's methods for controlling his product quality. These elements are:
  1. Management control system review
  2. Planning
  3. Quality Assurance documentation
  4. Corrective action
  5. Design, development, control and engineering features
  6. Documentation control and change
  7. Control of inspection, measuring and test equipment
  8. Control of contractor purchased materiel
  9. Manufacturing and process control
  10. Purchased and/or supplied materiel standards and specifications
  11. In-process and final inspection and test
  12. Sampling procedures
  13. Control of non-conforming materiel
  14. Inspection status
  15. Handling, storage and packing.
- G.2
  1. Verification of the conformance of preproduction or first-off unit.
  2. Periodic sampling as appropriate during production to ascertain conformance to specifications.
  3. Timely reporting to PWGSC in the event of deviations from specifications.
  4. Verify acceptability of product and authorize release to consignee.
- G.3
  Quality assurance action in technical change procedures such as initiation, and recommendation.
- G.4
  Review of contract quality requirement with contractor to ensure mutual understanding.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
Contract Close out and Clean-up- PWGSC assigned overall responsibility
Quality assurance tasks performed during contract close-out and clean-up:
- H.1
  Verification from DND of the condition and disposition of Crown-owned production tooling, inspection and test equipment
- H.2
  Verification from DND of the completeness, suitability and proper disposition of technical data and documentation.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity- PWGSC
Post-delivery Appraisals- DND assigned overall responsibility
Quality assurance tasks arising during the life of the product in relation to:
- I.1
  Quality History
  1. Accumulation and assessment of quality assurance histories for the purpose of recommending need for modification of product technical data, quality assurance standards, or quality assurance plans for the product, based on quality data acquired from the following:
    1. Product Qualification
    2. Supplier Evaluation
    3. Bid Evaluation
    4. Product Quality Assurance
    5. Post-delivery Appraisal.
- I.2
  Unsatisfactory Condition Report/Complaints
  1. Review of failure reports where the complaint has been associated with quality defects.
  2. Analysis and identification of cause.
  3. Seeking of corrective action with contractor or through PWGSC. In all instances, DND should notify PWGSC immediately in writing.
  Responsibility for Sub-activity- DND
  Normally Participates in Sub-activity - PWGSC
Disposal- DND assigned overall responsibility
Quality assurance tasks related to the disposal of equipment and data.
Warehousing and Distribution- DND assigned overall responsibility
Quality assurance tasks associated with the development of a quality program which, will assure product quality on receipt, during storage and on issue, including such elements as:
- K.1 Preparation of Inspection Plans, including inspection on receipt, during storage, on issue and after repair.
- K.2 Control of technical data.
- K.3 Control of adequacy of inspection equipment.
- K.4 Incoming inspection.
- K.5 Identification of defective material.
- K.6 Procedures for material handling.
- K.7 Packaging and shipping.
- K.8 Inspection records.
- K.9 Quality audit.
- K.10 Corrective action.
  Responsibility for Sub-activity– DND

¹ The matrix does not represent delegation of procurement authority by the Minister of PWGSC, and does not affect the responsibility of the contracting authorities as defined in Treasury Board Directive on the Management of Procurement.

Legislation, regulations and policy will take precedence over this matrix in the case of any ambiguity.

Annex 1.2: Memorandum of Understanding between the Royal Canadian Mounted Police and the Contract Security Program

Effective date: 2022-05-02

The Memorandum of Understanding (MOU) between the Royal Canadian Mounted Police (RCMP) and the Contract Security Program has expired and was removed from the Supply Manual.

For reference purpose only, Annex 1.2 is available in the Supply Manual Archive (accessible only on the Government of Canada network), Version 2016-2.

Annex 1.3: Canada Border Services Agency (CBSA) - Security requirements when Public Works and Government Services Canada (PWGSC) does the procurement

Effective date: 2024-02-16

This section has been removed as CBSA is no longer responsible for contractors' organization and personnel security screening processes.

For reference purposes, Annex 1.3 is available in the Supply Manual Archive (accessible only on the Government of Canada network), Version 2023-2.

Annex 1.4: Guidelines on paper file documentation for procurement

Effective date: 2023-03-30

Overview
1. These guidelines are intended to help contracting officers in organizing their procurement paper files. Consistent filing methods allow for a more organized approach to procurement and ensure that anyone reviewing the file is able to locate documents with minimal effort. The importance of proper filing techniques is more evident when, for example, information is needed quickly for audits, Access to Information requests, Canadian International Trade Tribunal complaints, litigations, when a contracting officer takes over file responsibility or needs to determine the status of the procurement process, etc.
2. As a general rule, documents should be filed in chronological order. A proposed format for file organization is set out below. The list of documents is not intended to be comprehensive and is subject to the professional opinion of the contracting officers. All the documents may not be applicable in all cases. Furthermore, file organization and the required documents may vary in accordance with regional/sectoral procedures and guidelines. Separate file volumes may be warranted to accommodate the excessive physical size of some documents.
Paper information
1. Any information received or created in paper format, must be maintained in its original hardcopy format and filed accordingly.
2. The use of copies for convenience (for example print-outs, photocopies or scanned versions) is permissible, however information in its original format must be kept for legal purposes.
3. All information, hardcopy and electronic associated with a particular requirement must be kept in their original format and made available to complete procurement support activities and processes; and
4. When it is necessary to maintain information in more than one location i.e. physical and electronic file, a cross reference must be maintained for these locations, such as a note to file providing the reference and location of the relevant information.
Documents proposed for the left-hand side of the file jacket:
1. signed requisition and any requisition amendments;
2. final version of the Statement of Work (SOW) (plus any documents that alter the requirement, e.g., approved design changes) and a signed copy of the Justification Form for procurements where accessibility was determined to not apply and subsequently did not have accessibility considerations or criteria included (the justification form can be found on the Accessible Procurement Resources and Tools page of PWGSC's Procurement Corner [accessible only on the Government of Canada network] or the TBS Office of Public Service Accessibility GCpedia page [accessible only on the Government of Canada network]);
3. Security Requirements Check List (SRCL) and IT Security Technical Requirements (if applicable);
4. where only one supplier is capable of performing the work, the sole source justification along with responses provided by the client to questions appearing in Annex A of TB Contracting Policy Notice 2007-4 (see Annex 3.1 Treasury Board Questions for Sole Source);
5. completed Fairness Monitoring Coverage Assessment and Recommendation form;
6. signed original Formal Procurement Plan/Procurement Plan;
7. approved original Contract Planning & Advance Approval (CPAA) form, Contract Amendment Request, and CPAA Resubmissions forms;
8. documented evidence of the complexity level (completed complexity level assessment);
9. completed and approved Procurement Risk Assessment (PRA), including any revision, with results;
10. completed and approved PRA for Amendments, with results;
11. signed Request for Reviewer Endorsement (Commodity) form, including for amendments;
12. Notice of Proposed Procurement (NPP);
13. Advance Contract Award Notice (ACAN);
14. approved Contract Request (CR) and Contract Amendment Summary and Contract Amendment Request (CAR);
15. signed original Treasury Board submission and approval, and any amendment;
16. signed original contract, standing offer, supply arrangement, call-ups and associated amendment documents;
17. acknowledgement copy signed by supplier, as appropriate (e.g. the supplier’s signature is required on a "You are requested" contract);
18. letters of authority (e.g., Go-Ahead letter, Letter of Intent, National Security Exception, Limiting Liability);
19. formal legal agreements;
20. integrity verification response (determination of ineligibility), documented evidence that Declaration Form received, Administrative Agreement was entered into, Public Interest Exception was approved;
21. formal notifications (e.g., performance, conditional amendment, stop work order, termination, Comprehensive Land Claims Agreements);
22. copies of any relevant acting delegation of authority memos;
23. Record of Extract and Part Files (PWGSC-TPSGC 1015 [accessible only on the Government of Canada network][PDF, 73 KB] – [Help on File Formats]);
24. copies of extract file contracts and their contract amendments;
25. Request for Additional Funds (PWGSC-TPSGC 329 [accessible only on the Government of Canada network][PDF, 65 KB] – [Help on File Formats]);
26. invoices/reports.
Documents proposed for the right-hand side of the file jacket:
1. acknowledgment of requisition;
2. request for distribution of technical data;
3. file index, if more than one volume exists;
4. original solicitation document, and all subsequent document updates or amendments;
5. letters of interest;
6. minutes of bidder's conferences;
7. bidder's questions and answers;
8. bids received, including Bid Receiving Unit Report (can be placed in a separate volume);
9. bid evaluation, including tabulation sheets, notes, signature of each of the evaluators;
10. signed technical evaluation report (signature of all evaluators);
11. signed financial evaluation report (signature of all evaluators);
12. Fairness Monitor Report;
13. price certification;
14. price support;
15. Request for Financial Capability Opinion and Financial Statement of Capability;
16. transportation analysis;
17. legal opinions;
18. policy opinions;
19. Modern Treaties (Comprehensive Land Claims Agreement [CLCA]);
20. documentation supporting strategic direction (responsible procurement, environmental considerations, impacts and mitigation, trade agreements, CLCAs/PSAB, Intellectual Property, Vendor Performance, integrity verification, etc.)³;
21. any comment provided following quality assurance reviews; Price Support Directorate advisor reviews and/or peer reviews;
22. contract award notices;
23. regret letters;
24. supplier correspondence;
25. client department correspondence;
26. relevant e-mail messages;
27. agendas and meeting minutes;
28. notes to file (phone calls, summary of events, actions taken, lessons learned etc.)⁴;
29. for Canadian Commercial Corporation files only, specific additional forms, as applicable;
30. file close-out documentation.

³ Documentation related to potential issues or problems may be better suited on the left side of the file.

⁴ Procurement files should tell a story from beginning to end, and notes to file are an important part of this process. Notes to file can provide a file history, provide an explanation of problems encountered, and act as reminders to contracting officers.

Annex 1.5: Guidelines on electronic file documentation for procurement