2014-007
Competitive sourcing and contract case files
Procurement Services
| Records | Active retention (in office) | Semi-active (records centre) | Total retention | Final disposition |
|---|---|---|---|---|
| Competitive sourcing case files (CFI-funded projects only) | CY close of RFX/award of contract + 1 year | 5 years | CY close of RFX/award of contract + 6 years | Destruction |
| All other competitive sourcing case files and registry | CY close of RFX/award of contract + 1 year | 1 year | CY close of RFX/award of contract + 2 years | Destruction |
| Contract case files and registries | CY contract end date + 1 year | 5 years | CY contract end date + 6 years | Selective retention |
CY = Current calendar year; CFY = Current fiscal year; CS = Current semester; S/O = Superseded or obsolete; OPR = Office of Primary Responsibility; Non-OPR = All other departments.
Records relating to the competitive sourcing process. Competitive sourcing is the preferred term to describe the entire process that includes: the creation of an RFX, which may be either a Request for Proposal (RFP), Request for Information (RFI), or Request for Quotation(RFQ), and of evaluation materials; the bidding process; and the awarding of a contract. Records include approved contracts resulting from the competitive bidding process.
Competitive sourcing case files include records related to unsuccessful and successful bids. Successful bids result in approved contracts for the provision of goods, services, consulting/payment for services, or construction services for the university. Goods and services valued at over $50,000 are competitively sourced based on Procurement policy and interprovincial trade agreements. Sole-source exemptions are also covered under this retention schedule,
Competitive sourcing and contract case file records may include, but are not limited to, the following records: planning documents; nondisclosure agreements from the parties involved; finalized request for proposal, information, or quotation and amendments; evaluation criteria; submitted bids from vendors; noncompliance notifications; evaluations grids and summary of evaluations; meeting minutes; vendor presentation or demonstration materials; negotiation materials; contract award recommendation document; notification of awarded contract; finalized contract; fair market value assessments for in-kind contributions; purchase orders; agreement for services; requisition permissions; correspondence; sole-source justification (if applicable); etc.
Electronic documents include Excel registries for competitive sourcing competitions and for awarded contracts; electronic documents stored on the share drive; scanned contracts, purchase orders and other scanned documents; email correspondence; etc.
Non-contract purchase orders for goods and services under $50,000 are not competitively bid. Records consist only of a purchase order (P.O.) and related records. These contracts are covered elsewhere under the retention schedule for purchase orders.
See also:
These records are created, used, retained and managed in accordance with the following authorities:
The total retention periods meet the University's responsibilities under the FOI / POP Act (RSBC 1996, c. 165, s. 31), the Limitation Act (RSBC 1996, c. 266), the Income Tax Act (RSC 1985, c. I-3.3 (15th Supp.) c.1, s.230(4)), and requirements of the Canada Foundation for Innovation (CFI).
Competitive sourcing case files are organized by project name. Contract case files, including sole source contract files, are organized by vendor name. Case files are named according to naming conventions that contain several elements, which may include the business name of the vendor.
Records related to the RFX (Request for Proposal, Information, or Quotation) are stored separately from those related to the authorized contract. The RFX file is closed when a contract has been finalized and awarded to a successful bidder, and when all unsuccessful bidders have been notified.
The contract case file is closed when all the terms of the agreed-upon contract, including any extensions, renewals or clauses of idemnity, have been completed or have expired. The contract case file may contain the finalized RFX related to the approved contract.
Paper and/or electronic copies of contracts and related records may be sent to university departments for information purposes. Copies held by all other departments should be retained for the term of the contract + 1 year and destroyed when no longer administratively needed.
VITAL RECORDS
Contract case files for projects over $1 million are material to the university and are considered vital records while the contract is active. Ensure that back-up copies of contracts deemed material to the overall operations and fiscal management of the university are created and stored in a secure offsite location.ELECTRONIC RECORDS
Records creators should note that this RRSDA applies equally to paper and electronic records and that they are responsible for deleting any records maintained in electronic form at the expiration of the total retention period (e.g. PDF versions, spreadsheets, database records, e-mail correspondence, etc.). Maintaining electronic copies of records with third-party business information, SFU confidential information, and personal information after the recommended retention period places an undue burden on the University to continue to guard against the unauthorized access, use and disclosure of that information in accordance with the FOI/ POP Act. In addition, retaining records longer than needed can harm SFU's legal interests in the event of litigation.ORGANIZING COMPETITIVE SOURCING CASE FILE RECORDS FOR TRANSFER
When organizing closed competitive sourcing files for transfer to the URC, please use the Excel Competitive Sourcing Registry or other means to identify CFI-funded projects, pack them in a separate box from all other competitive sourcing case files, and itemize all files contained in the box.ORGANIZING CONTRACT CASE FILE RECORDS FOR TRANSFER
When organizing closed contract files for transfer to the URC, please use the Excel Contracts Registries to identify material contracts for projects exceeding $1 million, pack them in a separate box from contracts of lesser monetary value, and itemize all files contained in the box.TRANSFERRING PAPER RECORDS TO THE URC
At the end of the active retention period, box and transfer the paper files to the University Records Centre (URC). For each box prepare a box contents listing, itemizing all files contained in the box. Always include ONE copy of the file list inside the box sent to the URC taped to the underside of the lid; keep ONE copy for your own records; and send ONE copy (paper or electronic) to the Archives (see Procedures for Transferring Records to the University Records Centre).TRANSFERRING ELECTRONIC RECORDS TO THE ARCHIVES DIGITAL REPOSITORY
Electronic records related to material contracts and the Excel Registry for Contracts exceeding $1 million can be transferred to the archives' digital repository. Please see "Electronic records transfer procedures" on Archives' website for details (TBD) in 2015/2016.RRSDA is in force.
Approved by the University Archivist: 28 Oct 2014