Supplier Suspension Protocol

• Drafted: June 10, 2024
• Effective Date: January 1, 2026
• Last Revision Date: January 2026

1. Purpose and Interpretation

The purpose of this protocol is to set out the process for suspending Suppliers from participation in the County’s Procurement processes. Defined terms used in this protocol have the meaning assigned in the Schedule 1 - Glossary of Terms.

2. Application

In order to ensure that the County is receiving quality Deliverables and value for public money and is dealing with Suppliers that conduct business in a professional and ethical manner, the County may suspend Suppliers from participating in its Procurement processes for prescribed time periods.

A decision to suspend a Supplier must be made in accordance with this protocol, must be supported by evidence, and must be based on the reasons and factors set out below.

Suppliers are responsible for any employees, representatives, agents, or subcontractors that are acting on their behalf and all references to the actions or conduct of the Supplier under this protocol include the actions of any individual or entity acting on behalf of the Supplier.

3. Reasons for Suspension

3.1 Crimes or Offences

If a Supplier is convicted of serious crimes or other serious offences, including bid-rigging, price-fixing or collusion, fraud, or other statutory offences, the County will suspend that Supplier from participating in future Procurement processes.

3.2 False Declarations

If a Supplier includes false or misleading information in its Bids, the County may suspend that Supplier from participating in future Procurement processes.

If a Supplier fails to disclose a Conflict of Interest in connection with a Procurement process or during the performance of a Contract with the County, and the County subsequently discovers that such a Conflict of Interest exists, the County may suspend that Supplier from participating in future Procurement processes.

The following non-exclusive factors should weigh in favour of suspension:

1. The Supplier knowingly made misrepresentations or failed to disclose a Conflict of Interest.
2. The misrepresentation or undisclosed Conflict of Interest resulted in the Supplier having an unfair advantage or otherwise compromised the integrity of the County’s Procurement process.

3.3 Poor Performance

If a Supplier performs inadequately under a Contract with the County, the County may consider suspending that Supplier in any of the following circumstances:

1. The deficiencies in performance were significant or persistent.
2. The Contract was terminated for performance issues prior to expiry.
3. There were unrectified performance issues on a Contract that resulted in extra costs to the County.
4. The Deliverables provided were defective or deficient, and either were not replaced or repaired, or required multiple repairs.
5. The County brought a litigation proceeding against the Supplier in connection with performance or non-performance of the Supplier’s contractual obligations.
6. The suspension of the Supplier has been recommended in accordance with the Supplier Performance Evaluation Protocol.

3.4 Professional Misconduct or Lack of Commercial Integrity

The County may suspend a Supplier for professional misconduct or acts or omissions that adversely reflect on the commercial integrity of the Supplier. Such conduct includes, but is not limited to:

1. unethical Bidding practices, such as inappropriate offers of gifts to the County’s officials, officers, employees, or agents and inappropriate in-process lobbying or prohibited communications during a Procurement process;
2. failing to perform Contracts in a professional and competent manner in accordance with the duty of honest performance and all applicable laws, including safety and labour codes; and
3. engaging in litigious conduct or bringing frivolous or vexatious claims in connection with the County’s Procurement processes or Contracts, including but not limited to, unreasonable cost or expense claims or unsubstantiated allegations impugning the integrity of the purchasing institution or its staff in relation to a Procurement process.

4. Process for Suspension

4.1 Suspension Report

Any decision to suspend a Supplier must be supported by a written Suspension Report that contains all details connected with the analysis of factors set out above.

The Suspension Report will be prepared by the Project Lead and will be reviewed by the General Manger, Corporate Services. The General Manger, Corporate Services, in consultation with the appropriate Director and legal counsel (if deemed necessary), for the County, may suspend the rights of any Supplier to Bid on any Formal Bid Requests.

4.2 Length and Scope Suspension

The Suspension Report must include the recommended length and scope of the suspension.

The length of the suspension period should be proportional to the reasons for the suspension and, in most cases, should not exceed a maximum of five (5) years. In the most serious of cases involving convictions for criminal or quasi-criminal offences, a suspension period of up to ten (10) years may be considered.

The scope of the suspension can be either a blanket suspension for all Procurement processes or a suspension limited to Procurement processes for specific Deliverables.

The scope of the suspension can apply to both corporate entities and individuals.

4.3 Supplier Notification and Opportunity to Appeal

The Manager of Purchasing Services will notify the Supplier of the decision to suspend and will provide the Supplier with a copy of the Suspension Report setting out the reasons for the suspension. The notice will advise the Supplier of its’ opportunity to respond to the suspension by submitting an appeal via bids&tenders to the Manager of Purchasing Services within eight business days of the date of the notice.

4.4 Decision of Appeal

In making a decision, the Chief Administrative Officer (CAO), the Treasurer and an impartial General Manager will consider the Suspension Report and any response submitted by the Supplier.

The Chief Administrative Officer (CAO), the Treasurer and an impartial General Manager may seek any additional information required and may consult with other staff, legal counsel, and other advisors, as necessary.

This decision is final.

4.5 Notice of Appeal Final Decision

The Supplier must be notified, in writing, of the final decision to suspend made by the Chief Administrative Officer (CAO), the Treasurer and an impartial General Manager.

The Manager of Purchasing will notify the Supplier of the decision by email.

5. Application for Reinstatement

A suspended Supplier may apply for reinstatement upon the completion of half of the original suspension period. For example, if the original suspension period was two (2) years, the Supplier may apply for reinstatement after one (1) year.

In order to apply for reinstatement, the Supplier must submit a written case for reinstatement to Purchasing Services, including supporting documentation if necessary, that provides reasons why the original reason for the suspension would no longer prove a risk for the County.

1. Applications for reinstatement are to be reviewed by the Chief Administrative Officer (CAO), the Treasurer and an impartial General Manager. If the Chief Administrative Officer (CAO), the
   Treasurer and an impartial General Manager determine that allowing the Supplier the opportunity to participate in the County’s Procurement processes would no longer expose the County to risk, then the application for reinstatement may be approved.
2. The Supplier must be notified, in writing, of the final reinstatement decision.

6. Suspended Suppliers List

Purchasing Services must maintain an up-to-date and current list of all suspended Suppliers. Any Supplier that is owned or controlled by the same individual(s) that owned or controlled a suspended Supplier at the time it was suspended is also considered suspended.

The list should contain, at a minimum:

1. the full name of the Supplier or individual, where an individual is suspended;
2. the names of the directors and officers of the Supplier, if applicable;
3. the reasons for the suspension;
4. the file number where the Suspension Recommendation Report is filed;
5. the scope of the suspension (in other words, blanket suspension or specific Deliverables); and
6. the length of the suspension period and the date of the expiry of the suspension period.

For any competitive Procurement process, Purchasing Services must check the suspended Suppliers list to ensure that Bids are not accepted from suspended Suppliers.

SCHEDULE 1 - GLOSSARY OF TERMS

“Bid” means a submission in response to a Solicitation Document, and includes proposals, quotations, or responses.

“Bidder” means a Supplier that submits a Bid and includes proponents and respondents.

“Conflict of Interest” means:

1. when applied to the activities of the County and its consultants and service providers: (i) a conflict between one’s private interests and one’s public, fiduciary, or contractual duties in relation to any procurement activity; or (ii) engaging in any conduct that may give another party an unfair advantage in a procurement process; or
2. in relation to a bidding process, a Bidder has an unfair advantage or engages in conduct, directly or indirectly, that may give it an unfair advantage, including, but not limited to: (i) having, or having access to, confidential information of the County in the preparation of its Bid that is not available to other Bidders; (ii) having been involved in the development of the Solicitation Document, including having provided advice or assistance in the development of the Solicitation Document; (iii) receiving advice or assistance in the preparation of its response from any individual or entity that was involved in the development of the Solicitation Document; (iv) communicating with any person with a view to influencing preferred treatment in the bidding process (including, but not limited to, the lobbying of decision-makers involved in the bidding process); or (v) engaging in conduct that compromises, or could be seen to compromise, the integrity of the open and competitive bidding process or render that process non-competitive or unfair; or
3. in relation to the performance of its contractual obligations, a Supplier’s other commitments, relationships, or financial interests: (i) could, or could be seen to, exercise an improper influence over the objective, unbiased, and impartial exercise of its independent judgement; or (ii) could, or could be seen to, compromise, impair, or be incompatible with the effective performance of its contractual obligations.

“Contract” means a commitment by the County for the Procurement of Deliverables from a Supplier, which may be evidenced by an agreement executed by the Supplier and the County, or a Purchase Order issued by the County to the Supplier.

“County” means the Corporation of Norfolk County.

“Deliverables” means any goods, services, or construction, or combination thereof.

“Division” means the branch, department, division, or unit of the County that is requisitioning the purchase of the Deliverables.

“General Manager” means an individual officer or employee who is responsible for a specific Department.

“Legal Services” means the County’s legal advisors.

“Manager of Purchasing Services” means the individual officer or employee who is responsible for Purchasing Services.

“Performance Evaluation Report” means a report evaluating a Supplier’s performance in accordance with the Supplier Performance Evaluation Protocol.

“Procurement” means the acquisition of Deliverables by purchase, rental, or lease.

“Project Lead” means an employee assigned to the management of a Contract.

“Project Lead Manager” means an individual officer or employee who is responsible for a specific Division.

“Purchasing Services” means the branch, department, division, or unit responsible for purchasing Deliverables for the County.

“Solicitation Document” means the document issued by the County to solicit Bids from Bidders.

“Supplier” means a person carrying on the business of providing Deliverables.