Request for Proposal & Funding Awards Process - Foundation Phase

Transcription

1 Request fr Prpsal & Funding Awards Prcess - Fundatin Phase

2 Table f Cntents 1 The INSITE Prgramme The Purpse f this Dcument Available Funds RfP Prcess - Rles and Respnsibilities The Independent Scientific Advisry Bard (ISAB) The Executive Cmmittee The Independent Audit Grup The Peer Reviewer(s) Request fr Prpsals Overview RfP Preparatin Preparing and Publishing the Pre-prpsal RfP Pre-prpsal RfP Dcumentatin The RfP Dcumentatin Review Prcess Develpment f the Time Frame Evaluatin f Prpsals Overview f the Evaluatin Prcess Evaluatin f Pre-prpsals and Full Prpsal Recmmendatins fr Funding Prpsals nt Recmmended fr Funding Independent Audit The Appintment f IAG The Frequency f Audit Audit Reprts The Peer Review Prcess The Appintment f Peer Reviewers The Respnsibilities f Peer Reviewers Executive Cmmittee Review Publicatin f INSITE Dcumentatin Appendix A: INSITE Nn-Disclsure and Cnflict f Interest Agreement Peer Review Nndisclsure Agreement Cnflict f Interest Agreement (Sheet 1 f 2) Cnflict f Interest Agreement (Sheet 2 f 2) Page 2 f 21 INSITE

3 1 The INSITE Prgramme During 2011 and 2012, Oil & Gas UK led the Decmmissining Baseline Study jint industry prject (JIP) t gather knwledge and experience in the decmmissining f ffshre structures and pipelines. The envirnmental wrkstream within the JIP identified that gaps exist in the data set used t describe the impact f fixed structures n the Nrth Sea ecsystem. In May 2013 in respnse t this situatin, Oil & Gas UK facilitated the creatin f a scientifically led, lng-term envirnmental JIP aimed at imprving scientific knwledge acrss all aspects f the ecsystem. In April 2014, eight energy cmpany spnsrs signed the JIP Agreement, marking the start f the prgramme. T demnstrate independence and transparency, the prgramme spnsrs are cmmitted t practively engaging with the brader stakehlder cmmunity f the Nrth Sea and make the findings available in the public dmain. Knwn as the INSITE Prgramme ( INfluence f Structures In The Ecsystem ), the JIP is a majr initiative, which seeks t prvide all stakehlders with the science needed t better understand the effect f man-made structures n the Nrth Sea and hence better infrm any future decisin making prcess. The verall f bjective f the study is: T prvide stakehlders with the independent scientific evidence-base needed t better understand the influence f man-made structures n the ecsystem f the Nrth Sea INSITE Page 3 f 21

4 2 The Purpse f this Dcument This dcument describes in detail the methdlgy, which will be applied in the INSITE Prgramme s Fundatin Phase t seek prpsals and award cntracts fr scientific research t deliver n the JIP s verall study bjective. It describes hw the tw main authrities within the JIP, the Independent Scientific Advisry Bard (ISAB) and the Executive Cmmittee cllectively cnfirm a research cntract award. Mst imprtantly it describes the gvernance mdel within the JIP, which demnstrates the independence f the ISAB, the prject s scientific authrity. The dcument has been jintly apprved by the Executive Cmmittee, made up f representatives frm the spnsring rganisatins, and the ISAB. The dcument presents: Rles and respnsibilities within the JIP The Request fr prpsal (RfP) and funding award prcess The rle and purpse f the Independent Audit Grup Page 4 f 21 INSITE

5 3 Available Funds The INSITE Prgramme will naturally be limited in its ability t perfrm research by the funds prvided by the spnsrs. Prir t issuing any RfP, the Executive Cmmittee will cnfirm t the ISAB the funds available fr research frm spnsrs cntributins, taking accunt prject management and ther supprt services necessary t deliver the gvernance f the prject. The ISAB will take accunt f available funds when perfrming its evaluatin f prpsals and demnstrate in its recmmendatins that the prpsed prgramme lies within the allcated budget. The Executive Cmmittee has respnsibility fr cnfirming the funding psitin during its review f the ISAB recmmendatins. INSITE Page 5 f 21

6 4 RfP Prcess - Rles and Respnsibilities 4.1 The Independent Scientific Advisry Bard (ISAB) The ISAB is appinted by the Executive Cmmittee as the independent bdy respnsible fr recmmending the scientific prgramme which will deliver the INSITE Prgramme s bjectives. It has specific respnsibilities as fllws: Develps and agrees the RfP and Cntracts Awards prcess with the Executive Cmmittee Develps and agrees the INSITE Scpe Framewrk with the Executive Cmmittee Reviews research prpsals and makes recmmendatins fr funding based n agreed RfP prcedure and available budget prvided by the Executive Cmmittee Sets and maintains scientific standards Ensures prpsals and utcmes are subject t peer review as necessary 4.2 The Executive Cmmittee The Executive Cmmittee is made up f a representative frm each f the rganisatins spnsring the INSITE Prgramme. It has the fllwing specific respnsibilities: Reviews and agrees the RfP and Funding Award prcess with the ISAB Reviews and agrees the INSITE Scpe Framewrk with the ISAB Determines verall prject philsphies Apprves key appintments Sanctins each phase f prject and funding request t spnsrs Cmmunicates available research funds t the ISAB Apprves funding recmmendatins made by the ISAB, based n agreed prcedure and available funds fr research 4.3 The Independent Audit Grup (IAG) The IAG is appinted by the Executive Cmmittee, in agreement with the ISAB at the start f the prject t audit the prcess fr requesting prpsals, reviewing prpsals and recmmending funding. It carries the fllwing specific respnsibilities: Has n ther interests in the INSITE Prgramme and is thus independent f the ISAB, spnsr grup and academia Primary rle t review executin f the RfP and Funding Award Prcess and identify nncnfrmance against this prcess Key reference is the RfP and Funding Award Prcess (this dcument) Perfrms an audit f the prcess fr all cntract awards and reprts t Executive Cmmittee and the ISAB 4.4 The Peer Reviewer(s) Scientific Peer Reviewers prvide assistance t the ISAB in reviewing and evaluating prpsal frm the research cmmunity. Appinted by the ISAB in accrdance with this prcess (see Sectin 8) Page 6 f 21 INSITE

7 Prvides specialist expert supprt t the ISAB in evaluatin f prpsals Makes recmmendatins in an advisry capacity t the ISAB n suitability f prpsals t deliver the INSITE bjectives Gverned by the prcess set ut in this dcument INSITE Page 7 f 21

8 5 Request fr Prpsals 5.1 Overview RfP Preparatin T prvide fr the efficient management f respnses received frm the public RfP prcess, the request and evaluatin f prpsals will be split int tw stages: Pre-prpsal and Full Prpsal, executed as fllws: i. The Pre-prpsal RfP frmat and wrding is agreed between the Executive Cmmittee and the ISAB ii. iii. iv. The Pre-prpsal RfP is published Pre-prpsal submissins are reviewed by the ISAB and a shrtlist prepared Shrtlisted respnders are invited t submit a Full Prpsal v. Full Prpsal submissins are evaluated by the ISAB vi. ISAB recmmends award f funding 5.2 Preparing and Publishing the Pre-prpsal RfP The Request fr Prpsals Prcess is shwn in Figure 1. It cnsists f the fllwing stages: Pre-sanctin The ISAB and Executive Cmmittee cnfirm: The RfP and Awards Prcess (this dcument); and The INSITE Scpe Framewrk RfP Stage 1 ISAB Drafts the Pre-prpsal RfP and supprting dcumentatin in accrdance with this dcument (See Sectin 5.3) RfP Stage 2 - Executive Cmmittee reviews the Pre-prpsal RfP against the agreed structure cntained in this dcument RfP Apprval Subject t the Pre-prpsal RfP develped by the ISAB reflecting the structure agreed in this dcument, the Executive Cmmittee apprves it fr publicatin. Pre-prpsal RfP Publicatin in selected scientific publicatins Page 8 f 21 INSITE

9 Figure 1 Develpment and Publicatin f the Pre-prpsal RfP INSITE Page 9 f 21

10 5.3 Pre-prpsal RfP Dcumentatin The Pre-prpsal RfP cnsists f the fllwing: Pre-prpsal RfP Advertisement Drafted by the ISAB, this is the advertisement that will be published in the scientific press and n the JIP web-site. The apprpriate publicatins will be selected by the ISAB. The INSITE Scpe Framewrk RfP Evaluatin Criteria Instructins t Bidders Prvides the scpe definitin t be used when respnding t the Pre-prpsal RfP and the subsequent Full Prpsal submissins and against which submissins will be evaluated. Used by the ISAB t evaluate the prpsals submitted in respnse t the RfP. Details f the RfP prcess and cmpliance requirements. Request fr Prpsals and This dcument Awards Prcess 5.4 The RfP Dcumentatin Review Prcess The ISAB is respnsible fr develping the Pre-prpsal RfP dcumentatin, including the supprting dcuments, which will be made available t bidders. Once cmplete the Pre-prpsal RfP dcuments are submitted t the Executive Cmmittee fr apprval. If the Executive Cmmittee cnsiders that the dcuments are nt cnsistent with requirements laid ut herein, it is referred t the Independent Audit Grup (IAG) fr an independent review. If the IAG finds the prcess is nt as agreed in this dcument, the ISAB is requested t mdify the Pre-prpsal RfP t cmply with the agreed prcess. 5.5 Develpment f the RfP Schedule The RfP schedule will be develped by the ISAB t ensure: Bidders have sufficient time t prepare Pre and Full Prpsals The ISAB has sufficient time t efficiently review and shrtlist the prpsals The ISAB has the pprtunity t enhance the prpsals fr example by identifying cmplimentary prpsals r cnsrtium pprtunities t enhance the utcmes Outcmes will be delivered within the Fundatin Phase f the prject Page 10 f 21 INSITE

11 6 Evaluatin f Prpsals 6.1 Overview f the Evaluatin Prcess The prcess f evaluatin is shwn in Figure 2 and cnsists f the fllwing stages: Pre-prpsal Evaluatin perfrmed by the ISAB t develp a shrtlist fr Full Prpsal submissins Full Prpsal Evaluatin perfrmed by the ISAB with specialist input frm nminated Peer Reviewers Recmmendatins fr Funding prepared by the ISAB fllwing cmpletin f the evaluatin f prpsals Executive Cmmittee Review A review f the funding recmmendatins reprt frm the ISAB Audit perfrmed by the Independent Audit Grup (IAG) n the evaluatin prcess carried ut by the ISAB Award 6.2 Evaluatin f Pre-prpsals and Full Prpsal The evaluatin f bth the Pre and Full Prpsals are the respnsibility f the ISAB. The prcess is illustrated in Figure 2. INSITE Page 11 f 21

12 Figure 2 Prpsal Evaluatin and Award Prcess Page 12 f 21 INSITE

13 6.2.1 The Pre-prpsal Evaluatin and Shrt List The evaluatin f the Pre-prpsal submissins is perfrmed slely by the ISAB membership with the bjective f develping a shrtlist f prpsals fr which Full Prpsals will be invited. Evaluatin criteria are presented in INSITE Pre-prpsal Evaluatin Criteria. The bjective f the Pre-prpsal is t attract a wide respnse frm the academic cmmunity and enable the prpsals, which are judged t best deliver the Prgramme s bjectives, t be shrtlisted. Institutins whse prpsals are shrtlisted will be invited t submit a Full Prpsal in a frmat defined by the ISAB. Thse institutins, which have submitted a prpsal at the Pre-prpsal stage, but are nt shrtlisted, will be ntified alng with feedback indicating why their prpsal was nt taken further. This feedback will be based n the criteria used t screen the submissins Full Prpsal Evaluatin The evaluatin f the Full Prpsals will be cmpiled in the Recmmendatins fr Funding Reprt which dcuments the cnclusins f the evaluatins fr review by the Executive Cmmittee. T supprt the Full Prpsal evaluatin and where the ISAB cnsiders it necessary, specialist Peer Reviewers may be engaged by the ISAB. The prcess and selectin criteria fr Peer Reviewers are summarised in Sectin 8. All reviewers, whether members f the ISAB r selected Peer Reviewers will be required t sign the INSITE Prgramme: Nn-disclsure agreement (see Appendix A), and Cnflict f interest declaratin (see Appendix A) These dcuments will be kept n the prject files fr reference. As part f the evaluatin prcess, the ISAB may cnclude that tw r mre prpsals shuld be integrated by frmatin f cnsrtia t imprve the utcmes frm the different prpsed prjects. The ISAB is at liberty t facilitate such cnslidatin; the grunds fr such actin r encuragement shall be included in the Recmmendatins fr Funding Reprt. INSITE Page 13 f 21

14 6.3 Recmmendatins fr Funding Fllwing cmpletin f their evaluatin f the Full Prpsals, the ISAB prepares a Recmmendatins fr Funding Reprt fr the Executive Cmmittee. This reprt summarises the ISAB s recmmendatins and will include: Overview f prcess, including lessns learned List f shrtlisted prpsals, including name f prpser(s), summary f prpsal, identificatin f key thematic areas cvered, estimated cst and duratin Summary f each Full Prpsal received, including: Name f investigatr and institutin r cnsrtium If a cnsrtium is being recmmended fr funding and has been facilitated by the ISAB, justificatin fr the frmatin f the cnsrtium shall be included Descriptin f prpsed research Estimated duratin and cst f prgramme List f key utcmes in rder f pririty Scring pr frma fr each prpsal Summary fr each Full Prpsal recmmended fr funding, including: Justificatin f award against the Scpe Framewrk Overall cnclusin why the prpsal is recmmended fr funding Cnfirmatin that the recmmended prgramme lies within the financial cnstraints f the JIP 6.4 Prpsals nt Recmmended fr Funding It is the respnsibility f the ISAB t prvide feedback t the unsuccessful bidders nce the funding awards have been cnfirmed. The ISAB will prepare a summary fr each Full Prpsal nt recmmended fr funding, including:: Descriptin f perfrmance f the prpsal against the verall INSITE bjective High scring areas f the prpsal Areas where the prpsal culd have been mre attractive t INSITE Page 14 f 21 INSITE

15 7 Independent Audit 7.1 The Appintment f IAG The IAG is appinted by the Executive Cmmittee with agreement frm the ISAB. The criteria fr selecting an apprpriate IAG are: The grup shall demnstrate that it has n cnflict f interest frm affiliatin with any rganisatin with interests in man-made structures in the Nrth Sea The grup shall have n invlvement in any advcacy psitin relating t man-made structures in the Nrth Sea The grup shall have a demnstrable track recrd in auditing against ISO standards r similar The grup shall be independent f the prject bth in terms f the JIP s management and administratin and ptential tendering rganisatins Once cmplete, the Executive Cmmittee shall reprt n the appintment f the IAG against these criteria. The rle and respnsibilities f the IAG are nted in Sectin The Frequency f Audit 7.3 Audit Reprts The Independent Audit Grup will perfrm an audit as fllws: If the Executive Cmmittee request it fllwing cmpilatin f the Pre prpsal RfP When the evaluatin f Full Prpsals is cncluded and the Recmmendatins fr Funding have been submitted t the Executive Cmmittee by the ISAB. This audit takes place fr all such evaluatin and award prcesses. Audit reprts prepared by the IAG will be published n the INSITE web-site. INSITE Page 15 f 21

16 8 The Peer Review Prcess 8.1 The Appintment f Peer Reviewers Peer reviewers are appinted by the ISAB t prvide specialist skills and knwledge t assist in the ISAB s evaluatin f prpsals. The ISAB may appint Peer Reviewer supprt at their wn discretin, but their appintment must be justified and they are required t perfrm their wrk in accrdance with the prcesses described in this dcument which cver the ISAB s wrk. The fllwing criteria fr appintment must be met: Peer reviewers must have n prfessinal relatinship with any rganisatin that has submitted a prpsal which has been shrtlisted and fr which a Full Prpsal has been submitted They must have demnstrably specialist skills and/r experience which is pertinent t the thematic areas cvered by the subject prpsal(s) 8.2 The Respnsibilities f Peer Reviewers The rle and respnsibilities f the Peer Reviewers is presented in Sectin 4.4. They are treated as members f the ISAB when they are engaged in the prpsal review prcess. Page 16 f 21 INSITE

17 9 Executive Cmmittee Review The Executive Cmmittee reviews the Recmmendatins fr Funding reprt prepared by the ISAB t allw frmal sanctin f the award f research cntracts. The Executive Cmmittee must satisfy itself that the evaluatins perfrmed by the ISAB have been perfrmed in accrdance with the prcess cntained in this dcument and that the prpsed prgramme is affrdable. In supprt f this, the IAG will prvide their wn reprt fllwing their audit f the cmplete RfP prcess. If the Executive Cmmittee cnsiders that the prcess has nt fllwed that agreed and specified in this dcument it shall refer its cncerns back t bth the IAG and the ISAB fr cnsideratin and respnse. If this review cannt reslve the cncerns, it is incumbent n the Chair f the Executive Cmmittee and the Chair f the ISAB t reslve the impasse befre the award can prceed. At any pint during the Executive Review stage, the Executive Cmmittee can request further infrmatin abut the prcess that has been fllwed by the ISAB in the curse f their evaluatin and develpment f their recmmendatins. Once the Executive Cmmittee is satisfied that the crrect prcess has been fllwed the cntract award is apprved and the award can prceed. INSITE Page 17 f 21

18 10 Publicatin f INSITE Dcumentatin The fllwing dcuments will be made available n the INSITE Prgramme s web-site : The RfP and Funding Award Prcess (this dcument) The INSITE Scpe Framewrk RfP Evaluatin Criteria Instructins t Bidders The IAG Audit Reprts A summary f funding awards The detailed reviews perfrmed by the ISAB will nt be made publicly available due t the sensitivities inherent in cmmercial prpsals. Cnfidential feedback will be prvided directly t the tendering rganisatins. Page 18 f 21 INSITE

19 Appendix A: INSITE Nn-Disclsure and Cnflict f Interest Agreement Peer Review Nndisclsure Agreement I agree t use the infrmatin prvided t me in my capacity as a Peer Reviewer (as defined in the dcument titled Request fr Prpsal and Funding Award Prcess Fundatin Phase by INSITE nly in my capacity as a Peer Reviewer as part f the INSITE Prgramme, t treat the infrmatin which may be cnfidential in nature in cnfidence and t nt use this infrmatin fr any ther purpse.. If in the curse f this review, I d acquire r have access t any infrmatin, data, r material which is business cnfidential, prprietary, r therwise privileged, and is s indicated in writing, I agree that such infrmatin will nt be divulged t any persn r rganizatin r utilized fr my wn private purpses r in any manner whatsever, ther than in the perfrmance f this INSITE Prgramme review: 1. withut the prir written permissin f the INSITE ISAB, r the rganisatin prpsing the wrk t INSITE, r 2. until such infrmatin, data, r material is first publicly disseminated by INSITE r the research institutin perfrming the wrk, r 3. is r becmes knwn t the public frm a surce ther than me, r 4. is already knwn t me r my emplyer as shwn by prir recrds, whichever shall first ccur. (Signature) (Printed Name) (Date) INSITE Page 19 f 21

20 Cnflict f Interest Agreement (Sheet 1 f 2) Yur designatin as an INSITE Prgramme reviewer requires that: 1. When yu handle prpsals r ther applicatins, yu must be aware f ptential cnflict situatins. Examples f ptentially biasing affiliatins r relatinships are listed n sheet 2 f this frm. Shuld any cnflict arise during yur review, yu must bring the matter t the attentin t a member f the INSITE Independent Scientific Advisry Bard (ISAB). That ISAB representative will determine hw the matter shuld be handled and will tell yu what further steps, if any, t take. 2. Since yur rle gives yu access t infrmatin nt generally available t the public, yu must nt use that infrmatin fr yur persnal benefit r make it available fr the persnal benefit f any ther individual r rganisatin. This is t be distinguished frm the entirely apprpriate general benefit f learning mre abut the INSITE Prgramme, learning frm ther reviewers, r becming better acquainted with the state f a given discipline. I have read the list f pssible cnflicts attached t this frm and understand that I must cntact the apprpriate INSITE ISAB representative if a cnflict arises during my term f service. I als will nt divulge any cnfidential infrmatin I may becme aware f during my term, and I cnfirm that I will cmply with the terms f the nn-disclsure agreement I entered int n r arund the date heref. I further understand that I must sign and return this Cnflicts Statement t the apprpriate fficial befre I may serve as a reviewer. I certify, t the best f my knwledge, I have n affiliatin r relatinship that wuld prevent me frm perfrming my INSITE Peer Review duties. Name (please print): Signature: Date: Date Received frm Reviewer: T be retained in INSITE Prgramme file. Page 20 f 21 INSITE

21 Cnflict f Interest Agreement (Sheet 2 f 2) AS AN INSITE REVIEWER, PLEASE REVIEW THESE EXAMPLES OF POSSIBLE CONFLICTS. 1. AFFILIATION WITH AN INSTITUION SUBMITTING A PROPOSAL TO INSITE. A cnflict may be present if yu have/hld: Current emplyment at the institutin as a prfessr, adjunct prfessr, visiting prfessr, r similar psitin. (This includes ther campuses f a multi-campus system, but a waiver may be available.) Current emplyment r are being cnsidered fr emplyment at the institutin. (This includes emplyment via cnsulting r advisry arrangement.) Any frmal r infrmal reemplyment arrangement with the institutin. Current membership n a visiting cmmittee r similar bdy at the institutin. (This is a cnflict nly fr prpsals r applicatins that riginate frm the department, schl, r facility that the visiting cmmittee r similar bdy advises.) Ownership f the institutin s securities r ther relevant evidences f debt. Any ffice, gverning bard membership, r relevant cmmittee chairpersnship in the institutin. (Ordinary membership in a prfessinal sciety r assciatin is nt cnsidered an ffice.) Current enrlment as a student. (Only cnflict fr prpsals that riginate frm the department r schl in which ne is a student.) Received and retained an hnrarium r award frm the institutin within the last 12 mnths. 2. RELATIONSHIPS WITH A RESEARCHER, PROJECT DIRECTOR, OR OTHER PERSON WHO HAS A PERSONAL INTEREST IN THE PROPOSAL OR OTHER APPLICATION. Knwn family r marriage relatinship. Business r prfessinal partnership. Emplyment at the same institutin within the last 12 mnths. Past r present assciatin as a thesis advisr r thesis student. Cllabratin n a prject r n a bk, article, reprt, r paper within the last 48 mnths. C-editing f a jurnal, cmpendium, r cnference prceedings within the last 24 mnths. 3. OTHER AFFILIATIONS OR RELATIONSHIPS Interests f the fllwing persns are t be treated as if they were yurs: An affiliatin r relatinship f yur spuse, r yur minr child, f a relative living in yur immediate husehld r f anyne wh is legally yur partner that yu are aware f and that wuld be cvered by Items 1 r 2 abve (except fr the receipt by yur spuse r relative f an hnrarium.) Any ther relatinship, such as clse persnal friendship, that yu think might tend t affect yur judgements r may be seen as ding s by a reasnable persn familiar with the relatinship. INSITE Page 21 f 21