Sample Invitation to Tender

Invitation to tender

Identification and dissemination of lessons learned by institutions participating in the Research Excellence Framework (REF) bibliometrics pilot

Background to the Council

1. The Higher Education Funding Council for England (HEFCE) was established in June 1992 under the terms of the Further and Higher Education Act 1992 as a non-departmental public body operating within a policy and funding context set by the Government. The Council assumed responsibility for funding higher education (HE) in England on 1 April 1993. The Council’s main function is to administer grant provided by the Secretary of State for Education. The Council funds education, research and the associated activities at universities and other higher education institutions (HEIs).

Background to the project

1. In December 2006, the Government announced that after the 2008 Research Assessment Exercise, there will be a new framework for research assessment and funding. The letter from the Secretary of State for Education and Skills to the Council provides further details, and outlines the features of the new framework:

1. HEFCE recently consulted on proposals for the REF (HEFCE 2007/34). The consultation closed on 14 February 2008. In the light of the feedback received we will continue to develop the REF, with two significant modifications to the proposals:

• the timetable for designing the new framework will be extended by 12 months to allow sufficient time for development
• there will no longer be such a clear distinction between the arrangements for science-based subjects and those for all other subjects; for all subjects the assessment will include some combination of metrics-based indicators, including bibliometrics where appropriate, as well as input from expert panels.

1. In May 2008 we issued Circular letter 13/2008 which set out our next steps in the light of the outcomes of the consultation and confirmed the two modifications above. The Circular letter, details the two modifications, and the analysis of responses to the consultation are now available on the HEFCE web-site at

1. HEFCE is working in partnership with the other UK HE funding councils on the development of the new arrangements.

1. We have recently launched a pilot of the bibliometric indicator for the REF; further details can be found on the REF section of the HEFCE web-site at

1. Following the pilot exercise and other development work, we plan to consult the sector during summer 2009, on the operational features of the REF. Our main areas of work over the next year, in preparation for this consultation, are to:

1. Complete the pilot of the proposed bibliometric indicator.

1. Develop options for light-touch peer review.

1. Consider proposals for other indicators of research quality or user value.

1. Investigate the requirements of HEI information systems to manage the REF.

1. Assess the accountability burden and equal opportunities implications of the REF.

1. Investigate and disseminate the wider lessons learned from the REF bibliometrics pilot.

1. This invitation to tender is for area f), however it will be important to interact with consultants appointed to assist us in the other areas of work. In particular, we are appointing consultants or partnering with other bodies to inform or manage our work in areas a), d) and e); it will therefore be important to maintain an open working relationship with other consultants and HEFCE to ensure that the burden is not excessive upon HEIs, particularly those participating in the bibliometrics pilot. HEFCE shall provide regular full briefings to the appointed consultants on all projects.

Services required

Aims

1. As we pilot the bibliometric indicator and develop proposals for the other elements of the REF, we wish to appoint consultants to gather structured feedback on, identify and disseminate the lessons learned by institutions in the bibliometrics pilot exercise, particularly in terms of the operational and strategic implications for institutions of using bibliometric indicators in the REF. HEFCE will be drawing its own lessons through its relationships with the pilot institutions and overview of the pilot process.

1. We wish to highlight those lessons institutions learned from the pilot process that are useful for non-pilot institutions and disseminate them to the UK HE sector, throughout the pilot process and in a variety of forms. This activity will be particularly important to enable the sector as a whole to understand the implications of using bibliometrics in the REF at an early stage, and avoid potential perceptions that pilot institutions may have an early advantage. It is important that tenderers can demonstrate a good understanding of the HE sector and the ability to foster good working relationships within it.

1. JISC have commissioned a project to identify the data collection implications for institutions of using bibliometrics in the REF. The consultant appointed by JISC will work with a sample of the pilot institutions to explore how their IT systems and data processes were able to respond to the data requirements of the bibliometrics pilot, and what further work and support institutions may require in future to meet data requirements for bibliometric analysis.

1. We expect the project we are commissioning through this invitation to tender to identify, explore and disseminate other key lessons learned by the pilot institutions and the key operational and strategic implications for institutions, including:

1. The strategic implications for institutions’ management of data about their research activity, and how this fits with other data requirements.[*]

1. The implications for research performance and management information that will be available to institutions, and use of the information (for example, for internal resource allocation).

1. The strategic implications relating to international and national benchmarking of research and the performance of institutions and the subjects within it, and the use of such information by other audiences.

1. Other key issues for institutional research management and strategy.

1. Note that we are investigating the accountability burden implications of our research assessment arrangements through separate work to review the accountability burden on HEIs more generally.

Timing, methodology and deliverables

1. The consultants will need to work closely with the institutions involved in the bibliometrics pilot both to identify and explore the issues, and to disseminate the lessons learned. The consultants will also need to work with HEFCE as it develops the REF proposals.

1. We have selected 22 HEIs to take part in the bibliometrics pilot (a list of institutions can be found at ). These institutions will be following the timetable outlined below. The pilot institutions are expecting to provide feedback on the process, to inform this and other projects, and to be involved in disseminating their experience for the wider benefit of the sector.

1. An outline timetable for the pilot and the project is as follows

1. The timetable for this project is:

• tender returns due 7 October 2008
• shortlisted bidders invited to interview 14 October 2008
• appoint and brief consultants, and agree methodology October 2008
• consultants begin interactions with HEI’s from November 2008
• interim report to HEFCE due January 2009
• dissemination activities November 2008 – May 2009
• final report due to HEFCE27 March 2009 (for publication in May 2009).

1. The contractor will be expected to provide progress reports to and take advice from the Technical Sounding Board, which meets approximately every two months. The Technical Sounding Board advises HEFCE and its contractors on how we run the bibliometrics pilot exercise (further details are available at

1. Tenders should propose how to gather the information required from and work with the pilot institutions in such a way as to minimise the burden, bearing in mind their workload in providing data, and that HEFCE and other consultants are likely to be seeking feedback from them in the same period.

1. We expect to organise several workshop sessions with the participating HEIs, likely to be during September 2008, November 2008, January 2008 and March 2009, to brief the institutions, discuss progress and gather feedback from them. HEFCE will arrange these workshops in consultation with our contractors. We normally expect two people from each pilot institution to attend. Consultants appointed to this project are expected to collaborate with the Council and the pilot consultants to facilitate these sessions and use them to gather feedback.

1. Tenders should also propose additional methods of gathering information, (for example, asking the pilot institutions to provide some written feedback).

1. Tenderers may also wish to involve non-pilot institutions and tenders should include proposals on how such institutions would be included.

1. We expect frequent contact with the contractors to receive updates and to brief the contractors on our evolving proposals. Tenders should propose how this can be achieved.

1. A key aim of this project is to disseminate lessons learned to the UK HE sector as a whole, working with the pilot institutions (who can be expected to contribute by, for example, delivering presentations on case studies from their own institution at events). Each pilot HEI will have approached the pilot in a different way. Learning should be disseminated with regard to an understanding of how different HEIs approached the process in order to contextualise the findings. The different lessons from the pilot will need disseminating to different audiences within institutions in a variety of different forms.

1. Tenders should propose how they will disseminate the information and ensure it will be useful to the sector more widely, including (but not necessarily limited to):

1. Presentations and events. HEFCE is sponsoring two national one-day events organised by King’s College London; one in November 2008 and one in April 2009. The events will focus on information management and other operational implications of bibliometrics for institutions. The appointed contractor will be expected to join the steering group that plans these events and to contribute to them, particularly the April 2009 event. Tenders should propose involvement in any other networks or events that they can usefully contribute to.

1. Materials that can be posted on the HEFCE REF web-site throughout the project.

1. A final report. The final output of the project should be a full written report, together with an executive summary presenting the key messages suitable for publication to a non-specialist audience. The final report will be due by 27 March 2009 for publication by HEFCE in May 2009 (alongside our consultation proposals and other supporting reports).

1. Tenders are welcome to propose additional dissemination activity.

1. The appointed consultants may also be required to give presentations at HEFCE consultation events (expected in June 2009) on the details of their findings. Tenderers should therefore set out their capabilities to undertake this additional work if required, and what the additional costs of doing so are likely to be. This further work, if required, would be subject to an additional contract with the appointed consultants. However, HEFCE will not guarantee that we will require such additional work from the appointed consultants.

Tender requirements

1. Tender responses should provide the information set out in the following paragraphs:

Capacity

1. The professional experience and expertise within your organisation relevant to the project, particularly the experience your organisation has in working closely with the HE sector.

1. The nature of your organisation. If the tender is submitted on behalf of a consortium, list the members of the consortium and identify the lead member and a point of contact.

1. The size of your organisation and its current turnover. Where the tenderer is a consortium, this information is required for each member.

1. Details or CVs of your staff who will undertake the work.

1. Any other details about your organisation you feel may be relevant.

(The above information is not required for organisations that are already part of the HEFCE Framework Agreement for the development of the REF.)

Project plan

1. How you will work closely with HEFCE, HEIs and other consultants working with HEFCE on the bibliometrics pilot.

1. What information you will need to gather and the methodology for this. In particular, how you will go about identifying the key issues and lessons learned by the pilot HEIs, in a way which minimises the burden on them.

1. How you will disseminate the lessons learned throughout the project.

1. The timescale to complete the project.

1. A risk assessment of your proposed approach and how you will mitigate any key risks.

1. An outline of your capabilities to undertake the presentation roles.

Pricing structure

1. The Council wishes to agree fixed prices for the work outlined. Tenderers should indicate how they propose to charge for expenses if these are to be presented as an additional item.

1. The Council’s preference is to pay for the work on completion. If tenderers seek payment by instalments, then the Council will expect to see such payments associated with the delivery of identifiable products or the achievement of clearly defined milestones. Tenderers should indicate how this requirement will be met.

1. The Council accepts that the price for further dissemination activities, such as the cost of attending consultation events, will depend on the option it chooses to pursue.However, tenderers should state the basis on which they would price this additional work, and quote indicative prices.

Further information

1. An outline of the bibliometrics pilot, including the list of participating HEIs is on our web-site at:

1. Further information on the operation of the pilot can be obtained from Pam Macpherson-Barrett, e-mail , tel 0117 931 7471. Please also call Pam for any other queries relating to this invitation to tender. Answers to specific queries and advice given will be circulated to all prospective tenderers.

Freedom of Information Act 2000

1. Please be aware that as a public body, HEFCE is subject to the Freedom of Information Act 2000 (FOI). Our policy is to fully disclose tender information in compliance with the FOI, if an FOI Act request is received. However, we will not disclose any information that forms part of this tendering process until the final award of the contract and all unsuccessful bidders have been informed.

1. There may be elements of your tender submission which you consider to be potentially commerciallysensitive and would not want them to be disclosed. The FOI Act does allow certain exemptions related to trade secrets and commercial interests (see www.foi.gov.uk for further details). Therefore, where you consider tender information falls into this category, please extract the information and insert it into a separate annex, which we will treat as being potentially commerciallysensitive, but you should refer to it in the main body of the tender. When HEFCE consider it to be appropriate and practicable, we may seek the views of the contractor before disclosing information in this annex. The contractor acknowledges that information provided in this annex is of indicative value only and that HEFCE may nevertheless be obliged to disclose this information in accordance with the requirements of the FOIAct. All information in the main tender documents would be disclosed should a request be received.

Procedure for tender selection

1. Six copies, including one unbound copy, of tenders should be sent to the Council in the secure envelope provided to arrive by 1200 on Tuesday 7 October 2008. If you downloaded this tender from HEFCE’s web-site, you should contact Lauren Fox (, tel 0117 931 7315) to request a tender envelope.

1. Tenders must be accompanied by a signed certificate of non-collusion, set out in the form given in Annex A to this tender.

1. The Council may invite one or more tenderers to an interview to further explain their service and how they can meet the Council’s needs. Such interviews will be held at the Target Space, Centre Point, London on Tuesday 14 October 2008.

Selection criteria

1. The contract will be awarded to the consultant(s) who demonstrates the following criteria (in no particular order):

• understanding of our requirements and the development of the REF
• appropriate methodology, taking account the need to work closely with HEFCE and other consultants if appropriate, and to establish positive and productive working relationships with HEIs
• value for money.

Annex A to invitation to tender

Certificate of non-collusion

We certify that:

1. The prices in the tender have been arrived at independently, without consultation, communication, agreement or understanding for the purpose of restricting competition, as to any matter relating to such prices, with any other tenderer or with any competitor.

1. Unless otherwise required by law, the prices which have been quoted in the tender have not knowingly been disclosed by the tenderer, directly or indirectly, to any other tenderer or competitor, nor will they be so disclosed.

1. No attempt has been made or will be made by the tenderer to induce any other person or firm to submit or not to submit a Tender for the purpose of restricting competition.

1. No attempt has been made directly or indirectly to canvasses any employee or adviser of the HEFCE concerning the award of the contract which is the subject of this invitation to tender.

Signed:

Name:

Date:

On behalf of:

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[*]In the pilot we are experimenting with a range of models and we have asked HEI’s to provide a wider range of data than will be required in the final exercise. In drawing out the lessons, the contractor should bear in mind that some types of models or data will not be pursued beyond the pilot.