Deliverable D5.7: Consolidated Generic Pre-Commercial Procurement Templates

Transcription

1 Deliverable D5.7: Consolidated Generic Pre-Commercial Procurement Templates Consolidated Generic Pre-Commercial Procurement Templates (1-15) Annex: SILVER Examples of Artefact Documents Nature of deliverable/milestone: Templates Dissemination level: PU Delivery date: 14 th October 2016 Status: Final version Author: Lundström, J & Widmark, N (editors) 1

2 Document revision history Version Date Author Summary of main changes Johan Lundström and Nina Widmark (editors) Johan Lundström and Nina Widmark (editors) Johan Lundström and Nina Widmark (editors) Johan Lundström and Nina Widmark (editors) First draft Second draft Third draft Final version Approvals for final version (for deliverables and milestones) Contributor Name Organisation Date Distribution list Name Way to distribute Comments European Commission Project Coordinator Project Coordinator Consortium Members WP Members [Electronic copy via Extranet or , Print ] Notes Dissemination levels: PU = Public PP = Restricted to other programme participants (including the Commission Services) RE = Restricted to a group specified by the consortium (including the Commission Services) CO = Confidential, only for members of the consortium (including the Commission Services) 2

3 Consolidated Generic PCP Templates TABLE OF CONTENTS 1. Invitation to Tender Template 4 2. Challenge Brief Template Guidance Template Tender Form Template Questions and Answers Template Example Framework Agreement End of Phase Report Form Template Invitation to Information Meeting Template Guidance for Assessors Template Score Sheet Decision Notice Template Call for Bid Phase 2 Template Bid Form Template Bid Decision Notice Template Call for Bid Phase Annex: SILVER Examples of Artefact Documents 154 I. Contractor Activity Monitoring Template (Annex_I) 155 II. Phase 2 Questionnaire for Contractors Template (Annex_II) 187 III. Phase 2 Test Report Template (Annex_III) 189 IV. Phase 3 Testing Procedure Guidelines (Annex_IV) 211 V. Phase 3 Testing Recruitment Guidelines (Annex_V) 217 VI. Phase 3 Consent Form for Test Users (Annex_VI) 222 VII. Phase 3 End-User Handout (Annex_VII) 225 VIII. Phase 3 Testing Questionnaire for Care Staff Template (Annex_VIII) 227 IX. Phase 3 Questionnaire for Test Users Template (Annex_IX) 231 X. Phase 3 Test Report Template (Annex_X) 243 3

4 [Insert name of PCP here] Invitation to Tender Invitation to Tender Template (Invitation to Tender_1) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 4

5 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Invitation to Tender This Invitation to Tender should be read in conjunction with other documents associated with this PCP [insert reference number see above right hand corner]. These and all associated documents can be downloaded from [insert address to relevant web page here]. Summary Interested legal entities are invited to tender for development project contracts in this PCP, with the aim to develop new solutions addressing [insert formulated challenge] as outlined in the Challenge Brief [insert name of Challenge Brief] (Challenge Brief_2). The Challenge Brief also contains details on background, challenge and expected outcomes of the projects. [This PCP is open to all legal entities from the EU and associated countries.] If a tender is submitted by a consortium that does not in itself constitute a legal entity, all consortia members shall sign the tender and, if applicable, the contract, making them jointly and severally liable. When tendering for this call, bear in mind that the tendered price should reflect the fact that the intellectual property rights stay with the contractor as provided for in the contract. Time Frame, Impact and Budget Tenderers should aim at a market introduction of their new solution a maximum of 2-4 years after the end of the PCP. In 20[XX], the new solutions should [insert challenge impact goals]. In total, [insert budget for the PCP contracts] is reserved for the PCP contracts. 5

6 Content An introduction to the PCP... 7 Framework agreement and budget... 8 Contracting authority... 9 Special conditions for performance of contract... 9 Administrative instructions Tender submission Preliminary time schedule Questions Conformance to Contract Agreement Subcontractors Validity of tenders Disclaimer Exclusion criteria Minimum requirements Assessment of tenders General assessment process Assessment criteria and weighting Confidentiality, publicity and information about the award Distribution of IPR resulting from the project Judicial review List of documents Appendix: Scoring model

7 An introduction to the PCP Pre-Commercial Procurement (PCP) is a competition-like procurement method which enables public sector bodies to engage with innovative businesses and other interested organisations in development projects, to arrive at innovative solutions that address specific public sector challenges and needs. The new innovative solutions are created through a phased procurement of development contracts to reduce risk. A PCP aiming at contracts for research and development services falls outside the scope of the two EU procurement directives; see Utilities Directive 2004/17/EC, Article 24 (e), and Public Sector Directive 2004/18/EC, Article 16 (f).research and development services will be financed at market price, thus providing business with a transparent competitive and a reliable source of early-stage financing, and the opportunity to establish an early customer, for a new solution. Since PCP focus on specific identified needs, the chance of exploitation of developed solutions increases. The PCP method is suited to tenderers of all sizes, including small and medium-sized ones, as the contracts are of relatively small value and operate on short timescales. In a PCP, R&D services are procured. 1 R&D can cover activities such as solution exploration and design, prototyping, up to the original development of a limited volume of first products or services in the form of a test series. Original development of a first product or service may include limited production or supply in order to incorporate the results of field testing and to demonstrate that the product or service is suitable for production or supply in quantity to acceptable quality standards. R&D does not include commercial development activities such as quantity production, supply to establish commercial viability or to recover R&D costs, integration, customisation, incremental adaptations and improvements to existing products or processes. In this PCP, tenders will be selected by an open competition-like procurement process and awarded research and development contracts. Selected contractors will retain intellectual property generated from their projects, with certain rights of use retained by the contracting authority (or authorities, as the case may be). 1 According to the OECD Frascati Manual, the term R&D covers three activities; basic research, applied research and experimental development [ ] Basic research is experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundation of phenomena and observable facts, without any particular application or use in view. Applied research is also original investigation undertaken in order to acquire new knowledge. It is, however, directed primarily towards a specific practical aim or objective. Experimental development is systematic work, drawing on the existing knowledge gained from research and/or practical experience, which is directed to produce new materials, products or devices, to installing new processes, systems and services, or to improving substantially those already produces or installed. R&D covers both formal R&D in R&D units and informal or occasional R&D in other units. For further discussion on the definition of R&D, see OECD s Frascati Manual (latest edition: 2002: Frascati Manual, Proposed Standard Practice for Surveys on Research and Experimental Development). 7

8 Framework agreement and budget This PCP will result in framework agreement with three phases: Solution Exploration, Prototyping, and Test Series. The framework agreement sets out the conditions (rights and obligations between contracting authority and contractors) for the entire duration of the PCP. [Insert name of contracting authority] will sign framework agreement with circa [insert number, e.g. 8-10] contractors to provide services for the PCP and for Phase 1. Following the completion of Phase 1, the contracting authority will make a call for bids for R&D services for Phase 2 from contractors that have successfully completed Phase 1 (that is, provided an approved report from Phase 1). Contracts will be awarded to [insert range, e.g. 4-6] tenderers. Upon completion of Phase 2, a corresponding call for bids for Phase 3 will take place, aiming at awarding [insert range, e.g. 2-3 ] Phase 3 contracts. The assessment criteria and weighting for Phase 1 is set out in this Invitation to Tender. The criteria and weighting for the awards of contracts for subsequent Phases will be based on these, but may be elaborated or developed in further detail within those frames. (Please see Assessment of Tenders below.) - Phase 1 is intended to demonstrate the feasibility of proposed concepts for new solutions. The contracts placed for Phase 1 will be for the duration of [insert number of months]. A budget of [insert value] is available for [insert number, e.g. 8-10] projects in phase 1. - Phase 2 is intended to develop and evaluate prototypes or demonstrators from the more promising concepts in Phase 1. Phase 2 is dependent upon successful completion of Phase 1 and contracts may be awarded to selected Phase 1 contractors. It is anticipated that the budget will be [insert value] for [insert number, e.g. 4-6] projects. In Phase 2, testing will generally be done in a lab environment. - Phase 3 is intended for the original development of a limited volume of first products/ services (test series). Contracts for Phase 3 may be awarded to selected Phase 2 contractors that have successfully completed Phase 2. For this phase, [insert value] the budget is estimated to be available for [insert number, e.g. 3] projects. Tenders should contain a detailed description for Phase 1, but also include goals and outline plans (including price conditions) for Phases 2 and 3, as an explicit part of the path to full commercial implementation. [Insert descriptions of any special conditions of the PCP, such as a payment schedule. Also add information on how testing will be performed in phase 2 and phase 3]. 8

9 Contracting authority Describe the contracting authority in brief. If the contracting authority is the legal body fronting a consortium, describe the consortium members in brief, clarify the relationship amongst them and the process to come. Also clarify the user rights per consortium member. If the consortium is transnational, include information about specific market conditions so that potential tenderers can calculate the market potential. If the contracting authority is a single entity, and other authorities will take part in the project and its results only by virtue of contractual arrangements between themselves and the contracting authority, this should also be clarified in the invitation. Contracting Authority is [insert name of contracting authority]. Special conditions for performance of contract Adjust and amend this paragraph and the contract if other special conditions for performance of the contract are to be used. The example below is for the location of the performance of the R&D services. - For Phase 1 at least [insert number] % of the R&D services shall according to the contract be performed within the European Economic Area, or a country having concluded a Stabilisation and Association Agreement with the EU. - For Phase 2 at least [insert number] % of the R&D services shall according to the contract be performed within European Economic Area, or a country having concluded a Stabilisation and Association Agreement with the EU. - For Phase 3 at least [insert number] % of the R&D services shall according to the contract be performed within European Economic Area, or a country having concluded a Stabilisation and Association Agreement with the EU The tenderer shall confirm that this contractual requirement can be honoured and fulfilled. Please see (Framework Agreement_6) for more detailed information. Hint. Other possible special conditions can concern environmental, ethical or social requirements. For these, insert a special contractual condition. Tenderers must have an established policy (and routines) for handling such issues, either for their legal entity, or for the specific PCP project. 9

10 Administrative instructions Tenders that do not comply with the administrative instructions will be excluded from further participation in the PCP. Tender submission State how the tenders are accessed and submitted, ensure this is consistent with the declaration on the Tender Form_04. EXAMPLE: expand depending on chosen method for receiving tenders. Below is an example of handling the tenders electronically. All tenders shall be made using the Tender Form (Tender Form_4) which may be accessed via [insert how to access Tender Form, e.g. via a web page]. All tenders must be submitted in accordance with the directions at [insert how to find directions, e.g. via a web page]. Tenders will be assigned a reference number. It should be noted that you will need it for all subsequent enquiries. If your tender is successful, this reference number will stay with the project for its duration. Tenderers are strongly advised to read the PCP Guidance (Guidance_3) before completing the Tender Form (Tender Form_4). Tenders shall be received at no later than the closing date for the PCP, [insert time] CET on [insert date]. (See next section for a full preliminary time schedule for the PCP). Tenders received after the closing date for the PCP will not be evaluated. Please do not send completed tenders by post or any other means other than as directed. For more information on how to tender, please see: [Insert web page] [insert] Telephone: [insert] Preliminary time schedule Insert key dates and activities. Examples only. Date [Insert date] [Insert date] Activity Tendering period opens Information meetings 10

11 [Insert date] [Insert period/ dates] [Insert date] [Insert date] [Insert period/ dates] Deadline for tenders Assessment by experts Decision panel meeting Tenderers notified of decisions Contracts sent If possible, insert key dates for the rest of the PCP, as far as planned. Date Activity [Insert date] [Insert date] [Insert date] [Insert date] [Insert date] [Insert name of contracting authority] reserves the right to adjust the time schedule if necessary. This will be timely communicated to tenderers. Questions When the tender period opens, a questions and answers document, (Questions and Answers) will be available at [insert web page or similar]. A contact point has been set up to answer questions from tenderers that are not covered in the Questions and Answers document, or need elaboration. All questions concerning the PCP challenge, the scope and the tender process should be addressed to the contact point: [insert] Telephone: [insert] Please quote the tender reference when contacting us to help us answer the query. Questions or requests for clarification concerning this Invitation to Tender must have been received by the above contact point not later than seven working days prior to the closing date for tenders. After this date, no further dialogue will be entered into. A summation of all questions and answers addressed to the contact point will be added to the Frequently Asked Questions Document (Questions and Answers _V) at [insert web page]. The updated Questions and Answers document will also be distributed to all tenderers who have ordered the tender documents. The identity of the questioner will not be disclosed. 11

12 Hint: If the PCP is transnational, a database available to all members of the procurement consortium should be used where incoming questions are collected and documented. The members of the consortia can then discuss and compile the answers in order to give a uniform response, maximize transparency and minimise the risk of discrimination. Conformance to Contract Agreement An agreement will be entered into only by means of a written contract, signed by both parties. By submitting a tender, the tenderer accepts to be bound by the undertakings and conditions of the Contract Agreement (Framework Agreement_6). The tender may not contain any reservation in relation to the conditions of the Contract Agreement. Tenders shall be based on the conditions contained in the Contract Agreement and the other contract documents. Subcontractors The tenderer shall in his tender, state which parts of the scope of the procurement contract, if any, he intends to subcontract other suppliers or contractors for. A tenderer that wishes to rely on the resources of any subcontractor for the fulfilment of the requirements for participation in the PCP (and, where, applicable, an awarded contract), should, upon the request of the procuring authority, in a satisfactorily manner demonstrate that these resources will be available to him. One way of demonstrating this is to submit a written commitment from such subcontractor showing that the resources of the subcontractor will be at the tenderer s disposal for the full duration of the contract. Validity of tenders Tenders shall remain valid up to and including [insert date and year]. Disclaimer The procuring agencies assumes no obligation, whatsoever, to compensate or indemnify the tenderers for any expense or loss they may incur in the preparation of their tenders (except as may follow from mandatory provisions of law). Furthermore, [insert name of contracting authority] reserves the right to cancel the procurement e.g. if tender prices exceed allocated budgets of the authority or if prices are clearly disproportionate. 12

13 Change of subcontractors If the tenderer needs to change or add new subcontractors, these new partners will have to prove that they have at least the same competence as the subcontractors or partners they will replace and that they comply with the with all the contractual conditions, rights and obligations that and specific contracts: e.g complying with the place of performance conditions, respecting the same IPR conditions, the binding prices. In any case, no change of subcontractor shall be possible if The change would lead to a reduction of PCP participants below the minimum number [insert number e.g. 4/3/2] in [insert phase 1/2/3] and/or The envisaged new subcontractor previously withdrew from the tender or was in Default under the Framework Agreement or under one or more of the awarded contracts of this procedure, or was excluded of blocking reasons or does not meet minimum requirements and/or The change might, in the opinion of the Contracting Authority, lead to IPR/Confidentially issues (i.e. if associated participants selected for Phase 1 decide to continue for another tenderer) and/or The envisaged new subcontractor would take more than [e.g. 25%] of the contract value for Phase 2 or more than [e.g. 15%] of the contract value for Phase 3. Change of consortium members The composition of the consortium may only be changed with the consent of the Contracting Authority. The Contracting Authority may its discretion based on objective reasons, decide whether to allow such changes and may consent only under conditions (e.g. that a participant leaving a consortium declares that the provisions on IPR and joint liability etc. still apply also to the leaving participant with regard to services already rendered). In any case, no change of the composition of the consortium shall be possible if the change in the consortium would lead to a reduction of PCP participants below the minimum number [insert number e.g. 4/3/2] in [insert phase 1/2/3] and and/or a new participant previously withdrew from the tender or was in Default under the Framework Agreement or under one or more of the awarded contracts of this procedure or was excluded because of exclusion criteria or does not meet minimum requirements and/or the change might, in the opinion of the procuring authority, lead to IPR/Confidentiality issues (i.e. if associated participants selected for Phase l decide to continue as individual entities or to join other consortia) and/or a joining entity would become the leading entity and/or a joining entity would take more than [e.g. 25%] of the contract value for Phase Il or more than [e.g. 15%] of the contract value for Phase III. 13

14 Without prejudice to the minimum percentage of participation in the grouping that with be indicated below, throughout the procedure, the tenderers may change their shares in a grouping as long as they meet the requirements to fulfil the additional tasks. The composition of the association may in general only be changed in the tendering phase for Phase Il and III (and not during the execution of the contracts for Phase 1, 2 and 3). However, a change during the execution of the contracts for Phase 1, 2 and 3 may be allowed by the procuring entity in the case of corporate restructuring operations or insolvency of a consortium member. Exclusion criteria A tenderer will be excluded from further participation in the PCP if it or any subcontractor on whose resources it relies upon in this procurement: Is bankrupt or is being wound up, is under compulsory administration or is the subject of a composition or has indefinitely stopped its payments or is subject to a prohibition on conducting business, Is the subject of proceedings for a declaration of bankruptcy, for an order for compulsory winding up or administration by the court or composition or any other similar proceedings, Has been convicted by a judgment which has the force of res judicata for an offence relating to professional practice, Has been guilty of grave professional misconduct and the authority can prove this, or Has not fulfilled its obligations relating to social insurance charges or tax in its own country. In some material respect has failed to provide information requested or provided incorrect information required pursuant to this invitation to tender document. Tenderers shall explicitly assure that they are not subject to any of the exclusion criteria in bullets 1-5 above. Please see document Tender Form_4. If [insert name of contracting authority] becomes aware that a tenderer, a representative of the tenderer, or subcontractor, under a judgment that has entered into final legal force has been sentenced for a criminal offence listed below, such tenderer will be excluded from the PCP: Criminal offences referred to in Article 2 of Council Framework Decision 2008/841/JHA of 24 October 2008 on combating organized crime. Corruption as defined in Article 3 of Council Act of 26 May 1997 preparation on the basis of Article K.3.2 c Treaty on European Union, the Convention on the fight against corruption involving officials of the European Communities or officials of Member States of, and Article 3.1 Council Joint Action 98/742/JHA of 22 14

15 December 1998 adopted by the Council on the basis of Article K.3 of the Treaty on European Union, on corruption in the private sector. Fraud within the meaning of Article 1 of the Convention drawn up on the basis of Article K.3 of the Treaty on European Union for the Protection of the Communities' financial interests. Money laundering as defined in Article 1 of Council Directive 91/308/EEC of 10 June 1991 on measures to prevent the financial system for money laundering, amended by European Parliament and Council Directive 2001/97/EC. Minimum requirements If desired, add requirements concerning the tenderers experience, technical ability or capacity, financial standing. Such requirements should however be used with the utmost discretion to ensure the participation or allow participation from small and/ or new legal entities. Requirements regarding the specific PCP can also be added here. The [insert name of contracting authority] requires that the tenders meet certain minimum requirements as listed below. This procurement is carried out under the explicit exemption for R&D services under article 16(f) of the EU public procurement directive 2004/18/EC. Tenderers are kindly asked to observe that the object of the procurement thus is restricted to cover research and development services (basic research, applied research, and experimental development), and not products or other supplies, or commercial development activities. 2 For further information about what is considered to be R&D services, please see the Frascati Manual, Proposed Standard Practice for Surveys on research and Experimental Development (OECD, latest edition 2002). It is an absolute requirement that the services offered by the tenderer are within the scope of the above definition of R&D services. The tenderer accepts, upon request from the contracting authority, to provide complete and clear information about the allocation of monies paid by the contracting authority, in order to allow control of this requirement being fulfilled (that the contract value is attributable directly and exclusively to legitimate R&D services), whether during the procurement period or 2 The contract price that is offered can thus only include items that are inseparable from, and indispensable to, the R&D services that are purchased. Please refer to the section on 'Fixed Price Breakdown' in the tender form for information on items that can be included in the contract price, in addition to the labour price for executing the R&D activities needed to address the PCP challenge. Examples are price of equipment needed to develop the prototypes or test products, price for installing such prototype or test equipment on the procurer's premises for the duration of the test phase, the price of travel and accommodation to test sites). Please note that contracts providing more than only services are only still considered a public service contract if the value of the services (in this case the labour price for executing the R&D activities needed to address the PCP challenge) exceeds that of the products covered by the contract (e.g. equipment needed to perform the R&D service as explained above). 15

16 during the contractual period. This requirement and these obligations on the part of the tenderer apply also, where applicable, for Phase 2 and Phase 3. Assessment of tenders The tenders will be evaluated as set forth below only if they fulfil all unconditional requirements in this invitation to tender, the requirements in the administrative instructions and only if the tendering entity is not subject to any of the exclusion criteria. General assessment process Describe the assessment process and how decisions on which tenders to award will be made. If there will be different assessment criteria in the respective phases, describe the criteria for transparency reasons. Each tender will be assessed and scored by [insert number] of independent experts with knowledge of [insert field of challenge], technology and/or general business knowledge. [Due to constraints with regard to time and resources, all tenders may not be assessed by all experts]. If interviews will be used in the assessment process before phase 2 and 3, include a general description of how the interviews will be managed below. Based on the experts assessments, a preliminary ranking of the tenders is made. This preliminary ranking will subsequently be inspected and reviewed by a decision panel consisting of [insert name of contracting authority] and/ or person chosen by it, as well as [insert number of] independent assessors. The decision panel will monitor and safeguard that the assessment of all tenders are consistent and equal, and will have the authority to adjust or override the preliminary ranking and assessment. The decision panel will make the final decision on which tenderers are to be awarded contracts. If the Decision Panel adjusts or overrides the preliminary ranking, it must provide substituting scores and verbal reasons relative to the assessment criteria. If you expect a high number of bids, consider to define that tenders not meeting a certain predefined minimum score will not be assessed by the Decision Panel, with a possible exception for bids that show a (predefined) high expert assessor scoring spread. The criteria and the method for evaluating the bids in phase 2 and 3 will essentially be based on the criteria and the method used in evaluating the original tenders as set out below, but may be elaborated or developed in further detail within those frames. Within [insert number of days, e.g. 90] after the final date for receipt of tenders, an award decision will be sent to tenderers, also containing the reasons for the decisions taken. Contracts will be signed [insert length of stand-still period, e.g. one week, if used] thereafter. 16

17 Assessment criteria and weighting Describe the assessment criteria and weighting (if used). These should be reviewed and maybe modified for every specific PCP. Example below. The maximum score a tender can get is [insert number] points. Only tenders with the following minimum scores are eligible for a contract: 60% of the maximum number of points ([X] points) 60% of the maximum number of points scored for the impact criterion ([Y] points). The assessment criteria and their weighting are listed below. The full scoring model is found in the appendix at the end of this document. Criteria Maximum points Impact on the challenge I. The extent of how well the proposed idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will have the desired impact II. Potential of the proposal to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) III. The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market [Insert specific criteria for the PCP in question. Example: The amount of saving that will be realised, and user friendliness of the innovation] Technical approach [E.g. 20] [E.g. 10] [E.g. 20] [E.g. 20] IV. Validity of the technical approach that will be adopted [E.g. 10] Quality of the tender Price V. The extent to which the tender shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish phase 3 in time [E.g. 10] VI. Effectiveness of the project management [E.g. 10] VII. The extent to which the tenderer and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the tender VIII. The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed IX. [Insert price model providing e.g. a graded linear scale, where X point is given a tender offering the applicable maximum price, and Y point is given to a defined lowest level.] Tender prices shall be stated in [insert currency] currency, exclusive of VAT. Duties, custom fees, taxes or other charges, if any, shall be included in the tender price. [E.g. 10] [E.g. 10] [E.g. 30] 17

18 It is incumbent upon the tenderer who seek to obtain points to supply information which enables the scoring of the tender. The scoring will be made according to an absolute scale, meaning that several tenderers can receive the same score and that the point a particular tenderer receives is not affected by the points other tenderers have received. If two tenders are awarded the same number of total points in the evaluation process, they will, if necessary, be separated by drawing of lots performed by two officers of the contracting authority, or if requested by either of the concerned tenderers before a public notary or a representative of the local Chamber of Commerce. This will also apply to awards made for phase 2 and phase 3. Successful tenderers will be advised according to the published key dates and will be, if awarded a contract, expected to mobilise rapidly to start the project. It is important that Phase 1 projects start soon after the contract has been issued, so that all projects can be assessed fairly and move on to Phase 2 and Phase 3 concurrently and smoothly. The above criteria and evaluation method will also subsequently be used by the contracting authority in the calls for bids for Phase 2 and Phase 3, though elaborated and developed in further detail for the specific purposes of each such Phase. This sub-criterion will be added in the call for bids for Phase 2 and Phase 3: The extent to which the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies. The weighting of the price criterion will increase in Phase 2 and in Phase 3. 18

19 Confidentiality, publicity and information about the award The principle of public access to official documents means that public documents and records (with a few exceptions) should be made available to whoever asks for them. The principle is balanced by the obligation of professional secrecy, that sets down that public authorities are obliged to protect business secrets of others, if disclosure may seriously harm their interests. [Adapt as appropriate to national legislation]. In this PCP, [insert information of how this is protected in the country/ organisation of the contracting authority. Rules differ across Europe.] Experts, employees of [insert name of contracting authority] and other persons contracted to aid in the tendering and award process will handle all information confidentially in accordance to above. Experts with a conflict of interest with one or more of the tenders will not assess these tenders. Information from the tenders is confidential in accordance to above. However, [insert name of contracting authority] will distribute and publish the following information about the tenders that are awarded with contracts: The name of the organisation Their location The title of the project A short summary of the project Contract value The aforesaid award information will be sent to the contact information stated in the tender. Tenderers should be aware that the [insert name of contracting authority] reserves the right to publish public summaries of the results of the PCP projects (phase 1, 2 and 3), including information of the key R&D results attained and lessons learned by [insert name of contracting authority]. Details will not be disclosed that will harm the legitimate business interest of the contractors involved in the PCP or that would distort fair competition on the market. 19

20 Distribution of IPR resulting from the project R&D risks and benefits will be shared between contractors and [insert name of contracting authority or consortia as applicable] in such a way that all parties have an incentive to pursue wide commercialisation and take up of the new solutions. Therefore, ownership rights of IPRs generated by a contractor during the PCP contract will be assigned to that legal entity. [Insert name of contracting authority or consortia members] will be assigned a free licence to use the R&D results for internal use. A call-back provision will ensure that IPRs that are not exploited within [insert period] after the PCP project will return back to [insert name of contracting authority or consortia members]. If you are interested in the right to require licenses to third parties at a fair market price, insert conditions here. For specific information about IPR rights and obligations please see the framework agreement (Framework Agreement_6). Delete or adjust Judicial review as suitable to the specific PCP. Judicial review Any legal claim, or petition or application for judicial review, with regard to the present procurement procedure, whether before civil law courts or administrative courts, shall be made in [insert name of country]. By submitting a tender, the tenderer accepts the exclusive jurisdiction of [insert name of applicable jurisdiction]courts. List of documents The Invitation to Tender consists of the following documents: Invitation to Tender_1 (this document) Challenge Brief_2 Guidance_3 Tender Form_4 Questions and Answers _5 Framework Agreement_6 End of Phase Report Form _7 The documents are all marked with the reference number for the PCP: [insert reference number see above right hand corner]. 20

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22 Appendix: Scoring model Impact on Challenge I. The extent of how well the proposed idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will it have the desired impact Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] There is no indication that the proposal will meet the challenge There is very little indication that the proposal is likely to meet the challenge There is little indication that the proposal is likely to meet the challenge [E.g. 12] There is some indication that the proposal is likely to meet the challenge [E.g. 16] There is indication that the proposal will meet the challenge [E.g. 20] There is clear indication that the proposal will meet the challenge II. Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] [E.g. 10] III. Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] [E.g. 12] [E.g. 16] [E.g. 20] Potential of the proposal to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) The project shows no potential to address future/ wider challenges in the area The project shows little potential to address future/ wider challenges in the area The project shows some but limited potential to address future/ wider challenges in the The area project shows potential to address future/ wider challenges in the area (including in particular novel, innovative approaches) The project shows adequate potential to address future/ wider challenges in the area (including in particular promising new concepts, approaches, methodologies, tools or technologies) The project shows very high potential to address future/ wider challenges in the area (including in particular innovative, showing use of novel concepts, approaches, methodologies, tools or technologies) The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market The tender gives no indication that the solution will be commercially feasible The tender gives little or no confidence that the solution will be commercially feasible The tender gives some indication that the solution may be commercially feasible, however, there is little confidence in the approach The tender gives some indication that the solution will be commercially feasible The tender gives indication and confidence that the solution will be commercially feasible As described, the proposed outcome shows strong promise of commercial feasibility 22

23 If specific criteria for the PCP are used, insert table for this here. If so, mind the numbering henceforth. Technical approach IV. Validity of the technical approach that will be adopted Scoring Guide [E.g. 1] There is no information given on the technical approach [E.g. 2] The technical approach is poorly described [E.g. 4] The technical approach described is unlikely to be valid for this challenge [E.g. 6] The technical approach is valid but may not be sufficient to meet the challenge [E.g. 8] The technical approach described is valid and is likely to meet the challenge [E.g. 10] The technical approach described is highly valid and shows a strong likelihood to meet the challenge Quality of the Tender V. The extent to which the tender shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish phase 3 in time Scoring Guide [E.g. 1] The tender does not contain a plan or milestones for the development of a working solution [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] The tender goes some way to describe a plan for the development of a working solution. The tender contains a brief plan for the development of a working solution. The tender contains a relatively clear plan for the development of a working solution. The tender contains a clear plan for the development of a working solution. [E.g. 10] The tender contains a very clear plan for the development of a working solution. VI. Effectiveness of the project management Scoring Guide [E.g. 1] [E.g. 2] Project management is not described in the tender. Project management is poorly defined and gives little confidence that the project will be managed appropriately. [E.g. 4] Project management is defined but gives little confidence that the project will be managed appropriately. [E.g. 6] [E.g. 8] Project management is well defined; this may result in a well-managed project. The tender shows a good management plan that should enable resources to be used appropriately, and shows some exploitation of research outputs [E.g. 10] The tender shows a strong management plan that will enable resources to be used appropriately, and will ensure maximum exploitation of high quality outputs 23

24 VII. Scoring Guide The extent to which the tenderer and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the tender [E.g. 1] There is no information that describes that the tenderer or any sub-contractor(s) have dedicated adequate resources. [E.g. 2] There is minimal information that describes that adequate resources have been dedicated of the tenderer or any sub-contractor(s), therefore it is very difficult to make an assessment. [E.g. 4] There is some information that adequate resources have been dedicated from the tenderer or any sub-contractor(s), but they appear unlikely to be sufficient for the project. [E.g. 6] There is information, and adequate resources appear to have been dedicated from the tenderer or any sub-contractor(s). [E.g. 8] There is information, and it clearly supports that adequate resources have been dedicated from the tenderer or any sub-contractor(s). [E.g. 10] There is information, and it allows for an unreserved conclusion that adequate resources have been dedicated from the tenderer or any sub-contractor(s). VIII. Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed The tender does not mention risks or how the tenderer intends to manage these Management of risk is ill-defined and inappropriate Management of risk is defined but is inadequate for this project Risk is clearly considered and proposed management of it is appropriate Risk is well defined and will be well managed [E.g. 10] Risks are well understood and articulated in the tender and will be managed appropriately Price IX. Scoring Guide [X] [Insert price model providing e.g. a graded linear scale, where X point is given a tender offering the applicable maximum price, and Y point is given to a defined lowest level] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [Y] [Insert defined lowest price level] 24

25 [Insert name of PCP here] Challenge Brief Challenge Brief Template (Challenge Brief_2) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 11 th September 2014 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 25

26 EXAMPLE DOCUMENT this document needs to be written specifically to each PCP challenge. Pay particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Introduction to Challenge Brief This brief contains the challenge background to the [insert name of PCP] procommercial procurement (PCP), carried out by [insert name of contracting authority] in [insert month and year]. PCP is a competition-like procurement method which enables public sector bodies to engage with innovative businesses and other interested organisations in development projects, to arrive at innovative solutions that address specific public sector challenges and needs. The new innovative solutions are created through a phased procurement of development contracts to reduce risk. Research and development services will be paid for at market prices, thus providing business with a transparent, competitive and a reliable source of early-stage financing, and the opportunity to establish an early customer, for a new solution. Since PCP focus on specific identified needs, the chance of exploitation of developed solutions increases. The PCP method is suited to tenderers of all sizes, including small and medium-sized ones, as the contracts are of relatively small value and operate on short timescales. 26

27 [Insert name of contracting authority] Provide a description of the contracting authority, together with its aims for the PCP. Background and Challenge Describe the Background and the Challenge providing context and including constraints, both technical and other kinds of contraint. Hints: Try to put numbers to the challenge background. Balance figures with qualitative case descriptions (short ones), as this can be helpful to explain the backgorund situation to potential tenderers. A description of the target group is helpful. Scope Provides details of the desired outcome(s) and the scope of the PCP. Hints: If possible, use indicators to describe desiried results/ outcomes/ impacts. Having a main indicator for the goal can be helpful. Also, providing short target images of the desiered future can be helpful. Try to use delimitations to provide a suitable scope for potential tenderers to relate to. Tender Process Directions on how to enter this PCP can be found in the Invitation to Tender (Invitation To Tender_1). More information on this PCP can be found at [insert web page]. 27

28 [Insert name of PCP here] Guidance Guidance Template (Guidance_3) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 28

29 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Guidance These Guidance notes complement the Invitation to Tender (Invitation to Tender_1) and are designed to help with completing the Tender Form (Tender Form_4). Guidance on completing the Tender Form These notes should be read in conjunction with the Tender Form (Tender Form_4) and are designed to help you to provide the information required. Where text limits are indicated, please do not exceed these. Tenders will be assigned a reference number. It should be noted that you will need it for all subsequent enquiries. If your tender is successful, this reference number will stay with the project for its duration. The Tender Form should be completed using a font size no smaller than 10 (Arial). Keep the use of acronyms to a minimum. Only use acronyms where a term is mentioned frequently throughout the tender. If you do choose to use an acronym, do not assume that the reader knows what it means, and be sure to define it, bearing in mind that individual sections of the tender may be read separately during the selection process. In order for your tender to be evaluated you must submit all the required information. This includes all mandatory fields from the Tender Form. Failure to complete these fields will result in your tender being rejected on the grounds that it is incomplete. For details on how to tender, please see: Invitation To Tender document (Invitation to Tender_1) [Insert web page] [insert Telephone: [insert] 29

30 Tender Form Mandatory Fields Tender, Tenderer and Contact Details Tender (Mandatory) Project title (Mandatory) Please provide the title for the project. This should be both clearly descriptive and concise. It should contain keywords relevant to the project. Validity of Tender (Mandatory) The period in course of which you are bound by the tender in relation to its content and conditions offered. Indicate agreement by choosing yes. Contract Duration (Mandatory) This section may have already been completed, as usually Phase 1 is of a fixed duration. Phase 1 Contract Price, [Insert currency] (Mandatory) State a total price of [insert currency and amount] (contract value) for the tendered project, phase 1. Use a fair market price and bear in mind that you will retain intellectual property rights (IPR) as stated in the contract (Framework Agreement_6). Price shall be exclusive of VAT, but include possible duties, custom fees, taxes or other charges that may occur. Price with and without IPR To make sure a fair market price is offered, please state two prices: The price that you would have quoted, if IPR would be fully retained by the contracting authority, and you did not have the possibility to exploit developed knowledge. The price that you quote, considering that you retain IPR in accordance with the provisions of the contract and can exploit developed project knowledge. What is the best way to describe your innovation? (Select from options) (Mandatory) Proposed Start Date (Mandatory) Tenderer Details (Mandatory) Please submit the name of your legal entity, proposed sub-contractors and other details as requested on the Tender Form. If the tender is submitted by a consortium that does not in itself constitute a legal entity, such tenderer shall appoint a consortium member to be the contracting party in case the tendering consortium is awarded a contract. Contact Details (Mandatory) Please submit the lead tenderer s name, post held, name of legal entity, position etc. Lead tenderers are expected before submitting tenders, to have discussed their proposals with their own organisation or any other body whose co-operation will be required in the conduct of the project. By submitting the tender you are confirming 30

31 that the information given, in this tender, is complete and that you are actively engaged in this project and responsible for its overall management and agree to administer the award if made. In addition, please provide details of where you heard about the PCP. Impact on the Challenge I. Title and Description of Proposed Idea/ Solution/ Technology and its Expected Impact on the Challenge (Mandatory) Avoiding the use of unnecessary technical jargon, describe clearly how the proposed project will deliver the outcomes as described in the Invitation to Tender and Challenge Brief documentation. II. Potential of the Proposed Idea/ Solution/ Technology to Address Future and/ or Wider Challenges in the Area (Mandatory) Avoiding the use of unnecessary technical jargon, describe clearly the potential of the proposed project to address future and/ or wider challenges in the area described in the Invitation to Tender and Challenge Brief documentation. III. Commercial Feasibility and Route to Market (Mandatory) Describe the commercial feasibility of the new solution. We are seeking evidence that the new solution can be made into a viable product and achieve the proposed benefits. Please include details of your plan for commercialisation of the results of your project. If any specific criteria for the PCP are used, insert these here. If so, mind the numbering henceforth. [Insert title for specific criteria] [Insert words of guidance as appropriate.] Technical approach IV. Scientific/ Technical Project Summary (Mandatory) Please provide a structured summary of the scientific and technical basis of the project. This would typically involve highlighting the research and development that will prove the merit of the project. Please provide details of any competing technologies/ market alternatives and the relative benefits of the proposed approach. Include details of any existing IP and it significance to your freedom to operate. It is an absolute requirement that the services offered by the tenderer are within the scope of the definition of R&D services, as outlined in the invitation to tender. 31

32 Quality of the Tender V. Project Plan and Methodology (Mandatory) The project plan should identify the major packages of work within the project, with well-defined milestones and deliverables. The plan for Phase 1 should be comprehensive for Phase 2 and Phase 3 only an outline is required. The emphasis throughout should be on practicality we are seeking evidence that a working new solution can be developed in time (end of Phase 3). Appropriate recordkeeping and reporting are essential but reports are not in themselves the main goal of the project. A Gantt chart should be supplied (in Microsoft Office, Microsoft Project or PDF format). Please provide an indication of how any IP which might arise during the project would be handled. Allow for preparation of a detailed plan for Phase 2, towards the end of Phase 1. (Progression to Phase 2 is dependent upon successful completion of Phase 1 and on phase 2 bids and assessment, likewise for Phase 3). VI. Project Management (Mandatory) Identify the project management processes that you will use to ensure that milestones are achieved in a timely manner. VII. Resources (Mandatory) Describe in detail the skills, expertise and track record of the team, including relevant knowledge and skills of each member and the proportion of their time that will be spent on the project. Relevant commercial and management expertise should also be included. Also include the expertise of any subcontractor/s. VIII. Risk Management (Mandatory) Provide details of identified risks (technical, commercial and environmental) and mitigation actions. Potential Price in Phase 2 and 3 (Mandatory) Give an indication of the potential price for Phase 2 and Phase 3. Use a fair market price and bear in mind that you will retain intellectual property rights (IPR) as stated in the contract (Framework Agreement_6). 32

33 Professional Secrecy (Mandatory) Please indicate which parts of the information in the tender that should be confidential, and indicate why disclosure of such information may be harmful to you. Project Abstract (Mandatory) Please enter a brief abstract of your project that can be used for marketing purposes of successful tenders, e.g. between 50 to 150 words. Make sure that the wording is understandable to the general public. Fixed Price Breakdown (Mandatory) Please provide a breakdown of the fixed price for phase 1 in the table. The quoted unit prices will be binding for the duration of the framework agreement. Divide labour unit prices into suitable categories (e.g. junior, senior researchers, developers, testers, etc.). [Insert either It will be possible to add new categories in bids for phase 2 and 3, or It is possible to add new categories in the bid.] The cost breakdown will form a basis for any audit or other verification process from the authority, during or after the project, in order to safeguard that (i) what was supplied actually qualify as R&D services, and if applicable (ii) the major part of the procured services were actually performed in a Member State or an associated country. Such audit or verification may nevertheless also involve other elements, not necessarily defined beforehand but that have a bearing on these issues. Any additional content should be inserted at this point, for example: Option: If an environmental, ethical or social policy has been requested, include instructions for submitting this attachment. Option: If written commitment from any subcontractor/s has been requested, include instructions for submitting the commitment/s. Declarations (Mandatory) Please read carefully and sign the declarations as appropriate. 33

34 [Insert name of PCP here] Tender Form Tender Form Template (Tender Form_4) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N, VINNOVA (editor) 34

35 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. Tender, Tenderer and Contact Details Tender Project Title: Validity of Tender until [insert date]: Contract Duration: (months) What is the best way to describe your innovation? Yes/ No Please Select One Phase 1 contract price with IPR Phase 1 contract price, no IPR Price shall be stated in [insert currency], exclusive of VAT. Duties, custom fees, taxes or other charges, if any, shall be included in the price. Proposed Start Date: Tenderer Details Type of Organisation: Please Select One Registered Name of Organisation: Registered Address: Town/ City: Postcode: [If relevant] County: Country: [If relevant] Region: Please Select One Organisation Registration Number: VAT Registration No: Organisation Website: Organisation Size: Please Select One Organisation Status: Please Select One Main Business Activity: Business Sector: Please Select One Sub-contractors 35

36 Contact Details Title: First Name: Last Name: Position: Organisation: Address: Town/City: [If relevant] County: Phone: Mobile: Who made you aware of this PCP? Postcode: Country: Extension: Fax Please select one If other, please state who? 36

37 Impact on the Challenge I. Title and Description of Proposed Idea/ Solution/ Technology and its Expected Impact on the Challenge Please provide a title and brief description of your proposed idea/ solution/ technology and how this addresses the outcomes as described in the Invitation to Tender and Challenge Brief documentation. You may wish to attach an Image or diagram separately with the tender form, max 2 A4 pages. II. Potential of the Proposed Idea/ Solution/ Technology to Address Future and/ or Wider Challenges in the Area Please provide a brief description of the further and/or wider potential of your proposed idea/ solution/ technology in the challenge area, as it is described in the Invitation to Tender and Challenge Brief documentation. 37

38 III. Commercial Feasibility and Route to Market Please describe the commercial feasibility of the new solution: how it can be made into a viable product and achieve the proposed benefits. Please include details of your plan for commercialisation of the results of your project. If specific criteria for the PCP are used, insert field for this here. If so, mind the numbering henceforth. Technical Approach IV. Scientific/ Technical Project Summary Please give a short background to the key technical challenges. State what the innovation is and the key technical deliverables. Briefly describe how the challenge will be addressed. Detail other products on the market and the novelty of the proposed project; include details of any other existing intellectual property and its significance to your freedom to operate. 38

39 Quality of the Tender V. Project Plan and Methodology Please describe the project plan and detail the key project milestones. Highlight what resources will be required to address the technical challenges and what the key success criteria would be. Milestone Date Resources Success Criteria Please outline the plan for Phase 2 and Phase 3. 39

40 VI. Project Management Please identify the project management processes that will ensure milestones are achieved and describe key risks and mitigation actions. f VII. Resources Please provide a brief description of the resources (human capital/ team, equipment etc.) that will be dedicated to the project. Include the expertise of each team member relevant to this tender and the proportion of their time that they will be spending on the project. Also include the expertise of any subcontractor/s if applicable. 40

41 VIII. Risk Management f Provide details of identified risks (technical, commercial and environmental) and mitigation actions. Potential Price in Phase 2 and 3 Potential Price in Phase 2 and 3 Please indicate potential price for Phase 2 and Phase 3. Progression to Phase 2 is dependent upon successfully completing Phase 1 and on Phase 2 competition and assessment. The same applies for Phase 3. 41

42 Professional Secrecy Professional Secrecy Please indicate which parts of the information in the tender that should be confidential, and indicate why disclosure of such information may be harmful to you. Project Abstract Project Abstract Please enter a brief abstract of your project that can be used for marketing purposes of successful tenders, e.g. between 50 to 150 public-facing form of words. 42

43 Fixed Price Breakdown Project Abstract Please provide a breakdown of the phase 1 fixed price in the table. The quoted unit prices will be binding for the duration of the framework agreement. Prices for resources of third parties shall however only be binding for this phase. 3 Divide labour unit prices into suitable categories (e.g. junior, senior researchers, developers, testers, etc.). Labour Price Unit Price Quantity Total Price ( ) Materials Capital Equipment Travel Other (specify) TOTAL PRICE (excluding VAT) If work is intended to be carried out by subcontractor(s), please indicate this in the first column. 3 Third parties: parties that cannot be considered as subcontractors, e.g. airlines, hotels or parties that merely provide supplies (such as equipment rental companies) etc. 43

44 Any additional content should be inserted at this point, for example: Option. If environmental, ethical or social aspects are important to a specific PCP, insert text asking tenderers to attach an established policy for handling such issues (either for the legal entity or for the specific PCP project). Also include instructions for submitting the attachment. Option. Insert text asking for a written commitment from any subcontractor/s showing that the resources of the subcontractor/s will be at the tenderer s disposal for the full duration of the contract (e.g. in the form of a Letter of Intent). Also include instructions for submitting the commitment/s. Option. Introduce a price index clause which allows tenderers to increase binding unit prices in bids for Phase 2 and 3. The increase must corresponds to, or be lower, than the increase of the price index defined by the Contracting Authority for the period. Declaration Example 1: Lead tenderers are expected before submitting tenders, to have discussed their proposals with their own organisation or any other body whose co-operation will be required in the conduct of the project. By submitting the tender you are confirming that the information given, in this application, is complete and that you are actively engaged in this project and responsible for its overall management and agree to administer the award if made. Example 2: In order for your tender to be accepted you are required to gain approval from the relevant authorities within your legal entity. These approvals are required to ensure that the information given, in this tender, is complete and correct. This tender form must be completed and returned electronically by [insert date and time]. Please send your tender to [insert relevant information]. Identical signed originals of this completed tender must be received [insert date and time]. Please send your signed original to [insert address]: I confirm that the information given on this form is complete and correct, and that I shall be actively engaged in this project and responsible for its overall management. Signed Date.. (Designated contact) 44

45 I confirm that I have approved the contract price and that this organisation is prepared to carry out this project at the stated price and to administer the award if made. Signed..... Date.. (Managing Director/Finance Officer) I confirm that I am not subject to the exclusion criteria stated in the Invitation to Tender. Signed..... Date.. (Authorised Signatory) I confirm that the services offered meet the minimum requirement stated in the Invitation to Tender and accept any conditions put upon me by the contracting authority in order to control this requirement being fulfilled. Signed..... Date.. (Authorised Signatory) IN ORDER FOR YOUR TENDER TO BE ACCEPTED, THE CONFIRMATION OF PRICE FORM MUST BE SIGNED BY THE RELEVANT AUTHORITIES WITHIN YOUR ORGANISATION. 45

46 [Insert name of PCP here] Questions and Answers Questions and Answers Template (Questions and Answers_5) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 46

47 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Questions and Answers document The Questions and Answers document will be regularly updated until [date, month, year]. Tenderers should therefore visit [insert web page] for the most recently updated version of the Questions and Answers document. The latest answered question or clarification will be put in reversed chronological order, to make it easy to find the updates. When clarifications are needed or answering questions, publish the updated Questions and Answers document and use the last updated function so the tenderers can see that the web page has been updated. Place the latest answered question or clarification in reversed chronological order to make it easy for the tenderers to find the updates. All questions below must be scrutinised and adjusted to the specific PCP. Add or delete questions as it seems fit. Questions Is my organisation eligible to submit a tender to the PCP? I am a Pre-Startup Company, may I apply? I am based at a University, may I apply? As a University, should I use Full Economic Cost (fec)? Can I submit multiple tenders? My company is a Registered Charity, can I apply? Answers This PCP is open to all legal entities that locate a relevant portion of the R&D and operational activities related to the PCP contract in the European Economic Area, or in a country having concluded a Stabilisation and Association Agreement with the EU, and that can demonstrate a route to market for their [tendered/ suggested] solution. Yes, but contracts must be awarded to legal entities. Universities may apply, however they must demonstrate a route to market, i.e. the tender must include a plan to commercialise the results. No. Prices should be calculated to reflect fair market value. Yes. Yes, registered charities are equally eligible to the PCP via their trading company limited by guarantee. All organisations must demonstrate a route to market. 47

48 Can I work in collaboration with other companies? Yes, tenders from consortia are accepted as well as tenders from single legal entities. Contracts will be signed with all legal entities in a consortium. A consortium may change partners only under specific conditions. Please see the Invitation to Tender document (Invitation to Tender_1), heading; Change of consortium members. Also, tenderers may identify components of the work which they wish to subcontract and may also employ specialist consultants or advisers if they believe this will increase the chances of the project being successful. Subcontractor must be stated in the tender. If the tenderer wishes to rely on the resources of a subcontractor, the tenderer is advised to submit a written commitment from such subcontractor to make available his resources to the tenderer for the full duration of the contract. Tenders are evaluated on having adequate resources. Can I work with other subcontractors in phase 2 and phase 3 than in phase 1? How do I submit my tender? Yes, under certain conditions it is possible to change subcontractors in the different phases. Please see the Invitation to Tender document (Invitation to Tender_1), heading Change of subcontractors. Instructions on how submit a tender can be found in the Invitation to Tender document (Invitation to Tender_1). Details of the challenge and expected outcome of the projects can be found in the Project Documents. You are strongly advised to read all published PCP tender documents before completing the Tender Form. What is the deadline for tenders? How will the successful tender be chosen? This information will be available on our website and within the published competition documents. Tenders will be reviewed by a selected panel of experts. Each tender will be assessed by [insert number] experts with knowledge of [insert field of challenge], technology and/or general business knowledge. Based on the experts assessments, a preliminary ranking of the tenders is made. The final decision on awarding contracts is made by a decision panel consisting of [insert name of contracting authority] and/ or person chosen by it, as well as [insert number of] independent assessors. Please see Invitation to tender for more detailed information. Is the PCP a subsidy? No. The tenderer signs contracts with certain obligations to fulfil. Chosen tenderers will be obligated to provide R&D services at tendered prices. 48

49 Who owns the Intellectual Property generated by the Project? Is price also taken into consideration of the assessors? Should prices include VAT? What is meant by total contract price with/ without intellectual property rights? Will my tender be treated confidentially? Intellectual property rights are retained by the tenderer although certain rights of usage may be applied by the contracting authority including royalty-free, non-exclusive licence rights and the right to require licenses to third parties, at a fair market price. [Adapt as suitable for the PCP in question]. For further information, see the Framework Agreement (PCP Framework Agreement_6). Yes. No. Tender prices shall be stated in [insert currency] currency, exclusive of VAT. Duties, custom fees, taxes or other charges, if any, shall be included in the tender price. In determining the fair market price for your project, keep in mind that the intellectual property remains with you, but that the procurer acquires certain rights. We therefore ask you to indicate two prices: The price that you would have quoted, if IPR would be fully retained by the contracting authority, and you did not have the possibility to exploit developed knowledge. (Imagine that after the project you will not be allowed to do anything with the developed knowledge. In that case, for what price would offer your research?) The price that you do quote, considering that you retain IPR and can exploit developed project knowledge. [Insert information about how confidentiality will be handled.] The answer to this question must be harmonised to the legislation concerning secrecy of the contracting authorities. Tenderers should indicate which parts of the information in the tenders that may be sensitive from a secrecy point of view, and for what reason disclosure of such information may be harmful to the tenderer. When can I start? First, the Decision Notice will be published and distributed to all tenderers. Two copies of the contracts will be sent to the tenderers awarded contracts for signature. The two signed copies should be returned to [the contracting authority] as soon as possible. When this is finalised you can start. The aim is to have this completed in [date, month, year]. If the PCP is operated under a jurisdiction that allows tenderers legal remedies if they are dissatisfied, include information about stand-still period and how to appeal. 49

50 Who should I contact if I have any further questions? Questions on the specifics of this PCP should be sent to the [adjust according to the information in the Invitation to Tender] 50

51 [Insert name of PCP here] Framework Agreement Example Framework Agreement (Framework Agreement_6) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 2.0 Author: Magnus Nedström, Sigeman & Co. (editor) 51

52 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] AGREEMENT BETWEEN AUTHORITY (1) AND CONTRACTOR (2) 52

53 SECTION 1 FORM OF AGREEMENT This Agreement is made between (1) [ ] (the Authority ); and (2) [ ] ("the Contractor") the Authority and the Contractor being together called "the Parties" and individually a Party. IT IS AGREED as follows: 1. The Contractor will provide innovation and development services within a project entitled [project title] in accordance with the specification as detailed in Section 3 ( the Project ). The Project is divided into three separate phases ( Phase 1, Phase 2, and Phase 3 ) comprising, respectively and in that order: solution exploration, prototyping, and original development of a limited test series; as further described in Section 3. This Agreement covers all three Phases but will become effective by the signing of the Parties only with regard to Phase 1. Subject to the subsequent calls for bids for Phase 2 and Phase 3, respectively, and the Authority s award of separate contracts for each of those Phases (as accounted for below), the Agreement will become effective also for Phase 2 and, where applicable, for Phase 3 with regard to contractors awarded such contracts. 2. The Authority will pay the Contractor, as set out in Section 4, the Price for Phase 1 and, where applicable, the Price for Phase 2 and the Price for Phase 3 subject to the Authority s award of contracts for one or both of these Phases 2 and 3 from the Contractor: 2.1 for undertaking the Project; and 2.2 in respect of any licence or assignment of any Intellectual Property rights in the Material to the Authority made pursuant to Conditions 17 and 18 of Section 2; all such payments being subject to the Conditions of the Agreement. 3. This Form of Agreement (Section 1) together with the attached Sections 2 to 6 inclusive are the documents which collectively form the Agreement. If there is any inconsistency between Sections 3 to 6 of the Agreement and this Section 1 or the Terms and Conditions set out in Section 2, the provisions of Section 1 and 2 shall prevail. 4. The Agreement effected by the signing of this Form of Agreement constitutes the whole agreement between the Parties and supersedes all prior negotiations, agreements, representations or understandings between them relating to the subject matter of this Agreement. 5. Each Party acknowledges that, in entering into the Agreement, it does not rely on any statement, representation, assurance or warranty ( Representation ) of any person 53

54 (whether a Party to this Agreement or not) other than as expressly set out in the Agreement. Each Party agrees that the only remedies available to it arising out of or in connection with a Representation shall be for breach of contract. 6. Nothing in this Agreement shall limit or exclude any liability for fraud. 7. The Agreement becomes effective upon signing by all Parties and shall remain in effect until the Completion Date (as defined below) of the last Phase that has been awarded the Contractor. Signed by the duly authorised signatory of the Authority: Signature Full Name Position Held Date Signed by the duly authorised signatory of the Contractor: Signature Full Name Position Held Date Insert more fields for signatures if needed. 54

55 SECTION 2 TERMS AND CONDITIONS 1. Definitions and Interpretation 1.1 As used in this Agreement the following terms and expressions shall have the meaning ascribed to them below: "Agreement" Price" Assessment Committee "Authority's Representative" "Project Background Intellectual Property" Call-off Contract Challenge Brief Confidential Information means this Agreement concluded between the Parties including Sections 1-6 inclusive and all schedules to it; means the total price agreed between the Parties for each separate Phase of the Project as set out in Section 4 to be paid by the Authority to the Contractor; means a committee of experts in the field of the Project challenge, and/or technical experts, and/or general business experts, appointed by the Authority in its sole discretion; means a person authorised to represent the Authority in respect of this Agreement; means foreground technology and Intellectual Property owned or controlled by either of the Parties at the date of this Agreement or which shall at any time thereafter become so owned or controlled otherwise than as a result of the Project under this Agreement; means a separate contract per Phase under the framework agreement where terms, conditions and prices are agreed means the accompanying document to the invitation to tender, explaining the background to, the underlying need behind, and the aim and scope of the Project, and the corresponding subsequently issued documents for Phase 2 and Phase 3; means information that falls within the types of information which has been designated as confidential by either Party or that ought to be considered as confidential (however it is conveyed or on whatever media it is stored) including information which relates to the business affairs, properties, assets, trading practices, goods, Services, developments, trade secrets, Intellectual Property rights, know-how, personnel, customers and suppliers of either Party, all personal data and sensitive personal data within 55

56 the meaning of the Data Protection Act 1998 [or corresponding applicable act of the relevant member state], the Project and other commercially sensitive information. "Commencement Date" "Completion Date" "Contractor s Representative" Contractor s Staff Copyright" "Data" Default" End of Phase Report End of Phase Report Form "FOIA" means [Date]; means the date referred to as being a completion date as set out in Section 3 with regard either to a separate Phase or the whole Project, as indicated; means a person authorised to represent the Contractor in respect of this Agreement; means the Contractor s Representative and all employees, consultants, agents, and subcontractors (including their staff) which the Contractor engages in relation to the Project; has the meaning ascribed to it by the Copyright, Designs and Patent Act 1988 [or corresponding applicable act of the relevant member state]; means information generated by the Project and collected and/or used for the purposes of the Research, which can be processed manually, electronically or by other means; means any breach by a Party to this Agreement of its obligations under this Agreement (including, without limitation, a fundamental breach or breach of a fundamental term) or any default, act, omission, negligence or statement of a Party to this Agreement or its employees, agents or subcontractors in connection with or in relation to the subject matter of this Agreement and in respect of which such Party is liable to the other; means a report in written form to be submitted by the Contractor to the Authority after each completed Phase of the Project, containing all information that is required in the End of Phase Report Form; means a formal form in which the contractors report results, as set out in Schedule B to this Section 2; means the Freedom of Information Act 2000 and any subordinate and/or amending, legislation made under this Act from time to time together with any guidance and/or codes of practice issued by the Information Commissioner in relation to such legislation [or corresponding applicable act of the relevant member state]; 56

57 "Information" Insolvency Event" "Intellectual Property" Invitation to Tender has the meaning given under section 84 of the FOIA [or corresponding applicable law provision of the relevant member state]; means where the Contractor passes a resolution or the court makes an order that: (i) the Contractor be wound up (otherwise than for the purpose of a bona fide and solvent reconstruction or amalgamation); or (ii) a receiver, manager or administrator on behalf of a creditor is appointed in respect of all or part of the business of the Contractor; or (iii) circumstances arise which entitle a court or creditor to appoint a receiver, manager or administrator or which entitle the court (otherwise than for the purpose of a solvent and bona fide reconstruction or amalgamation) to make a winding up order; or (iv) the Contractor ceases to trade or is unable to pay its debts within the meaning of the Insolvency Act 1986 [or corresponding applicable act of the relevant member state] or any similar event occurs under the law of any other jurisdiction. means patents, inventions (whether or not patentable or capable of registration), trademarks, service marks, copyrights, topography rights, design rights and database rights, (whether or not any of them are registered or registerable and including applications for registration, renewal or extension of any of them), trade secrets and rights of confidence, trade or business names and domain names and all rights or forms of protection of a similar nature which have an equivalent effect to any of them which may now or in the future exist anywhere in the world; means the invitation documents on which the tenders for the present framework contract were submitted; Key Staff mean the persons named in Section 5. Language Material "Personal Data" means the English Language unless otherwise agreed; means any report, executive summary, paper, abstract or other document or media provided by the Contractor under Conditions 15 and 16; means information relating to an individual who can be identified from it; 57

58 Phase "Project" means an individual and separate part of the Project, where Phase 1 comprises solution exploration, Phase 2 comprises prototyping, and Phase 3 comprises original development of a limited volume of first products or services in the form of a test series; means the Research together with the Results; "Project Period" means the period commencing on the Commencement Date and ending on the Completion Date (Phase by Phase) or such later date as may be agreed between the Parties unless otherwise determined in accordance with the terms of the Agreement; "Research" means the scope of work (research and development services) specified in Section 3; "Results" Services Sub-Contract Variation means any Data, or information or other material generated by the Project; means the services being provided by the Contractor to enable fulfilment of the Project; any contract or agreement or proposed contract or agreement between the Contractor and any third party whereby that third party agrees to provide to the Contractor the Services or any part thereof or facilities or services necessary for the provision of the Services or any part thereof or necessary for the management, direction or control of the Services or any part thereof; means an amendment to the Agreement executed through the completion of a Variation to Agreement Form signed on behalf of the Parties in accordance with Condition The interpretation and construction of the Agreement shall be subject to the following provisions: a reference to any statute, enactment, order, regulation or other similar instrument shall be construed as a reference to the statute, enactment, order, regulation or instrument as subsequently amended or re-enacted; the headings to Conditions are for ease of reference only and shall not affect the interpretation or construction of the Conditions; references to Conditions are references to Conditions in the Section of the Agreement in which they appear, unless otherwise stated; where the context allows, references to male gender include the female gender and the neuter, and the singular includes the plural and vice versa. 58

59 2. Phase 1, Phase 2, and Phase 3 of the Project The text in clause 2 is an example of how the call off process can be handled. 2.1 By the signing of the Parties of this Agreement, the Authority assigns to the Contractor the task of performing the Services within the scope of Phase 1 of the Project (solution exploration). The Authority has simultaneously entered into corresponding framework contracts for the Project with [insert number] other contractors. 2.2 Upon completion of Phase 1, the Authority will, based on the End of Phase Report for Phase 1 submitted by the Contractor and the corresponding reports submitted by other contractors, make a call for bids among those that successfully completed Phase 1 to perform the Services within the scope of Phase 2 (prototyping) of the Project. The criteria and the method for evaluating those bids will be the criteria and the method used in evaluating the original tenders as set out in the Invitation to Tender though elaborated and developed in further detail for the specific purposes of Phase 2. If possible, up to [insert number] contractors will be awarded contracts for Phase 2. If the Contractor is awarded contract also for Phase 2, this Agreement shall continue in effect for the duration of that Phase and shall apply to that Phase as well. In addition, a separate contract for Phase 2, having the format set out in Section 7, shall be signed by the Authority and the Contractor upon the award. If the Contractor is not awarded contract for Phase 2, this Agreement shall not have any effect with regard to Phase 2 or Phase 3 but shall expire upon the date announced by the Authority for final award of Phase If the Contractor is awarded contract for Phase 2, the following shall apply with regard to Phase 3. Upon completion of Phase 2, the Authority will, based on the End of Phase Report for Phase 2 submitted by the Contractor and the corresponding reports submitted by other contractors, make a call for bids among those that successfully completed Phase 2 to perform the Services within the scope of Phase 3 (original development of a limited volume of first products or services in the form of test series) of the Project. The criteria and the method for evaluating those bids will be the criteria and the method used in evaluating the original tenders as set out in the Invitation to Tender and the subsequent call for bids for Phase 2, though elaborated or developed in further detail for the specific purpose of Phase 3. If possible, [insert number] contractors will be awarded contracts for Phase 3. The authority has the right to terminate this agreement in case of an insufficient number of suppliers that have delivered successful Phase result to qualify for an invitation to bid on the next Phase Contract. If the Contractor is awarded contract also for Phase 3, this Agreement shall continue in effect for the duration of that Phase and shall apply to that Phase as well. In addition, a separate contract for Phase 3, having the format set out in Section 7, shall be signed by the Authority and the Contractor upon the award. If the Contractor is not awarded contract for Phase 3, this Agreement shall not have any effect with regard to Phase 3 but shall expire upon the date announced by the Authority for final award of Phase Successful completion of a phase is assessed in terms of satisfactory completion time and quality of the work, as well as technical and commercial feasibility of innovative solution to address the PCP challenge against the solution requirements outlined in the Challenge 59

60 brief, the Invitation to Tender and the tender of the Contractor. The assessment of successful completion of a phase is carried out by the Authority or persons appointed by it. 2.5 Any award of continued assignment for the subsequent Phases (2 and 3) will be communicated in writing by the Authority to the Contractor. 2.6 Assessment of the preceding phase does not in any way prejudice the assessment of bids for the next phase. [xx] [Depending on applicable jurisdiction: An award of continued assignment shall become binding upon the Authority only after a stand-still period of ten (10) days commencing on the day after it was communicated in writing according to Clause 2.4. Should any award be contested within that period, the final award is subject to and conditioned upon the outcome of such contest.] 2.7 Any reference in this Agreement to the Project refers also to each of the Phases awarded to the Contractor. 2.8 For Phase 1 at least [insert number] % of the Services shall be performed within European Economic Area, or a country having concluded a Stabilisation and Association Agreement with the EU For Phase 2 at least [insert number] % of the Services shall be performed within the European Economic Area, or a country having concluded a Stabilisation and Association Agreement with the EU. For Phase 3 at least [insert number] % of the Services shall be performed within the European Economic Area, or a country having concluded a Stabilisation and Association Agreement with the EU. The Contractor shall regularly, and always upon the request of the Authority, provide a verified account of the fulfilment of the above obligations. 3. Administration and Direction of the Project 3.1 The Authority may publish details of the Project for any non-commercial purpose, subject to the provisions of the Agreement. Such publication shall require the consent of the Contractor, which consent shall not be unreasonably withheld or delayed. 3.2 The Contractor shall ensure that each member of the Contractor s Staff engaged on the Project observes the Conditions of this Agreement and any Variation entered into between the Parties hereto and that the Contractor s Staff are advised of any consequent changes in the scope of the Agreement or the Project. 3.3 Notwithstanding the provisions of Clause 20, the Authority may terminate the Agreement if any of the Contractor s Key Staff are not available for the entire period needed to fulfil their duties in the Project, subject to prior discussion having first been held with the Contractor to attempt to identify and agree a mutually acceptable replacement and where the lack of availability of one or more of the Key Staff causes a material risk to the fulfilment of the delivery objective of the Project. 60

61 3.4 The objectives of the Project (and each separate Phase within it) are set out in Section 3. Within such objectives, details of the exact programme to be followed and the day-to-day responsibility for carrying out this programme will be under the control of the Contractor, in consultation, where appropriate, with the Authority s Representative. 3.5 The Contractor shall ensure full communication takes place between the Parties and such others as may be notified to the Contractor by the Authority and shall advise as required on the Project. In particular, the Contractor must notify the Authority and the relevant research ethics committee of any proposed deviation from the agreed protocol or if significant developments occur as the research and development work progresses, whether in relation to the safety of individuals or to scientific direction. 3.6 Notwithstanding the provisions of Clause 20, the Authority may terminate the Agreement forthwith should the Contractor be unwilling or unable for any reason to continue with the Project or if, in the reasonable opinion of the Authority, the Contractor is consistently failing to achieve an acceptable standard in relation to the Project. If this occurs, the Authority shall not be obliged to make any further financial payment to the Contractor. 4. Obligations of the Contractor and the Authority 4.1 The Contractor shall manage and complete the Project in accordance with the tender specification, the Challenge Brief, and the offer concerned and shall allocate sufficient resources to the Project to enable it to comply with this obligation, initially with regard to Phase 1, but subsequently also with regard to Phase 2 and Phase 3 insofar as the Contractor is awarded contracts for such later Phase or Phases. Section 3 of this Agreement (describing the Project in greater detail) shall be completed and updated by the Authority with regard to Phase 2 and Phase 3 in connection with the call for bids for those Phases. 4.2 The Contractor shall meet, with time being of the essence, any performance dates specified in Section 3 or elsewhere in the Agreement, including but not limited to End of Phase Reports and related documents. If the Contractor fails to do so, the Authority may, after giving the Contractor not less than 14 days notice of its intention to do the same, (without prejudice to any other rights it may have): terminate this Agreement in whole or in part without liability to the Contractor; refuse to accept any subsequent performance of the Project which the Contractor attempts to make; hold the Contractor accountable for any loss and additional costs incurred; and have all sums previously paid by the Authority to the Contractor under this agreement refunded by the Contractor. 4.3 The Contractor shall: co-operate with the Authority in all matters relating to the Project; subject to the prior written approval of the Authority, appoint or, at the written request of the Authority, replace without delay: the Contractor s Representative who shall have authority under this agreement contractually to bind the Contractor on all matters relating to the Project; and 61

62 Key Staff or any member of the Contractor s team, who shall be suitably skilled, experienced and qualified to carry out the Project subject to clause 4.3.2, ensure that the same person acts as the Contractor s Representative throughout the term of this Project; procure the availability of the Contractor s Representative and Key Staff for the purposes of the Project; promptly inform the Authority of the absence of the Contractor s Representative and/or Key Staff. If the Authority so requires, the Contractor shall provide a suitably qualified replacement; not make any changes to the Contractor s Representative, sub-contractors or the Key Staff without the prior written approval of the Authority, such approval not to be unreasonably withheld or delayed; and ensure that the Contractor s team uses reasonable skill and care during the Project. 4.4 The Contractor shall: observe, and ensure that the Contractor s team observe, all rules and regulations and any other reasonable requirements of the Authority; notify the Authority as soon as it becomes aware of any issues which arise in relation to the Project; and before the Commencement Date obtain, and at all times maintain all necessary licences and consents and comply with all relevant legislation in relation to the Project. 4.5 The Contractor acknowledges and agrees that the Authority is entering into this agreement on the basis that the details of the Project are accurate and complete in all material respects, and are not misleading. 4.6 The Authority shall: co-operate with the Contractor in all matters relating to the Project and appoint (and, as it thinks fit, replace) the Authority s Representative in relation to the Project, who shall have the authority contractually to bind the Authority on matters relating to the Project; provide such access to the Authority s premises and data, and such office accommodation and other facilities as may reasonably be requested by the Contractor and agreed with the Contractor in writing in advance, for the purposes of the Project; provide such information as the Contractor may reasonably request and the Contractor considers reasonably necessary, in order to carry out the Project, in a timely manner, and ensure that it is accurate in all material respects; and inform the Supplier of all health and safety rules and regulations and any other reasonable security requirements that apply at any of the Authority s premises. 62

63 5. Price and other financial provision 5.1 The total amount to be paid by the Authority to the Contractor shall not exceed the relevant amounts detailed in the Call-off Contracts Phase by Phase. Subject to these limits the Contractor is free to administer received payments within the terms of this Agreement without further reference to the Authority. The Contractor accepts, upon request from the Authority, to provide the Authority with complete, relevant and clear information about the allocation of monies paid by the Authority. In order to verify the compliance for payments with the requirements of this PCP, the tenderer accepts to provide not only a binding total price for the relevant Phase as well as a non-binding estimate for later Phase(s) but also the breakdown into cost categories and unit prices for each cost category; such unit prices will be also binding for later Phases. The Contractor may adjust the agreed rates of Phase 1 in Phase 2 and Phase 3 by a percentage that is not higher than the inflation rate calculated by the [insert relevant authority] compared to the year before. 5.2 Payments to third parties employed or hired by the Contractor, if any, shall remain the responsibility of the Contractor who shall ensure that such payments are made promptly. 5.3 During the Project Period, payments will be made by the Authority in accordance with dates and amounts specified in Section 4 (and as subsequently specified for Phases 2 and 3, where applicable). The Authority may suspend this payment schedule at any time if in the view of the Authority, acting reasonably, satisfactory progress on the Project has not been maintained, or reports have not been submitted as required under Conditions 15 and The Authority may request at any time such evidence as may reasonably be required that the Contractor has used the amounts paid in accordance with Section 4 (where applicable, as subsequently stated for Phases 2 and 3) in connection with the Project. The Contractor shall maintain proper financial records relating to the Project at all times during the Project Period and for a period of six years after the end of the Project Period. 5.5 The Contractor shall not make any material changes to the work detailed in Section 3, or the total amount payable under the Contract, without prior written approval being given by the Authority. 5.6 The Contractor grants to the Authority and to any statutory or regulatory auditors of the Authority and to authorised agents the right of reasonable access to (and if necessary to copy) the relevant financial records during normal business hours. 5.7 The Contractor shall provide all reasonable assistance at all times during the currency of the Agreement and during the period of two years after termination or expiry of this Agreement for the purposes of allowing the Authority to obtain such information as is necessary to fulfil the Authority s obligations to supply information for Parliamentary, Governmental, Judicial or other administrative purposes and/or to carry out an audit of the Contractor s compliance with this Agreement including all activities, performance, security and integrity in connection therewith. 5.8 On completion of the Project Period, the final payment under the Agreement will be paid by the Authority to the Contractor within 30 (thirty) days, provided that: the Project has been completed to the reasonable satisfaction of the Authority; 63

64 5.8.2 the reports required under Conditions 15 and 16 have been submitted by the Contractor; and agreement has been reached in respect of any remaining issues needed to be settled. 5.9 If at any time an overpayment has been made to the Contractor for any reason whatsoever, the amount of such overpayment shall be taken into account in the assessing of any further payments, or shall be recoverable from the Contractor at the Authority s discretion The Contractor shall keep and maintain until six years after this Agreement has been completed, or as long a period as may be agreed between the parties, full and accurate records of the Project including: all aspects of the Project; all expenditure paid by the Authority; and all payments made by the Authority, and the Contractor shall on request afford the Authority or the Authority s representatives such access to those records as may be required in connection with the Agreement Where the Contractor enters into a Sub-Contract with a supplier or contractor for the purpose of performing the Agreement, it shall cause a term to be included in such a Sub-Contract that requires payment to be made of undisputed sums by the Contractor to the Sub-Contractor within a specified period not exceeding 30 days from the receipt of a valid invoice, as defined by the Sub-Contract requirements Wherever, under the Agreement, any sum of money is recoverable from or payable by the Contractor (including any sum that the Contractor is liable to pay to the Authority in respect of any breach of the Agreement), the Authority may unilaterally deduct that sum from any sum then due, or which at any later time may become due to the Contractor under the Agreement or under any other agreement or contract with the Authority The Contractor shall make any payments due to the Authority without any deduction whether by way of set-off, counterclaim, discount, abatement or otherwise, unless the Contractor has a valid court order requiring an amount equal to such deduction to be paid by the Authority to the Contractor. 6. Set Off If any sum of money shall be due from the Contractor to the Authority or any other Government Department, the same may be deducted from any sum then due or which at any time thereafter may become due to the Contractor under this Agreement or any other agreement with the Authority or with any other department, office or agency of the Crown. 7. Variation 7.1 If at any time it appears likely that any provision of the Agreement, in particular the Project, needs to be amended, the Contractor shall immediately inform the Authority in writing requesting a Variation to the Contract, giving full details of the justification for the request and giving proposals for the Variation to the Agreement. Upon receipt of such a request the Authority may: 64

65 7.1 agree to vary the Agreement; 7.2 vary the Project in a manner which the Contractor agrees can be carried out within the Project Period and the Price with regard to the relevant Phases; 7.3 refuse the request and require the continuation of the Project in accordance with the Agreement; or 7.4 give notice of termination in accordance with Condition Any Variation to the Agreement shall be set out in a Variation to Agreement Form as set out at Schedule A to this Section 2 and signed by both Parties. 8. Staff Appointments 8.1 All staff providing Services in connection with this Agreement shall be bound by the same terms and conditions of service which are normally applicable to the Contractor s staff. 8.2 The Authority has a commitment to equal opportunities which the Contractor must adhere to. The Contractor must not discriminate on the grounds of gender, race, disability, sexuality, age or religion or otherwise allow any applicable employment legislation to be breached. 8.3 The Contractor will ensure that the terms and conditions of staff employed or hired to provide services in connection with this Agreement contain provisions in respect of Intellectual Property compatible with the terms of this Agreement. 8.4 The Contractor shall ensure that any individuals employed by or having a contract for services with the Contractor relating to this Agreement comply with any of the Authority s rules and regulations in this respect. 9 Publicity 9.1 During the Project Period, and prior to the publication of the Results or Data or of matters arising from such Results or Data in accordance with Condition 19, the Contractor shall not without the prior written consent of the Authority release, or otherwise make available to third parties, information relating to the Agreement or the Project by means of any public statement in particular any press announcement or displays or oral presentations to meetings. 9.2 In the event that the Contractor fails to comply with Condition 9.1 the Authority reserves the right to terminate the Agreement for Default by notice in writing effecting accordance with Clause Confidentiality 10.1 In respect of any Confidential Information that it may receive from the other Party and subject always to the remainder of this Clause 10, the receiving Party undertakes to keep secret and strictly confidential and shall not disclose any such Confidential Information to any third party, without the disclosing Party s prior written consent provided that: 65

66 the receiving Party shall not be prevented from using any general knowledge, experience or skills which were in its possession prior to the commencement of the contract concerned; and nothing herein shall be so construed as to prevent either Party from using data processing techniques, ideas, know-how and the like gained during the performance of the contract concerned in the furtherance of its normal business, to the extent that this does not result in a disclosure of confidential information or infringement of any valid Intellectual Property Rights of either Party or the unauthorised processing of any Personal Data Condition 10.1 shall not apply to any Confidential Information received by one Party from the other: which is or becomes public knowledge (otherwise than by breach of this Condition); which was in the possession of the receiving Party, without restriction as to its disclosure, before receiving it from the disclosing Party; which is received from a third party who lawfully acquired it and who is under no obligation restricting its disclosure; is independently developed without access to the Confidential Information as evidenced by receiving Party s written notes; or which must be disclosed pursuant to a statutory, legal or parliamentary obligation placed upon the Party making the disclosure The obligations of each of the Parties contained in Condition 10.1 above shall continue without limit in point of time. In the event that the Contractor fails to comply with this Condition 10.3 the Authority reserves the right to terminate the Agreement by notice in writing for Default in accordance with Clause Nothing in this Clause 10 shall be deemed to prevent the Authority from disclosing, publishing or otherwise make use of the Material, Results, Data, lessons learnt, experiences, or other key results of the Project. 11. Confidentiality of Personal Data 11.1 The collection, handling and use of Personal Data relating to individuals shall be treated as confidential at all times, save that the Parties shall nevertheless be entitled to disclose Personal Data as required pursuant to a statutory, legal or parliamentary obligation placed upon the Party The Contractor shall at all times be responsible for ensuring that all Personal Data (including Personal Data in any electronic format) is stored securely. The Contractor shall take appropriate measures to ensure the security of such Personal Data and guard against unauthorised access thereto or disclosure thereof or loss or destruction while in its custody Personal Data shall not be made available to anyone other than those employed directly on the Project by the Contractor, to the extent that they need access to such information for the performance of their duties. 66

67 11.4 The Contractor shall fully indemnify and hold harmless the Authority, its employees and agents against all liabilities, losses, costs, charges and expenses incurred as a result of any claims, demands, actions and proceedings made or brought against the Authority by any person arising from the loss, unauthorised disclosure of Personal Data by the Contractor, or any sub-contractor, servant or agent of the Contractor or any person within the control of the Contractor Subject to Condition 11.4, the Contractor shall at its own expense conduct any litigation arising from any such claims, demands, actions or proceedings and all the negotiations for the settlement of the same and the Authority hereby agrees to grant the Contractor exclusive control of any such litigation or the negotiations for the settlement of the same No information which would lead to the identification of an individual shall be included in any publications without the prior agreement in writing of the individual concerned. No mention shall be made of individual officers of the Authority, nor shall information be included which might lead to their identification, without the prior agreement in writing of the Authority The Contractor shall, at all times, comply with the provisions of the Data Protection Act 1998 [or corresponding applicable act of the relevant member state]. 12. Anonymising of Personal Data The Authority shall not be entitled to inspect, take or be supplied with copies of any specific basic factual (or raw ) Personal Data obtained in connection with the Project other than in an anonymised form. The Contractor shall ensure that all Personal Data is anonymised as and when it is obtained and that the key to personal identities of all persons to whom the Personal Data relates is kept in a separate and secure place. 13. Rights to Data Subject to the provisions of Condition 12, the Authority reserves the right to have access to and to use Data compiled during the course of the work and will respect existing guidance on confidentiality of any Data which it obtains. 14. Ethics The Contractor will ensure that work in any way connected with this Project is conducted in accordance with the Authorities guidelines as may be issued, or referred to, from time to time by the Authority, copies of which are to be made available to the Contractor as appropriate 15. Monitoring and Reporting 15.1 Progress of the Project will be reviewed periodically by the Authority s Representative against the specifications detailed in Section The Contractor shall provide an interim report when reasonably required to do so by the Authority. The interim report shall be in a form and otherwise in compliance with the guidance notes issued by the Authority s Representative as amended from time to time and shall detail all Data, methods, Results and provisional conclusions together with management information and any other information relating to the Project. 67

68 15.3 During the Project Period the Contractor shall provide verbal or written reports as reasonably required by the Authority on any aspect of the Project The Contractor will allow its facilities, procedures and documentation to be submitted for scrutiny by the Authority or its auditors in order to ascertain compliance with the relevant applicable laws and the terms of this Contract The Contractor shall retain and maintain all assets necessary to ensure continued compliance with legislation that may apply from time to time. 16. End of Phase Report and Evaluation 16.1 The Contractor shall provide an End of Phase Report on each relevant Phase of the Project, in the approved language, within 14 days of the Completion Date. The End of Phase Report shall be in the form as set out in Schedule B to this Section 2 and shall further be in compliance with the guidance notes issued by the Authority s Representative as amended from time to time or as otherwise required by the Authority s Representative and shall include the Data, methods, Results and final conclusions together with management information and any other information relating to the Project up to the Completion Date Notwithstanding the provisions of Conditions 15 and 16.1, the Authority s representative is entitled to carry out a visit to the Contractor s premises at any time for the purpose of due diligence and evaluation in respect of the Project. 17. Intellectual Property Rights 17.1 All Background Intellectual Property used or supplied under this Agreement in connection with the Project shall remain the property of the Party introducing the same and nothing contained in this Agreement or any licence agreement pertaining or pursuant to the Project shall affect the rights of either Party in its Background Intellectual Property The Contractor shall within two weeks of the signing of this Agreement provide the Authority with full information in writing about what Background Intellectual Property it (or any of its subcontractors) holds at the date of this Agreement that pertains or may pertain to the Project or any part thereof If the Contractor (or any of its subcontractors) generates new Intellectual Property, whether the Contractor (or subcontractor) intends to file for protection of it or not, the Contractor shall within one month from such generation inform the Authority about the contents of such Intellectual Property Subject to Conditions 17.5 and 18.5, the Intellectual Property rights, generated by the Contractor or any of its subcontractors, arising out of the Project ( Project Intellectual Property ) shall, in relation to the Authority, belong to the Contractor The Contractor gives the Authority and the group of [contracting authorities] in [project name] a worldwide free and non-exclusive licence to use the Project Intellectual Property and if necessary the Project Background Intellectual Property and any relevant open source licences for internal use with protection of claims of third parties as mentioned in article 24.7 and upon request offer licenses to third parties in EU Member 68

69 states or a country that is associated to FP7, at a fair market price with consideration of the rights of other third parties that do not accrue to the Contractor. 18. Exploitation of Intellectual Property 18.1 The Contractor shall inform the Authority of any Results which are capable of exploitation whether patentable or not The Contractor shall, as appropriate, devise, publish, implement and maintain procedures for the management of Intellectual Property in the Results and in particular, but without limitation, shall use all reasonable endeavours to ensure that: the Results of the Project are identified, recorded and carefully distinguished from the outputs of other research and development activities not covered by the Project; prior to any publication of the Results of the Project, patentable inventions arising from the Results are identified, duly considered for patentability and, where it is reasonable so to do, patent applications in respect thereof are filed at the British [or other relevant member state] or European Patent Office; and all such patent applications are diligently executed having regard to all relevant circumstances The Contractor shall permit the Authority to monitor the operation and effectiveness of the Contractor s procedures for the management of Intellectual Property in such a way as the Authority considers reasonably necessary Consistent with the good management of Intellectual Property and the agreement of the Authority, the Contractor shall use its best endeavours to: promote the dissemination of the Results of the Project; and where reasonable and practicable, exploit commercially such Results to generate either capital or revenue or both The Contractor may exploit commercially any publications arising from the Project If, within three years of its creation, any Project Intellectual Property has not been commercially exploited by the Contractor (and/or any potential subcontractors), and the Contractor (and/or any potential subcontractors) is not using its best endeavours to do so, or the Contractor (and/or any potential Subcontractor) is using the Project Intellectual Property to the detriment of public interest, the Contractor (and any potential subcontractors) shall if requested by the Authority assign the Project Intellectual Property rights to the Authority. 19. Publication 19.1 The Authority s Representative must be notified prior to any publication (whether in oral, written or other form) in particular any press announcement of the Research, Results or Data or of matters arising from such Results or Data that is made within a period of [insert relevant number] years from the expiry of the Project Period. One draft copy of the proposed publication shall be sent to the Authority s Representative at the same time as submission for publication or at least 28 days before the date intended for publication whichever is earlier. 69

70 19.2 In the event that the Contractor fails to comply with Condition 19.1 the Authority reserves the right to terminate the Agreement by notice in writing with immediate effect Subject to the provisions of Condition 10 and notwithstanding the provisions of Clause 17 the Authority may at any time freely publish or otherwise share with other contracting authorities the Material, Results, Data, or other lessons learnt, experiences, and key results of the Project Any publication resulting from work carried out under this Agreement shall acknowledge the Authority s financial support and carry a disclaimer as the Authority may require or in the absence of direction from the Authority a notice as follows: This report is work commissioned by the Authority. The views expressed in this publication are those of the author(s) and not necessarily those of the Authority. 20. Termination 20.1 Without prejudice to any other provision of the Agreement, this Agreement may be terminated by the Authority giving one months notice in writing to the Contractor, unless the time remaining to the end of the relevant Phase is less than one month, in which case the notification time shall be all remaining time to the end of that Phase. Should the option to terminate be exercised by the Authority, it shall indemnify the Contractor from and against all and any actual cost unavoidably incurred up until termination, and directly and exclusively attributable to work that the Contractor has been obliged to perform up until such time, by reason or in consequence of the termination provided that the Contractor takes all immediate and reasonable steps to minimise the loss With regards to Condition 20.1 the Authority will not pay any sum which, when taken together with any sums paid or due or becoming due to the Contractor under this Agreement, will exceed such total sums as would have been payable under this Agreement if the Contractor had fulfilled its obligations under this Agreement The Authority may at any time and from time to time by notice in writing terminate this Agreement without liability for any damage, loss or expenses arising as a result of or in connection with such termination if there is a change of control (as defined by section 416 of the Income and Corporation Taxes Act 1988) [or corresponding applicable act of the relevant member state] in Contractor. The Authority shall only be permitted to exercise its rights pursuant to this Condition 20.3 for 6 (six) months after any such change of control and shall not be permitted to exercise such rights where the Authority has agreed in advance in writing to the particular change of control and such change of control takes place as proposed. The Contractor shall notify the Authority within 2 (two) weeks of any change of control taking place The Authority may at any time and from time to time by notice in writing terminate this Agreement without liability for any damage, loss or expenses arising as a result of or in connection with such termination if: the Services are not in compliance with requirements on research and development services as defined in the Frascati Manual (Proposed Standard Practice for Surveys on research and Experimental Development, OECD, latest edition 2002) or in case of non-compliancy with any other requirement mentioned in the SILVER_01 Invitation to Tender and declared in the signed declaration that is part of the tender.; 70

71 any approvals consent or licences required under this Agreement are not given unconditionally within 6 (six) months of the commencement of the Project Period; the Contractor is subject to an Insolvency Event; the Contractor is in Default under this Agreement and if: the Default is capable of remedy and the Contractor shall have failed to remedy the Default within 30 (thirty) days of written notice being sent to the Contractor specifying the Default and requiring its remedy; or the Default is not capable of remedy; any provision of this Agreement (other than as previously specified in the preceding provisions of this Condition 20) expressly entitles the Authority to terminate this Agreement; the Contractor, or any Subcontractor on whose resources he has relied in the procurement that has preceded this Agreement, becomes subject to any exclusion criteria listed in the Invitation to tender; or 20.5 Termination of this Agreement by the Authority under the preceding provisions of the above Condition 20.4 shall (at the option of the Authority) terminate this Agreement with immediate effect as from the date of service of the notice of that termination or from the expiry of a period (not exceeding 6 (six) months) specified in that notice. 21. Consequence of Termination 21.1 Termination of this Agreement, however caused, shall not: release the Contractor from any duty or obligation of confidence which falls on it, its servants, agents, employees or former employees under this Agreement or under the general law governing confidential information; prejudice or affect any rights, action or remedy which shall have accrued before termination or shall accrue thereafter to any Party. 22. Equipment 22.1 The Contractor shall take all practical steps to purchase all materials, equipment, and services at a fair and reasonable price. 23. Warranties and Indemnities 23.1 The Contractor warrants and represents that: the Contractor has full capacity and authority and all necessary licences, permits and consents to enter into and perform this Agreement; this Agreement is executed by a duly authorised representative of the Contractor; 71

72 there are no actions, suits or proceedings pending or, to the Contractor s knowledge, threatened against or affecting the Contractor before any court or administrative body or tribunal that might affect the ability of the Contractor to meet and carry out its obligations under this Agreement; the Project will be carried out by appropriately experienced, qualified and trained personnel with all due skill, care and diligence; the Contractor will discharge its obligations hereunder with all due skill, care and diligence including, but not limited to, good industry practice and (without limiting the generality of the foregoing) in accordance with its own established internal procedures; the Contractor will attribute (for Phase 1 as well as for each subsequent Phase for which he is awarded a contract) the monies [or a specified minimum requirement percentage, exceeding 50 per cent] paid by the Authority hereunder to the Research, the provision of the Project and the Authority s use thereof shall not infringe any Intellectual Property Rights of any third party the Contractor will comply in Phases 2 and 3 - in the event he is awarded a contract for these Phases - with all national requirements concerning safety, ethics and healthcare regulation in the countries of the Group of Silver contracting Authorities. Contractor will be informed about these requirements before Phase 2 and Indemnity, Insurance, and limitation of the Authority s liability 24.1 The Contractor shall indemnify the Authority, their officers, servants and agents fully against any liability, loss, claim or proceedings whatsoever arising under any statute or at common law in respect of: any damage to property, real or personal, including any infringement of third party Intellectual Property rights whether patents, copyright, registered designs or otherwise; any injury to persons, including injury resulting in death; and arising out of or in the course of or in connection with the Project except in so far as such damages or injury shall be due to any act or neglect of the Authority The Contractor shall promptly notify the Authority if any claim or demand is made or action brought against the Contractor for infringement or alleged infringement of Intellectual Property which might affect the Project The Contractor shall effect and maintain with a reputable insurance company a policy or policies of insurance providing an adequate level of cover in respect of all risks which may be incurred by the Contractor, arising out of the Contractor s performance of the Agreement The Contractor shall hold employer s liability insurance in respect of staff in accordance with any legal requirement for the time being in force The Contractor shall produce to the Authority s Representative, on request, copies of all insurance policies referred to in this Condition or other evidence confirming the existence and extent of the cover given by those policies, together with receipts or other 72

73 evidence of payment of the latest premiums due under those policies The terms of any insurance or the amount of cover shall not relieve the Contractor of any liabilities under the Agreement. It shall be the responsibility of the Contractor to determine the amount of insurance cover that will be adequate to enable the Contractor to satisfy any liability referred to in Condition In no event shall the Authority be liable the Contractor for indirect or consequential loss or damage. 25. Assignability and Preferred Partner 25.1 The Contractor shall not sub-contract, transfer or assign the whole or any part of this Agreement without the prior written consent of the Authority whose consent may be subject to such terms and conditions as the Authority may see fit to impose. Such consent will only be given if the acquiring party, who is to assume all corresponding obligations of the Contractor under this Agreement, can prove to the full satisfaction of the Authority that the acquiring party fulfils all minimum requirements and selection criteria of the procurement that has preceded this Agreement The Contractor shall be responsible for the acts and omissions of his Sub-contractors as though they were his own The Authority may, prior to the deadline for bids for Phase 2 without any consent from the Contractor being required and on the condition the Contractor is duly informed within said time request a third party, that is a procuring entity under its national laws to become a preferred partner to this Agreement ( Preferred Partner ). Such a Preferred Partner shall have access to all information (also Confidential Information) resulting from the PCP and will most probably (depending on the Agreement between the Authority and the Preferred Partner) conduct testing in Phases 2 and 3. Such Preferred Partner shall not assume the rights, obligations and liabilities under article 17 and 18 of this Framework agreement in relation to the Contractor. Such Preferred Partner shall assume the rights, obligations and liabilities in relation to the Contractor specified in articles 10, 11, 12, and 13 of this Framework agreement, the Authority remaining entitled and obligated as before. The Contractor shall not be entitled to any additional payments as a consequence of the Preferred Partner entering into this Agreement. The status as Preferred Partner under this subsection 25.3 may only be awarded to one further Authority or entity per country of the Group of [name of project] contracting Authorities domiciled in [insert the relevant geographical area] Should the Authority (or any New Authority) become subject to a merger, split, or other restructuring measure, its rights and obligations shall automatically without any consent from the Contractor being required transfer to the new (where this is the case) legal entity that is to continue the activities encompassed by this Agreement. In no case shall the rights and obligations of the parties hereunder be affected by any changes in the ownership of the Authority (or any New Authority). 26. Severability 26.1 If any provision of this Agreement is held invalid, illegal or unenforceable for any reason by any court of competent jurisdiction, such provision shall be severed and the remainder of 73

74 the provisions hereof shall continue in full force and effect as if this Agreement had been executed with the invalid provisions eliminated In the event of a holding of invalidity so fundamental as to prevent the accomplishment of the purpose of this Agreement, the Parties shall immediately commence good faith negotiations to remedy such invalidity. 27. Waiver The waiver by the Authority of any right or remedy in respect of any breach of any term or condition or requirement of this Contract shall not prevent the subsequent enforcement thereof and shall not be deemed to be a waiver of any right or remedy in respect of any subsequent breach. 28. Corrupt Gifts or Payments 28.1 The Contractor shall not: offer or give, or agree to give, to any employee or representative of the Authority any gift or consideration of any kind as an inducement or reward for doing, or refraining from doing or having done or refrained from doing, any act in relation to the obtaining or execution of this or any other Contract with the Authority or for showing or refraining from showing favour or disfavour to any person in relation to this or any such Contract enter into this or any other Contract with the Authority in connection with which commission has been paid by him or on his behalf, or with his knowledge, unless before the Contract is made, particulars of any such commission and the terms and conditions of any agreement for the payment thereof have been disclosed in writing to the Authority Any breach of this condition, by the Contractor or by anyone acting on his behalf or employed by him, whether with or without his knowledge, or the commission of any offence by the Contractor or by anyone acting for him or employed by him under applicable legislation on bribery and corruption etc. in relation to this or any other Contract shall entitle the Authority to terminate the Contract and recover from the Contractor the amount of any loss resulting from such a termination and/or recover from the Contractor the amount or value of such gift, consideration or commission. 29. Dispute Resolution 29.1 Any dispute between the parties arising out of or in connection with this Contract (other than in relation to the payment of any money) shall in the first instance be referred to the Contractor s Representative and the Authority Representative for resolution. The parties agree to work together in good faith to reach an agreed settlement of any such dispute If within 14 days of the meeting of the Contractor s Project Manager and the Authority Contract Manager the dispute has not been resolved, the Parties agree to submit the dispute to a Director of the Contractor and the appropriate Officer of the Authority or such other person as the Authority sees fit and who shall have responsibility to settle such dispute on behalf of the Authority. The Parties shall meet within 7days of the 74

75 reference to them of any dispute and shall work together in good faith to resolve the dispute If within 14 days if the dispute has not been resolved, the dispute may be referred, by either Party, to mediation by a mediator to be agreed between the Parties. The fee for the appointed mediator shall be shared equally between the Parties Nothing in Clauses or 29.3 shall preclude either Party from commencing an action in a court of law in England [or relevant member state] for a legal remedy where time is of the essence and the remedy sought is only available in a court of law. In all other circumstances the Parties shall attempt to resolve a dispute in accordance with Clause 29.2 before embarking on litigation If the matter cannot be resolved through mediation, the Parties will, at the request of either of them, attempt in good faith to resolve the dispute through an agreed Alternative Dispute Resolution ( ADR ) procedure If the matter has not been resolved by an agreed ADR procedure within one month of the initiation of such procedure, the dispute shall be referred to a single arbitrator to be agreed upon by the Parties or in default of agreement within 14 days to be nominated by the President for the time being of the Chartered Institute of Arbitrators in accordance with the Arbitration Act The arbitration shall take place in London and shall be in accordance with the Arbitration Act 1996 and such arbitration rules as the Parties may agree or, in default of agreement, in accordance with the Rules of the London Court of International Arbitration which Rules are deemed to be incorporated by reference into this Condition The decision of the arbitrator shall be final and binding on the Parties. 30. Notices 30.1 All notices to be given hereunder shall be in writing and may be served either personally at or by registered post to the address of the relevant Party as set out in Section 5, or as it may from time-to-time be notified in writing to the other Party and in the case of postal service shall be deemed to have been given 3 working days after the day on which the notice was posted. 31. Relationships This Agreement does not make any Party the employee, agent, partner or legal representative of the other Party for any purpose whatsoever. No Party is granted any right or authority to assume or create any obligation or responsibility, expressed or implied, on behalf of or in the name of the other Party. In fulfilling obligations pursuant to this Agreement the Contractor shall be acting as an independent contractor. 32. Freedom of Information Act 2000 [or corresponding applicable act of the relevant member state] 32.1 The Contractor acknowledges that the Authority is subject to the requirements of the FOIA and the Environmental Information Regulations 2004 and shall assist and cooperate with the Authority to enable the Authority to comply with these Information disclosure requirements. 75

76 32.2 The Contractor shall and shall procure that its sub-contractors shall: transfer any request for Information to the Authority as soon as practicable after receipt and in any event within five working days of receiving a request for Information; provide the Authority with a copy of all Information in its possession or power in the form that the Authority requires within five working days (or such other period as the Authority may specify) of the Authority requesting that Information; and provide all necessary assistance as reasonably requested by the Authority to enable the Authority to respond to a request for Information within the time for compliance set out in section 10 of the FOIA or regulation 5 of the Environmental Information Regulations The Authority shall be responsible for determining at its absolute discretion whether any commercially sensitive Information and/or any other Information: is exempt from disclosure in accordance with the provisions of the FOIA or the Environmental Information Regulations 2004; is to be disclosed in response to a request for Information, and in no event shall the Contractor respond directly to a request for Information unless expressly authorised to do so by the Authority Notwithstanding the provisions of Condition 10, the Contractor acknowledges that the Authority may, acting in accordance with the Department for Constitutional Affairs Code of Practice on the Discharge of Functions of Public Authorities under Part I of the Freedom of Information Act 2000, be obliged under the FOIA, or the Environmental Information Regulations 2004 to disclose confidential Information: without consulting with the Contractor, or following consultation with the Contractor and having taken its views into account The Contractor shall ensure that all information produced in the course of the Agreement or relating to the Agreement is retained for disclosure and shall permit the Authority to inspect such records as requested from time to time. 33. Unlawful Discrimination and Human Rights 33.1 The Contractor must comply with all primary legislation of the United Kingdom including but not limited to the Equalities Act of 2000 and... [Or correspondingly relevant wording for the concerned member state] 33.2 The Contractor shall not discriminate directly or indirectly or by way of victimisation or harassment against any person on racial grounds; 33.3 The Contractor shall notify the Authority immediately of any investigation of or proceedings against the Contractor and shall cooperate fully and promptly with any requests of the person or body conducting such investigation or proceedings, including allowing access to any documents or data required, attending any meetings and providing any information requested. 76

77 33.4 The Contractor shall indemnify the Authority against all costs, claims, charges, demands, liabilities, damages, losses and expenses incurred or suffered by the Authority arising out of or in connection with any investigation conducted or any proceedings brought under any primary legislation on unlawful discrimination or human rights due directly or indirectly to any act or omission by the Contractor, its agents, employees or sub-contractors In addition to its obligations under Conditions 33.1 to 33.4 above, the Contractor shall ensure that it complies with all current employment legislation or any other relevant legislation relating to discrimination in the employment of employees for the purpose of providing the Project. The Contractor shall take all reasonable steps (at its own expense) to ensure that any employee employed in the provision of the Project does not unlawfully discriminate within the meaning of this Condition 33.5 and shall impose on any sub-contractor obligations substantially similar to those imposed on the Contractor by this Condition The Contractor shall undertake, or refrain from undertaking, such acts as the Authority requests so as to enable the Authority to comply with its obligations under any primary legislation on unlawful discrimination or human rights The Contractor agrees to indemnify and keep indemnified the Authority against all loss, costs, proceedings or damages whatsoever arising out of or in connection with any breach by the Contractor of its obligations under Condition No Rights of Third Parties A person who is not a Party to this Agreement shall have no right to enforce any terms of it which confer a benefit on him. 35. Entire agreement This Agreement constitutes the entire agreement between the parties relating to its subject matter. Each Party acknowledges that it has not entered into this Agreement on the basis of any warranty, representation, statement, agreement or undertaking except those expressly set out in this Agreement. Each Party waives any claim for breach of this Agreement, or any right to rescind this Agreement in respect of, any representation which is not an express provision of this Agreement. However, this clause does not exclude any liability which either Party may have to the other (or any right which either Party may have to rescind this Agreement) in respect of any fraudulent misrepresentation or fraudulent concealment prior to the execution of this Agreement. 36. Law This Agreement shall be considered as a Contract made in England [or relevant member state] and be construed in accordance with English Law [or other relevant jurisdiction]. Subject to Condition 29, the English Courts [or courts under other applicable jurisdiction] will have exclusive jurisdiction to deal with any dispute which has arisen or may arise out of or in connection with this Agreement or the procurement procedure that has preceded it, except that either Party may bring proceedings for an injunction in any jurisdiction. 77

78 78

79 SCHEDULE A VARIATION TO CONTRACT FORM Project Title:... Tender No:. Contract between the ( the Authority ) and [ ] ( the Contractor ) dated ( the Contract ) Variation No: Date: 1. The Contract is varied as follows: 2. Words and expressions in this Variation shall have the meanings given to them in the Contract. 3. The Contract, including any previous Variations, shall remain effective and unaltered except as amended by this Variation. SIGNED: For: The Authority By:. Full Name:. Position:. Date:. For: The Contractor By:. Full Name:. Position:. Date:. 79

80 SCHEDULE B END OF PHASE REPORT FORM (See separate template, End of Phase Report Form_7) 80

81 SECTION 3 CALL-OFF CONTRACT FOR PHASE 1 This call-off contract is made between (1) [ ] ("the Authority") (2) [ ] ("the Contractor") Whereas: 1. The Authority and the Contractor signed the Framework Agreement for [..] dated [insert date], which provides for Call-off Contracts to be executed during the time of the Framework Agreement 2. The Contractor has send in a tender on [date] with reference to the Authority for Phase 1; 3. In this call-off contract specific conditions are laid down in relation to the performance of the work by the Contractor. IT IS AGREED as follows: 1. Object 1.1 The Authority hereby commissions the Contractor to perform the Services as described in the tender submitted by the Contractor on [date], Ref [reference], in so far as this Agreement does not contain any provisions to the contrary, <(add if relevant) on the understanding that [free text: changes in relation to tender,: reference to any call-off contracts including dates, etc], which commission the Contractor hereby accepts.> 1.2 The following documents form an integral part of this Agreement. In so far as any of them are inconsistent with each other, a higher ranked document will take precedence over a lower ranked document: - Framework Agreement; - The Call-off Contract Phase 1; - Invitation to tender; - Brief; - The tender. 1.3 Capitalised words and phrases in this Agreement shall, unless defined herein, have the same meaning as defined in the Framework Agreement. 81

82 2. Conclusion and duration 2.1 This Call-off Contract shall take effect once it has been signed by both/all parties. 2.2 The agreed Services will be completed by [end date]. Or <The agreed Services will be performed in the period from [start date ] to [end date].> 3. Price and other financial provisions 3.1 Payments will be made on the basis of the payment schedule. 3.2 The fixed sum referred to in Article 3.1 amounts to EUR [price] including VAT, travel and accommodation and all other costs. 3.3 The agreed rates are fixed and will remain unchanged for the duration of this Agreement. 3.4 The remainder will be paid after the result of the Services has been received and accepted. 3.5 The invoices should be drawn up by the Contractor, stating the reference number stated at the top of this Call-off Contract and the names of the Contracting Authority s and the Contractor s contacts, and should be sent to: 4. Representatives (Project Managers) 4.1 The Authority s contact is [name and function]. The Contractor s contact is [name and function] 5. Final provision 5.1 It is intended that the indicated amounts will be paid by the Authority to the Contractor within xxx (advisory) 30 days of the dates listed. [To be divided between and elaborated for Phase 1, Phase 2, and Phase 3, where prices and payments shall be fixed and precise for Phase 1, but may at the time of the Agreement be only preliminarily indicated for Phases 2 and 3] 82

83 Signed by the duly authorised signatory of the Authority: Signature Full Name Position Held Date Signed by the duly authorised signatory of the Contractor: Signature Full Name Position Held Date

84 Payment schedule Date Amount (Euros) Monthly payment dates to be added Financial Year 20XX/XX sub-total Financial Year 20XX/XX sub-total Financial Year 20XX/XX sub-total TOTAL 84

85 SECTION 4 KEY STAFF [NAME & FULL POSTAL ADDRESS] [The Contractor's Representative] [NAME & ADDRESS] [NAME & ADDRESS] [NAME & ADDRESS] [NAME & FULL POSTAL ADDRESS] [The Authority's Representative] 85

86 SECTION 5 DOCUMENTS DOCUMENT TYPE: REFERENCES TO QUOTE Phase 1 Documents 001 Invitation to Tender Document (Process and Timelines) 002 Challenge Brief 003 Guidance (for completing Tender Form) 004 Tender Form 005 Questions and Answers Document 006 Sample Framework Agreement Phases 1-3 (this document) 007 End of Phase Report Form Documents not included above are intentionally excluded from this Agreement. 86

87 SECTION 6 CONTRACT FOR PHASE 2 Based upon model for Phase 1 87

88 SECTION 8 CONTRACT FOR PHASE 3 Based upon model for Phase 1. 88

89 [Insert name of PCP here] End of Phase Report Form End of Phase Report Form Template (End of Phase Report Form_7) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 89

90 EXAMPLE DOCUMENT FOR ALL PHASES Review this document for each PCP/ each phase, paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] End of Phase Report Form The purpose of the end of phase report is to ensure that contractors have performed the procured R&D services as specified in the framework agreement. Please describe the work undertaken during phase [insert 1, 2 or 3 as appropriate], including what work was completed and why this was important. Please complete this form as fully as possible. This report must be submitted within [insert number of days make sure the period is consistent with the contract] of the completion/ termination of the phase. You are advised that satisfactory completion of this report forms part of the contract. [CLARIFY HOW TO SUBMIT FORM DEPENDING ON SPECIFIC PCP.] The objectives of reporting: To create an understanding of the work undertaken and its success in meeting the projects agreed objectives. Also, to provide the company with a comprehensive report to share with stakeholders and those that may help further commercialisation. The report should be completed by the contractor, with input from any sub-contractors or project partners as appropriate. Please answer, wherever possible, on behalf of the business units, divisions, companies or other legal entities involved in the work. If this is not possible, please specify the organisation to which your answers refer. The paragraph below describes how the results from the procured R&D services should be presented. It is only an example: adapt as suitable. Another option is to ask for, or allow contractors to attach, e.g. concept studies, test result protocols etc. Please answer the questions in the spaces provided. Try to answer fully, but keep your answers succinct and no longer than necessary to clearly explain them. When describing technical solutions, please regard your audience as being someone familiar with the technology, but not an expert. The report may be done in narrative alone. However, diagrams or pictures may be added where these aid clarity within the restriction on the page limit of a total of [insert number, e.g. six] sides of A4. Because the true impact of an R&D project often takes several years to emerge, we may approach you for up to six years after project completion to follow up on the questions in this report. Your co-operation with any such follow up work is greatly valued. 90

91 1. Details Type of Organisation: Please Select One Registered Name of Organisation: Registered Address: Town/ City: Postcode: County: Country: Report Author: Telephone Number: Address: Project Reference: [Change format of reference as required] Report Type: Please Select Total Contract Price [insert currency] Start Date: End Date: Sub-contractors: 2. At the outset of this piece of work, what were your aims and objectives? 91

92 3. Please provide a summary off the outputs of this piece of work and relate these to the original objectives. How do the outputs address the challenge of this PCP? 4. Describe any changes to the original plan in the [tender/ bid]. What was the reason for these changes? Please include any circumstances that aided or impeded the progress of the project and the actions taken to overcome them. 92

93 5. Please provide a short factual summary of the most significant outcomes of your work. 6. Describe the innovative aspects of the work, including any new findings or techniques. 93

94 7. Describe where the R&D and other operational activities have been performed. 8. Please provide complete and clear information about the allocation of monies paid by the Authority with consideration to the R&D service contract minimum requirement (that more than 50% of the contract value is attributable directly and exclusively to legitimate R&D services). 94

95 9. Describe any potential long-term collaborations/ partnerships entered into. Please list the organisation/s and the role they played in the project. 10. Please describe how your organisation has gained from this project. What new business opportunities have been created? Do you expect your organisation to grow as a result of this project? 95

96 11. Describe the potential for exploiting the work. Please identify any new intellectual property which has been filed or for which filing is anticipated. Question 12 only to be answered for report on Phase 1: 12. Describe the suitability of the project results for: (a) developing a prototype, and (b) development of test series in order to facilitate assessments of progress into next phase. 96

97 Question 13 only to be answered for report on Phase 2: 13. Describe the suitability of the project results for developing test series in order to facilitate assessments of progress into next phase. 14. Please insert additional information that may be pertinent. This may be in the form of text, pictures, diagrams, data, graphs that support the work. Additional questions may be added below. 97

98 15. Describe what ethical aspects you have identified and how this may influence your solution. Financial Report Labour Price Unit price Quantity Quoted price ( ) Total Price ( ) Materials Capital Equipment Sub Contract Travel and accommodation Other (specify) TOTAL PRICE (excluding VAT) TOTAL PRICE (including VAT)* 98

99 [Insert name of PCP here] Invitation to Information Meeting Invitation to Information Meeting Template (Invitation to Information Meeting _8) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Johan Lundström, VINNOVA (editor) 99

100 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Invitation to Information Meeting in [city, date, month, year] As stated in the Invitation to Tender for [insert name of PCP], an information meeting will be arranged in [city, date, month, year]. Minutes of the meeting will be published at [insert web page]. Amend and adjust as needed if several information meetings are planned to be held. Meeting venue [Place/site] [Address] [City] [Country] [Conference room] Tentative agenda Short presentation of the members of the contracting authority/ authorities Introduction of the and purpose with the PCP Presentation of [name of PCP] road map Questions in advance submitted to [the contracting authority]. Further question Amend and adjust as needed. After the meeting there will be an opportunity to network with other companies. There will only be possibility for a limited number (1-2) of representatives from each potential tenderer. Application for participation should be addressed to [insert ]. 100

101 [Insert name of PCP here] Guidance for Assessors Guidance for Assessors Template (Guidance for Assessors_9) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 101

102 EXAMPLE DOCUMENT This document should be reviewed for each PCP, paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Guidance for Assessors This document accompanies the score sheet (Score Sheet_10) for the [insert name of PCP] pre-commercial procurement and provides notes on the assessment criteria for tenders submitted. Assessors should refer to this document to help them mark the tenders they have been assigned. Assessors are required to assess each tender according to the questions detailed in the scoresheet (Score Sheet_10). Particular notice should be payed to the issue of value for money, i.e. does the tendered price reflect a fair market price. Assessors are advised to read the Challenge Brief [insert name of Challenge Brief] (Challenge Breif_2) and the Invitation to Tender (Invitation to Tender_1) before looking at the tenders they are asked to assess. Assessor Guidance Tenderers have been asked to present a response for their proposed idea within the spaces available on the tender form (Tender Form_4). Tenderers were directed to the guidance for tenderers document (Guidance_3), which described the information required for each section. If you are, or become, aware of a conflict of interest between yourself and the tenderer, then you should stop reading the tender and inform us immediately. You should also destroy all electronic and/or paper copies of the tender. You are considered to have a conflict of interest inter alia if: you have been directly involved in the writing of the tender/ bid; you work for or have an interest in an organisation involved in the tender; or, you feel in any way that you are not able to independently and objectively assess a tender. Please remember that you have been selected as an assessor because of your recognised technical and/ or business knowledge in this area. Remember that tenders should be treated confidentially and should not be shared with others. 102

103 Each tender form should have been completed using a font size no smaller than 10 (Arial) [change if not applicable]. Use of acronyms should have been kept to a minimum and tenders should not have assumed that the reader knows what they mean. Tenderers have been told to define acronyms, bearing in mind that individual sections of the tender may be read separately during the selection process. Tenderers have been instructed that the prices quoted must reflect a fair market price. Please be mindful of the appendices that tenderers may have appended to the tender. You should not assess any more than the number of pages allowed, [insert number] number of pages, as this could potentially give an unfair advantage over tenderers that have complied with the rules stated [delete these sentences if appendices have not been allowed/ or a fixed form is used]. Assessors should ensure they use the full range of scores available. If a tenderer s response to a question is really good and performs well on all assessment criteria, do not be afraid to award it maximum marks, if you feel it warrants the score. Like-wise if the response to a question has not fulfilled any of the assessment criteria, do not be afraid to mark it with 1 or 2. This is the basis for the marking scheme presented below. The total number of marks available is [insert number], please do not mark zero [amend as appropriate for marking scheme]. The scoring will be made according to an absolute scale, meaning that several tenderers can receive the same score, and that the point a particular tenderer receives is not affected by the points other tenderers have received. Please provide constructive feedback in the comments areas on the score sheet. Comments should reflect the score you are awarding for each question. Please refrain from asking questions in your comments. Additionally, do not refer to a specific company or people, or projects, or anything which may identify you to others. Please remember that all comments recorded on the score sheet, may, under the Freedom of Information Act [or other applicable act], be disclosed to other parties. 103

104 Marking Scheme The scoring guide below gives indicative marks. You are free to use the full range up to the maximum per question. Scoring will be made anywhere between [insert minimum and maximum score], e.g. 5 or 5,5. Fill in your marks on the score sheet (Score Sheet_10). EXAMPLE The marks and criteria are examples. Adjust as appropriate to your chosen model. Also insert weighting information if this is used. Impact on Challenge I. The extent of how well the proposed idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will it have the desired impact Scoring Guide [1] There is no indication that the proposal will meet the challenge [4] There is very little indication that the proposal is likely to meet the challenge [8] There is little indication that the proposal is likely to meet the challenge [12] There is some indication that the proposal is likely to meet the challenge ]16] There is indication that the proposal will meet the challenge [20] There is clear indication that the proposal will meet the challenge II. Scoring Guide Potential of the proposal to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) [1] The project shows no potential to address future/ wider challenges in the area [2] The project shows little potential to address future/ wider challenges in the area [4] The project shows some but limited potential to address future/ wider challenges [6] in The the project area shows potential to address future/ wider challenges in the area (including in particular novel, innovative approaches) [8] The project shows adequate potential to address future/ wider challenges in the area (including in particular promising new concepts, approaches, methodologies, tools or technologies) [10] The project shows very high potential to address future/ wider challenges in the area (including in particular innovative, showing use of novel concepts, approaches, methodologies, tools or technologies) 104

105 III. Scoring Guide The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market [1] The tender gives no indication that the solution will be commercially feasible [4] The tender gives little or no confidence that the solution will be commercially feasible [8] The tender gives some indication that the solution may be commercially feasible, however, there is little confidence in the approach [12] The tender gives some indication that the solution will be commercially feasible ]16] The tender gives indication and confidence that the solution will be commercially feasible [20] As described, the proposed outcome shows strong promise of commercial feasibility If specific criteria for the PCP are used, insert table for this here. If so, mind the numbering henceforth. Technical approach IV. Validity of the technical approach that will be adopted Scoring Guide [1] There is no information given on the technical approach [2] The technical approach is poorly described [4] The technical approach described is unlikely to be valid for this challenge [6] The technical approach is valid but may not be sufficient to meet the challenge [8] The technical approach described is valid and is likely to meet the challenge [10] The technical approach described is highly valid and shows a strong likelihood to meet the challenge Quality of the Tender V. The extent to which the tender shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish phase 3 in time Scoring Guide [1] The tender does not contain a plan or milestones for the development of a working solution [2] The tender goes some way to describe a plan for the development of a working solution. [4] The tender contains a brief plan for the development of a working solution. [6] The tender contains a relatively clear plan for the development of a working solution. [8] The tender contains a clear plan for the development of a working solution. [10] The tender contains a very clear plan for the development of a working solution. 105

106 VI. Effectiveness of the project management Scoring Guide [1] Project management is not described in the tender. [2] Project management is poorly defined and gives little confidence that the project will be managed appropriately. [4] Project management is defined but gives little confidence that the project will be managed appropriately. [6] Project management is well defined; this may result in a well-managed project. [8] The tender shows a good management plan that should enable resources to be used appropriately, and shows some exploitation of research outputs [10] The tender shows a strong management plan that will enable resources to be used appropriately, and will ensure maximum exploitation of high quality outputs VII. Scoring Guide The extent to which the tenderer and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the tender [1] There is no information that describes that the tenderer or any sub-contractor(s) have dedicated adequate resources. [2] There is minimal information that describes that adequate resources have been dedicated of the tenderer or any sub-contractor(s), therefore it is very difficult to make an assessment. [4] There is some information that adequate resources have been dedicated from the tenderer or any sub-contractor(s), but they appear unlikely to be sufficient for the project. [6] There is information, and adequate resources appear to have been dedicated from the tenderer or any sub-contractor(s). [8] There is information, and it clearly supports that adequate resources have been dedicated from the tenderer or any sub-contractor(s). [10] There is information, and it allows for an unreserved conclusion that adequate resources have been dedicated from the tenderer or any sub-contractor(s). VIII. Scoring Guide The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed [1] The tender does not mention risks or how the tenderer intends to manage these [2] Management of risk is ill-defined and inappropriate [4] Management of risk is defined but is inadequate for this project [6] Risk is clearly considered and proposed management of it is appropriate [8] Risk is well defined and will be well managed [10] Risks are well understood and articulated in the tender and will be managed appropriately 106

107 Price IX. Scoring Guide [X] [Insert price model providing e.g. a graded linear scale, where X point is given a tender offering the applicable maximum price, and Y point is given to a defined lowest level] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [Y] [Insert defined lowest price level] If additional questions have been added to the tender form template, guidance showing assessors how they should score should be placed from here onwards to maintain alignment with the tender form. Amendments must also be made to the assessment score sheet, paying particular attention to the calculations embedded in the sheet. 107

108 [Insert name of PCP here] Score Sheet Score Sheet (Score Sheet_10) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Widmark, N (editor) 108

109 Summary Number of Questions (including Gateway) marked (exactly 10 when complete) Number of Feedback Comments Made (exactly 9 when complete) 1 0 Current Score Sheet Status: Incomplete The following cells require input to H18 D20 H22 D24 H26 D28 H31D33 H36 D38 H40 D42 H44 D46 H48 D50 H53 complete the scoresheet: D55 D63 INSERT TITLE OF COMPETITION INSERT LOGOTYPE OF CONTRACTING AUTHORITY Tender Number Lead Organisation Name Please enter your score for each question, (for question I: 1 is lowest and 20 is highest; for questions II - VIII, 1 is the lowest and 10 is the highest; for question VIII: 1 is lowest and 20 is highest; and for question IX, 1 is the lowest and 30 is the highest). Please refer to the guidance given to assesssors. Additionally, please justify your score with constructive comments that are suitable to return to the tenderers You are limited on character length, please do not use 1st person terms such as I, Me etc. As a courtesy we would appreciate it if you could spell check your assessment to ensure none of your comments can be misinterpreted. IMPACT ON CHALLENGE Project Title I. The extent of how well the proposed idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will it have the desired impact Section score: (out of 20) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. II. Potential of the proposal to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) Section score: (out of 10) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. III. The extent of which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market Section score: (out of 20) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. TECHNICAL APPROACH IV. Validity of the technical approach that will be adopted Section score: (out of 10) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. 109

110 QUALITY OF THE TENDER V. The extent of which the tender shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish phase 3 in time Section score: (out of 10) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. VI. Effectiveness of the project management Section score: (out of 10) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. VII. The extent of which the tenderer and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the tender Section score: (out of 10) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. VIII. The extent of which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed Section score: (out of 10) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. PRICE [Adjust depending on price model.] IV. [Insert price model providing e.g. a graded linear scale, where X point is given a tender offering the applicable maximum price, and Y point is given to a defined lowest level] Section score: (out of 30) Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. [X. YOU MAY ADD ADDITIONAL CRITERIA TO ALIGN WITH ANY ADDITIONAL QUESTIONS ASKED ON THE TENDER FORM (OR DELETE AS APPLICABLE)] Please justify your statement by writing two or three sentences which will be returned to this tenderer as feedback. Do you believe that this tender should be awarded with a contract? No Please justify your statement by writing two or three sentences which will be returned to this applicant as feedback. Thank you for your assessment of this tender Please Check that the Score Sheet Status is marked as "Complete, Please submit" Total Score 0 IF ADDITIONAL QUESTIONS HAVE BEEN ADDED TO THE TENDER FORM TEMPLATE, AMMENDMENTS MAY ALSO BE MADE TO THIS SCORESHEET. IF MAKING AMMENDMENTS PLEASE PAY ATTENTION TO THE CALCULATIONS EMBEDDED IN THIS SHEET. 110

111 [Insert name of PCP here] Decision Notice Decision Notice Template (Decision Notice _11) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 111

112 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. It is suggested to send out the decision notice with a cover letter. If a cover letter is not used, insert dates, greeting phrase etc. directly into this document. [Insert name of PCP here] Assessment All tenders eligeble and not subject to the exclusion criteria have been evaluated by a number of experts and a decision panel, as accounted for in the Invitation to Tender. [DESCRIBE THE PROCESS OF ASSESSING TENDERS SCHEMATICALLY] [number] tenders were recevied, and [number] were uneligeble for contract or excluded under the exlusion criteria in the Invitation to Tender document. If minimum requirements or other requirements concerning the tenders are used, choose one of the below: [ALT 1:] All tenders received have met the requirements set out in the tender documents. [ALT 2:] Tender from [Name] has not fulfilled the requirements for [insert requirements] and have therefore been excluded from further evaluation. All other tenders received have met the requirements set out in the tender documents. Decision Notice By a decision on the [date, month, year], [the contracting authority] has decided to award contract to the following tenderers: [LIST THE TENDERERS AWARDED CONTRACTS HERE] Regarding the motivation, please see appended document. Prepare an appendix containg the motivation for each individual tenderer with the comments and scoring from the assessors. The scoring must relate to the eligebility, exclusion and/or scoring criteria stated in the Invitation to Tender. The contracting authority intends to sign contracts with the chosen tenderers no earlier than [day/month/year]. 112

113 If a standstill period is used, it should last a minimum of 10 calendar days from the day after the Decision Notice was sent to the tenderers. [The contracting authority] is entitled to correct or change the award regardless of the fact that the tenderers have been informed about the award. The award is thus not binding on the contracting authority prior to the signing of the corresponding procurement contracts.the tenderers are in case the award is corrected or changed not entitled to any damages or other compensation, except to the extent such right nevertheless follows from mandatory provisions of law. Acceptance The text needs to be adjusted to the specific PCP. If a standstill period is used, use the first phrase marked in red. [After the expiration of the standstill period, the] Framework Agreement (Framework Agreement_6) will be sent out in two copies for signature to the tenderers awarded contracts. The two copies should be returned to [the contracting authority] as soon as possible. Complaints procedure The text below is an example on how to handle complaints. The process must be scrutinised and adjusted to the specific PCP and also to the nation-specific circumstances of the contracting authority. [The contracting authority] is committed to providing a high quality, responsive and accessible service. However, there may be times when you may feel unhappy about the service you receive or wish to make a suggestion about how we might improve. Your complaints, suggestions and compliments are important to us because they help us improve our services. Complaints submitted through this procedure should be concerned with the way in which a decision has been made or an action taken, rather than objections to the merits of the actual decision or action. Examples include: When we have said we would do something and it has not happened When the quality of our process was not as expected e.g. we took too long, lacked consistency or were unclear When a member of our staff or someone working on our behalf acts in an inappropriate or discourteous way. Please observe that this procedure is of internal nature and does not constitute a legal remedy. 113

114 How to make a complaint The bullets below are examples on how to handle complaints. The process of handling complaints must be adjusted to the specific PCP and also to the nationspecific circumstances of the contracting authority. 1. The people who dealt with the enquiry, tender or project are probably best equipped to deal with the complaint. A simple misunderstanding may have arisen and we would, therefore, hope to be able to resolve it quickly and informally. Please contact the [insert telephone/ to contact point] or which other member of staff who has been dealing with the enquiry, tender or project. 2. If this is not possible you can make the complaint in writing, by letter or to the Complaint Officer [insert contact information to a complaints officer, if existing, at the contracting authority]. You will receive an acknowledgement within [insert number of days] working days and a written response within [insert number of days] working days. If this is not possible, you will be given an explanation of the reasons for the delay and a timescale by which they will receive a full reply. The Complaints Officer will co-ordinate the handling of the response in conjunction with the Programme Manager or senior officer with responsibility for the area to which the complaint refers. The process will generally include the following activities: Gathering of of all relevant information; Agreeing the issues and facts with the complainant; Assessing the validity of the complaint in the context of stated procedures and, if applicable, published service standards; Informing the complainant of the outcome and, if applicable, any remedial action to be taken. If you remain unhappy with the outcome, you can ask for the complaint to be referred to [escalate to higher management]. We would normally appoint a Director who did not have direct responsibility for the area in which the complaint resided so that a fresh review can take place. If this is not possible then this review may be undertaken by our [Chief Executive]. As we escalate our part of the process we would expect a reciprocal escalation on the part of the complainant e.g. involvement of an executive at a higher level in the organisation than the complainant. 114

115 [Insert name of PCP here] Call for Bid Phase 2 Call for Bid Phase 2 Template (Call for Bid Phase 2_12) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 115

116 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Invitation to submit a bid for Phase 2 You are hereby invited to submit a bid for Services for Phase 2 Prototyping. Eligible tenderers are only those that successfully completed Phase 1. This Invitation should be read in conjunction with other documents associated with this PCP [insert reference number see above right hand corner]. In this PCP [insert name of lead authority] will act as the Authority on behalf and in the name of the group of contracting authorities for the [insert name of PCP] contracting authorities. All terms used herein shall have the meaning ascribed to them in these documents, unless otherwise is evident from the context. This invitation and your bid are made in accordance with and subject to the preceding Invitation to Tender and the Framework Agreement made between us on [insert relevant date]. All requirements and conditions of the Invitation to Tender and the Framework Agreement shall apply to your bid for Phase 2 as well. Phase 2 This PCP framework agreement covers three phases: Solution Exploration, Prototyping, and Test Series. This Invitation concerns only Phase 2 Prototyping. Phase 2 is intended to develop and evaluate prototypes or demonstrators from the more promising concepts in Phase 1. Contracts will be awarded only to a limited number of selected Phase 1 contractors. The budget will be at a maximum amount of [insert value] for [insert number, e.g. 4-6] projects [setup with regard to pricing and budget to be decided/adjusted case by case]. Services that are to be provided under Phase 2 and to be covered by the bid are described in the updated version of Section 3 of the Framework Agreement, appended hereto as [insert reference]. The Services for Phase 2 shall be performed in accordance with said Section 3 and with the Challenge Brief with regard to Phase 2. The Services with regard to Phase 2 shall be provided and delivered in full no later than [insert date]. 116

117 Preliminary time schedule Insert key dates and activities. Examples only. Date [Insert date] [Insert date] [Insert date] [Insert period/ dates] [Insert date] [Insert date] [Insert period/ dates] Activity Bid period opens Information meetings Deadline for bids Assessment by experts Decision panel meeting Contractors notified of decisions Contracts sent If possible, insert key dates for the rest of the PCP, as far as planned. Date Activity [Insert date] [Insert date] [Insert date] [Insert date] [Insert date] [Insert name of contracting authority] reserves the right to adjust the time schedule if necessary. This will be timely communicated to tenderers. Administrative instructions Contractors whose bids do not comply with the administrative instructions will be excluded from further participation in the PCP. Bid submission All bids shall be made using the Bid Form (Bid Form_13) which may be accessed via [insert how to access Bid Form, e.g. via a web page]. All bids must be submitted in accordance with the directions at [insert how to find directions, e.g. via a web page]. 117

118 Bids shall be received no later than [insert date], [insert time] CET. Bids not received after that time will not be considered. Validity of bids Bids shall remain valid up to and including [insert date and year]. Conformance to Contract for Phase 2 An agreement will be entered into only by means of a written contract, signed by both parties. By submitting a bid, the bidder accepts to be bound by the undertakings and conditions of the Contract for Phase 2 (insert reference). The bid may not contain any reservation in relation to the conditions of the Contract for Phase 2. Bids shall be based on the conditions contained in the Contract for Phase 2 and the Framework Agreement. Price [Include a description of how the price shall be stated and any other required details, preferably linked to corresponding boxes in the Bid Form.] Bid prices shall be stated in [insert currency] currency, exclusive of VAT. Duties, custom fees, taxes or other charges, if any, shall be included in the bid price. The payments are firm and fixed, i.e. not adjusted for foreign exchange and / or index, or in any other way. Assessment of bids General assessment process Describe the assessment process and how decisions on which bids to award will be made. If there will be different assessment criteria in the respective phases, describe the criteria for transparency reasons. Each bid will be assessed and scored by [insert number] of independent experts with knowledge of [insert field of challenge], technology and/or general business knowledge. [Due to constraints with regard to time and resources, all tenders may not be assessed by all experts]. Based on the experts assessments, a preliminary ranking of the bids is made. This preliminary ranking will subsequently be inspected and reviewed by a decision panel consisting of [insert name of contracting authority] and/ or person chosen by it, as well as [insert number of] independent assessors. 118

119 If interviews are used in the assessment process, include a detailed description of how the interviews will be managed. All tenderers will be invited to have an interview at the Decision Panel meeting, where the attending experts and representatives from the procuring authorities will have the opportunity to ask clarifying questions in relation to the bid. After the interviews the experts can adjust their individual scores. [Insert details, e.g. length and format of contractor presentations and interviews.] Describe the Decision Panel process. The decision panel will monitor and safeguard that the assessment of all bids are consistent and equal, and will have the authority to adjust or override the preliminary ranking and assessment. The decision panel will make the final decision on which bids are to be accepted. If the Decision Panel adjusts or overrides the preliminary ranking, it must provide substituting scores and verbal reasons relative to the assessment criteria. If you expect a high number of bids, consider to define that bids not meeting a certain predefined minimum score will not be assessed by the Decision Panel, with a possible exception for bids that show a (predefined) high expert assessor scoring spread. The criteria and the method for evaluating the bids in phase 2 and 3 will essentially be based on the criteria and the method used in evaluating the original tenders as set out below, but may be elaborated or developed in further detail within those frames. Within [insert number of days, e.g. 90] after the final date for receipt of bids, an award decision will be sent to contractors, also containing the reasons for the decisions taken. Contracts will be signed [insert length of stand-still period, e.g. one week, if used] thereafter. Assessment criteria and weighting Describe the assessment criteria and weighting (if used). These should be reviewed and maybe modified for every specific PCP. Example below. This example is almost identical to the one used for the original Invitation to Tender. Typically speaking, it should be adapted and elaborated in further detail for the specific requirements and aims relevant for Phase 2 in particular. The maximum score a bidder can get is [insert number] points. Only bidders with the following minimum scores are eligible for a contract: 60% of the maximum number of points ([X] points) 60% of the maximum number of points scored for the impact criterion ([Y] points). 119

120 The assessment criteria and their weighting are listed below. The full scoring model is found in the appendix at the end of this document. Criteria Maximum points Impact on the challenge I. The extent of how well the idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will have the desired impact II. Potential of the idea/ solution/ technology to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) III.a The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market III.b The extent to which the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies [Insert specific criteria for the PCP in question. Example: The amount of saving that will be realised, and user friendliness of the innovation] Technical approach [E.g. 20] [E.g. 10] [E.g. 20] [E.g. 20] [E.g. 20] IV. Validity of the technical approach [E.g. 10] Quality of the bid Price V. The extent to which the bid shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish Phase 3 in time [E.g. 10] VI. Effectiveness of the project management [E.g. 10] VII. The extent to which the contractor and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the bid VIII. The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed IX. [Insert price model providing e.g. a graded linear scale, where X point is given a bid offering the applicable maximum price, and Y point is given to a defined lowest level] [E.g. 10] [E.g. 10] [E.g. 40] It is incumbent upon the bidder who seeks to obtain points to supply information which enables the scoring of the bid. The scoring will be made according to an absolute scale, meaning that several bidders can receive the same score and that the point a particular bidder receives is not affected by the points other bidders have received. If two bids are awarded the same number of total points in the evaluation process, they will, if necessary, be separated by: 120

121 Firstly by assessing which bid has more points in Impact on the challenge; If they also scored the same number of points in this category Secondly by assessing which bid has the lowest price Thirdly by drawing of lots performed by two officers of the contracting authority, or if requested by either of the concerned bidders before a public notary or a representative of the local Chamber of Commerce. Successful bidders will be advised according to the published key dates and will be, if awarded a contract for Phase 2, expected to mobilise rapidly to start the project. List of documents This Invitation consists of the following documents: Call for Bid for Phase 2 (this document)_12 Challenge Brief_3 Bid Form_13 Updated version of Section 3 of the Framework Agreement_[XX] Contract for Phase 2_[XX] End of Phase 2 Report Form_[XX] The documents are all marked with the reference number for the PCP: [insert reference number see above right hand corner]. 121

122 Appendix: Scoring model Impact on Challenge I. The extent of how well the idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will have the desired impact Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] There is no indication that the proposal will meet the challenge There is very little indication that the proposal is likely to meet the challenge There is little indication that the proposal is likely to meet the challenge [E.g. 12] There is some indication that the proposal is likely to meet the challenge [E.g. 16] There is indication that the proposal will meet the challenge [E.g. 20] There is clear indication that the proposal will meet the challenge II. Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] Potential of the proposal to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) The project shows no potential to address future/ wider challenges in the area The project shows little potential to address future/ wider challenges in the area The project shows some but limited potential to address future/ wider challenges in the area The project shows potential to address future/ wider challenges in the area (including in particular novel, innovative approaches) The project shows adequate potential to address future/ wider challenges in the area (including in particular promising new concepts, approaches, methodologies, tools or technologies) [E.g. 10] The project shows very high potential to address future/ wider challenges in the area (including in particular innovative, showing use of novel concepts, approaches, methodologies, tools or technologies) 122

123 III.a Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] [E.g. 12] [E.g. 16] [E.g. 20] The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market The bid gives no indication that the solution will be commercially feasible The bid gives little or no confidence that the solution will be commercially feasible The bid gives some indication that the solution may be commercially feasible, however, there is little confidence in the approach The bid gives some indication that the solution will be commercially feasible The bid gives indication and confidence that the solution will be commercially feasible As described, the proposed outcome shows strong promise of commercial feasibility III.b Scoring Guide [E.g. 1] The extent to which the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives no indication that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies [E.g. 4] [E.g. 8] [E.g. 12] [E.g. 16] [E.g. 20] The bid gives little or no confidence that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives some indication that the solution may address the economic and financial needs of the contracting authority/-ies, however, there is little confidence in the analysis The bid gives some indication that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives indication and confidence that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid shows clearly and without doubt that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies If specific criteria for the PCP are used, insert table for this here. If so, mind the numbering henceforth. 123

124 Technical approach IV. Scoring Guide Validity of the technical approach [E.g. 1] There is no information given on the technical approach [E.g. 2] The technical approach is poorly described [E.g. 4] The technical approach described is unlikely to be valid for this challenge [E.g. 6] The technical approach is valid but may not be sufficient to meet the challenge [E.g. 8] The technical approach described is valid and is likely to meet the challenge [E.g. 10] The technical approach described is highly valid and shows a strong likelihood to meet the challenge Quality of the Bid V. The extent to which the bid shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish phase 3 in time Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] The bid does not contain a plan or milestones for the development of a working solution The bid goes some way to describe a plan for the development of a working solution. The bid contains a brief plan for the development of a working solution. The bid contains a relatively clear plan for the development of a working solution. The bid contains a clear plan for the development of a working solution. [E.g. 10] The bid contains a very clear plan for the development of a working solution. 124

125 VI. Effectiveness of the project management Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] Project management is not described in the bid. Project management is poorly defined and gives little confidence that the project will be managed appropriately. Project management is defined but gives little confidence that the project will be managed appropriately. Project management is well defined; this may result in a well-managed project. The bid shows a good management plan that should enable resources to be used appropriately, and shows some exploitation of research outputs [E.g. 10] The bid shows a strong management plan that will enable resources to be used appropriately, and will ensure maximum exploitation of high quality outputs VII. Scoring Guide The extent to which the contractor and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the bid [E.g. 1] There is no information that describes that the contractor or any sub-contractor(s) have dedicated adequate resources. [E.g. 2] There is minimal information that describes that adequate resources have been dedicated of the contractor or any sub-contractor(s), therefore it is very difficult to make an assessment. [E.g. 4] There is some information that adequate resources have been dedicated from the contractor or any sub-contractor(s), but they appear unlikely to be sufficient for the project. [E.g. 6] There is information, and adequate resources appear to have been dedicated from the contractor or any sub-contractor(s). [E.g. 8] There is information, and it clearly supports that adequate resources have been dedicated from the contractor or any sub-contractor(s). [E.g. 10] There is information, and it allows for an unreserved conclusion that adequate resources have been dedicated from the contractor or any sub-contractor(s). 125

126 VIII. Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed The bid does not mention risks or how the contractor intends to manage these Management of risk is ill-defined and inappropriate Management of risk is defined but is inadequate for this project Risk is clearly considered and proposed management of it is appropriate Risk is well defined and will be well managed [E.g. 10] Risks are well understood and articulated in the bid and will be managed appropriately Price IX. Scoring Guide [X] [Insert price model providing e.g. a graded linear scale, where X point is given a bid offering the applicable maximum price, and Y point is given to a defined lowest level] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [Y] [Insert defined lowest price level] 126

127 [Insert name of PCP here] Bid Form Bid Form Template (Bid Form_13) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N, VINNOVA (editor) 127

128 EXAMPLE DOCUMENT FOR PHASE 2 or 3 Review this document for each PCP and phase, paying particular attention to highlighted areas/ sections marked in red. Bid, Contractor and Contact Details Bid Project Title: Validity of Bid until [insert date]: Phase Duration: (months) Proposed Start Date: Yes/ No Phase [insert 2 or 3] contract price with IPR Phase [insert 2 or 3] contract price, no IPR Price shall be stated in [insert currency], exclusive of VAT. Duties, custom fees, taxes or other charges, if any, shall be included in the price. The two boxes below are probably unnecessary as contractor details are already known from Phase 1. However changes may have occurred. Delete as appropriate. Contractor Details NOTE. Only to be filled in in the event of any changes from previously given information. Type of Organisation: Please Select One Registered Name of Organisation: Registered Address: Town/ City: Postcode: [If relevant] County: Country: [If relevant] Region: Please Select One Organisation Registration Number: VAT Registration No: Organisation Website: Organisation Size: Please Select One Organisation Status: Please Select One Main Business Activity: Business Sector: Please Select One Sub-contractors 128

129 Contact Details NOTE. Only to be filled in in the event of any changes from previously given information. Title: First Name: Last Name: Position: Organisation: Address: Town/City: [If relevant] County: Phone: Mobile: Postcode: Country: Extension: Fax 129

130 The content in the boxes below (up until Risk Management ) must be aligned with the assessment criteria in the Call for Bid. Those criteria, typically speaking, are adapted and elaborated in further detail for the specific requirements and aims relevant for Phase 2 or 3, compared to the criteria in the original tender. When such changes are made in the Call for Bid, take care to also update this document. Impact on the Challenge I. Title and Description of Idea/ Solution/ Technology and its Expected Impact on the Challenge Please provide the title of your idea/ solution/ technology, and a brief description of how it addresses the outcomes as described in the Call for Bid Phase [insert 2 or 3] and the Challenge Brief documentation. Building upon the project results for Phase [insert 1 or 2], comment upon the suitability of the project results for [insert either developing a prototype, or development of test series ]. You may wish to attach an Image or diagram separately with the bid form, max 2 A4 pages. II. Potential of the Idea/ Solution/ Technology to Address Future and/ or Wider Challenges in the Area Please provide a brief description of the further and/or wider potential of your idea/ solution/ technology in the challenge area, as it is described in the Call for Bid Phase [insert 2 or 3] and Challenge Brief documentation. 130

131 III.a Commercial Feasibility and Route to Market Please describe the commercial feasibility of the new solution: how it can be made into a viable product and achieve the proposed benefits. Please include details of your plan for commercialisation of the results of your project. III.b Analysis of the Economic and Financial Needs of the Contracting Authority/-ies Please provide an analysis of how the new solution will address the economic and financial needs of the contracting authority/-ies. If specific criteria for the PCP are used, insert field for this here. If so, mind the numbering henceforth. 131

132 Technical Approach VI. Scientific/ Technical Project Summary Please give a short background to the key technical challenges. Building upon the project results for Phase [insert 1 or 2], state what the innovation is and the key technical deliverables. Briefly describe how the challenge will be addressed in Phase [insert 2 or 3]. Detail other products on the market and the novelty of the proposed project; include details of any other existing intellectual property and its significance to your freedom to operate. 132

133 Quality of the Bid V. Project Plan and Methodology Please describe the project plan and detail the key project milestones for Phase [insert 2 or 3]. Highlight what resources will be required to address the technical challenges and what the key success criteria would be. Milestone Date Resources Success Criteria If the bid form is used for Phase 2, use this question. If not, delete it. Please outline the plan for Phase

134 VI. Project Management Please identify the project management processes that will ensure milestones are achieved and describe key risks and mitigation actions. f VII. Resources Please provide a brief description of the resources (human capital/ team, equipment etc.) that will be dedicated to the project. Include the expertise of each team member relevant to this bid and the proportion of their time that they will be spending on the project. Also include the expertise of any subcontractor/s if applicable. 134

135 VIII. Risk Management f Provide details of identified risks (technical, commercial and environmental) and mitigation actions. If the bid form is used for Phase 2, use the box below. If not, delete it. Potential Price in Phase 3 Potential Price in Phase 3 Please indicate potential price for Phase 3. Progression to Phase 3 is dependent upon successfully completing Phase 1 and 2, and on Phase 3 competition and assessment. 135

136 Professional Secrecy Professional Secrecy Please indicate which parts of the information in the bid that should be confidential, and indicate why disclosure of such information may be harmful to you. Fixed Price Breakdown Project Abstract Please provide a breakdown of the phase 1 fixed price in the table. Divide labour unit prices into suitable categories (e.g. junior, senior researchers, developers, testers, etc.). If the bid form is used for Phase 2, keep the following sentence. If not, delete it. The quoted unit prices will be binding for the duration of the framework agreement. Labour Price Unit Price Quantity Total Price ( ) Materials Capital Equipment 136

137 Sub Contract Travel Other (specify) TOTAL PRICE (excluding VAT) Any additional content should be inserted at this point. 137

138 Declaration Declaration Example 1: Contractors are expected before submitting bid, to have discussed their bid with their own organisation or any other body whose co-operation will be required in the conduct of the phase. By submitting the bid you are confirming that the information given, in this form, is complete and that you are actively engaged in this project and responsible for its overall management and agree to administer the award if made. Example 2: In order for your bid to be accepted you are required to gain approval from the relevant authorities within your legal entity. These approvals are required to ensure that the information given, in this form, is complete and correct. This bid form must be completed and returned electronically by [insert date and time]. Please send your bid to [insert relevant information]. Identical signed originals of this completed bid must be received [insert date and time]. Please send your signed original to [insert address]: I confirm that I have approved the bid price and that this organisation is prepared to carry out this project at the stated price and to administer the award if made. Signed..... Date.. (Managing Director/Finance Officer) IN ORDER FOR YOUR BID TO BE ACCEPTED, THE CONFIRMATION OF PRICE FORM MUST BE SIGNED BY THE RELEVANT AUTHORITIES WITHIN YOUR ORGANISATION. 138

139 [Insert name of PCP here] Bid Decision Notice Bid Decision Notice Template (Bid Decision Notice _14) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 139

140 EXAMPLE DOCUMENT FOR PHASE 2 and 3 This document should be reviewed for each PCP and each phase, paying particular attention to highlighted areas or sections marked in red. It is suggested to send out the decision notice with a cover letter. If a cover letter is not used, insert dates, greeting phrase etc. directly into this document. [Insert name of PCP here] Assessment All bids have been evaluated by a number of experts and a decision panel, as accounted for in the Call for Bid for Phase [insert 2 or 3]. [DESCRIBE THE PROCESS OF ASSESSING BIDS SCHEMATICALLY] [number] bids were recevied, and [number] were uneligeble for not complying with the administrative instructions in the Call for Bid for Phase [insert 2 or 3]. Decision Notice By a decision on the [date, month, year], [the contracting authority] has decided to award contract to the following bidders: [LIST THE BIDDERS AWARDED CONTRACTS HERE] Regarding the motivation, please see appended document. Prepare an appendix containg the motivation for each individual bidder with the comments and scoring from the assessors. The scoring must relate to the eligebility, exclusion and/or scoring criteria stated in the Call for Bids for the phase. The contracting authority intends to sign contracts with the chosen bidders no earlier than [day/month/year]. If a standstill period is used, it should last a minimum of 10 calendar days from the day after the Decision Notice was sent to the bidders. [The contracting authority] is entitled to correct or change the award regardless of the fact that the bidders have been informed about the award. The award is thus not binding on the contracting authority prior to the signing of the corresponding contracts.the bidders are in case the award is corrected or changed not entitled to 140

141 any damages or other compensation, except to the extent such right nevertheless follows from mandatory provisions of law. Acceptance The text needs to be adjusted to the specific PCP. If a standstill period is used, use the first phrase marked in red. [After the expiration of the standstill period, the] Contract for Phase [insert 2 or 3]. (Contract for Phase [insert 2 or 3]._XX) will be sent out in two copies for signature to the bidders awarded contracts. The two copies should be returned to [the contracting authority] as soon as possible. Complaints procedure The text below is an example on how to handle complaints. The process must be scrutinised and adjusted to the specific PCP and also to the nation-specific circumstances of the contracting authority. [The contracting authority] is committed to providing a high quality, responsive and accessible service. However, there may be times when you may feel unhappy about the service you receive or wish to make a suggestion about how we might improve. Your complaints, suggestions and compliments are important to us because they help us improve our services. Complaints submitted through this procedure should be concerned with the way in which a decision has been made or an action taken, rather than objections to the merits of the actual decision or action. Examples include: When we have said we would do something and it has not happened When the quality of our process was not as expected e.g. we took too long, lacked consistency or were unclear When a member of our staff or someone working on our behalf acts in an inappropriate or discourteous way. Please observe that this procedure is of internal nature and does not constitute a legal remedy. 141

142 How to make a complaint The bullets below are examples on how to handle complaints. The process of handling complaints must be adjusted to the specific PCP and also to the nationspecific circumstances of the contracting authority. 1. The people who dealt with the enquiry, bid or project are probably best equipped to deal with the complaint. A simple misunderstanding may have arisen and we would, therefore, hope to be able to resolve it quickly and informally. Please contact the [insert telephone/ to contact point] or which other member of staff who has been dealing with the enquiry, bid or project. 2. If this is not possible you can make the complaint in writing, by letter or to the Complaint Officer [insert contact information to a complaints officer, if existing, at the contracting authority]. You will receive an acknowledgement within [insert number of days] working days and a written response within [insert number of days] working days. If this is not possible, you will be given an explanation of the reasons for the delay and a timescale by which they will receive a full reply. The Complaints Officer will co-ordinate the handling of the response in conjunction with the Programme Manager or senior officer with responsibility for the area to which the complaint refers. The process will generally include the following activities: Gathering of of all relevant information; Agreeing the issues and facts with the complainant; Assessing the validity of the complaint in the context of stated procedures and, if applicable, published service standards; Informing the complainant of the outcome and, if applicable, any remedial action to be taken. If you remain unhappy with the outcome, you can ask for the complaint to be referred to [escalate to higher management]. We would normally appoint a Director who did not have direct responsibility for the area in which the complaint resided so that a fresh review can take place. If this is not possible then this review may be undertaken by our [Chief Executive]. As we escalate our part of the process we would expect a reciprocal escalation on the part of the complainant e.g. involvement of an executive at a higher level in the organisation than the complainant. 142

143 [Insert name of PCP here] Call for Bid Phase 3 Call for Bid Phase 3 (Call for Bid Phase 3_15) Nature of deliverable/milestone: Artefact document Dissemination level: PU Delivery date: 20th January 2015 Status: Version 1.0 Author: Lundström, J & Widmark, N (editors) 143

144 EXAMPLE DOCUMENT This document should be reviewed for each PCP paying particular attention to highlighted areas or sections marked in red. [Insert name of PCP here] Invitation to submit a bid for Phase 3 You are hereby invited to submit a bid for Services for Phase 3 Test series. This Invitation should be read in conjunction with other documents associated with this PCP [insert reference number see above right hand corner]. All terms used herein shall have the meaning ascribed to them in these documents, unless otherwise is evident from the context. This invitation and your bid are made in accordance with and subject to the preceding Invitation to Tender and the Framework Agreement made between us on [insert relevant date]. All requirements and conditions of the Invitation to Tender and the Framework Agreement shall apply to your bid for Phase 3 as well. Phase 3 This PCP framework agreement covers three phases: Solution Exploration, Prototyping, and Test Series. This Invitation concerns only Phase 3 Test series. Phase 3 is intended for the original development of a limited volume of first products/ services (test series). Phase 3 is dependent upon successful completion of Phase 2 and contracts will be awarded only to a limited number of selected Phase 2 contractors. The budget will be at a maximum amount of [insert value] for [insert number, e.g. 1-3] projects [adjust with regard to the chosen setup for pricing and budget]. Services that are to be provided under Phase 3 and to be covered by the bid are described in the updated version of Section 3 of the Framework Agreement, appended hereto as [insert reference]. The Services for Phase 3 shall be performed in accordance with said Section 3 and with the Challenge Brief with regard to Phase 3. The Services with regard to Phase 3 shall be provided and delivered in full no later than [insert date]. 144

145 Preliminary time schedule Insert key dates and activities. Examples only. Date [Insert date] [Insert date] [Insert date] [Insert period/ dates] [Insert date] [Insert date] [Insert period/ dates] Activity Bid period opens Information meetings Deadline for bids Assessment by experts Decision panel meeting Contractors notified of decisions Contracts sent If possible, insert key dates for the rest of the PCP, as far as planned. Date Activity [Insert date] [Insert date] [Insert date] [Insert date] [Insert date] [Insert name of contracting authority] reserves the right to adjust the time schedule if necessary. This will be timely communicated to tenderers. Administrative instructions Contractors whose bids do not comply with the administrative instructions will be excluded from further participation in the PCP. Bid submission All bids shall be made using the Bid Form (Bid Form_X) which may be accessed via [insert how to access Bid Form, e.g. via a web page]. All bids must be submitted in accordance with the directions at [insert how to find directions, e.g. via a web page]. Bids shall be received no later than [insert date], [insert time] CET. Bids not received after that time will not be considered. 145

146 Validity of bids Bids shall remain valid up to and including [insert date and year]. Conformance to Contract for Phase 3 An agreement will be entered into only by means of a written contract, signed by both parties. By submitting a bid, the bidder accepts to be bound by the undertakings and conditions of the Contract for Phase 3 [insert reference]. The bid may not contain any reservation in relation to the conditions of the Contract for Phase 3. Bids shall be based on the conditions contained in the Contract for Phase 3 and the Framework Agreement. Price [Include a description of how the price shall be stated and any other required details, preferably linked to corresponding boxes in the Bid Form.] Bid prices shall be stated in [insert currency] currency, exclusive of VAT. Duties, custom fees, taxes or other charges, if any, shall be included in the bid price. Assessment of bids General assessment process Describe the assessment process and how decisions on which bids to award will be made. If there will be different assessment criteria in the respective phases, describe the criteria for transparency reasons. Each bid will be assessed and scored by [insert number] of independent experts with knowledge of [insert field of challenge], technology and/or general business knowledge. [Due to constraints with regard to time and resources, all tenders may not be assessed by all experts]. Based on the experts assessments, a preliminary ranking of the bids is made. This preliminary ranking will subsequently be inspected and reviewed by a decision panel consisting of [insert name of contracting authority] and/ or person chosen by it, as well as [insert number of] independent assessors. If interviews are used in the assessment process, include a detailed description of how the interviews will be managed. 146

147 All tenderers will be invited to have an interview at the Decision Panel meeting, where the attending experts and representatives from the procuring authorities will have the opportunity to ask clarifying questions in relation to the bid. After the interviews the experts can adjust their individual scores. [Insert details, e.g. length and format of contractor presentations and interviews.] Describe the Decision Panel process. The decision panel will monitor and safeguard that the assessment of all bids are consistent and equal, and will have the authority to adjust or override the preliminary ranking and assessment. The decision panel will make the final decision on which bids are to be accepted. If the Decision Panel adjusts or overrides the preliminary ranking, it must provide substituting scores and verbal reasons relative to the assessment criteria. If you expect a high number of bids, consider to define that bids not meeting a certain predefined minimum score will not be assessed by the Decision Panel, with a possible exception for bids that show a (predefined) high expert assessor scoring spread. The criteria and the method for evaluating the bids in phase 2 and 3 will essentially be based on the criteria and the method used in evaluating the original tenders as set out below, but may be elaborated or developed in further detail within those frames. Within [insert number of days, e.g. 90] after the final date for receipt of bids, an award decision will be sent to contractors, also containing the reasons for the decisions taken. Contracts will be signed [insert length of stand-still period, e.g. one week, if used] thereafter. Assessment criteria and weighting Describe the assessment criteria and weighting (if used). These should be reviewed and maybe modified for every specific PCP. Example below. This example is almost identical to the one used for the original Invitation to Tender. Typically speaking, it should be adapted and elaborated in further detail for the specific requirements and aims relevant for Phase 3 in particular. The maximum score a bid can get is [insert number] points. Only bids with the following minimum scores are eligible for a contract: 60% of the maximum number of points ([X] points) 60% of the maximum number of points scored for the impact criterion ([Y] points). The assessment criteria and their weighting are listed below. The full scoring model is found in the appendix at the end of this document. 147

148 Criteria Maximum points Impact on the challenge I. The extent of how well the idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will have the desired impact II. Potential of the idea/ solution/ technology to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) III.a The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market III.b The extent to which the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies [Insert specific criteria for the PCP in question. Example: The amount of saving that will be realised, and user friendliness of the innovation] Technical approach [E.g. 20] [E.g. 10] [E.g. 20] [E.g. 20] [E.g. 20] IV. Validity of the technical approach [E.g. 10] Quality of the bid Price V. The extent to which the bid shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish Phase 3 in time [E.g. 10] VI. Effectiveness of the project management [E.g. 10] VII. The extent to which the contractor and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the bid VIII. The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed IX. [Insert price model providing e.g. a graded linear scale, where X point is given a bid offering the applicable maximum price, and Y point is given to a defined lowest level] [E.g. 10] [E.g. 10] [E.g. 50] It is incumbent upon the bidder who seeks to obtain points to supply information which enables the scoring of the bid. The scoring will be made according to an absolute scale, meaning that several bidders can receive the same score and that the point a particular bidder receives is not affected by the points other bidders have received. If two bids are awarded the same number of total points in the evaluation process, they will, if necessary, be separated by drawing of lots performed by two officers of the contracting authority, or if requested by either of the concerned bidders before a public notary or a representative of the local Chamber of Commerce. Successful bidders will be advised according to the published key dates and will be, if awarded a contract for Phase 3, expected to mobilise rapidly to start the project. 148

149 List of documents This Invitation consists of the following documents: Call for Bid for Phase 3 (this document)_15 Challenge Brief_3 Bid Form_[XX] Updated version of Section 3 of the Framework Agreement_[XX] Contract for Phase 3_[XX] End of Phase 3 Report Form_[XX] The documents are all marked with the reference number for the PCP: [insert reference number see above right hand corner]. 149

150 Appendix: Scoring model Impact on Challenge I. The extent of how well the idea/ solution/ technology meets the challenge as detailed in the Brief, and whether it will have the desired impact Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] There is no indication that the proposal will meet the challenge There is very little indication that the proposal is likely to meet the challenge There is little indication that the proposal is likely to meet the challenge [E.g. 12] There is some indication that the proposal is likely to meet the challenge [E.g. 16] There is indication that the proposal will meet the challenge [E.g. 20] There is clear indication that the proposal will meet the challenge II. Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] Potential of the proposal to address future/ wider challenges in the area in an innovative way (e.g. by developing or employing novel concepts, approaches, methodologies, tools, or technologies) The project shows no potential to address future/ wider challenges in the area The project shows little potential to address future/ wider challenges in the area The project shows some but limited potential to address future/ wider challenges in the area The project shows potential to address future/ wider challenges in the area (including in particular novel, innovative approaches) The project shows adequate potential to address future/ wider challenges in the area (including in particular promising new concepts, approaches, methodologies, tools or technologies) [E.g. 10] The project shows very high potential to address future/ wider challenges in the area (including in particular innovative, showing use of novel concepts, approaches, methodologies, tools or technologies) 150

151 III.a Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] [E.g. 12] [E.g. 16] [E.g. 20] The extent to which the approach demonstrates commercial feasibility, and whether it is a realistic commercialisation plan / route to market The bid gives no indication that the solution will be commercially feasible The bid gives little or no confidence that the solution will be commercially feasible The bid gives some indication that the solution may be commercially feasible, however, there is little confidence in the approach The bid gives some indication that the solution will be commercially feasible The bid gives indication and confidence that the solution will be commercially feasible As described, the proposed outcome shows strong promise of commercial feasibility III.b Scoring Guide [E.g. 1] [E.g. 4] [E.g. 8] The extent to which the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives no indication that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives little or no confidence that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives some indication that the solution may address the economic and financial needs of the contracting authority/-ies, however, there is little confidence in the analysis [E.g. 12] [E.g. 16] [E.g. 20] The bid gives some indication that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid gives indication and confidence that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies The bid shows clearly and without doubt that the solution is based on a realistic analysis of the economic and financial needs of the contracting authority/-ies If specific criteria for the PCP are used, insert table for this here. If so, mind the numbering henceforth. 151

152 Technical approach IV. Scoring Guide Validity of the technical approach [E.g. 1] There is no information given on the technical approach [E.g. 2] The technical approach is poorly described [E.g. 4] The technical approach described is unlikely to be valid for this challenge [E.g. 6] The technical approach is valid but may not be sufficient to meet the challenge [E.g. 8] The technical approach described is valid and is likely to meet the challenge [E.g. 10] The technical approach described is highly valid and shows a strong likelihood to meet the challenge Quality of the Bid V. The extent to which the bid shows a clear plan for the development of a working solution, and whether it is a reasonable plan to finish phase 3 in time Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] The bid does not contain a plan or milestones for the development of a working solution The bid goes some way to describe a plan for the development of a working solution. The bid contains a brief plan for the development of a working solution. The bid contains a relatively clear plan for the development of a working solution. The bid contains a clear plan for the development of a working solution. [E.g. 10] The bid contains a very clear plan for the development of a working solution. 152

153 VI. Effectiveness of the project management Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] Project management is not described in the bid. Project management is poorly defined and gives little confidence that the project will be managed appropriately. Project management is defined but gives little confidence that the project will be managed appropriately. Project management is well defined; this may result in a well-managed project. [E.g. 8] The bid shows a good management plan that should enable resources to be used appropriately, and shows some exploitation of research outputs [E.g. 10] The bid shows a strong management plan that will enable resources to be used appropriately, and will ensure maximum exploitation of high quality outputs VII. Scoring Guide The extent to which the contractor and/or subcontractor appear to have dedicated the resources (e.g. human capital, equipment etc.) necessary to perform the scope of the bid [E.g. 1] There is no information that describes that the contractor or any subcontractor(s) have dedicated adequate resources. [E.g. 2] There is minimal information that describes that adequate resources have been dedicated of the contractor or any sub-contractor(s), therefore it is very difficult to make an assessment. [E.g. 4] There is some information that adequate resources have been dedicated from the contractor or any sub-contractor(s), but they appear unlikely to be sufficient for the project. [E.g. 6] There is information, and adequate resources appear to have been dedicated from the contractor or any sub-contractor(s). [E.g. 8] There is information, and it clearly supports that adequate resources have been dedicated from the contractor or any sub-contractor(s). [E.g. 10] There is information, and it allows for an unreserved conclusion that adequate resources have been dedicated from the contractor or any sub-contractor(s). 153

154 VIII. Scoring Guide [E.g. 1] [E.g. 2] [E.g. 4] [E.g. 6] [E.g. 8] The extent to which crucial risks (technical, commercial and other) to project success appear to be identified, and how effectively these will be managed The bid does not mention risks or how the contractor intends to manage these Management of risk is ill-defined and inappropriate Management of risk is defined but is inadequate for this project Risk is clearly considered and proposed management of it is appropriate Risk is well defined and will be well managed [E.g. 10] Risks are well understood and articulated in the bid and will be managed appropriately Price IX. Scoring Guide [X] [Insert price model providing e.g. a graded linear scale, where X point is given a bid offering the applicable maximum price, and Y point is given to a defined lowest level] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [ ] [Insert price level] [Y] [Insert defined lowest price level] 154

155 D5.7 Appendix: SILVER Examples of Artefact Documents Annex content 1. Contractor Activity Monitoring Template (Annex I) Phase 2 Questionnaire for Contractors Template (Annex_II) Phase 2 Test Report Template (Annex_III) Phase 3 Testing Procedure Guidelines (Annex_IV) Phase 3 Testing Recruitment Guidelines (Annex_V) Phase 3 Consent Form for Test Users (Annex_VI) Phase 3 End-User Handout (Annex_VII) Phase 3 Testing Questionnaire for Care Staff Template (Annex_VIII) Phase 3 Questionnaire for Test Users Template (Annex_IX) Phase 3 Test Report Template (Annex_X)

156 SILVER PCP Contractor Activity Monitoring Template Contractor Activity Monitoring Template (Annex_I) Nature of deliverable/milestone: Annex: SILVER example of artefact document Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: The SILVER project 156

157 Templates for monitoring activities The experience in SILVER has indicated a clear need for procuring authorities to put together detailed contractor information packs at the signature of the Framework Agreement, updated at the start of each PCP stage. These packs can clarify how progress will be monitored an assessed, how changes can be managed and how suppliers can be supported during each step of each phase. The pack should include, as a minimum, the sections below: Introduction to Monitoring [Example text for phase 2, to be altered as fit for your PCP and phase] This document is an overview of how phase X of the [NAME OF PROJECT] project will be managed between you and the procurers. This guidance might experience changes from one phase to the other of this PCP and an updated version of this document may be issued. It tells you how the monitoring process works and provides information to help you - please read it carefully. Your Contract Manager (CM) will discuss the document with you - use this opportunity to make sure what you understand what is expected. An important point - we operate a no-surprises policy. Especially in a time-limited project which has set completion dates, not discussing issues as soon as possible is a guarantee of major problems and failures. This means that we expect you to tell use when you believe there is, or is likely to be, a problem; your CM will then work with you to try and overcome it. Similarly, we will tell you when we feel there may be problems or issues and will work with you to overcome them. We want you to succeed. As with the start of phase 1, for phase 2 you will need to provide plans, workpackage definitions and formal risk register. This must provide a clear understanding of what you will be doing, who will be doing it and key points within the phase. You may need to provide a greater level of detail than for phase 1. During phase 2 you will need to demonstrate good project management skills. There are some differences between the phase 1 Supplier Information Pack and this version for phase 2; these have already been discussed with you during phase 1. We will start to operate the change management and roadmap processes. Access to the Consortium and associated experts will be provided. If you are part of a consortium, you will need to provide a Collaboration (Consortium) agreement which defines relationship between the partners in your consortium, how the remainder of the project will be managed and how intellectual property used in or arising from your work will be allocated between the partners. 157

158 Starting phase 2 Documents You Need to Provide As the phase gets underway, there are a number of documents you will need to update and send to the CMs. The key documents are: Detailed project plan (including a GANTT chart) Workpackage descriptions and owners Milestones Risk register Organisation Structure Business and Exploitation Plans There is more detail about these documents in the Monitoring Guidance document, Appendix 6. Where necessary we will provide information on the content we expect to see and will provide guidance and assistance if you need it. Once we have these documents your CM review them and will assist you with ensuring that they are acceptable and suitable for the stage reached by the project. These are important living documents; as the project progresses you need to: Review them regularly and keep them up to date Increase the level of detail as the complexity of the project increases We do not wish to place an extra burden on you by setting specific formats. Except for the final project report, you may use the management and reporting tools you and document formats you normally use, but you must adequately cover the areas identified in the Monitoring Guidance document. Your CM will work with you to ensure that this is the case. Other documents (for example, a Collaboration (Consortium) Agreement, roadmap, test plans and accountant s reports) will be needed as the project progresses; your CM will provide guidance (e.g. a template document or list of content) if this is needed, and will work with you to complete them if they are required for your project. In phase 2 and beyond you will need to operate a Change Management process; information is provided in Appendix 7. Your CM will work with you to deliver this. Information We Provide As part of this information pack we have provided: Key dates specific to phase 1 and the overall project Appendix 1 A list of contacts Appendix 2 Escalation process Appendix 3 Success factors for phase completion Appendix 4 Managed Communications - Appendix 5 Overview of Project Monitoring Appendix 6 Managing delivered functionality Appendix 7 158

159 Our Commitments to You We will be open. All reports we complete about your project will be sent to you for comment. We will do our best to inform you of any issues and changes that affect the project as soon as we can. We will be fair. We recognise that this is a competition for funding. We will not disclose to anyone outside the consortium, without your prior consent, information which is of commercial value to you. We will ensure that all suppliers receive the same information if this applies to the project as a whole. We will be available. If you need to discuss something all you need to do is contact your CM. If your CM is uncontactable, you have alternate contacts. We will manage and promote contact between you and the Consortium. (For contractual and fairness reasons this will be managed by the CM as described in Appendices 5 and 7). Our Expectations of You The CM s are engaged for three primary reasons: To protect the investment To protect fairness (new requirement for PCP s) To help you To achieve this and so that we can help you we expect certain behaviors: Provide information on time (we will remind you) Keep us informed no surprises Understand and comply with the terms of your contract and the monitoring guidelines (Appendix 6) Deliver what you agreed to deliver Reporting Standards The timetable for reporting is included in Appendix 1, and Appendix 6 describes how the monitoring process works. The objectives of the report are to show us that: The project is being effectively and actively managed Ensure that we understand the progress you are making Ensure that we understand the issues and problems that you face, so that we can act to help you overcome them In practice, this means that by the dates in Appendix 1 you need to provide us with a report that includes: 159

160 An updated project plan (including the GANTT chart), with brief comments on whether the plan is on track, where changes have occurred and why and whether the plan will still be achieved by the end of the phase. Updated Workpackage descriptions and owners (if these have changed). Updated Milestones (showing whether the milestone has been achieved, is outstanding or has been changed) Updated Risk register (including review date, the status of existing risks and any additional risks) Updated Organisation Structure (if this has changed) Updated Business and Exploitation Plans An overview of project progress and a description of what you intend to achieve over the next period, any issues or problems that you foresee and how you intend to deal with them. A few points: We are happy to use whatever report format you use; we will not specify a report format; we do not wish to place a large reporting overhead on you project. Whilst we may agree to use collaboration tools you suggest to help us work with you, the reports must be in MS Office or.pdf format as it will need to be accessible by others. Large amounts of technical detail and additional information is not needed; we are looking at your progress not your products and services. Over the life of the phase, and of the project as a whole, we will work with you to refine the reports. 160

161 Appendix 1: Key Dates The dates are derived from the generic dates included in Appendix 6. Grey phases; Yellow Consortium Interaction; Blue Monitoring Start End Action Owner [Date] [Date] Complete and send out updated SIP phase 2 CM [Date] [Date] Phase 2 Execution Starts Waypoint [Date] [Date] Phase 2 Start Teleconference CM [Date] [Date] Baseline phase 2 Plans received from Suppliers Supplier [Date] [Date] Supplier phase 2 Start Review Teleconference CM [Date] [Date] Phase 2 readiness report to Consortium CM [Date] [Date] Phase 2 initial payment approved CM [Date] [Date] Phase 2 Interim Report to Consortium 1st Reminder CM [Date] [Date] Phase 2 monitoring report 1st reminder CM [Date] [Date] Phase 2 Interim Report to Consortium 2nd Reminder CM [Date] [Date] Phase 2 monitoring report 2nd reminder CM [Date] [Date] Phase 2 mid-point Waypoint [Date] [Date] Phase 2 interim report to Consortium Supplier [Date] [Date] Phase 2 monitoring report final reminder CM [Date] [Date] Phase 2 mid point monitoring report to CM Supplier [Date] [Date] Phase 2 first monitoring report by CM to Consortium CM [Date] [Date] Mid point payment approved CM [Date] [Date] Possible Consortium/Supplier meeting Consortium [Date] [Date] Phase 2 draft final monitoring report 1st reminder CM [Date] [Date] Phase 2 final report to Consortium 1st reminder CM [Date] [Date] Invitation for presenting phase 2 Offers Consortium [Date] [Date] Phase 2 draft final monitoring report 2nd reminder CM [Date] [Date] Phase 2 final report to Consortium 2nd reminder CM [Date] [Date] Phase 2 draft final monitoring report to CM Supplier [Date] [Date] Phase 2 final monitoring meeting CM [Date] [Date] Phase 2 ends Waypoint [Date] [Date] Phase 2 final report/phase 3 bid to Consortium deadline Supplier [Date] [Date] Possible supplier meetings Consortium [Date] [Date] Updated final monitoring report due Supplier [Date] [Date] Monitoring Report Submitted to Consortium CM [Date] [Date] Assess Supplier phase 1 performance and report to Consortium CM [Date] [Date] phase 2 Final payment approved CM [Date] [Date] Supplier Informed of result of phase 3 bid Consortium [Date] [Date] Agree individual messages to suppliers CM 161

162 [Date] [Date] Complete and send out updated SIP phase 3 CM [Date] [Date] Phase 3 Execution Starts Waypoint [Date] [Date] Baseline phase 3 Plans received from Suppliers Supplier [Date] [Date] Phase 3 ends Waypoint Appendix 2: Contacts list The primary contact for all matters is the CM unless otherwise notified. Contract Management Team Contract manager, primary contact: name, phone number, address Contract manager, secondary contact: name, phone number, address Project Manager Financial Manager Appendix 3: Escalation Process The primary contact for all matters is the CM unless otherwise notified. 1. If the CM is unavailable or the CM is the reason for contact, then the second CM identified in the Contacts List should be contacted. 2. If the second CM is unavailable or both CMs are the reason for the contact, then the Project Manager must be contacted. Appendix 4: Success Factors The criteria below are used by the CM to assess and report whether you have completed the phase successfully and to provide both general and specific feedback to you on areas that need to be improved should you be selected to take part in phase 3. They are not used to assess whether the solution, costs and other information you have reported meet the needs of the procuring Consortium; this is the role of the Consortium and specialists engaged to assess your proposals should you be asked to bid for the next phase. Failure to meet these criteria may exclude you from being invited to bid for the next phase. 162

163 Criteria Based upon information supplied during and at the end of the phase, the CM will assess and report on whether you: 1. Have met the requirements defined in the tender, contract and your application (i.e. are there any unreasonable gaps whilst recognising the research nature of this phase). 2. Are backed by and organisation which has the capability of deploying the solution in the defined geographic area (skills, financial backing, business/ exploitation/ marketing plan etc.) or have a realistic plan to do so. 3. Have in place agreements to cover the ownership of Intellectual Property and the dispersal of profits and losses between contributing partners. 4. Have proven your ability to manage the project and your potential to manage the next phases. 5. Have a realistic plan for the establishment of effective deployment and support organisations. 6. Have a realistic pricing model. 7. Have proven freedom to operate and/or ownership of all relevant Intellectual Property. These criteria may be updated and extended at the start of phase to reflect the more complex nature of these phases. Appendix 5: Managed Communications As a competitive process it is essential to ensure that both you and the Consortium are working on the same, approved information, whilst promoting communications between you and the Consortium. There are a few simple rules to observe: 1. All communications must be copied to your CM. 2. Any questions or requests that you may have must be sent to the CM, who will record the question and ensure that any answer reflects the official view of the Consortium. 3. All formal questions and requests from the Project will be sent to you via the CM, who will record the question or request and ensure that any answer is sent to entire Procuring Consortium. 4. If you receive any request from individuals within the Project you must send it back to the CM for approval. 5. Whilst you may wish to take into account any comments or information you receive from members of the Project (e.g. as research input), these must not 163

164 be seen as the view of the Procuring Consortium as a whole and you do so at your own risk. Should you believe that the information you have received is of value or concern you may wish to clarify this by requesting that the CM discusses it with the Procuring Consortium. See Appendix 7 for clarification. 6. Change Management processes to assist with managing expectations and deliverables will be established during phase 2 onwards. 7. See Appendix 7 for more details and clarification. Appendix 6: Overview of Project Monitoring Why Monitor? This Appendix describes the general monitoring process for the PCP. There are three areas in which Project Monitoring is essential Control, Support and Parity. Control This PCP is supported with public funds and need to be managed appropriately, comply with the terms and conditions of the award, and provide information to support reporting on the performance of the programme of work. The CM will: Establish and operate the processes between the Consortium and the Suppliers described in this document. These include, Financial Control, Reporting and Communications. Ensure that the Supplier has set up and is operating processes to ensure that the project is well managed. These include Financial Control, Project Management, Risk Management and Change Management. Ensure that the Supplier is developing and managing its business to deliver a successful result that is capable of deployment across the European Union in an acceptable timescale. This includes documented agreements on responsibilities, Intellectual Property, profit sharing etc. between partners in any consortium set up to respond to the tenders, business planning, exploitation planning and marketing. Support Monitoring provides valuable support to suppliers, acting as a point of contact when issues arise during a project and guidance is needed to resolve them. Through the regular contact that CMs have with projects they are able to help suppliers by identifying other potential sources of information and support to enable them to progress their ideas and exploit opportunities. 164

165 Parity The PCP process is a competitive one, with Suppliers competing for an allocation of limited funds. It is incumbent upon the Consortium to ensure that fairness and parity is maintained between the Suppliers until the phase 3 Contract has been awarded. This requires that communication between the Consortium and the Suppliers is controlled and recorded. As the main point of contact with the Suppliers this is managed by the CM. To ensure that Suppliers are presented with a co-ordinated, single view the CM establishes and operates processes to ensure that all communications, questions, replies etc. to and from Suppliers are recorded and that any replies are representative of the entire Consortium. Approach Project management, reporting and financial management is the responsibility of the Supplier or supplier consortium. The Supplier s Project Manager (SPM) is responsible for implementing best practice principles and methodologies, supported by the consortium if applicable. As some Suppliers may not be experienced in project management, financial management and other aspects, the CM will provide guidance and sign posting to best practice to ensure that the project achieves a level of control sufficient to achieve a successful outcome. Specific approaches or tools are not mandated, but good project management and reporting processes must be demonstrated consistently throughout the project. At the start of the project the CM will identify the key documents required to meet the terms and conditions of the award and will work with the supplier to ensure that they are of suitable quality and detail to be used to monitor project performance. The CM may also ask the project to provide additional information, for example to publicise the outcome of the project to a wider audience, with the project s permission; or for evaluation purposes. Stakeholders Contract Manager (CM) The CM is the first point of contact for the Supplier and is the interface with the wider procuring team. The CM has a contract with the Project which contains a nondisclosure clause. An NDA between the Supplier and the CM is unnecessary and will not be agreed with individual Suppliers. The CM is required to independently observe, guide and report on project performance in order to meet the monitoring objectives outlined above, and to provide a route for the project to escalate issues and seek advice. 165

166 In general, the role of a CM is to: Monitor compliance with the terms and conditions of the award, including but not limited to timely and accurate submission of project reports. Report on project performance and escalate any issues that need resolving. Ensure that project information is available to the Consortium. Manage communications between Suppliers and the Consortium to ensure that: o o Parity is maintained between the suppliers. The Suppliers receive information which represents the views of the entire Consortium. Ensure that the Supplier is working towards successful exploitation / commercialisation of the results of the project. Signpost suppliers to additional forms of support and information. Review End of Phase Reports for completeness (not conformance to requirements) and report to the Consortium on: o o o Completeness and reliability of information based upon observed activity by the Supplier. The performance of the project in managing the phase and any issues that would need to be resolved should the Supplier be successful in their bid for the next phase. The supplier s readiness and ability to take any resulting product/service to market and to maintain its presence in that market. The CM is not appointed to: Manage the project o If there is an absence of good project management, the CM will work with the project to identify what changes need to be made and report this to the Consortium with any necessary actions. Act as an expert advisor. o The CM's experience may allow them to discuss specific project issues, but they should not be asked to advise or direct the project on a particular approach. This document details the main tasks associated with delivering the CM Role. It is not exhaustive, i.e. an CM might be requested to undertake tasks that the following does not describe and it is not prescriptive, i.e. there may be tasks detailed that may not be required. 166

167 The Lead Partner Organisation (LP) The LP has specific contractual and project responsibilities both in the application process and in the subsequent management and reporting of a project once funding has been awarded. If a grant is awarded to only one organisation, that organisation de facto becomes the Lead Partner. The LP in a collaboration is expected to act as project lead and to appoint a suitably qualified and experienced person as the SPM from within their organisation. Where there is no collaboration, the Supplier in receipt of the grant or contract is expected to appoint a suitably qualified and experienced person from within their individual organisation. Consortium Partners A Partner is a person or organisation who is an integral part of one or more project phases, contributing expertise or resources. It is not material whether a Partner shares in profit accruing from the project or hold all or part of the IP related to the project, however it is critical that the relationship between the Partners are defined and agreed by all Partners. A specific requirement of the LP for phase 2 is the creation, agreement and updating of a Collaboration (Consortium) Agreement (CA) which defines to the mutual satisfaction of all Partners and the CM: The management methodology for the consortium The roles of named people within the consortium How and when Consortium reviews will take place How the project will be funded How any profits or losses resulting from the project will be apportioned Where any IP resulting from the project will be vested A sub-contractor (i.e. a party paid for specific, define activities) will not normally be a member of the Consortium. The CA must be reviewed and updated at the start of each phase and when any change in the Partners occurs. A project phase will not be allowed to continue if a CA cannot be agreed between the Partners and with the CM within 1 month of the start of the phase. The Suppliers Project Manager (SPM) The SPM is appointed by the lead partner organisation and has the following responsibilities which include but are not limited to: 167

168 Managing the project from the award stage through to the end of the project activity, applying and demonstrating recognised good project management practice Working and communicating with the CM on behalf of the whole project team to ensure effective and full communication within the Supplier and/or Consortium and with the Procuring Consortium. Managing the entire project expenditure (with the help of the other partner organisations) to ensure that the agreed resources are used, providing evidence to the CM on behalf of the project team when requested to do so. Responding to questions from the CM and the Consortium. Operating a Change Management process to ensure that the procuring Consortium and CM are kept up to date and consulted on the functionality to be delivered at the end of the phase. Escalating project issues to the CM with sufficient detail of the problem and proposed solution to enable the CM to assess and recommend action as necessary. The content and maintenance of the project files that the CM has stated are required for the effective running of the project. This will typically consist of but is not limited to: project plan, milestone register, workpackage definitions, organisation chart, collaboration agreement, risk register, business and exploitation plan. Project reporting including, for example, the compilation of project participants reports into a single project report, to be sent to the CM on or before the dates identified in the Monitoring Plan. Ensuring the project participant(s) are geared towards successful exploitation / commercialisation of the results of the project. The Procuring Consortium The Consortium, in collaboration with the EC and specialist resources where required, are responsible for: Setting the requirements of the PCP Project. Developing and maintaining an understanding of PCP project progress and taking corrective actions where necessary. Agreeing the timescale and key points in the PCP lifecycle, and varying these where necessary Assessing bids and letting tenders Assessing end of phase reports and feedback from the CMs to determine whether the Supplier is has performed sufficiently well to allow it to bid for the next phase of the PCP. Assisting the Suppliers by answering questions, providing additional guidance and assistance as it deems necessary. 168

169 The Monitoring Process and Timetable For each phase of the project there are formal steps which the CM will carry out. The timelines shown are for planning purposes; specific timelines will be given to Suppliers at the start of the project. Start-Up Pre-Start Before the project commences, the CM will: Review Contract Pro-forma and feedback Issues Set Up Processes Set Up Document Store Build Monitoring Plan Agree Report Formats Agree with Procurers o o o Confidentiality & Communications Change Management Reporting Requirements Baseline Once the suppliers have been identified, the CM will: Target week Contract signed = week 0 Action -1 Send monitoring guidelines and timeline to Suppliers and book a telephone conference. 0 Phone call with supplier introduction, brief on monitoring, expectations, documentation required, Q&A, book site visit if necessary as defined by the project timeline. 2 Reminder to supplier 3 Supplier documentation received or escalate 3 Supplier report reviewed, issues addressed, baseline report written and circulated. Site visit completed. 4 Any initial Supplier payment authorised or remedial action put in place. 169

170 Live phase Once the project is live, the monitoring process follows the steps outlined in the sections below. Performance Review The CM will review and report on project performance at the end of each period (Generic Timeline below). The Supplier will be sent a plan with specific dates as part of the Start-Up information. Target Week End of Monitoring Period = Week 0 Action -3 Reminder to supplier, site visit booked if necessary as defined by the project timeline 0 Second reminder to supplier 1 Final reminder to supplier 2 Supplier report received or escalate 3 Supplier report reviewed, issues addressed, monitoring report written and circulated. Site visit completed. 4 Supplier payment authorised or remedial action put in place. The supplier will be provided with a specific timetable of actions. Once the Supplier s report and documentation has been received and assessed by the CM, a review meeting will take place if this is required by the phase timeline; if no meeting is required then the CM will report based upon the documentation provided by the Supplier and any subsequent discussions. On-Site Reviews Monitoring will involve a face to face meeting between the CM and the project team to review practice and progress, normally at the Supplier s premises. In addition to the performance management function, monitoring also adds real value to the project and the suppliers through these meetings which support information exchange, consortium interaction (if applicable) and discussion of project issues. It is also an opportunity for the CM to provide generic (not project specific) guidance and support and signposting to other sources of information, advice and support that may benefit the project or its members. 170

171 The format and agenda of the review meeting may be agreed between the project and the CM, however, a template for the review meeting is provided below. This shows the minimum items for discussion of the meeting. The meeting should also cover issues raised by the project, for example clarification of processes, requests for information/clarification from the Procuring Consortium. Supplier meetings should have representation from each member of the supplier s consortium. The CM will create a record of the meeting, which will be used to write the Monitoring Report. CM s must not keep their own, separate records (other than for precompilation of the records required). Sample Project Monitoring Agenda: Introductions - All Comments and Action Points - CM Progress Review Supplier /Consortium o o o o o Demonstration Milestones & Deliverables Risk management Issues Finance Exploitation/ Business Plan/ Marketing Discussion of Issues Review of Actions Date of next meeting Remote Reviews Should the CM have concerns that he or she does not believe can be dealt with remotely, then the CM may call a meeting with the Supplier. Assessment and Reporting Following the review, the CM will produce a report, which will be based on documentation received, discussions, and the outcomes of a project review meeting if this has taken place. The Project Monitoring Report Headings are: Date, Time, Location Purpose Attendees, Role Overview of Meeting 171

172 Performance Review o o o o o o Scope/Deliverables Progress/Time Risk Management Exploitation Preparation Project Management Financial Questions and Issues Action Points List Date of Next Meeting The criteria against which the project will be monitored are described below; the criteria are identical for each phase of the project; however the assessment will depend upon the type/complexity of work being undertaken during the phase. The CM will assess performance using their professional judgment and in the context of the inherent risk associated with research and development work. This enables the CM to take into account unexpected events that may have caused genuine delay or variation to plans which will be corrected for future periods. The report will be shared with the Supplier and the Supplier will be asked to amend/comment before it is sent to the Procuring Consortium for information and action if required. However, where there is regular or persistent failure to address known issues, this will be assessed and reported to the project and the Procuring Consortium. In the worst case this could include the termination of the Contract. Phase End Differences This is essentially the same as an on-site Live phase review (see above), however it is slightly earlier in the timeline than an intermediate phase review. It will also have additional agendas item to cover phase Close and Next phase. For the end of phase an early Draft report and review meeting are used to allow the Supplier to concentrate on the end of phase report for the Procuring Consortium and to prepare for the next phase. Bringing forward the final meeting also allows the Supplier to be briefed on the actions required at the end of the phase and when submitting a bid for the next phase. 172

173 The generic timeline is: Target week End of Monitoring Period = Week 0 Action -5 Reminder to supplier requesting draft report. -4 Second reminder to supplier, site visit booked if necessary as defined by the project timeline, end of phase briefing material prepared and agreed -3 Supplier report received or escalate -2 Meeting with supplier; review progress, brief on end of phase actions. 0 Final monitoring and phase report reminder 2 Final monitoring report and phase end report received 3 Final supplier report reviewed, issues addressed, monitoring report written and circulated. End of phase supplier performance report and supplier final report review completed and sent to procurers. 4 Supplier payment authorised or remedial action put in place. The supplier will be provided with a specific timetable of actions. Monitoring Assessment Criteria Scope/Deliverables This is a review of the continued alignment of the project with agreed objectives. It should consider progress towards the planned outcomes. The project is required to demonstrate and evidence understanding and delivery of: Planned objectives Necessary performance levels Relative importance of the technologies to be explored by the project. Progress/Time This review ensures that the project is progressing in a timely and managed way towards the agreed completion date and looks at: Progress against each active workpackage including: Against plan from last period Look forward to next period Remedial actions required 173

174 Changes needed to detailed project plan Status of milestones in the last and next quarter Deliverables/outputs against target Risk Management Projects must follow good practice in risk management and adopt a suitable risk management framework tailored to the specific project. This includes creating and maintaining a risk register and reviewing it at suitable intervals. The risk register must cover not only the technical risks of the project, but also the financial, management and other associated areas of risk for the project. Identified risks should have a risk assessment covering the likelihood and impact of the risks, together with how they are being managed (mitigated, reduced, eliminated or accepted) and any actions taken. The CM will review the risk register and management of risks for appropriateness, completeness and good practice, including and any additions and revisions or alterations since the last review. The mitigating actions are critical and will be carefully assessed by the CM. Exploitation Preparation The application for funding contains an outline of how the project intends to exploit, develop or commercialise its outcomes. As part of the pre-phase activity, the Supplier should have reviewed and update this information to reflect any change or further thinking since the application was submitted. During the life of the project, as work progresses, these plans must be reviewed at appropriate intervals. It is recognized that this does not mean they will require updating every period, however, updates to the exploitation plan must be made: When significant changes to the objectives occur, or When significant milestones or outputs have been reached that impact on expected outcomes and; When external factors change Exploitation planning takes place throughout the life of the project, and the CM will be assessing the plans continuously to ensure that the Supplier is developing their understanding of the market and the actions needed to supply, support and develop the product/service. Without this understanding, the Procuring Consortium cannot have the confidence that: The product can be deployed and supported 174

175 The product price is an accurate reflection of the cost of placing and maintaining the product in the marketplace The Supplier is free of constraints which prevent taking the product/service to market in some or all of the geographic areas required At the end of phase 3, exploitation planning must, as a minimum, show: A clear plan for taking the product to market A clear understanding of the market (geography, regional variations, size, competition) A clear plan for deploying and supporting the product and or service, with named potential or actual partners/suppliers Initial pricing for the product/service The IP status for the product and how this will be progressed Confirmation that the Supplier has freedom to operate (e.g. due to IP not residing with the supplier), or any constraints The Procuring Consortium will have a role in reviewing the initial document and subsequent changes. Project Management Good project management is essential for ensuring the intended outcomes of a project are achieved and that its resources are managed effectively and efficiently. Good project management will include but is not limited to the following: Business case management and development Budget management, planning and forecasting Resource management Quality management Project organisation and control Risk management Communication In reviewing project management, CM s will take into account how good practice is being implemented and demonstrated appropriate for the project as whole. The SPM has specific responsibility for overall project management including but not limited to the areas listed above. This includes reviewing the performance of project partners in meeting their responsibilities under the terms of the award and working with them to achieve overall excellent project performance. The rating for this category must reflect those of other five categories, as they are also measures of how well the project is being managed and planned. 175

176 Financial This reviews how well the project as a whole is managing its budget, how resources used match the activity undertaken or deliverables achieved, and how accurately it is forecasting its costs. The SPM has an overall responsibility for the management of the project budget and of the project forecast. Failure to meet forecast may invoke financial constraints, as detailed in the Terms and Conditions of the award. As this is a set stage payment contract, the CM has limited access to detailed financial information (e.g. forecast expenditure), however the SPM is expected to have this information and to provide it on request. The CM will: Confirm that progress is commensurate with expenditure and as documented in the Contract and the project proposal (specifically that >51% of the expenditure will be on R&D activities) Ensure that project expenditure is in accordance with any terms and conditions of the award. Discuss and document any concerns Payments Payment of the values stated in the contract will be made within the terms stated in the contract. Major Risks and Issues - Escalation and Resolution This section deals with issues which are likely to affect: The expected deliverables from the project The structure or status of the Supplier or Consortium The ability of the project to deliver an acceptable outcome This is not an exhaustive list. Supplier Issues When Suppliers wish to make changes or are experiencing difficulties, they must consider the options available, the impact of each and the preferred approach in raising these with the CM. This is an important part of the project monitoring process and the role of the CM. Changes to the project may arise where circumstances or events occur outside the project s control, or become more serious or more urgent than previously thought. The monitoring process considers such changes as issues that need to be identified, escalated and resolved. 176

177 Issues that need escalation to the Procuring Consortium might include: Variations to project costs Inability to meet the phase end date Partner changes Financial problems Project and/or partner performance Change of project scope All of these must be escalated via the CM to the Procuring Consortium. It is essential that changes, Issues and problems are not hidden from the CM and that the CM is informed as soon as possible when an issue or problem is likely to or has occurred. The SPM must keep the CM up to date with anything that will significantly affect the project, not wait for a Monitoring Point. The CM s wants the project to succeed, and the earlier the CM knows of a problem the more likely it is that a successful, collaborative resolution can be achieved. Performance Issues The CM is well placed to form an opinion on project performance, having built up knowledge of the specific objectives and challenges it faces. The CM will carefully consider the causes of reduced performance, whether from causes within the project or due to new or difficult circumstances that were both outside the project s control and could not have been reasonably predicted. It is recognized that research and development projects include a necessary aspect of technical risk, and it is a legitimate failure if a research task cannot deliver a hoped for result. This is different, however, to poor management of other project risks. Where the CM believes that the project performance is significantly or consistently below what is expected it will be necessary to take more immediate remedial action. This includes for example where the project has received a poor rating in one or more criteria over one or more reporting periods, which indicates persistent failure to exercise good project management practice or progress. In such cases, the CM will ensure that the significance of poor performance is understood by the SPM and will work with the Consortium and the Supplier to implementing any remedial action and to monitor subsequent performance to ensure a satisfactory outcome is reached. 177

178 Change in Project Scope or Deliverables Where the project has identified a technical issue that prevents it from delivering the planned outputs of the project, or where project work identifies alternative outputs that the project team wishes to explore, the issue must be escalated to the CM as a potential change in scope or deliverables, describing the issue and proposed course of action with potential benefits and impacts on the project and its costs. The Supplier is expected to operate a change management process which covers the agreed functionality to be provided. All potential scope changes must be agreed by the Consortium. Appendix 7: Managing Delivered Functionality Introduction The Pre Commercial Procurement (PCP) tender takes the form of a high level problem definition (the Challenge Brief) and a request to suppliers for solutions to be provided under a framework agreement and individual phase contracts. Unlike those of conventional supply or development tenders the requirements of a PCP project are stated at a very high level and are designed to initiate creative R&D projects amongst a group of competing suppliers. These suppliers are then required to propose, specify and develop concepts, products and services to meet these high level needs within a defined geography. The ultimate objective of the PCP project is to fund suppliers who: Enable and enhance the vision of the procuring Community. Conform to stated standards so that that the product/service complies with all necessary legal and interoperability requirements across the stated geography. Have a cost/deployment/support model which is acceptable across the stated geography. Is backed by suppliers who have the ongoing funding and technical/logistics capabilities to deploy the product/solution across the stated geography in the long term. For the sake of simplicity, the term procuring Community used in this appendix comprises all PCP project Consortium stakeholders and the associated experts. 178

179 The Challenge posed by the PCP project Process Whilst this innovative process is designed to lead to potential solutions, the development of these solutions can be problematic for a number of reasons: The levels of uncertainty within the tender specification The need to ensure that the suppliers and the procuring Community develop their ideas in parallel The need to maintain parity between the suppliers who are operating within an ongoing competitive environment until phase 3 is awarded The geographic dispersal of the procuring Community and the suppliers The problem can be stated as: To obtain the optimum results the project requires that the procuring Community and suppliers collaborate. How can this be achieved when meetings are difficult and costly to arrange and fairness must to be maintained between the selected suppliers? Process Based Solution There is no simple, single answer to these related points, so the following processes need to be implemented. 1. Provide timely, formal opportunities for the suppliers and the procuring Community to interact. 2. Suppliers to engage with the procuring Community as a research resource, in the same way that they engage with other experts across industry, academia and the user base. 3. Operate Q&A process to log specific questions, and ensure that the answers are made known to all suppliers. 4. Suppliers required to publish a roadmap which shows the key elements of their thinking. 5. Implement a supplier-led change management process to ensure that the answers they receive from individuals from the procuring Community are endorsed by the entire procuring Community. 6. Implement an intermediate control point (the contract managers) who operate the processes, monitor fairness and promote interaction. These are described in more detail below. Formal Opportunities to Interact Especially within an agile development paradigm, suppliers need the opportunity to discuss their ideas and proposals with the procuring Community. 179

180 Whilst some of these discussions can take place using the question and answer process (in both directions) described below this does not provide an interactive environment to allow ideas to be developed. Formal touch points may be established at appropriate dates throughout the project. These touch points may be a mixture of face to face and online conference, and the schedule of dates should be included in the official project calendar. For formal touch points, questions and answers from either party will be included in the question and answer record maintained by the contract manager any generic reply must be communicated to all suppliers. Wherever possible, to ensure that the possibility of misinterpretation is kept to a minimum, suppliers must be asked to provide their question and the answer they received in writing after the event to be checked with the procurer Community. Informal Supplier/ Community Interaction During the PCP project it is important that a working relationship is developed between the procurer Community and the suppliers. Especially in an agile development environment continuing contact with those requesting and defining the product and service (the procurer Community) and the suppliers developing the product/service is important if a satisfactory outcome is to be reached. Whilst the formal touch points and question and answer (Q&A) process partially fulfil this requirement, the dispersed geographic nature of the project means that this cannot be achieved entirely through joint meetings without incurring excessive overheads. To ensure that the project achieves its planned objectives it is therefore necessary that a working interface with the procuring Community is developed and maintained, This has implications for the competitive tender process, and must be treated very carefully as: The tender is a competitive process which requires that all suppliers be treated equally and given the same information at the same time. The formal requirements are defined within the tender and cannot be changed without amending the contract, which would require agreement from all suppliers. The supplier will be provided with nominated members of the procuring Community to discuss details of the project. This discussion process is interactive and cannot easily be captured as part of the Q&A process described below; to overcome this problem, at the end of this discussion the procurer Community and the supplier will agree a joint statement of the question and the reply which will be added to the Q&A register. If generic this information will be communicated to all suppliers by the contract managers. 180

181 To ensure that the integrity of the tender is maintained, any information which has not been confirmed using the Q&A process is the opinion of the individual(s) involved and does not represent the Community. Should the supplier decide to act upon information received in an informal discussion, this is entirely at the supplier s own risk. Despite this apparent constraint, informal discussion is vital - suppliers need to understand the objectives of the procuring Community, and the Community needs to build a joint understanding with the suppliers about how the solution is evolving. The supplier should see members of the Community as a research resource in the same way as any other research resource available to them. Question and Answer (Q&A) Process The Q&A process allows suppliers to request information from the procurer Community, and the Community to request information from suppliers. To use the Q&A process, the Procurer Community member or supplier must the contract managers, who will record the question and other details and forward it to the correct people for reply. The reply must then be sent to the contract managers who will record the reply. The contract managers will also record questions and answers during formal touch points. The contract managers will also: Ensure that questions are answered in a reasonable time Ensure that generic replies are communicated to all suppliers Request clarification on any questions or answers which appear unclear The Q&A process will continue until the end of phase three, even though the tender becomes non-competitive once the phase 3 contract is signed, as any guidance provided to the supplier by the Procurer Community could affect the success of the resultant product and service. Supplier Roadmap As the PCP project is realised through an ongoing R&D process the exact deliverables from the supplier will change as the project proceeds. Managing expectations between all stakeholders is difficult, this is what the roadmap process seeks to address. As part of the process of ensuring that the Procurer Community and suppliers build a joint understanding of the proposed product and service as they evolve throughout the project, the suppliers will be asked to provide a roadmap of their development and to maintain this as the project progresses. The level of detail in the roadmap will be determined by the suppliers however contract manager will work with the suppliers to ensure that an adequate level of detail for the Procurer Community is developed as the project progresses. 181

182 The main deliverable from this process is that the expectation of the Procurer Community and suppliers are aligned. The secondary deliverable from this process is that it becomes possible to ensure that changes to planned deliverables instigated by the supplier throughout each phase can be communicated to the Procurer Community and placed under change management (see below), so that the expectations of all parties remain aligned. Supplier Led Change Management As this is an R&D process the bid and organisation at the start of each phase is a snapshot and change will be necessary and are to be expected. The following process has been defined to ensure that changes required by the supplier to ensure that they can remain within the expected scope of the project: The supplier will need to request permission from the Procurer Community if wish to change: o o o A deliverable which has been notified to the Procurer Community, either in their bid or which has been defined in their roadmap Deviation from the requirements stated in the tender Changes to the supplier Consortium or key people This request must show: o o o o o Nature of the change Reason for the change Effect of the change (e.g. deliverables, planned dates) Risks associated with the change (either caused by or alleviated by) Financial impact of the change The contract manager will work with the Procurer Community and the supplier to clarify and assess any proposed change and confirm that the change can be accommodated within the current contract. The contract manager will inform the supplier of the response and will work with the supplier to manage the outcome. Procurer Community Initiated Changes Having set formal requirements during the tender process the PCP the Procurer Community cannot request a change to the stated requirements as this could lead to a challenge to the tender; the Procurer Community cannot therefore initiate a Change Request. However, if the supplier requests a change that is considered by the Procurer Community as clarification this should be acceptable so long as any resulting clarification is communicated to all suppliers active within the tender. 182

183 Appendix 8: Business/ Exploitation plan evaluation matrix Objective of this Document This document identifies what a Business/ Exploitation Plan (hereafter the Exploitation Plan) produced by a supplier or supplier consortium should contain at the conclusion of a sponsored project and provides an assessment framework. An Exploitation Plan must address all the key areas required to deploy and support the project within the stated vision and scope of the tender. This is to give the sponsors confidence, once the project has been completed, that their investment can be realised as a product and/or service: Within an acceptable time from the end of the project With an acceptable life from the end of the project In the specified geographies At the expected price In a manner which allows the product or service to evolve to meet the changing needs of the market represented by the project With acceptable risk of supplier/product/service failure early in the life of the product and/or service The specific purpose of this document is to provide a framework for the assessment of the Exploitation Plan which supports the: Assessment of the suitability and completeness of the plan. Identification of omissions, questionable or inherent assumptions, and errors, and assesses their impact on the overall Exploitation plan. To do this this document identifies the areas to be assessed and provides a framework for reporting. The resulting report will characterise the Exploitation Plan for the financial stakeholders to assist in their decision making on the adoption of the product/service. Health Warning This report is an assessment of information provided by the supplier and the reliability of their plans at the time of the report. This is not an in depth study of the market etc. which is the responsibility of the supplier or supplier consortium. 183

184 Area/ Description and Criteria Comments Assumptions, Errors, Omissions, Risks Noted Business Recommend ations (if needed) Business Structure Is the proposed business structure suitable for commercialising, deploying and supporting the product/service? Partnerships and Subcontracts Are the relevant agreements in place, up to date and effective to allow the product/service to be marketed, manufactured, sold, delivered and supported? Financial Backing Does the company/consortium have sufficient financial backing? Financial Planning and Stability Does the supplier/consortium have detailed financial plans, and are these adequate to deploy and support the product/service? Pricing Strategy and Price Points Has the supplier/consortium set a pricing strategy and price points for products/services and are these based upon realistic projections? Cash Flow and Financing Does the supplier/consortium have cash flow forecasts that indicate that the move to a commercial product/service can be achieved? Financial Sensitivity Has the supplier/consortium undertaken sensitivity analysis of their financial plans to take into account risks and changes in and to the markets they will be selling? Market Market Understanding Has the supplier/consortium demonstrated a good understanding of the markets (demographic, geographic) into which they will sell? 184

185 Competition/Substitute Products Has the supplier/consortium identified competing/substitute products/services and suppliers and assessed their impact in the markets into which they will sell? Market Strategy Has the supplier/consortium developed marketing strategies (demographic, geographic) for the product/service? Marketing and Sales Has the supplier/consortium established how marketing and sales resources, order processes etc. will be deployed? Ongoing Development and Product Evolution Has the supplier/consortium developed plans for how the product/service will be developed in the future? Product/Service Manufacturing Has the supplier/consortium established how the product will be manufactured? Logistics Has the supplier/consortium established how the product will be delivered? Service and Support Has the supplier/consortium established how the product will be supported, repaired etc.? Compliance with Legislation Has the supplier/consortium established how the product/service be certificated? Intellectual Property and Design Protection Has the supplier/consortium established how the Intellectual property for the product will be protected? Product/Service Launch Has the supplier/consortium established how the product will be launched so that it can be supplied, repaired and supported? 185

186 Product Roadmap and Lifecycle Has the supplier/consortium described the plans for onward product developments, and the expected life of the product? Management Deployment Planning and Management Has the supplier/consortium realistic plans for how the product/service will be prepared for market and launched? Risk Assessment Has the supplier/consortium assessed the risks associated with taking the product to market? Completion of the Report The Contract Managers, who have been working closely with the suppliers throughout the project and therefore are best placed to comment, should complete the report based upon their contact with, knowledge of, and documentation from, the suppliers. There is not a prescribed format for the information from the suppliers as it was felt that requesting this would reduce the responsibility of the suppliers to own their product/service and, especially for new/immature suppliers, could lead to a dangerously narrow approach to a very large and vital subject. It must be noted that, unless the supplier intends to start deployment of the product as soon as the projects ends, there will be levels of uncertainty within the suppliers and therefore in the information available to the Contract Managers. This is to be expected and must be taken into account during the assessment. Exploitation is a huge subject; if the suppliers fail to develop the Exploitation plan as the project progresses this is a worrying indication as to their commitment to take the product to market; the Exploitation plan must evolve as the project progresses, so the report should contain less issues as the project progresses. As well as providing a final assessment of the supplier s capabilities at the end of the project, the report should be used to assist the suppliers in developing their Exploitation plan. Once a reasonable plan has been received, the report framework should be completed and sent to the supplier to provide structured feedback. This will allow the supplier to better understand the expectations of the sponsors and reduce the risk of the supplier being unable to deploy the product/service within a reasonable time of the end of the project. 186

187 A few weeks before the end of the project the final draft of the supplier s exploitation plan should be reviewed and the report should be completed and sent to the supplier for comment/explanation. It should then be updated before submission to the assessors at the end of the project. It is important to understand the limitations of this report. To repeat the health warning at the start of the document: This report is an assessment of information provided by the supplier and the reliability of their plans at the time of the report. This is not an in depth study of the market etc. which is the responsibility of the supplier or supplier consortium. 187

188 SILVER PCP Phase 2 Questionnaire for Contractors Template Phase 2 Questionnaire for Contractors Template (Annex_II) Nature of deliverable/milestone: Annex: SILVER example of artefact documents Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: The SILVER project 188

189 1. Please summarise your consortium's achievements during Phase What do think about the results of Phase 2? 3. What impacts will the outcome of Phase 2 have on your company, business growth and the wider sector? 4. Please detail what your consortium found positive or could be improved, in terms of the PCP process, its design and delivery? 5. What value did you get from the testing in Odense? 6. What are the main learning points from the testing in Phase 2 and what will their impact be on your future work? 7. Other comments or remarks for the SILVER consortium. 189

190 SILVER PCP Phase 2 Test Report Template Phase 2 Test Report Template (Annex_III) Nature of deliverable/milestone: Annex: SILVER example of artefact documents Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: Caroline Strudwick 190

191 191 Table of Contents 1. Introduction The Purpose of Phase 2 Testing <Project> s Bid Form Phase 2 Promise Test Set up Overall Test Criteria Test Tasks Safety Assessment Usability (Test Results) <Theme> <Theme> Recommendations Potentially Critical Issues Technical Feasibility Fulfillment of Phase 2 Promise Baseline Existing Solutions Meeting the Needs of the Target Group Assessment of Fulfilment Meeting the SILVER Challenge Independence, Quality of Life and User Experience Time Savings Conclusion Comments from <Project> Appendix Target Group Test Users Test Team Test Environment Risks and Mitigation

192 1. Introduction This Test Report contains the results of the Phase 2 prototype test of the <Project and product> within the SILVER project. 2. The Purpose of Phase 2 Testing In order to enhance the quality of the bids for the next phase it is necessary that the Authority and the group of SILVER Contracting Authorities look into the solutions, assess them and relate the solutions to their needs. For the Contractors this step in the development process will help to build a prototype that fulfils the needs of the Contracting Authorities, by receiving input to improve the prototype. Contractors that successfully completed Phase 2 and received a Call for Bids Phase 3 will have to address the recommendations for improvement given in this Phase 2 Test report. The Phase 2 prototype test is a usability engineering test, which assesses the prototype in relation to 3 overall criteria; safety, time savings and overall usability. It is not a clinical trial or CE marking test. As the solutions are at a prototype level, the scope and purpose of the usability test is to assess the viability of the prototype in relation to each criterion with the aim to provide the Contracting Authorities with a basis for assessment of the solution s potential to contribute to the SILVER Challenge and the fulfilment of the Contractor s promise in the Bid Form Phase 2 provide the Contractor with feedback and recommendations to improve the solution for the next phase. The Phase 2 prototype test will assess to which degree <Project> has the potential to meet the SILVER Challenge in relation to independence, quality of life and user experience based on the prototype s performance. The test will start by The Test Team assessing safety on Day 1 in order to ensure a safe test environment for the test users participating in the following usability test on Day <Project> s Bid Form Phase 2 Promise In their Bid Form Phase 2 <Project> made the following main promises, which form a basis for the Phase 2 prototype test: The <Project> solution is based on the following assumptions: <xxx> The <Project and product name> offers the following: <xxx> <xxx> - related to personal Activities of Daily Living 192

193 <Project> has estimated the following time savings for caregivers in relation to each personal Activity of Daily Living: SILVER_04 Savingssheet p-adl personal Activities of Daily Living (p-adls) task Description of p-adl tasks 1 Personal hygiene and grooming Washing, Grooming, Comb hair, Brush teeth, Shave, Do makeup, Manicure, Pedicure 2 Eating and drinking Reminding, Checking, Feeding, Drinking, Cutting food Estimated time Typical* time saving per spent per occassion occassion stated by (minutes) tenderer (minutes) Median* time spent per occassion (minutes's) X min 20 X min 20 3 Maintaining continence or the ability to use a restroom, incl. dressing and transfer 4 Taking medications as prescribed Going to the toilet including transferring and handling clothes and hygiene Dosing Reminding Taking Documentation X min 15 X 5-10 min 7 5 Functional transfers Moving and changing position X 5-15 min 10 6 Dressing and undressing, including the ability to make appropriate clothing decisions (Un)dress upper/lower body, Putting on stockings / leggings, Taking appropriate clothes X 5-30 min 15 Figure 1: Excerpt from <Project> s estimated time savings in the Phase 2 Bid. Source: SILVER_04 Savingssheet in <Project> s Bid Form Phase Test Set up The Phase 2 prototype test of <Project> was performed at the facilities of The Health Innovation Centre of Southern Denmark, Forskerparken 10 G, 5230 Odense M in Denmark on <Day and date for Day 1 testing> and <Day and date for Day 2 testing>. 4.1 Overall Test Criteria The Phase 2 prototype was tested on: the potential to meet the SILVER Challenge in relation to independence, quality of life and user experience contribution to time savings as outlined by the Contractor in the tender for Phase 2 in relation to the target group and the targeted ADL tasks usability in relation to the experience and capability of the target group safety in relation to CE marking 4.2 Test Tasks Based on <Project> s targeted p-adls and estimated time savings the test focused on the following p-adls and agreed test tasks: 193

194 p-adl p-adl 1 Personal hygiene and grooming p-adl 2 Eating and drinking p-adl 3 Maintaining continence or the ability to use a restroom incl. dressing and transfer p-adl 4 Taking medication as prescribed p-adl 5 Functional transfers p-adl 6 Dressing and undressing Test tasks - <xxx> - <xxx> - <xxx> - <xxx> - <xxx> - <xxx> Figure 2: Excerpt of agreed test tasks. Source: Annex to Call-off Contract Phase 2: Test Plan Phase 2. Comments The following adjustments to the test tasks were made due to lack of functionality or safety issues. Test Task: <xxx> (p-adl x) <explanation of adjustment and reason> Test Task: <xxx> (p-adl x) <explanation of adjustment and reason> 5 Safety Assessment Based on Day 1 safety testing the Phase 2 prototype was assessed to be safe for usability testing under the following conditions: <The Test Team prepared <extensive> extra safety procedures and risk mitigation strategies to ensure that the test users would be safe testing the prototype (please see more in section 13.5 Risks and Mitigation) Some test tasks were adjusted so that the test users could perform them safely Some test tasks were not performed (please see more in section 4.2 Test Tasks)> 6 Usability (Test Results) The usability evaluation comprises the overall results of the Phase 2 prototype test in a list of observations. The observations for <Project> fall within the following themes: <xxx> <xxx> <xxx> Recommendations for improvement are summed up in section 7 Recommendations and potentially critical issues identified in section 8 Potentially Critical Issues. 194

195 6.1 <Theme> <Description and photo documentation> 6.2 <Theme> <Description and photo documentation> 7 Recommendations Based on the test findings the below list of recommendations are focused on improvement of the result for the next phase. All recommendations should be addressed in <Project> s Bid for Phase 3. A. Recommendations in relation to <Theme> It is recommended that <Project> consider: Headline recommendation Headline recommendation B. Recommendations in relation to <Theme> It is recommended that <Project> consider: Headline recommendation Headline recommendation 8 Potentially Critical Issues Based on the test findings the below list of issues are considered potentially critical to the concept of the <Project and product>. The Test Team finds it essential that <Project> consider the listed issues to improve the viability of the product and concept in relation to existing solutions. Technical The Test Team have identified the following technically related potentially critical issues for the <Project and product>: 195

196 <Theme>: <E.g. The Test Team considers it highly relevant that <Project> find a solution <so that product can xxx>. <Theme>: <E.g. The Test Team considers it highly relevant that <Project> find a solution <so that product can xxx>. User Related The Test Team have identified the following user related potentially critical issues for the <Project and product>: <Theme>: <E.g. The Test Team considers xxx> <Theme>: <E.g. The Test Team considers xxx> 9 Technical Feasibility Based on the Phase 2 prototype test the <Project> solution is assessed to be technically feasible under the assumption that the recommendations in section 7 Recommendations and the potentially critical technical issues in section 8 Potentially Critical Issues are considered. 10 Fulfillment of Phase 2 Promise 10.1 Baseline Existing Solutions The following baseline description is based on input from the Caregiver and 2 Physiotherapists (working with aids for elderly people) from Odense Municipality, who participated in the Test Team and related the Phase 2 prototypes to the general standards in Odense Municipality as well as existing solutions to meet the same needs. The <Project> addresses elderly people <e.g. experiencing problems with safe transfer in their household, restricting their performance of daily tasks>. The existing solution for this target group can be <xxx, including pros and cons>. As the <Project and product> is a solution that addresses many functional areas, the existing solutions for the following areas are relevant to the baseline: Headline: <E.g. There are several existing solutions on the market for xxx>. Headline: <E.g. There are several existing solutions on the market for xxx>. 196

197 10.2 Meeting the Needs of the Target Group The following assessment of Project s potential to meet the needs of the target group is based on the assumed optimal solution of the <Project product> if the recommendations and potentially critical issues are considered. The assessment is based on input from the test users and from the Caregiver and 2 Physiotherapists (working with aids for elderly people) from Odense Municipality, who participated in the Test Team and related the Phase 2 prototypes to their experiences with the target group as well as the general standards in Odense Municipality. The Phase 2 test confirms the <Project product> s relevant target group to be <target group and general needs >. The following pros and cons focus on this target group and their understanding of existing solutions on the market to support their disabilities. <E.g.>The <Project product> was <not assessed> to be able to support the following groups that were part of the original target groups in the Bid for Phase 2: <xxx users> Pros The target group need support in <action>. The Phase 2 <Project product provided x support>. The target group need support in <action>. The Phase 2 <Project product provided x support>. Cons The target group need support in <action>. The Phase 2 <Project product did not provide x support>. The target group need support in <action>. The Phase 2 <Project product did not provide x support> Assessment of Fulfilment The assessment of <Project> s fulfilment of their Phase 2 promise is based on the results of the Phase 2 prototype test. Promise <quotes from Phase 2 bid promise> Assessment of Fulfilment The <Project product> was <(not)>assessed to be <xxx>. 197

198 <quotes from Phase 2 bid promise> The <Project product> was <(not)>assessed to be <xxx>. <quotes from Phase 2 bid promise> The <Project product> was <(not)>assessed to be <xxx>. Etc. Figure 3: Table containing excerpts from <Project> s Bid Form Phase 2 and the Test Team s assessment of the fulfilment. Source: Author. 11 Meeting the SILVER Challenge As outlined in the SILVER_02 Challenge Brief, The SILVER challenge is to care for 10% more elderly with the same amount of staff in 2020 by having new robotics solutions that can take over all or part of the work of care givers. These robotics solutions should enable elderly even when facing multiple physical and mental disabilities to stay independently as long as possible and live in their own homes, if necessary in combination with assistance from home care staff. Potential is scored according to the following scale from 1 to 5: 1: No potential 2: Limited potential 3: Some potential 4: Significant potential 5: Great potential 11.1 Independence, Quality of Life and User Experience Based on the Phase 2 prototype s performance the Test Team has made the following assessment of the <Project> s potential to meet the SILVER Challenge in relation to independence, quality of life and user experience. The baseline for the assessed potential is a comparison with existing solutions and an assessment of the potential to create added value in relation to the current state. The baseline is described in section 10.1 Baseline Existing Solutions. 198

199 p-adl MEETING THE SILVER CHALLENGE (EVALUATION) Independence Quality of life User experience Comments 1 Personal hygiene and grooming (e.g.) The <Project> was assessed to have no potential to support personal hygiene and grooming tasks and increase the users indepence or quality of life to a larger extent than existing support aids. 2 Eating and drinking 3 Maintaining continence or the ability to use a restroom, incl, dressing and transfer 4 Taking medication as prescribed 5 Functional transfers 6 Dressing and undressing (E.g.) The <Project> was assessed to have limited potential to support eating and drinking tasks and increase the users independence and quality of life. However, the Test Team assessed the <xxx> to have some potential in terms of <xxx>. <xxx> (E.g.) <The xxx function> was assessed to have some potential to support taking medication and increase the users independence. However, it was considered necessary that <xxx>. Otherwise the support was not assessed to have any potential. For <xxx target group> it was considered problematic and unrealistic to let them handle this task on their own. <xxx> <xxx> Figure 4: Assessment of <Project> s potential to meet the SILVER Challenge within each p-adl. Source: Author. 199

200 Illustration of Potential to Meet the SILVER Challenge Figure 5: Illustration of <Project> s potential to meet the SILVER Challenge within each p-adl based on the average of the evaluations in relation to independence, quality of life and user experience. Source: Author Time Savings The assessment of the viability of <Project> s estimated time savings are related to <(e.g.) the target group of elderly people experiencing problems with safe transfer in their household>. <Project> s potential to save the estimated time for caregivers was assessed to be <unrealistic> for all 6 p-adls <as the technology is not expected to be able to take over (some of) the work of caregivers>. The Test Team s arguments for the assessment are listed for each of <Project> s targeted p-adls below. 200

201 SILVER_04 Savingssheet p-adl personal Activities of Daily Living (p-adls) task Description of p-adl tasks 1 Personal hygiene and grooming Washing, Grooming, Comb hair, Brush teeth, Shave, Do makeup, Manicure, Pedicure 2 Eating and drinking Reminding, Checking, Feeding, Drinking, Cutting food Estimated time Typical* time saving per spent per occassion occassion stated by (minutes) tenderer (minutes) Median* time spent per occassion (minutes's) Test Team's assessment of the viability of the estimations min 20 Unrealistic min 20 Unrealistic 3 Maintaining continence or the ability to use a restroom, incl. dressing and transfer 4 Taking medications as prescribed Going to the toilet including transferring and handling clothes and hygiene Dosing Reminding Taking Documentation min 15 Unrealistic min 7 Unrealistic 5 Functional transfers Moving and changing position min 10 Unrealistic 6 Dressing and undressing, including the ability to make appropriate clothing decisions (Un)dress upper/lower body, Putting on stockings / leggings, Taking appropriate clothes min 15 Unrealistic Figure 6: Assessment of the viability of <Project> s estimations of time savings based on the estimated time savings outlined in <Project> s Bid Form Phase 2. Source: SILVER_04 Savingssheet in <Project> s Bid Form Phase 2 and Author. p-adl 1 Personal Hygiene and Grooming The <Project product> was <not assessed> to provide additional support for grooming tasks, which an existing <x product> could not cover to an equivalent level. Based on the Phase 2 prototype test it is assessed to be unlikely that the estimated time will be saved for caregivers. p-adl 2 Eating and Drinking The <Project product> was <not assessed> to provide additional support for eating and drinking tasks, which an existing <x product> could not cover to an equivalent level, e.g. <support>. Based on the Phase 2 prototype test it is assessed to be unlikely that the estimated time will be saved for caregivers. p-adl 3 Toileting <Etc. xxx> p-adl 4 Taking Medication <Etc. xxx> p-adl 5 Functional Transfers <Etc. xxx> p-adl 6 Dressing and Undressing <Etc. xxx> 201

202 12 Conclusion Based on the test of the <Project> Phase 2 prototype the following conclusions sum up the Test Team s assessment of the <Project> project in relation to safety, usability, time savings, meeting the SILVER Challenge and fulfilling their Phase 2 promise. The Phase 2 prototype was assessed to be <safe> for usability testing with users under the condition of <extra safety procedures and adjusted test tasks>. The Test Team found <several> potentially critical issues to the concept of the <Project product>. The Test Team identified <potential for improvement> in the form of recommendations. The <Project product> was assessed to be <technically feasible> if the recommendations and potentially critical issues are considered. The <Project product> was assessed to <generally not meet the needs of the target group> to a higher degree than existing solutions. The <Project product> was assessed to have fulfilled <a very limited part of their promise> in the bid for Phase 2 <as the Phase 2 prototype did not have many of the described functionalities in the bid and did not prove to be able to achieve the targeted support in the functionalities that it did have>. The <Project product> was assessed to have <some potential> to support <p- ADL 4> and <increase independence and quality of life>. It was assessed to have <none or limited potential> to support p-adls <1, 2, 3, 5 and 6>. The <Project product> was assessed to have provided <unrealistic time savings estimations> for caregivers in all p-adls as the <Project product> was <not assessed to have the potential> to save time for caregivers. 13 Comments from <Project> Official comments from <Project> inserted here! 202

203 14 Appendix 14.1 Target Group The agreed target group(s) for the usability engineering test was Age Size Problems (disabilities) Required functional capabilities Elderly people <Critieria regarding height, weight etc.> <Elderly people experiencing problems with xxx xxx xxx> The user should <have the ability to xxx> <have sufficient cognitive ability to use the solution as intended> Current caregiver need The target group is elderly people currently living at home and receiving caregiver assistance <a few times a week or once a day>. Figure 7: Description of <Project> s agreed target group for Phase 2 prototype test. Source: Annex to Call-off Contract Phase 2: Test Plan Phase Test Users Test user 1 Sex Age Problems (disabilities) Current caregiver need (E.g.) Woman 59 years Test user 1 suffered from osteoarthritis in the knees and had difficulties sitting down. Test user 1 managed daily activities without help from caregivers. She used a walker when walking outside. She used a bathing chair and a stabilising chair to help her balance. Other Figure 8: Description of Test user 1. Source: Author based on interview with test user. Test user 2: Sex Age Problems (disabilities) 203

204 Current caregiver need Other Figure 9: Description of Test user 2. Source: Author based on interview with test user. Test user 3: Sex Age Problems (disabilities) Current caregiver need Other Figure 10: Description of Test user 3. Source: Author based on interview with test user. Test user 4: Sex Age Problems (disabilities) Current caregiver need Other Figure 11: Description of Test user 4. Source: Author based on interview with test user Test Team The Test Team from the Health Innovation Centre of Southern Denmark consisted of: 1 Engineer in Product Development and Innovation, Lasse Nørgaard (M.Sc.Eng.) 1 Design Professional, Charlotte Patterson (M.A. Design Management) 1 Project Manager, Caroline Strudwick (M.A. International Business Communications) 1 Assistant Project Manager, Elizabeth Thorsen (M.Sc. Business Administration and International Marketing) Additionally, the following external experts participated in the Test Team and gave input for the test results: 2 Physiotherapists (B.A. Physiotherapy) from Odense Municipality specialised in aids for person lifting or moving with a focus on an assessment of the solution s impact on the health of the target group as well as the safety of the test users in testing the prototype 204

205 with a focus on an assessment of the solution s potential in relation to existing solutions used in Odense Municipality with a focus on an assessment of the solution s potential influence on time savings 1 Social and Health Care Assistant (Social and Health Care Assistant) with a primary focus on an assessment of the solution s potential influence on time savings for caregivers with a focus on an assessment of the solution s potential influence on the target group s independence and quality of life 1 Construction Manager in charge of setting up the test facilities with an assessment of the solution s potential influence on the test environment 14.4 Test Environment <Project> was tested in a realistic end user scenario in a controlled test environment. Existing rooms at the Health Innovation Centre of Southern Denmark were transformed into <an appartment with a bedroom, living room, kitchen and bathroom>. The rooms were furnished with furniture relevant to the prototype and test activities in each room. Prior to testing the Contractor set up 2 prototypes to work in the test environment Risks and Mitigation Prior to testing the <Project> team informed the test team about the risks and mitigation relevant for the <Project> Phase 2 prototype. The Test Team used the preliminary risks and mitigation overview to prepare for safety testing and subsequently adjusted the risks and mitigation overview to ensure the safety of the test users in the usability testing. Please see more details on the risk and mitigation including the additions of the Test Team below. 205

206 Risk Connection Likelihood (L/M/H) Impact (L/M/H) Mitigation ADL Xxx H M (E.g.) Explain to elderly how <xxx> should be performed ADL Xxx H L (E.g.) <Project> is capable of <xxx> up to 2 cm Test Team action xxx Remind test user to <xxx>. Remarks xxx xxx ADL Xxx L H xxx xxx xxx ADL Xxx L -->M H xxx xxx xxx ADL Xxx M M xxx xxx xxx ADL Xxx M M xxx xxx xxx ADL Xxx M L xxx xxx xxx GENERAL Xxx M H xxx xxx xxx 206

207 GENERAL Xxx H H xxx xxx xxx GENERAL Xxx H H xxx xxx xxx GENERAL Xxx M M xxx xxx xxx GENERAL Xxx L H xxx xxx xxx GENERAL Xxx M M xxx xxx xxx GENERAL Xxx H M xxx xxx xxx GENERAL Xxx H H xxx xxx xxx GENERAL Xxx M H xxx xxx xxx GENERAL Xxx M -->H L --> xxx xxx xxx xxx GENERAL Xxx M L xxx xxx xxx 207

208 GENERAL Xxx M H xxx xxx xxx GENERAL Xxx H H xxx xxx xxx xxx xxx xxx XXX ISSUES xxx xxx xxx Xxx L M xxx xxx xxx Xxx H H xxx xxx xxx Xxx L M xxx xxx xxx Xxx xxx Xxx M H xxx xxx xxx xxx Xxx M M xxx xxx xxx 208

209 Xxx H M xxx xxx xxx Xxx M M xxx xxx xxx ISSUES RELATED TO PLANNED p-adls H H xxx xxx xxx (E.g.) Toileting (E.g.) Transfer Xxx M M xxx xxx xxx Xxx M H xxx xxx xxx xxx xxx Xxx L M xxx xxx xxx xxx 209

210 SAFETY Materials Emitted sound and vibration Surface temperature OK - in relation to safety OK - in relation to safety OK - in relation to safety Sterility xxx OK - in relation to safety Safety and moving parts - squeezing - mechanical wear - emergency stopping function L L Potential risk xxx Prevention of traps for the human body - holes and clearance - V-shaped openings (openings should be at least 75 degrees) Folding and adjusting mechanisms - general - locking mechanisms - guards Carrying handles Assistive products which support or suspend users xxx OK - in relation to safety OK - in relation to safety N/A N/A 210

211 Surface, corners, edges and protruding parts OK - in relation to safety Small parts Stability xxx xxx OK - in relation to safety Forces in soft tissue of the human body - effect of posture - pressure - time (the time forces are applied to the tissues) OK - in relation to safety Ergonomic principles Fail safe during e.g. power loss xxx xxx OK - in relation to safety Figure 12: Overview of risks and mitigation from <Project>. Red text are additions made by the Test Team. Source: Author based on input from <Project> and under Safety Assessment inspired by the European Standard DS/EN

212 SILVER PCP Phase 3 Testing Procedure Guidelines Phase 3 Testing Procedure Guidelines (Annex_IV) Nature of deliverable/milestone: Annex: SILVER example of artefact documents Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: The SILVER project 212

213 1 Introduction This document presents the general guidelines for Phase 3 testing. Each site will have local test plans, which give more detailed information about the testing procedures. The actual testing will take place in tight schedule in April-July, The objective of this document is to list the testing procedures, escalation processes, data collection and reporting for maximizing the success of the testing. 2 Arrival and Installation of the Robots The robot prototypes will arrive to local test sites a day before installations and training will start. Where possible, the prototypes will be delivered directly to the testing sites. The Contactor needs to check the condition of the prototypes up on arrival in case of damage during transportation. Introduction and training will be held for the Project Manager, Local Test Coordinator and home care personnel. The introduction is held in English and interpreted in Finnish for those who do not understand English, without any additional costs to the Contractor. The Local Test Coordinator/Project Manager and the Contractor together perform safety test at test location prior to starting training and testing. In case of end user drops out, the Contactor transports the prototype to another end user from the reserve list, or other users are engaged from the shared facilities. The same prototype can be used by multiple users with no change of settings besides for height and posture. Team from RCS will come to setup the test sites and train the testing team. The set up, safety test and training takes approximately 2h. This would be done preferably a day before the official test start. The installation happen in the following steps: 1. Mapping of the environment (max 1 hour) Entire apartment needs to be mapped in advanced so that robot can perform autonomous actions. It is required that no large changes are made to the apartment after the mapping. Mapping is done using remotely controlled robot. 2. Walking calibration (max 30 min) Driving prototype inside of the apartment and check floors. The testing team will then do the user set up, which involves: 1. Adjusting height of walking grips (mechanical adjustment) 2. Calibrating posture sensors 3. Setting up user interface Detailed instructions will be given to the testing team on how to perform the setup. There will be a user guide at the test sites for reference at any times. 213

214 3 Training All participating staff members will be trained to the system and the procedures. The training includes: General information regarding the project, including what it is, what it is for & why it is being tested? How will the testing process work in practice? Using the prototype (aids understanding, pre testing by staff) o Getting started, o Troubleshooting, o What the prototype does, o How it works o What is expected of staff & venue during testing? Details on data collection and recording experiences Health & Safety Awareness Ethics Requirements o What should be in place (e.g. informed consent)? o How to inform participants? (their rights and obligations) Data Protection o What happens with the data? o Who is able to see the data? The Local Testing Team should then be able to demonstrate the prototypes to the different end users. Where possible, there should be a local lead user, who is an expert on using the prototype. Also back up persons for staff will be trained. There will be detailed instruction manuals and a direct help line between the Local Test Coordinator and Contractor which can be used when a question or situation arises when (remote) support of the Contractor is needed. 4 Testing The tests will be performed in real life situations, where the tested prototype will assist the end user in the activities of daily life. Testing will assess the prototype s support in a set of tested Activities of Daily Living (ADLs). The activities are: ADL Cases for the single user at home: Personal hygiene and grooming Eating and drinking Continence Functional transfers Exercises ADL Cases for elderly living in care centres: Personal hygiene and grooming Eating and drinking Continence Functional transfers Dressing/undressing Exercises 214

215 The purpose of the testing in Phase 3 is to assess the prototypes in relation to the criteria of the main goals in SILVER in terms of Quality of life, Help elderly stay independent at home (the effects on the independent living of end users), Time saving, Local differences (among test locations) and Usability. This will be assessed by collecting use data in terms of product performance and user experience in areas like time taken to perform tasks, perceived comfort and safety, and time of care giver visits. Data will be collected in forms of daily log book entries and a questionnaire for the care staff at all sites. In addition to that, some test sites will conduct interviews with end users, staff and relevant relatives, and focus groups. Some sites plan on videos and other recorded materials. These are optional and to be decided by local teams, based on their resources and possibilities. The collected data includes: 1. Use data on tested activities (logging by caretakers or self): Daily agenda (when they eat, sleep, exercise) Activity monitoring (step/distance counter, training scheme) Contacts (most important contacts) Perceived usefulness 2. LEA usage logging Overall logging of robot functioning to understand potential errors The care staff will use daily logs in which comments on the tested ADL cases are recorded. The notes are written in local language for each ADL category. In the end of the trial the comments are reviewed and a summary report written in English for the comparison between the sites and final report. Care staff will be asked to answer questionnaire of their overall experience of testing will be conducted at the end of test period. In order to facilitate learning, there will be a Q&A and a webex session after each trial to share experiences with other test sites. 5 Technical or functional issues In case of any issues or challenges rising during the trial, the first point of contact for the users and care staff is the local test coordinator. He will then be in contact with the contractor. Test coordinator will be informed of any issues and risks. Should the issues not be solved, or may have an impact on the project level, the issues will be escalated to the overall Silver coordinator. 6 Reporting of Results The results will be reported in two primary reports, which will be official Silver deliverables, and additional reports as chosen by local test teams. Each site will compiles a report 1 week after the testing finish. This will be done in local language and translated to English. The report includes summary of the daily logs, care staff questionnaire results and other collected data. This report is confidential to Silver team. The local teams will also compile a public level report for 215

216 the participating staff and users. Any other public dissemination and articles can also be done locally. The official reports are: Silver testing report -> technical report on the functionality and technical features of the prototype Silver learning report -> summary of overall experience and learning in the testing process These reports will be confidential to consortium and the European Commission. 7 Test Schedule The Overall Test Coordinator plans the test schedule together with the Contracting Authorities and the Contractor to ensure the shortest route for the Contractor and enough time to test the prototypes. For safety purposes and to identify potential risks of testing among end users, the prototypes will be tested without the end users on the first day(s) when arriving in a new country or when installed in a test location. After this safety check, the end users will test the prototypes. The installation, safety check and instruction in use are included in the total testing time of three weeks. The testing dates for Phase 3 are: 4 April 24 April 2016 Finland 28 April 18 May 2016 Sweden 23 May 12 June 2016 Denmark 16 June 6 July 2016 The Netherlands 11 July 31 July 2016 The UK On daily bases the three weeks testing schedule can be broken down on weekly level: Week 1: Day 1-2 Safety testing, Set up and Training Day 3-5 Testing, Log Book, observations Week 2: Day 1-5 Testing, Log Book, observations Week 3: Day 1-3 Testing, Log Book, observations, interviews with care staff, interviews with users Day 4-5 Test wrap up and equipment collection 8 Ethics Guidelines All tests undertaken during Phase 3 must be compliant with national requirements regarding, inter alia, privacy, safety, ethics, healthcare and any other potentially applicable (due to the specifics of the SILVER project) regulation in place in the countries of the group of SILVER Contracting Authorities (Denmark, Finland, Sweden, the Netherlands and UK). The Contractor shall confirm that this contractual requirement can be honoured and fulfilled. The Contractor has the responsibility for all the required ethical provisions e.g. required approvals by the National Ethical 216

217 Authorities in the place testing is conducted (if required), time limitations before an ethical approval is granted etc. The Contracting Authorities have the responsibility for taking the ethical aspects of the selection of end users into account and ensuring that they are compliant with both national and European standards. These will be covered in the Country-Specific Test Plans for each country. All end users participate in the testing on a voluntary basis and are allowed to opt out of the testing at any time. The participants are explained the purpose of testing, duration of engagement and their individual role and responsibilities. The Local Testing Teams will obtain informed consent from end users participating in the Phase 3 testing that complies with national requirements. 217

218 SILVER PCP Phase 3 Testing Recruitment Guidelines Phase 3 Testing Recruitment Guidelines (Annex_V) Nature of deliverable/milestone: Annex: SILVER example of artefact documents Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: The SILVER project 218

219 1 Introduction Testing in Phase 3 aims to assess whether the prototypes meet the needs of the Contracting Authorities and end users, as captured by the criteria set out in the Phase 3 Call document. The purpose of the testing in Phase 3 is to assess the prototypes in relation to the criteria of the main goals in SILVER in terms of Quality of life, Help elderly stay independent at home (the effects on the independent living of end users), Time saving, Local differences (among test locations) and Usability. The testing will go on for three weeks in each country, including the installation, safety check of the prototype and the instruction in use. At least 5 end users will test the prototypes in each test country. Recruitment process will be started at least a month before the start of the testing in order to ensure that enough suitable candidates and sites have been identified and committed to the project. As a general guideline, the recruitment should have been completed 7-10 days prior to the start of testing. Recruitment will be made by personal contacts to the potential participants. During the recruitment process the candidates will be explained the objectives of the project, the purpose of testing, and the different functionalities that will be tested, as well as the timeframe for testing. The candidates will be explained about their rights regarding voluntary participation and withdrawal from testing, the collection and handling of user data, and guarantees for their safety and comfort during the testing. The candidates will be provided with the Silver project brochure and leaflet explaining basic information about the tested prototype. The candidates will be asked to write a written consent form for participating in the project in the local language. Local testing personnel and end users are central to the success of this process. Therefore the recruitment and training of these individuals and test sites is essential. If you are in doubt regarding the suitability of the test sites or the profiles of the end users, please contact the test coordinator soonest. The objective of this document is to detail the requirements for the care staff, end users and test sites, as well as list the communication materials needed for the recruitment process. Protecting the end users security and privacy are the first priorities in the testing. The last chapter of this document details the ethical guidelines adapted in all test sites. Experiences from the first recruitment processes and testing in the first testing countries will be recorded and shared with the later test sites in form of Q&A and post-test webex meeting for learning purposes. 2 Requirements for Care Staff Each test site will recruit care staff locally. However, there are general criteria and guidelines for the care staff that will participate in testing. The participating care staff needs be experts from local health and social care services, and employed by the organization at the time of testing. In ideal case the same personnel can participate in the testing for the whole duration of three weeks. Each local test site must recruit a necessary number of care staff to participate in the project. Every participate needs to have assigned deputy representatives to ensure 219

220 the continuity of testing e.g. in the event of holidays or illness. The tasks, responsibilities and rights of the staff must be explained to them during the recruitment process. All caregivers and receivers must participate on a voluntary basis and will be informed of the research, participation, data security and disclosure procedures. The staff can drop out of the testing project at any times. The recruited staff must attend training on the product features, use and safety procedures. Also the caregivers will be part of the testing, so they need to agree on providing feedback on their user experience. All testing related documentation will be in local language, so there is no need for the command of English language. The staff will be provided material on Silver project, objectives of the testing, tested tasks and the features of the prototype. They will be kept up to date on the progress of testing and possible adjustments to the plans. In the end of the testing, they will be asked to answer a set of questions regarding their experience and recommendations regarding the testing procedures and the product. 3 Requirements for End Users The end users must be customers of the organization performing local testing. All end users participate in the testing on a voluntary basis and are allowed to opt out of the testing at any time without giving a reason. The Contracting Authorities will overrecruit end users to the testing i.e. have a list of backup users to cover cases when an end user wants or is forced to opt out of the testing. The minimum number of back up users is two persons per each end user, i.e. ten persons. Backups ensure that the testing can be carried out as planned in case of opt out occasions. The end users participating in the Phase 3 testing will be anonymous and their data will not be shared with anyone other than the Local Testing Team in relation to planning the test. During recruitment the candidates will be explained the purpose and objectives of the testing, their role in the process, as well as their rights and expected commitment to testing. The participants will write a written consent to participate in the testing. The participants will be provided necessary documentation related to testing procedures, product and the handling of collected data in written form in their own language. The target group for the test will be elderly people who have disabilities or weaknesses that the prototype is intended to assist, and are suited for participating in a test. The requirements are listed in the table below, but the recruited target group will be subject to the limitations of availability of volunteers with this specific profile. In these cases relevant end user profiles and practical limits to testing will be set and agreed together with the contractor. Age Size Individuals over 55 years old. Minimum wrist height of 0.80 m (app 1.50m height) Maximum wrist height of 0.98 m (app 1.90m height) Weight maximum 100 kg. 220

221 Disabilities Required functional capabilities Caregiver need People experiencing problems with functional transfer in their household, which restricts their performance of daily tasks. Muscle weakness and stiffness Problems with walking Problems with walking while carrying objects Balance problems Difficulty maneuvering around obstacles on the floor The user should: have the ability to walk with a (normal) stroller be able to see, hear and speak well enough to use LEA as intended have sufficient cognitive ability to use LEA as intended The target group are people currently living at home or at elderly care centers (who life in their own studios) and receiving caregiver assistance ranging from a few times a week to several times a day. Table 1. The Optimal End User Profile The core functionalities will be tested with the selected end users, but also the family and friends of the users are welcomed to share their experiences and thoughts on the usability and experience of using the robot. However, there will be no separate recruitment of these participants, and the experiences are recorded on voluntary and ad hoc bases. 4 Requirements for Sites The tests will be performed in real life situations. The test environments will conform to the requirements of the prototype for the environment determined by the Contractor. There are few limitations to the sites, and the objective is to simulate typical use conditions as far as possible. The proposed sites will be assessed in terms of their suitability before the testing starts. The overall testing requirements are listed below: Apartment Open Space, (no passages less than 80 cm wide) If the user wants to make a full 360 deg turn, we need free space of at least1.2m diameter No Glass Walls / full glass objects Lowest 20 cm of glass objects (included doors and mirrors) are covered No stairs going down (one level apartment) No Black Floors No Steps or thresholds > 2cm No animals Not very dusty environment Requirements for use No liquids should be spilled on the floor Obstacles on the floor of specified dimensions (27cm high * 7cm width * 7 length) or less cannot be detected 221

222 No sudden placements of objects in front of LEA No cables or clothes on the floor (nothing that can get caught on wheels No objects placed on the stroller other than tray!!! Nothing should obscure sensors No small children should be around robot while robot is navigating Do not suddenly approach robot while navigating! Approach with caution. Do not lift and move stroller The owner of the site must give their written consent to use the facility. The testing will not have any impact on the site, and in ideal case there will be no need to make any changes to the test sites. 5. Recruitment Communications Kit The recruitment communications kit includes all documentation required for recruiting care staff, end users and sites. This documentation is created in English, and then translated to local languages. The communications kit includes the following documents: Silver brochure Presentation of the tested prototype Summary of the test plan including tested tasks and test criteria Consent template listing the participants rights and responsibilities The communications materials will be given to the participants at the time of recruitment. The participants will also receive a copy of the final test report as it becomes available. 6 Ethics Guidelines All tests undertaken during Phase 3 must be compliant with national requirements regarding, inter alia, privacy, safety, ethics, healthcare and any other potentially applicable (due to the specifics of the SILVER project) regulation in place in the countries of the group of SILVER Contracting Authorities (Denmark, Finland, Sweden, the Netherlands and UK). The Contractor shall confirm that this contractual requirement can be honoured and fulfilled. The Contractor has the responsibility for all the required ethical provisions e.g. required approvals by the National Ethical Authorities in the place testing is conducted (if required), time limitations before an ethical approval is granted etc. The Contracting Authorities have the responsibility for taking the ethical aspects of the selection of end users into account and ensuring that they are compliant with both national and European standards. These will be covered in the Country-Specific Test Plans for each country. All end users participate in the testing on a voluntary basis and are allowed to opt out of the testing at any time. The participants are explained the purpose of testing, duration of engagement and their individual role and responsibilities. The Local Testing Teams will obtain informed consent from end users participating in the Phase 3 testing that complies with national requirements. 222

223 SILVER PCP Phase 3 Consent Form for Test Users Phase 3 Consent Form for Test Users (Annex_VI) Nature of deliverable/milestone: Annex: SILVER example of artefact documents Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: The SILVER project 223

224 Consent to Participate in a Research Study Introduction You are being asked to participate in a research for Project Silver, testing robotic solutions to assist independent living. You were selected as a possible participant because the robot is intended to customers with your profile. We ask that you read this form and ask any questions that you may have before agreeing to be in the study. Purpose of Study The purpose of the study is to test a prototype robot for its functionality to support customers in everyday activities. The results of this testing will be used to further develop the robot, and will be reported in a summary report of the testing. Description of the Study Procedures If you agree to be in this study, you will be asked to use the robot in everyday activities, including standing up and moving around the house. You will be provided training for the use of the robot, and will be assisted by the care staff at all times. For testing purposes, beacons that enable robot orienteering will be glued to walls with removable adhesive that should not leave any marks. The testing will take up to three weeks, and the robot will remain in situ or at the venue at that time unless you decide you no longer wish to take part. You will be asked about your experience in using the robot by the care staff and researchers. Both you and your home will be insured during the testing by the organizers. Risks/ Discomforts of Being in this Study There are no reasonable foreseeable (or expected) risks in participating in this project. The robot will remain in your apartment for the duration of testing, and will take up some space. Benefits of Being in the Study The benefits of participation include learning about the new technology that may be later used by local care staff, and support the development of medical equipment. 224

225 Confidentiality This study is anonymous. We will not be collecting or retaining any information about your identity. The records of this study will be kept strictly confidential. Research records will be kept in a locked file, and all electronic information will be coded and secured using a password protected file. Staff from the robot provider will sign agreement not to disclose your address to anyone. We will not include any information in any report we may publish that would make it possible to identify you. Right to Refuse or Withdraw The decision to participate in this study is entirely up to you. You may refuse to take part in the study at any time without affecting your relationship with the care staff. Your decision will not result in any loss of benefits to which you are otherwise entitled. You have the right not to answer any single question, as well as to withdraw completely from the testing at any point during the process; additionally, you have the right to request that the interviewer not use any of your interview material. Right to Ask Questions and Report Concerns You have the right to ask questions about this research study and to have those questions answered before, during or after the testing. If you have any other concerns about your rights, you may contact the local test staff at: (name, address, phone number). Consent Your signature below indicates that you have decided to volunteer as a participant for this testing, and that you have read and understood the information provided above. You will be given a signed and dated copy of this form to keep, along with any other printed materials deemed necessary by the study investigators. Participant Name (print): Participant Signature: Date: Test coordinator s Signature: Date: 225

226 SILVER PCP Phase 3 End-User Handout Phase 3 End-User Handout (Annex_VII) Nature of deliverable/milestone: Annex: SILVER example of artefact document Dissemination level: PU Delivery date: 14th th October 2016 Status: Final version Author: The SILVER project 226

227 LEA Care robot tests SILVER project searches for new, robotics based technologies to assist elderly people in their everyday lives. The project aims to enable the users to continue independent living at home even if they have impaired abilities. SILVER (Supporting Independent LiVing for the Elderly through Robotics) is a development project funded by the European Commission. The project has partners from five European countries: Denmark, Finland, the Netherlands, Sweden and United Kingdom. The care robot will be tested in all these countries. The product to test is LEA care robot (see image below). It has been developed by a Dutch company called Robot Care Systems. LEA is a mobile assistant, which can help the user with daily routines and housekeeping. It also helps the user to stay active and, for example, reminds to take prescribed medication. During the last phase of the SILVER project, the care robot will be tested in all five countries in order to gather feedback from users and care-professionals. Based on this feedback, the care robot will be developed further to match better the needs of the users. During the tests, professionals will be present at all times. Furthermore, all persons involved in testing and their homes are insured. For further information on SILVER project and practical arrangements of the tests, please turn to the city contact person: Name / title City Tel. 227