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CPWF Procurement of Research Projects from Research Institutions

Background:

For procurement of goods, works and services (technical and consulting), the CGIAR issued Procurement Guidelines (FG6) for its affiliated Research Centers. These guidelines are based on the principles and basic considerations of the World Bank Guidelines for procurement of goods, works and consulting services. CPWF is expected to comply with the FG6 Guidelines in contracting qualified research institutions to undertake research projects. The FG6 Guidelines are applicable to consulting assignments, such as feasibility studies, market and economic analysis, construction and design consultants etc.

However, these guidelines do not fully address the specialized nature of research projects that CPWF is expected to manage, as described in the CPWF Full Proposal. This CPWF Full Proposal was approved in 2002 by the CGIAR, whose membership includes the World Bank. The program is of an innovative nature, with the objective to increase the productivity of water for food and livelihood under special conditions of participation. CP programs are also a reform instrument of the CGIAR, enabling the introduction and analysis of forming new partnerships to address demand led research that is impact oriented. Importantly, these programs are required to ‘employ a mode of operation that enhances efficiency and effectiveness of the CGIAR system…..’[1], and therefore required to test new methods of mobilizing and managing research.

For these reasons, the procurement methods and processes in the FG6 Guidelines need to be supplemented, keeping in consideration the basic principles of these guidelines. This Note provides a description of the procurement methods, processes and activities that are relevant to the research programs of the CPWF. Where necessary, at various points in the processes described below, the professional assistance of a procurement specialist may be used.

A.  Pre-Selection Activities:

Prior to conducting a selection process, the following steps are required:

Planning the research programs:

The CPWF Secretariat will establish the plans for the research programs defining the nature and scope, selection method, schedule and budget, etc. as the basis for the annual work plan submitted for approval to the CPWF Consortium Steering Committee (CSC).

Insulation of Selection Process from CPWF Consortium Members:

For all selection processes, including those where perception of conflict of interest may arise from participation of institutions that are members of the CPWF Consortium and therefore have membership on the CSC, the selection process is conducted by the CPWF Secretariat. The CPWF Secretariat will engage external evaluators to demonstrate the selections as a neutral, transparent and fair process. The evaluators will continue to be approved by the CPWF Expert Panel[2].   

In the case of competitive selections, while the CPWF Secretariat is independent of the Consortium members, in any invitation to submit a Concept Note[3]  (CN), the hosting of the Secretariat at IWMI, the Lead Institution in the Consortium will be explained in the submission guidelines along with steps taken to insulate the process from IWMI. The ability of any member institutions of the Consortium to submit will also be explained both in the submission guidelines and in a general description of the program structure and procedures on the CPWF web page.

CN Invitation Document

In the case of competitive selection, CNs will be invited. The objective of requesting CNs is to identify institutional capacity, including highly qualified and relevant team members for the specialized and innovative nature of research projects. CPWF will prepare a CN invitation document that will include the assessment and approval schedule and other background information describing the CPWF program and procedures. The invitation document will describe the nature of research tasks to be undertaken, and could include the desirable qualification and expertise of the project leader within the submitting institution; information on team member qualifications, expertise and role in the research proposed in the CN. Information requested will include submission of curriculum vitea of the proposed project leader and other principal scientists on the proposed team.  

As the CPWF is mandated to attract broad partnerships among scientists within and outside the CGIAR system, the CN would encourage project leaders to team with NARES partners, CGIAR centers, NGOs, CBOs, ARIs, and private institutions to provide optimal input to the research[4]. The nature of association will be a criterion for the selection of qualified CNs.

The CN invitation will request a brief description of the methodological approach to the scientific research proposed. This is to enable an initial assessment of the appropriateness of the team expertise, and the relevance of the methodology being proposed.

Dissemination of Information for CNs:

CPWF Secretariat will advertise the CN on its website as well as, to the extent possible, in UNDB online or in other media. The advertisement will include the guidelines for submission, the submission format, and any other background material considered appropriate for the call. 

Submission of CNs:

Submissions will be requested in a format that is secure, and enables the subsequent external evaluation and panel recommendations to be formulated in an efficient manner.  The format used will ensure that any access made by any parties before the due date of submissions, will not be possible.

Evaluation of CNs:

An evaluation of institutions and project personnel that have submitted their documentation according to the requirements in the CN invitation document is undertaken by external evaluators (to avoid any perception of conflict of interest) to list the qualified institutions and identify where the project leader, and the approach and methodology hold high potential for a successful and relevant project.

The evaluation process used, in order to establish the list of qualified institutions will be described. The evaluation process results in a Qualified/not qualified set of recommendations.  

The external evaluators will present a report on the evaluation, with their recommendations, for finalisation by the CPWF Secretariat. Clarification can be sought by the CPWF Secretariat from members of the project team or other sources. The Secretariat prepares recommendations for approval by the appropriate authority.

The evaluation may be conducted in person, or virtually using a format that is secure. The format used will ensure that any access made by any parties before the evaluation is approved will either not be possible, or be evident.

B.  Selection Methods:

The FG6 Guidelines contain three selection methods that could be adapted for the selection of institutions in view of the specialized nature of the research programs of the CPWF.

(i) Direct  Contracting                                                                                                                             

Direct Contracting is a method in which a single qualified institution is invited to prepare a full proposal.  The following conditions apply: 

 (ii) Competition with Maximum Budget:

This method is a competitive process among the qualified institutions evaluated from the CNs, when the budget is fixed and the proposals are expected to be within a maximum defined budget.  The pre-selection activities described in Section A above are completed, wherein there is an open invitation to submit the CNs.  The most qualified institutions identified from this stage are then invited to submit full proposals for evaluation.  This method is aligned with the approach mentioned in FG6 guidelines and fully compatible with the World Bank Guidelines.

(iii) Restricted Competition:

Restricted competition is a method that can be used when the research is available from a limited number of institutions or from a limited number of institutions (3 to 5) among the qualified institutions under the competitive method.

C.  Selection Process:

Under the three selection processes described in Section B above, the following conditions shall prevail in order to address the issue of perception of conflict of interest:

  1. the guidelines will clearly state that any institution, including an institution represented in the CSC, has access to, and can be awarded multiple contracts at one time;
  2. any successive contracts cannot be awarded through direct contracting to the same institution unless that research project is not available from other sources. If available from other sources, the institute can participate in a competitive process;
  3. in case of an approval process relating to the award of a contract to the lead institution where the project leader is lodged and represented in the CSC, its representative, sitting in the CSC, excludes itself from the approval process[5];
  4. where a contract is entered into between the CPWF and one of the 5 CPWF Consortium Managing Centres, the CPWF Secretariat will oversee the execution of the contractual agreement.

(i)  Direct Contracting

 

On approval by the appropriate authority, direct contracting should be conducted in the following manner:

A flow chart of the process is attached.

(ii) Competition with Maximum Budget

Following the tasks completed under the “Pre-Selection Activities” in Section A above, the selection is conducted in steps described below:

(iii) Restricted Competition

Under this method proposals are invited from limited number of institutions, specialized in particular research or among the qualified institutions under EOI.

A flow chart of the Process is attached.

D. Award and Managing of Contracts:

The CPWF has the responsibility of managing contracts during their implementation, including monitoring, progress, payment, and performance. After the award of contract, the CPWF Secretariat shall publish on its website information on the award relating to the name of institutions, the technical and financial results (in case of competitive selection) of qualified institutions, and the winning institutions and their prices. Such information will be sent to all institutions that submitted proposals. CPWF may invite theme leaders and basin coordinators to seek their guidance in the implementation of these projects.

The lead institutions which are awarded projects, will establish their own project management team.

E. Monitoring, Control and Transparency:

Section 6 of the FG6 Guidelines is completely applicable to the selection processes in this Note.   

CPWF CSC CPWF Direct Contracting/Restricted comp CN - Document CN - Advertisement Submission of CN CN - Evaluation Ev. Report – Most Qualified Approval Invite. For Proposal/Doc Submission of Proposal Tech. Evaluation Negotiate/Draft Contract Approval Responsibility CPWF / Proc. Cons. CPWF External Evaluators Interested Institutions Appropriate authority CPWF / Proc. Cons. External Evaluators/ CPWF CPWF Appropriate authority External Evaluators/ CPWF Most Qualified Institutions/ CPWF Negotiate/ Draft Contract Opening Financial Proposals Approval Final Evaluation Report Approval Approval Submission of CN Evaluation Report - Shortlist RFP Document Tech. Evaluation Report CN - Document CN - Advertising CN - Evaluation Approval Submission of Proposals Tech. Evaluation Competition (Max Budget) Planning of Research Programs Approval of Research Programs Coordination of Selection Process CPWF / Proc. Cons. CPWF Interested Institutions External Evaluators. Responsibility External Evaluators/ CPWF Appropriate authority CPWF/ Proc. Cons. Shortlisted Institutions/ CPWF External Evaluators/ CPWF CPWF / Proc. Cons. Appropriate authority CPWF CPWF Appropriate authority CPWF Appropriate authority For direct contracting, the procedure would commence at the ‘Invitation for Proposal/Doc’ on the flow chart. For restricted competition, all of these steps may apply.

 

[1] ‘Process and Guidelines for developing and implementing Challenge Programs. CGIAR CP Task Force, 2001

[2] The Panel members are contracted by the CPWF Secretariat to provide high level advice on scientific issues. Members are senior scientists and/or academics who function as an ‘internal Science Council’ for the CPWF. 

[3] Reference to Concept Notes, also refers to selection based on Expressions of Interest.

[4] An optimal composition can be: Lead institutions can be from any CGIAR center, National Agricultural Research and Extension System institution (NARES), Non Governmental Organisation (NGO), Community Based Organisations (CBO), Advanced Research Institute (ARI), or private sector research or development agency. The team institutions could optimally include one of the five CGIAR consortium member centers, and two NARES partners.

[5] The packaging of the aggregated proposals will be undertaken by the CPWF for approval by the appropriate authority.