Submission Information & Instructions

Part 1: Introduction
Part 2: Making a submission to the Ministry
Part 3: How to complete the submission schedules
Part 4: Submission Validity
Part 5: Obtaining Further Information
Part 6: Availability of Ministry Data
Part 7: Accepting Submissions
Part 8: Things to note
Part 9: Evaluation of Submissions
Part 10: Reporting Requirements

Part 1: Introduction

1.1 The Ministry of Fisheries research programme consists of Fisheries (including Other Services), and Biodiversity research. The Ministry contracts contestable research through Tender and Proposal processes. Fisheries Research projects are determined prior to the start of the fishing year and projects are invited to tender on a quarterly basis throughout the year. Biodiversity and Other Services Research projects are invited on an ad hoc basis throughout the year. On occasion the Ministry may also chose to direct contract a project with a researcher via the Submission process.

1.2 The Ministry of Fisheries also manages the Marine Biosecurity Research programme on behalf of the Ministry of Agriculture and Forestry. These projects are also invited on an ad hoc basis through the year.

1.3 As well as research proposals requested by the Ministry, research providers can also initiate their own research proposals. The Ministry evaluates proposals in a two-step process;
1.3.1 Firstly, the Ministry will evaluate the initial proposal and whether the proposal covers a research area the Ministry considers relevant and acceptable. At this stage the Ministry will either reject the proposal or request a full proposal (Schedules 1-9 and Proposal Letter)
1.3.2 If requested, the full proposal will then be formally evaluated once all Schedules and the associated Proposal Letter have been completed and submitted to the Ministry by the research provider.

Part 2: Making a submission to the Ministry

NOTE: “Submission” for the purposes of this information and instructions refers to a tender, proposal or submission for a direct contract

2.1 Submissions should be addressed to:
Corporate Monitoring Unit
Ministry of Fisheries
ASB House
101 The Terrace
PO Box 1020
Wellington
NEW ZEALAND

2.2 All Submissions must be prepared using the relevant templates. These templates are available from the Ministry’s website under Forms & Templates. 

2.3 Submissions MUST be received by the due date, as outlined in the request.

2.4 Any request for an extension to the Submission due date must be made at least 5 working days before the due date. The Chief Scientist is able to use his/her discretion to grant extensions prior to the due date.

2.5 The Submission letter must be signed by a person duly authorised to sign it on behalf of the submitter.

2.6 The Submission, and all correspondence and documents relating to it, must be in English unless otherwise agreed by the Ministry. All drawings and technical data must be in SI (metric) units.

2.7 A submitter MUST provide to the Ministry:
2.7.1 One signed original (unbound); and
2.7.2 One electronic copy in WORD format. This MUST be sent via email to contracts@fish.govt.nz.

2.8 Submissions from a partnership or joint venture must list the full names and addresses of all the parties to that partnership or joint venture. An authenticated power of attorney signed by each relevant party must be submitted by the submitter if the Submission letter is not signed by every party to a partnership or joint venture.

2.9 A submitter must advise the Ministry of any actual or potential conflict of interest that may arise if the Ministry accepts its Submission.

2.10 Submitters may make Submissions for any or all of the projects. Where a submitter offers a discount if two or more projects are awarded to it, the submitter must specify the discount and the conditions applying to it.

2.11 The Ministry will send the submitter a written acknowledgment of the Ministry’s receipt of its Submission.

2.12 The Ministry may reject any Submission that does not conform with these instructions.

Part 3: How to complete the submission schedules

The tender, proposal or submission letter
3.1 The letter outlines the offer being made by the submitter. Once the submitter has signed the letter for a particular project, they agree to the Ministry’s Terms and Conditions of Research Contracts unless stated otherwise in Schedule 2 of the Submission Letter (Exceptions and Deviations).

3.2 There should be no alteration to the standard letter. Any additional information or deviations to the project should be outlined in Schedule 2 (Exceptions and Deviations).

Schedule 1- Milestone Programme
3.3 Payments by the Ministry are based on the completion of milestones. The Milestone Programme shows a breakdown by objective and milestone of the payments associated with the project.

3.4 This schedule shows all Milestones associated with the project in a table form. Each Milestone includes the associated specific objective number, Milestone number, Milestone description, start date, end date and the cost of the Milestone. The table also provides sub-totals for each objective and the total project cost.

3.5 There are three COMPULSORY milestones:
3.5.1 The submission of Work In Progress (WIP) Reports.
3.5.2 The submission of data management requirements.
3.5.3 The submission of Project Update Reports, if required.

3.6 Milestone programmes MUST conform to the following requirements:
3.6.1 Milestones numbered consecutively
3.6.2 Milestones grouped by specific objective
3.6.3 Each milestone relates to only one specific objective - the compulsory Milestones in 3.5 should be grouped against the “Last Objective” in the Milestone programme
3.6.4 ALL Reporting Requirements MUST be included
3.6.5 Each milestone has a milestone description
3.6.6 Each milestone has a start and an end date
3.6.7 Each milestone has a cost greater than zero assigned.
3.6.8 The compulsory milestone data management requirements is to be completed one month after the submission of the final reporting requirement.

Schedule 4- Methodology

3.7 In Schedule 4 submitters should provide the rationale and detailed design of the proposed research to meet the objectives set for the project. The methodology format is provided below.

3.8 Submissions will be evaluated project by project and submitters must address the technical aspects detailed in this part for each specific project for which they wish to be considered. Failure to do this may lead to a submission not being considered and/or evaluated.

3.9 The following information is required for each project submitted:
3.9.1 The project title and project code as shown in the project description must be specified.

3.9.2 Each project consists of overall and specific objectives. The specific objectives as shown in the project description must be repeated and priced separately for, and within, each project for which a tender, proposal or submission is submitted, and provided as sub-totals in the milestone programme.

3.10 The submitter must provide the rationale for, and design of, the proposed research necessary to meet the objectives listed for each project. The following subheadings shall be used to ensure all of the issues important for the appraisal process are covered:

NOTE: Socio economic and Customary research submitters may alter these headings if required

General Overview
This should be used to provide the overall context of the proposed research. An overview should be given, stating how the objectives combine to form a unified project. The conceptual framework on which the research is based should be explained, as well as how the research relates to previous or current work undertaken by the applicant or others.

Specific Objectives
Each specific objective must be listed, and the way in which each specific objective will be met must be described. For each specific objective, separately describe the scientific methods and key activities necessary to achieve the objective, the performance indicators required to assess achievement of the objectives. These must be clearly focused on the research issues that address each objective.

Scientific Methods
The scientific/technical methods or protocols to be used to achieve each specific objective must be described in detail. The methods must include a description of the experimental design and the Ministry components of the research, the types of experiments involved, the data to be obtained, and the means of analysing and interpreting the data. The statistical rationale for sampling and analysis must be clearly explained. Support must be provided for any new methods and/or techniques to be employed. Potential problems must be identified and addressed where appropriate.

Risk Identification
The threats to achieving each specific objective for this project, and the intended means of overcoming these threats, must be described. The sub- headings ‘Risk’ and ‘Contingency’ should be used.

Key Activities and Performance Indicators
This is a description of how the research is to be done and what results will be produced to achieve the specific objectives.

The description must include the key activities to be undertaken and indicate how the results of these activities will be used to address each specific objective.

Performance indicators against which the success of the key activities can be evaluated (in terms of achieving the overall and specific objectives) must be identified.

References
A list of key references must be attached to the methodology.

Management of Research Material
The Ministry shall own all the designs, notes, reports, publications, other writing, computer programmes and data in whatever form or format including specimens, samples, graphics, photos, drawings, digital images (including supporting data) in relation to the Research Services (or any part of them) undertaken, created, enhanced, developed or modified by the Researcher or any other person the Researcher is responsible for or has contracted with.

Data Management
The Ministry shall own all the data collected or created during the course of the project in whatever form or format. On completion of, or throughout the performance of the project, all data must be provided to the Ministry’s Research Data Manager. The submitter must include information describing Data Management processes used by their organisation. The following information should be provided: 

• Details of the steps taken to ensure high data standards (e.g. error checking, prior research, choice of best methodology). 
• Details of how data is intended to be collected, processed, modified, stored, backed up and submitted. 
• Details of the type of data that will be generated from the project and what database it will be loaded into. The list of databases is available at http://www.fish.govt.nz/en-nz/Research+Services/Research+Database+Documentation/default.htm 
• Details of the format and medium that the data will be provided in. 
• Details of when the data is expected to be to submitted. 
• Details of what specimens (if any) will be collected under the project and how such specimens will be preserved.

Management Skills and Quality Management Systems
The submitter must include information describing the quality management system(s) used by their organisation. The following information should be provided: 

• Details of any recognised quality management system(s) to which the organisation is certified or plans to become certified prior to the start of the project. 
• Details of any project management system(s) and quality management system(s) the organisation utilises. 
• Details of who has the responsibility for the quality of work being undertaken, and for issuing instructions while in the field. 
• Details of who is responsible for the correct maintenance and use of any equipment to be used during the proposed research. 
• Details of equipment and procedures that will be used to ensure high quality of work in all areas, including any peer review systems.

Research Fish
Where the project requires that fish, aquatic life or seaweed (“Research Fish”) be taken the submitter shall include the following information: 

• Details of what the submitter’s intentions are in respect of Research Fish 
• Details of the facilities the submitter has available to process, store, and sell the Research Fish

Schedule 5 –Personnel

3.11 A list of key personnel involved in the project must be provided:
3.11.1 Project Manager: responsible for ensuring the researcher carries out the research services.
3.11.2 Principal Investigator: responsible for verifying the research services.
3.11.3 Nominated Researchers: particular scientists or other persons responsible for carrying out the research services.
3.11.4 Subcontractors: those individuals/firms listed in Schedule 3 (Subcontractors) who will be carrying out any part of the research.
3.11.5 Administrative Contact: the individual who the Ministry should contact regarding administrative matters.
3.11.6 Any other personnel identified in key roles in carrying out the research services.

Schedule 7- Insurance Policies

3.12 The Ministry requires submitters to have the following minimum levels of insurance cover in place.

Policy Minimum Amount of Cover Required:

Compulsory Insurances:
General Liability insurance $100,000
Professional indemnity $100,000
If using a vessel:
Marine Liability insurance $20,000,000
Marine Hull insurance Replacement value
If using a motor vehicle:
Third Party Motor Vehicle Liability insurance $2,000,000

3.13 The following information must be provided for the insurance schedule:
3.13.1 Insurance Policy number and name of insurance company
3.13.2 The amount of insurance cover held for each of the policies
3.13.3 Where a submitter does not hold one or more of the policies above, the word “nil” should be entered next to each policy that is not held
3.13.4 Where a submitter does not hold the minimum requirements for a policy, the amount that is held should be entered
3.13.5 It must be clearly stated in Schedule 2 (Exceptions and Deviations) which insurances are either not held or do not conform to the Ministry’s minimum requirements.

Schedule 9- Data Questionnaire

3.14 Schedule 9 has been developed to determine what data each project is likely to provide to the Ministry’s Research Data Management Team upon completion of a project. The type of data that might be collected as part of a project include electronic, paper, forms/logbooks and physical specimens.

3.15 All of the questions will need to be answered with either “Yes” or “No”, and some will require further information to be supplied.

3.16 Some fisheries research data (for example - Catch Effort and Observer data) are confidential in nature. These data must be securely managed and, unless otherwise specified, copies of these data are to be destroyed at the end of the Project.

3.17 The Ministry’s standards for data provision are:
3.17.1 Data must be provided in a format and at a quality level that can easily be managed by the Ministry’s Research Data Manager (see below).
3.17.2 Metadata must be provided for all data.
3.17.3 Electronic data must be provided using industry standard software. Where possible, data must be stored using up-to-date versions of Microsoft Word, Microsoft Excel, Microsoft Access, Adobe Acrobat PDF, or industry standard SQL relational database software.
3.17.4 Data must be supplied using industry standard data storage media. Where possible 4.75 inch compact discs should be used for storing electronic data.
3.17.5 The language used for data and documentation must be English.
3.17.6 If no data is produced while carrying out a project, the Contractor must submit a nil return to the Ministry’s Research Data Manager

3.18 In the event data supplied to the Ministry do not meet these standards, the Researcher will be required to modify the data so that they do meet the standards, and to pay any costs associated with the re-formatting, re-submitting and subsequent loading or filing of the data.

3.19 Data includes, but is not limited to:
3.19.1 “New” electronic data equivalent to that stored in existing Ministry databases
3.19.2 “New” electronic data not equivalent to that stored in existing Ministry databases
3.19.3 Modified or groomed versions of existing electronic data
3.19.4 Paper forms and books of paper forms
3.19.5 Field or survey diaries and notebooks
3.19.6 Photographs, video and audio tape
3.19.7 Specimens, being either whole, or part, marine organisms (including otoliths)
3.19.8 Metadata.
3.20 The required form and quality standards for each of these types of data are given below:

“New” electronic data equivalent to that stored in existing Ministry databases
Some projects will collect “new” electronic data equivalent to that stored in existing Ministry databases. Examples of these types of data include:
Trawl survey data
Acoustic survey data
Otolith aging data
Market sampling data
Recreational survey data.

Such data must be provided to the Ministry’s Research Data Manager in a form that meets the format and standards of the existing Ministry database. The formats and standards required for each database are described in the documentation for that database. These documents are available from the Ministry or can be located on the Ministry’s website under Research Database Documentation. 

The costs of providing these data in the required form are payable by the Researcher and must form part of the submitter’s price for each project.

“New” electronic data not equivalent to that stored in existing Ministry databases
Some projects will collect “new” data of a type not equivalent to any existing Ministry databases. Except by prior agreement with the Ministry’s Research Data Manager, where projects conduct sampling to obtain new data, the Researcher is required to: 

• Create an appropriate electronic relational database to store these data;
• Incorporate appropriate data quality (for example range checks) and referential integrity checks into this database; 
• Provide documentation for this database, equivalent to that which exists for other Ministry databases, including entity relationship diagrams, data dictionaries, descriptions of business rules, and full documentation of code and reference tables; 
• Enter the raw data collected into this database; and 
• Provide the finished database, and associated documentation, to the Ministry’s Research Data Manager.

Modified or groomed versions of existing electronic data
Some projects will modify or groom existing electronic data. This includes projects that remove errors, or mark individual records for “non use”. Examples include data from the: 

• Catch Effort database 
• Observer Catch Effort database 
• Observer Catch Effort database

The researcher is required to provide the Ministry’s Research Data Manager with a: 

• Copy of the original data; 
• Copy of the final (modified/groomed) version of the data that was used for analysis; 
• Description of the rules and procedures which were used to check and correct the data. This description must be provided to a standard that would allow an independent researcher to derive the final dataset from a copy of the original dataset.

Paper forms and books of paper forms
All raw data forms, and books of raw data forms, are to be clearly labelled and catalogued. The original raw data forms, together with the catalogue, are to be provided to the Ministry’s Research Data Manager.

Field or survey diaries and notebooks (including drawings)
All field or survey diaries and notebooks (including drawings) are to be clearly labelled and catalogued. The original diaries and notebooks, together with the catalogue, are to be provided to the Ministry’s Research Data Manager.

Photographs, digital images, video and audio tapes
The Researcher is required to provide the Ministry’s Research Data Manager with copies of all image and audio data collected during a project. The image and audio data should be accompanied by documentation describing the dataset.

There must be no degradation of digitised image or audio data during transmission to the Research Data Manager, unless agreed by the Ministry in writing at the commencement of the contract

Specimens
All reference specimens and material such as otoliths and slides are to be clearly labelled and preserved in a recognised manner to minimise the possibility of the quality of specimens degrading over time. All specimens collected or used during a Project are to be provided to the Ministry’s Research Data Manager together with a catalogue of the specimens supplied.

Metadata
Metadata is information about the data. The researcher is required to provide to the Ministry’s Research Data Manager, Metadata about each of the types of data collected or generated during the course of the project. For each of the types of data this will include (but not be restricted to) the: 

• Positional accuracy to which the data was collected or stored (for example - 0.01 of a degree); 
• Temporal accuracy to which the data was collected and stored (for example - 1 minute); 
• Locations from which the data was collected; and 
• Time period over which the data was collected.

A list of fields of information the researcher must supply regarding each dataset is available from the Ministry’s Research Data Manager.

Part 4: Submission Validity

4.1 A submitter may amend or withdraw its submission at any time prior to the due date by sending an email to contracts@fish.govt.nz

4.2 A submission remains valid and open for acceptance by the Ministry for the period from the due date until 5.00pm of the day 90 days after the due date.

4.3 If the Ministry has not accepted a submission for a particular project during the validity period, the Ministry will notify in writing each submitter for that project to determine whether its submission remains under consideration.

4.4 If a submitter receives a request to extend the validity period of a submission from the Ministry, it must:
4.4.1 Extend the validity period to a date agreed by it and the Ministry; or
4.4.2 Withdraw its tender, proposal or submission.

Part 5: Obtaining Further Information

5.1 A submitter is responsible for:
5.1.1 Fully reviewing the Ministry’s Submission Information and Instructions and any other information supplied to it in writing by the Ministry; and
5.1.2 Making appropriate allowance (including in its submission) for financial and other resources to ensure, if its submission is accepted, that it can perform its obligations.

Part 6: Availability of Ministry Data

Previous Research Work
6.1 The results of previous fisheries research are stored in electronic databases. To assist Submitters in preparing bids for projects, the formats and standards required for each database are described in the database documentation. These documents are available upon request from the Ministry.

6.2 Extracts of relevant datasets are available from the Ministry on request by emailing rdm@fish.govt.nz Examples of these datasets are:
6.2.1 Trawl survey data from research vessels in inshore/middle depths/deepwater fisheries
6.2.2 Length and age data of fish sampled in fish sheds for major commercial species
6.2.3 Acoustic research data
6.2.4 Data on fish age, length etc.

6.3 There are also published reports of earlier research studies and collections of samples for ageing work (mainly otoliths), and other studies (e.g. stock separation).

Commercial Catch and Effort Data
6.4 The Ministry is not able to provide submitters with Catch and Effort datasets for the preparation of tenders, proposals or submissions. However, the researcher will have all relevant data supplied to them to carry out any of the projects they are contracted to carry out. Depending on the size of the fishery and the number of years of data, the size of the dataset varies. Detailed information about format and structure of Catch and Effort data is available on the Catch Effort Reference Library CD. Copies of the CD are available from the Ministry’s Research Data Manager.

Observer Reports
6.5 The Observer Programme carries out collection of data at sea from trawlers (mainly middle depths and deepwater fisheries) and longline vessels (mainly in the tuna and ling fisheries). Relevant datasets are available on request to submitters to assist in submission preparation. Some Observer datasets contain confidential information and such data will not be provided for the preparation of submissions. However, the Researcher will have all relevant data supplied to carry out the projects contracted.

6.6 The trawl data recorded includes vessel details, trip details, tow details, catch by weight, length frequency and otolith samples, discards and non-fish bycatch.

6.7 The longline data recorded includes trip, set and catch details, length and weight data and non-fish bycatch. The longline data may also include otolith samples and discards.

Publication of Commercial Catch and Effort Data and Observer Data
6.8 Commercial Catch and Effort data and Observer data may only be published in the following summarised form if:
6.8.1 Latitudes and longitudes (maps or any other means of display) are truncated to a 1 degree level of resolution if they refer in any way to the magnitude of catches;
6.8.2 Latitudes and longitudes (maps or any other means of display) are truncated to a 0.2 degree level of resolution if they do not refer in any way to the magnitude of catches;
6.8.3 Information that identifies specific vessels or people is removed, including any unique system identifiers of vessels or people (includes companies);
6.8.4 Vessel attributes (e.g. length, breadth, tonnage, nationality etc.) are removed;
6.8.5 Data is grouped such that no group contains data from less than 3 vessels or 3 persons (includes companies) unless:
The data does not contain sufficient detail to evaluate the number of vessels and persons contained within a group
It is reasonable to believe that no group is likely to contain data from less than 3 vessels or 3 persons;
6.8.6 Dates are truncated to a one month level of resolution.

6.9 The Ministry will consider requests to publish data that are not summarised in this manner, however, written consent from the Chief Scientist or Ministry’s Research Data Manager is required prior to publication. Such consent will not be unreasonably withheld.

Part 7: Accepting Submissions

7.1 If the Ministry accepts a submission for a project, the Ministry will accept the submission that is considered to be in the best interests of the Ministry. The Ministry will notify the successful submitter in writing that its submission has been accepted.

7.2 If the Ministry accepts a submission for a project, the contract arising from that acceptance will be on the Ministry’s Terms and Conditions of Research Contracts

7.3 The Ministry may accept any or none of the submissions it receives.

7.4 The Ministry is not obliged to accept the:
7.4.1 Submission with the lowest price; or
7.4.2 Submission that best satisfies the Evaluation Criteria.

7.5 If the Ministry accepts a submission for a project, the money payable by the Ministry under the resulting contract will be made public by the Ministry.

7.6 The successful submitter will not acquire any contractual or other rights until acceptance of the submission is notified by the Ministry in writing. Without limiting this, no process contract arises from the Submission and evaluation process.

7.7 The Ministry may (except if required by law) refuse to advise or discuss the reasons why any submission was accepted or declined.

7.8 The Ministry may (except if required by law) decline to give any or all of the following:
7.8.1 Information about its assessment of a submission accepted by it
7.8.2 Any other information in relation to a submission accepted by it.

Part 8: Things to note

8.1 A submitter must pay its own costs and expenses incurred when preparing a submission.

8.2 The Ministry may amend the Ministry’s request for submissions at any time before the due date. In particular, the Ministry may change any date, time, or timeframe in the RFT/RFP.

8.3 Amendments will be:
8.3.1 In the form of numbered notices to submitters; and
8.3.2 Issued to all potential submitters.

8.4 The Ministry may, at any time:
8.4.1 Cancel the submission process for any one or more of the projects
8.4.2 Not accept Submissions for any one or more of the projects
8.4.3 Negotiate with any submitter to develop a satisfactory Submission.

8.5 The Ministry may, at its sole discretion, not consider for acceptance:
8.5.1 A Submission that does not comply with the Ministry’s instructions
8.5.2 The Submission of a submitter who has not complied with the Ministry’s instructions.

Part 9: Evaluation of Submissions

9.1 The Ministry may, in assessing a Submission require clarification and further information from a submitter.

9.2 Submissions for each project will be evaluated based on the specifications and standards described below. The degree to which the Submission for each project meets the specifications is determined by scoring each specification based on the standards (criteria) given.

9.3 The Submissions for each project will be evaluated by a panel. Each member of the panel will evaluate each Submission independently.

9.4 Submissions for each project will be assessed using the weighted attribute evaluation method. Four attributes are evaluated for each project. Each attribute is assigned a score from 0 (low) to 5 (high). A score of less than 3 for the attribute “Methodology” will disqualify the submitter for that project from any further consideration.

9.5 A weighted score for each attribute will be derived by multiplying each score by the respective weighting factor listed below. The weighted scores for each attribute will be summed to provide a weighted total score for the project.

9.6 The weighted total score for the project is then divided by the price to give a resulting relative value of the Submission.

9.7 The four attributes and their weighting factors are:
9.7.1 Methodology 0.5
9.7.2 Resources 0.3
9.7.3 Data Management 0.1
9.7.4 Project Management Skills and Quality Management Systems 0.1

Specification and Standards for Evaluation of Tenders and Proposals
The specifications and standards are detailed below. Each specification will be evaluated against the associated standards when determining the score for that attribute.

9.8 Methodology
Scientific/Technical Methods
i) Specification
Details of the scientific/technical methods must be provided, including a description of the experimental design, and methods of data collection, statistical analysis, and interpretation.

ii) Standards
Methods are not clearly explained, or contain fundamental flaws.
Methods are basically sound and appropriate, but can be improved.
Methods are clearly explained, sound and comprehensive.

Key Activities and Performance Indicators
i) Specification
The key activities and performance indicators must be described.
The description must include the key activities to be undertaken and indicate how the results of these activities will be used to address each Specific Objective.
Performance indicators against which the success of the key activities can be evaluated (in terms of achieving the Specific Objectives) must be identified.

ii) Standards

Key activities and performance indicators not clearly explained or contain fundamental flaws.
Key activities and performance indicators basically sound and appropriate, but can be improved.
Key activities and performance indicators clearly explained, sound and comprehensive.

Feasibility
i) Specification
The feasibility of the proposed programme (i.e. whether the objectives can be achieved), including details of the concept, any risks (and the nature of the risks) attached to the achievement of the objectives, and contingencies against the risks must be assessed.

ii) Concept Standards

High risk: Concept is not adequately researched (e.g. it may depend on a number of unsubstantiated assumptions).
Medium risk: Concept is adequately researched but depends on factors largely beyond the researcher’s control.
Low risk: Concept is soundly based on the results of previous work in the field of endeavour.

iii) Achievement of Objectives Standards

High risk: Successful achievement of objectives includes a measurable level of risk which is generally high, or the level of risk cannot be determined.
Medium risk: Successful achievement of objectives includes a measurable level of risk which is generally medium.
Low risk: Successful achievement of objectives includes a measurable level of risk which is generally low.

Literature Review
i) Specification
A review of the relevant source literature to support the proposed methodology must be included in the submission for each project.

ii) Standards
Review unsatisfactory. Many key references omitted.
Review covers most of the key references and includes reasonable coverage of lesser references.
Review covers the available literature comprehensively.

9.9 Resources
Details of Nominated Researchers, Facilities and Other Resources

i) Specification
Details of all Nominated Researchers, facilities and other resources required to successfully complete the Project must be provided, including the timeframe within which the resources are needed.

ii) Standards
Details are inadequate; it is not possible to assess the practicality of the resources required.
Most details are included and the Project can be adequately assessed for practicality.
All relevant details are included and the Project can be thoroughly evaluated.

Availability of Nominated Researchers, Facilities and Other Resources
i) Specification
The availability of Nominated Researchers, facilities and other resources required to successfully complete the Project must be specified.

ii) Standards
High risk: Project depends critically on Nominated Researchers, facilities and other resources and their availability may not be guaranteed.
Medium risk: Some Nominated Researchers and/or facilities and other resources are not necessarily available for the whole duration of the Project, but partial withdrawal of any of these resources will still allow achievement of most objectives.
Low risk: Nominated Researchers, facilities and other resources are expected to be available for the duration of the Project.

Relevant Experience of Personnel
i) Specification
Details of the qualifications, training, technical skills and relevant experience of the Principle Investigator and Nominated Researchers managing and carrying out the Project must be provided.

ii) Standards
Qualifications, training, technical skills and relevant experience are poor or are inappropriate (e.g. they may be in an unrelated field or may be lacking in some area which is important for the success of the Project).
Qualifications, training, technical skills and relevant experience are good and appropriate for the Project.
Qualifications, training, technical skills and relevant experience are excellent and appropriate for the Project.

Track Record of Principle Investigators and Nominated Researchers
i) Specification
Details of the track record (e.g. scientific publications, presentations to conferences, internal reports, contract reports, other documents) of the Principle Investigator and Nominated Researchers managing and carrying out the Project must be provided.

ii) Standards
The track record of the Principle Investigator and Nominated Researchers in carrying out the same or similar research projects in the past has been poor.
The track record of the Principle Investigator and Nominated Researchers in carrying out the same or similar research projects in the past has been good.
The track record of the Principle Investigator and Nominated Researchers in carrying out the same or similar research projects in the past has been excellent.

9.10 Data Management
i) Specification
Details must be provided of how data will be managed within the proposed course of research to ensure the data are of a high quality and are maintained with adequate security.

ii) Standards
The submitter has poor or no data management procedures.
The submitter has adequate data management procedures.
The submitter has formal, documented data management procedures.

9.11 Management Skills and Quality Management Systems
i) Specification
A Project Management System must be in operation and the Submitter must show how Projects are managed by that system.

ii) Standards
The submitter has poor or no Project Management Systems.
The submitter has informal Project Management Systems.
The submitter has formal, documented Project Management Systems.

Quality Management Systems
i) Specification
A system or systems to ensure the quality management of project documents and the proposed research work must be in operation. Such system(s) should provide a mechanism to ensure that a clear and comprehensive appraisal of the quality of the submission is carried out, particularly with respect to its concept, design and feasibility.

ii) Standards
The submitter has poor or no Quality Management System(s) for reviewing Projects/proposed research.
The submitter has informal Quality Management System(s) for reviewing Projects/proposed research.
The submitter has formal, documented, and comprehensive Quality Management System(s) for reviewing Projects/proposed research.

Quality Management Systems: Research Results
i) Specification
A system or systems for peer review of research results (analysis and reporting) must be in operation. The Submitter must show how results of the research will be evaluated by such system(s).
ii) Standards
The submitter has no or inadequate system(s) of peer review of research results.
The submitter has informal system(s) of peer review of research results.
The submitter has formal, documented, and comprehensive system(s) of peer review of research results.

Part 10: Reporting Requirements

10.1 The Reporting Requirements are described separately for each project. The format and content of the reports are specified under Forms & Templates. Reports having formats other than those specified may be substituted for the standard reports upon written agreement of the Ministry’s Chief Scientist.

Note: Reports must also be supplied in electronic form.