ECU equality charters e-submission and assessment system

February 2017

I Invitation to tender This specification invites tenders for the delivery of a fully integrated e-submission and assessment system.

Project aims

ECU has two equality charters: the Athena SWAN Charter, which focuses on gender equality and the Race Equality Charter (REC), which focuses on race equality. The charters enable organisations to apply for awards recognising their commitment to, and progress working on, equality and diversity. The charters provide a framework to drive forward the cultural and systemic changes needed if institutions are to remain competitive and attractive to talented staff and students in a global market.

The award application forms are currently available on our website and are submitted via email on or before deadlines. The applications are then printed off and sent via post by ECU to panellists to read, before convening in person for an assessment day.

ECU requires an electronic system that will be used by all Athena SWAN and REC members to submit their applications.

For Athena SWAN, we also require an electronic system that enables us to coordinate and oversee the assessment process; reducing administration time, costs and potential for errors. It may be that this assessment process will be modified for use by REC in future.

More information about the equality charters is available at http://www.ecu.ac.uk/equality-charters/.

II ECUECU works to further and support equality and diversity for staff and students in higher education (HE) institutions across all four nations of the UK and in colleges in Scotland. We provide a central resource of advice and guidance for the sector.

Our approach is evidence-based, using research to identify and change practices that unfairly exclude, marginalise or disadvantage people. This evidence supports institutions to remove barriers to progression and success for all staff and students.

ECU is a registered charity funded by the Scottish Funding Council, the Higher Education Funding Council for Wales and Universities UK, and through direct subscription from HE institutions in England and Northern Ireland.

We currently have 36 members of staff and are led by chief executive, David Ruebain. We are governed by a board of directors chaired by Professor Janet Beer, vice-chancellor of the University of Liverpool.

Further information about ECU is available on our website at www.ecu.ac.uk.

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III Background

1 ECU’s equality charters

ECU has two equality charters:

= Athena SWAN – an established charter that has evolved since being launched in 2005 and has an established application process

= REC – launched in 2016 after a successful trial with processes that have been developed in consultation with stakeholders drawing on lessons learnt from Athena SWAN.

Athena SWAN was founded as a scheme that recognised commitment to advancing women’s careers in science, technology, engineering, maths and medicine (STEMM) employment in HE and research.

The charter started with ten members. Currently it has around 140 members and 617 award holders. We receive approximately 300 applications a year and hold approximately 80 panels to assess the applications.

The scope and reach of Athena SWAN has broadened since 2005, and rapidly since 2012. There was an increase in membership and award submissions in 2012, due in part to the decision in July 2011 by Professor Dame Sally Davies, Chief Medical Officer, to link funding for National Institute Health Research Biomedical Research Centres and Biomedical Research Units to achieving a Silver Athena SWAN award.

The reputation of the charter has also continued to grow and this has led to expansion. The first significant development was in 2012 when The Royal Society, in response to requests from research institutes, funded a pilot of Athena SWAN for non-HE institution affiliated research institutes. The pilot was a success and research institutes were officially allowed to join the charter in April 2014, due in part to funding from the Department for Business, Innovation & Skills.

Interest in the charter has also translated into international activity, with a three-year pilot expansion of the charter in Ireland. The expansion was officially launched on 5 February 2015.

In addition to the expansion to Ireland, ECU are working in partnership with the Science in Australia Gender Equity Forum, a new initiative of the Australian Academy of Science, to develop Athena SWAN in Australia. A three year pilot commenced in August 2015.

Finally, in response to feedback from the sector, from May 2015 ECU expanded the principles and scope of Athena SWAN and welcomed applications from arts, humanities, social sciences, business and law departments (AHSSBL) and institutions that focus exclusively on these areas. All members are expected to have signed up to the new principles by April 2017.

In 2016, after a successful pilot in 2015, ECU’s launched REC. It currently has around 15 members and eight award holders. REC is initially only available at institutional level for universities, but follows a very similar process and methodology to Athena SWAN.

2 Who can participate and how?

Membership of both Athena SWAN and REC is open to UK universities. In addition, Athena SWAN membership is also open to any publicly funded research institute.

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Members are able to submit applications for awards for both charters at institutional level. Athena SWAN also accepts awards applications made at departmental level (eg a department of chemistry or a department of law) provided that the ‘parent’ institution holds an award or is applying for an award in the same round. Awards submissions are based on an in-depth self-assessment that is reviewed by a panel drawn from the HE community. Members are supported through the awards process with guidance and opportunities to share practice.

The charters have a similar methodology: institutions sign up to principles as members and then apply for awards. Institutions must conduct a thorough self-assessment, which is peer reviewed, and they must prioritise continuous progression against identified challenges in order to receive and retain awards.

3 The awards

There are three levels of awards available, which are designed to encourage continuous progression and sustainable change. There are awards for the whole institution for both charters, and for individual departments for Athena SWAN. Award holders must apply to renew or upgrade their award every four years. Renewals require evidence of progress against earlier action plans.

= Bronze award – for both charters. A Bronze award recognises a solid foundation for eliminating discrimination and developing an inclusive culture.

= Silver award – for both charters. A Silver award recognises a significant record of activity and achievement by the institution or department in addressing equality challenges. Silver award holders demonstrate that equality is well embedded within the institution or department. REC only applies to institutions.

= Gold award – only for Athena SWAN. A Gold award recognises sustained progression and achievement in promoting gender equality and addressing challenges particular to the discipline. A well-established record of activity and achievement is complemented by data demonstrating continued impact. Gold departments are beacons of achievement in gender equality and champions of good practice.

4 Awards applications

Applicants conduct a thorough self-assessment of their gender and/or race equality challenges.

Each applicant has to provide ECU with their baseline data and analyse it. We ask for specific data on staff and students depending on the charter and award. This data is presented in the way that the applicant deems most appropriate for the data set, but always including raw numbers and percentages.

We ask for data and analysis on areas that pose barriers to women’s and BME groups’ education and academic and research career progression.

There are two application rounds a year for awards for each charter. For Athena SWAN, submission deadlines are the last working day of April and November. For REC, they are the last working day of July and October. In future, rolling deadlines will be considered, particularly for Athena SWAN. ECU requires prospective applicants to inform us of their intention to submit two months in advance of deadlines. This notification supports planning of the assessment process. Intentions to submit may be withdrawn.

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Applications are between 11,500 and 14,000 words long, depending on the charter and level of award applied for. This word count must be strictly adhered to.

All applications are assessed by peer review panels. The panels recommend decisions on awards to ECU. Every potential panellist has to fill in a declaration of interest form and complete panellist training.

The panels are currently pieced together manually using Microsoft Excel once we have received the intentions to submit. We aim to group prospective Athena SWAN department applications by subject area (eg chemistry, law). We send out a poll using Doodle to our potential panellists so that they may indicate their availability. We then match potential panellists to the prospective applications.

Once an application is submitted, it is checked by ECU for compliance with pre-requisites and other administrative criteria (which is set out in an awards handbook), such as word count. If the application is incomplete or does not comply with the administrative criteria, we send it back and ask for it to be amended within a set time frame. We then check it again once it is returned.

ECU must acknowledge each application within five working days after application deadlines.

5 Award panels

5.1 Composition

For Athena SWAN, award panels are comprised of five people who review up to six applications (but usually four or five) at each sitting. Panellists are selected from a pool of people who have applied to ECU to become a panellist. Each panel has representation of men and women, and experienced and new panellists. We currently draw panellists from the following groups of people, aiming for a degree of balance (including at least two active academics):

= academics

= human resources or equality and diversity practitioners with experience of HE

= subject specialists (for example technical staff, industry and research institute representatives, members or employees of learned and professional societies, gender equality specialists).

All panellists must have undergone ECU’s training before assessing applications.

ECU staff moderate the panels. This is a non-voting role.

For REC, awards panels are made up of five people who review up to four applications for each sitting. The panel must include members from a black and minority ethnic (BME) group.

5.2 Conflicts of interest

Panellists are precluded from assessing applications from an institution at which they are currently employed.

Other conflicts of interest include:

= previous employment or study at an institution within the last ten years

= paid consultancy at an institution within the last five years

= close personal relationships with individuals at an institution.

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All panellists submit a declaration of interest form with their application to join ECU’s pool of panellists and in advance of taking part in a panel. All panellists are asked to review this information annually and in advance of a panel.

5.3 Objections to panellists

After intentions to submit have been received and one month before application deadlines, ECU provides prospective applicants with a list of all the panellists that could review applications. Any objections to potential panellists must be made within five working days from the date of publishing the list of these potential panellists.

5.4 Process

Panellists receive a copy of the applications to review approximately five weeks before the panel is convened. Where applicable, they also receive the final comments of feedback on applicants’ most recent submission.

Panellists are required to:

= review applications in accordance with guidance set out in the awards handbook

= assess applications independently and complete review sheets before the panel meeting. A future development that must be incorporated into the process is to require submission of review sheets and recommended results in advance of the panel meeting, using the electronic system

= collectively review applications at the panel meeting

= only take into account information included in applications.

Panellists must not communicate with each other about the panel or the applications outside of the panel unless facilitated by ECU.

ECU appoints a chair for the panel (who has received specific chair training), a moderator (an experienced member of ECU staff) and a secretary (another member of ECU staff).

The moderator is required to:

= provide assistance and guidance on the application and assessment process

= ensure the panel comply with the requirements set out in the awards handbook and a guide to processes

= ensure consistency of panel assessment and decisions. If required, the moderator may provide a view on whether the application is consistent with the requirements of the award level applied for

= ensure any panellist comments that are deemed prejudicial, such as personal opinions unrelated to the application, are disregarded

= ensure feedback from the panel is detailed and coherent

= moderate any subsequent discussion (usually by remote meeting facility) in the event that a panel requests further information or amendments.

The secretary is required to:

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= record the key discussion points of the award panel

= request that the panel identify feedback to be provided to the applicant.

Neither the secretary nor the moderator vote in recommending awards.

5.5 Recommendation

The panel may recommend to ECU that they:

= confer or renew the award at the level sought

= confer or renew the award at a lower level

= confer or renew the award at a higher level (usually requiring a request for further information)

= do not confer an award.

The panel seeks to reach a unanimous decision, but may decide on the basis of a majority. If it is a split panel (where the panel numbers are even due to a panellist being unexpectedly unavailable) the chair has an additional deciding vote.

Panellists may not abstain from voting.

The panel must base its decision solely on the material placed before it and against the criteria set out in the awards handbook.

5.6 Additional information

If a panel is not able to reach a decision based on the information in the application it may seek additional information from the applicant in exceptional circumstances.

When additional information is sought, the decision on that particular application will be adjourned. The panel moderator will send the request for additional information in writing (by email as appropriate) to the applicant.

Additional information requested from the applicant must be provided to ECU within ten working days of the request.

Where additional information is provided, it will be distributed by ECU to the panellists. ECU will arrange to reconvene the awards panel, which may take place using a remote meeting facility.

A reconvened award panel must be quorate and may only include those panellists attending the initial award panel meeting.

If the additional information is not received within ten working days, the panel will reach a decision based on the original available information.

5.7 Notification

Once all applications in a given round have been assessed, ECU communicates award decisions to applicants by letter, via email.

ECU endeavours to make and communicate award decisions within six months of the deadline for a given applications round. However, this period may be longer depending on the number of

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applications received, the number of panels convened, and whether further information has been requested from any applicants.

5.8 Feedback

ECU provides feedback to applicants based on the award panel discussion. This includes the rationale behind the decision.

= ECU provides feedback to unsuccessful applicants at the time award outcomes are communicated.

= ECU provides feedback to applicants whose application receives an award at a lower level than that sought within one month of communicating the award outcomes.

= ECU provides feedback to applicants whose application is successful within two months of communicating the award outcomes.

5.9 Records

At the conclusion of the awards panels, all application and assessment materials relating to the applications are collected by the secretary. One hard copy set of the applications, all review sheets, and secretary’s note are held securely by ECU for one year after the announcement of the award decisions and then destroyed.

Once the final recommendation on the decision to confer an award has been made, panellists must delete or destroy any material relating to the applications (which has not already been returned to ECU).

IV Why we need an electronic system

When Athena SWAN received approximately 30 applications a round, they could be checked and panels set up in a week, with applications assessed in a month and results sent out soon afterwards. It now takes ECU nearly two months to set the panels up, a month to check all the applications and receive amended versions if necessary, two weeks to print all the applications and panel materials, and two weeks to send them all out. It takes nearly six months to send the results out and sometimes up to eight months after the submission date for successful applicants to receive their feedback. Feedback is important for all applicants, including successful ones, as it informs them of what they need to do to improve for any future applications.

We have approximately 80 panels a year for Athena SWAN and we must book a room for each panel, pay the travel expenses for each panellist and provide refreshments and subsistence. Overall, each panel costs approximately £2,000, including printing, postage, panellist expenses and refreshments, and excluding staff time and any necessary room hire.

We need to speed the processes up, reduce the administrative burden on ECU staff, reduce the cost of the entire process and reduce the environmental impact of printing and posting applications.

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V What we need from an electronic system

We need a system for the application process and a system for the assessment process. REC will initially only use the electronic application process. It may be that this assessment process will be modified for use by REC in future.

1. Application process for both charters

= Institutions log in (and universities set up their own departments for Athena SWAN)

We need a system through which institutions can join the charters by signing up to the principles and, once approved by ECU staff, be set up with a log in. For Athena SWAN, we need universities to then be able to set up their own departments and ECU to be notified, so that we can check that the department designation is appropriate.

= Institutions register an intention to submit in a particular round, which is communicated to ECU and is logged on our Microsoft Dynamics CRM (Customer Relationship Management) system

The electronic system needs to allow prospective applicants to log intentions to submit. The system should alert ECU to any non-conforming with the pre-requisites for the award prospective applicants intend to apply for. The system should also automatically log whether prospective applications are applying for a new award, an award renewal or an upgraded award, and – if applicable – whether the most recent application resulted in an award being granted or not. The application forms the prospective applicant should use and elements of the panel process are dependent on these variables.

= Departments choose their subject category codes from a drop-down menu

In order to group Athena SWAN departmental applicants by subject area, we need them to identify their primary subject area by choosing the most relevant Joint Academic Coding System (JACS) system codes used by the Higher Education Statistics Agency and the Universities and Colleges Admissions Service to classify academic subjects.

= Different editing rights for different users are defined

We require different users to be able to have different editing rights. ECU will set up the original user and that user will set up other accounts at the institution with different editing rights to submissions (for example, full edit rights, read only).

= Applicants complete their application form:

= Completing text boxes for each question and inserting quantitative data where requested in the form

= Inserting figures (graphs, schematics etc) where the applicant desires

= Inserting cross-references to action points that appear in the action plan (not included in the word count)

= Inserting an action plan in tabular format, with this format editable by the applicant.

= Word counts are observed

ECU must be able to alter word limits. The submission should not be submissible if the word limit is exceeded.

= Submissions are received

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Once a submission is received, this should be recorded against the institution’s Microsoft Dynamics CRM record. Confirmation of receipt should be sent to the applicant. ECU will then confirm that the application is acceptable for review, with confirmation of this also sent to the applicant. Departmental applicants are invoiced for a submission fee at this stage.

= Following submission, progress updates are sent to applicants

Applicants should see a progress bar when they log in, which shows them where in the process their application is (for example, received by ECU, sent to a panel, awaiting additional information).

2. Assessment process for both charters

= Panel composition is facilitated

Once intentions to submit have been received, the system should group prospective applications by subject categories and use ECU’s Microsoft Dynamics CRM records of panellists (panellist contact records will contain fields that record conflicts of interest, role, speciality, training status, experience, gender and BME status, which we use to determine the suitability and balance of panellists) to suggest appropriate potential panellists. Applicants sometimes withdraw their intention to submit and the system should allow for this.

= Objections to panellists

One month in advance of submission deadlines, all prospective applicants are sent a list of all potential panellists. Any objections to potential panellists must be made within five working days from the date of publishing the list of these potential panellists.

= Panels are confirmed

After deadlines, ECU should be notified of the applications that have been submitted. ECU can then confirm the configuration of the panels or amend as required. ECU should be alerted to any expected applications that have not been received so that these can be followed up with prospective applicants. Once each panel has been confirmed by ECU, this process should trigger the distribution of materials to the panellists as part of the award panel process.

3. Assessment process for Athena SWAN only

The system should have capacity to test and run different review methodologies (on which ECU will consult with the sector). The system we intend to consult on ahead of the launch of the electronic system is as follows:

= Panellist logs in; views each application; makes comments on each section; records a good practice example for each application; submits a decision (with rationale) for each application.

= Once a panellist has submitted a decision on an application, it is locked and ECU is notified.

= Decision is accepted by ECU if 4-1 or 5-0 majority is returned and moderator is in agreement with rationale. If no 4-1 or 5-0 majority returned, trigger one of following options (to be determined):

a. hold a panel comprising the original reviewers

b. hold a panel comprising a different set of reviewers.

= If a panel has to convene for one application, convene this via remote meeting facility. If a panel has to convene for two or more applications, convene this physically.

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= Dates for panels agreed and panels held. The system must build in scope for many applications to require such review by a convened panel. Integration of a polling process would facilitate this. Under the current review methodology, all applications require review by a convened panel. The system should have scope to manage this scenario.

= ECU writes up feedback to applicants.

= On a defined ‘results day’, results and feedback are sent to applicants.

4. Data for both charters

ECU must have the following functions available:

= Alerts as to the implications of award decisions for the applicant (eg. award is due to expire)

= Ability to search for keywords/good practice

= Ability to extract quantitative data from submissions and use data to provide benchmarking data by subject. ECU therefore needs to be able to download the quantitative data applicants submit in CSV or Excel format.

= It would be helpful for members to be able to access and review their own active and previous submissions.

VI ECU’s current systems and software

1. CRM system

= ECU’s current CRM system is Microsoft Dynamics CRM Online 2016 Update. Any electronic system will need to be integrated with this.

= Our website integrates with Microsoft Dynamics CRM through the web content management system Activedition.

= We are currently developing a web payment system using SagePay, integrated with Microsoft Dynamics CRM.

2. Website

= Our website, www.ecu.ac.uk, underwent redevelopment in 2014. The website is a customised WordPress site currently hosted by 123-reg.co.uk. Any electronic system will need to integrate with the existing website.

3. Software

= ECU operates Windows 7 utilising Microsoft Office products.

= Our finances are run through Sage 50 Accounts 2014 plus.

4. Other applications

= We use MailChimp and eMessenger to send our e-newsletters.

= We use SurveyMonkey to undertake surveys, consultations and conduct research. 11

= We use Google Analytics to analyse web engagement.

= Our primary social media platform is Twitter.

= We use Adobe Connect as a remote meeting facility.

VII About us, our charter members and our peer reviewers

1. About us

ECU has around 36 users working across five functions, of which equality charters is one. External relations, policy, research, and resources are the other functions.

Staff across the organisation, at all levels, may access the electronic system, although different permissions may be required.

2. Our charter members

The majority of our members are UK and Ireland HE institutions and research institutes.

However, the system needs to be flexible enough to allow for growth in membership stakeholders to include colleges, international HE institutions, organisations allied to the HE sector, NHS organisations and private companies.

With around 140 members and 617 award holders for Athena SWAN and around 15 REC members, there are likely to be thousands of individuals wishing to use the electronic system in some way.

3. Our peer reviewers

The majority of our peer reviewers are from institutions that are able to apply for awards.

As with our membership stakeholders, we are likely to grow our peer review membership pool (to include colleges, international HE institutions, organisations allied to the HE sector, NHS organisations and private companies).

We currently have around 1,500 registered peer reviewers. Each reviewer must have undertaken ECU’s panellist training before they can assess applications.

Each panel has to meet the requirements stated above.

VIII Project specification

= Proof of concept to be delivered prior to signing the contract

= Complete software installation

= Data integration of CRM and website data to the new system

= Full data configuration (for example, date formats, permissions and security, personal systems and views, client settings)

= Customisation (for example, new attributes, changing attributes, new forms, tabs and views, new dashboards, workflows)

= Development

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= Integration with Microsoft Dynamics CRM, Outlook, WordPress website, Activedition members portal, Sage, Adobe Connect, SurveyMonkey, Doodle, MailChimp, eMessenger and social media where possible

= Phased data integration

= Training and user adoption

= A number of reports to be developed to measure engagement and for reporting to stakeholders and funders.

1. Timeline

= Project inception meeting will take place in late March 2017

= Electronic system for trial by 2 January 2018

= Electronic system goes live by 1 August 2018.

2. Outcomes

= Specific outcomes for ECU

= Reduced administrative burden

= Reduction in number of physical panel meetings

= Quicker and more efficient awards process

= Improved reporting

= Ability to search for and extract good practice quickly and easily

= Better data collection.

= Specific outcomes for panellists, members and applicants

= Reduction in burden of travel for panellists

= Improved user experience

= More relevant and more personalised communications.

IX Tender requirements

1. Tender proposal

Candidates should deliver a concise tender, focusing on the proposed work and budget. The tender should include the following information:

= candidate or organisation details including name, legal status, full contact details and lead contact

= details or CVs of staff who will undertake the work and a clear breakdown of how much time each person will contribute to the project

= details of experience and expertise relevant to the project, including any experience gained with not-for-profit membership organisations and in the HE sector

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= examples of successful delivery of user adoption strategies

= samples of other pieces of work which are similar in focus to the project

= proposed approach and methodology to deliver the project

= suggested timetable for the work, including key milestones and clear timescales for completing the project

= details of how you will work closely with ECU and our subscribers and other users to deliver a user friendly system

= details of how the system will ensure compliance with data protection

= risk assessment of the proposed approach and how the risks will be mitigated

= outline of quality assurance processes

= schedule of all costs including a detailed breakdown of how costs will be allocated in terms of staff hours, expenses, VAT (if applicable) etc, including any preferred variation to the payment terms (set out in point 5 below)

= outline of the candidate’s approach to equality and diversity

= details of any claims of unlawful discrimination upheld against the candidate by any court or employment tribunal in the last three years

= details of any outstanding claims of litigation against the candidate

= details of the candidate’s insurer, the policy numbers, extent of cover, and expiry dates in respect of public liability and professional indemnity insurance, together with copies of the policies

= potential or actual conflicts of interest (as requested in section 3 below)

= a signed certificate of non-collusion and declaration, set out in the form given in Appendix A to this invitation to tender

= a signed certificate of non-canvassing, set out in the form given in Appendix B to this invitation to tender

= details of two referees (as requested in section 4 below).

If the tender is submitted on behalf of a consortium, please:

= list the members of the consortium

= Identify the lead member and contact.

If the tender contains a sub-contracting relationship, please state:

= the main contractor and sub-contractors

= the nature of the relationship.

2. Reasonable adjustments

ECU will consider reasonable adjustments as requested.

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3. Conflicts of interest

Details of the candidate’s policy on handling conflicts of interest which may exist or arise regarding this engagement must be provided. In the event that a director, partner, employee or employee’s representative of the candidate has an interest or connection in ECU, please provide that person’s full name, position and the nature of the connection or interest in ECU.

4. References

The name and contact details of two referees for whom the candidate has recently worked (within the past five years only) are to be provided.

5. Fees

ECU wishes to agree a fixed price for the work.

The total amount available for this work, including all fees and expenses is up to £60,000 including VAT. This includes all fees, visits and expenses related to the project.

Our preference is to pay for the work in four stages: a payment of 10% on signing the contract; a second payment of 40% on delivery of an agreed mid-point deliverable and a final payment of 50% on completion of the project. Payments will be made on submission of an invoice.

In calculating the fee, account should be taken of the fact that ECU is a registered educational charity and non-profit making body.

ECU is not bound to accept the lowest priced tender and shall not be bound to accept the contractor as a sole supplier.

6. Tender submission

Please return one email copy and four hard copies of your response (marked as below) in English to:

jonathan.gascoigne@ecu.ac.uk

Tender documents enclosed – DO NOT OPEN Jonathan GascoigneEquality Challenge Unit First floor, Westminster Tower3 Albert EmbankmentLondon SE1 7SP

One email copy and four hard copies of your submission should arrive by no later than 12 noon on Wednesday 1 March 2017.

ECU shall have the right to disqualify any candidates who submit incomplete or late tenders.

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7. Selection criteria

In awarding the contract, ECU will consider the balance between the quality of the tender and value for money, taking account of the factors listed in this invitation to tender.

Each candidate’s tender shall be assessed on the following weighted criteria:

= relevant experience in delivering similar e-submission and assessment systems (20%)

= understanding of HE and membership organisations (15%)

= experience of delivering successful user engagement and adoption strategies (20%)

= feasibility of completing the proposed programme of work to a high quality within the specific timetable (20%)

= understanding of the need to work closely with ECU throughout the project (5%)

= risk mitigation (5%)

= overall value for money (15%).

As a charity with limited resources, we are unable to provide any feedback to candidates not shortlisted for interview.

8. Timing

The project should be undertaken between March 2017 and December 2018. The candidate should note the following key dates:

= deadline for receipt of tenders: 12 noon on Wednesday 1 March 2017

= interviews of shortlisted candidates if required: w/c 13 March 2017

= award of tender to successful candidate: w/c 13 March 2017.

ECU reserves the right to interview shortlisted applicants.

The dates set out in this paragraph are provisional only and may be altered by ECU at its discretion.

9. Contracting

This tender is being issued by ECU. The form of contract that the successful candidate will be expected to enter into with ECU is at Appendix C. Any queries relating to the contract should be outlined in a cover letter to your submission.

10. Reporting responsibilities

The successful candidate will report to James Lush, equality charters development manager.

Deliverables will be agreed with the preferred supplier at the project inception meeting. Subsequent face-to-face meeting dates will also be agreed at this point.

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Project status reports should be sent by email to the equality charters development manager every week or as agreed outlining (briefly)

= Project summary and commentary since last update

= Work done since last update period

= Work to be done this period

= Blockers/issues that needs addressing.

11. Further information

For further details, please contact Jonathan Gascoigne, performance and planning manager:

Tel: 020 3870 6001 Email: jonathan.gascoigne@ecu.ac.uk

Jonathan is also the point of contact for any queries that you have relating to this invitation to tender.

Any queries should clearly reference the appropriate paragraph in the documentation and, to the extent possible, should be aggregated rather than sent individually. The deadline for submitting queries is 12 noon on Wednesday 22 February 2017.

ECU will respond to all reasonable requests for clarification of any aspect of this invitation to tender as soon as is reasonably possible.

Please note that the response to your query may be posted on ECU’s website without identifying you, therefore your query should not contain any details which are confidential. Please consult the ECU website for any updates.

Please note that no pre-tender negotiations are permitted.

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X Confidentiality statement and disclaimer The information contained in this invitation to tender and all other information made available at any time to the candidates by and on behalf of ECU is supplied on the basis that the candidates will keep such information confidential at all times and that such information will be used only for the purposes of participating in the bidding process.

No information contained in this invitation to tender or any other written, oral or other information made available to the candidate shall form the basis of any warranty, representation or term of any contract by ECU with any third party.

ECU does not accept any responsibility or liability for the accuracy or completeness of the invitation to tender or any other oral or written information provided by ECU to any candidate.

ECU reserves the right not to follow this invitation to tender in any way and/or to withdraw from or amend the procurement process. ECU may reimburse expenses incurred by candidates in attending interviews as part of the selection process on request.

ECU rights to change or cancel

ECU reserves the right, without prior notice and in its absolute discretion, to change or terminate the tendering procedure for the project, including requesting additional information, at any time before signing the contract with the successful candidate.

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Appendix A

Certificate of non-collusion and declaration

I certify that:

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

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

= No attempt has been made or will be made by the candidate to induce any other person or organisation to submit or not to submit a tender for the purpose of restricting competition.

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

I acknowledge that any price fixing or collusion with other candidates shall give ECU the right to exclude a candidate from the procurement process and may constitute an offence.

I am authorised by the candidate (and all relevant associated companies and organisations) to supply the information given in the tender.

I declare that, at the date of signing this declaration, the information given is complete and accurate to the best of my knowledge having made reasonable enquiries.

Signed:

Name:

Date:

On behalf of:

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Appendix B

Certificate of non-canvassing

I certify that:

= No attempt has been made to canvass or solicit any director, officer or employee of ECU in connection with the award of this tender or any other tender or proposed tender for the services and that no person employed by the candidate or acting on the candidate’s behalf has done/will do any such act.

I declare that, at the date of signing this declaration, the information given is complete and accurate to the best of my knowledge having made reasonable enquiries.

Signed:

Name:

Date:

On behalf of:

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Appendix C

Draft form of contract

CONTRACT FOR SERVICES/GOODS [INSERT TITLE OF CONTRACT]

Contract number: [INSERT CONTRACT NUMBER]

This Contract is made this [INSERT DATE] between:

[INSERT NAME, ADDRESS AND COMPANY REGISTRATION NUMBER (if relevant)]

Equality Challenge Unit (a registered company with company registration number 5689975) First floor, Westminster Tower3 Albert EmbankmentLondon, SE1 7SP

Hereinafter called the “Contractor” Hereinafter called “ECU” Collectively referred to as the “Parties”

The Contractor’s Tender Submission to [X] has been accepted by ECU on the terms and conditions of this Contract.

It is hereby agreed as follows:

1 Definitions

1.1 In this Contract:

1.1.1 “Contract” means the Tender, the Tender Submission, these Conditions of Contract and any documents referred to therein;

1.1.2 “Deliverables” means the deliverables and/or result to be delivered by the Contractor as part of providing the Services as set out in the Tender, Tender Submission and/or the Schedule (as appropriate);

1.1.3 “Goods” means anything supplied or to be supplied to ECU under the Contract as set out in the Tender;

1.1.4 “Services” means all the services that the Contractor is required to carry out under the Contract as set out in the Tender;

1.1.5 “Tender” means ECU’s invitation to tender or request for quotation for the relevant Goods and/or Services;

1.1.6 “Tender Submission” means the Contractor’s response to the Tender.

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2 Conditions for the supply of Services – Contractor’s Duties

2.1 The Contractor shall properly perform the Services specified in the Contract with the standard of skill, care and diligence which a competent and suitably qualified person performing such services could reasonably be expected to exercise and in accordance with all relevant legal and regulatory requirements and industry best practice and in co-operation with ECU.

2.2 The Contractor shall deliver the Deliverables in accordance with the timetable set out in the Schedule.

2.3 The Contractor shall properly manage and monitor the performance of the Contract and immediately inform ECU in writing if any aspect of the Contract has not been or is not being or is unable to be performed in accordance with the Contract.

2.4 If the Contractor, without prior written agreement of ECU, does not deliver the Deliverables in accordance with the timetable set out in the Schedule or to the required standard, ECU reserves the right to withhold payment of the contract price. In the event of a dispute about delivery in accordance with the timetable or about the standard of work, a mediator will be appointed.

3 Conditions for the supply of Goods - Contractor’s Duties

3.1 The Contractor shall supply the Goods specified in the Contract. Goods may be returned at the Contractor’s expense if they do not correspond with the Contract.

3.2 All Goods shall be delivered, carriage paid, at the place specified and only between 9.00 am and 4.00 pm Mondays to Fridays, unless otherwise agreed by ECU. A delivery note must accompany the Goods and must specify the contract number and the type of Goods being delivered.

3.3 The cost of packaging and delivery will be deemed to be included in the cost of the Goods. If the Contractor requires packaging to be returned, it will be returned at the Contractor’s expense.

4 Meetings and Records

4.1 The Contractor shall, and shall ensure that its relevant staff shall (as appropriate), attend all meetings reasonably arranged by ECU for the discussion of matters connected with the performance of the Contract.

4.2 The Contractor shall keep and maintain until 6 years after the date of termination or expiry (whichever is the earlier) of the Contract (or as long a period as may be agreed between the Parties), full and accurate records and accounts of the operation of the Contract including the Services provided and/or Goods supplied under it and the amounts paid by ECU in relation to the Contract. The Supplier shall on request afford ECU and ECU's representatives such access to such records and accounts as may be required by ECU from time to time.

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5 Environmental Requirements

5.1 In providing the Goods or Services the Contractor shall comply with ECU’s environmental policy, which is to conserve energy, water and other resources, reduce waste and phase out the use of ozone depleting substances and minimise the release of greenhouse gases and other substances damaging to health and the environment.

5.2 All written outputs, including reports, produced in connection with the Contract shall (unless otherwise specified) be produced on recycled paper.

5.3 Maximum use must be made of recycled materials in the manufacture of crates, pallets, boxes, cartons, cushioning and other forms of packaging. Packaging must be capable of recovery for reuse or recycling.

6 Discrimination

6.1 The Contractor shall not unlawfully discriminate within the meaning and scope of any applicable law, enactment, order or regulation relating to discrimination (whether relating to discrimination on grounds of race, gender, pregnancy or maternity, marital or civil partnership status, gender re-assignment, religion or belief, disability, sexual orientation, age or otherwise).

6.2 The Contractor shall take all reasonable steps to secure the observance of the obligations set out in Condition 6.1 by all servants, employees or agents of the Contractor and all suppliers and sub-contractors employed in the execution of the Contract.

7 Assignment or subcontracting

7.1 The Contractor shall not sub-contract, transfer, assign, charge, or otherwise dispose of the Contract or any part of it without the prior written consent of ECU or unless the details of the sub-contracting are expressly set out in the Tender Submission. Where the Contractor enters into a contract with a supplier or sub-contractor for the purpose of performing the Contract or any part of it, it shall cause a term to be included in such contract which requires payment to be made by the Contractor to the supplier or subcontractor within a period not exceeding 30 days from receipt of a valid invoice as defined by the contract requirements.

7.2 The Contractor shall ensure those individuals identified in the Tender Submission perform the Services specified in the Contract unless otherwise agreed in writing by ECU.

8 Notices

8.1 All notices between the Parties under the Contract shall be in writing and shall be delivered by hand or sent by first class post to: (i) in the case of notification to ECU,

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FAO Jonathan Gascoigne, at the address detailed above, (ii) in case of communication to the Contractor to the address set out above, or such other address as is notified to ECU in writing by the Contractor. Any such communication shall be deemed to have been served: (i) if delivered by hand, on the day of the delivery, (ii) if sent by first class post, on the second business day following the day of posting.

9 Intellectual property rights

9.1 Any reports, documents, data, specifications, instructions, plans, drawings, patents, models, designs, other material as aforesaid and any intellectual property rights in such materials (“Work Product”) furnished to or made available to the Contractor by ECU shall remain vested in ECU absolutely and will be delivered up to ECU on completion or other termination of the Contract.

9.2 Subject to Condition 9.1, any Work Product prepared by the Contractor for ECU in relation to the performance of this Contract is hereby assigned to and shall vest in ECU absolutely. The Contractor agrees to execute any documents necessary to assign to ECU all right, title and interest in the intellectual property rights in such Work Product and to do all such acts and things as ECU may determine are reasonably necessary or desirable in connection with any such assignment. The Contractor shall not be entitled to use ECU’s Work Product without ECU’s prior written consent.

9.3 To the extent that the Work Product incorporates any of the Contractor’s existing intellectual property rights the Contractor shall retain ownership of the intellectual property rights and ECU shall be granted an irrevocable, royalty free, perpetual, transferable, non-exclusive licence to use such intellectual property rights for the purposes of ECU’s activities/operations.

10 Confidentiality and Publicity

10.1 The Contractor shall not disclose any information relating to the Contract or ECU’s activities without the prior written consent of ECU, which shall not be unreasonably withheld. Such consent shall not be required where the information is already in the public domain, is in the possession of the Contractor without restriction as to its disclosure, or is received from a third party who lawfully acquired it and is under no obligation restricting its disclosure.

10.2 The Contractor shall not, without ECU's prior consent, communicate by way of press release or otherwise to any third party, anything which relates to the Services provided under this Contract, save as is necessary in the execution thereof.

10.3 ECU reserves the right to disclose information about this Contract pursuant to a valid request for information. The Contractor shall provide ECU with all reasonable assistance and information in relation to all relevant information required.

11 Data Protection duties

11.1 The Contractor shall comply with the terms of the Data Protection Act.

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12 Handover and re-competition

12.1 Upon the expiry or termination of the Contract, the Contractor shall, at its cost, provide assistance to ECU and the replacement supplier appointed by ECU to continue or take over the performance of the Supplier's obligations under the Contract in order to ensure an effective handover of all work then in progress.

13 Invoices and Payment

13.1 The fees, expenses and costs payable to the Contractor for the performance of the Contract are set out in the Tender Submission and/or in the Schedule (as appropriate). Prices are fixed for the duration of the Contract.

13.2 The Contractor shall submit an invoice within 30 days of the relevant payment date set out in the Schedule (if any) and always subject to having supplied the relevant Goods or Services to the satisfaction of ECU. The invoice shall show the amount of VAT payable and bear the contract number. Save where an invoice is disputed, ECU shall pay the Contractor within 30 days of receipt of a valid invoice or as otherwise set out in the Schedule. ECU, in line with Government requirements, subscribes to the need for prompt payment and to HM Treasury's 'Better Payment Practice Code'. Any complaint regarding non-compliance with this code should be addressed to the Chief Executive of ECU.

14 Corrupt Gifts and Payments of Commission

14.1 The Contractor shall not receive or agree to receive from any person, or offer or agree to give to, or procure on behalf of any person in the employment of ECU, any gift or consideration of any kind as an inducement or reward for doing or not doing anything, or for showing favour or disfavour to any person in connection with the Contract.

15 Termination

15.1 If the Contractor: (i) fails to fulfil their obligations under the Contract, (ii) enters into any arrangement or composition with its creditors, is declared bankrupt (being an individual) or an order is made or an effective resolution is passed for its winding up or a receiver and manager, receiver, administrative receiver or administrator is appointed in respect of the whole or any part of its undertaking or assets, (iii) ceases to carry on business, or (iv) is subject to a change of Control (Control has the meaning ascribed in section 416 or 840 of the Income and Corporation Taxes Act 1988), ECU may terminate the Contract forthwith by written notice and, in accordance with Condition 16, may recover from the Contractor any reasonable costs necessarily and properly incurred by ECU as a consequence of termination.

16 Loss or Damage

16.1 The Contractor shall, without delay and at the Contractor’s own expense, at the option of ECU either (i) reinstate, replace or make good to the satisfaction of ECU, or (ii) indemnify ECU, for any loss or damage connected with the performance of the

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Contract, except to the extent that such loss or damage is caused by the neglect or default of ECU. “Loss or damage” includes but is not limited to: loss or damage to property; personal injury, sickness or death; and loss of goodwill or loss of use suffered as a result of any loss or damage.

17 Insurance

17.1 The Contractor shall effect and maintain an adequate level of insurance cover in respect of all risks that may be incurred in the performance of the Contract.

18 General

18.1 This Contract and its appendices constitute the entire agreements between the Parties hereto and supersede all negotiations, representations or agreements either written or oral preceding the Contract.

18.2 The currency of this Contract is sterling or its legal successor.

18.3 ECU reserves the right to alter the requirements of the Contract. In the event of any alteration of the contractual requirement, payment under the Contract shall be subject to fair and reasonable adjustment to be agreed in good faith between the Parties. No variation to the Contract will be effective until it has been recorded in writing and signed by a duly authorised representative of ECU and the Contractor.

18.4 The Contract shall be governed by and interpreted in accordance with the law of England and Wales and the Parties hereby submit to the exclusive jurisdiction of the Courts of England and Wales.

19 Dispute Resolution

19.1 The Parties shall attempt in good faith to negotiate a settlement to any dispute between them arising out of or in connection with the Contract within 30 days of either party notifying the other of the dispute and such efforts shall involve the escalation of the dispute to the Chief Executive (or equivalent) of each party.

19.2 Nothing in this dispute resolution procedure shall prevent the Parties from seeking from any court of competent jurisdiction an interim order restraining the other party from doing any act or compelling the other party to do any act.

19.3 If the dispute cannot be resolved by the Parties pursuant to Condition 19.1 the Parties shall refer it to mediation pursuant to the procedure set out in Condition 19.5 unless ECU considers that the dispute is not suitable for resolution by mediation.

19.4 The obligations of the Parties under the Contract shall not be suspended, cease or be delayed by the reference of a dispute to mediation (or arbitration) and the Contractor shall comply fully with the requirements of the Contract at all times.

19.5 The procedure for mediation and consequential provisions relating to mediation are as follows:

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19.5.1 a neutral adviser or mediator ("the Mediator") shall be chosen by agreement between the Parties or, if they are unable to agree upon a Mediator within 10 days after a request by one party to the other or if the Mediator agreed upon is unable or unwilling to act, either party shall within 10 days from the date of the proposal to appoint a Mediator or within 10 days of notice to either party that he is unable or unwilling to act, apply to the Centre for Effective Dispute Resolution to appoint a Mediator;

19.5.2 the Parties shall within 10 days of the appointment of the Mediator meet with them in order to agree a programme for the exchange of all relevant information and the structure to be adopted for negotiations to be held;

19.5.3 unless otherwise agreed, all negotiations connected with the dispute and any settlement agreement relating to it shall be conducted in confidence and without prejudice to the rights of the Parties in any future proceedings;

19.5.4 if the Parties reach agreement on the resolution of the dispute, the agreement shall be reduced to writing and shall be binding on the Parties once it is signed by their duly authorised representatives;

19.5.5 failing agreement, either of the Parties may invite the Mediator to provide a non-binding but informative opinion in writing. Such an opinion shall be provided on a without prejudice basis and shall not be used in evidence in any proceedings relating to the Contract without the prior written consent of both Parties; and

19.5.6 if the Parties fail to reach agreement in the structured negotiations within 60 days of the Mediator being appointed, or such longer period as may be agreed by the Parties, then any dispute or difference between them may be referred to the courts in accordance with Condition 19.1.

Schedule

Deliverables/timescale

The specified Services are to be carried out in accordance with a timetable agreed between ECU and the Contractor within the terms of this Contract.

Deliverables Timescale

Draft materials

Final materials

Contract price/payment

The total contract price of £XXXXX is payable as detailed below.

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Item Amount (£)

Contract signed

Completion of first round of meetings

Completion of all meetings and final outputs

TOTAL

Signed on behalf of ECU

Signature

Name Juliet Adams, Head of Resources

Date

Signed on behalf of the Contractor

Signature

Name

Date

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