BSEE Peer Review Process Manual

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  • Peer Review Process MANUAL

    AUGUST 2014

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    Page | ii BSEE Peer Review Process Manual

  • Table of Contents Introduction ................................................................................................................... 1

    Background of Peer Review ................................................................................................ 2

    Importance of Peer Review ................................................................................................ 2

    Definitions Related to Peer Review .................................................................................... 4

    Requirements for Peer Review ........................................................................................... 7

    Roles and Responsibilities for Peer Review ......................................................................... 7

    The Peer Review Process ......................................................................................... 11 Step 1: Determine When to Conduct a Peer Review .......................................................... 15

    Step 1.1: Understand the Types of Research Products that Need Peer Review ...................... 16

    Step 1.2: Determine if the Research Product Qualifies for an Exemption ............................... 18

    Step 1.3: Determine if an Alternative Process is Appropriate .................................................. 19

    Step 2: Plan the Peer Review ............................................................................................ 21

    Step 2.1: Establish the Scope and Timeline for the Peer Review ............................................. 22

    Step 2.2: Determine the Peer Review Mechanism ................................................................... 27

    Step 2.3: Complete Administrative Tasks ................................................................................. 36

    Step 2.4: Review the Legal Aspects of Peer Review ................................................................. 40

    Step 3: Implement the Peer Review .................................................................................. 41

    Step 3.1: Develop the Peer Review Charge .............................................................................. 41

    Step 3.2: Select the Peer Reviewers ......................................................................................... 44

    Step 3.2.1: Identify Peer Review Candidates .................................................................... 44

    Step 3.2.2: Evaluate Candidates and Select the Final Group of Peer Reviewers .............. 49

    Step 3.3: Finalize the Peer Review Schedule ............................................................................ 58

    Step 3.3.1: Finalize the Schedule ...................................................................................... 58

    Step 3.3.2: Notify Selected Reviewers .............................................................................. 58

    Step 3.4: Compile and Send the Peer Review Materials .......................................................... 59

    Step 3.5: Conduct the Peer Review .......................................................................................... 61

    Step 4: Complete and Document the Peer Review ............................................................ 65

    Step 4.1: Analyze Peer Reviewer Comments ............................................................................ 65

    Step 4.2: Create the Peer Review Report ................................................................................. 67

    BSEE Peer Review Process Manual Page | iii

  • Step 4.3: Respond to and Incorporate Peer Reviewer Comments ........................................... 70

    Step 4.4: Complete Documentation of the Peer Review .......................................................... 72

    Appendices ................................................................................................................... 75 Appendix A: Peer Review Checklist .................................................................................. A-1

    Appendix B: Template for Creating an Effective Peer Review Charge ............................... B-1

    Appendix C: Template for Statement of Work for Contractor-Led Peer Review ................ C-1

    Appendix D: BSEE Peer Review Conflict of Interest Form ................................................. D-1

    Appendix E: Additional Conflict of Interest Guidance ....................................................... E-1

    Appendix F: OMB Bulletin Requirements by Step ............................................................ F-1

    Index of Graphics GRAPHIC 1: PEER REVIEW PROCESS OVERVIEW ...................................................................................................................... 11

    GRAPHIC 2: PEER REVIEW TIMELINE..................................................................................................................................... 13

    GRAPHIC 3: DETERMINING IF A RESEARCH PRODUCT NEEDS PEER REVIEW .................................................................................. 20

    GRAPHIC 4: RESOURCES AND COSTS BY PEER REVIEW MECHANISM ........................................................................................... 33

    GRAPHIC 5: COMPARING PEER REVIEW MECHANISMS ............................................................................................................. 34

    GRAPHIC 6: ACTIVITIES AND AFFILIATIONS THAT COULD LEAD TO COI ........................................................................................ 53

    GRAPHIC 7: IDENTIFYING AND RESOLVING COI....................................................................................................................... 55

    GRAPHIC 8: ANALYZING, RESPONDING TO, AND INCORPORATING PEER REVIEWER COMMENTS ....................................................... 71

    GRAPHIC 9: DOCUMENTING A PEER REVIEW .......................................................................................................................... 73

    Index of Tables TABLE 2-1A: DESCRIPTION OF PEER REVIEW MECHANISMS: INTERNAL REVIEW ............................................................................ 28

    TABLE 2-1B: DESCRIPTION OF PEER REVIEW MECHANISMS: EXTERNAL LETTER REVIEW ................................................................. 29

    TABLE 2-1C: DESCRIPTION OF PEER REVIEW MECHANISMS: EXTERNAL PANEL REVIEW .................................................................. 30

    TABLE 2-2: WRITING AN EFFECTIVE SOW............................................................................................................................. 39

    TABLE 3-1: CONSIDERATIONS WHEN SCREENING FOR PEER REVIEWER INDEPENDENCE .................................................................. 46

    TABLE 3-2A: CONDUCTING AN EXTERNAL LETTER REVIEW ........................................................................................................ 62

    TABLE 3-2B: CONDUCTING AN EXTERNAL PANEL REVIEW ......................................................................................................... 63

    Page | iv BSEE Peer Review Process Manual

  • List of Acronyms The following terms are defined for the purposes of this Peer Review Manual

    ACI American Concrete Institute

    AISC American Institute of Steel Construction, Inc.

    ANPRMs Advanced Notice of Proposed Rulemakings

    ANSI American National St andards Institute

    API American Petroleum Institute

    ASME American Society of Mechanical Engineers

    ASTM American Society for Testing and Materials

    BOEM Bureau of Ocean Energy Management

    BPA Blanket Purchase Agreement

    BSEE Bureau of Safety And Environmental Enforcement

    CBI Confidential Business Information

    COI Conflict of Interest

    DAEO Designated Agency Ethics Official

    DOE Department of Energy

    DOI U.S. Department of the Interior

    EERE Office of Energy Efficiency and Renewable Energy

    EPA Environmental Protection Agency

    FACA Federal Advisory Committee Act

    BSEE Peer Review Process Manual Page | v

  • FAR Federal Acquisition Regulation

    HISA Highly Influential Scientific Assessments

    IOSC International Oil Spill Conference

    ISI Influential Scientific Information

    ISO International Organization for Standardization

    NAS National Academy of Sciences

    NTTAA National Technology Transfer and Advancement Act of 1995

    OCS Outer Continental Shelf

    OGE Office of Government Ethics

    OIRA Office of Information and Regulatory Affairs

    OMB Office of Management and Budget

    OORP Office of Offshore Regulatory Programs

    OSRR Oil Spill Response Research

    OTC Offshore Technology Conference

    RGE Regular Government Employees

    SGE Special Government Employees

    SOW Statement of Work

    TAP Technology Assessment Programs

    USCG US Coast Guard

    Page | vi BSEE Peer Review Process Manual

  • Disclaimer This Manual includes BSEEs recommended practices for peer review based on applicable federal requirements and BSEE polic