FLOATGEN is co-financed by the European Commission s 7 th Framework Programme for Research and Technological Innovation.

Transcription

1 Project Management and Quality Assurance Plan Deliverable nº: 1.1 EC-GA nº: Project full title: Demonstration of two floating wind turbine systems for power generation in Mediterranean deep waters

2 Deliverable Nº D1.1 Project Management and Quality Assurance Plan Responsible Partner: GAMESA Due Date of Deliverable: 30 TH June, 2013 WP: 1 WP leader: GAMESA Version: V1.0 Version date: 11 TH June, 2013 Written by: Maite García/ David Turrillas Checked by: Approved by: Dissemination level: PUBLIC Document history: Version Date Main Modification Written by Checked by Approved by V1 06/11/2013 Maite García/ David Turrillas Brief Summary This document is a quick overview of the most relevant managerial aspects of the project, setting the rules and responsibilities of the partners aimed at ensuring a good quality and progress of the work. It summarizes all the required knowledge for the good management of the project and contains all information related to the management strategy, structure of the consortium, reporting issues, templates to be used, publication procedures etc.

3 TABLE OF CONTENTS 1 INTRODUCTION PURPOSE RELATION TO OTHER PROJECT DOCUMENTS PROJECT BASIS BENEFICIARIES GRANT AGREEMENT PROJECT STRUCTURE WORK PACKAGES LIST / OVERVIEW DELIVERABLES PROJECT DURATION BUDGET PERIODIC REPORTING TO THE EUROPEAN COMMISSION FINAL REPORT Project management PROJECT MANAGEMENT STRUCTURE AND RESPONSIBILITIES STRATEGY OF COMMUNICATION RISK MANAGEMENT QUALITY ASSURANCE INFORMATION MANAGEMENT TECHNICAL INFORMATION FLOW CHART PROJECT MEETINGS PERIODIC AND FINAL REPORTS SUBMISSION OF DELIVERABLES FINANCIAL INFORMATION- REPORTING COSTS FINANCIAL DOCUMENTATION - SUPPORTING DOCUMENTS OF COSTS CLAIMED PAYMENT PROCEDURES CERTIFICATE ON THE FINANCIAL STATEMENTS (CFS) DOCUMENT HANDLING LANGUAGE DOCUMENT TEMPLATES DELIVERABLE NUMBERING SYSTEM PROJECT CHANGES AND POTENTIAL PROBLEM AREAS PROJECT CHANGES: AMENDMENTS TO THE G.A. AND / OR COMMUNICATION LETTERS TO THE EC POTENTIAL PROBLEM AREAS

4 1 INTRODUCTION 1.1 Purpose The aim of the FLOATGEN Management Handbook procedures is to give a quick overview of the most relevant managerial aspects of the project, setting the rules and responsibilities of the partners aimed at ensuring a good quality and progress of the work. This document summarizes all the required knowledge for the good management of the project and contains all information related to the management strategy, structure of the consortium, reporting issues, templates to be used, publication procedures etc. Furthermore, the purpose of this guide is to clarify legal and financial aspects of the Grant Agreement and Consortium Agreement that may need further clarifications to beneficiaries. This guide is alive and can be modified according to the project needs. This document will be updated continuously through the lifecycle of FLOATGEN project extending the information given, including relevant issues and changes in the project or procedures. Each time that the document would be updated, all partners will be duly informed about the updates and he changes made with respect to the previous version. 1.2 Relation to Other Project Documents In the event of discrepancy between documents, this Management Handbook is overruled by Grant Agreement including its Annexes and the Consortium Agreement. 2

5 2 PROJECT BASIS 2.1 Beneficiaries The list of Beneficiaries are included in the Grant Agreement, in the Consortium Agreement, and presented in the next list: Number Participant Organization Name Country 1 (CO) GAMESA INNOVATION AND TECHNOLOGY S.L. (GAMESA) SPAIN 2 IDEOL (IDEOL) FRANCE 3 UNIVERSITAET STUTTGART (Stuttgart University) GERMANY 4 ACCIONA WINDPOWER SA (ACCIONA WINDPOWER) SPAIN 5 NAVANTIA S.A. (NAVANTIA) SPAIN 6 DR TECHN OLAV OLSEN AS (OLAV OLSEN) NORWAY 7 FRAUNHOFER-GESELLSCHAFT ZUR FOERDERUNG DER GERMANY ANGEWANDTEN FORSCHUNG E.V (FRAUNHOFER) 8 RSK ENVIRONMENT LIMITED (RSK) UNITED KINGDOM 9 Greenovate! Europe (G!E) BELGIUM 10 ACCIONA ENERGIA S.A. (ACCIONA ENERGIA) SPAIN TABLE 1: LIST OF PARTICIPANTS A complete contact list per organization is available in FLOATGEN web site, member area: Last update was done on the 14 TH June New contacts or changes/corrections to the current contacts should be sent to (mgarcia@zabala.es) and / or (dturrillas@zabala.es) who are responsible for keeping updated the contact details of beneficiaries involved. 3

6 2.2 Grant Agreement Grant Agreement No and the following annexes, which form an integral part of the grant agreement: Annex I - Description of Work Annex II - General Conditions. Annex IV: Form A - Accession of beneficiaries to the grant agreement - Form signed by all partners as identified in Article 1.1 of the grant agreement. Annex V: Form B - Request for accession of a new beneficiary to the grant agreement Annex VI: Form C - Financial Statement per Collaborative Project Form C should be sent electronically via FORCE and originals duly signed by regular mail to the Commission. Annex VII: Form D- Terms reference for the certificate on the financial statements required for every claim (interim o final) whenever the amount of the requested EC contribution of any beneficiary is equal o superior to EUR when cumulated with all previous payments for which a CFS has not been submitted Form E: Terms of reference of the certificate on the methodology. At the time being, no amendments to the grant agreement have been requested or approved. All beneficiaries have a paper and electronic copy of the complete grant agreement. 4

7 3 PROJECT STRUCTURE The overall plan of the project follows the tasks and activities, schedule and budget as laid down in the Work Programme (Annex I to the grant agreement). The guiding point of all work and planning will be the Deliverables due to the Commission along the 4 periods of FLOATGEN. 3.1 Work packages list / overview FLOATGEN is a 48 month project organized in 8 Work packages. The structure and interaction among Work Packages are described in Annex I to the ECGA, Description of Work (DoW). 3.2 Deliverables The list of deliverables for the 48 months clarified by Work Package is included in the next list: 5

8 6

9 7

10 8

11 9

12 10

13 Submission of Deliverables: During the course of the project, the deliverables identified in Annex I to the Grant Agreement have to be submitted according to the timetable specified in the Deliverables list. All deliverables have to be submitted electronically via to the Project Officer by the coordinator. During the progress report the deliverables made during the period will be send by regular mail to the PO. 3.3 Project duration The effective start of the project is , and the project ends 48 months later, on Budget The maximum Community financial contribution to the project shall be The budget detailed per beneficiary and its corresponding contribution of each beneficiary is detailed in the Annex I to the Grant Agreement Description of Work (DoW). In addition, in the Grant Preparation Form (GPF) the budget is also detailed by cost activities. 11

14 3.5 Periodic Reporting to the European Commission The project FLOATGEN is divided into 4 reporting periods of the following duration: P1:from month 1 to month 12: from 01/01/2013 to 31/12/2013 P2: from month 13 to month 24: rom 01/01/2014 to 31/12/2014 P3: from month 25 to month 36: rom 01/01/2015 to 31/12/2015 Final: from month 37 to month 48: rom 01/01/2016 to 31/12/2016 Four periodic reports have to be submitted to the Commission: 1. Interim report: 1st periodic report covering M1 M12 2. Interim report: 2nd periodic report covering M13 M24 3. Interim report: 3rd periodic report covering M25 M36 4. Interim report: 4th periodic report covering M37 M48 According to Article 4 to the G.A. all reports and deliverables shall be submitted in English. PERIODIC REPORTS: Time limit for reporting: All the periodic reports (including the last reporting period) shall be submitted by the coordinator within 60 days after the end of the reporting period to the Commission. At the end of each reporting period, the Commission shall evaluate and approve project reports and deliverables and disburse the corresponding payments within 105 days of their receipt. Content of periodic reports: The guidance notes on project reporting define the content of these reports and propose templates. According to the Guidance Notes on Project Reporting, version 2012 the periodic report for each period (including the last one) shall address both the technical and the financial aspects of the project. It shall consist of sections described as follows: FRONT PAGE including all basic data of the project SELF DECLARATION by the scientific representative of the Coordinating entity (the 12

15 scientific Coordinator): 1. Publishable summary 2. Core of the report 2.1. Project objectives for the period 2.2. Work progress and achievements during the period 2.3. Project Management 3. Deliverables and milestones tables 4. Explanation of the use of the resources 5. Financial statements - Forms C and Summary financial report 6. Certificates on Financial Statement (CFS), if required Submission of interim reports (scientific and financial inputs) : The submission of the reports (scientific and technical) has to be done via and regular mail. All Forms C signed by the authorised person and certificates (if applicable) have to be sent by regular mail and e- mail. Data collection from beneficiaries and roles The submission of the periodic reports to the European Commission is the coordinator responsibility. For the preparation of the periodic period reports technical and financial inputs are necessary from beneficiaries. The process for collecting these inputs is detailed below: Every WP/Demo Leader will send to the Steering Group a report every 6 months. Every WP/ Demo Leader will send to the Steering Group the deliverables due 15 days before to the deadlines specified in Annex I DoW and also specified in this guide (chapter 3.1). The Steering Group with the approval of the Management Team will send to the Coordinator the technical report to be included in the activity report. All beneficiaries will send to the Coordinator team its cost statement one month later after the finalization of a reporting period (months 12, 24, 36 and 48 13

16 respectively) for verification. In some cases, a certificate on financial statements will have to be submitted also (see chapter 5.6 Certificate on financial statements). All beneficiaries will submit via to the Management Team the Form C completed one month later of the finalization of a reporting period (months 12, 24, 36 and 48 respectively). All beneficiaries will send to the Coordinator the Forms C in paper version duly signed by the authorized person one month later after the finalization of a reporting period (months 12, 24, 36 and 48 respectively). The Coordinator will send to the Management Team and Steering Group the Periodic Report (technical and financial information) to be validated before sending them to the EC, and also Deliverables to be approved. To resume, documents to be sent to the coordinator team in order to elaborate the periodic reports are: REPORT WHO WHAT WHEN Work WP/ Demo Progress Every 6 months Package/ report within the period Demo Activity Report Leader WP/ Demo Deliverables 15 days before the deadlines Leader specified in Deliverables list. 14

17 WP/ Demo Leader Technical report Months 12, 24, 36 and 48. All the Cost statement After partners finalisation of each reporting period: Months 12, 24, 36 and Financial 48. Report All the Form C + Certificate on After partners Financial Statements if finalisation of required)* each reporting period: Months 12, 24, 36 and 48. * Find more detailed information about certificate on financial statements submission in chapter Final report FINAL REPORT At the end of the project, in addition to the periodic report for the last period of the project (4th periodic report) a final report has to be submitted, within 60 days after the end of the project, month 48. Content of final Report: This final report shall comprise three separate parts as described hereafter: a) A final publishable summary report including an executive summary and a summary 15

18 description of project context and objectives, a description of the main S&T results, the potential impact (including the socio-economic impact and the wider social implications of the project so far) and the main dissemination activities and exploitation of results. b) A plan for use and dissemination of foreground, to spread awareness. c) A report covering the wider societal implications of the project, in the form of a questionnaire, including where applicable gender equality actions, ethical issues, efforts to involve other actors and to spread awareness. Submission of final report : The submission of the final reports has to be done via e- mail to the EC. Roles: The submission of this report is the project coordinator s responsibility. REPORT ON THE DISTRIBUTION OF THE FINANCIAL CONTRIBUTION BETWEEN BENEFICIARIES After having received the final payment from the EC, A report on the distribution of the European Union financial contribution between beneficiaries must be submitted 30 days after receipt of the final payment (not required for Intermediate payments). 16

19 4 PROJECT MANAGEMENT 4.1 Project Management Structure and Responsibilities Guiding Principles: The Project management of FLOATGEN Project will be carried out to ensure that: OVERALL GOALS ARE MET: the project as a whole adheres to the goals and the timescales set out in the Grant Agreement and Work Plan; WORK PACKAGES/ DEMO PERFORM: all the work packages/ Demos must carry out their activities in an effective and timely manner; TASKS CROSS-FERTILISE EACH OTHER: there must be an effective liaison between work packages and partners so that each activity both inform and are informed by each other; PARTICIPANTS LEARN FROM EACH OTHER: there must be effective liaison between each of the Work Packages and its participants so that they learn from each other optimally; RESPONSIVENESS IS ASSURED: any deviations from the activities and their timescales as set out in the work plan are promptly dealt with and/or reported. Administrative duties will include: Coordination of finances of the project Reporting to the Commission in a timely, structured, correct and seamless manner Maintaining an initial communication via all participants contact points for the project Organizing, planning, and overseeing project meetings according to a wellstructured plan All Beneficiaries are responsible for: Effective economic management and conduct of the operational work in accordance with the program guidelines and with ethical and legal standards; Complying with the general terms and conditions governing grants and any terms and conditions specific to each grant or granting program established by 17

20 the European Commission and the Co-ordinator their policies; Managing and supervising operational personnel; Acknowledging, whenever possible, the Co-ordinator's financial support for the operational work. Project Management Structure: The project management structure for FLOATGEN Project is illustrated in next figure: The Coordinator, GAMESA is the legal entity acting as the intermediary between the Parties and the European Commission. The Coordinator shall, in addition to its responsibilities as a 18

21 Party, perform the tasks assigned to it as described in the Grant Agreement and this Consortium Agreement. The Management Team is the ultimate decision-making body of the Consortium and responsible for the overall direction of the Project. The Project Steering Group as the body which shall oversee the execution of the Project at a Work Package/ Demo level and which shall report to and be accountable to the Management Team. General operational procedures of the management structure, responsibilities, membership and are stated below. GENERAL OPERATIONAL PROCEDURES FOR THE CONSORTIUM: 1- Representation in meetings Any member of the Steering Committee: a- should be present or represented at any meeting of the Steering Committee; b.- may appoint in written a substitute to attend and vote at any meeting on his behalf; the substitute must be a Party of the Steering Committee. The represented Party must provide the representing Party with written instructions as to in which way he will have to vote. These guidelines will be binding. c.-and shall participate in a cooperative manner in the meetings. 2- Preparation and organization of meetings Convening meetings: The chairperson of the Steering Committee shall convene meetings of that Consortium Body. Meetings of the Steering Committee shall be held on a quarterly basis, or at any other time upon written request of any member of the Steering Committee. 19

22 Meetings of the Steering Comittee shall be held once a year, or at any time upon written request of any Member of the Steering Committee. Notice of a meeting: The chairperson of the Steering Committee shall give notice in writing of a meeting to each member of the Steering Committee no later than twenty (20) days prior to the meeting. Sending the agenda: The chairperson of the Steering Committee shall prepare and send each member of the Steering Committee a written agenda no later than ten (10) days prior to the meeting. Adding agenda items: Any agenda item requiring a decision by the members of the Steering Committee must be identified as such on the agenda, either as originally distributed or as properly adjusted. Any member of the Steering Committee may add an item to the original agenda by written notification to all of the other members of that Consortium Body no later than seven (7) days prior to the relevant meeting. During a meeting, where all members of the Steering Committee are present or represented, they may unanimously agree to add a new item to the original agenda. 3- Voting rules and quorum Each Consortium Body shall not deliberate and decide validly unless a quorum of two-thirds (2/3) of its members are present or represented. Each member of a Consortium Body present or represented in the meeting will have voting rights. Defaulting Party members may not vote. Decisions shall be taken by a majority of two- thirds (2/3) of the present or represented votes. Decisions may only be executed once the relevant part of the Minutes is accepted 4- Veto rights No veto right can be 20

23 exercised with regard to the Steering Committee decisions. Notwithstanding the aforementioned, the General Assembly will have: the right to block Steering Committee decision on termination of a Defaulting Party s participation in the Consortium (veto right). the right to participate in the Steering Committee decision on incorporation of third Parties in the Consortium. For the other Consortium Bodies decision, the following rules apply: a. Any Member which can show that its own work, time for performance, costs, liabilities, intellectual property rights or other legitimate interests would be severely affected by a decision of a Consortium Body may exercise a veto with respect to the corresponding decision or relevant part of the decision. b. When the decision is foreseen on the original agenda, a Member may veto such a decision during the meeting only. c. When a decision has been taken on a new item added to the agenda before or during the meeting, a Member may veto such decision during the meeting and within 15 days after the draft minutes of the meeting are sent. d. In case of exercise of veto, the Members of the related Consortium Body shall make every effort to resolve the matter which occasioned the veto to the general satisfaction of all its Members. e. A Party may not veto decisions relating to its identification as a Defaulting Party. The Defaulting Party may not veto decisions relating to its participation and termination in the Consortium Agreement or the consequences of them. f. A Party requesting to leave the Consortium may not veto decisions relating thereto. g. If, in spite of these efforts, the veto is not resolved, the issue must be included in the agenda for the next Steering Committee (ordinary or extraordinary if needed) which will, after hearing the affected parties try to get to an agreement with them and take a final decision in order to preserve the good implementation of the project, or decide if the dispute requires arbitration 21

24 5- Minutes of meetings The chairperson of a Consortium Body shall produce written minutes of each meeting which shall be the formal record of all decisions taken. The Coordinator shall send the draft minutes to all Members within ten (10) calendar days of the meeting. The Minutes shall be considered as accepted if, within fifteen (15) calendar days from sending, no Member who was present or represented at the relevant meeting has objected in writing to the chairperson with respect to the accuracy of the draft of the Minutes. The chairperson shall send the accepted minutes to all the Members of the Consortium Body, to all other Parties and to the Coordinator, who shall safeguard them. If requested, the Coordinator shall provide authenticated duplicates to Parties. SPECIFIC OPERATIONAL PROCEDURES FOR THE CONSORTIUM BODIES. 1- General Assembly In addition to the general operational procedures, the following rules apply: 1.1 Members The General Assembly shall consist of one representative of each Party The General Assembly will be open for any observer from the European Commission that may wish to attend. Gamesa shall chair all meetings of the General Assembly, unless decided otherwise in a meeting of the General Assembly. The Parties agree to abide by all decisions of the General Assembly. This does not prevent the Parties to submit a dispute to resolution in accordance with the provisions of settlement of disputes settled down in section 11.8 of the Consortium Agreement. 1.2 Decisions The General Assembly shall be free to act on its own initiative to formulate proposals and take decisions in accordance with the procedures set out herein. 22

25 The main functions of the General Assembly are listed below: Sharing with all the Parties the Project achievements. Presenting the most relevant decisions made or to be discussed by the Steering Committee, that can affect the Project significantly. Collecting views and arguments from all the Parties on these issues. Unblocking any decision blocked at the level of the Steering Committee or the subject of a veto by one of its Members.. Veto right to block Steering Committee decision on termination of a Defaulting Party s participation in the Consortium. Approving the changes to Annex I to the EC-GA proposed by the Steering Committee. 2- Steering Committee In addition to the general operational procedures, the following shall apply: 2.1 Members The Steering Committee shall consist of one representative of each Demo Leader: GAMESA as Demo Leader of demonstrator number 1 ACCIONA WP as Demo Leader of demonstrator number 2 (hereinafter Steering Committee Member). The Coordinator shall chair all meetings of the Steering Committee, unless decided otherwise in a meeting of the Steering Committee. The Parties agree to abide by all decisions of the Steering Committee. This does not prevent the Parties to submit a dispute to resolution in accordance with the provisions of Settlement of disputes in Article 11.8 of the Consortium Agreement. 2.3 Functions The Steering Committee shall be responsible for the proper execution and implementation 23

26 of the EC-GA as well as of the Consortium Agreement. The Steering Committee shall be free to act on its own initiative to formulate proposals and take decisions in accordance with the procedures set out herein and subject to Article of the Consortium Agreement. In addition, all proposals made by the Technical Committee shall also be considered and decided upon by the Steering Committee. In particular, the following decisions shall be taken by the Steering Committee: a. Content, finances and intellectual property rights. Proposals for changes to Annex I of the EC-GA to be agreed by the European Commission Changes to the Consortium Plan (including the Consortium Budget) General acceptance of the Periodic Activity and Management Reports that the EC might request during the project Withdrawals from Annex 1 (Background included) Additions to Annex 2 (Background excluded) b. Evolution of the Consortium Entry of a new Party to the Consortium Agreement and approval of the settlement on the conditions of the accession of such a new Party Withdrawal of a Party from the Consortium Agreement and the approval of the settlement on the conditions of the withdrawal Declaration of a Party to be a Defaulting Party Remedies to be performed by a Defaulting Party Termination of a Defaulting Party s participation in the Consortium and measures relating thereto Notwithstanding the above, General Assembly will have the right of veto to block Steering Committee decisions on termination of any members participation in the Consortium. Proposal to the European Commission for a change of the Coordinator. Proposal to the European Commission for suspension of all or part of the Project 24

27 Proposal to the European Commission for termination of the Project and the Consortium Agreement c. Appointments On the basis of Annex I, the appointment if necessary of Technical Committee Members 3. Technical Committee 3.1 Members The Technical Committee shall consist of the one representative of each Demo Leader and each Work Package Leader: GAMESA as Demo Leader of demonstrator number 1 ACCIONA WINDPOWER as Demo Leader of demonstrator number 2 Fraunhofer IWES as Work Package Leader of WP6 RSK as Work Package Leader of WP7 G!E as Work Package Leader of WP8 The Technical Director shall chair all meetings of the Technical Committee. 3.2 Functions The Technical Committee shall monitor the effective and efficient implementation of the Project. It shall be responsible for the proper execution and implementation of the decisions of the Steering Committee. In addition, the Technical Committee shall collect information at least every 6 months on the progress of the Project, examine that information to assess the compliance of the Project with the Consortium Plan and, if necessary, propose modifications of the Consortium Plan to the Steering Committee. The Technical Committee shall: Initiate, coordinate and have organized the Project/Work Packages Support the Coordinator in preparing meetings with the European Commission and in preparing related data and deliverables 25

28 Prepare the content and timing of press releases and joint publications by the Consortium or proposed by the European Commission in respect of the procedures of the EC-GA Article II In the case of abolished tasks as a result of a decision of the Steering Committee, the Technical Committee shall advise the Steering Committee on ways to rearrange tasks and budgets of the Parties concerned. Such rearrangement shall take into consideration the legitimate commitments taken prior to the decisions, which cannot be cancelled. 4. Project Office The Project Office shall be an administrative body which will support the Coordinator and all the other Parties in the management issues of the project. The Project Office will support the Coordinator in all the activities that need representation within the European Commission. It shall be the intermediary between the Parties and the European Commission only for administrative issues. In particular the Project Office shall be responsible of: Perform the pursuit of progress work involved with technical-administrative aspects of the project. Assistance and coaching at administrative level. This action will not only be limited to the gathering of information and to record findings to fulfil obligations of the call and the concession. But also will hold responsibility in advising each one of the partners in all administrative aspects for legal consulting, anticipated changes, modifications in the partner data, incorporation of third parties, concepts to justify, etc. All of the changes that are going to be generated and will be endorsed by the Steering Committee should be presented to the European Commission and the same process is repeated to generate modifications of contracts and agreements. The Project Office will be responsible for the implementation of these changes and will contribute with all of the necessary documentation. Quality Management report. This report gathers the methodology of 26

29 management for the project, models of collected information, people in charge of its delivery, terms of delivery, revision of the deliverables of the project, etc. Creation and maintenance of the project web site. Preparation of the Assembly meetings, Steering Committee meetings and Technical Committee meetings, in collaboration with the project Coordinator and Technical Director. Preparation of the meeting agenda, call for attendance, request of meeting information to the partners, elaboration of meeting minutes, etc.. The Project Office will be in charge of making a specific pursuit regarding the execution of the part of the project that corresponds to each partner and will inform timely about the important incidents to the leader, and will prepare information for the Steering Committee. Creation of the reports at technical level. Collection of the draft of economic justification, revision, acceptance, and final justification, including audits if it was necessary. Sending of documentation to the European Commission in the requested format, providing reports and deliverables. GREENOVATE is appointed as Project Office responsible. 5. Demo Teams The Demo Teams are the bodies in charge of the implementation of each one of the two demonstrators, as described in Annex I to the EC-GA. Each Demo Team will be led by its Demo Leader. All critical technical and/or administrative decisions related each one of the three Demos will be agreed in the specific Demo Teams before being treated in the Steering and/or Technical Committees as described above. Members of each Demo Team shall be one representative of those Parties having personmonths in the demonstrator, as described in Annex I to the EC-GA. 5.1 Functions 27

30 The Demo Teams shall be free to act on its own initiative to formulate proposals and take decisions in accordance with the procedures set out herein. The main functions of the Demo Teams are listed below: Collecting views and arguments from all Demo Team Members on these issues. Prior to the meetings of the Steering Committee or the Technical Committee, the Demo Team shall agree on the most relevant decisions that may significantly affect the Demonstrator. In particular, the following decisions shall be taken by the Demo Teams: - Proposals for changes to Annex I of the EC-GA to be agreed by the European Commission - Changes to the Consortium Plan (including the Consortium Budget) - Withdrawals from Annex 1 (Background included) - Content, finances and intellectual property rights - Evolution of the Consortium, including entry and/or withdrawal of a Party - Proposal to the European Commission for suspension of all or part of the Project - o Proposal to the European Commission for termination of the Project and the Consortium Agreement The decisions of the Demo Teams shall be submitted to the Technical Committee for review. Furthermore, the decisions of the Technical Committee shall be submitted to the final review and decision of the Steering Committee. 6. WP Teams The WP Teams are the bodies in charge of the implementation of each one of the three horizontal work packages: WP6, WP7 and WP8, as described in Annex I to the EC-GA. Each WP Team will be led by its WP Leader. Members of each WP Team shall be one representative of those Parties having personmonths in the work package, as described in Annex I to the EC-GA. 28

31 COORDINATOR 1- Tasks The Coordinator shall be the intermediary between the Parties and the European Commission and shall perform all tasks assigned to it as described in the Grant Agreement and in the Consortium Agreement. GAMESA is appointed as Coordinator. In particular, the Coordinator shall be responsible for: Charing the Steering Committee Monitoring compliance by the Parties with their obligations Keeping the address list of Members and other contact persons updated and available Collecting, reviewing to verify consistency and submitting reports and other deliverables (including financial statements and related certifications) to the European Commission Transmitting documents and information connected with the Project to any other Parties concerned Administering the financial contribution of the Union and fulfilling the financial tasks Providing, upon request, the Parties with official copies or originals of documents which are in the sole possession of the Coordinator when such copies or originals are necessary for the Parties to present claims. Facilitating the communication among the partners and between the consortium and the European Commission. Conducting the global project management: planning implementation and control of all project activities as directed by the Steering Committee. The Coordinator shall not be entitled to act or to make legally binding declarations on 29

32 behalf of any other Party. The Coordinator shall not enlarge its role beyond the tasks specified in this Consortium Agreement and in the EC-GA. If the Coordinator fails in its coordination tasks, the Steering Committee may propose to the European Commission to change the Coordinator. 4.2 Strategy of communication FLOATGEN is a project that needs concentrated efforts and good cooperation to ensure its success. In order to cooperate adequately, a good strategy of communication is needed and has therefore been established: A project website will be established for internal and external communication purposes. The public part of the site will contain a general description of the project with contact information and public documents, while the private site, protected by password, will be mainly used to exchange documents and other files within members of the consortium. reflectors will be established for the different boards of the management structure. As previously stated, in order to ensure collaboration, fulfilment of goals and good technical monitoring, face-to-face meetings of the Technical Committee and Management Committee will take place periodically. These meetings will guarantee the synchronization of all the tasks, define control procedures to follow the evolution of work and solve potential conflicts. Apart from the meetings, telephone, , ftp and web exchange will be used as the primary forms of communication and exchange of documents among the partners. 4.3 Risk Management The management process will identify and monitor, during project implementation, internal and external risks as well as any other issues that might affect the project progress towards its objectives, in order to carry out mitigation actions as early as possible. Risks can arise from: Unexpected technical difficulties or unexpected scientific findings. Poor communication or co-operation between the partners. 30

33 Resource shortage by the partners. Human operational errors: planning errors, poor quality, incomplete tasks, etc. Each partner has the responsibility to report immediately to their respective WP Leader and to the Project Coordinator any risky situation that may arise and may affect the project objectives or their successful completion. Any change in time schedule of deliverables or in the allocated budget must be reported to the corresponding WP Leader or to the Project Coordinator. In case of problems or delays, the PTC will be consulted and it may install task forces to take the necessary actions. In case no resolution is reached, the PMB will be consulted and will establish mitigation plans to reduce the impact of risk occurring. Responses may include: Strengthened supervision. Adjustments to Project strategy. Changes to implementation arrangements. Changes in budget allocations. 4.4 Quality Assurance During the project initiation phase, the project-coordinator will elaborate and develop a Quality Assurance plan. The Quality Assurance plan will include an internal reviewing procedure to guarantee the quality of the results. Each WP leader will be responsible for the quality of the results generated within its workpackage, especially the deliverables, which will be subject to a peer review by at least one expert (another WP leader). Before submitting any report or document, its content will be reviewed, in order to ensure the accuracy of its meaning for the target. Final approval of the quality of the results will be made by the Technical Committee. 31

34 5 INFORMATION MANAGEMENT 5.1 Technical Information Flow Chart All the technical issues must be transmitted from each partner to the WP/ Demo Leader. The Work Package Leader will be the responsible for dealing with the issue raised and solve it. In the case that the issue cannot be solved, it will be transmitted to the Coordinator. All relevant issues with an impact on the work and planning of the project, will be discussed with the Steering Committee without unduly delays. The Coordinator will resolve the issues put up by the WP/ Demo Leaders or will transmit them to the Commission if necessary. 5.2 Project Meetings One consortium meeting per period has been defined to be organized. Concrete dates and venue will be duly communicated in advance to all beneficiaries Minutes for Consortium General Assemblies shall be taken by the project coordinator. These shall be circulated for approval by the attending partners before being submitted to the EC. 5.3 Periodic and Final Reports Every 12 months, corresponding with the finalization of the reporting periods specified in 32

35 the Grant Agreement, the Coordinator will submit a periodic report. In addition, at the end of the project a final report together with a report on the distribution of the financial contribution between beneficiaries. For more detailed information, please see points 3.5 and 3.6 of this guide. 5.4 Submission of Deliverables All the deliverables must be submitted within the deadlines defined in Annex I to the Grant Agreement. Please see point 3.2 of this guide. All deliverables shall be submitted to the European Commission by electronic means. The WP/ Demo Leaders are the responsible of the technical quality adequacy of the deliverable due. All WP/ Demo Leaders shall submit the deliverables to the Technical Commitee 15 calendar days in advance to the submission of the deliverable to the Commission. The Technical Committee will review reports and deliverables from each work package. Once the Deliverable is approved, the Coordinator will be the responsible for submitting it to the Commission by electronic means. 5.5 Financial Information- Reporting costs All reporting periods (M12, M24, M36 and M48), all partners will submit to the Project Coordinator: A Cost Statement duly completed covering the referred reporting; Form C duly signed by the authorised person. The following table shows the dates for the documents submission from the partners to the Coordinator: Period End of reporting period Report from each partner to be sent to the Coordinator before 1 31/12/ /01/

36 /01/ /01/ /01/2017 The reception of the cost statement duly filled is of substantial relevance for reporting issues and to provide a proper explanation of the use of the resources within the period in accordance with the EC requirements. In this sense, 3 Cost Statement templates (according to the different methods of allocating indirect costs by beneficiaries) have been developed for FLOATGEN partners. In general terms, the direct eligible costs related to project are the following costs categories: Personnel costs, Travel costs, Subcontracting Costs, Other costs related to the project. Indirect costs should be allocated to the project in accordance with the method of calculation registered in the Participant Portal by each beneficiary. Actual Indirect costs or simplified method Flat rate of 20% of Direct Costs excluding subcontracting costs Transitional Flat rate of 60% of Direct Costs excluding subcontracting costs Indirect must be in accordance with normal accounting practices of the beneficiary and should be extracted from or reconciled with the official accounts of the beneficiary. Any changes in the method of allocating indirect costs should be done submitted to the Participant Portal via the LEAR of the beneficiary. In the Form C, cost must be reported by activities: 1. RTD / INNOVATION ACTIVITIES (WP2, WP3, WP4 and WP7) reimbursed at 50% or 75% 2. DEMONSTRATION: WP5 and WP6 reimbursed at 50% or 75% 34

37 3. OTHER: dissemination (WP8) reimbursed at 100% 4. Management of the Consortium (WP1) reimbursed at 100% The following procedures shall be followed for the financial report of the FLOATGEN: o o o Signatory of form C The signatory of the original form C should be the legal representative identified in the grant agreement. The validation of the form C is expected via the official stamp of the organization (or in case of lack of stamp via an official cover letter on official paper letter of the organization) FP7 eligible costs Contractors should report the costs incurred by using the FP7 eligible costs which are structured as follows: o o o o o o o Personnel costs Travel costs Equipment costs Consumables/supplies costs Subcontracting costs Other costs (for very specific costs not covered by another category) indirect costs Details about the nature of costs to submit Here are the levels of detail expected in the course of a sound financial management: 1. staff (amounts, name, function, statute (additional or permanent), monthly rate or hourly rate (A) and working time spent on which WP (in month if monthly rate given in A or in hours if hourly rate is given in A), 2. travel (amount by travel and by participants, name of travellers, exact dates (dd/mm/yyyy), origin/destination (from/to), and detailed purpose of the travel), 3. equipment (amount claimed, nature of the equipment, price by equipment (excl VAT), depreciation system (in years or month), % of use in the project) 4. consumables (amount by class of consumables, nature, list (when applicable), precise purpose and use of these consumables), 5. subcontracting (amount by subcontract, agreement EC (either technical annex or specific agreement (if so please provide a copy of the agreement), nature of the tasks, name of subcontractor and link of these with the project), 6. other costs (class covering costs not covered by previous FP7 class amounts by cost, very precise details about the nature of each cost), 7. indirect costs (only for ICM 'real' or 'simplified method' precise explanation of the method of calculation and nature of indirect costs covered) 8. if any, detailed calculation and nature of the costs proposed as adjustment. According to the procedures and information to be provided to the Commission, it is mandatory for the Consortium to deliver in due time the Cost Statement Template per period. Without the delivery of this cost statement, the Coordinator may not accept costs 35

38 declared in the Form C. The Cost Statement Template covers all requested information from the Financial Officer. 5.6 Financial documentation - supporting documents of costs claimed The submission of an Audit Certificate does NOT waive the right of the Commission to carry out its own audit which may be launched at any time and up to 5 years after the end of the project. Therefore, all beneficiaries are highly recommended to keep FLOATGEN supporting documentation up to 5 years after the finalization of the project (31/12/2021). This list summarizes by cost category all supporting documents related to the project that may be requested by an auditor: 36

39 Personnel costs Subcontracting Consumables Travel expenses - Employment contracts (or other independent/legal justification of personnel costs claimed) - Ledgers / accounts, payroll records - Time sheets - Detailed breakdown and justification of the productive hours denominator used for calculation of hourly rates (personnel and overhead) Invoices Proof of payment Original deliverables from the subcontractors Evidence of own internal management and supervision procedures to confirm completion of work required to specifications needed and reasonableness costs claimed in connection therewith Invoices Proof of payment In case of rented equipment: Rental contract, inventory list of the rented equipment; proof of the investment values of the rented equipment Records concerning computer usage, if applicable Transport tickets, including boarding passes, hotel bills - Invoices - Mission approval forms - A report, records, minutes etc. indicating purpose and participants of the meetings Overheads Bank statements (for co-ordinator) Full documentation concerning the calculation of the overhead costs and Back-up documentation such as desaggreated Balance sheet Analysis, reconciliation and summary of final breakdown of overhead (by category of expense) charged to the project relating to the payments of the EC constributions and the distribution among partners General ledger / Management accounts Salient extracts and reconcliations of costs claimed to underlying accounting records/general ledger to facilitate easy verification of costs claimed and their eligibility Auditor certificates Copies of any auditor certification statements issued with a claim for cost reimbursment 37

40 Payment procedures GENERAL PRINCIPLES: 1- Distribution of the Financial Contribution The financial contribution of the European Commission to the Project shall be distributed by the Coordinator according to: - the Consortium Budget as included in the Consortium Plan - the approval of reports by the European Commission, and - the provisions of payment in Article 7.3 of the Consortium Agreement A Party shall be funded only for its tasks carried out in accordance with the Consortium Plan. 2- Justifying Costs In accordance with its own usual accounting and management principles and practices, each Party shall be solely responsible for justifying its costs with respect to the Project towards the European Commission. Neither the Coordinator nor any of the other Parties shall be in any way liable or responsible for such justification of costs towards the European Commission. 3- Funding Principles A Party which spends less than its allocated share of the Consortium Budget will be funded in accordance with its actual duly justified eligible costs only. A Party that spends more than its allocated share of the Consortium Budget will be funded only in respect of duly justified eligible costs up to an amount not exceeding that share. 4- Financial Consequences for a leaving Party A Party leaving the Consortium shall refund all advances paid to it except the amount of expended eligible costs accepted by the European Commission. Furthermore a Defaulting Party shall bear any additional costs reasonably occurring to the 38

41 other Parties in order to perform its and their tasks as a result of such Parties having left the Consortium. PAYMENTS: All resources made available for the Project shall be valued in accordance with the usual accounting and management principles and practices of the respective Parties and shall be budgeted. Payment to Parties of funds received from the European Commission shall be the exclusive responsibility of the Coordinator. In particular, the Coordinator shall: Notify the Party concerned promptly of the date and composition of the amount transferred to its bank account, giving the relevant references; Perform diligently its tasks in the proper administration of any funds and in maintaining financial accounts; Undertake to keep the Community contribution to the Project separated from its normal business accounts, its own assets and property, except if the Coordinator is a Public Body or is not entitled to do so due to statutory legislation. All payments shall be made without undue delay by the Coordinator after receipt of funds from the European Commission in accordance with the accepted decisions of the Steering Committee on the Consortium Budget, which includes the payment schedule. Payments to Parties will be handled according to the following two kinds of modalities: Payments for past performance approved by the European Commission will be compared with the advance payment given to a Party for such past performance; the difference will be balanced directly with the Party concerned; Financing in respect of future work included in the Consortium Plan, which may be forwarded to Parties in separate installments in conformity with the decisions of the Management Team. 39

42 The Coordinator is entitled to withhold any advances either due to a Defaulting Party or to a Beneficiary not being a Party. The Coordinator is entitled to recover any advances already paid to a Defaulting Party. Distribution of Pre-financing: As it is mentioned in the Guide to Financial Issues relating to FP7 Indirect Actions, the European Commission has the following financial restriction: Total interim payments + pre-financing will be limited to 90% of the project maximum EC contribution. This may imply that in some cases payments for interim periods may be reduced or be 0 EUR in order to respect this limit. According to FLOATGEN budget and expected cost of resources, we identified that we may reach this limit after reporting costs of the 2nd period. This means that according to the planning of work, we will not receive any payment in the second period due to the financial restriction of the 90% contribution. For this reason, the distribution of the Pre-financing was decided to be done as follows: 60% of pre-financing received at the beginning of the project. Remaining 40% of pre-financing received at the beginning of the project after the EC certification of the 2 nd Period. The distribution of contribution between beneficiaries will be also restricted to the financial limit of 90% contribution. This means that total interim payments + pre-financing of any beneficiary will be limited to the 90% of its own corresponding contribution, according to the budget approved in Annex I to the Grant Agreement. 5.7 Certificate on the Financial Statements (CFS) In accordance with grant agreement, a certificate on financial statements and underlying 40