tr imarine quality plan - openportal.isti.cnr.it · technical report, december 2011 consiglio...

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Technical Report

Date: 15/12/2011

Institute: Consiglio Nazionale delle Ricerche Istituto di Scienza e Tecnologie dell’Informazione “A. Faedo” Via G. Moruzzi 1, 56124, Pisa, Italy

Keywords: Quality assurance, reporting, policies, guidelines, procedures, indicators

Guidelines for the iMARINE Project Quality Plan

Version: 1.0

Revision: Final

Authors: Catherine Bosio [email protected] Franco Zoppi [email protected]

Technical Report, December 2011 Consiglio Nazionale delle Ricerche - Istituto di Scienza e Tecnologie dell’Informazione “A. Faedo”

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TABLE OF CONTENTS EXECUTIVESUMMARY..........................................................................................................................................3

1 QUALITYASSURANCETASKFORCE.................................................................................................................4

1.1 MANDATE........................................................................................................................................................41.2 RESPONSIBILITIES............................................................................................................................................4

2 PROJECTGOVERNINGBOARDS......................................................................................................................5

2.1 PROJECTGOVERNANCE...................................................................................................................................52.2 PROJECTMANAGEMENT.................................................................................................................................6

2.2.1 PROJECTMANAGEMENTBOARD.............................................................................................................72.2.2 STEERINGBOARD.....................................................................................................................................72.2.3 PROJECTEXECUTIVEBOARD....................................................................................................................72.2.4 TECHNICALCOMMITTEE..........................................................................................................................72.2.5 IMARINEBOARD.......................................................................................................................................8

3 COLLABORATIONTOOLS................................................................................................................................93.1 IMARINEWEBCHANNEL..................................................................................................................................93.2 PROJECT..........................................................................................................................................................93.3 TECHNOLOGY..................................................................................................................................................93.4 INFRASTRUCTURE............................................................................................................................................9

4 REVIEWSANDMEETINGS.............................................................................................................................104.1 REVIEWPROCEDURE.....................................................................................................................................104.2 REVIEWRECOMMENDATIONS......................................................................................................................104.3 MEETINGPROCEDURES.................................................................................................................................10

5 RISKMANAGEMENT....................................................................................................................................125.1 RISKANALYSIS...............................................................................................................................................125.2 RISKCONTROL...............................................................................................................................................12

6 CONFLICTRESOLUTION................................................................................................................................136.1 DOCUMENTCONFLICTRESOLUTION.............................................................................................................136.2 PARTNERCONFLICTRESOLUTION.................................................................................................................13

7 ACTIVITYREPORTING...................................................................................................................................147.1 PERIODICREPORTS........................................................................................................................................147.2 EFFORTREPORTING.......................................................................................................................................147.3 MONTHLYACTIVITYREPORTS.......................................................................................................................14


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EXECUTIVE SUMMARY

The objective of this report to define the guidelines for theQuality Plan established for the iMarineproject. This report focuses on several activities of the project, trying to ensure the achievement ofconcreteandefficientresults.Thedifferentactivitiesoftheprojectaregovernedbyanumberofproceduresandguidelinesdescribedin different project documents: Annex I to the Grant Agreement (Description of Work), ConsortiumAgreement, individualworkpackageworkplans,etc.Thisdeliverablegathers ina singledocumentallthisdisperseinformationwhichtogetherwillfostertheachievementoftheprojectobjectives.The iMarine management structure is based on two managerial boards; one focusing on projectstrategy and the other focusing on project execution.Working in tandem, the boards will guide theprojecttowardtheaccomplishmentofcommonobjectives.TheSteeringBoardwillformulateandleadthe implementationof theoverarching iMarinestrategy, including thecreationof synergiesand long-term sustainability within the iMarine launched Initiative. The Project Executive Boardwill lead thediverse networking and technologically-oriented activities encompassing the development andimplementationofaniMarinedatainfrastructure.A number of procedures are defined for the preparation of project meetings. These meetings areorganizedseveralweeksinadvancefollowingtherulesdefinedforeachmeetingtype.OtherproceduresexisttopreparetheprojectreviewswithECrepresentativeswhereintheproject’smajorachievementsare presented. These reviews are evaluated, and a number of recommendations are provided to theprojectinareviewreport.Suchrecommendationswillbeaddressedbytheprojectmanagement.Thequalityplandefinesa riskmanagementstrategyconsistingof twomainphases: riskanalysisandriskcontrol.Anumberofpossiblerisksareidentifiedandclearstrategiestocontrolthemaredefined.The resolution of project conflicts is also controlled. The conflict resolutionprocedure defineswhichboardsarecalledtointervenewhenmajorproblemsarise.Concerningsoftwarelicense,thedefaultlicenseselectedbytheprojectistheEUPL.Otherlicensescanalso be adopted for particular components but must follow a licensing procedure in order to beacceptedbytheproject.AswithanyEUfundedproject,officialreportingtotheECisanimportanttask.Thisreportingisbasedon(1)managementreportsproducedevery5monthscoveringallprojectworkpackagesdescribingthemainachievementsandproblemsoftheprojectforthatperiod,and(2)periodicreportspreparedevery10monthssummarizingtheworkoftheperiodandrelatedfinancialexpendituresoftheproject.The preparation of project deliverables andmilestones follows a strict procedure to ensure that allofficialdocuments(orothers)areofhighqualityandaremadeavailableontime.Deliverablesmustbeready15daysbefore their duedate.After aperiodof official review, all deliverables are sent to theSteeringBoardforapproval.AttheendofthisprocesstheyaredispatchedtotheEC.Theseproceduresalsodefinerulesconcerningnaming,monitoring,andtemplates.Theprojectdisseminationisgovernedbyanumberofguidelinestobeappliedwhenamemberoftheconsortium:writesanarticle,presentstheprojectinconferences,needstousertheprojectlogo,etc. Also important, are the technical procedures that guide the daily technical activities of the project.These procedures cover different aspects, from the development of code to its deployment inproduction.Tosupportalltheseproceduresandguidelines,theprojectdecidedtoadoptanumberofcollaborationtools:BSCWasdocumentrepository,TRACasissuetrackingsystem,Mediawikiforcollaborativeediting,mailinglists,etc.


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1 QUALITY ASSURANCE TASK FORCE

Quality Assurance is a dedicated task under the Work Package 1 “Administrative and FinancialManagement”.ToimplementalltheactivitiesrelatedtoQualityAssurance,aspecialtaskforcehasbeenformed.ThistaskforceiscalledtheQualityAssuranceTaskForce(QATF).Monthlye-mailsonprojectsspecific processes (e.g. deliverable production, milestone, achievement, publication approval) will bedistributedtotheiMarineconsortiumintheformof“QualityAssuranceReports”.ThesereportswillbeproducedbytheWP1leader,whoservesaschairoftheQualityAssuranceTaskForce.

1.1 MANDATE ThemandateoftheQATFistoensurethattheprojectprocesses,servicesanddeliverablesareofhighqualitybycontinuouslymonitoringandassessingtheprogressandresultsoftheproject.

1.2 RESPONSIBILITIES ThemainresponsibilityoftheQATFistomanagetheprojectQualityPlan.Thisincludesthedefinition,elaboration,update,andmonitoringofsuchplan.Theprojectoperationisbasedonanumberofmanagementandadministrativeproceduresdefinedinvarious official documents, i.e. the project’s Technical Annex (Annex I or Description ofWork), otheriMarine Grant Agreement Annexes, and the project Consortium Agreement. These procedures arecomplimentedbyothermorefine-grainedproceduresdefinedtoregulateotheractivitiesoftheproject.TheQATFisresponsiblefordescribingsuchproceduresintheQualityPlanandenforcingitsexecutiontoguaranteeasuccessfulachievementoftheprojectobjectives.Moreover,technicalproceduresarealsolinkedtotheQualityPlan.Projectreporting,deviationsfromtheworkplan,resourcesspent,deliverablequality,reviewreparationandpost-reviewfollow-up,activity-specificprocess,anddocumentmanagementareallexamplesoftheactivitiesbelongingtotherealmoftheQATF.Finally,theQATFisinchargeofthepreparationofastatementonthetreatmentofgenderequality.


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2 PROJECT GOVERNING BOARDS

The iMarine project structure distinguishes between the Governance and the Management of theproject.Governanceisadministeringtotheprojectandexercisingauthorityoverthemanagementdecisionsthataremadetherein.

• TheGoverningBoardwillmakedecisionsthathaveadirectlegalorfinancialimpactonprojectbeneficiaries.BelowtheauthorityoftheGoverningBoardarethemanagerialboards,eachwithadifferentsetofresponsibilitiesaimingattheaccomplishmentofcommonobjectives.

• TheSteeringBoardwillengageiniMarine’sstrategydevelopment.Itisheldaccountablefortheoverallsuccessoftheproject.

• TheProjectExecutiveBoardexecutesonbehalfoftheSteeringBoard,andmakessurethattheworkpackagesproducetherequireddeliverablestotheidentifiedstandardofquality,ontimeandwithinbudget.

• AnAdvisoryCouncilcomposedofhighlevelleadersandchampionsofEcosystemApproachinitiativeswillorienttheworkoftheiMarineBoardbutcanalsoservetoconsulteitheroneforthemanagerialboardsasappropriate.Thefunctionsandmembersoftheboardswillbedetailedinthesectionstofollow.PleasefindbelowadiagramdepictingtheprojectstructuredesignedforthedevelopmentoftheiMarineDatae-Infrastructure.

2.1 PROJECT GOVERNANCE TheProjectGovernanceoperatesthroughtheGoverningBoard.TheGoverning Board is responsible for decision-making onmatters having a direct legal or financial


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impact on project beneficiaries. There will be one appointed representative per beneficiary on theGoverning Board, and this person must have the authority to make any decision required of them.MembersoftheboardwillbeencouragedtoremaincommittedtotheirresponsibilitiesbyfollowingtheevolutionofiMarineforthedurationoftheproject.TheGoverningBoardwillensurethattheEUGrantAgreementisproperlyexecutedandthatthetermsoftheagreedconsortiumagreementareproperlyimplemented.ThefollowingissuesmustbeaddressedbytheGoverningBoard:

• Evolutionoftheconsortium(i.e.,entryofanewbeneficiary,terminationofabeneficiary’sparticipation)andtheassociatedconsortiumagreement;

• Re-allocationoftheEuropeanUnionfinancialcontributionbetweenbeneficiaries;• AssessmentoftheperformanceoftheSteeringBoard(thestrategicmanagementbody)and

approvingreplacementstotheSteeringBoardifnecessary;• Judgingthenecessityofprematurelyterminatingtheparticipationofabeneficiary,the

consortiumagreement,ortheprojectitself;• EvaluatinganyotherproposalsmadebytheSteeringBoard.

These typesofgovernancedecisionswill require two-thirdsof thevotes,withone representativeperpartner votingonbehalfofhisorherorganisation. TheGoverningBoardwillmeet inpersonat leastonceperyear,withtelephoneconferencesconvenedasrelevantissuesarise.ElectronicvotingoutsidetheannualmeetingsoftheGoverningBoardwillbeauthorised.TheGoverningBoardischairedbytheAdministrativeandFinancialDirector.

2.2 PROJECT MANAGEMENT Overall project management is shared between the Administrative and Financial Director (i.e.,Coordinator) and theProject Director. The former directs financialmanagement and administration,while chairing the project’s governing board to hold the consortium accountable, financially andethically, to theEuropeanUnion for theuseof funds toachieve theprojectobjectivesandprovideareturnoninvestment.Thelattercoordinatestheoverallprojectmanagementactivitiesoftheproject,leadinginter-andintra-project interactions and chairing theproject’s strategicmanagementboard (i.e., SteeringBoard). Thecomplementarities of the roles allow each person to focus on achievement of the projectwork planfromdifferentperspectives.Overallprojectmanagementandcoordinationisthereforedividedbetweentwoworkpackages:

• WP1AdministrativeandFinancialManagement,dedicatedtooverallprojectadministrationandqualityassurance,includingEUreportingandconsortiummanagement;and

• WP2 Project Management, dedicated to coordinating the overall scientific and technicalmanagementof theprojectacrossall activitiesbydeveloping strategy,promotinganefficientcollaborationenvironment,monitoringexecutionoftasksandperformingrisksanalyses.

This clear separation between project administration (WP1) and management (WP2) provides astructureinwhichthecoordinatorscanprovide:(i)efficientadministrativeandfinancialmanagement;and (ii) thorough multi-disciplinary scientific and technical coordination. Furthermore, projectcoordinationactivitieswillbesupportedbyaProjectOffice.Amain responsibility of the ProjectOfficewill be tomanage the reimbursement requests of iMarineBoardmemberswho are not included as a beneficiary to the EUGrant Agreement. Additionally, theProject Office provides support and/or management of sub-contracting agreements with partnersidentified in thepresentworkplan.Projectassistantswillbeworking toensure the timelydeliveryoffinancial statements and assistwith the organisation of events such as projectmeetings,workshops,reviewmeetings,etc.TheAdministrativeandFinancialDirector(AFD)istherecognizedprojectCoordinatorandservesastheofficial contact point for the European Commission. The AFD directs the administrative and financialmanagementacrossworkpackagesandreportingacrosspartners.Legal issuessuchasthehandlingofIntellectualPropertyRightsandthemaintenanceoftheconsortiumagreementfallintotherealmofthe


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AFDandherteam.TheAFDwillmanagefromtheProjectOfficeandleadsWP1.TheProjectDirector(PD)isthedesignatedprojectmanager,andwillleadthescientificcoordinationofthe project. The PD supervises the project across all activities and is responsible for creating theconditionsnecessary for successfulandeffectivecollaborationof the largeanddiverse iMarine team.The PD’s high-level view permits her to also serve as the ambassador of the project, establishingmeaningful cooperation with other projects and initiatives and representing the iMarine to variousscientificusercommunities.ThePDleadsWP2andisrepresented.

2.2.1 PROJECT MANAGEMENT BOARD

Withintheprojectstructurearetwomanagerialboards;onefocusesonprojectstrategyandtheotherfocuses on project execution. Working in tandem, the boards will guide the project toward theaccomplishmentofcommonobjectives.TheSteeringBoardwillformulateandleadtheimplementationof the overarching iMarine strategy, including the creation of synergies and long-term sustainabilitywithintheiMarinelaunchedInitiative.TheProjectExecutiveBoardwillleadthediversenetworkingandtechnologically-oriented activities encompassing the development and implementation of an iMarinedatae-Infrastructure.Theresponsibilitiesofthetwoboardsaredescribedinthefollowingsections.

2.2.2 STEERING BOARD

TheiMarineSteeringBoardwillbeheldaccountableforthesuccessoftheproject.Itisresponsibleformaking sure that the expectations set out by the project objectives are met. The members of theSteering Board are empowered to make strategic decisions in the interests of the project andencompass the project’smain stakeholders. Themembers are senior enough tomake decisions andexpertenoughintheirfieldtoaddessentialknowledge,skillandexperience.The Steering Board will bring together the perspectives of the funders (Administrative and FinancialDirector), thedevelopersofthe iMarinedatae-Infrastructure(ProjectDirector,TechnicalDirectorandDeputy)andtheuserscomingfromtheCommunityofPractice(iMarineBoardCoordinatorandDeputy).The Steering Board will be required to make many important decisions throughout the life of theproject,anditisvitalthatdecisionsaresufficientlywellbalancedacrosstheseperspectives.Thesediverse interestswillbe ledbytheProjectDirectorwhowillorganiseandchairmeetingsoftheSteering Board. The Steering Board will be able to proceed to vote when necessary, with therequirementofatwo-thirdsmajority.TheSteeringBoardwillholdmonthlytelephoneconferencesandmeetinpersonatleastthreetimesperyear.

2.2.3 PROJECT EXECUTIVE BOARD

TheProject Executive Board (PEB) supervises the daily projectmanagement processes, including theinitiation,planning,execution,control,andclosureofprojectphases.ThePEBreports to theSteeringBoard.ThePEBconsistsofallWorkPackageLeadersandwillbeopentoinformationsystemspecialists(UserCommunityMediators)fromtheiMarineBoard. ThePEBischairedbytheTechnicalDirector.TheTechnicalDirectorwillleadthetechnicalcoordinationoftheproject.TheengagementoftheTechnicalDirectorinmultipleheterogeneousactivitiesmakeshimthe best person to provide detailed resource allocation and scheduling, while monitoring the timescheduleandthetimingofrelatedactivities.Therefore,theTechnicalDirectorbecomesacloseadvisorto the Project Director who employs a high-level approach to the supervision of the project acrossactivities.ADeputyTechnicalDirectorwill beelectedby theWorkPackage Leaders at the firstmeetingof thePEB.VotingofthePEBwillrequireatwo-thirdsmajority.ThePEBwillmeetinpersonatleastfourtimesperyear,withtelephoneconferencesoncepermonthasaminimum.ElectronicvotingofthePEBwillbeauthorised.

2.2.4 TECHNICAL COMMITTEE

ThemanagementandoperationofaDatae-InfrastructureofferingservicestosupporttheEA-CoPisaprimary objective of iMarine, along with the extension, adaptation and deployment of a rich set of


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software components that implement theabove services. TheTechnicalCommitteeexists toaddressthecomplextechnicalworkrequiredtodeployandoperatetheiMarinedatae-InfrastructureandvirtualResearch Environments, and the development, deployment and integration of the enabling-technologies.For theachievementof theseobjectives, intensecoordinationwillbe requiredbetweenthe developers of the iMarine data e-Infrastructure and the information system specialists (UserCommunity Mediators). The Technical Committee is designed to ensure that there is sufficientinteractionbetweentheresourceprovidersofthedatae-Infrastructureandthethematicpractitioners.Thus,theUserCommunityMediatorswillplayacriticalroleintheTechnicalCommitteeandtheywillbeinvitedtoparticipatefullyinthesemeetings.TheTechnicalCommitteeprovidesfeedbacktothePEBforimplementationandalignmentactions.TheTechnicalDirectorwillchairmeetingsoftheTechnicalCommittee,whichwillalwaysmeetinparallelwiththePEB(i.e.,quarterly).

2.2.5 IMARINE BOARD

NotethattheiMarineBoardisnotagoverningboardnoramanagerialboard,butismentionedhereforclarity.TheiMarineBoardhasasit’smissiontodefinethedatae-Infrastructuregovernancemodel,witha sustainability focus, and to formulate a set of organizational and technological policyrecommendations regulating the resources shared and services provided by the infrastructure. TheiMarineBoardisoverseenbyaniMarineBoardCoordinatorandDeputy,bothofwhomarerepresentedontheSteeringBoard.


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3 COLLABORATION TOOLS

In order to support the cooperation among themembers of awidely distributed consortium such asiMarine,acomprehensiveandcomplementarysetof tools isofferedtoprojectmembers.Thesetoolsrange from mailing lists to shared workspaces, wikis, software repositories and issue trackers.Moreover,multipleinstancesofthesametechnologywillcoexisttoproperlysatisfytheneedsarisingindifferentcontexts,e.g.multiple instancesofwikiwillbecreated tohostdiverse informationand thusservedifferentclientele.Thus,thesametechnologywillbedeployedinmultipleinstancesconceptuallyleadingtomultipletoolstailoredtoservespecificiMarineapplicationscenarios.A complete iMarine InternalWorkingArea (available through the projectwebsite)will provide directaccess to all of the collaborative tools implemented, and the technical Wiki and the sharedworkspace(BSCW)inparticular.

3.1 IMARINE WEB CHANNEL Theprojectwebsiteiscalledthe“iMarineWebChannel”:www.i-marine.eu.Theweb-basedplatformisanintegrated,interactiveandcommunity-centricsystemservingasasingleaccess-pointforinformationabouttheproject. Given the “one-stop” characteristic of the web channel, it is imperative that all project participantsregisterforitsuse.Whenfirstjoiningtheproject,youmustrequestausernameandpasswordfromtheQATF.Thesecredentialswill thenbeused foraccessingevery tool supportingprojectactivities.However, inorderforaccessthetechnicalWikidirectly(withoutpassingthroughthewebchannel).

3.2 PROJECT TheProjectgroupoftoolsconsistsofvariousservicesstrictlyrelatedtotheoperationoftheprojectasawhole.Inparticular,thefollowingserviceswillbedeployed:

• CollaborativeWorkingSpaceService• MailingListService• ResearchInfrastructuresAdministrationToolkit• QualityAssuranceDocumentationService• Community of Practice

3.3 TECHNOLOGY TheTechnologygroupoftoolsconsistsofvariousservicesstrictlyrelatedtothemachineryguaranteeingthe operation of the iMarine Ecosystem, namely gCube and gCore technologies. In particular, thefollowingserviceswillbedeployed:

• gCubeSystemWebSite• IssueTrackerSystem• CodeRepositoryService• TechnologyDocumentationService

3.4 INFRASTRUCTURE The Infrastructure group of tools consists of various services strictly related to the operation of theiMarineproject.Inparticular,thefollowingserviceswillbedeployed:

• AWikidocumentingtheInfrastructureincludingtheprocedures,policiesanddeploymentplan.• AWikidocumenting theVirtualResearchEnvironmentsoperatedby theproject including the

procedures,policiesanddeploymentplan.


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4 REVIEWS AND MEETINGS

4.1 REVIEW PROCEDURE Theaimofatechnicalauditorreviewistoassesstheworkcarriedoutundertheprojectoveraprojectperiod(i.e.10months)andproviderecommendationstotheEuropeanCommission.Suchreviewcoversmanagerial, scientific, technological, policy development and other aspects relating to the properexecutionoftheproject.Themandate of the project is to ensure that project’s external evaluators can review the degree offulfilment of the project work plan for the period; the continued relevance of the objectives andbreakthrough potential with respect to the scientific and industrial state of the art; the resourcesplannedandutilisedinrelationtotheachievedprogress,inamannerconsistentwiththeprinciplesofeconomy, efficiency and effectiveness; themanagement procedures andmethods of the project; thebeneficiaries’ contributions and integration within the project; the expected potential impact inscientificandtechnologicalterms,andtheplansfortheuseanddisseminationofresults. Attheendoftheprojectafinalreviewisplannedwhereallenvisagedoutcomesmustbedemonstratedtotheproject’sexternalevaluators.Reviewmeetings are thus a fundamental conduit to communicate to the European Commission theprogresses,theachievements,theadded-value,andtheplanoftheprojectconsortium.

4.2 REVIEW RECOMMENDATIONS At the end of the reviewmeeting, the external evaluators prepare a report with their findings. Thisreportcontainsanassessmentofthefactsaswellassuggestionsforfurtheractionsorchanges.Theserecommendationsandrequestedactionshavetobeproperlyaddressedbytheconsortium.

4.3 MEETING PROCEDURES Theproceduresdescribed inthissectionapplytoallmeetingsoftheGoverningBoard,SteeringBoardandProjectExecutiveBoard.Meetingsofprojectboardscanbeheldbysummitinalocationidentifiedbythechairpersonofthatprojectboard,canbeateleconference,orcanbeorganizedbyexploitinganyotheravailabletelecommunicationmeans.Anymemberofaprojectgovernanceormanagementboardshouldbepresentor representedatanymeeting of such project board. If his/her participation cannot be assured, he/she may appoint asubstitute or a proxy to attend and vote at any meeting. Moreover, the participation has to becooperativeandaimedtomeettheneedsoftheproject.The meetings of the project boards can be ordinary or extraordinary and are convened by thechairpersonoftheboardwhoshallgivenotice inwritingofameetingandprepareandsendthefinalagendatoeachmemberofthatprojectboardassoonaspossibleandwithinaminimumnumberofdaysprecedingtheMeeting.Any agenda item requiring a decision by themembers of a boardmust be identified as such on theagenda.Anymemberofaboardmayaddanitemtothefinalagendabywrittennotificationtoalloftheothermembersofthatprojectboardwithinaminimumnumberofdaysprecedingthemeeting. Each project board shall not deliberate and decide validly unless a quorum of two-thirds (2/3) of itsmembers is present or represented. Eachmember of a project board present or represented in themeetingshallhaveonevote. Theminutesmustbemadeavailablewithin10calendardaysafterthemeetingthroughanonlinepageundertheQualityAssurancewikisitebyensuringtherightconfidentiality.Thewikipagewillbeeditableuntiltheminutesareaccepted.Theminutesshallbeconsideredasacceptedif,within15calendardaysfromsending,nomemberhasobjectedinwritingtothechairpersonwithrespecttotheaccuracyofthedraftoftheminutes.Ifapartyobjects in writing to the accuracy of the minutes, and all other parties agree that the minutes arecorrect,thentheobjectingpartywillbeoverruled.


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TheacceptedminutesshallbesenttoallofthemembersoftheprojectboardandtheAFD,whoshallsafeguardthem.Whenrequested,theAFDshallprovideauthenticatedduplicatestoparties.Amemberwhocanshowthatitsownwork,timeforperformance,costs,liabilities,intellectualpropertyrightsorotherlegitimateinterestswouldbesignificantlyaffectedbyadecisionofaprojectboardmayexerciseavetowithrespecttothecorrespondingdecisionorrelevantpartofthedecision.Whenthedecision is foreseenontheoriginalagenda,amembermayvetosuchadecisionduringthemeetingonly.Whenadecisionhasbeentakenonanewitemaddedtotheagendabeforeorduringthemeeting,amembermayvetosuchadecisionduringthemeetingandwithin15daysaftertheminutesofthemeetingaresent.Incaseofexerciseofveto,themembersoftherelatedprojectboardshallmakeeveryefforttoresolvethematterwhichoccasionedthevetotothegeneralsatisfactionofallitsmembers.Apartymaynotvetodecisions relating to its identificationasadefaultingparty.Thedefaultingpartymay not veto decisions relating to its participation and termination in the Consortium or theconsequencesofthem.Apartyrequestingtoleavetheconsortiummaynotvetodecisionsrelatingthereto.


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5 RISK MANAGEMENT

Thegoaloftheriskmanagementactivityistoprovidetheconsortiumwithguidelinesandinstrumentsformanagingtheprojectactualandpotentialrisksthatcanoccurduringtheprojectlifetime.Inthisreport,theprinciplesofriskmanagementareroughlyestablishedinAppendixA,aimingtodefinetheproceduresthatwillrendertheactivityanessentialtoolforsafeguardingtheprojectobjectives.InaccordancetotheiMarineworkplan,thedetailsofriskmanagementmethodologyarecapturedinadeliverablededicatedtothisactivity.Assuch,itisnottheobjectiveoftheQualityPlantodefinepreciseriskanalysismetricsortoperformriskenumeration.However, theproceduresdescribedherewill exploit RiskManagement termsandprocedures,whosecontextualmeaningisgivenintheaforementionedappendix.

5.1 RISK ANALYSIS RiskAnalysisprocedureiscarriedoutaspartofadedicateddeliverableproduction,orchestratedbytheQATF.However,asseveral individualsareinvolvedinthepreparationofthisdeliverable,whoarealsopermanentparticipantsoftheRiskManagementprocedures,thetasksandstepsofRiskAnalysishavetobefurtherdefinedapriori.

5.2 RISK CONTROL RiskControlinvolvesthreeindividualsteps,startingfromRiskAnalysisoutput:

• RiskControlPlan:foreseestheinvolvementoftheTechnicalDirector,WorkPackageandTaskLeaders.Thesemembersoftheprojectworkteamcloselyfollowalltheactivitiesoftheirareaandtheyarethebestcandidatestoidentifythestatusofariskandreduceitsprobabilityofoccurrenceorrecoverbyadamage,byimplementingtherequiredcountermeasures.

• RiskMonitoring:whichisperformedcontinuouslyandformallytrackedintheQuarterlyReports.• Risk Resolution: where proposals are led through the Steering Board and the rest of the

project’smechanisms,afterbeingpointedoutbytheQATFthroughtheBi-monthlyReports.


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6 CONFLICT RESOLUTION

Conflict resolution in iMarine refers to situations that can potentially occur among elements of theproject.Casesofconflictresolutioncanbefoundbelow:

• Partner(s)topartner(s)conflictwithinthescopeofasingleactivity;• Partner(s)withprojectmanagementboards;• Non-votingboardconflict;• Votingboardconflict;• Documentconflict.

Theabovecategoriesarenotexhaustive.

6.1 DOCUMENT CONFLICT RESOLUTION Acompletelydifferenttypeofconflictistheonethatcanoccuramongdocumentsoftheproject.Inthiscasethefollowingorderismaintained:

• GrantAgreement;• ConsortiumAgreement;• Otherdocument(deliverable,minutes,internaldocumentexchange).

Unlessanerrorisidentified,deliverablesapprovedbytheprojectbodiesprevailoverallotherinternaldocuments.Otherwisemeetingminutesformallycirculatedtakeprecedence.

6.2 PARTNER CONFLICT RESOLUTION The term “conflicting partners” is used but should be read in the sense of a single partner enteringconflictwithagoverningormanagementboarddecision.AsiMarineisacollaborativeproject,itsmainconcernisthemaintenanceofbestrelationshipsamongitsproject’smembersasorganizations,teams,andindividuals.Thusthegeneralpolicyofconflictresolutionistosuggestconversationandsmoothdiminishmentofanydisagreementorconcernwithoutreachingthe top-level project’s instruments for final action. As such, voting, also escalated among differentboards, is leftasideas the last resortof resolution.Although it isamajorconcernof theproject thateven voted decisions are taken unanimously, it is enough that two-thirds approval is required for adecisiontobetaken.Yet,eveninthecaseofnon-unanimousvotingitisconsideredthatdecisionshaveto be generally welcomed, thus post-voting deliberations are suggested, if they can drive a fullagreementunderthelightofthemajority-favouredvoteddecision.Within this conflict resolution chain, the Governing Board is the ultimate decision-making body formakingadecisionwithintheproject’slimits.Thisboardcomprisesonerepresentativeperpartner.TheSteeringBoardisthesecondboardusuallyinvolvedwithinthisescalationprocedure.


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7 ACTIVITY REPORTING

Activity reporting assists project management, and the European Commission, to monitor projectprogresses, achievements and difficulties encountered. During the course of the project, activityreporting will be conducted in three forms: (i) Periodic Reports prepared every 10 months byWorkPackage LeadersandGoverningBoardmembers; (ii)EffortReportingpreparedperpartnerevery twomonths; and (iii)Monthly Activity Reportingprepared per partner and summarized bywork packageleaderseverymonth.It ispossible thatpartnerswillbe requested toparticipate inother typesof reporting throughout theproject and after its completion. Examples of additional types of obligations include responding to:questionnairesforsocio-economicreporting,implementationofgenderactions,andimpactonscienceandsociety;evaluationandmonitoringexercises;contributiontostandardizationactivities;etc.

7.1 PERIODIC REPORTS Threeperiodicreportswillbeproducedduringthecourseoftheproject.Themanagementmustsubmitthe periodic reports within 60 days of the end of each reporting period, thus partners must strictlyadhere to the deadlines that will be established for contributing to the production of the periodicreports.ThisactivitywillbeimplementedbyrelyingontheBasicSharedCollaborativeWorkspaceservice.ThisdeliverablewillbeproducedbyfollowingthetemplateproducedbytheEC.Deadlinesforcontributionswillbeestablishedatleast30dayspriortotheendofthereportingperiod.Theproductionofthisreportimpliesactionsfromworkpackageleadersandbeneficiaries.Prior to the submission of any periodic report, the Steering Board must validate the work packagecontributions. The Steering Board members reserve the right to edit the contributions of the workpackageleaders,requestingmoreinformationasnecessary.Every Beneficiary will be required to provide a thorough “Explanation of the use of the resources”,includinganexplanationofpersonnelcosts,subcontractingandanymajorcostsincurredbythepartner,suchasthepurchaseofimportantequipment,travelcosts,largeconsumableitems,etc.,linkingthemtoworkpackages.BeneficiarieswillalsoprovideFinancialStatements,orFormCs.

7.2 EFFORT REPORTING Allbeneficiarieswillberequestedtoprovideabi-monthlyreportoneffortspent,pertask,inalignmentwiththeproductionofthemonthlyreports.Onepersonperbeneficiaryshouldbedesignatedtoreporteffortforthetwo-monthperiod.

7.3 MONTHLY ACTIVITY REPORTS Allbeneficiariesandworkpackageleadersarerequiredtoparticipateinmonthlyactivityreportingasacontribution to the discussions of the Project Executive Board concerning the achievement of theprojectworkplan.Themonthlyactivityreportisorganizedintwoparts:

• Progress and Achievements by WP and beneficiary reports a detailed description of theactivities, issuesandcorrectiveactions,andmajorachievementsproducedbyeachbeneficiaryatthelevelofProjecttask.

• Progress and Achievements at the Work Package level reports a concise overview of theactivities,issuesandcorrectiveactions,andmajorachievementsproducedbyeachWPleader.

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