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WP 1: Project Coordination, Standardisation and Methodology
D1.1
Project Initiation Document
Status: Final
Draft: 2
15/08/2018
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503.
Ref. Ares(2019)3756958 - 12/06/2019
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
2
1 About RRING The overall project aim is to bring RRI into the linked up global world to promote mutual learning and collaboration in RRI. This will be achieved by the formation of the global RRING community network and by the development and mobilisation of a global Open Access RRI knowledge base. RRING will align RRI to the Sustainable Development Goals (SDGs) as a global common denominator. The RRING project acknowledges that each region of the world is advancing its own agenda on RRI. Therefore, RRING will not be producing a Global RRI framework or strategy that is meant to be enforced in a top-down manner. Rather, increased coherence and convergence will be achieved via a bottom-up approach, learning from best practices in RRI globally and from linkages, via the new RRING community, to develop the RRI linked-up world. Six Objectives of RRING Objective 1: Promote a linked up global world of RRI by creating the global RRING community network, thereby enabling mutual learning, collaboration, mobilisation of RRI concepts. Objective 2: Mobilise, promote and disseminate a global open access knowledge base of RRI based on the State of the Art (SoA) and comparative analysis across the key geographies, all stakeholders and sectors. It will cover key platforms, spaces and players, role and influence of stakeholders, drivers and policies for R&I, regulation in public,private sectors and nation states and international organizations. Objective 3: Align RRI to the UN Sustainable Development Goals (SDGs) to provide a global common denominator for advancement of RRI, and address Grand Challenges globally. Objective 4: Determine the competitive advantages of RRI and also understand how and where RRI is perceived as a barrier and/ or disadvantage. Objective 5: Create high level RRI strategy recommendations for the seven geographic zones, trial RRI best practice learning in 2 EU case studies. Objective 6: Promote inclusive engagement of civil society and researchers.
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
3
2 Document Information
Title Project Initiation Document Distribution Public Document Reference
RRING-D1.1_Project Initation Document_20180807
Deliverable Leader
Gordon Dalton UCC Contributing Authors
UCC Jasmin Schomakers UCC [Type name] [Choose organisation] [Type name] [Choose organisation] [Type name] [Choose organisation]
2.1 Revision History
Rev. Date Description Prepared by (Name & Org.)
Approved By (Work-Package Leader)
Status (Draft/Fin
al)
02 03/08/2018
Update Jasmin Schomakers
Gordon Dalton, Edurne
Inigo
Final
2.2 Acknowledgement
The work described in this publication has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503.
2.3 Legal Disclaimer
The views expressed, and responsibility for the content of this publication, lie solely with the authors. The European Commission is not liable for any use that may be made of the information contained herein. This work may rely on data from sources external to the RRING project Consortium. Members of the Consortium do not accept liability for loss or damage suffered by any third party as a result of errors or inaccuracies in such data. The information in this document is provided “as is” and no guarantee or warranty is given that the information is fit for any particular purpose. The user thereof uses the information at its sole risk and neither the European Commission nor any member of the RRING Consortium is liable for any use that may be made of the information.
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
4
3 Executive Summary
The project initiation document (PID) is one of the most important artifacts in project management because it provides a foundation for the project. It specifies why the project is important, what will be delivered, when it will be delivered and how.
3.1 Definitions for RRING
Responsible research and Innovation (RRI): To evolve from the project. This EC definition is to provide initial guidance only: “a process where all societal actors (researchers, citizens, policy makers, business, third sector organisations etc.) work together during the whole R&I process in order to better align R&I outcomes to the values, needs and expectations of society”
• 5 UNESCO regions: Europe/North America; South America; Africa sub Sahara; Asia/ Russia, China, Japan, India; Arab countries
• 8 Stakeholders groups: Research Performing Organisation (RPO), Research Funding Organisation (RFO), Industry, International Organisations and NGO, Policy, Grassroots associations, Researchers, Citizens/ Civil Society
• 4 Key Domains: ICT, Energy, Bio-Economy, Waste Management
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
5
4 Contents
WP 1: Project Coordination, Standardisation and Methodology ......................................................... 1
Project Initiation Document ............................................................................................................... 1
1 About RRING .............................................................................................................................. 2
2 Document Information............................................................................................................... 3
2.1 Revision History ................................................................................................................ 3
2.2 Acknowledgement ............................................................................................................ 3
2.3 Legal Disclaimer ................................................................................................................ 3
3 Executive Summary .................................................................................................................... 4
3.1 Definitions for RRING ........................................................................................................ 4
4 Contents .................................................................................................................................... 5
5 RRING Context ........................................................................................................................... 6
6 RRING Methodology approach ................................................................................................... 6
7 GANNT Chart ............................................................................................................................. 7
8 Team description and roles ........................................................................................................ 8
Steering committee (SC) – each of the WP leaders and specific partners as required. ... 8
Advisory Board (AB) ...................................................................................................... 8
Project coordinator- PC Gordon Dalton ......................................................................... 9
Scientific Coordinator – SC Juliana Chavez Chapparo (UNESCO).................................... 9
Project manager- PM Jasmin Schomakers ..................................................................... 9
Financial manager FM ................................................................................................. 10
WP leaders. ................................................................................................................ 10
Task leaders ................................................................................................................ 10
9 Risk Management .................................................................................................................... 11
10 Workplan for WPs 3,5,7 finalisation .................................................................................... 11
11 Processes ............................................................................................................................ 11
11.1 Quality approval process of deliverables ......................................................................... 11
11.2 Meetings: description and frequency .............................................................................. 12
11.3 Website, Project management software and social media .............................................. 12
12 References .......................................................................................................................... 12
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
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5 RRING Context
Fig. 1: RRiNG Context
6 RRING Methodology approach
Fig. 2: Methodology approach
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
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7 GANNT Chart
Table 1: Tasks Gannt Chart
TaskMileStone Number M WP and Task leader
WP Description 3 6 9 12 15 18 21 24 27 30 33 361 Project Coordination, Standardisation and Methodology UCC
T1.1 Development and implementation of management structure UCCT1.2 Monitoring of project delivery, communication and intranet UCCT1.3 Financial administration UCCT1.4 Risk management Plan and Administration UCCT1.5 Sub-contractors: procumenent proceedures and Administration UCCT1.6 Communication and reporting to the EU UCCT1.7 Data Management Plan and Reports and Administration UCCT1.8 Gender Protocols and Training UCCT1.9 Set up External Advisory Board (EAB) and Dissemmination Board UCC
T1.10 RRING self evaluation of RRI practice in the project UCCT1.11 RRING datbase creation and management UCC
2 Dissemination, Communication, Mobilisation, Engagement UCCT2.1 Dissemination plan creation UCCT2.2 Creation of a communications plan and strategy UCCT2.3 Strategies to mobilise RRING knowledge base, and RRING deliverables UNESCOT2.4 Training materials to facilitate use of RRING knowledge base VitaeT2.5 Final Dissemination report UCC
3 Global State of the Art on RRI by key Geographies SKUT3.1 Set methodology, parameters,guidelines for the State of the Art review SKUT3.2 SoA Review: to understand the policies and drivers for R&I UNESCOT3.3 Review+Survey to Establish the governance for RRI SKUT3.4 Investigate role of all societal actors and Interaction of the Stakeholders UNESCOT3.5 SClarify how RFOs and academic RPOs operate within RRI environment SKUT3.6 Broad SoA or RRI across 7 geographies and across all stakeholders UNESCOT3.7 SoA of RRI of 4 Key Domains in each per each of the 7 geographies ARUT3.7 Identify the key platforms, spaces and players UNESCOT3.9 Review the SGDs in the seven Geographic zones UNESCO
T3.10 Seven regional Virtual workshops- examining the 4 key Domains UNESCOT3.11 Reports
4 Global Comparative analysis of SoA HSRWT4.1 Set methodology, parameters and guidelines for the Comparative Analysis HSRWT4.2 Comparative analysis of best practice in different geographies HSRWT4.3 Determine Best Practice from 4 key domains UPMT4.4 Global Workshop UNESCOT4.5 Compare SDG performance in 7 Geographies ??
5 Development of competitive advantages of RRI WUT5.1 Methodology, parameters,guidelines for qualitative and quantative analysis WUT5.2 SoA of Competitive Advantage and barriers to RRI- macro and micro level WUT5.3 Development of KPI indicators to promote competitive advantages of RRI WUT5.4 Field surveys on proposed competitive advantage KPI indicators WUT5.5 Recommendations Report on methodology to leverage RRI competitive WU
6 Align RRI with SDGs and high level RRI Strategies UNESCOT6.1 Align RRI to advance the UN SDGs UNESCOT6.2 Devise a set of high level strategies, tailored to 7 geographic areas UNESCOT6.3 Develop RRI strategies and roadmaps for 2 EU countries s ??T6.4 Recommendations on how to improve MORRI indicators UNESCO
7 Establishment of a perpetual global RRI network ICoRSAT7.1 SoA of RRI networks ICoRSAT7.2 SoA of Network Theory on Global community networks FRAUNT7.3 RRING network model for the linked up global world CNRT7.4 RRING network leaders, key players and platforms and panel of experts SFFRUT7.5 Implememntation Plan FRAUNT7.6 Establish the Network for a trial period FRAUNT7.7 RRING Network first forum conference UNESCO
Figure 3.1b RRING Gantt Chart – Timing of WPs & TasksYear 1 Year 2 Year 3
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
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8 Team description and roles
Fig 4: Team set-up
Steering committee (SC) – each of the WP leaders and specific partners as required. • Final decision-making body for major issues. • Meets every month via Skype • Holds preparatory meetings for the EU engagement • Decisions on breaches and Imposes penalties • Decides on issues forwarded by Project manager.
1. Internal issues 2. External issues – risk and or opportunities
• Quality control • All deliverables and Final WP report from WP leader review and approve. • Final project report from Coordinator review and approve. • Approve of advisory board • Quorum is 2/3 of SC partners. Decision s require 2/3 majority of those present
Full consortium will meet annually
Advisory Board (AB) Independent experts Duties:
• Co Attend steering committee meeting, via skype, if invited for advice. • Attend yearly physical full consortium meetings • Attend workshops where relevant • Review and provide opinion on the key reports
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
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Table 2: List of advisory board members
Name Affiliation Country
Mathieu Denis ICSU/ISSH: International Council Science and International Social science Council
France Gal Weiss IBM Ireland Miyoko Watanabe
Japan Science Technology - JST Japan Mike Jennings Irish Federation Union of Teachers
outgoing chair Ireland
Lidia Brito UNESCO South America Uruguay Wendy Broadgate
Future Earth Secretariat Sweden Roseanne Diab Department of Science and Technology
DST South Africa
Ganna Tolstanova
Taras Shevchenko National Univ of Kyiv Ukraine Peter Brown Irish Research Council Ireland Reda Cimmperman
Lithuania Research Council Lithuania Ewelina Pabjańczyk-Wlazło
European Council of Doctoral Candidates and Junior Researchers
Belgium/ Poland
Project coordinator- PC Gordon Dalton
• Produce PID • Implement the Grant and Consortium agreements • Ensure deliverables delivered and reports submitted • Chair steering group • Liaise with AB • Liaise with Project Manager on processes defined below • Supervise voting • Conduct risk plans and contingency plans • Liaise with Financial manager • Liaise and meet with Project manager and EU and DG officials • Responsible for data management
Scientific Coordinator – SC Juliana Chavez Chapparo (UNESCO).
Will assist PC/ PM in all WP of the project and oversee all research regarding RRI. Will ensure the consistency and standardisation of all WP, and will ensure the quality of the policy briefs in WP6.
Project manager- PM Jasmin Schomakers • First point of contact of all queries • Create intranet • Organise partner meetings • Monitor and report on progress of the project to all stakeholders • Present reports defining project progress, problems and solutions to PC • Track project deliverables, and problem protocols • Quality assurance of deliverables • Ensure project change management process adhered to • Workshops organisation in cooperation with host partner • Risk Management • Organise meetings
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
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Financial manager FM • Deals with all queries on RRING budget • Works directly on UCC budget only • Completes the financial reports, and liaises will all WP leaders to access all required
information • Presentation:
i. Procedures ii. Forms
iii. Eligibility of costs WP leaders.
• Responsible for delivery of deliverables for their workpackage • Delivery on time and in budget • Milestones on time • Participate in SC monthly call • Report to PM bi- weekly
Task leaders
Report to the WP leaders and deliver tasks and sub-tasks on time and within budget
Table 3: WP leaders
WP name
WP leader Contact name email address
WP1 Project Coordination, Standardisation and Methodology UCC Gordon Dalton [email protected]
WP2 Dissemination, Mobilisation, Communication and Engagement UCC Gordon Dalton [email protected]
WP3 Global SoA on RRI by key Geographies SKU Laurens Landeweerd
WP4 Global Comparative analysis of SoA HSRW Alex Gerber [email protected]
WP5 Development of competitive advantages of RRI WU Vincent Blok [email protected]
WP6 Align RRI with SDGs and high level RRI Strategies UNESCO
Juliana Chaves Chaparro
WP7 Establishment of a sustainable global RRING community network UCC Gordon Dalton [email protected]
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
11
9 Risk Management
The project manager is responsible for risk management. For risk management refer to the Risk Management Plan (RRING_D1.3_Risk Management Plan_201808xx).
10 Workplan for WPs 3,5,7 finalisation
Before the starting date of a work package, the WP Leader forwards a work plan to the PC/PM. Within the work plan it is important to:
• identify the owner of each deliverable. • allocation of tasks to each partner involved in the work package, • collaboration of Task Leaders and all partners.
(a) The WP Leader is responsible for the update of the task list of his/her respective work
package, updated monthly. (b) Most items on the task list will arise from activities related to the development of
deliverables. The WP work plan will therefore need to incorporate the work plan for the individual deliverables. It should therefore contain a plan of milestones that need to include quality assurance (peer review) prior to the submission date. Deliverable work plans need to be updated on a monthly basis.
Timeline:
• One week will be allocated for workplan for each WP • Skype with each WP leader after week 1 • One week to review by PC • First bi weekly skype with each WP leader • First steering committee meeting at beginning of month.
11 Processes
11.1 Quality approval process of deliverables • Deliverable sent to PM 4 weeks before deadline • Deliverables goes to quality assurance committee, UNESCO to chair • Final approval by steering committee
A detailed plan about the quality assurance process and timeline can be found in the quality assurance plan (RRING_D2.3_Quality assurance_plan_date)
1. Breach of Deliverable Deadline process • WP leader informs PM 6 weeks prior to deadline breached • PM informs PC • PC speaks to WP leader and gives 2 week extension if valid reason • 1 month breach
• SC accepts, or • SC rejects and notifies partner that he will be defaulting partner unless remedies
within one month
RRING_D1.1_PID_20180815
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 788503
12
• SC decision to impose payment freeze, if not accepted by SC
• SC to decide on partner eviction if still in breach
2. Project issues process e.g. WP change Any change that results in a deliverable being changed materially must get SC approval.
• Change request sent to PC (template provided by PM) • PC approves and sends to SC, or • PC does not approve. 2 weeks for WP Leader to modify change request • PC sends to SC • At next SC meeting
• approves and overall project amended, or • Change is rejected, and WP Leader has 2 weeks to modify to SC
recommendation, or • If SC/ WP Leader do not reach agreement the goes to formal dispute
resolution in Grant Agreement or Breach procedure as appropriate
11.2 Meetings: description and frequency WP leaders meeting
1. WP leaders with active projects • PC/PM calls
• Monthly joint WP leaders conference calls • Bi weekly individual calls to all WP leaders in between monthly calls • Report issued to PC 2 days in advance of any call, using template
• Template • Tasks • Target date • On target or not
• Not on target, then specify impact and resolution. • If impact is likely to be external to WP or to
Deliverables. Then requires agreement with PC.
2. WP leaders with in-active projects • Join monthly SC conference call only
3. Steering committee meetings (straight away after monthly calls)
11.3 Website, Project management software and social media • Project management software: Teamwork www.teamwork.com • RRING website: www.rring.eu • RRING Googledoc account: [email protected] • Twitter: @RRING
12 References 1 https://ec.europa.eu/programmes/horizon2020/en/h2020-section/science-and-society