Quality Control and Monitoring Manual - [email protected]/.../12/Quality-Control-and-Monitoring-Man… · Web viewThis document outlines the main definitions related to quality

Erasmus + Project No 561586‐EPP‐1‐2015‐1‐RS‐EPPKA2‐CBHE‐JPEnhancement of HE Research Potential Contributing to Further Growth of the WB Region

Re@WBC

Ref. No and Title of Workpackage 4.2 Project quality procedures developed

Title of Deliverable: Quality Control and Monitoring ManualInstitution: University of MontenegroAuthor/s of the deliverable UOM,UNI

Status of the document: DraftDocument Version no and date: v.02

Number of Pages 16Dissemination Level Internal

VERSIONING AND CONTRIBUTION HISTORY

Version Date Revision Description Responsible Partnerv.01 30/12/2015 Creation of document UOM (Marija Krivokapic)

v.02 15/01/2016 Second draft UNI (Dragana Cvetkovic Ilic, Vesna Lopicic)

v.03 20/01/2016 Third draftUNI (Dragana Cvetkovic Ilic, Vesna Lopicic)UOM (Marija Krivokapic)

Abstract

This document outlines the main definitions related to quality management, processes for planning and executing the project activities in order to ensure the project’s quality, as well as sets the minimum principles and requirements needed to implement an effective quality assurance and control. Annexed to the manual are templates for reporting

Quality Control and Monitoring Manual 1

TABLE OF CONTENTS

1. Introduction.......................................................................................................................... 3

2. QUALITY EXPECTATIONS.......................................................................................................42.1 Four specific Re@WBC objectives of the project are:.........................................................42.2 Project activities and deliverables.......................................................................................4

3 RE@WBC DELIVERABLE WP 4: QUALITY.................................................................................73.1 Re@WBC Management.......................................................................................................73.2 Re@WBC Quality Assurance Committee (QAC)..................................................................73.3Re@WBC quality procedures ..............................................................................................83.4 Re@WBC reporting.............................................................................................................83.5 Re@WBC Report Analysis ...................................................................................................8

4 RE@WBC DELIVERABLES .......................................................................................................94.1 Document based deliverables.............................................................................................94.2 Publicity control.................................................................................................................. 94.3 Re@WBC events..................................................................................................................94.5 Re@WBC websites and other electronic tools..................................................................104.6 Re@WBC logo................................................................................................................... 104.7 Quality feedback by the target groups..............................................................................11

5 RE@WBC QUALITY ASSURANCE STRATEGY..........................................................................125.1 Responsibilities of the Consortium....................................................................................125.2 Project Risk Management.................................................................................................145.3 Partners’ technical and financial reporting.......................................................................145.4 External Monitoring..........................................................................................................15

6. ANNEXES............................................................................................................................. 16


1. Introduction

The main objective of Re@WBC is to contribute to enhanced management of human research potential at WB universities in line with national and EU strategies for researchers. The methodology to achieve this objective will combine top-down and bottom-up approaches. Namely, while the procedures and practices for HR management at the partner universities will be improved to meet European standards, the continual process of training and informing young researchers about professional skills and career development opportunities will be established. The evidence for fulfillment of the above general objective will be provided in the form of a set of universities’ bylaws, relevant for human research potential management, as well as in increased level of professional development of the researchers.

In order to achieve the main objective, the project will work on improving institutional policies and practices by harmonising them with EU standards and strategies for researchers, and with national priorities. The foreseen work will be based on a comprehensive and exhaustive comparative analysis which is expected to reveal the key gaps between the current practices and EU standards. The analysis will be used to develop and adopt institutional bylaws and policies regulating human research potential. In order to facilitate the practical implementation of these policies, administrative staff will be trained to work with researchers, resulting in the reinforced capacity of existing university centres and offices to deal with career development issues, to promote career and cooperation opportunities and to implement professional development programmes. Since the activities aiming at developing the institutional capacity to implement best human research management practices will be carried out in a common context of the similar research and innovation systems of the WBC countries, the project is expected to further enhance the regional cooperation and establish a sustainable exchange of information and experiences in dealing with HR management issues.

When bottom-up activities are considered, the project specifically aims first at improving their professional and transferable skills, and second at promotion of the career development and cooperation opportunities. It is expected that increased level of professional skills among researchers will result in more successful pursuit of different opportunities and more effective and efficient involvement.

Finally, since the background for the foreseen activities is provided by the EU standards and specifically by European Charter and Code, it is expected that all partner universities will be awarded with HR Excellence in Research label, by the European Commission as key evidence that the institutional strategies for human research management reached the highest standards.


2. QUALITY EXPECTATIONS

The Quality Control and Monitoring Manual formalizes the approach that will be followed by the partners of the Re@WBC project to ensure the highest possible quality of the project activities, outputs and outcomes and project management.

The main objective of Re@WBC is to contribute to enhanced management of human research potential at WB universities in line with national and EU strategies for researchers.The partners agree that this overall objective shall always be in the forefront of all decisions to be taken. The partners therefore might decide to prioritise certain activities over others which have a higher impact in relation to the achievement of the objectives. Quality in the project means that the achievement of the objectives might be more important even if it means e.g. postponing a deadline or changing some aspects of an activity.

As for the related assumptions and risks, we see partners as highly motivated to improve the state of human research capacity in the WB region.

Apart from this, the Project Coordinating team will be working on transparency and fair-play to ensure good cooperation.

2.1 Four specific Re@WBC objectives of the project are:

Improving institutional HR policies and practices by harmonising them with EU standards and strategies for researchers, and with national priorities for sustainable development Enhancing career development and cooperation opportunities of researchers through Professional and transferable skills improvement Fostering regional cooperation in order to harmonise the management of university research potentials, and raise awareness about HRS4R principles.

2.2 Project activities and deliverables

The project deliverables are classified into tangible deliverables such as reports, publications, manuals, methodology, plans, printed and electronically available promotional material, as well as intangible deliverables in the form of organized events (trainings, conference, seminar, info days, etc.

The objectives given in the previous section, therefore, are to be achieved through six workpackages and the following outputs and outcomes:

WP1. Preparation for the HR research management reform 1.1. Research potential at WBC universities mapped 1.2. Review of HR strategies at EU partners


1.3. Comparative analysis 1.4. Action plans for HE management reform 1.5. HR offices and centres equipped

WP2. Excellent university for the researchers2.1. University centres and HR offices reinforced2.2 Administrative staff competences improved.2.3. University managements educated on the C&C implementation 2.4 HRS4R strategy created and adopted at partner universities.2.5. Training trainers2.6. Promotion procedures improved2.7. Plagiarism monitoring tools implemented2.8. Ethical committee procedures improved2.9. Cooperation with scientific diaspora established

WP3. Excellent researchers for the community3.1. Researchers trained on C&C and HRS4R3.2. Webpages offer opportunity links3.3. Young researchers trained on research methodology3.4. Young researchers trained in various skills3.5. Training on teaching methodology3.6. Pilot Mentoring system introduced 3.7. Measures for enhancement of multidisciplinarity in research 3.8 Guide book published.

WP4. Quality at [email protected]. Quality Assurance Committee (QAC) established4.2. Project quality procedures developed 4.3. WP reports 4.4. Annual QA reports 4.5. Reports analysis4.6. External monitoring

WP5. Dissemination and exploitation at [email protected]. Project web-site created and regularly updated5.2. Promotional material distributed5.3. Project results disseminated 5.4. The label "HR Excellence in Research" obtained by a number of WB partner universities5.5. Establishment of awards for young researchers. 5.6. Mentoring system adopted 5.7. Strategy on continual training of researchers adopted

WP6. Management at [email protected]. Kick-off and coordinating meetings realised


6.2. Procedures for project management 6.3. PA signed6.4. Software platform for project management 6.5. Day-to-day coordination 6.6. Financial management

A common quality expectation for all deliverables is their relevance to reach the overall objective and the specific objectives, with a further focus on their development in an efficient and effective manner. Timely delivery following the project workplan as identified in the Application Form and Action Plans (modified and agreed if necessary by the SC on six-month basis) is expected.


3.RE@WBC DELIVERABLE WP 4: QUALITY

Quality control of the project is to take place throughout the project duration. This section of the document relies on the activities and procedures defined in the original text of the project application, the decisions made at the kick-off meeting, and on the Partnership Agreements (Article 3).

Apart from this, Re@WBC’s also relies on the follows reference documents:

EACEA – Re@WBC project Grant Agreement Re@WBC project Dissemination and Exploitation Plan Re@WBC project budget and task assignment Erasmus + Guidelines for the Use of Grants Erasmus + Frequently Asked Questions

3.1 Re@WBC Management

The project management structure was proposed in the original application form and established at the project’s Kick-off meeting. Its aim is to ensure effectiveness, decisiveness, flexibility and quality of work. It involves the Coordinator, a Steering Committee (SC), and Quality Assurance Committee (QAC).

The Steering Committee will review the activities and decide on any necessary contingency measures in reorganisation tasks and resources – as usual with a strong focus on the project impact.

The project management will be transparent and flexible but also strict enough to ensure the implementation of the project activities in order to achieve the project’s objectives.

Each partner is equally and independently responsible for assigned activities, reporting and distribution of money. Contact persons have the responsibility for the local management.

3.2 Re@WBC Quality Assurance Committee (QAC)

Creation of the Quality Assurance Committee (QAC) has taken place at the project’s kick-off meeting. It consists of 5 members representing: University of Nis, University of Montenegro, University of Liege, University of East Sarajevo, University of Tirana.

It is defined in the Application and agreed at the kick-off meeting that QAC will be meeting regularly and annually to:

prepare project quality standards, procedures, and reports, discuss and evaluate the progress,


monitor the activities of all partners, help manage whatever problems there may arise

Extra meetings may be collocated with other events.

The tasks of the Quality Assurance Committee (QAC)are to: make sure that all deliverables are properly evaluated, their quality tracked, monitored and

improved if deemed necessary monitor and supervise the quality of all stages and activities of the project analyze WBP’s reports at annual meetings monitor and evaluate deliverables, suggest improvement strategies discuss and adopted quality procedures and standards designed by the Quality management guide distribute those to the Consortium

3.3 Re@WBC quality procedures

Project quality procedures are defined at the kick-off meeting, and they include:

Creating a Financial Management Guide (FMG) to help with the issues of budget management and harmonize all financial practices of the partners

Designing various templates to further facilitate procedures related to activities leading to staff costs and travel costs (exp. justifying travelling by personal car, etc.)

3.4 Re@WBC reporting

The original project application text assumes that by the end of the project, i.e. by 14.10.2018, regular reporting on the progress of all WPs is compulsory regular reporting by each lead partner is compulsory lead partners are to perform a sort of SWOT analysis which gives a clear picture about the progress

made and gaps that need to be attended to

These reports will be considered as indicators of project quality, the will help sum up the progress in the given period, and allow QAC to get a clear picture of the realisation of the project. In other words, if there are any discrepancies between the Work Plan and the realised activities, QAC will react timely and prevent further delays.

3.5 Re@WBC Report Analysis

As it is also projected in the application, and confirmed at the kick-off meeting, QAC will make a report analysis. This analysis is necessary in order to prepare an action plan for the remedy of all problems possibly identified in the reports.

It is also decided that the conclusions made by QAC are compulsory for all project partners.


4 RE@WBC DELIVERABLES

4.1 Document based deliverables

Re@WBC takes care that all our deliverables have a common appearance.This step is important for the visual recognition of the project and as an important help in final reporting to both the Project Coordinator and to EACEA.

Therefore,all the partners are supposed to follow these templates for all document based deliverables:Check list for review of deliverable, Word document template, Power point presentation template, Attendance sheet template, Participants feedback form, Event report template, Risk monitoring sheet, News template.

4.2 Publicity control

The project coordinator (UNI) is responsible for the design of the promotional material. The draft version will be sent to all partners for comments and suggestions, before printing, publishing and distribution. The materials will be disseminated by all the partners at appropriate events in order to reach the project’s target group.

All the publications and events produced by the partners have to have Erasmus+ logo followed by the sentence: “Funded by Erasmus+ Programme of the European Union.” This is to be placed on the cover or the first page.

Every product made through this project has to have the following disclaimer on the inner pages:

The European Commission support for the production of this publication does not constitute an endorsement of the contents which reflects the views only of the authors, and the Commission cannot be held responsible for any use which may be made of the information contained therein.

4.3Re@WBC events

The organizers of all the project events (working meetings, studying abroad, etc) should provide in due time a full information package to the participants including the draft agenda, letter of invitation and a note on the logistics (informing about travel arrangements, venue, suggested hotels, etc).

The organizers will recordthe minutes of the meetings to be distributed to all the project participants. It is advised that feedback forms will be distributed among participants


Postersand other promotional materials shall be displayed during the event paying attention to the above stated publicity instructions.

Each event should be documented by some,or all, when appropriate, of the given materials: news, agenda, list of participants with affiliation, list of trainees, report, gallery, presentations (upon the approval of the presenter), video materials (upon approval of authors).

4.5Re@WBC websites and other electronic tools

The Re@WBC project envisages setting up its web-site and platform as intranet tool for both project management and dissemination purposes. This web-site is to be developed and maintained by UNI, while all the partners are expected to effectively communicate the results of the project for the web-site maintenance. Therefore, we have developed News template for delivering the news on organized or attended event to help us fulfil this task.

All partners are asked to promote Re@WBC project on their websites and other electronic tools (such as: Facebook, Twitter and LinkedIn profiles/groups, newsletters, etc.) by providing short description of the project, logo and link to Re@WBC website.

The Re@WBC platform can be accessed by all partners depending on their assigned tasks and roles. It will be the single point of reference for the project documentation and communication among partners. UNI will set up and maintain the Re@WBC platform.

4.6 Re@WBC logo

This Re@WBC logo is to serve the visibility purpose of the project. It is to be used for all the project deliverables and its the project documents.

This logo is designed by the University of Niš.


4.7 Quality feedback by the target groups

To ensure quality of the project events, it is necessary to be aware of the satisfaction of beneficiaries and other target groups. For this reason we will collect a variety of information using visits, interviews, questionnaires, consultation, an other forms of activities. A template for feedback (Annex E) is created as a handy tool to allow the impact assessment of the project activities. This template may be slightly adapted to conform to the specific needs of different events, yet the main items shall not be deleted.

Besides, a specific event report template annexed to this document (Annex F) is to be filled by project partners (organisers) for all Re@WBC events (workshops, info days, trainings). Report will include summary review of statistical data and will help in final reporting.


5RE@WBC QUALITY ASSURANCE STRATEGY

Internal monitoring will be carried out by all the partners, including self-evaluation by using the LFM, Workplan, budget and cash flow tables, SC meetings, monitoring visits and questionnaires that address satisfaction surveys of target groups. The Re@WBC platform will also be used for monitoring of project activities.

The quality assurance in Re@WBC includes the following four levels of quality control:

The quality of project deliverables depends on the work of individual institutions, their teams, the cooperation within the teams, as well as on their cooperation with the WP leader and the partners involved in the activity. The partners should guarantee the quality and timeliness of the deliverable as identified in the action plan.

All the deliverables will be assessed by at least two assigned independent reviewers. The reviewers have 5 working days to respond by sending comments using the template for the quality assurance check list (Annex A). The authors of the deliverableswill have 5 more working days to conform to the reviewer comments or send their written objections. In this case the reviewers will have another 5 days to send back their final comments.

In case profound disagreements between reviewers and the authors arise, the 3 rd level control of the deliverables will allow the project coordinator to take the necessary corrective actions in order to come up with acceptable deliverables. If necessary the Coordinator may involve the rest of the Consortium.

The Steering Committee is the highest decision making body of the partnership that takes the final decision for the approval of major deliverables.

5.1 Responsibilities of the Consortium

This project recognizes different bodies with different roles and responsibilities when it comes to the project activities and in particular the project quality assurance procedures. Each Re@WBC activity has its leader, or contact person, each deliverable has its author and co-authors. Each activity makes part of a work package and each workpackage has its own leader. QAC controls the quality of activities and its deliverables in cooperation with the Project Coordinator. The Steering Committee is the highest project’s body that makes final decision. Therefore,

Activity Leader (main author of the deliverable) is responsible for coordinating the development of the deliverable(s) according to the deliverable template, assigning parts of the work to other partners involved in the activity, coordinating the work of other partners involved in the activity, submitting the deliverable to the WP leader, the QAC, and the coordinator, implementing the suggestions of the QAC team, regularly reporting to the WP Leader, especially in case problems appear, cooperating with the WP Leader and other partners in the same WP to ensure the

activity’s progress in line with the time table .


Other partners involved in the activity, co-authors, are responsible for the production of their part in the deliverable according to the instructions, providing contribution in compliance with the prescribed templates, providing to the activity leader all the complementary information regarding their work

(i.e. references, bibliography, methodologies used, contact details of people interviewed etc.),

implementing amendments to their contribution as a result of the amendments requested by the QAC.

WP Leader coordinates the Work Package and ensuring that all the activities are contributing to the

WP’s objectives and are in the time frame defined in the Action Plan, makes sure that all the partners are smoothly cooperating in order to accomplish the WP’s

objectives, send timely reminders about submission deadlines and the procedures to be followed and

provides input and suggestions to the activity leaders, provides comments and suggestions on the deliverables, verifies the satisfactory implementation of the recommendations.

Quality Assurance Committee (QAC) is coordinated by the QACCoordinator, is responsible for the QA exercise of deliverables, receives deliverables from activityleaders and provides feedback, verifies the satisfactory implementation of the recommendations, cooperates with the Project Coordinator on issues related to the level of quality of the

project’s deliverables.

Project Coordinator cooperates with the QAC and the activityleaders on all matters arising relevant to ensuring

the quality of the project’s deliverables, accepts the deliverables or provides final comments to the task leaders and WP leaders, cooperates with the WP Leaders to ensure that all WPs are progressing in compliance with

the Action plan, informs QAC, WP leaders and task leaders of any changes in the implementation of the

project that may affect the timing or the content of the relevant deliverables, collect and officially submits all approved deliverables to the Consortium and EACEA.

Steering Committee (SC) officially approves and finally accepts the deliverables.

5.2Project Risk Management


It is advised that a regular risk assessment be carried out during the Steering Committee meetings, which shall lead to corrective actions and potential adaptations of the WorkPlan. This assessment will take care of issues that could endanger the project achievements. They include: financial risks (overspending and underspending), timing (postponing of activities), and sustainability of the project results. The main aim will be to provide a sound assessment, to anticipate challenges in a systematic way and to minimize the potentially negative overall impact. In case of serious risks, SC should suggest alternatives, workarounds and the proposed corrective actions that will make the risk consequences acceptable for the consortium.

The identification and assessment of new risks is a joint responsibility of all project partners who have to communicate them to the Project Coordinator and the Steering Committee, eventually suggesting also possible interventions and solutions, as soon as they get aware of those risks. In particular, partners may think of preventive actions (avoiding that the risk occurs) and corrective actions (decreasing the severity and impact), specifying also the resources that would be needed.

Also the external reviewers (representatives of NEO and EACEA) will be involved in the risk management. During their monitoring visits they will assess if there is a risk that the project will fail to meet its key indicators.

All the partners should take care of the proper allocation of resources. There are several main risks in this field: the delay of the project implementation; the rushed implementation with low quality; an underspending; and that the relevant expenditures are not timely invoiced or validated.

5.3 Partners’ technical and financial reporting

The main guidelines for the reporting are laid out in the Financial Management Guide, which will be distributed to all partners.

The project’s Steering Committee and Coordinator will check these supporting documents by taking into consideration the following criteria: conformity of the expenditures with the budget; eligibility of the expenditures; correctness and completeness of all supporting documents and certified copies of invoices; correctness of the calculations and applied exchange rates; financial biannual reports must be signed in original by the appointed contact person of partner institution.

In case that information are not complete or justified, the Steering Committee will help and make recommendations on how this situation can be rectified.

The Report approved in this way is the basis for the transfer of next instalment to the partner institution.


5.4External Monitoring

External monitoring of the project will be performed by National Erasmus Office (NEO) and EACEA.

NEO performs three types of monitoring, based on deliverable achievement: preventive (in the first project year), advisory (after the first project year), control (after the end of project – sustainability check).NEO will assess various aspects of project implementation: relevance, efficiency, effectiveness, impact, and sustainability.

Apart from this, the University of Nis will additionally subcontract the external audit agency for the purpose of preparation of External Audit Report on the project’s financial statements in accordance with the recommendations and templates of EACEA.

More detailed procedures for financial and contractual management are described in the Financial Management Guide.


6. ANNEXES

Different supporting documents have been elaborated for the overall enhancement of the project quality assurance plan:

Annex A: Checklist for review of deliverableAnnex B: Word document templateAnnex C: PowerPoint presentations templateAnnex D: Attendance sheet template Annex E: Participant feedback formAnnex F: Event report templateAnnex G: Risks monitoring sheetAnnex H: List of deliverablesAnnex I: News templateAnnex J: Self-assessment report


Project number: 561586-EPP-1-2015-1-RS-EPPKA2-CBHE-JP

"This project has been funded with support from the European Commission. This publication reflects the views only of the author, and the Commission cannot be held responsible for any use which may be made of the information contained therein"

Documents

Quality Control and Monitoring Manual - [email protected]/.../12/Quality-Control-and-Monitoring-Man… · Web viewThis document outlines the main definitions related to quality