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CLIMATE-KIC PARTNER GRANT AGREEMENT & TASK CONFIRMATIONS 2013 WORK FLOW

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CAPPLAN USER GUIDE

VERSION V2 - 7 AUGUST 2013

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Table of Contents 1

INTRODUCTION............................................................................... 3

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WORK BREAK-DOWN ....................................................................... 3

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WORK FLOW FOR PGA 2013 ............................................................ 4

3.1

Multi-annual PGA ............................................................................................................... 4

3.2

Task Confirmations ............................................................................................................ 4

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PARTNER INTERFACE ...................................................................... 6

4.1 PGA-main ........................................................................................................................... 7 4.1.1 Download PGA main document ......................................................................................... 7 4.1.2 Upload completed and signed PGA main document............................................................. 7 4.1.3 Overview uploaded PGA ................................................................................................... 7 4.2 PGA Task Confirmations..................................................................................................... 7 4.2.1 Register new KAVA task ................................................................................................... 7 4.2.2 KAVA Task Information .................................................................................................... 8 4.3

Annual task and funding overview .................................................................................. 10

4.4

KCA ................................................................................................................................... 10

4.5 Task management ............................................................................................................ 10 4.5.1 PGA One-liner................................................................................................................ 10 4.5.2 Eidt/Delete task ............................................................................................................. 10 4.6

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PGA Appendices ............................................................................................................... 10

PROJECT-LEAD AND BUDGET-OWNER INTERFACE ......................... 11

5.1

Validation reporting ......................................................................................................... 11

5.2 Validation PGA’s ............................................................................................................... 11 5.2.1 PGA Appendix project lead ............................................................................................. 11 5.2.2 PGA Appendix budget owner........................................................................................... 12 5.3 CEO ................................................................................................................................... 13 5.3.1 Validating PGA Main ....................................................................................................... 13 5.3.2 PGA Main ...................................................................................................................... 13 5.3.3 PGA Appendix-2 ............................................................................................................ 13 5.4

KAVA tasks ....................................................................................................................... 13

5.5

Reports ............................................................................................................................. 13

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GENERAL - ALL INTERFACES.......................................................... 13

6.1

User information .............................................................................................................. 14

6.2

Change password ............................................................................................................. 14

6.3

Upload signature .............................................................................................................. 14

6.4

Capture signature ............................................................................................................ 14

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1

INTRODUCTION

Climate-KIC is streamlining its planning and control processes. We are moving from a central labourintensive operation to a centralised database system with increasing levels of automation and user interaction. This document focuses on the Partner Grant Agreement (PGA) process and on multi-annual financial planning and control in relation to the annual business plan and Grant Agreement cycle. The web-based system CAPplan supports this process.

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WORK BREAK-DOWN

In CAPplan all the work performed in Climate-KIC is broken down in three layers: the 'Project layer', the 'Activity layer' and the 'Task layer'. •

Project layer The project layer represents the highest aggregation level of the activities. It is the only layer that extends over multiple years. An example of a project is Project1, to be implemented by Partners UU and ICL, in the period 2012-2014. In the project layer, various type of multi-annual work is being distinguished:  Projects. These are under control of a Consortium Agreement.  Recurring Activities. These are equal to projects (multi-partner activities that extend over multiple years), but without a consortium agreement. Typical examples are the Contextual Learning activities and running a CLC office.  Vouchers. They may be awarded in one year and being implemented in the next years.  Others.

Activity layer This layer represents the implementation of that part of the work in the project layer that falls under a given Annual Grant Agreement, i.e., the whole of Climate-KIC activities accomplished during the calendar year. An example of an activity is the work of UU and ICL, pertaining to project Project1, in the year 2014.

Task layer This layer represents the breakdown of the defined Activities in the activity layer by individual partners. An example of a task is the work of UU, pertaining to project Project1, in the year 2014. Each partner will fill its Task confirmations at this level, through a similar interface as the PGA Appendix 2 registration 2012.

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3

WORK FLOW FOR PGA 2013

The tasks are the most fine-grained work breakdown that Climate-KIC is using for the reporting to EIT. For a proper implementation of a task a contractual arrangement must be made between the KIC-LE and the Climate-KIC partner. This is the role of the Partner Grant Agreement and the Task Confirmations. •

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(Multi-annual) Partner Grant Agreement (PGA): the basic legal document that sets out the rights and obligations for performing KIC tasks. In 2012, the PGA applied to 2012 only. From 2013 onwards, we use multi-annual PGAs. Task Confirmations: a series of documents that detail the work to be performed by the partner and the finances involved; for each task there must be a corresponding Task Confirmation. Please note that in the current version of CAPplan, the old name for Task Confirmation is still used in some places (PGA Appendix or PGA Appendix-2).

The generation of PGAs and Task Confirmations is done using CAPplan. The general work flow will be as detailed in Sections 3.1 and 3.2.

3.1 Multi-annual PGA 1

The partner assigns the 'Authorised Person' in CAPplan.

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The partner downloads the prefilled PGA document from CAPplan. See Section 4.1.

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The partner saves the PGA as PDF, prints two copies, and sends both signed originals to Mary Ritter, CEO Climate-KIC.

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The CEO will sign both and return one to the KIC Partner.

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The CEO office will upload a scan of the signed PGA in CAPplan. See Section 5.2.2.

At the end, there will be one signed copy with the partner, one with the CEO (central archive) and one copy in CAPplan (digital archive).

3.2 Task Confirmations 1

CAPplan receives input on BP-2013 budget-lines and foreseen projects & activities (based on BP-2013 and pillar-lead input).

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Partners can propose new KAVA Task as their part of implementing an 'Activity' in CAPplan. See Section 4.2.1.

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CAPplan generates the Task and Task-ID and maintains a 'task-status' flag, which is now in its initial state (no reporting can be done yet). 4


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You can enter your Task contents, including a request for EIT budget. See Section 4.2.2.

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Via the 'project-lead' interface the project lead and the budget owner can oversee and contribute to the Task content generation. See Section 5.2.

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The partner can increase the status to 'Partner-OK'. See Section 4.2.2.

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The project lead can increase the status to 'ProjectLead-OK'. See Section 5.2.1.

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When the budget owner also agrees with the proposed KAVA, the Task content and the Task finances, the task status can be increased to 'budgetowner-OK'. Please note that this is only possible if the multi-annual PGA is signed and uploaded. See Section 5.2.2.

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Now the Task is digitally approved. Editing of contents is now locked in CAPplan. The partner can generate the Task Confirmation. This will include the agreed text and the agreed finances. Also, the Task Confirmation will be 'signed' by the appropriate KIC representative through a pre-loaded scan of their signatures. See section 4.2.2.

10 Partner prints and signs two copies of the Task Confirmation. When the Task Confirmation is scanned and uploaded in CAPplan, the final status for the KAVA task will be reached (‘PGA-appendix OK’). See Section 4.2.2. 11 When the signed Task Confirmation has been uploaded, the budget owner can 'Approve' the Task Confirmation (verifying that the proper document has been uploaded). See section 5.2.2. 12 Partner sends one signed copy to CEO Office. 13 CAPplan provides a digital archive of all Task Confirmations. 14 Only when the KAVA task status reached the status ‘Approved’, will it be ready in CAPplan for planning and reporting.

At the end, there will be one signed copy with the partner, one with the CEO (central archive) and one copy in CAPplan (digital archive).

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PARTNER INTERFACE

The interface to generate the Task Confirmations 2013 is already available into the CAPplan portal: http://database.climate-kic.org/reporting/. A test and demo environment is available http://www.capplan.eu/b_eit.

at

In order to provide clear, clean and targeted screens, the partner interface now provides three worksheets:

Worksheet ‘General’ contains forms that deal with general information on the KIC partner and the people involved at the KIC partner. The 'Planning & Reporting' worksheet provides a series of dashboard reports and the forms for Cost planning and reporting, and Performance reporting. For the purpose of this guidance document we focus only on the worksheet 'Task & PGA management' here. The left-menu shows form groups for Help, PGA-main, PGA Task Confirmations (KAVA), Annual Task and Funding Overview, KCA, Task Management and PGA appendices.

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4.1 PGA-main 4.1.1 Download PGA main document Under the sub-menu PGA-main, the body of teh Multi-annual PGA can be downloaded and saved as PDF. 4.1.2 Upload completed and signed PGA main document The partner can also upload the document, signed by both partners, in CAPplan. 4.1.3 Overview uploaded PGA The option “Overview uploaded PGA” facilitates viewing the uploaded PGA main document.

4.2 PGA Task Confirmations 4.2.1 Register new KAVA task Step 1 of the Task Confirmation generation is initiated by clicking on the link for “Register new KAVA task”. The main page of the screen shows three panels. The top-panel is for setting a filter on the available Activities (the Activities are based on the business plan and budget-owner input – they cannot be added by the partner). By selecting the pillar in which you wish to add a KAVA, a list of available Activities is shown in the second panel:

In Expert mode, you can choose to also pre-select a Partner (typically your partner-ID). In that case the activities are shown that are part of projects from the project layer (See Section 2) that the selected partner has been working on before. Either mode, select the appropriate Activity and complete the form in the third panel (below the Activity selection panel, also shown in the figure above). Caution: only the people you selected as Partner financial/scientist/main contact will be able to complete later the task in their respective account. When the form is completed, including the theme definition, the KAVA task can be inserted in CAPplan by clicking the “Insert” button. At the bottom of the page (not shown above) an overview of the most recently inserted Tasks is shown.

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4.2.2 KAVA Task Information Step 2 is the definition of the task and its budget. Click on 'KAVA task Information'. The Tree-shape overview of all KAVA tasks of the partner is shown:

Please note that for 2013, the appropriate BP-year must be chosen in the filter at the top. The first two columns show the task name and project identifier, respectively. The Status (as discussed in 3.2) is shown in column 3. Columns 4 and 5 allow you to add a description, and financial information. Columns 6 let’s you upload the signed task confirmation; the last column shows whether you did so or not. Let’s take a closer look at the facilities in the columns 4, 5 and 6. Add PGA (Task) Description: Please click the task identifier in column 4 (PGA description). A new window appears (the example below has already been completed for illustration purposes):

For the selected Task, the text for various sections (currently three) can be added/edited through a text editor. The text editor is more advanced than the one used before for the performance report. It includes a specific MS-word 'paste' function that can be recognised as the clip board icon with 'W'. The editor works very straightforward. Caution: After applying changes in the editor, one should not forget to hit the 'Save' button. The 'View PGA' button fires up a document generator that provides the printable PGA appendix for the 8


task. However, first the financial aspects of the task need to be defined. The Comments box at the bottom of the screen is for exchange of comments between partner, projectlead and budget owner. After finishing (and saving), you can close the window. Add PGA (Task) Budgets and Financing: Please click the task identifier in column 5 (PGA Budgets and Financing). A new window appears (the example below has already been completed for illustration purposes):

Next, the estimated eligible costs need to be defined. Note that one of the 'cost categories' is labelled 'Unspecified'. Please specify the costs explicitly though, unless this is not possible. The costs for subcontracting, sub-granting and CapEx always need to specified explicitly. Apart from the estimated costs, the EIT-funding and Co-funding amounts need to be specified. CAPplan automatically calculates the sum of all provided cost categories and funding sources. Moreover, CAPplan has an auto-balance function that keeps costs and funding in balance. The own-resource contribution is therefore always auto-calculated. In exceptional cases it may occur that the calculated own-resource contribution become negative. In these cases a bold warning in red is displayed to bring this problem to the attention of the partner (the same warning is displayed in the interface for project-leads and budgetowners). Pre-financing can also be entered. The advice is a fraction of the requested EIT-funding. As we will receive only a partial pre-financing from EIT and since some smaller partners require 100% prefinancing, the average pre-financing level should be at most 28%. The reader is referred to the special hand-out on this matter, distributed earlier and available on request at the finance office in Utrecht. After the initial partner input, the project lead and the budget-owner also need to agree with the proposed KAVA Task data. This will be an interactive process (See Section 5). At the end, all three partners need to approve the data. The partner approves by selecting “Partner-OK” under “Status” in the top-right corner of the screen. After all three parties approved the task data, the partner can view and download the PGA through “View Task Confirmation”. After approval of all parties, this document will contain the signature of the budget owner, provided that s/he made her/his signatures available in CAPplan. In case the signature has not been provided, two copies of the document should be sent to the budget owner and be signed by her/him. Upload signed task confirmation After having downloaded the task document, signed by the budget owner (see above), the partner prints two copies of the document. The authorized person of the partner signs the two copies of the document. The partner uploads one of the signed task confirmations by clicking the task identifier in column 6 of the tree view (Upload signed task confirmation). A new window appears, that facilitates uploading the document. The partner keeps one signed copy and sends one signed copy to the CEO Office in London. 9


4.3 Annual task and funding overview Through this submenu, an overview can be obtained from the task confirmations in both 2012 and 2013 (please note that this menu is under construction and its functionality may change). The first frame contains the tasks that have been approved, the second frame the ones that have not been approved yet.

4.4 KCA The sub-menu KCA deals with KIC complementary projects. Since they are not relevant for the PGA, the sub-menu will not be discussed in this guidance document.

4.5 Task management 4.5.1

PGA One-liner

Through this sub-menu, an overview can be obtained of all tasks inserted by the partner so far, along with their status and financial information. The empty fields in teh top can be used to filter tasks. Partial matches also work. E.g., typing “2013” into the first field (without “Enter”) leaves the tasks under GA2013, having “2013” in their name. Please note that this overview can be downloaded in excel (left bottom: “Export”). 4.5.2 Eidt/Delete task Tasks can be edited and deleted. Please note that KAVA tasks (as included in the PGA) can only be deleted if no task data has been inserted yet.

4.6 PGA Appendices This submenu provides additional PGA documents, that are identical for all partners, with the exception of PGA2013-appendix-1, which is still under construction.

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PROJECT-LEAD AND BUDGET-OWNER INTERFACE

Partners can propose KAVA tasks in their interface. Project leads and Budget owners should agree with the partner's proposal. In fact it is expected that the process towards approval requires several interactive rounds between these three stake-holders. The project-lead interface can be found through http://database.climate-kic.org/reporting-projectlead/. A demo version is available at http://www.capplan.eu/p_eit. The Project-lead interface will be open to both project-leads and budget-owners. The left menu is included below:

5.1 Validation reporting The sub-menu ‘Validation reporting’ deals with the validation of cost and performance reporting. Since they are not relevant for the PGA, the sub-menu will not be discussed in this guidance document.

5.2 Validation PGA’s The sub-menu ‘Validation PGA’s’ deals with the validation of the task confirmations. 5.2.1 PGA Appendix project lead The screen shot below shows the PGA validation form for project leads. Please select “2013” in the 11


appropriate filter at the top of the page.

This form lists proposed KAVA tasks row by row. On the top, you can filter (enter data in the white box below the blue bar, or select from the pop-up lists) and sort (Click on the column heading in the blue bar). Essential in these forms are the “view” URLs in the PGA description and PGA Budget columns. These 'views' open a new window in which the text or financial forms are provided that have been described also under the partner interface (see Section 4.2). The partner, the project-lead and the budget-owner, are the three parties involved that collectively and with mutual interaction are developing and agreeing on the PGA appendix. After review, the status of the task may be changed. The following options exist: Open, Partner-OK, Project-lead-OK, budget-owner-OK, Approved. Open is the initial status. The partner may flag that he is ready by setting the status to Partner-OK (see Section 4.2). A project-lead may update the status to 'Project-lead-OK'. The budget-owner may change the task to budget-owner-OK and to approved (see Section 5.2.2). Now the new KAVA task will appear in the Cost Reporting section of CAPplan. 5.2.2 PGA Appendix budget owner The screen shot below shows the PGA validation form for budget owners. The screen is very similar to the project-lead screen, except for the option “view PGA appendix” and the option “approved”. These last two options will be discussed at the end of this Section.

The form lists proposed KAVA tasks row by row. On the top, you can filter (enter data in the white box below the blue bar, or select from the pop-up lists) and sort (Click on the column heading in the blue bar). Essential in these forms are the “view” URLs in the PGA description and PGA Budget columns. These 'views' open a new window in which the text or financial forms are provided that have been described also under the partner interface (see Section 4.2). The partner, the project-lead and the budget-owner, are the three parties involved that collectively and with mutual interaction are developing and agreeing on the PGA appendix. After review, the status of the PGA appendix may be changed. The following options exist: Open, Partner-OK, Project-lead-OK, budgetowner-OK, Approved. Open is the initial status. The partner may flag that he is ready by setting the status to Partner-OK (see Section 4.2.3). A project-lead may update the status to 'Project-lead-OK' (see Section 5.2.1). The budget-owner may change the task to budget-owner-OK. The budget-owner is allowed to set the status to 'budget-owner-OK’ ONLY if the PGA main document has been signed, and made available in CAPplan. The budget-owner has a third view, that allows inspection of the signed PGA appendix for the task (through the “view” URL in the PGA Appendix column). Only when the signed PGA appendix is available in 12


CAPplan, the budget-owner should set the KAVA status to 'Approved'. Now the new KAVA task will appear in the Cost Reporting section of CAPplan.

5.3 CEO

Through this sub-menu, the CEO office can, among others, upload the Main PGA and the signed task confirmations. 5.3.1 Validating PGA Main In case the partner uploads the counter-signed PGA main, the CEO should verify whether the correct document has been uploaded, and give her approval. 5.3.2 PGA Main The CEO can upload the counter-signed PGA main through this sub-menu. 5.3.3 PGA Appendix-2 The partner sends the signed task confirmation to the CEO Office (see section 2.2). The CEO can upload it through this sub-menu. However, by default, the partner should upload the task confirmation.

5.4 KAVA tasks By using the sub-menu ‘Register KAVA for partner’, the project lead can register a task for one of the partners. The following screen appears:

Select an activity (only the activities are shown of which you are project lead). Select the partner. Modify the names of the people shown, if needed. Enter the KIC-theme and click on Insert.

5.5 Reports

The sub-menu ‘Reports’ deals with the cost and performance reporting. Since they are not relevant for the PGA, the sub-menu will not be discussed in this guidance document.

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GENERAL - ALL INTERFACES

All interfaces provide access to “My-account”, in the top-right corner. Through this link, one can adjust his or her account. A new window is opened. After having adjusted your settings, you can simply close the window.

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6.1 User information The sub-menu shows the user information. Here you can also change this information. You can also delete your digital signature here.

6.2 Change password

As the name suggests, you can change your password here.

6.3 Upload signature You can upload your digital signature here, in a file. At the moment, this is only relevant for budget owners.

6.4 Capture signature You can create your digital signature here (touch screen preferred – it doesn’t work so well with a mouse). At the moment, this is only relevant for budget owners.

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PGA Management in Capplan - 2013  

WORK FLOW AND CAPPLAN USER GUIDE

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