Research and Innovation
Participant Portal
Concept for electronic-only
grant management
in Horizon 2020
Peter HÄRTWICH
peter.haertwich@ec.europa.eu
eFP7 Communication Office
RTD M2
EU Financial Regulation
Preamble
(33) This Regulation should foster the objective of e-Government, and in particular the use of
electronic data in the exchange of information between the institutions and third parties.
(49) Progress towards electronic exchange of information and electronic submission of documents,
which constitute a major simplification measure, should be accompanied by clear conditions for
the acceptance of the systems to be used, so as to establish a legally sound environment.
CHAPTER 7
IT systems and e-Government
Article 93
Electronic management of operations
1. Where revenue and expenditure operations are managed by means of computer systems,
documents may be signed by a computerised or electronic procedure.
Horizon 2020 Rules for Participation
Article 18
Secure electronic system
The Commission or the relevant funding body may establish a secure electronic system for
exchanges with the participants. A document submitted by means of this system, including grant
agreements, shall be deemed to be the original of that document where the user identification and
password of the participant's representative have been used. Such identification shall constitute
the signature of the document concerned.
Concept for paperless grant management
in Horizon 2020
• System with qualified electronic signatures
(legal equivalent to paper signature) is not feasible
Instead:
• Exchanges in a secured electronic system
• Identity and access management using ECAS;
• Digital seal for all transactions (content and metadata)
• Chain of trust to secure identity of persons
• Full electronic document registration, storage and access
in the Participant Portal
Three main requirements
• Identity of the signatory
• Integrity of the signed document
• Non-repudiation
Identity of signatories: "Chain of trust"
• One person in the central administration of each
organisation to be appointed by the Legal Representative
in a formal process using blue ink signature
= Legal Entity Appointed Representative (LEAR)
• Appointment letter to comprise supporting documents
on identity of the legal representative and the LEAR
• LEAR mandate (among other issues): assign persons
authorised to sign the different types of documents;
supervise assignment of other roles in the Participant Portal
IAM for their organisation
Integrity of document: digital seal
• Digitally sealed PDF document containing:
•
Full content of the transmitted document
•
Set of metadata: certified time stamp, ECAS credentials of the actors
in the transaction…
• Digital seal is an advanced electronic signature,
using public-private key mechanism
• Insures integrity of information: any attempt to change
leads to break of the signature
• Is stored in the project archive for access at any time
by all actors in the project
Non-repudiation
• Identity and access management using ECAS and the chain
of trust
• Digital signature issued by a third party, containing
metadata of the transaction (credentials of users,
third party certified time stamp)
• Transparency (digital project archive) for all parties involved
• Terms of use for the secured electronic exchange system to
be confirmed by all users (in particular on keeping ECAS
credentials secretly)
Grant
Agreement
COMMISSION
COORDINATOR
BENEFICIARIES
Accession Forms
1
2
3
4
5
When the grant preparation
is finished, it is digitally sealed
by the Commission, insuring
the integrity of its contents.

Notification
to Coordinator
Grant
Agreement
Accession Forms
EC
SEAL
Grant
Agreement
Accession Forms
The Legal Signatory
of the coordinating entity
signs the grant electronically.
Grant
Agreement
The Commission signs
the grant electronically.

Notification
to Beneficiaries
COO
Accession Forms
EC
SEAL
EC
COO
Each beneficiary,
through their Legal Signatories,
must then sign electronically
the "Accession forms" part.
Grant
Agreement
Accession Forms
BEN BEN BEN BEN
1
2
3
4
Grant
Agreement
The Grant Agreement
is then finalised.
EC
SEAL
Accession Forms
BEN BEN BEN BEN
1
2
3
4
EC
SEAL
EC
COO
EC
SEAL
EC
COO
Thank you for your attention