1. Research and Innovation Participant Portal Concept for electronic-only grant management in Horizon 2020
Peter HÄRTWICH
eFP7 Communication Office
RTD M2

2. 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.

3. 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.

4. 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

5. Three main requirements
Identity of the signatory
Integrity of the signed document
Non-repudiation

6. 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

7. 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

8. 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)

9.   1 2 3 4 5 COMMISSION COORDINATOR BENEFICIARIES
Grant Agreement
Accession Forms
Grant Agreement
Accession Forms 1
When the grant preparation is finished, it is digitally sealed by the Commission, insuring the integrity of its contents.
EC SEAL 
Notification to Coordinator
Grant Agreement
EC SEAL
Accession Forms 2
The Legal Signatory of the coordinating entity signs the grant electronically.
Grant Agreement
EC SEAL
COO
Accession Forms
COO 3
The Commission signs the grant electronically. 
Notification to Beneficiaries EC
Grant Agreement
EC SEAL
COO
Accession Forms EC 4
Each beneficiary, through their Legal Signatories, must then sign electronically the "Accession forms" part.
BEN1
BEN2
BEN3
BEN4
Grant Agreement
EC SEAL
COO
Accession Forms
BEN1
BEN2
BEN3
BEN4 EC 5
The Grant Agreement is then finalised.

10. Thank you for your attention