19 th EARMA Conference Vienna Integrated grant management services for Horizon 2020 3 July 2013 Peter Härtwich European Commission Directorate-General Research & Innovation News in the H2020 Programme 1. A new structure and focus Only one Specific Programme 3 main pillars More focus on societal challenges rather than specific technologies More focus on innovation, closer-to-market activities More cross-cutting activities 2. New programming cycle Three year strategic programming Three year strategic programming Two-year work programme only one work programme for all H2020 "Focus areas" cutting across pillars 1
News in the H2020 Programme 3. Implementing bodies, new management modes 7 Commission DGs 5 Executive Agencies JTIs 185 EIT EIB 4. New/revised forms of funding SME "SBIR" actions Co-funding actions Prizes Financial instruments (loan and equity) Simplification in the H2020 Rules for Participation 1. A SINGLE SET OF RULES Covering all research programmes and funding bodies Aligned to the Financial Regulation, coherent with other new EU Programmes. 2. SIMPLER RULES FOR GRANTS Single funding rate per project (max. 100%/70%) Flat rate for indirect costs (25% of eligible direct costs) Broader acceptance of participants accounting practices for direct costs Possibility to use 'average' personnel cost No time-sheets for personnel working full time on a project Non-recoverable VAT will be eligible cost Possibility of output-based grants 2
Simplification in the H2020 Rules for Participation 3. FEWER, BETTER TARGETED CONTROLS AND AUDITS Extension of guarantee fund to all H2020 actions Ex-ante financial capacity checks for coordinators only Only 1 certificate on financial statements per beneficiary, at the end of the project Audit strategy focused on risk and fraud prevention Electronic grant management Participant Portal as single gateway New integrated grant management module No more blue ink signatures Extended mandate of Legal Entity Apppointed Representative (LEAR) 3
Place of the Participant Portal in EU s Research communication media 3 Internet portals related to the EU research and innovation actions are currently used: RESEARCH on EUROPA policy context http://ec.europa.eu PARTICIPANT PORTAL interactions with participants http://ec.europa.eu/research/participants/portal CORDIS disseminationi of FP7 results http://cordis.europa.eu There is an ongoing reorganisation of the division of tasks in these portals until end 2013 to offer better services. Research Participant Portal Offers external stakeholders a unique entry point for the interactions with the European Commission or Agencies in handling grant-related actions, based on: ECAS Single sign-on (1 ECAS account = 1 e-mail address = 1 person) + = IAM Access rights based on role authorisation Personalised services on the Participant i t Portal Brings homogeneity, transparency and better service integration for grant management. 4
Participant Portal services: without login Funding Documents My Organisations Experts Support Funding opportunities Reference documents Organisation registration Experts registration Help & support 5
Participant Portal services: without login Funding Funding opportunities 1. Find funding opportunities Open/closed/forthcoming FP7 & CIP calls Links to other calls Latest information on published calls Call search: full-text search "Stay tuned" options: electronic agenda, RSS feeds, email notifications 2. Access the electronic proposal submission system Prepare and submit proposals using the new proposal submission system of the Portal (available after ECAS login) Participant Portal services: without login Funding Documents My Organisations Experts Support Funding opportunities Reference documents Organisation registration Experts registration Help & support 6
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Participant Portal services: without login Funding Documents My Organisations Experts Support Funding opportunities Reference documents Organisation registration Experts registration Help & support Participant Portal services: without login My Organisations Organisation registration 1. Access link to the organisation registration tool The organisation registration tool itself is only available after an ECAS login. 2. Search for an existing PIC (Participant Identification Code) number 3. Access the financial viability simulation tool 8
Participant Portal services: without login Funding Documents My Organisations Experts Support Funding opportunities Reference documents Organisation registration Experts registration Help & support Participant Portal services: without login Experts Experts registration The Experts tab in the Participant Portal is a web-based application for communication between experts (evaluators of research proposals, reviewers of ongoing projects, etc.) and the European Commission. This Expert Area replaces and enhances the system previously available on CORDIS. 9
Participant Portal services: without login Experts Experts registration 1. New experts can create their profile 2. Experts can update their profile The expert registration tool itself is only available after an ECAS login. 3. Existing experts can transfer their old CORDIS profile Experts who had a profile on CORDIS have received an e-mail asking them to transfer that profile to the Participant Portal (valid until April 18, 2013) Participant Portal services: after login Person nalised services Funding Documents My Organisations My Proposals My Projects My Roles Notifications Experts Support Funding opportunities Reference documents Organisation-related data Proposals for funding Projects-related services Viewing your access rights Service messages Manage expert profiles Help & support 10
Participant Portal services: after login Persona alised services Funding Documents My Organisations My Proposals My Projects My Roles Notifications Experts Support Funding opportunities Reference documents Organisation-related data Proposals for funding Projects-related services Viewing your access rights Service messages Manage expert profiles Help & support Participant Portal services: after login My Organisations Organisation-related data 1. Register an organisation The person registering the data receives online the PIC number for his/her organisation. Participants are encouraged to register their organisations as soon as possible before drafting a proposal. Possibility to register an organisation on behalf of someone else. Management of multiple PICs is now possible. 2. Access organisation-related data 3. Update an organisation s data 11
Step 1: Automatic search for similar previous registrations 12
When the automatic search finds similar previous registrations If no previous similar registration is found: Start the registration of the organisation 13
The self-registrant receives a PIC number at the end of the registration Participant Portal services: after login Person nalised services Funding Documents My Organisations My Proposals My Projects My Roles Notifications Experts Support Funding opportunities Reference documents Organisation-related data Proposals for funding Projects-related services Viewing your access rights Service messages Manage expert profiles Help & support 14
Participant Portal services: after login My Proposals Proposals for funding PIC numbers are required in the new proposal submission system Proposals are composed of: Part A: the administrative information (list of participants, legal and financial structured forms, etc.); Part B: a PDF document with the scientific and technical contents; There may be additional documents (optional). 15
Participant Portal services: after login Funding Documents Funding opportunities Reference documents Pers sonalised services My Organisations i Organisation-related t data My Proposals Proposals for funding My Projects Projects-related services My Roles Viewing your access rights Notifications Service messages Experts Manage expert profiles View Project details with basic data, abstract and list of participants Access the available tools for each project: AN = Access Negotiation AA = Access Amendment FR = Financial Reporting PR = Periodic Reporting RD = Reporting & Deliverables 16
View all roles in the Project. If you have sufficient rights, you may also nominate and revoke roles for other persons according to the current situation of the consortium View the organisation's basic details and full list of project roles Nominate new roles or revoke existing roles (only if you are Primary Coordinator Contact, Coordinator Contact t or Participant i t Contact) t) 17
Participant Portal services: after login Funding Documents My Organisations Funding opportunities Reference documents Organisation-related data Personalis sed services My Proposals Proposals for funding My Projects Projects-related services My Roles Viewing your access rights Notifications Service messages Experts Manage expert profiles Support Help & support Participant Portal services: after login My Roles Viewing your access rights View your roles at the organisation level and/or at the project level Roles at the organisation level: o LEAR o Account Administrator o FSIGN o Self Registrant Roles at the project level: o Primary Coordinator Contact o Coordinator Contact o Participant Contact o Task Manager o Team Member o FSIGN assigned to a project 18
Participant Portal services: after login Funding Documents Funding opportunities Reference documents Perso onalised services My Organisations Organisation-related data My Proposals Proposals for funding My Projects Projects-related services My Roles Notifications i Viewing your access rights Service messages Experts Manage expert profiles Support Help & support 19
Participant Portal services: after login Experts Experts registration 1. New experts can create their profile 2. Experts can update their profile 3. More services will come in the course of 2013 20
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project dashboard Doc library Chat area 23
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Concept for paperless grant management 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) via ereceipt Chain of trust to secure identity of persons Full use of HERMES/ARES for electronic document registration, storage and access 25
"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 also supporting documents on identity of the legal representative LEAR mandate (among other issues): assign persons authorised to sign the different types of documents; supervise assignment of other roles in the portal IAM for their organisation ereceipt Digitally signed pdf document containing: Full content of the transmitted documents Set of metadata: certified time stamp, ECAS credentials of the actors in the transaction Digital signature is an advanced electronic signature, using public-private key mechanism Assures 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 26
Example (implemented today): paperless submission of financial statements LEAR nominates (online, in the portal IAM) list of persons authorised to sign financial statements Only these persons get access to the "Sign and submit" function in the financial reporting module "Sign and submit" triggers creation of an ereceipt that is stored in the electronic project archive All persons needing to know (including the LEAR) are notified on the transaction and have access to the ereceipt Three main requirements Identity of the signatory Integrity of the signed document Non-repudiation 27
Identity of the signatory Today (paper): No ex-ante check Potential ex-post check in case of litigation via forensic techniques on the blue ink signature Future e-only: Ex-ante establishment of registry of signatories Chain of trust, with blue ink signature at the top LEAR as central person in each legal entity Integrity of signed document Today (paper): Weak ex-ante check Potential ex-post check in case of litigation via forensic techniques on the paper document signed in blue ink Future e-only: Digitally signed document (advanced electronic signature) Any attempt to change the document leads to breach of digital signature 28
Non-repudiation Today (paper): Assured in case of litigation via forensic techniques on the paper document signed in blue ink Future e-only: Identity and access management using ECAS ereceipt containing metadata of the transaction (credentials of users, time stamp) Digital ECAS signature Horizon 2020 Documentation and Horizon 2020 Documentation and Guidance Ideas for better presentation 29
Today Aim for Horizon 2020 Ease of access and understanding Harmonised terminology Uniform interpretation Legal certainty Reduction of volume Context-related guidance integrated in the IT systems instead of paper documents, wherever possible 30
The Web book for applicants, participants and experts Presenting the contents of the H2020 Manual Web-based, easy navigation, usertype specific entry paths, deeplinking and crossreferencing Central glossary Central FAQ data base The H2020 Manual for Applicants, Participants and experts Addresses external users (applicants, beneficiaries, experts) Text document, composed of the vade-mecum, minus those parts addressed internally to COM/Agency staff The H2020 Vademecum for Commission/Agency staff Addresses Commission and agency staff (but also available to external users) Text documents, major parts adopted by COM Decision Presentation of H2020 calls for proposals Two basic ways of navigation: via the H2020 programme structure and via topic search Full text search Tagging of all topics additional search options with synonyms, colloquial expressions, circumscriptions 31
NEXT Funding Opportunities page NEXT Search function 32
Browse and filter calls View call details 33
NEXT NEXT 34
Summary Continuity and improvement Participant Portal as single gateway for Horizon 2020 Electronic-only grant management extended role of LEARs New integrated grant management system, used by all COM services and agencies; transparency on all interactions Better presentation of calls, documentation and guidance Thank you very much for your attention 35