The first difference is the duration of the framework programmes; FP6 ran for four years and FP7 is planned to run for seven years. The next major difference is the structuring of the framework programmes. Under FP6 activities were divided into three areas and seven thematic priorities. FP7 activities are divided into four areas and ten thematic priorities. Regarding financial issues, FP7 has been simplified. Previously three cost models were used, but these cost models have been abolished for FP7 and flat rates have been applied, levels of funding have been increased, and audits have been revamped so that projects above 325,000 euro have mandatory audits and projects less than 25,000 euro are not subject to auditing. Also, new regulations have been established to protect participants from the risks of financial loss. The guidelines for intellectual property rights have also changed.
Now that the highlights and comparisons of FP7 have been addressed, the remaining question is: how will FP7 benefit SMEs? To start, FP7 has made it easier for SMEs to participate in all aspects of research and development. The funding rates have increased, the rules and procedures have been simplified, and access to information has been increased. FP7 encourages SMEs to work in collaboration with each other not only within a region, but internationally as well, creating new networking opportunities and increasing the knowledge pool from which the participants can utilize. In general, the risks have been reduced for SME participation and the gains have been increased, all with the aim of making the EU the world's most dynamic and competitive knowledge-based economy.
FP6 |
FP7 |
General Aspects |
• Duration - 4 years |
• Duration - 7 years |
• Calls for proposals - 3 consecutive years |
• Calls for proposals - 6 consecutive years |
• 7 Themes |
• 10 Themes - several names changed and new, separate themes – e.g. Security |
• Activities in 3 blocks: Priority Thematic Areas, Strengthening ERA, Specific Activities |
• Activities in 4 blocks; new activities added or names changed: ETPs, JTIs, Co-operation, Ideas, People, Capacities |
• Instruments separately indicated |
• Instruments - STREPs and IPs grouped together, CAs and SSAs grouped together |
• Co-operative Research |
• Research for SMEs |
• Collective Research |
• Research for SME Associations |
• STREPS + IPs |
• Collaborative Projects |
Thematic Aspects:
Priority Thematic Areas vs. Co-operation |
1. Life Sciences, Genomics and Biotechnology |
1. Health |
2. Food Quality & Safety |
2. Food, Agriculture, & Biotechnology |
3. Information Society Technologies |
3. Information & Communication Technologies |
4. Nanotechnologies, Materials & Production Processes |
•4. Nano-sciences, Nanotechnologies, Materials and new Production Technologies |
5. Sustainable Development, Global Change & Ecosystems |
5. Energy
6. Environment (including Climate Change) |
6. Aeronautics & Space |
7. Transport (including Aeronautics) |
7. Citizens & Governance |
8. Socio-economic Sciences and the Humanities |
| p |
9. Security
10. Space |
Activities |
• Research for Policy Support |
• Support to the coherent development of research policies (under Capacities) |
• New & Emerging Science & Technologies |
• Future & Emerging Technologies (Ideas) |
• Specific Research Activities for SMEs |
• Strengthening innovative capacities of SMEs and their ability to benefit from research (under Capacities) |
• Specific International Cooperation Activities |
• International Cooperation |
Activities |
• Research and Innovation |
• Research for the Benefit of SMEs |
• Human Resources & Mobility |
• People |
• Research Infrastructures |
• Research Infrastructures |
• Science and Society |
• Science in society |
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• New activities added: e.g. ETPs, JTIs |
Activities |
• Coordination of Research Activities |
• Regions of Knowledge |
• Development of Research/Innovation Policies |
p |
Financial Aspects - General |
• 3 Cost Models |
None (including no AC for Universities)
• Real indirect costs
• a flat rate of 20% of direct eligible costs
• flat rate of 60 % (from 2010 on max. 40%) of direct eligible costs |
• Single Cost Model for project |
• Mixed forms of Grants possible in some projects |
• Man-month rates not limited |
• Man-month rates limited |
• No limits on categories |
• Lump sums of 25,000 Euro for some categories (travel) |
• No separation into Units |
• “Scales of Unit Costs” based on personnel |
Financial Aspects - Level of Funding |
% of eligible costs |
Research and technological activities: |
50% |
• All except the following - 50% of eligible costs |
75% |
• Public bodies: - 100 % of Actual costs |
75% |
• Secondary & higher education establishments - same |
75% |
• Research organisations (non-profit): - same |
75% |
• SMEs: - 50 % of eligible costs |
75% |
Demonstration activities: - 35% of eligible costs |
50% |
Other activities: |
p |
• Management - 100% up to 7% of the funding |
100% |
• Frontier research actions (NEST, FET) - 100% |
100% |
• Coordination and support actions - 100% |
100% |
• Training and career development of researchers actions (Marie Curie) - 100% |
100% |
Financial Aspects - Audit certificates |
Audits certificates - mandatory, on yearly or total project duration basis |
Audits - flexible:
• Mandatory > 325,000 Euro
• None < 25,000 Euro
• None for indirect actions supported by lump sums or flat rate |
Financial Collective Responsibility in proportion to funding |
Fixed Guarantee Mechanism of ~ 1% |
| p |
New guarantee mechanism to cover risk of financial losses:
• 5% of grant (from all participants), taken from first advance payment as capital stock
• Reimbursement of the capital to participants with final payment
• Risk coverage by interest gained (in first instance)
• If interest not sufficient to cover losses, in addition max. 1% of the grant from the capital stock (not for public bodies)
• Advantage: less ex-ante financial checks (only for coordinators and if grant to a participant > € 500,000); no more bank guarantees |
Intellectual Property Rights |
• Pre-existing know-how |
• Background |
• Included side-ground |
• Excluded side-ground |
• No specific reference to “needed” |
• Reference to “needed” for implementation or use |
• Knowledge |
• Foreground |
• Ownership of knowledge |
• Ownership of foreground but no change in substance |
• Joint ownership of knowledge |
• Default regime if no agreement is reached |
• Transfer of ownership - prior notice needed |
• No prior notice required if transfer to specially identified 3 rd party |
• EC to be notified |
• EC not to be notified – unless in grant agreement |
• Publications |
• Dissemination (including publications) |
• Prior written notification re-publications |
• Prior notice only to participants |
• Access rights - specific pre-existing know-how could be excluded |
• Access rights – Background may be freely defined by written agreement. Only needed background to be excluded |
• Access rights for use of knowledge - royalty free |
• Access rights for use of foreground – royalty-free or under fair and reasonable conditions
• Access rights for use and implementation of "frontier" research - royalty free
• Specific provisions in grant agreement possible |
Evaluation Aspects |
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• EC to adopt and publish rules on procedures for proposal submission, evaluation, selection and award, Including two-stage submission and two-step evaluation
• EC to adopt and publish rules to ensure consistent verification of the legal status and financial capacity of participants
• Evaluation criteria will be defined in SP and WP |
5 or 6 criteria for SSAs, NoEs and RTD project proposals |
Criteria to be grouped in 3 major categories:
- S&T quality
- Impact
- Implementation
Relevance to be integrated in all criteria. More details in WPs and Specific Calls |
Some Terminology Changes |
• Priorities |
• Themes |
• Instruments |
• Funding Schemes |
• Coordination Actions (CAs) and Support Actions (SSAs) |
• Coordination Actions (CAs) and Support Actions (SSAs) |
• Financial Guidelines |
• Financial Rules |
• Model Contract |
• Model Grant Agreement |
• Necessary (Eligible Costs) |
• Used solely to achieve Project Objectives |
• INCO (International Cooperation) |
• ICPC (International Cooperation Partner Countries |
• IST (Information Society Technologies) |
• ICT (Information & Communication Technologies) |
• NIS (Newly Independent States) |
• EECA (East European and Central Asian countries) |
• Co-operative Research |
• Research for SMEs |
• Collective Research |
• Research for SME Associations |
• STREPS + IPs |
• Collaborative Projects |
• NEST + FET |
• Frontier Research |
• Pre-existing know-how |
• Background (IPR) |
• Knowledge |
• Foreground (IPR) |
