The setting up of FP project consortia

This section answers the questions “How was the team/consortium set up? Who are the initiators? Which channels/networks are used to search for partners?”. The section is based on our survey, the case studies and the interviews on this topic.

Findings on the size and composition of FP project consortia:

 Size and composition of consortia, and also performance, are influenced by the call texts, but determined in a three step process that follows the release of the call texts:

o existing inter-personal networks are used to develop a first outline of a proposal with a group of existing contacts;

o second-tier relations are invited to join the consortium based on this first outline; and

o the discovery of new networks to find the remaining partners serves to complete the composition of the consortium.

 The impacts of the call texts on project performance are significant.

 Low performance case study projects: the requirements that stem from the call text or topic play a lesser role in the development of the consortium; initiative takers take more freedom in terms of size and composition.

 After the release of the call texts initiative takers combine their existing inter- personal networks with second-tier relations and the discovery of new networks to compose a consortium.

3.5.1. Initiators

As we expected, our case studies and our survey data show that the initiators of most consortia are usually experienced researchers. About two thirds of the initiators work for universities or Research and Technology Organisations (RTOs). About 11 per cent work for large corporations, and about 15 per cent work for SMEs. When the call text or topic requires a large consortium, the initiator is often a large and renowned organisation. The initiative for projects that involve (a large number of) SMEs is often taken by one of the RTOs.

The initiators usually originate from Western Europe (>50%). Only 4 per cent originate from Eastern Europe. Almost 80 per cent of the initiators are male. They have substantial experience in research; usually over 10 years, with an average of 15 years. Initiative takers have usually worked in FP projects before, either as a participant, or as a Project Coordinator.

3.5.2. Identification of partners

Our survey results show that initiators combine their existing inter-personal networks with second-tier relationships and the discovery of new networks to compose a consortium. We introduced this process in section 3.4.2. In the first place, existing networks of the initiators are used. It is important to note that this is done exclusively at an inter-personal level.

Commercial relationships are highly important for identifying potential SME partners for the consortium. Many SMEs in FP projects are university spin-offs set up by former PhD students, and post-docs of university professors or associate professors who take the initiative for an FP project.

Early on in the process, channels and networks in second-tier relations are used as well. Many coordinators and participants whom we interviewed refer to them as their “friends-of-friends”. They are important in the composition phase, as they are considered as relatively trustworthy by the initiators. They are usually perceived as participants that are good, that will add value to the proposal, and that will add value to the project itself. Again, proximity is a relatively important factor.

After both the initiators’ networks and the second-tier networks have been deployed, the initiators usually expand their networks in a process that we refer to as the discovery of new networks. These new networks are used to fill the missing partners (often SMEs, but also large firms or end-user organisations) for the missing competencies in a consortium. Our case studies and our interviews show several ways to discover new networks. These include:

 Non-EC search engines. Typically including PubMed, ScienceDirect, and Scopus. Initiative takers regularly hire external consultants to come up with e.g. “a top 10 of universities in the specific field x or y” and to use sophisticated non-EC search engines for that purpose. This was the case in several of the case study projects.

 Matchmaking Events. National Contact Points (NCPs) and the European Commission regularly organise matchmaking events for FP themes and calls. Our study however shows that their impact on the actual size and composition of a consortium is limited. Only one of the case studies shows that only few potential consortium members were found through networking events organised by the European Commission. This was the case in only 4 per cent of the FP projects assessed through our survey.

 The use of EC search engines. In theory particularly the Community Research and Development Information Service (CORDIS). CORDIS can provide initiators and other participants with a detailed overview of participants in previous

projects. It might give them an up-to-date insight in the state-of-the-art in a specific field. In none of the case studies was this instrument used.

3.5.3. Effect on project performance

Our case studies show no significant differences between FP6 and FP7 projects in terms of the way that a consortium is set up. There are no clear differences between the initiators’ characteristics, nor are there significant differences in terms of the networks used to search for partners

Projects with a low average performance score were relatively often based on previously formed consortia. In some of these low performance cases, over 50 per cent of the consortium members had already worked together in an earlier project, while in other cases the consortium is a near-perfect copy of an earlier collaboration. That does not automatically imply that newly formed consortia automatically operate better. This is only the case under certain circumstances. For instance, our case studies of low-scoring FP projects feature several consortia that were new, but that were brought together based on open-invitation multi-day meetings organised by an industrial actor interested in developing a project proposal. Drawing from both its network in academia and its commercial relations with buyers and suppliers, the industrial actor hosts such a multi-day meeting to gauge interest, organise the rough composition of the consortium, and develop an initial project outline. Even though this is probably the most accessible form of matchmaking, it is not per se the best form to find the best participants and reach optimal project performance.