2012 international collaborative research and development program

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2012 International Collaborative Re-search and Development Program

2012. 3. 12~14

International Cooperation Support Team

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1. 2012 International Collaborative R&D Pro-gram

Assist Korean companies in obtaining technologies of strategic importance and advanced technologies from foreign companies through R&D collaborationEstablish a bridgehead for the global commercialization of domestic technologies and Korean companies’ advance into foreign markets through needs-driven technology developmentSecure technology cooperation networks through joint R&D between Korean industry-academia-research circle and global R&D partners

Purpose

To provide founding for R&D projects to Korean industry-academia-research circle in their pursuing international collaborative R&D projects with outstanding foreign R&D organizations

Description

Government contribution : up to KRW 9.029 billion (a total of KRW 5.12 billion)Technology areas that are deemed to generate a significant synergy through international research cooperation with foreign partners, mainly among the 14 major areas of Knowledge Economy Integrated Technology Blueprints

* provided, however, that out of the 14 integrated Technology Blueprints areas, electricity and nuclear power are excluded from potential beneficiary areas of this program (see www.mae.or.kr)Domestic lead organization and participating organization : company, university, research institute, etcNo foreign organization as a lead organization

Others

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3. Funding typeProgram Descriptions

Industry Strategy-Associated

Provide funding to proposals that are found to be eligible in the evaluation on the basis of the domestic needs of int’l collaborative R&D among industry-academia-research circle in light of international R&D cooperation strategies and policy directions.* Select projects that are deemed to be necessary for domestic industries considering the urgency, inno-vativeness and spillover effect, etc. of international R&D cooperation.

Global Industry Academia Coop-

eration

Provide funding to projects in which outstanding foreign universities and Korean companies equipped with technology prowess and commercialization capability jointly pursue ‘project planning-R&D-commercialization’.* University hubs: Georgia Institute of Technology (US) and University of Strathclyde (Europe)

EUREKAProvide funding to projects initiated by domestic companies aiming to develop a new technology or penetrate into European market through participation in multilateral network EUREKA pro-grammes (www.eureka-korea.or.kr)

EUFP

Research Provide funding to cover R&D cost for companies and research institutes whose participation in EU FP (Framework Program) has been confirmed.(www.fp.or.kr)

Activity

1. [Support for EU FP participation] provide funding for pre-proposal activities to facilitate participation in EU FP * KRW 20 million per project/year, To be announced separately.2. [KORANET collaborative R&D program] to strengthen Korea-European cooperation network and promote joint R&D in future; mainly support for small-scale joint research projects or visit to partners* KRW 40 million per project/year, please see Ministry of Knowledge Economy Public Notice No.2012- 68

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4. Eligibility requirements

Funding Type Eligibility requirements Funding size/period/budget

Industry Strategy-As-

sociated

Lead organization: domestic industry ‧academia ‧ research circle (if a university or research institute is a lead org. there must be a participating company in the consortium)Overseas participating organization: one or more overseas research orga-nization (Industry‧academia‧research circle)

200 million ~ up to 1 billion a year2 ~ up to 5 yrs.54.29 (KRW 100 mil-lion)

Global Indus-try Academia Cooperation

Lead organization. : domestic SME ‧ mid-tier companyOverseas participating organization: Georgia Institute of Technology(USA), and University of Strathclyde (Europe)

300 million ~ up to 500million a year 3 yrs. or below 15 (KRW 100 million)

EUREKA

Lead organization: domestic industry‧academia‧research institute (if a university or research institute is a lead org. there must be a participating company in the consortium)(a domestic organization that had formed a joint R&D consortium with research institutes from 2 or more EUREKA member countries)Overseas participating organization: research institutes from 2 or more EU-REKA member countries (from industry‧academia‧research circle) Approx. 300 million

Approx. 3 yrs.21 (KRW 100 million)

EU FP

Lead organization: domestic industry‧academia‧research institute (if a university or research institute is a lead org. there must be a participating company in the consortium)(a domestic organization that had formed a consortium with 3 or more European member countries and had concluded Grant Agreement and Consortium Agreement)Overseas participating organization: research institutes from 3 or more Eu-ropeans member countries (from industry‧academia‧research circle)

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5. Funding Type (Industry Strategy-Associated)

Concept

](Evaluation/Funding)

Submit R&D proposal(leading organization)

International R&D con-sortium

(Bottom-Up)

Proposals(Korean/English)

MOU or Consortium Agreement

If a university or re-search institute is a lead org. there must

be a participating company in the con-

sortium.

Can not be a leading organization

Funding Funding


Domestic(company/

academies/R&D Insti-tutes)

Foreign(company/

academies/R&D Insti-tutes)

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5. Funding Type (Global Industry Academia Cooperation)

Concept

Foreign Gov-ernment

Domestic SMEs

등 인프라 지원

Foreign Universities

Global R&BD Center

Proposal

R&D & commercial-ization

R&BD center

Support human resources, Facilities and other infras.

Cooperation Proposal

R&D & commercialization

R&BD center

Budget

Funding

Funding

Incentives

Global Industry Academia Cooperation

Foreign Univ. : USA (Georgia Institute of Technology), UK (University of Strathclyde)

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5. 지원유형 (EUREKA, EU FP)

Concept

INDIVIDAUL/UM-BRELLA

(NPC/HLG Meeting)

EUROSTARS(EUROSTARS Secretariat)

CLUSTERS(CLUSTERS Organization)

Framework Pro-gramme

(European Commission)

EUREKA (Approver)

EU FP 7

SubmitPropos-

als

Do-mestic orgs.For-eignPart-ners

Ap-proval

Request for Fund-

ing

R&D

Consortium

DomesticEvaluation

EUREKA, EU FP EUREKA : www.eureka-korea.or.kr EU FP : www.fp.or.kr

http://www.eureka-korea.or.kr/

http://www.fp.or.kr/

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6. Application Procedure


Submit Pre-ProposalDomestic company, uni-versity, or research insti-

tuteFirst half : 3.12~4.12

Second half : 9.01~9.14

1st EvaluationSelect 2-3fold of the applicants on

the shortlistFirst half : AprilSecond half : Sep.

Submit Full-Proposal Only applicable to those selected in the 1st written

evaluationFirst half : 05.01~05.31Second half : 10.15~11.15

2nd Evaluation

Finalists

First : JuneSecond : Dec.

Contract

R&D1H : July~2H :

Dec.~

Additional funding is expected if additional budget is secured in 2H

Global Industry Academia Cooperation

Submit Full-Proposal

Submission of Full-pro-posals

06.1~6.29

Evaluation

Finalists

July

Contract

R&D

Aug.~

Foreign partners of only Georgia Institute of Technology and University of Strathclyde

No Pre-Proposal

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6. Application Procedure

EUREKA

EU FP

Evaluation Committee: contacts organizations that had submitted application forms, etc. individually and conducts evaluation of them on a half-yearly basis (detailed schedules will be informed individually) Agreement: enter into agreement within 1 month from the opening of the Evaluation Committee

Submission

Submission of proposals

Individual con-tacts required

EvaluationOpening of the

Evaluation CommitteeTwice a year

EUREKA Assembly

EUREKA Approval

Jan, Apr, Jun, Oct

Contract

Finalists

After contracting

Confirm Participa-tion in FP7

Projects finally approved by EC

GA : Grant Agreement

Submission

Submission of proposals

Individual con-tacts required

Evaluation

Opening of the Evalua-tion Committee

Twice a year

Contract

Finalists

After contracting

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7. Government funding size In a case where there is only one lead organization within a consortium and it is an SME or

mid-tier company, up to 75% of the annual project budget may be provided.* Cash portion of civilian dues shall be 10% or more of total civilian dues (cash + in-kind).

In a case where an SME or mid-tier company is not a lead organization, or there are multiple lead organizations within a consortium, % of government contributions and cash portion of civilian dues may differ according to the number and type of participating companies as be-low:

Foreign companies are not counted in the number of participating companies.

# of Participating Company

Type & composition of participating companies % of government contributions Cash portion of civilian

dues

1SME or mid-tier company 75.0% or below of the annual

project budget 10% or above of the annual civilian dues

Large company 50.0% or below of the annual project budget

20% or above of the annual civilian dues

2 or more

If SMEs or mid-tier companies account for two thirds or more

75.0% or below of the annual project budget


If SMEs and mid-tire companies are combined to account for two thirds or more

75.0% or below of the annual project budget


Other 50.0% or below of the annual project budget


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7. Royalties In a project where a lead organization is a for-profit organization and a licensee company, the fixed royalty shall be applied. In a project where a lead organization is a non-profit organization or where a lead organization is a for-profit organization and NOT a licensee company, the running royalty shall be applied.

Initial payment shall be determined within 10% of government contributions, etc. excluding direct costs through discussion; provided, however, that initial payment may be exempted if a participating company is a licensee company.

< Fixed royalty > < Running royalty >

Type of LO Fixed royalty rate Collection period Type of licensee company Running royalty rate Collection period

Large-sized company

40% of government contributions

For 5 years from the signing date of license

agreementLarge-sized company

5% or less of initial payment* + sales

revenue

10 years or less from the signing date of license

agreement (7 years in case where

the lead organization is a licensee company)

Medium-sized company*


for 5 years from the signing date of license

agreement Medium-sized

company3.75% or less of initial

payment +sales revenue




Small-sized company


for 5 years from the signing date of license

agreement Small-sized company

2.5% of less of initial payment +sales

revenue




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7. Reminder In line with MKE’s policy for “expansion of investment in Knowledge Economy R&D”, in a case where a lead organization is a non-profit organization, 20% or more of the government contri-butions shall be disbursed to an SME or mid-tier participating company. For SMEs, labor cost arising from researchers with B.A. or higher level of academic degree who are hired for the purpose of executing the corresponding project may be posted as pay-ment in cash according to their participation rate. In a case where labor cost arising from newly-hired researchers under the above clause ac-counts for 30% or more of the total annual labor cost (cash plus in-kind) of an executing orga-nization of the corresponding project, an amount equivalent to the above cost may be posted as payment in cash under the account of labor cost from the existing researchers. For foreign participating organizations, the employment of guidelines for calculation, use and settlement of the project budget as laid out by the national legislation of the foreign organiza-tion’s government or its in-house regulations on R&D is permitted. A lead organization or a participating organization may post ‘creative activity cost’, which arises from activities of participating staffs’ exchanging or converging knowledge among dif -ferent kinds of disciplines to derive creative/novel ideas as a direct cost item.During the execution of an international collaborative R&D project, non-technical experts in the areas related to technology commercialization and acquisition of IPR, etc., may be utilized as participating researchers to facilitate technology commercialization and acquisition of IPR, etc., or experts in the areas of social science and humanities may be utilized as participating researchers who are capable of giving advice on the economic or social spillover effects of a technology to develop. As for foreign organizations that participate in this Programme, in principle, it shall be a re-search organization that belongs to foreign industry (company), academia (university) or re-search institutes that is operating overseas. In case of a foreign R&D center operating in Ko-rea, it is allowed to participate in the Programme in the capacity of foreign research institute. For projects receiving 60~70 points, the amount of government contribution to be disbursed for the next year may be adjusted to less than 20%.

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8. Preferential Criteria Where the PI of the proposed project is the PI of a project conducted under MKE International Collaborative R&D Programme that was found to be "Innovative Outcome (Outstanding)" in an evaluation during the past three (3) years : 3 points In a case where additional budget (cash) is provided under a foreign government’s R&D pro-gramme: 5 points Any project under approved by the EUREKA or EU FP is not eligible for this criteria

In a case where an overseas participating organization actively participates in a project through cash match: 5 points

Any project under approved by the EUREKA or EU FP is not eligible for this criteria In a case where an overseas organization that had established or is set to establish a R&D center in Korea before or during the execution of a project is included in the consortium as a participating organization : 3 points (detailed plan of R&D center establishment shall be stated in the proposal and once the proposal is selected to receive funding, provisions regard-ing the establishment of a R&D center shall be incorporated into an agreement) In a case where a proposal meets 「 the Guideline on Labor Cost 」 for the expansion of in-vestment in human resources under Knowledge Economy R&D programme: 3 points

* In a case where an SME, university or university-funded institute hires new research staffs and meets 「 the Guideline 」 mentioned above.* In a case where (in a project participated by a large-sized company) a large-sized company spends 5% or more of the corresponding project budget on recruiting new employees and meets 「 the Guideline 」 mentioned above.

(Unit : %)

Guideline Int’l Collaborative Research and Development Programme

% of labor cost 35~45

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9. Evaluationtechnology (70 points), international cooperation (30 points)* Technology: importance (innovativeness and originality), spillover effect, technological level, possibility of success in technology development* International cooperation: necessity and urgency of funding from the government, preparedness of int’l cooperation, etc.

Pre-Proposaltechnology (50 points), market (30 points), and IPR (20 points)* Technology: importance (creativity/originality), research planning and reasonableness of project budgets, research executing capability, and possibility of success in technology development * Market: possibility of success in commercialization, economic feasibility and spillover effect* IPR : appropriateness of IPR sharing

Full-Proposal

EUREKA PAM(Project Assessment Methodology)* Core evaluation categories (100) : financial capability of a lead organization, an official Letter of Consent signed by all members of a consortium on execution of the project *Basic evaluation categories (100) : level of cooperation, appropriateness of roles and responsibilities sharing, possibility of generating added value, technical capability, project management capability, work flow, cost and financial structure, financial accountability by partner, and targets with milestones * Technology and innovativeness (100) : technology prowess, technology achievement, innovativeness, and regional/sectoral impact* Market and competition intensity(100) : market size, market penetrability and risk, ROI, strategic importance, and improvement of competitiveness

EUREKA

Necessity and originality of technology development (30 points), planning of deliverable utilization(15 points), consortium composition (30 points), research executing capability (10 points), and reasonableness of project budgets (15 points)

EU FP

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10. Required documents

※ D&B Report is a corporate information report provided when a DUNS (Data Universal Numbering System) Number is given. It takes about one (1) week from request until issuance of the report. (For report issuance in Korea, contact NICE D&B Global Team, Tel: 02-2122-2342.)※ For an Industry Strategy-Associated project, projects selected in the 1st round of evaluation on Pre-Proposal are only required to submit the required documents mentioned above for the 2nd round of evaluation (each of the selected proposals will be contacted individually)

No Documents Remark

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A proposal in Korean (including a proposal in English)EUREKA, EU FP: a proposal in English* (including a summary in Korean)* In the event of participating in an overseas R&D programme such as EUREKA, EU FP, etc. please submit a proposal in English.* For projects under EU FP, submit EU FP final proposal (including a budgetary plan and schedule_English)

Choose one applicable and

submit it

2 Dun and Bradstreet (D&B) Report* (applicable to company only)3 LOI of participating organizations

4 Evidentiary documents demonstrating additional points as of the due date of submission If applicable

5 A copy of the Certificate for Industrial R&D Center (applicable only in case a Korean enterprise is LO) If applicable

6 A resume for a PI of an LO and the project leaders of participating organizations;

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Agreement or MOU signed between LO and domestic/foreign participating organization or a copy of Consortium Agreement or a letter of confirmation on participation in Consortium * For a project under EU FP, a copy of Grant Agreement concluded with EC Coordinator or GPF(Grant Agreement Preparation Form) shall be submitted.

Choose one applicable and

submit it

8 A Letter of Consent by an organization to which external researchers originally belongs, consenting to their participation in the Program If applicable

9NDA, P/O (Purchase Order), RFQ (Request for Quotation), Sales note, MOU, evidentiary documents demonstrating that the corresponding project is requested by a foreign company that will use the developed technology such as R&D Agreement (choose 1)

If applicable

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11. Applicable law and regulations

Rules Name

Legal grounds Articles 27 and 29 of ‘ 「 The Industrial Technology Innovation Promotion Act 」’ and Article 39 of the Enforcement Decree thereof

Rules

The Common Operational Regulations for the Knowledge Economy Technology Innovation Programmes 」’ (MKE Public Notice No. 2011-141)

The Regulations on Collection, Use and Management, and Settlement of Project Budget 」’ (MKE Public Notice No. 2011-142)

The Comprehensive Regulations on Collection, Use and Management of Royalties’ 」 (MKE Public Notice No. 2011-144)

The Evaluation Guideline for International Collaborative Research and Development Programmes’ 」 , etc. (International R&D Collaborative Program - MKE Rules No. [36])

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12. 과제접수시스템 접속 및 제출요령 (1)pms.rs.kr, sign-up and log-in

Submission of Proposals

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12. 과제접수시스템 접속 및 제출요령 (2)

Submission of Proposals