2012 International Collaborative Research and

Report
2012 International Collaborative Research
and Development Program
2012. 3. 12~14
International Cooperation Support Team
1
1. 2012 International Collaborative R&D Program
Assist Korean companies in obtaining technologies of strategic importance and advanced
technologies from foreign companies through R&D collaboration
Establish a bridgehead for the global commercialization of domestic technologies and Korean
companies’ advance into foreign markets through needs-driven technology development
Secure technology cooperation networks through joint R&D between Korean industry-academiaresearch circle and global R&D partners
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
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, etc
No foreign organization as a lead organization
2
3. Funding type
Program
Descriptions
Industry Strategy-
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.
Associated
Global Industry
Academia
Cooperation
* Select projects that are deemed to be necessary for domestic industries considering the urgency, innovativeness and
spillover effect, etc. of international R&D cooperation.
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)
Provide funding to projects initiated by domestic companies aiming to develop a new technology or penetrate
EUREKA
into European market through participation in multilateral network EUREKA programmes (www.eurekakorea.or.kr)
Research
EU
FP
Activity
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)
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
3
4. Eligibility requirements
Funding Type
Industry
StrategyAssociated
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 organization
(Industry‧academia‧research circle)
Academia
Cooperation
EUREKA
EU FP
size/period/budget
200 million ~ up to 1 billion
a year
2 ~ up to 5 yrs.
54.29 (KRW 100 million)
300
Global
Industry
Funding
Eligibility requirements
Lead organization. : domestic SME ‧ mid-tier company
Overseas participating organization: Georgia Institute of Technology(USA), and
University of Strathclyde (Europe)
million
~
up
to
500million a year
3 yrs. or below
15 (KRW 100 million)
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)
Approx. 300 million
Overseas participating organization: research institutes from 2 or more EUREKA
member countries (from industry‧academia‧research circle)
Approx. 3 yrs.
Lead organization: domestic industry‧academia‧research institute (if a university or
21 (KRW 100 million)
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 Europeans
member countries (from industry‧academia‧research circle)
4
5. Funding Type
Industry Strategy-Associated
Funding
(Industry Strategy-Associated)
Concept
]
Funding
(Evaluation/Funding)
Submit R&D proposal
(leading organization)
International R&D
consortium
(Bottom-Up)
Domestic
(company/academies/R&D
Institutes)
If a university or research
institute is a lead org.
there must be a
participating company in
the consortium.
Proposals(Korean/English)
MOU or Consortium
Agreement
Foreign
(company/academies/R&D
Institutes)
Can not be a leading
organization
5
5. Funding Type
(Global Industry Academia Cooperation)
Global Industry Academia Cooperation
Concept
Foreign
Government
Incentives
Budget
Funding
Foreign Universities
Funding
Support human resources,
Facilities and other infras.
Domestic SMEs
Global R&BD Center

Proposal

R&D & commercialization

R&BD center
Cooperation

등 인프라 지원
Proposal
R&D &
commercialization


R&BD center
Foreign Univ. : USA (Georgia Institute of Technology), UK (University of Strathclyde)
6
5. 지원유형
(EUREKA, EU FP)
EUREKA, EU FP
Concept
EUREKA : www.eureka-korea.or.kr
EU FP : www.fp.or.kr
EUREKA (Approver)
INDIVIDAUL/UMBRELLA
(NPC/HLG Meeting)
Consortium
Domesti
c orgs.
Foreign
Partners
EUROSTARS
Submit
Proposals
(EUROSTARS Secretariat)
Appr
oval
Request for
Funding
CLUSTERS
(CLUSTERS Organization)
EU FP 7
Framework Programme
R&D
(European Commission)
Domestic
Evaluation
7
6. Application Procedure
Industry Strategy-Associated
Submit Pre-Proposal
1st Evaluation
Submit Full-Proposal
2nd Evaluation
Contract
Domestic company, university,
or research institute
Select 2-3fold of the
applicants on the
shortlist
Only applicable to those
selected in the 1st written
evaluation
Finalists
R&D
First half : 3.12~4.12
Second half : 9.01~9.14
First half : April
First half : 05.01~05.31
First : June
Second : Dec.
1H : July~
2H : Dec.~
Submit Full-Proposal
Evaluation
Contract
Submission of Fullproposals
Finalists
R&D
06.1~6.29
July
Aug.~
Second half : Sep.
Second half : 10.15~11.15
Additional funding is expected if additional budget is secured in 2H
Global Industry Academia Cooperation
No Pre-Proposal
Foreign partners of only Georgia Institute of Technology and University of Strathclyde
8
6. Application Procedure
EUREKA
Evaluation
Opening of the
Evaluation
Committee
EUREKA Assembly
Contract
EUREKA Approval
Finalists
Twice a year
Jan, Apr, Jun, Oct
After contracting
Confirm
Participation in FP7
Submission
Evaluation
Contract
Projects finally
approved by EC
Submission of
proposals
Opening of the Evaluation
Committee
Finalists
GA : Grant
Agreement
Individual contacts
required
Twice a year
After contracting
Submission
Submission of
proposals
Individual contacts
required
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
9
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 below:
# of Participating
Company
Type & composition of participating
companies
% of government contributions
Cash portion of civilian dues
SME 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
If SMEs or mid-tier companies account
for two thirds or more
75.0% or below of the annual
project budget
10% or above of the annual
civilian dues
If SMEs and mid-tire companies are
combined to account for two thirds or
more
75.0% or below of the annual
project budget
10% or above of the annual
civilian dues
Other
50.0% or below of the annual
project budget
20% or above of the annual
civilian dues
1
2 or more

Foreign companies are not counted in the number of participating companies.
10
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.
< Fixed royalty >
Type of LO
Fixed royalty rate
40% of government
Large-sized company
contributions
Medium-sized
company*
Small-sized company
Initial
30% of government
contributions
20% of government
contributions
< Running royalty >
Collection period
For 5 years from the
signing date of license
agreement
for 5 years from the
signing date of license
agreement
for 5 years from the
signing date of license
agreement
Type of licensee
company
Large-sized
company
Medium-sized
company
Small-sized
company
Running royalty rate
Collection period
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)
3.75% 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)
2.5% of 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)
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.
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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 contributions 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 payment in cash according to their
participation rate.
In a case where labor cost arising from newly-hired researchers under the above clause accounts for 30% or
more of the total annual labor cost (cash plus in-kind) of an executing organization 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 organization’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 different 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 research organization
that belongs to foreign industry (company), academia (university) or research institutes that is operating
overseas. In case of a foreign R&D center operating in Korea, 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 programme: 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 regarding 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 investment 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. Evaluation
technology (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.
technology (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
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
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)
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10. Required documents
No
1
Documents
Remark
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. Choose one applicable
and submit it
please submit a proposal in English.
* For projects under EU FP, submit EU FP final proposal (including a budgetary plan and
schedule_English)
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;
7
8
9
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
Choose one applicable
and submit it
* For a project under EU FP, a copy of Grant Agreement concluded with EC Coordinator or
GPF(Grant Agreement Preparation Form) shall be submitted.
A Letter of Consent by an organization to which external researchers originally belongs,
If applicable
consenting to their participation in the Program
NDA, 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 If applicable
developed technology such as R&D Agreement (choose 1)
※ 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 2 nd round of evaluation (each of the selected proposals will
be contacted individually)
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11. Applicable law and regulations
Rules
Legal grounds
Name
Articles 27 and 29 of ‘「The Industrial Technology Innovation Promotion Act」’ and
Article 39 of the Enforcement Decree thereof
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)
Rules
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])
16
12. 과제접수시스템 접속 및 제출요령 (1)
pms.rs.kr, sign-up and log-in
Submission of Proposals
17
12. 과제접수시스템 접속 및 제출요령 (2)
Submission of
Proposals
18

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