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  • Subject
    2016 Call for proposals for projects under international collaborative research development program
  • Date
    2016-02-26
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    11120
  • Public Notice: Ministry of Trade, Industry and Energy 2016-72

    2016 Call for Proposals for Projects under International Collaborative Research and Development Program

     

    In an effort to keep up with the global trend of openness, convergence and globalization of industrial technologies, the Ministry of Trade, Industry and Energy (MOTIE) hereby announces the launch of the 2016 International Collaborative Research and Development Programs that are designed to support research and development cooperation among domestic industries, academia and research institutes and their foreign partners. Organizations and companies that intend to participate in this Program are expected to submit their proposals according to the procedures set forth below.

     

    February 18, 2016

    Minister of Trade, Industry and Energy

    Ⅰ. Overview

     

    1. Purpose

     

    ○ With the advent of open innovation and intensifying competition on the global technology front, these programs aim at effectively utilizing overseas technical resources, thereby securing advanced technologies, facilitating Korean technologies’ penetration into overseas markets and advancing Korean industries’ competitiveness.

     

    2. Program description

     

    ○ These Programs provide public funding to Korean industry, academia and research institutes that pursue projects in cooperation with outstanding foreign R&D partners.

     

    3. Funding availability

     

    ○ Government contributions : a total of 56.2 billion KRW (15.35 billion KRW for new projects)

    * Funding (tentative) size by program type may be adjusted considering the number of applications submitted.

    Funding availability
    Classification Budget
    (KRW)
    Funding size per project (KRW) Remark
    Bilateral R&D Co-funding China* 1 bil. 200 mil.
    no longer than 2 yrs.

    - Pursuant to the bilateral agreement between Korea and foreign governments/organizations, each participant will be funded by the respective government institute or private organization in charge of the programs.

    - For collaboration with foreign entities, categorized as “other”, for which bilateral agreement is not yet established between the governments, the foreign entities shall conform to the co-funding requirement. Refer to 1. Funding Requirements of III Common Guidelines of this Call.

    - Government Organizations in charge of the respective programs are as follows:

    China - MOST

    Czech Republic - TACR

    France - Bpifrance

    Germany - AiF

    Israel - Ministry of Economic Development

    Spain - CDTI

    Switzerland - SERI, CTI

    U.S.A. - CCAM**

    **non-government, private organization

    - In case of CCAM, funding is available for short and long term projects.

    CCAM
    (U.S.A.)
    8.35 bil. Short Term
    approx. 100 mil per yr for max up to 1 yr

    Long Term
    approx. 500 mil per yr for max up to 3 yrs
    Germany Czech France Spain Switzerland approx. 500 mil. per yr for max up to 3 yrs
    Other
    Multilateral int’l collaborative R&D programs (EUREKA, Eurostars2, HORIZON 2020, M-ERA-NET etc.) 6 bil. approx. 500 mil. per yr for max up to 3 yrs

    - Funding will be provided to a project for which a consortium has been formed with European partners within the European R&D network system and official approval thereof has been already obtained.

     

    * Proposal submission/registration completed and closed pursuant to Public Notice: Ministry of Trade, Industry and Energy 2015-650.

     

    4. Operating structure and procedure

     

    Operating structure and procedure
    Classification Operating structure
    Bilateral R&D Co-funding based on Bilateral Agreement in effect

    <China, Czech, France, Germany, Spain, Switzerland, U.S.A. (CCAM)>

    상세한 사진설명

    Bilateral R&D Co-funding

    <Other>

    상세한 사진설명

    Multilateral R&D Programs

    * Operating structure and eligibility
    requirements may differ from program to program.

    상세한 사진설명

     

    5. Funding areas

     

    ○ R&D subjects across all industries unless otherwise noted below.

     

    ○ R&D subjects in accordance with the 13 Industrial Engine Projects (Future Growth Engines) preferred.

     

    Funding areas
    Classification R&D Subjects
    Bilateral R&D Co-funding CCAM
    (U.S.A.)

    Short Term (1 yr): Advanced manufacturing industry in general

    Long Term (3 yrs):

    1) internet of things (IoT)

    2) 3D printing in additive manufacturing,

    3) machining and surface engineering

    * For collaboration with CCAM, R&D subjects are limited to the aforementioned areas

    the Czech Republic

    1) Green Car and automobile parts

    2) System semi-conduct

    3) Embedded Software

    4) Internet of Things

    5) Key Enabling Technology(KETs): micro and nano- electronics, nano- technology, industrial biotechnology, advanced materials, photonics, and advanced manufacturing technologies

    6) Space Technologies and space Applications

    France

    1) Digital Healthcare

    2) Energy

    3) Automotive Vehicle

    4) Nano Electronics

    5) Contactless Service

    6) Virtual Learning

    Spain

    1) Bio including Health

    2) Green technology including Energy

    3) Smart city and Transportation

    4) Information and Communication technologies

    5) Nanotechnology, Materials

    5) New Production Technologies

    7) Aerospace

     

    Ⅱ. Funding descriptions by program type

    (1) Bilateral R&D Co-Funding Programs
    (the Czech Republic, France, Germany, Spain, Switzerland, the U.S.A., etc.)

     

    1. Purpose

     

    ○ Bilateral R&D Programs based on bilateral agreement are developed to enhance technical competitiveness through research and development collaboration in which each party participates on an equal footing pursuant to the bilateral arrangements established with a government body of the partner countries or with a comparable foreign organization.

     

    ○ Bilateral R&D Programs for other countries, for which agreements have not been established, are developed to adopt advanced technologies, which reflect the demands of the general public, through utilization of the foreign R&D capabilities.

     

    2. Applicant eligibility

     

    ○ R&D collaboration based on bilateral agreement
    Applicants shall take the form of a consortium consisting of Korean and foreign company, university and research institute.

    - Lead organization:

    ● Lead organization from the Korean side must be a company while a university or research institute may participate in the consortium as a participating organization only.

    * Korean companies in a consortium, whether as lead organization or participating organization, must be one that has been in operation for one year or more since its establishment (based on Business Registration Certificate) and that has a company-affiliated research institute as of the deadline of submission.

    ● For Korea-Germany collaboration, an SME must be the lead organization (LO) for both sides.

    - Korean lead organization (company) and foreign lead organization both shall submit an application concurrently to the respective government agency or the organization in charge of the program. The application must be registered at both government agencies; otherwise, the application will be declined.

     

    ○ Other R&D collaboration for which a bilateral agreement is not yet established
    Applicants shall take the form of a consortium consisting of a Korean company, research institute, or university based in South Korea and a foreign company, research institute, or university. Participation of a Korean company and a foreign organization in the consortium is a must.

    - Lead organization: A Korean company, university or research institute.

    - Participating organization: A Korean or foreign company, university or research institute.

    * Korean companies in a consortium, whether as lead organization or participating organization, must be one that has been in operation for one year or more since its establishment (based on Business Registration Certificate) and that has a company-affiliated research institute as of the deadline of submission.

    - Collaboration with those countries or with organizations, of which the bilateral agreements are in effect (China, the Czech Republic, France, Germany, Israel, Spain, Switzerland, and CCAM of the U.S.) is not permitted under this program.

    * Collaboration with companies based in the U.S. outside the CCAM network is permitted under this program.

     

    3. Funding size and duration

     

    ○ 2016 Government contributions for new projects: KRW 9.35 bil.

     

    ○ Funding size and duration per program

    * Pursuant to the July 2015 reorganization of the SME support programs established by the Ministry of Trade, Industry and Energy (MOTIE) and Small and Medium Business Administration (SMBA), only projects of which the project duration is 2 years or more will be funded under the aforementioned multilateral programs, unless an agreement with a foreign country or organization has been established otherwise.

    - Germany, the Czech Republic, Spain, Switzerland, France and other countries
    approx. KRW 500 mil. annum for maximum up to 3 years

    - CCAM (the U.S.)
    Short term projects: approx. KRW 100 mil. annum for maximum up to 1 year
    Long term projects: approx. KRW 500 mil. annum for maximum up to 3 years

     

    4. Procedure and schedule

     

    ○ Schematic Procedure

    ① R&D Collaboration based on bilateral agreement in effect

    Schematic Procedure(R&D Collaboration based on bilateral agreement in effect)
    Announce a Call for Proposals

    KOR: www.kiat.or.kr

    Foreign Gov Agency: respective homepage

    Submit Proposals/Applications

    KOR: www.pms.re.kr

    Foreign Gov Agency: respective registration/submission system

    Evaluate Proposals Appraisal will be conducted only for proposals submitted to both Korean and foreign funding agencies in charge of the programs

    Evaluation will be conducted independently, but both funding agencies may contact periodically to share interim evaluation results.
    Select Final Projects to Fund Final decision on projects will be made jointly through review and consultations of funding agencies
    Enter into Agreement
    and Start of Projects
    Lead Organizations in each country and the respective funding agency will enter into agreement

     

    ② Other R&D Collaboration

    Schematic Procedure(Other R&D Collaboration)
    Announce a Call for Proposals MOTIE / KIAT
    (www.kiat.or.kr, www.pms.re.kr)
    Submit Proposals/Applications MOTIE→KIAT(www.pms.re.kr)
    Review Eligibility KIAT
    Evaluate Proposals Evaluation Committee
    Select Final Projects to Fund MOTIE → KIAT
    Enter into Agreement

    and Start of Projects
    KIAT↔ Korean Lead Organization

     

    ○ Program Schedule

    Program Schedule
    Country
    (Agency in Charge)
    Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
    *China
    (MOST)
    Submission
    (~Jan 15)
    Evaluation Agreement *Call launched in Dec 2015
    U.S.A.
    (CCAM)
    Call for Proposals Proposal Submission
    (~Mar 31)
    Evaluation Select Final Agreement
    Germany
    (AiF)
    Call for Proposals
    (Mar 7)
    Proposal Submission
    (~Jun 7)
    Evaluation Select Final Agreement
    France
    (BPIFrance)
    1H
    Call for Proposals
    1H
    Proposal Submission
    (~Mar 31)
    1H
    Evaluation
    1H
    Select Final
    1H
    Agreement

    2H
    Call for Proposals
    2H
    Submission
    (~Aug 31)
    2H
    Evaluation
    2H
    Select Final
    2H
    Agreement
    Spain
    (CDTI)
    Switzerland
    (SERI & CTI)
    Czech
    (TACR)
    Call for Proposals
    (Apr 1)
    Proposal Submission
    (~Jun 30)
    Evaluation Select Final Agreement
    Other
    (KIAT)
    1H
    Call for Proposals
    1H
    Proposal Submission
    (~Mar 31)
    1H
    Evaluation
    Select Final 1H
    Agreement

    2H
    Call for Proposals
    2H
    Submission
    (~Aug 31)
    2H
    Evaluation
    2H
    Select Final
    2H
    Agreement

     

    ※ The schedule is subject to change attributed to the national funding agency and the foreign agencies in charge.

    ※ For Bilateral R&D Co-funding Programs for Korea-France, Korea-Spain, Korea-Switzerland, and for programs categorized as Other, an additional call for proposals may be announced in the second half (2H) of the year should a sufficient budget be left unused during the first half (1H).

    ※ For assignments selected during the second half (2H) of the year, the first term of the project execution period (12 months) may be extended up to 15 months at discretion of the national funding agency and the second term will be adjusted accordingly. In such a case, a prorated project budget for the extended months in the first term may be secured from the budget for the second term.

    ※ The call release scheduled for Germany (March 2016), the Czech Republic (April 2016), and Switzerland (TBD) are subject to change per further coordination and a separate Call for Proposals will be announced accordingly.

    (2) Multilateral R&D Programs
    (EUREKA, Eurostars2, HORIZON 2020, M-ERA.NET, etc.)

     

    1. Purpose

     

    ○ Multilateral R&D programs (EUREKA, Eurostars2, HORIZON 2020, M-ERA.NET, etc.) within the frame of Europe are available not only to enhance Korea’s technical competitiveness, but also to enter into the European markets.

    Purpose
    Program EUREKA HORIZON 2020 M-ERA-NET
    Network Project CLUSTER EUROSTAR2
    Project Duration No longer than 3 years No longer than 3 years No longer than 3 years No longer than 3 years No longer than 3 years
    Consortium Size small to medium big small to medium big small to medium
    Lead Organization
    (LO)
    for Korean Side
    Industry, Academia, or Research Institute
    (Korean company participation is a must.)
    SME
    (Academia or research institutes may participate as participating organization)
    Industry, Academia, or Research Institutes
    (Korean company participation is a must.)
    Submit to KIAT cluster secretariat Eurostars secretariat EC M-ERA-NET secretariat
    Frequency of call twice / yr Varies from cluster to cluster twice / yr throughout the year once / yr
    Evaluation method independent review by each country followed by the joint approval Korea will evaluate only those proposals found to be eligible by the respective program organization.

     

    2. Applicant requirements

     

    ○ Applicants shall take the form of a consortium consisting of Korean and foreign company, university and research institute. Every consortium shall have at least one Korean company in it.

    - Korean participants

    ● Korean company, university or research institute

    ● Korean companies in a consortium, whether as lead organization or participating organization, it must be one that has been in operation for one year or more since its establishment (based on Business Registration Certificate) and that has a company-affiliated research institute as of the deadline of submission.

    - Foreign participants

    ● Foreign company, university or research institute that operates a research center in one or more of member countries of the program concerned

    * For Eurostars2, the Lead Organization (LO: coordinator) of a consortium must be an SME and the LO on the Korean side must be an SME.

    -General requirements

    ● For bilateral collaboration with Spain, Switzerland, and France, for which bilateral co-funding R&D programs are in place, refer to “(1) Bilateral R&D Co-Funding Programs”. It requires participation from three or more countries, inclusive of Korea, to be eligible for the Network Project for aforementioned three countries.

     

    Eurostar2 member countries (34 total)
    Eurostar2 member countries (34 total)

    Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Israel, Italy, Latvia, Lithuania, Luxemburg, Malta, the Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey, the United Kingdom and South Korea

     

    EUREKA member countries (44 total)
    EUREKA member countries (44 total)

    Austria, Belgium, Bulgaria, Canada, Croatia, Cyprus, the Czech Republic, Denmark, Estonia, Macedonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Israel, Italy, Latvia, Lithuania, Luxemburg, Malta, Monaco, Montenegro, the Netherlands, Norway, Poland, Portugal, Romania, Russia, San Marino, Serbia, Slovakia, Slovenia, the Republic of South Africa, Spain, Sweden, Switzerland, Turkey, Ukraine, the United Kingdom, and South Korea

     

    M-ERA.NET member countries (28 total)
    M-ERA.NET member countries (28 total)

    Austria, Belgium, Brazil, Cyprus, Estonia, Finland, France, Germany, Hungary, Iceland, Israel, Latvia, Lithuania, Luxemburg, the Netherlands, Norway, Poland, Portugal, Romania, Russia, Slovakia, Slovenia, Spain, Switzerland, Sweden, Taiwan, Turkey and South Korea

     

    3. Funding size and duration

     

    ○ 2016 Government contributions for new projects: KRW 6.0 bil.

     

    ○ Funding size and duration : approx. KRW 500 mil. annum for maximum up to 3 years

    * Pursuant to the July 2015 reorganization of the SME support programs established by the Ministry of Trade, Industry and Energy (MOTIE) and Small and Medium Business Administration (SMBA), only projects of which the project duration is 2 years or more will be funded under the aforementioned multilateral programs, unless an agreement with a foreign country or organization has been established otherwise.

     

    4. Procedure and schedule

     

    ○ Schematic Procedure

    ① Multilateral R&D programs (EUREKA- Network Project and Cluster, and Horizon 2020)

    ※ schedule is subject to change attributed to the national funding agency.

    ※ An additional call for proposals might be announced in the 2H of the year should a sufficient budget is left unused.

    Procedure and schedule(Multilateral R&D programs (EUREKA- Network Project and Cluster, and Horizon 2020))
    Announce a Call for Proposals MOTIE/KIAT
    (www.kiat.or.kr, www.pms.re.kr)
    Submit/accept proposals
    (twice/year)
    Applicant org.→ National Funding Agency(KIAT)
    (www.pms.re.kr)
    Evaluate proposals
    (twice/year)
    Evaluation Committee
    Select projects to fund and project awardees (executors)
    (twice/year)
    MOTIE →National Funding Agency
    Enter into agreement
    (twice/year)
    National Funding Agency ↔ Lead Org.

     

    ② Multilateral R&D program (Eurostars 2)

    ※ Schedule is subject to change attributed to the national funding agency

    ※ Selectioni of the final projects and awardees for the 2H will be completed in early 2017.

    Procedure and schedule(Multilateral R&D program (Eurostars 2))
    Announce a Call for Proposals MOTIE/KIAT
    (www.kiat.or.kr, www.pms.re.kr)
    Submit/accept pre-proposals
    (twice/year, central)
    Applicant → submit to Eurostars 2 website
    (www.eurostars-eureka.eu)
    Evaluate pre-proposals
    (twice/year, central)
    Eurostars 2 secretariat
    Notify evaluation results
    (twice/year, central)
    Eurostars 2 secretariat → Lead Org.
    Submit/accept full-proposals
    (twice/year, Korea)
    Lead Org. → National Funding Agency (KIAT)
    Evaluate full-proposals
    (twice/year, Korea)
    Evaluation Committee
    Select projects and awardees
    (twice/year, Korea)
    MOTIE →National Funding Agency (KIAT)
    Enter into agreement
    (twice/year, Korea)
    National Funding Agency ↔ Lead Org.

     

    Application Procedures: European Multilateral R&D Programs

     

    ○ Program Schedule

    Program Schedule
    Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
    EUREKA, H2020 1H
    Call for Proposals
    Proposal Submission
    (~Mar 31)
    1H
    Evaluation
    1H
    Select Final
    1H
    Agreement
    2H
    Call for Proposals
    2H Proposal Submission
    (~Aug 31)
    2H
    Evaluation
    2H
    Select Final
    2H
    Agreement
    Eurostars 2 1H
    Submission
    (Feb 18)
    1H
    Eligibility Review
    1H
    Evaluation
    1H
    Select Final
    2H
    Submission
    (~Sep 15)
    2H
    Eligibility Review
    2H
    Evaluation

     

    ※ For Eurostars 2, the secretariat of the program accepts proposals twice a year based on local time in Brussels (UTC, Central European Time Zone). All proposals will be reviewed by the central office first. Korea will evaluate only those proposals found to be eligible by the central office.

    ※ For assignments selected during the second half (2H) of the year, the first term of the project execution period (12 months) may be extended up to 15 months at discretion of the national funding agency and the second term will be adjusted accordingly. A prorated project budget for the extended months in the first term is to be secured from the budget for the second term.

    Ⅲ. Common guidelines

     

    1. Funding requirements

     

    ○ The amount of government contributions vary depending on the type of executing organizations and project in accordance with Article 24 (Funding Criteria) and Article 25 (Civilian Dues) of the 「Common Operational Regulations for the Industrial Technology Innovation Programs」.

     

    ○ The project budget comprises government contributions and civilian dues (in cash and in-kind).

     

    ○ A party that participates in a project shall carry out its project using the government contributions allocated to it, and for-profit organizations shall individually bear the cash portion of civilian dues.

     

    ○ Share of government contribution and share of cash

    Funding requirements(Share of government contribution and share of cash)
    Classification Share of government contributions in executing organization’s project budget1) Share of cash in executing organization’s civilian dues1)
    Original technology Innovative product Original technology Innovative product
    Large company2) 50% or less 33% or less 60% or more
    Mid-tier company3) 70% or less 50% or less 50% or more
    SME4) 75% or less 67% or less 40% or more
    Other 100% or less 100% or less To be borne if necessary

     

    1) ‘Executing organization’ refers to a lead organization or participating organization that has been selected as project awardee.

    2) ‘Large company’ refers to a company that does not fall under SMEs defined in Article 2(1) and (3) of the 「Framework Act on Small and Medium Enterprises」or mid-tier company under Article 2(1) of the 「Special Act on Promoting the Growth of Mid-Tier Companies and Strengthening the Competitiveness thereof」

    3) ‘Mid-tier company’ refers to a company defined in Article 2(1) of the 「Special Act on Promoting the Growth of Mid-Tier Companies and Strengthening the Competitiveness thereof」.

    4) ‘SME’ refers to a company under Article 2(1) and (3) of the 「Framework Act on Small and Medium Enterprises」and Article 3 (Scope of SME) of the Enforcement Decree of the same Act.

     

    ○ Participating companies shall be responsible for the expenditure incurring in addition to the government contributions, the share of cash in civilian dues to the government contributions shall be in accordance with the above table.

    * For the multilateral co-funding programs, the share of cash in civilian dues shall be in accordance with the 「Common Operational Regulation for Industrial Technology Innovation Programs」in effect at the time of submission to the foreign approval authority.

     

    ○ For foreign participants based in foreign countries participating in the bilateral co-funding R&D program classified as “Other”:

    ● Foreign companies are classified as “Mid-tier Company” and shall satisfy the respective criteria in the above table.

    ● Foreign non-profit organizations, universities and research institutes are classified as “Other” in the above table.

    * A fund from its own source or from a funding agency of the respective government are both permitted. A separate bank account is required solely for the project. A certifying letter from the head of the foreign participants, pertinent evidentiary documents, etc., are required to be submitted.

     

    ○ Annual share of the government contributions throughout the project execution duration may vary depending on the government policy amendments, available budget, and evaluation results of the committee in effect at the time.

     

    2. Projects outside the scope of assistance (Disqualifications)

     

    ○ In a case where a lead organization fails to meet the eligibility requirements or where details of the proposed project are found inappropriate in terms of purposes, R&D characteristics, or requirements set forth in this Call

     

    ○ In a case where the target technology of the proposed project is found to be ‘already-developed’, or identical or similar to the already-funded project of the applicant organization

    - To check redundancy in advance, please visit www.ntis.go.kr (Home) > R&D Information Search > Projects.

     

    ○ In a case where as of the due date of submission, a Lead Organization, Participating Organization, the head of a Lead Organization, representative of a Participating Organization, or a Project Investigator of a proposed project is placed under any restrictions on participation in national research and development programs

    * Submit "a Letter of Consent to Use of Personal Information" of a project investigator (PI) and participating organization’s officer in charge

     

    ○ In a case where as of the due date of submission, a lead organization (LO), the head of an LO, representative of a participating organization falls under any of the following (Not applicable for non-profit or public institutions)

    - corporate bankruptcy

    - disposition for arrears of national, local taxes, etc. by tax authorities (provided, however, that exceptionally, cases where a lead organization (LO), or the head thereof, has been supported with “Re-Born” funds from the Small & Medium Business Corporation or the Credit Counseling & Recovery Service and where an LO, or the head thereof, has been given “Re-Start” assistance guarantee for re-challenging entrepreneurs by the Korea Credit Guarantee Fund or the Korea Technology Finance Corporation may be still eligible for funding)

    - where the head of a lead organization (LO) is placed on the list of defaulters under the Civil Execution Act or registered as a defaulter by a credit information concentration organization e.g. Korea Federation of Banks (provided, however, that exceptionally, cases where an LO, or the head thereof, has been supported with “Re-Born” funds from the Small & Medium Business Corporation or the Credit Counseling & Recovery Service and where an LO, or the head thereof, has been given “Re-Start” assistance guarantee for re-challenging entrepreneurs by the Korea Credit Guarantee Fund or the Korea Technology Finance Corporation may be still eligible for funding)

    - where commencement of bankruptcy or reorganization proceedings of a company or personal workout proceedings is requested (provided, however, that exceptionally, a company that has been faithfully repaying its debts as planned in accordance with its reorganization plan or liquidation plan approved by the court may be still eligible for funding)

    - As for a company that has been in operation for at least 3 years as of the closing date, the debt ratio thereof is 500% or more or the liquidity rate thereof is 50% or less according to the closing financial statement of the recent 2 years (provided, however, that the same may not apply to a company with composite credit rating of ‘BBB’ or above or among foreign-invested companies under the Foreign Investment Promotion Act, a company in which the share of foreign investors accounts for 50% or more and has not been in operation for 5 years since its incorporation). In this case, the same may not apply to a company that has not been in operation for less than two years since its incorporation

    - Complete capital erosion based on the recent closing financial statement

    - Companies subject to outside audit, an outside auditor's opinion of the recent year as of closing is either "opinion rejected" or "inappropriate“

     

    ○ In a case where the number of the MOTIE-operated national R&D projects the PI of a Proposed Project is concurrently carrying out exceeds the number stated in the following table

    In a case where the number of the MOTIE-operated national R&D projects the PI of a Proposed Project is concurrently carrying out exceeds the number stated in the following table
    Classification SME Mid-tier Company
    Permitted Number of Concurrently-Performed Projects 3 EA 5 EA

     

    * Projects that fall under Article 20 Paragraph 2 of the 「Common Operational Regulation for Industrial Technology Innovation Programs」are not counted as concurrently-performed project. (Not applicable for projects that are due to be ended within four months from the due date of the Program application)

    * Criteria for the maximum number of concurrently-performed projects referenced in the Article 20 Paragraph 2 and 3 of the 「Common Operational Regulation for Industrial Technology Innovation Programs」, (Public Notice: MOTIE 2015-259), is applicable to Korean companies (mid-teir companies and SMEs) which are executing organizations receiving the government contributions, inclusive of the national projects operated by other Korean Ministries.

    * Participation in the “Energy Experts Development Program” operated by MOTIE is not counted as concurrently-performed project, referenced in the Article 20 Paragraph 2 and 3 of the 「Common Operational Regulation for Industrial Technology Innovation Programs」, (Public Notice: MOTIE 2015-259).

     

    ○ Number of projects classified as “Early Completion” and “Early Completion Performed with Good Faith” in the past

    - Non-profit organizations

    ● Proposals are classified outside the scope of assistance in advance in a case where it has not been 3 years since the head leader of the consortia or the head of the Participating Organization has received “Early Completion” or “Early Completion Performed with Good Faith” twice in conducting national R&D assignments of the MOTIE.

    - For-profit organizations

    ● Proposals are classified outside the scope of assistance in advance in a case where it has not been 3 years since the head leader of the consortia or the leader of the Participating Organization has received “Early Completion” or “Early Completion Performed with Good Faith” twice in conducting national R&D assignments of the MOTIE.

    ● Proposals are classified outside the scope of assistance in advance in a case where it has not been 1 year since the organization has received “Early Completion” or “Early Completion Performed with Good Faith” three times in conducting national R&D assignments of the MOTIE.

     

    ○ In a case where as of the deadline for submission, a lead organization (LO), a project operator (PO) or a project investigator (PI), etc. of a Proposed Project fails to fulfill their obligations, including but are not limited to submission of various required reports, payment of royalties, submission of a royalty payment plan, repayment of a closing balance of government contributions and a budget subject to restitution

     

    ○ In a case where a project fails to meet any of the eligibility criterion in the 「The Common Operational Regulation for Industrial Technology Innovation Programs」or 「The Evaluation Guideline for Industrial Technology Innovation Programs」

     

    3. Guideline for royalty collection

     

    ○ Under the「Comprehensive Regulations on the Collection, Use and Management of Royalties」, royalties shall be collected on any deliverable generated from this Program.

     

    ○ Project subject to royalty payment

    - Royalties shall be collected from a for-profit lead organization or for-profit participating organization that intends to use the deliverable of a project classified as ‘Innovative Outcome,’ ‘Satisfactory’, or ‘Faithfully Performed’ in the evaluation after the completion of a R&D project (including Early Completion).

    * For-profit lead org. or for-profit participating org. shall pay royalties only to cover the amount of government contributions they had used.

     

    ○ Royalty collection method by organization type (non-profit / for-profit)

    - For-profit organizations shall choose between fixed royalty and running royalty to pay the national funding agency royalties after the completion of a project pursuant to the 「Comprehensive Regulation on the Collection, Use and Management of Royalties」in effect.

     

    ○ Royalty collection from for-profit organizations

    - (Fixed royalty) A licensee company shall pay royalties to the national funding agency (KIAT) for up to 5 years from the signing date of license agreement. Royalties shall be paid in equal installments on a yearly basis.

    Royalty collection from for-profit organizations(Fixed royalty)
    Type of licensee organization Fixed royalty rate
    Large company 40% of government contributions
    Mid-tier company 20% of government contributions
    Small and medium sized company (SME) 10% of government contributions

     

    - (Running royalty) A licensee company shall pay the National Funding Agency (KIAT) initial payment and running royalties based on sales revenues it has generated by utilizing the deliverable of the project until it fully pays back the amount of government contributions it had used within 5 years from the fiscal year when such sales revenue began to be generated or 7 years from the closing of the project, whichever comes earlier.

    Royalty collection from for-profit organizations(Running royalty)
    Type of licensee organization Initial payment1) Running royalty rate
    Large company 4% of government contributions 4% of sales revenues
    Mid-tier company 2% of government contributions 2% of sales revenues
    Small and medium sized company (SME) 1% of government contributions 1% of sales revenues

     

    1) Initial payment shall be fully paid no later than 90 days from the day when the royalty rate to apply is notified.

    2) The maximum accumulated amount of running royalty collected is not to exceed 12%, 24% and 48% of the government contributions for SMEs, mid-teir companies, and large companies, respectively.

    3) In a case where the sales revenues are falsely reported, additional royalty is imposed to the running royalty collection, of which the total amount may be up to 24%, 48% and 96% of the government contributions for SMEs, mid-teir companies, and large companies, respectively.

     

    - (Royalty reduction) In a case where a licensee company is SME or mid-tier company and the project has been classified as “Innovative Outcome”, the royalty amount that the said licensee company shall pay may be reduced by 30 percent, and the licensee company shall use the amount equivalent to the reduced amount of royalty as resources that cover participating researchers’ incentives e.g. field trip to exhibition, training, education, etc.

     

    ○ Royalty collection from non-profit organizations

    - Royalties for non-profit organizations shall be in accordance with Article 4 and 17 of the 「Comprehensive Regulation on the Collection, Use and Management of Royalties」

    Ⅳ. Application method and evaluation criteria

     

    1. Submission

     

    ○ Where to get the forms: Forms are attached to this announcement or available for download at www.kiat.or.kr or www.pms.re.kr

     

    ○ Where to submit : www.pms.re.kr

    < Sign-up → Online Registration → File uploading → Printout of filing receipt >

     

    ① Sign-up: check if a project investigator (PI) or an executing organization already has an ID for the KIAT project management website (www.pms.re.kr), and if it is found that one has not signed up, he/she shall sign up and get an ID as a new member.

    ② Online registration: a PI shall enter the requested information regarding through the proposal submission system (www.pms.re.kr) when submitting the application form.

    ③ File uploading: Download application forms available online and print ▶ Upload the completed and scanned document onto the KIAT project management website (www.pms.re.kr)

    ④ Filing receipt: print out a filing receipt, and confirm that your document had been accepted.

    * How to submit a Proposal : www.pms.re.kr → Log in→ Click ‘Project Application’ → Click ‘New Project’ →Click the right title of the call on PMS →Click ‘Online Application’ → ‘Submission’ → Print and check your filing receipt

     

    ○ Submission Deadlines

    Submission Deadlines
    Type Submission Deadlines Description
    1H of 2016 2H of 2016
    Bilateral Co-funding R&D CCAM, U.S.A. Mar. 31, 2016 (Thu), 18:00 -

     

    Germany Jun. 7 2016 (Tue), 18:00 -

    Call release scheduled for March 7, 2016

    the Czech Republic Jun. 30, 2016 (Thu), 18:00 -

    Call release scheduled for April 1, 2016

    France Spain Switzerland* Mar. 31, 2016 (Thu), 18:00 Aug. 31, 2016 (Wed), 18:00

    A call for the 2H will be released provided that a sufficient fund is left unused during the 1H.

    Other Mar. 31, 2016 (Thu), 18:00 Aug. 31, 2016 (Wed), 18:00
    Multilateral R&D EUREKA, H2020 Mar. 31, 2016 (Thu), 18:00 Aug. 31, 2016 (Wed), 18:00
    EUROSTAR 2 Feb 18, 2016 (Thu), 18:00 Sep. 15, 2016 (Wed), 18:00

    based on local time in Brussels (UTC, Central European Time Zone)
    submit to www.eurostars-eureka.eu/

     

    * A call for proposals with Switzerland will be announced separately upon final coordination.

     

    ○ Documents required in common for all programs

    Documents required in common for all programs
    No Documents
    1

    A proposal in Korean

    2

    Accounting audit report of the past 2 years (applicable to company only)

    3

    Evidentiary documents demonstrating qualifications to be given merit points as of the due date of submission

    4

    A copy of the Certificate for Industrial R&D Center (applicable in case a Korean enterprise is lead organization or participating organization)

    5

    A copy of the consortium agreement or MOU signed between lead org. and domestic/foreign participating organization or a copy of Consortium Agreement or a letter of confirmation on participation in the Consortium (In the form of an LOI)

    6

    A Letter of Consent to Use of Personal Information of a project investigator (PI) and participating organization’s officer in charge

    7

    A certificate of national/local tax payment (applicable to companies only)

     

    ○ Additional documents required by program type (in the English language)

    Additional documents required by program type (in the English language)
    Program type Documents
    Bilateral R&D Co-funding CCAM, U.S.A.

    - Collaborative R&D Project Proposal

    Germany

    - Proposal Application Form

    the Czech Republic

    - A proposal in English

    - Letter of Intent

    France*

    - Project Application Form

    Spain*

    - Project Application Form

    Switzerland*

    - Project Application Form

    Other

    - No additional documents required at this time

    Multilateral R&D EUREKA, Horizon2020, Eurostars2, M-era Net

    - A proposal in English

    - Applicants for Horizon 2020 shall submit a copy of Grant Agreement between EC Coordinator and them as well as GPF(Grant Agreement Preparation Form).

     

    * French, Spanish, and Swiss Applicants for the Bilateral R&D Co-Funding program shall submit the same documents as required for EUREKA. Forms are available for download at www.eurekanetwork.org/download-project-application-form

     

    2. Evaluation methods and criteria

     

    A. Evaluation and Agreement Procedures

     

    ○ Proposal Submission > Preliminary Review > Site Inspection (as deemed necessary) > Operation of the Evaluation Committee (presentations given for each proposal) > Notification of Evaluation Results and Filing of Objections > Results Confirmation > Agreement and Funding Award

    ○ The final amount of the government contributions and the project execution duration are subject to vary depending on the evaluation results. Projects may be terminated early depending on the interim progress evaluation results pursuant to the applicable national R&D rules and regulations.

    ○ At the time of Agreement, an international contract written according to the International Laws must be submitted. The applicant shall also submit a certification from an international attorney at law certifying his review of the contract in terms of validity and legality.

     

    B. Evaluation Criteria (Bi-lateral Co-funding R&D and Multilateral R&D)

     

    ○ Appropriateness (5), technology level (25), research capabilities (25), marketability (30), and IPR (15)

    * Appropriateness : appropriateness of project planning

    * Technology level : importance and creativeness of a technology, and effectiveness of international collaboration

    * Research capabilities : project team and infrastructure, capabilities and roles of foreign participants

    * Marketability : possibility of commercialization, economic feasibility and spillover effect

    * Intellectual Property Rights(IPR) : appropriateness of IPR sharing

     

    C. Criteria regarding merit points

     

    ○ Merit points are given in accordance with the following criteria. Merit points are combined at the time of final evaluation and the sum of merit points shall not exceed 5 points.

    - In a case where the R&D subject lies under the 13 Industrial Engine Projects: 2 points

    * Also for R&D subjects for respective programs listed under Funding Areas of Section 1 Overview.

    - In a case where a letter of intent to purchase from a Korean or foreign company is submitted : 3 points

    * There is no standardized template available for distribution. One should develop a customized template of its own; however, the letter of intent shall include, but are not limited to, industry sector, name of the deliverable, sale/purchase scheme (price, sale/purchase duration), scope of deliverable (as required by the purchasing entity), product performance level and authorized signatory shall be stated.

    - In a case where the project investigator (PI) of a proposed project is the PI of a project conducted under MOTIE technology development programs that was found to be “Innovative Outcome (or Outstanding)” in assessment for the past 3 years (based on the deadline of submission): 3 points

    - 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 establishment plan of R&D center shall be stated in the proposal and once the proposal is selected, provisions regarding the establishment of a R&D center shall be incorporated into an agreement)

    - In a case where a participating researcher belonging to a foreign organization or a Korean organization stays in Korea or other country for two months or more for the purpose of collaborative research: 2 points
    (Specific plans shall be stated in a proposal, and related clauses will be incorporated into agreement to be concluded with a project awardee.)

     

    3. Applicable law and regulations

     

    A. Legal grounds : Articles 27 and 29 of the 「Industrial Technology Innovation Promotion Act」 and Article 39 of the Enforcement Decree thereof.

     

    B. Relevant regulations (visit www.pms.re.kr for regulations and forms)

     

    ○ The Common Operational Regulations for the Industrial Technology Innovation Programs

     

    ○ The Comprehensive Regulations on Collection, Use and Management of Royalties

     

    ○ The Regulations on Collection, Use and Management, and Settlement of Project Budget

     

    ○ The Regulation on Security Control for Industrial Technology Innovation Programs

     

    ○ The Regulation on Observance of Research Ethics and Prevention of Dishonest Research Acts

     

    ○ The Guideline for Evaluation of International Collaborative Research and Development Programs (for international technological cooperation programs)

     

    4. Notes

     

    A. A project found to lack the potential of international cooperation that falls under any of the following may be disadvantaged in evaluation:

     

    ○ A project designed to perform a task outsourced from a foreign organization, simply providing services such as trial, test, etc.

     

    ○ Where an eligible potential partner equipped with the equal technological level can be found within Korea; provided, however, that the same may not apply to a project in which a foreign partner plays a critical role in penetrating into overseas market

     

    ○ Where it is hard to anticipate the effect and synergy of the proposed international collaborative project.

     

    B. 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. Project budget carry over to the successive term requires approval of the funding agency in advance. (applicable only to collaboration categorized as “other” under the bilateral co-funding R&D programs)

     

    C. Participation rate shall be at least 20% and 30% for all researchers and the Project Investigator, respectively.

     

    D. Strengthening of annual evaluation: see the「Guideline for Evaluation of International Collaborative Research and Development Programs」.

     

    ○ Relative evaluation may be conducted in addition to the absolute evaluation. Projects rated in the bottom 10% may be classified as 'Termination', and the amount of government contributions for the following year may be reduced accordingly.

     

    ○ For projects whose score is from 60 points to below 70 points, the amount of government contributions for the following year may be adjusted by up to 20%.

     

    E. Notes concerning research ethics of participants in a R&D project

     

    ○ For the purpose of securing research ethics of executors of research projects, in case any dishonest research act, forgery, alteration or plagiarizing of research and development documents and results, improper indication of the author of a paper, or misuse of project budget is detected, the party found to be involved in such dishonest act shall be subject to punishment or restriction on participation in a government-led R&D program in accordance with relevant laws and regulations.

     

    F. Intellectual Property Right, Ownership of Deliverables

     

    ○ Tangible Deliverables arising from performance of a Program including euipment and facilities and prototypes, etc., shall be owned by the Leading Organization; provided, however, that the ownership of a tangible deliverable that a Participating Organization acquires to have the ownership therefor shall belong to the Executing Organization concerned as state in the proposal.

     

    ○ Intangible deliverables such as Intellectual Property Rights, copyright of a report, etc., generated as a result of a Program shall be solely owned by an organization that had produced such deliverable through research and development; provided, however, that multiple Executing Organizations had jointly developed a deliverable, they shall have the ownership thereof collectively, and whether it should be under exclusive ownership or joint ownership shall be determined on the ground of contribution to the development of the deliverable in light of the proposal (operating plan, operating structure, specific roles and responsibilities assigned to each Executing Organization, composition of a Project Budget, etc.).

     

    ○ In a case of projects categorized as Bilateral Co-funding Programs or Other, should a foreign organization has the intellectual property rights as a result of a Program, the Korean Executing Organization shall be given the rights to practice research and development deliverables at free of license fee.

     

    G. IP for SMEs

     

    ○ Executing organization may utilize the deliverables developed by the partner executing organization in the joint project within reason for the purpose of utilizing the project deliverables of their own. In such a case, the scope of terms and conditions shall be established in advance.

     

    ○ In a case where a non-profit organizations own the deliverables, participating companies shall be given the priorities of the rights to practice. Non-profit organizations owning the deliverables shall also grant access to intangible deliverables should SMEs request such regardless of their participation in the program.

    - In a case where an SMEs is the licensee company, the rate of royalties shall be within the rates established in the 「Comprehensive Regulations on Collection, Use and Management of Royalties」, determined through mutual agreement

     

    ○ Refer to Article 37 of the「The Common Operational Regulation for Industrial Technology Innovation Programs」for more details .

     

    H. Security Grade Classification

     

    ○ All applicants shall state the security grades in the project proposal.

     

    ○ Projects are classified confidential project should it fall under any of the followings:

    a. Projects related to development of the world’s top notch technology products

    b. Projects aiming to develop a technology, localization of which is pursued due to foreign organizations’ rejection of technology transfer or a technology which it is deemed necessary to protect as a future core technology

    c. Projects aiming to develop national core technology designated under Subparagraph 2 of Article 2 of「The Act on Prevention of Industrial Technology Drainage and Protection of Industrial Technology」

    d. Projects relating to a technology for which restrictions such as an export permit, etc. are required under Paragraph (1) of Article 19 of 「Foreign Trade Act」 or Paragraph (2) of Article 32 of the Enforcement Decree of the same Act

     

    5. Contacts

     

    Contacts
    Type Korean Side
    (KIAT, International Technology Cooperation Division)
    Foreign Counterpart
    Bilateral Co-funding R&D CCAM (U.S.A.) Mr. Jungo Park
    Senior Researcher
    (02-6009-3182 pjo8410@kiat.or.kr)
    Steve Vosmik (CCAM)
    +1-804-722-3700
    Steve.Vosmik@ccam-va.com
    Germany Mr. Dongwan Park
    Senior Researcher
    (02-6009-3185, dongwan27@kiat.or.kr)
    Christian Fichtner
    (AiF Projekt GmbH)
    +49-30 481******
    C.Fichtner@aif-projekt-gmbh.de
    the Czech Republic Petr Matolin (TACR)
    +420-234-611-636, matolin@tacr.cz
    France Ms. Somie Yoon
    Senior Researcher
    (02-6009-3181, ssomie81@kiat.or.kr)
    Amandine KAROUI (BPIFrance)
    +33-1-4179-9147
    amandine.karoui@bpifrance.fr
    Spain Juana Sanchez (CDTI)
    +34-91-581-5607
    juana.sanchez@cdti.es
    Switzerland Colette John-Grant (SERI)
    +41-58-464-9143
    colette.john@sbfi.admin.ch,

    Arlette Frener (CTI)
    +41-58-464-9125
    arlette.frener@kti.admin.ch
    Other Mr. Young Jang, Principal Researcher
    (02-6009-3208, boy0707@kiat.or.kr)

    Ms. Eunbin Nam, Researcher
    (02-6009-3204, ebnam847@kiat.or.kr)
    Multilateral R&D
    (EUREKA, Horizon2020, Eurostars 2, M-ERA-NET)
    Mr. ChangHa (Tom) Yim, Principal Researcher
    (02-6009-3203, tom@kiat.or.kr)

    Ms. Eunyoung Kim, Researcher
    (02-6009-3201, keyinsight01@kiat.or.kr)
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