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ACT ON PERFORMANCE EVALUATION AND MANAGEMENT OF NATIONAL RESEARCH AND DEVELOPMENT PROJECTS, ETC.

ACT ON PERFORMANCE EVALUATION AND MANAGEMENT OF

NATIONAL RESEARCH AND DEVELOPMENT PROJECTS, ETC.

[Enforcement Date: Feb. 29, 2008] [Act No. 8852, Feb. 29, 2008, Amendment of Other Acts]

Article 1 (Purpose)

The purpose of this Act is to evaluate a government research and development project of science and technology with a focus on performance and to manage and utilize the outcome, and thereby to improve efficiency and responsibility in the investment of research and development.

Article 2 (Definition)

The definitions of terms used in this Act shall be as follows: (i) The term "research and development project" means a national research and development project pursuant to the Framework Act on Science and Technology, which is supported by a central administrative agency with budget or fund, for the purpose of scientific and technological research and development.

(ii) The term "research and development task" means a task selected by the head of the competent central administrative agency to execute research and development projects.

(iii) The term "research institution" means a government-invested research institution to which Article 32, Paragraph 2 of the Framework Act on 2

Science and Technology applies, and an institution established pursuant to Article 8 of the Act on the Establishment, Operation and Fosterage of Government-Invested Research Institution of Science and Technology. (iv) The term "performance target" means a concrete target to achieve through research and development.

(v) The term "performance indicator" means an indicator by which to objectively measure the degree of achievements of a performance target. (vi) The term "performance evaluation" means an activity to evaluate the degree of achievement of a performance target according to a performance indicator.

(vii) The term "specific evaluation" means an in-depth performance evaluation for the research and development projects conducted by the Minister of Strategy and Finance pursuant to Article 7, Paragraph (1) of Framework Act on Science and Technology.

(viii) The term "research outcome" means an achievement in the field of science and technology, i.e., patents and theses, or economic, social and cultural achievement in tangible and intangible form.

Article 3 (Basic Principle of Performance Assessment and Performance Management) (1) The Government shall conduct evaluation of research and development activities focused on performance, and thereby endeavor to improve efficiency and responsibility in the investment of research and development by research institutions, universities and enterprises.

(2) The Government shall respect the creativity of the researchers that participate in 3

research and development and consider the peculiarities of research and development projects, research and development tasks and research institutions (hereinafter referred to as "research and development projects, etc.")

(3) The Government shall improve reliability toward assessment results by securing expertise and fairness in conducting performance assessment. (4) In conducting performance evaluation, The Government shall endeavor to avoid overlapping evaluations, by interrelated evaluations of research and development projects, etc.

(5) The Government shall have the performance evaluation results be reflected in establishing related policies, pursuing projects and adjusting budget. (6) The Government shall endeavor for the research outcome to be efficiently utilized. Article 4 (Scope of Application, etc.)

(1) This Act shall apply to evaluations on research and development projects, etc., and management and utilization of the research outcome. (2) Technology Transfer and Commercialization Promotion Act shall apply to management and utilization of the research outcome unless otherwise prescribed in this Act (Amended on Dec. 28, 2006.)

(3) In case where other Acts prescribe evaluations on research and development projects, etc. and management and utilization of the research outcome, such provisions shallconform to the purpose of this Act.

Article 5 (Establishment of Performance Evaluation Plan) (1) The Minister of Strategy and Finance shall establish a basic plan for performance 4

evaluation of research and development (hereinafter referred to as " basic plan for performance evaluation") relating to research and development projects, etc. every five years including the following subparagraphs:

(i) Basic directions for performance evaluation;

(ii) Performance evaluation subjects and methods; (iii) Establishment of performance target and indicator; (iv) Utilization and disclosure of results of performance evaluation; (v) Development and dissemination of performance evaluation techniques; (vi) Fosterage and utilization of performance evaluation professionals; and (vii) Other matters deemed necessary to be contained in master plan for performance evaluation by the Minister of Strategy and Finance. (2) The Minister of Strategy and Finance shall annually prepare an implementation plan for performance evaluation of research and development (hereinafter referred to as "implementation plan for performance evaluation") including specific evaluation subjects and schedules. (3) The Minister of Strategy and Finance shall publicize a basic plan for performance evaluation and an implementation plan for performance evaluation, and notify the head of the relevant central administrative agency and the research committee established pursuant to Article 18 of the Act on the Establishment, Operation and Fosterage of Government-Invested Research Institution of Science and Technology (hereinafter referred to as "research committee.") Article 6 (Establishment of Performance target and Performance indicator) (1) In case of establishing a plan for research and development projects, etc. under their 5

control, the head of the central administrative agency and the research committee shall establish the ultimate strategic target and accordingly set year-to-year, phase-by-phase performance targets and performance indicators thereon and include them in the plan. (2) The Minister of Strategy and Finance shall develop and furnish with the standard performance indicator, with due considerations for different types of research and development, i.e., basic research, applied research, development research, etc., and individual peculiarities of each technology area, in order for the head of the central administrative agency and the research committee to utilize in establishing a performance indicator as referred in (1). ) (3) The performance target and performance indicator as referred to in paragraph (1) shall be objectively established with due regards for individual peculiarities of research and development projects, etc.

(4) The Minister of Strategy and Finance, in order to develop the standard performance indicator as referred to in paragraph (2), may organize and operate Performance Indicator Deliberation Council in which related professionals and public officials belonging to the central administrative agency participate.

(5) Necessary matters for organization and operation of the Performance Indicator Deliberation Council as referred to in paragraph (4) shall be determined by Presidential Decree.

Article 7 (Conduct of Specific Evaluation and High-level Evaluation) (1) The Minister of Strategy and Finance shall conduct specific evaluation of research and development projects falling under each of the following subparagraphs. on Feb. 29, 2008>

(i) Project that requires an extensive budget for a long time; (ii) Project that requires adjustment of overlap with other projects or connection thereof;

(iii) Project that is jointly implemented by multiple central administrative agencies;

(iv) Project that has become a national and/or social issue; and (v) Other than the projects mentioned in subparagraphs (i) to (iv), projects which the Minister of Strategy and Finance deems it necessary to conduct specific evaluation of.

(2) The Minister of Strategy and Finance shall, in advance, determine necessary matters concerning directions, subjects, methods and procedures of specific evaluation, and notify the head of the relevant central administrative agency thereof.

(3) The Minister of Strategy and Finance shall conduct evaluation for the results of internal performance evaluation submitted by the head of the central administrative agency and the research committee pursuant to Article 8(4), for the matters falling under each of the following subparagraphs (hereinafter referred to as "high-level evaluation.)

(i) Pertinence of performance target and performance indicator employed in the internal performance evaluation; and

(ii) Objectivity and fairness, etc. of procedures and methods of the internal performance evaluation.

(4) The Minister of Strategy and Finance shall notify the results of specific evaluation 7

and high-level evaluation to the head of the relevant central administrative agency and the research committee, and may request corrective measures be taken accordingly.

(5) The head of the relevant central administrative agency and the research committee may raise an objection to the Minister of Strategy and Finance against the results of specific evaluation and high-level evaluation. (6) Matters necessary for objections to the implementation of specific evaluation and high-level evaluation, and the results thereof, shall be prescribed by Presidential Decree. Article 8 (Conduct of Internal Performance Evaluation) (1) The head of the relevant central administrative agency and the research committee shall conduct internal performance evaluation of research and development projects, etc. under their control, which are not subject to specific performance evaluation pursuant to Article 7(1).

(2) Internal performance evaluation as referred to in paragraph (1) shall be conducted for the matters falling under the following subparagraphs: (i) Annual research outcome, including extent of achievement of performance target for research and development projects

(ii) In case of research and development projects which are divided into phases or implemented for a long period of time, research outcome at each phase or interim research outcome

(iii) Final research outcome

(iv) Tracking evaluation for management and utilization of the research outcome during the period of five years after the completion of research 8

and development projects

(3) The Minister of Strategy and Finance shall establish a performance evaluation standard guideline with due considerations for characteristics of research and development tasks, for the purpose of being utilized for internal performance evaluation pursuant to paragraph (1), and provide it to the head of the relevant central administrative agency. (4) The head of the central administrative agency and the research committee shall submit the result of internal performance evaluation pursuant to paragraph (1) to the Minister of Strategy and Finance, as prescribed by Presidential Decree: Provided, That this shall not apply to matters that require confidentiality according to the result of such internal performance evaluation for research and development tasks, or on the grounds of national defense or national security. (5) Matters necessary for conducting internal performance evaluation pursuant to Paragraph (1) shall be prescribed by Presidential Decree. Article 9 (Relation to Other Evaluations)

(1) Deleted;

(2) In case of conducting evaluation for research institutes pursuant to Article7 and Article 8, such evaluation shall be integrated with evaluation pursuant to Article 32(2) of the Framework Act on Science and Technology and Article 28(1) of the Act on the Establishment, Operation and Fosterage of Government-Invested Research Institution of Science and Technology.

Article 10 (Utilization of Evaluation Result)

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(1) The Minister of Strategy and Finance shall have the result of evaluation pursuant to Articles 7 and 8 be reflected in adjusting and allocating budget for research and development projects.

(2) The head of the central administrative agency and the research committee shall take any measures necessary including amending and redressing plan of research and development projects, etc., with due considerations for the result of internal performance evaluation pursuant to Article 8.

(3) The head of the central administrative agency and the research committee may recommend to the research institutions, etc. to utilize the result of evaluation pursuant to Articles 7 and 8 as a basis for improvement of treatment to researchers and research environments, and grant appropriate rewards to researchers or research institutions, etc. for outstanding performance.

Article 11 (Evaluation for Scientific and Technological Innovation Capabilities) (1) National Science and Technology Council shall conduct annual evaluation for national scientific and technological innovation capabilities by linking survey and analysis on scientific and technological statistics and indicators pursuant to Article 13(1) of the Framework Act on Science and Technology, for the purpose of enhancing outcome of research and development projects, etc. and reinforcing national scientific and technological innovation capabilities.

(2) National Science and Technology Council may, where deemed necessary to conduct evaluation pursuant to paragraph (1), request the head of the relevant central administrative agency to submit the related materials. In this case, the head of the agency who has received such request shall comply with such a request unless there is 10

any justifiable reason not to.

(3) National Science and Technology Council may notify the head of the related central administrative agency of the evaluation report pursuant to paragraph (1), and recommend such evaluation report be reflected in implementing related policies. Article 12 (Preparation of Plan for Management and Utilization of Research Outcome) (1) National Science and Technology Council shall prepare a basic plan for management and utilization of the research outcome (hereinafter referred to as "basic plan for outcome management") every five years, including matters falling under any of the following subparagraphs:

(i) Basic direction for management and utilization of the research outcome (ii) Matters related to methods of management and utilization according to the types of the research outcome, i.e. patents, theses, etc. (iii) Matters related to comprehensive management of the research outcome database

(iv) Matters related to improvement of the related system for management and utilization of the research outcome

(v) Other than the matters mentioned in subparagraphs (i) through (iv), those as deemed necessary to be included in the basic plan for outcome management by National Science and Technology Council (2) National Science and Technology Council shall annually prepare an implementation plan including specific subjects, methods, and schedules with regard to management and utilization of the research outcome (hereinafter referred to as "implementation plan for outcome management"), according to the basic plan for outcome management. 11

(3) National Science and Technology Council shall have the promotion plan for technology transfer and commercialization pursuant to Article 5(1) of the Technology Transfer and Commercialization Promotion Act, be reflected in preparing the implementation plan for outcome management and basic plan for outcome management.

(4) National Science and Technology Council shall publicize the implementation plan for outcome management and basic plan for outcome management, and notify the head of the relevant central administrative agency and the research committee. Article 13 (Preparation of Plan for Management and Utilization of Research Outcome of Universities, etc.)

(1) Universities and research institutions, etc. which carry out research and development projects and research and development tasks, shall prepare a plan for management and utilization of research outcome, and report such plan to the head of the central administrative agency. Provided, That Technology Transfer and Commercialization Promotion Act applies to matters related to technology transfer and commercialization (referring to utilizing the research outcome in development, production, and sales of products, or in improvement of technology in the process thereof: hereinafter the same shall apply.) (2) In case of conducting specific evaluation pursuant to Article 7(1), the Minister of Strategy and Finance may have whether the universities and research institutions, etc. have prepared the plan for management and utilization of research outcome pursuant to paragraph (1) and performance thereof, to be included as evaluation items.

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(3) Necessary matters for the scope of universities and research institutions, etc. which shall prepare the plan for management and utilization of research outcome pursuant to paragraph (1), and the procedures thereof, shall be prescribed by Presidential Decree. Article 14 (Construction of Database of Research Outcome, etc.) (1) The head of the central administrative agency and the research committee shall endeavor to systemically manage and efficiently utilize the research outcome under their control.

(2) The head of the central administrative agency and the research committee shall construct database of the research outcome under their control, and such database shall be utilized in connection with the National Science and Technology Comprehensive Information System prescribed by National Science and Technology Council. Provided, That this shall not apply to the case where it requires confidentiality due to national defense or national security.

Article 15 (Support of Costs for Technology Valuation) The head of the central administrative agency and the research committee, in case research outcome is deemed necessary to be commercialized, shall have expenses for conducting technology valuation for the research outcome and patents-related costs be reflected in related project costs.

Article 16 (Support of Specialized Agency for Management of Research Outcome) (1) The head of the central administrative agency and the research committee, if necessary, may establish or appoint a specialized agency (hereinafter referred to as 13

"specialized agency for management of research outcome" in this Article), and have such agency to carry out evaluation of performance and management of research outcome for research and development projects, etc. (2) The specialized agency for management of research outcome shall construct a system for specialized, objective, and fair performance evaluation and for management and utilization of research outcome, and operate such system efficiently. (3) The head of the relevant central administrative agency shall support the specialized agency for management of research outcome in constructing a system for performance evaluation and management and utilization of research outcome, and efficiently operating such system pursuant to paragraph (2). Article 17 (Training)

(1) The head of the central administrative agency shall conduct training of experts and persons in charge of performance evaluation and managers of research outcome, to improve capabilities of performance evaluation, and to efficiently manage and utilize research outcome.

(2) The Minister of Strategy and Finance shall prepare a basic guideline necessary to comprehensively and systemically support the training pursuant to paragraph (1), and notify to the head of the relevant central administrative agency thereof.

(3) Matters necessary for the training pursuant to paragraph (1) and preparation of the basic guideline pursuant to paragraph (2) shall be prescribed by Presidential Decree. Article 18 (Securement of Budget for Evaluation)

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The head of the central administrative agency and the research committee shall secure adequate budget necessary to efficiently pursue performance evaluation for research and development projects under their control.

Article 19 (Obligation of Submission to the National Assembly Standing Committee Concerned)

The Minister of Strategy and Finance shall submit the results of specific evaluation and high-level evaluation to the National Assembly Standing Committee concerned without delay.

Article 20 (Delegation of Authority)

National Science and Technology Council may delegate part of its authority pursuant to this Act to the secretary pursuant to Article 9(7) of Framework Act on Science and Technology, or the steering committee pursuant to Article 9(8) of same act, as prescribed by Presidential Decree.

ADDENDA (Government Organization Act) Article 1 (Date of Entry into Force)

This act enters into force on the date of its promulgation. Provided, That, ... ..., the provisions of the act to be amended under Article 6 of the Addenda, the amended parts of the act promulgated prior to entering into force but its enforcement date has not arrived yet, shall enter into force on the date the relevant act enters into force respectively.

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Articles 2 to 5 Omitted

Article 6 (Amendment of Other Acts)

Omitted from (1) to <123>

<124> The following provisions of the Act on Performance Evaluation and Management of National Research and Development Projects, etc. shall be amended as follows:

In Article 2(vii), "by National Science and Technology Council pursuant to Article 9(1) of Framework Act on Science and Technology (hereinafter referred to as "National Science and Technology Council"), pursuant to Article 7(1)" reads "by the Minister of Strategy and Finance pursuant to Article 7(1) of Framework Act on Science and Technology."

In Articles 5(1) other than each subparagraph, 5(1)(vii), 5(2) and (3), 6(2) and (4), 7(1) other than each subparagraph, 7(1)(v), 7(2) to (5), 8(3) and body of (4), 10(1), 13(2), 17(2) and 19, "National Science and Technology Council" reads "the Minister of Strategy and Finance."

In Article 13(1), "the Minister of Science and Technology and the related central administrative agency" reads "the relevant central administrative agency." Omitted from <125> through <760>

Article 7 Omitted