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ENFORCEMENT REGULATIONS ON MANAGEMENT, ETC. OF NATIONAL RESEARCH AND DEVELOPMENT PROJECTS

Enforcement Regulations on Management, etc. of National Research and Development Projects

[Enforcement Date: Mar. 23, 2009][Ordinance of the Ministry of Education, Science and Technology No. 31, Partly Amended on Mar. 23, 2009] Ministry of Education, Science and Technology (Regulation Reform Legal Division) 02-2100-6158

Article 1 (Purpose)

The purpose of these Rules is to provide matters delegated by the Decree on Management of National Research and Development Projects and matters necessary for the enforcement thereof.

Article 2 (Division of Research and Development Phase) The national research and development project and the research and development task shall be executed and managed as divided into the phases falling under each of the following subparagraphs in principle: (i) Basic research phase: Theoretical or experimental research phase for acquiring new knowledge on the actual state or observable facts without directly aiming for special applications or business (ii) Applied research phase: Original research phase for acquiring new scientific knowledge under mainly practical purposes and goals, utilizing the knowledge acquired as a result of the basic research (iii) Development research phase: Systemic research phase for producing new 2

products, devices and services, or improving the existing products, devices and services, by utilizing the knowledge acquired as a result of the basic research, applied research and practical knowledge Article 3 (Standard form of Survey of Demand for Technologies) The standard form for survey of demand for technologies, whose result is jointly utilized by the competent Ministries pursuant to the Article 3-2(2) of the Regulations on Management of National Research and Development Projects (hereinafter referred to as "Decree"), shall be in the form of Attachment 1.

Article 4 (Form of Plan for Research and Development) (1) The form of the plan for research and development pursuant to the Article 4(5) of the Decree shall be in the form of Attachment 2. In this case, if one person in charge has overall control over more than two research and development tasks for a national research and development project, such person in charge shall submit the summarized table of each research and development task. (2) The head of the central administrative agency or the head of the special research institute, among the items in the form of Attachment 2, may delete the item which is not relevant to the project concerned, or add the item necessary to confirm matters of the plan.

Article 5 (Selection Criteria of Evaluation Commissioner of Research and Development Task Evaluation Group, etc.)

(1) The selection criteria of the evaluation commissioner of the research and 3

development task evaluation group pursuant to the Article 5(1) and (2) of the Decree shall be as the Attached Table 1.

(2) The criteria and method of reviewing overlap with other research and development tasks pursuant to the Article 5(3) of the Decree shall be as the Attached Table 2. (3) The criteria and method of giving preferential treatment or penalties in selecting research and development tasks pursuant to the Article 5(4) through (6) of the Decree shall be as the Attached Table 3. Article 6 (Annual Actual Result/Plan)

(1) The annual actual result/plan pursuant to the proviso of the Article 6(1) of the Decree shall be in the form of Attachment 3. In this case, if one person in charge has overall control over more than two research and development tasks for a national research and development project, such person in charge shall submit the summarized table of each research and development task.

(2) The head of the central administrative agency or the head of the special research institute, among the items in the form of Attachment 3, may delete the item which is not relevant to the project concerned, or add the item necessary to confirm matters of the plan.

Article 7 (Subsidy for Research and Development Costs) (1) Pursuant to the provisions of the proviso of the Article 10(1), the head of the central administrative agency, in cases where there are enterprises participating in the research and development task which is in the phase of basic research, may bear all of the research and development expenses excluding internal labor costs for the researchers 4

belonging to the participating enterprises.

(2) Among labor costs pursuant to the Article 10(3) of the Decree, the external labor costs for the students as Bachelor, Master, Ph.D. candidates shall be the amounts determined by the following each subparagraph on the basis of participating rate of 100%, and the participating rate of such students shall be appropriated to the extent of avoiding any regular classes disruptions. (i) Bachelor candidates: 1,000,000 won per month

(ii) Master candidates: 1,800,000 won per month

(iii) Ph.D. candidates: 2,500,000 won per month

(3) "Costs for purchasing and maintaining the equipment and supplies to maintain research environment" in subparagraph (2) of "use of the expenses for research activities" under "direct expenses" of the Attached Table 2 of the Decree means expenses for purchase and maintenance of equipments and supplies necessary to air- condition laboratories and maintain healthy and clean environment.

(4) Deleted

Article 8 (Management of Budget for Research and Development) (1) The head of the principal research institute to which the research and development subsidy is granted pursuant to the Article 10(2) of the Decree shall comply with matters falling under any of the following subparagraphs: (i) The research and development budget received shall be deposited in near financial institutions.

(ii) Returns for customs, value added taxes, etc. from the research and 5

development budget shall be filed in compliance with relevant tax laws. (iii) A cashbook or its equivalent shall be provided to record and manage receipt and disbursement by items of expenditure and as a whole. (2) The head of the principal research institute to which the research and development budget is paid pursuant to the Article 10(2) of the Decree may operate a separate integrated account for the research and development budget to effectively manage such research and development budget.

(3) The research and development budget pursuant to the Article 10(3) of the Decree shall be directly executed by the head of the principal research institute, but the direct cost and the budget for the commissioned research and development shall be executed through proposal by the person in charge of the principal research. (4) In case where the head of the principal research institute executes the research and development budget, he/she shall provide the expense report and the receipt on the payment of the research and development expense, and if necessary, other evidential documents necessary to establish payment including the estimate, the bill or contract, the auditing record, etc. and file such documents monthly or quarterly, and affix the total number of cases, total number of pages, total amounts of money, and the name of the manager and seal to the cover thereof.

(5) The evidential documents pursuant to the paragraph (4) shall be saved in compliance with the internal provisions of the principal research institute: Provided, That such documents shall be saved for five years from the completion year of the research and development task concerned.

Article 9 (Organization and Operation of the Committee for Calculating Indirect Cost 6

and the Subcommittee )

(1) The chairperson of the committee for calculating the indirect cost pursuant to the Article 10-2(1) (hereinafter referred to as "the committee") shall be the Science and Technology Policy Planning Officer of the Ministry of Education, Science and Technology,, and the executive secretary member shall be the chief of the division of science and technology strategy. (2) Persons falling under each of the following subparagraphs shall be the members of the committee and commissioned member's term of office shall be two years.

(i) Ex efficio member: Among public officials who are of ranks of director or its equivalent belonging to the Ministry of Planning and Finance, the Ministry of Education, Science and Technology, the Ministry of National Defense, the Ministry for Food, Agriculture, Forestry and Fisheries, the Ministry of Knowledge Economy, the Ministry for Health, Welfare and Family Affairs, the Ministry of Environment, the Ministry of Land, Transport and Maritime Affairs, the Rural Development Administration, the Small and Medium Business Administration and the Korea Forest Service, the person nominated by the head of the central administrative agency to which he/she belongs (ii) Commissioned member: Among professionals in the field of research, academy and industry, the person commissioned by the Minister of Education, Science and Technology

(3) The meeting of the committee shall be convened by the chairperson and the deliberation requires the attendance of a majority of all the incumbent members and the 7

resolution requires the consent of a majority of those present. (4) If the chairperson intends to convene the meeting, he/she shall announce the agenda, date, time and place to each member in a written document seven days before the opening of the meeting: Provided, That this shall not apply if there exists any special reason.

(5) The chairperson may request the institute concerned to submit documents if necessary to calculate indirect costs. (6) The Minister of Education, Science and Technology shall finalize and notify the standard for appropriation of the indirect costs determined by the committee to the central administrative agency and the institute concerned.

(7) The chairperson of each subcommittee pursuant to the Article10-2(4) of the Decree shall be the person recommended by the Minister of Education, Science and Technology, and each subcommittee consists of not more than ten professionals in the relevant fields commissioned by the chairperson, including the chairperson.

Article 10 (Report on the Research and Development Spending Result, etc) (1) The table which compares the plan for the research and development and the actual executed results pursuant to the Article 11(1)(i) of the Decree (hereinafter referred to as "report on the research and development spending result") shall be according to the Form of the Attachment 4, and the internal financial audit comments of the research institute pursuant to the Article 11(1)(ii) of the Decree shall be according to the Form of the Attachment 5: Provided, That the head of the central administrative agency may add 8

items deemed necessary to enhance transparency in spending the research and development budget in case of using same form.

(2) In case where the head of the central administrative agency collects the balance of the research and development budget and the unjustly executed amount pursuant to the Article 11(4) of the Decree, he/she shall designate a separate managing account and have the principal research institute deposit to such account.

(3) The detailed standard and scope for collecting the balance of the research and development budget and the unjustly executed amount pursuant to the Article 11(4) of the Decree shall be prescribed by the Attached Table 4. Article 11 (Report on the Research and Development Results) (1) The final report and summary on the research and development pursuant to the Article 11(1) of the Decree shall be prescribed by the Attached Form 6 and the internal evaluation comments of the research institute pursuant to the Article 11(1)(ii) of the Decree shall be prescribed by the Form of the Attachment 7: Provided, That the head of the central administrative agency, in case of using same form, may delete the items irrelevant to the research and development project concerned or add items necessary to confirm the research and development result.

(2) The head of the principal research institute shall submit the draft of the documents pursuant to the paragraph (1) in the form of written or electronic copy before the end date of the agreement to the head of the central administrative agency for the purpose of final evaluation and submit the written documents and the electronic copies thereof pursuant to the paragraph (1) which were modified in compliance with the result of such 9

final evaluation to the head of the central administrative agency concerned within one month after the expiration of the agreement.

Article 12 (Measures following the Evaluation)

(1) In the Article 12(4) of the Decree, "the task whose final evaluation result is superior" means task which falls under all of the following subparagraphs:

(i) As a result of the final evaluation, the task which is in the top ten percent in case of relative evaluation and over ninety percent of the full mark in case of absolute evaluation (hereinafter referred to as "the best class.") (ii) The task, whose all of the objectives of the research and development proposed in the plan for research and development have been achieved (iii) The task which is deemed to remarkably contribute to increase competitiveness of technology in the relevant fields through utilization of the research and development outcome

(2) The head of the central administrative agency shall notify information on the title of the research and development task falling under the paragraph (1), the person in charge of the principal research, the research and development achievement, etc. to the head of the central administrative agency concerned to promote dissemination for the achievement of the superior research and development result. (3) In case where the person in charge of the research and development task falling under the paragraph (1) intends to execute the project which falls under any of the following subparagraphs, the head of the central administrative agency may preferentially support such project:

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(i) Applying for a patent of the research and development result (ii) Follow-up research and development in the same field of technology Article 13 (Provision of Information on Research and Development Result in Integrated Manner)

The head of the central administrative agency shall electronically manage the electronic copy of the final report and summary on the research and development pursuant to the Article 12(1) of the Decree by identification numbers, in order to provide information on the research and development result in an integrated manner pursuant to the Article 14bis(3) of the Decree.

Article 14 (Construction and Operation of Information Management System of National Research and Development Project ) (1) The information management system which shall be constructed and operated by the head of the central administrative agency pursuant to the Article 16-2(1) of the Decree shall include information falling under each of the following subparagraphs:

(i) The plan for the research and development task under the main sentence of the Article 6(1) of the Decree; the annual actual result/plan under the proviso of the Article 6(1) of the Decree; and the final report and summary under the Article 12(1) of the Decree;

(ii) The list of the evaluation commissioners who participated in the selection process and the phase, final and follow-up evaluations as per research and development tasks; the comprehensive evaluation 11

comments; the evaluation result; and the disciplinary measures based on the evaluation result;

(iii) The person in charge of the research; and the institutes to which the participating researchers belong, personal information on the participating researchers and the participation rate per tasks; (iv) The research and development outcome per tasks, including intellectual property rights, theses, royalty earnings, etc.; and (v) Other matters deemed necessary by the head of the central administrative agency.

(2) The head of the central administrative agency shall manage the information management system under the paragraph (1) based on he standard determined by the National Science and Technology Information System under the Article 16-2(2) of the Decree.

(3) The head of the central administrative agency shall construct a system for information gathering and coordination on the research and development, by which such information on the research and development may be immediately submitted to the National Science and Technology Information System. Article 15 (Plan for Management of Research and Development Information, etc.) (1) The plan for the management of the research and development information shall include matters falling under each of the following subparagraphs:

(i) Standardization plan for jointly utilizing the research and development information;

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(ii) Management plan for information on the evaluation commissioners and the participating persons in the research and development; (iii) Management plan for information on evaluations of the research and development;

(iv) Management plan for information on the research and development outcome; and

(v) Management plan for information on the research and development equipment and supplies.

Article 16 (Management of Group of Candidates for Evaluation Commissioner) (1) In case where the Minister of Education, Science and Technology manages the group of candidates for evaluation commissioner pursuant to the Article 16-2(4) of the Decree, he/she shall establish special security measures in order to prevent personal information from leaking out. (2) The Minister of Education, Science and Technology shall establish measures for the central administrative agency concerned to effectively utilize the group of candidates for evaluation commissioner under the Article 16-2(4) of the Decree, and actively publicize thereof to the central administrative agency concerned.

Article 17 (Matters Regarding Registering Research Equipment to National Science and Technology Information System ) In case where the head of the principal research institute registers the acquired equipment to the National Science and Technology Information System pursuant to the 13

Article 16-2(5) of the Decree, he/she shall electronically register and manage the information falling under any of the following subparagraphs:

(i) The title and identification number of the national research and development project under execution;

(ii) The (Korean and English) name and the model name of the research equipment;

(iii) The manufacturer, manufacturing country and supplier of the research equipment;

(iv) Principle and character, main specifications, usage and utilization plan of the research equipment; and

(v) The purchase price, utilization process and cost, etc. Article 18 (Standard and Procedure for Registration and Deposition of Research and Development Outcome)

(1) The standard and procedure for registering and depositing the research and development outcome pursuant to the Article 16-3(3) of the Decree shall be prescribed by the Attached Table 5.

(2) When the head of the principal research institute or the head of the special research institute register and/or deposit the research and development outcome pursuant to the paragraph (1), he/she shall fill in the form determined respectively by the agency pursuant to the Article 16-3(1) of the Decree (hereinafter referred to as "dedicated agency" in this Article.)

(3) In case where the dedicated agency determines the form for registration and 14

deposition pursuant to the paragraph (2), it shall consider the character of the field to which the relevant research and development outcome belongs, while such form for registration and deposition shall include the contents of the Form of the Attachment 8. [Newly Established on Jul. 8, 2008]

ADDENDA

This decree enters into force on the date of its promulgation.