附件2：
THE JOINT GUIDELINES FOR IMPLEMENTATION
OF
THE JOINT RESEARCH COLLABORATION PROGRAM (JRCP) FOR CHINESE - KOREAN - JAPANESE RESEARCH COOPERATION
In accordance with Article IV of the Memorandum of Understanding (hereinafter referred to as “MOU”) signed on May 24, 2009 among Chinese Department of International Cooperation of the Ministry of Science and Technology (hereinafter referred to as “DOIC”), Korea Foundation for International Cooperation of Science and Technology(hereinafter referred to as “KICOS”) and Japan Science and Technology Agency (hereinafter referred to as “JST), these Joint Guidelines provide methods of implementation of the Joint Research Collaboration Program (hereinafter referred to as “JRCP”) among DOIC, National Research Foundation of Korea (hereinafter referred to as “NRF”) and JST (hereinafter referred to collectively as “the Parties”).
Based on the MOU, DOIC, KICOS and JST have agreed to establish a new scheme for joint funding of Chinese – Korean - Japanese cooperative activities. After consultation among the Parties, “Climate Change (Included Greenhouse Gas Emission Reduction), Energy Saving, Disaster Prevention and Water Cycle” have been selected as the field of research for JRCP.
The aim of JRCP is to strengthen collaboration among Chinese, Korean and Japanese researchers within the field of “Climate Change (Included Greenhouse Gas Emission Reduction), Energy Saving, Disaster Prevention and Water Cycle” to enable them to forge long-term collaborations, leading to world-class scientific results and innovative technologies.
“Climate Change (Included Greenhouse Gas Emission Reduction), Energy Saving, Disaster Prevention and Water Cycle” is developing rapidly and is considered an area of strategic importance by the Parties.
1
The 1st joint call for proposals will be launched in the beginning of July. It will be announced on the websites of the Parties, with the same starting and closing dates for applications, and announcement of successful projects.
The 2nd and the 3rd joint calls will be launched around April in 2010 and 2011 respectively.
The Parties will invite Chinese, Korean and Japanese researchers to submit proposals for cooperative research projects in the research area described above. All applicants must fulfil national eligibility rules for research grant application. An important criterion of the proposed collaboration is that it should build on and reinforce on-going research activities in each group and significantly add value to these. Researchers from industry may participate in the joint collaboration.
The Parties plan to support cooperative activities including sending and inviting researchers to the counterpart countries. In principle, DOIC will support expenses for Chinese researchers, National Research Foundation of Korea(hereinafter referred to “NRF”) will support expenses for Korean researchers and JST will support expenses for Japanese researchers.
It is anticipated that about three (3) trilateral projects will be funded per call, depending on the number of proposals submitted.
Generally, the international transportation to and from the receiving country will be covered by the sending side(s); the receiving side will cover the expenses of meal, accommodation and transportation within its own country.
2
The budget for a project may differ each year, depending on the content of activities, but the total budget for the Chinese researcher over a full 3-year period (i.e. 36 months) should not exceed one (1) million RMB in principle.
According to the budgetary limitations for this programme, the amounts will be adjusted each year.
Expenses for facilities and equipment may be requested, in principle, only for the first fiscal year.
The duration of a cooperative research project will be three years (36 months) in total from the start date.
This programme is designed to support cooperation with Korean and Japanese counterparts for a Chinese researcher, such as expenses for travel and/or conducting seminars/symposia, with the precondition that the main research infrastructure essential to conducting the research project is already secured by each research group.
Funding provided within this call is intended to enhance the capacity of the applicants to collaborate. Funding will therefore be provided mainly in support of collaborative activities and may include some of the local research that is necessary for the collaboration.
Funded expenses include costs for research activities as well as research exchanges. All budget items must conform to the rules and regulations issued by the Ministry of Finance and/or the Ministry of Science and Technology of China.
Sufficient consultations should be made among Chinese research organization and its counterparts from Japan and Korea to get a consensus in the ownership of any IPRs, in 3
any form, arising from the joint research supported by JRCP.
Support will be implemented according to a contract for commissioned research entered between DOIC and a university, research institute, or enterprise (hereinafter referred to as the “institution”). During its implementation, the project should be managed according to the relative rules and regulations issued by MOST or DOIC. Sufficient and effective protection should be provided, in accordance with respective domestic laws and the international conventions which their countries have acceded to and ratified, for the IPRs derived from the scientific and technological achievements of the joint R&D activities conducted under JRCP.
The budget for a project may differ each year, depending on the content of activities, but the annual budget for the Korean researcher shall be approximately 70 million KRW in principle.
Due to budget limitations of this programme, the amounts can be adjusted each year.
The duration of a cooperative research project will be three years (36 months) in total from the start date.
This programme is designed to support cooperative research activities with Chinese and Japanese counterparts for a Korean researcher, such as expenses for travel and/or conducting seminars/symposia, with the precondition that the main research infrastructure essential to conducting the research project is already secured by each research group.
Funding provided within this call is intended to enhance the capacity of the applicants to collaborate. Funding will therefore be provided mainly in support of collaborative activities and may include some of the local research that is necessary for the collaboration.
4
Funded expenses include costs for research activities as well as research exchanges.
The principal cost categories include labor costs for staff members and direct costs such as equipment, travel and consumables. All budget items must conform to the “R&D Program Regulation” of the Korean government.
Support will be implemented according to a contract concluded between NRF and a university or research institute, etc. (hereinafter referred to as the “institution”). The contract will be renewed each year over the cooperative research period.
Since the contract is agreed on condition that all administrative procedures related to this project are handled within the institution, the research leader should consult with the department in charge at his/her institution.
The budget for a project may differ each year, depending on the content of activities, but the total budget for the Japanese researcher over a full 3-year period (i.e. 36 months) should not exceed 15 million yen in principle. (For example, a proposal may envisage a budget of 4 million yen for the first year, 6 million yen for the second year and 5 million yen for the final year.)
According to the budgetary limitations for this programme, the amounts will be adjusted each year.
Expenses for facilities and equipment may be requested, in principle, only for the first fiscal year.
The duration of a cooperative research project will be three years (36 months) in total from the start date.
This programme is designed to support additional expenses related to cooperation with Chinese and Korean counterparts for a Japanese researcher, such as expenses for travel and/or conducting seminars/symposia, with the precondition that the main research 5
infrastructure essential to conducting the research project is already secured by each research group.
Funding provided within this call is intended to enhance the capacity of the applicants to collaborate. Funding will therefore be provided mainly in support of collaborative activities and may include some of the local research that is necessary for the collaboration.
(1) Expenses for research exchanges
1) Travel expenses
In principle, travel expenses should be based on the rules of the institution to which the research leader belongs.
2) Expenses for holding symposia, seminars and meetings.
(2) Expenses for research activities
1) Expenses for facilities and equipment (only for the first fiscal year)
2) Expenses for consumables
3) Expenses for personnel
Stipend or salary for a PhD student, or salary for a post-doctoral fellow.
4) Others
Expenses for creating software, renting or leasing equipment, transporting equipment, etc.
(3) Overhead expenses
Overhead expenses as per JST norms.
(4) Expenses not covered/funded in the programme
No expenses stated below will be covered under this programme:
1) Expenses related to acquiring real estate or constructing buildings or other facilities
2) Expenses related to procurement of major equipment
3) Expenses related to dealing with accidents or disasters occurring during cooperative research periods
4) Other expenses unrelated to implementation of this cooperative research project
6
Support will be implemented according to a contract for commissioned research entered between JST and a university or research institute, or similar (hereinafter referred to as the “institution”).
The contract for commissioned research will be renewed each year over the cooperative research period.
Since the contract is agreed on condition that all administrative procedures related to this project be handled within the institution, the research leader should consult with the department in charge at his/her institution.
As for the contract between the Japanese institution and JST, it stipulates that Article 19 of the Industrial Technology Enhancement ACT (Japanese version of the Bayh-Dole Act) and the Article 25 of the ACT on Protection of the Creation, Protection and Exploitation of Content (tentative translation) will be applied to all intellectual property rights belong to Japanese institution generated as a result of this project, and that these can be the properties of the institution with which the research leader is affiliated.
If a contract for cooperative research is necessary for implementing actual research cooperation, such a contract should be agreed between the Chinese, Korean and Japanese institutions. It is strongly advised, though not required, that appropriate discussions of intellectual properties rights among the concerned parties take place, in order to ensure good collaboration. If an agreement is in place, it should be stated in the application.
The application forms in its own language issued by DOIC for Chinese researchers, by NRF for Korean researchers, by JST for Japanese researchers are different from each other to reflect different circumstances of the funding organizations, applicants and the relations between them.
The Chinese, Korean and Japanese applicants shall use a same English application forms issued by DOIC, NRF and JST together, which includes the basic common information as follows:
a) description on the expected outcome of the proposed project, scientifically as well as in terms of its relevance for the industry and society;
7
b) description on the ongoing activities and specific advantages of the Chinese, Korean and Japanese groups respectively have, which form the basis for the proposed joint project;
c) description on the expected added value by the proposed joint project, including how the competence, technology and other resources in each group complement each other; d) description on how the project is expected to strengthen research cooperation among China, Korea and Japan over the longer term; and
e) discussion on how the proposed joint project compares with other comparable activities worldwide.
The following application forms have been prepared, in English (E) and Japanese (J). English forms should be submitted to DOIC, NRF and JST, and Japanese forms should be submitted only to JST by Japanese applicants.
Form 1J/E Application outline (title of cooperative research project, names of
research leaders, cooperative research period)
Form 2J/E Summary
Form 3J/E Information on research leaders (their CVs*)
Form 4J/E List of individuals committed to the cooperative research project in
China, Korea and Japan
Form 5J/E Description of the cooperative activities including the points stated
above -maximum of 6 pages-
Form 6J/E Plan for the cooperative project
Form 7 E Papers and other publications by the Chinese-side research leader in
the past 5 years
Form 8 E Papers and other publications by Korean-side research leader in the
past 5 years
Form 9 E Papers and other publications by Japanese-side research leader in the
past 5 years
Form 10J/E Budget plan for the project (including funds provided from other
sources that support the existing on-going activities)
* The description shall include short Curriculum Vitae (CV) from Chinese, Korean and Japanese research leaders, which include basic information on education, past and present positions and membership of relevant organizations/associations. Each 8
description should not be more than 1 page of A4.
Applicants should fill in the particulars in all the application forms listed in III-1 above.
Applications for the 1st call for proposals should be sent by July 31, 2009.
Chinese applicants will send their application forms to DOIC by 17:00 (Beijing Time) on July 31, 2009, through email (hzs_yfc@).
Korean applicants will send their application forms by on line application system (http://rnd.kicos.or.kr) by 17:00 (Seoul Time) on July 31, 2009.
Japanese applicants will send their application forms to JST by 17:00 (Japanese Standard Time) on July 31, 2009, through on line application system (http://www.e-rad.go.jp/index.html).
Committees consisting of experts selected by the Parties respectively will evaluate all proposals.
Based on the results of the evaluation, the Parties will make a common decision regarding funding of the selected proposals.
The following general evaluation criteria will apply to each application:
1) Conformity with the programme aims and designated research fields
2) Capability of Research Leaders (one for each country)
The research leaders should have the insight, appropriate expertise, the ability to manage the collaboration and reach the project goals during the period of support.
3) Appropriateness of Plan
9
The plan should be realistic in terms of the activities proposed and the available budget.
4) Effect of the Activities
The benefits and future joint research likely to be accrued from the collaboration, and the wider benefits to the scientific community are important. Accordingly, the proposed activities should achieve one or more of the following,
- Opening up of a new field or new advances in science and technology through the creation of new scientific knowledge in an existing research field.
- Delivering concrete research result which has the potential of commercialization.
5) On-going research activity
The proposed collaboration should build on, reinforce and add significant value to on-going research activities in each research group.
Applicants will be notified of the final decision regarding which projects will be
After the proposal has been approved, research leaders and their affiliated institutions will observe the following when carrying out the cooperative research and utilising supported expenses.
The research leader will submit a progress report within one month from the end of each project year, and the institution with which the research leader is affiliated will submit a financial report to DOIC, NRF or JST during the same period.
After completion of the period of international research exchange, research leaders will submit a final joint report on the research exchange activities and a financial report, within one month, to DOIC, NRF or JST. The report will include a general summary (maximum five A4 pages) compiled jointly by Chinese, Korean and Japanese research groups.
10
If papers describing results of research exchange are presented to academic journals, societies and so on, please attach copies of such papers separately to the final report.
Chinese applicants should contact the following for further information:
Xiao Wei (Mr.), Zhang Li (Ms.)
Department of International Cooperation
Ministry of Science and Technology
Tel. +86(10)5888-1341/8 Fax ++86(10)5888-1344
hzs_yfc@
Korean applicants should contact the following for further information:
Beomjin Jang (Mr.)
National Research Foundation of Korea
Tel. +82-(2)-6710-7415 Fax +82-(2)-6710-7409
beomjinj@kicos.or.kr (this address may change in the future)
Japanese applicants should contact the following for further information:
Saori Tsuchiya (Ms.), Masashi Hara (Mr.)
Department of International Affairs
Japan Science and Technology Agency
Tel. +81(0)3-5214-7375 Fax +81(0)3-5214-7379
11
Signed in three originals in English, all the texts being equally valid.
On behalf of
Department of International Cooperation
Ministry of Science and Technology
XU Jie
Director of Division of Asia and Africa
Department of International Cooperation
Ministry of Science and Technology
Date:
On behalf of
Korea Foundation for International Cooperation of Science and Technology
National Research Foundation of Korea Foundation for International Cooperation of Science and Technology
Date:
On behalf of
Japan Science and Technology Agency
Michiaki OHKUBO
Director of Department of International Affairs
Japan Science and Technology Agency
Date:
12