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ANALYSIS ON GREEN R&D PERFORMANCE facebook print

Performance analysis overview

Performance analysis objectives

Performance Analysis puts its main focus on conducting accurate assessment on the national R&D projects on green technology based on the national R&D project performance data. The result of analysis is utilized for financial budget allocation and adjustment for green technology R&D programs and establishment of necessary science and technology policies.

Legal Grounds for Performance Analysis

Performance Analysis on current status of national green technology R&D projects is conducted based on the “Framework Act on Low-Carbon Green Growth”

※ Article 26 (Facilitation of Research, Development, and Commercialization of Green Technology)(1) The Government may establish and enforce measures, including the following matters, to facilitate research, development, and commercialization of green technology:

1. Collection, analysis, and furnishing of information related to green technology;

Subject of Performance Analysis and Procedures

  • Subject of Performance Analysis
    : Based on the date of performance1) The year of performance(standard year) refers to the year indicated in data collected for the “National R&D project Examination and Analysis” according to the Framework Act on Science and Technology, specific R&D programs that are classified as green technology among specific tasks of national R&D projects on annual basis will be selected as a subject of R&D performance analysis.

1) The year of performance(standard year) refers to the year indicated in data collected for the “National R&D project Examination and Analysis” according to the Framework Act on Science and Technology

  • Details of Performance
    Journals, patents, technology fees, Commercialization, assistance on human resource development, assistance on education and training
Classification Criteria
Journal · SCI journals posted on the academic journals within the period (based on the year and month of publication)
Patent
  • Patents officially registered on the Korea Intellectual Property Office (based on the date indicated in the patent application and registration card)
  • Classification of patents for analysis: domestically applied patents, domestically registered patents, patents applied in foreign countries and patents registered in foreign countries
Technology fee · Technology fees collected during the period
Commercialization · Sales and employment through the commercialization of the project during the period
Assistance on HR development · Records of assistance for HR development within the year
※ Only the projects related with the HR development are included
Assistance on education and training · Records of assistance for domestic and international education and training programs within the year
Procedures of Performance Analysis

Verified DB established by the NTIS is utilized at the examination and analysis phase of the national R&D project

Information collection and verification procedures
  1. Information on performance is collected annually through NTIS at examination and analysis phase
  2. Performance data gathered from NTIS are verified through the cross-examination of SCI journals and domestic patents. Verifying the performance data in linkage with the related DB mainly about SCI journals and domestic patents
    • Conducting verification on SCI journals and domestic patents among the six performance areas
    • Analyzing technology fees, project implementation, support for talent nurturing, and support for education and training using unverified data
  3. Examination is conducted to identify any overlapped performances and accurately adjust the contribution rate
    • Data base for performance analysis on national green technology R&D projects is established based on annual data of performance examination and analysis regarding national R&D projects.
    • Performance analysis is conducted on six areas utilizing analysis performance DB for national green technology R&D projects.

Areas of Performance Analysis

Overview of Performance Analysis Area

Area Criteria
R&D stage Classified by the criteria suggested by the OECD ‘Frascati Manual’ (2002)
Research organization Organizations that actually conduct research and development programs

Research and Development Stages

Classifying the R&D stages into basic research, applied research and development research following the OECD criteria

Classification Criteria
Basic research Theoretical or experimental research conducted at the first stage in order to obtain primary knowledge on natural phenomenon and objects, excluding special application or commercialization of findings.
Applied research Creative research conducted to further obtain practical scientific knowledge utilize the findings from basic research.
Development research Systematic research for producing new products or devices or improving the conventional equipment by using the knowledge obtained from the basic and applied research or actual experiences
Others Other forms of research excluding aforementioned cases

Source : OECD ‘Frascati Manual’ (2002)



Research organizations

Research organizations refer to the organizations that actually conduct research and development activities by using the R&D budget that are differentiated from the host organizations of projects.

Classification Criteria
Industry
  • Large companies: companies with large-scale capital and a great number of employees and facilities
  • Small and medium-sized firms: companies with small or mid-scale capital and a small number of employees and facilities
Universities Universities: 2-year and 4-year universities nationwide
Research Institutes
  • National and public research institutes: Institutes directly operated by the government due to the national needs
  • Government-funded research institutes: Institutes partly or entirely operated by the funds from the government
Governmental organizations Governmental organizations: Ministry of Food and Drug Safety, Rural Development Administration, etc
Others Non-profit organizations, research associations, academic associations, government-funded investment organizations, etc

Scope of Performance Analysis

- Among each years’ national R&D projects, performance of the projects classified as green technology among specific tasks of national R&D projects conducted from 20XX 1.1 to 20XX.12.31 is analyzed.

※ As for the analysis of the performance of the national R&D projects, date of the performance serves as a standard, not the date of the agreement of the project.

  • Performance analysis is conducted on the quantitative features of the six performance areas including SCI journals, domestic patents, technology fees, project implementation, assistance of HR development, assistance of education and training
    • As for SCI journals, domestic patents, technology fees and project implementation, performance analysis is conducted by department, stage of R&D and research organization.
    • Specific analysis is conducted by green technologies with verified performance data for examination and analysis such as SCI thesis and domestic patents.
  • Analysis on performance in calculation of research investment is also conducted to compare quantitative result and feature of performance, especially for journals and patent in green technology among other national R&D projects.

    For the analysis and calculation of the performance considering the research investment, accurate information should be constantly provided.

    ※ As for the performance of the research and development, analysis and calculation of the performance compared to the amount of investment are extremely difficult as considerable time is required to publish journals and register or apply a patent to present the performance.2) As of national R&D projects, more than 60% of performances are reported according to the data collected during 2007-2008 examination and analysis

Current status of the journal

Overivew

▧ In 2012, the number of SCI journals published from the national green technology R&D projects accounted for 15.7% of the total national R&D projects.
  • There were 4,482 journals published from the green technology R&D projects in 2012, accounting for 15.7% of the total national R&D projects.
    A total of 3,334 SCI journals were published on the 27 major green technology areas, making up 74.4% of the publication of the total green technology areas.
  • As of 2012, performance of the SCI journals compared to the research investment was 1.7 journals per 1 billion won.
    Likewise, performance of the SCI journals compared to the major green technology R&D investment was 1.6 journals per 1 billion won.

SCI paper status

Current status of performance by government 1)

▧ The (former) Ministry of Education, Science and Technology, and (former) Ministry of Knowledge Economy published 88.3% of the SCI journals through their projects, and the former published a higher number of journals on basic and applied research areas while the latter on basic and development research areas.
  • - The Ministry of Education, Science and Technology (71.2%, 3,190 journals) and the Ministry of Knowledge Economy (17.1%, 768 journals) took up 88.3% of the total SCI journals, followed by the Rural Development Administration (3.1%, 140 journals) and the Ministry of Environment (2.6%, 118 journals).2)
    • As for the national R&D projects, the Ministry of Education, Science and Technology (73.3%, 20,960 journals) takes up the lion's share, followed by the Ministry of Knowledge Economy (11.6%, 3,329 journals).2)
    • In green technology R&D, the portion of the Ministry of Knowledge Economy and Ministry of Environment were 5.5%p and 1.8%p higher than that of other ministries, respectively, compared to the national R&D projects.

1) For the consistency in research and analysis, the standard year was set as 2012 (before the government organizational restructuring).

2) In the 2012 green technology R&D, the Ministry of Education, Science and Technology and the Ministry of Knowledge Economy took up 65.4% (1 trillion and 776.1 billion won).

Current status of the performance by research and development stage

▧ Basic research areas showed relatively high portion of SCI journals, and performance of journals compared to research investment

- As for the portion of the SCI journals by research and development stage, basic research (56.3%, 2,524 journals) showed the highest portion, followed by the applied research (23.8%, 1,067 journals) and development research (15.8%, 706 journals).

Current status of performance by research organization

▧ Projects conducted by universities accounted for 69.3% of the total SCI journal performance with a highest record of 5.9 in the number of the journals compared to the investment.

- Projects by universities (69.3%, 3,105 journals) and those by government-funded institutes (22.9%, 1,025 journals) published 92.1% of the total SCI journals.
· Meanwhile, national and public institutes (2.8%, 127 journals), large firms (1.9%, 84 journals) and small and medium firms (1.7%, 75 journals) showed weak performances.

Analysis on Green R&D Performance

Overview

▧ Domestic patent applications and registrations from green technology R&D projects in 2012 accounted for 15.6% and 9.2%, respectively, of the total national R&D projects, far short of the investment in green technology R&D.1)
  • Domestic patent applications and registrations from green technology R&D projects in 2012 accounted for 15.6% (3,588 applications) and 9.2% (1,025 registrations) of the total national R&D projects, respectively.
    Domestic patent applications and registrations from major green technology R&D marked 79.6%(2,857 applications) and 78.4% (804 registrations) of the total green technologies.
  • Performance of the domestic patent applications compared to the green technology R&D investment marked 1.3 applications per 1 billion won, lower than 1.4 applications per 1 billion won of the national R&D projects.
    Performance of the domestic patent applications compared to the major green technology R&D investment marked 1.4 applications per 1 billion won, similar to that of the national R&D projects and higher than that of green technology R&D projects.

1) Of the total national R&D projects in 2012, investment in green technologies accounted for 17.1% (2.7148 trillion won), and investment in major green technologies of the total green technology investment recorded 75.8% (2.563 trillion won).

Domestic patent status

Current status of performance by government 1)

▧ In 2012, 85.1% of domestic patent applications and 87.3% of registrations were made from the projects of the four major government ministries in terms of the green technology R&D investment volume.
  • As for domestic patent application, the Ministry of Knowledge Economy (43.8%, 1,571 applications) and Ministry of Education, Science and Technology (30.6%, 1,098 applications) accounted for 74.4% of the total patent applications.
    • Next top contributors were the Ministry of Land, Transport and Maritime Affairs (7.5%, 270 applications) and the Ministry of Environment (6.1%, 270 applications).
    • Compared to the total national R&D projects, patent applications from the Ministry of Education, Science and Technology and the Ministry of Knowledge Economy in the green technology R&D area were higher by 3.5%p and 0.2%p, respectively.
  • As for domestic patent registration, the Ministry of Education, Science and Technology (37.7%, 387 registrations) and Ministry of Knowledge Economy (35%, 359 registrations) accounted for 72.7% of the total patent registrations.
    • Next top contributors included the Ministry of Land, transport and Maritime Affairs (9.1%, 94 registrations) and the Ministry of Environment (5.7%, 59 registrations).
    • Compared to the total national R&D projects, patent applications from the Ministry of Education, Science and Technology were higher by 7.4%p, but those by the Ministry of Knowledge Economy were lower by 3.1%p.

1) For the consistency in research and analysis, the standard year was set as 2012 (before the government organizational restructuring).

Domestic patent application (above) and registration (below) ratio per department

Current status of performance by research and development stage

▧ The highest number of patent applications and registrations were found in the development research areas, and they each accounted for 40.1% and 35% of the total domestic green technology patent applications and registrations.
  • The highest number of patent applications appeared in the development research areas (40.1%, 1,438 applications), followed by the applied research areas (27.7%, 993 applications) and basic research areas (26%, 934 applications).
    • Among the total national R&D projects, patent applications were found evenly from development research (42.5%, 9,752 applications), basic research (26.7%, 6,118 applications) and applied research (24.7%, 5,676 applications).
    • Compared to the total national R&D projects, domestic patent applications in the green technology R&D were lower by 2.4%p. 1)
  • As for domestic patent registration, 35% (359 registrations) of the total patent registrations were from the development research, followed by basic research (33.1%, 339 registrations) and applied research (25.4%, 261 registrations).
    • As for the total national R&D projects, development research recorded 41.2% (4,580 registrations) of the total registrations, followed by basic research (27.6%, 3,072 registrations) and applied research (25.9%, 2,874 registrations).
    • Compared to the total national R&D projects, domestic patent registrations in the green technology R&D were lower by 6.2%p.

Domestic Patent Registration Ratio per R&D Stage

Current status of patent performance by research organization

▧ Largest number of patent applications and registrations were initiated from the government-funded research institutes and universities which are major green technology R&D organizations.
  • As for the domestic patent applications, 34.9% of the patent applications were issued from the projects conducted by the government-funded research institutes,34.4%(1,233 applications) from the universities, 11.9%(426 applications) from large companies and 10.7% (385 applications) from small and mid-sized companies. 1)
    • As for the total national R&D projects, universities(36.9%, 8,459 applications) and government-funded research institutes(28.5%, 6,537applications) accounted for 65.4% of the total patent applications.
    • Compared to the total national R&D projects, patent applications by large companies were higher by 3.1%p while those by small and mid-sized companies were lower by 7.1%p.
  • As for the domestic patent registration, the highest number of registrations was initiated from universities(49%, 502 registrations), followed by the government-funded research institutes(23%, 236 registrations), small and mid sized companies(10.2%, 105 registrations), and large companies(8.3%, 86 registrations).
    • As for the total national R&D projects, 69.6% of the total patent registrations was conducted by universities (40.5%, 4,505 registrations) and government-funded institutes (29.1%, 3,231 registrations).
    • Compared to the total national R&D projects, patent registrations by universities were higher by 8.5%p while those by small and mid-sized companies were lower by 6.7%p.

1) In 2012, green technology investment was made the most by government-funded institutes (30.5%, 827.6 billion won), followed by universities (19.3%, 524.3 billion won), small and medium firms (18.8%, 509.9 billion won), and large firms (18.5%, 501.4 billion won).

Domestic Patent Contribution Ratio per R&D Party

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