of May 25, 2011 No. 575
About approval of Rules basic and program target financing of scientific and (or) scientific and technical activities, grant financing of scientific and (or) scientific and technical activities and commercialization of results of scientific and (or) scientific and technical activities, financing of the scientific organizations performing basic scientific research
According to the subitem 10) of article 3 of the Law of the Republic of Kazakhstan "About science" the Government of the Republic of Kazakhstan DECIDES:
2. This resolution becomes effective after ten calendar days after the first official publication.
Prime Minister of the Republic of Kazakhstan
K. Masimov
Approved by the Order of the Government of the Republic of Kazakhstan of May 25, 2011 No. 575
1. These rules basic and program target financing of scientific and (or) scientific and technical activities, grant financing of scientific and (or) scientific and technical activities and commercialization of results of scientific and (or) scientific and technical activities, financing of the scientific organizations performing basic scientific research (further – Rules), are developed according to the laws of the Republic of Kazakhstan "About science" (further – the Law) and "About commercialization of results of scientific and (or) scientific and technical activities", determine procedure basic and program target financing of scientific and (or) scientific and technical activities, grant financing of scientific and (or) scientific and technical activities and commercialization of results of scientific and (or) scientific and technical activities, financing of the scientific organizations performing basic scientific research at the expense of means of the government budget.
2. In these rules the following concepts are used:
1) scientific and technical task within program target financing – the initial technical document for carrying out strategic scientific research for the purpose of the solution of strategically important national objectives, including national scientific and technical tasks establishing requirements to content, amounts and terms of accomplishment of these works;
2) the subject of scientific and (or) scientific and technical activities – the physical persons and legal entities performing scientific and (or) scientific and technical activities;
3) the private partner – the individual entrepreneur, particular partnership, consortium or the legal entity, except for persons acting as the state partners, signed the agreement of public-private partnership;
4) the state order – the order of authorized body and (or) industry authorized bodies to the subject of scientific and (or) scientific and technical activities based on the contract for accomplishment of the research works financed by the government budget in the form of basic grant, program target financing and financing of the scientific organizations performing basic scientific research;
5) grant on scientific, scientific and technical projects – the budgetary funds provided on non-paid and irretrievable basis for realization of basic and applied scientific research within grant financing;
6) grant on commercialization of results of scientific and (or) scientific and technical activities – the budgetary and (or) extrabudgetary funds provided to the accredited subject of scientific and (or) scientific and technical activities and other participants declared in the project of commercialization of results of scientific and (or) scientific and technical activities on non-paid and irretrievable basis for projects implementation of commercialization of results of scientific and (or) scientific and technical activities (further – RNNTD) within priority sectors of economy;
7) the grantee on scientific, scientific and technical projects – accredited subjects of scientific and (or) scientific and technical activities, and also the autonomous organizations of education and their organization which signed the agreement on grant financing of scientific and (or) scientific and technical activities (further – the grantee);
8) the grantee on projects of commercialization of RNNTD – the accredited subjects of scientific and (or) scientific and technical activities and other participants who signed the contract on grant financing of the project for commercialization of RNNTD (further – the grantee on projects of commercialization of RNNTD);
9) the project of commercialization of RNNTD – the document including content of the expected work directed to practical application of RNNTD, including results of intellectual activities, for the purpose of conclusion to the market of new or advanced goods, processes and services, directed to commercialization;
10) the report on commercialization of RNNTD – the document containing information on results of project implementation of commercialization of RNNTD.
3. Financing of subjects of scientific and (or) scientific and technical activities can be performed at the same time in different forms of financing according to the procedure and on conditions which are established by these rules.
4. The contract for accomplishment of the state order on basic financing is signed between the subject of basic financing and authorized body or industry authorized body on ensuring the current activities of the subject of basic financing.
The contract for accomplishment of the state order and (or) the state task on grant or to program target financing consists between the accredited subject of scientific and (or) scientific and technical activities or the autonomous organization of education by both its organization and authorized body and (or) industry authorized body or legal entities determined by the Government of the Republic of Kazakhstan financing scientific and (or) scientific and technical activities, and also commercialization of results of scientific and (or) scientific and technical activities for all term of their realization, but no more than for five years.
The contract for accomplishment of the state order on realization of basic scientific research is signed between the accredited subject of scientific and (or) scientific and technical activities included in the list of the scientific organizations performing basic scientific research and authorized body and (or) industry authorized body for all term of their realization, but no more than for five years.
5. Basic financing is allocated to the state scientific organizations and the scientific organizations equated to the state, state organizations of the higher and (or) postgraduate education, the organizations of the higher and (or) postgraduate education, fifty and more percent of voting shares (shares in the authorized capital) which belong to the state, and also the organizations of the higher and (or) postgraduate education in which fifty and more percent of voting shares (shares in the authorized capital) directly or indirectly belong to legal entities, fifty and more percent of voting shares (shares in the authorized capital) which belong to the state, accredited in authorized body and performing the state task and (or) the state order for carrying out scientific research in the directions, priority for them (further – subjects of basic financing), certain industry authorized body.
Basic financing is not allocated to the scientific organizations included in the list of the scientific organizations performing basic scientific research approved by authorized body.
6. The list of the organizations which are subjects of basic financing is created and affirms authorized body based on offers of industry authorized bodies.
7. Basic financing includes expenses on regulations of basic financing on the current providing scientific infrastructure and property, including buildings, the equipment and materials, compensation of the leading scientists, administrative and service personnel, and also information maintenance of scientific and technical activities of subjects.
8. Subjects of basic financing which do not receive the state task and (or) the state order for carrying out scientific research in the directions, priority for them, determined by authorized body or industry authorized body within the last two years are subject to exception of the list of subjects of basic financing.
9. Subjects of basic financing, except for the scientific organizations included in the list of the scientific organizations performing basic scientific research approved by authorized body annually no later than April 1 of the year preceding planned represent the budget request for basic financing according to the approved regulations of basic financing which is drawn up according to requirements of the budget legislation to authorized body and (or) industry authorized body.
10. Regulations of basic financing are developed by authorized body and affirm the Government of the Republic of Kazakhstan.
11. Industry authorized bodies introduce the summary budget requests on basic financing which are drawn up according to the budget legislation in authorized body no later than May 1 of the year preceding planned.
12. The authorized body introduces the summary budget request on basic financing in the central authorized body on budgetary planning according to the procedure, established by the budget legislation.
13. Financing of subjects of basic financing is performed by authorized body, industry authorized bodies within the approved budget for the corresponding financial year according to the distributed budget program.
14. The report on use of allocated funds on basic financing is submitted subjects of basic financing in authorized body or industry authorized body till December 31 of accounting year in form according to appendix 1 to these rules.
Industry authorized bodies the summary report on use of means of basic financing of subjects of scientific and (or) scientific and technical activities is submitted in form, according to appendix 2 to these rules, in authorized body till January 25 of the year following for reporting.
The subject of basic financing provides reliability and legitimacy of the reflected information in the report on use of allocated funds on basic financing of subjects of scientific and (or) scientific and technical activities.
15. Reliability of the documents and details confirming justification of inclusion in the list of subjects of basic financing and amounts of basic financing provide authorized body, industry authorized bodies and subjects of scientific and scientific and technical activities.
16. Program target financing is allocated for carrying out strategic scientific research for the purpose of the solution of strategically important national objectives, including national scientific and technical tasks, and performed on competitive basis. Program target financing in the field of the homeland security and defense containing the data constituting the state secrets can be allocated for carrying out applied scientific research out of competitive procedures for the decision of the Government of the Republic of Kazakhstan.
17. The bases of program target financing of scientific research are the Strategy of development for Kazakhstan till 2050, the national priorities, national development plans, plans of territorial development of the country, the concept of development of the industry/sphere, national projects, development plans for state bodies and other programs directed to realization of strategically important national objectives.
18. Industry authorized bodies till February 1 of the year preceding planned send to authorized body of the offer on the priority and specialized directions of program target financing, and also scientific and technical tasks within program target financing with indication of the amount of financing.
Offers on the priority and specialized directions of industry authorized bodies go authorized body to "National Center of the State Scientific and Technical Examination" joint-stock company (further – the center of examination) within two working days from the date of the termination of term of submission of offers by industry authorized bodies.
The center of examination within two working days from the date of receipt of offers on the priority and specialized directions and amounts of program target financing sends them for consideration to national scientific councils (further – NNS).
The center of examination sends solutions of NNS to authorized body till April 1 of the year preceding planned.
Scientific and technical tasks within program target financing are developed by the working group created by authorized body or industry authorized body from among scientists, members of NNS, branches of science specialists, representatives of authorized state body, industry state bodies till April 1 of the year preceding planned.
The offers on the priority directions and amounts of program target financing recommended by the solution of NNS and also the scientific and technical tasks within program target financing developed by working group are submitted by authorized body for consideration of the Highest scientific and technical commission under the Government of the Republic of Kazakhstan (further – VNTK).
VNTK till May 1 of the year preceding planned makes the decision according to the procedure, established according to the Regulations on the Highest scientific and technical commission under the Government of the Republic of Kazakhstan approved by the order of the Government of the Republic of Kazakhstan of April 20, 2011 No. 429 (further – Regulations on VNTK).
The authorized body within fifteen working days from the date of decision making of VNTK sends the solution of VNTK to the central authorized body on budgetary planning for removal of the amounts of financing in accordance with the established procedure for consideration of the Republican budget commission (further – RBC).
After decision making of VNTK in the priority directions of development of science and amounts of program target financing with breakdown in the priority directions and considerations of RBC the authorized body and industry authorized bodies till September 1 of the year preceding planned develop, approve the tender documentation on the scientific and technical tasks approved by VNTK and announce competition on program target financing within the means approved by the decision of RBC.
In case of reducing RBC of the amounts of financing administrators of budget programs distribute amounts of the means approved by RBC in the priority directions.
Tender on program target financing according to the scientific, scientific and technical program appears authorized body or industry authorized body and the announcement is subject to placement on Internet resource of the authorized body or industry authorized body which announced competition and also Internet resource of the center of examination.
19. The state scientific and technical examination (further – GNTE), and also assessment of justification of the required amount are performed according to the Rules of the organization and conducting the state scientific and technical examination approved by the order of the Government of the Republic of Kazakhstan of August 1, 2011 No. 891 (further – Rules GNTE).
20. The target scientific (scientific and technical) program (further – the target program) can include several subprogrammes directed to the solution of specific objectives within the target program.
Division of the target program into subprogrammes is performed proceeding from scale and complexity of the solved problems, and also need of the rational organization of their decision with receipt of specific result.
21. Target programs which implementation is offered on competitive basis, and also offered to financing out of competitive procedures to carrying out applied scientific research in the field of the homeland security and defense containing the data constituting the state secrets go authorized body to the center of examination for the organization of carrying out GNTE within three working days after acceptance completion.
22. Target programs which implementation is offered on competitive basis and out of competitive procedures on carrying out applied scientific research in the field of the homeland security and defense containing the data constituting the state secrets are sent by the center of examination for consideration the corresponding NNS after holding the procedures established by Rules GNTE.
NNS consider target programs which implementation is offered on competitive basis, and also offered to financing out of competitive procedures on carrying out applied scientific research in the field of the homeland security and defense containing the data constituting the state secrets, and also the conclusion of GNTE including assessment of economic justification on them and determine forms and the amounts of financing, allocated for carrying out scientific research, or refuse financing with indication of the amounts of financing and direct them to VNTK.
23. VNTK based on solutions of NNS approves (rejects) target programs which implementation is offered on competitive basis, and also offered to financing out of competitive procedures on carrying out applied scientific research in the field of the homeland security and defense containing the data constituting the state secrets.
After approval of the solution of VNTK by the Government of the Republic of Kazakhstan the decision on financing of target programs out of competitive procedures on carrying out applied scientific research in the field of the homeland security and defense containing the data constituting the state secrets is considered.
24. The authorized body sends to industry authorized bodies of the data according to the target programs approved by VNTK which implementation is offered on competitive basis, and also according to the target programs offered to financing out of competitive procedures on carrying out applied scientific research in the field of the homeland security and defense containing the data constituting the state secrets.
25. Funds of program target financing are allocated for the expenses which are directly connected with carrying out scientific research according to the scientific and (or) scientific and technical programs approved by the solution of NNS.
Costs belong to expenses on:
1) compensation – system of the relations connected with ensuring obligatory payment with the employer to the scientists and persons performing financial and economic and legal maintenance, remunerations for their work according to the Labor code and other regulatory legal acts of the Republic of Kazakhstan, and also agreements, labor, collective agreements and acts of the employer;
2) official journeys – the business trips connected with implementation of the scientific and (or) scientific and technical program;
3) other services and works – the services of scientific laboratories of collective use, other laboratories, other organizations, subjects of entrepreneurship necessary for accomplishment of researches, including the arrangement fees for participation in conferences.
The other services and works including accomplishment of research works (outsourcing) are provided with indication of contractors and disaggregation by types, amounts, the expected results of works.
4) acquisition of materials – acquisition of consumable materials for accomplishment of researches;
5) acquisition of the equipment and (or) the software (for legal entities);
6) scientific and organizational maintenance – expenses on publications, patenting and acquisition of analytical materials;
7) lease of rooms – the expenses connected with lease of the rooms used for accomplishment of scientific research and scientific and organizational maintenance according to the program;
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