ORDER OF THE GOVERNMENT OF THE REPUBLIC OF KAZAKHSTAN

of August 1, 2011 No. 891

About approval of Rules of the organization and conducting the state scientific and technical examination

According to the subitem 9) of article 3 of the Law of the Republic of Kazakhstan "About science" the Government of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Rules of the organization and conducting the state scientific and technical examination.

2. Declare invalid the order of the Government of the Republic of Kazakhstan of December 27, 2002 No. 1385 "About approval of Rules of the organization and conducting the state scientific and technical examination" (SAPP of the Republic of Kazakhstan, 2002, No. 46, the Art. 471).

3. This resolution becomes effective after ten calendar days from the date of the first official publication.

Approved by the Order of the Government of the Republic of Kazakhstan of August 1, 2011 No. 891

Rules of the organization and conducting the state scientific and technical examination

Chapter 1. General provisions

1. Rules of the organization and conducting the state scientific and technical examination (further - Rules) are developed according to the laws of the Republic of Kazakhstan "About science" and "About commercialization of results of scientific and (or) scientific and technical activities" and govern the relations connected with the organization and conducting the state scientific and technical examination (further - GNTE), examinations of projects of commercialization of results of scientific and (or) scientific and technical activities (further - RNNTD).

2. In these rules the following concepts are used:

1) the expert in assessment of justification of the prices - the physical person representing the conclusion according to justification of the required amount being the citizen of the Republic of Kazakhstan (the expert involved to assessment of justification of the required amount of financing of scientific, scientific and technical projects and programs shall have the higher education on groups of specialties economy and business, and also length of service at least ten years in the specialty);

2) complex examination of projects of commercialization of RNNTD - the expertize which is carried out by involvement of the group of experts by the organizer, being specialists in different industries of economy, in case of submission of the request on 3 or more industries of economy;

3) the applicant on projects of commercialization of RNNTD - the physical person or legal entity which submitted for consideration the request for receipt of grant;

4) the project of commercialization of RNNTD - the document including content of the planned activity directed to practical application of RNNTD including results of intellectual activities for the purpose of conclusion to the market of the new or advanced goods, processes and services directed to commercialization;

5) grant on commercialization of RNNTD - the budgetary and (or) extrabudgetary funds provided on non-paid and irretrievable basis for projects implementation of commercialization of RNNTD within priority sectors of economy;

6) the foreign expert involved to conducting examination of projects of commercialization of RNNTD - the physical person who is not the citizen of the Republic of Kazakhstan, having the corresponding qualification, academic degree of the doctor or candidate of science, degree of the doctor of philosophy (PhD), the doctor on profile, length of service as at least 5 (five) years, work experience in the specialty in the foreign scientific organizations in that field of activity on which assumes to act as the expert;

7) the Kazakhstan expert involved to conducting examination of projects of commercialization of RNNTD - the physical person who is the citizen of the Republic of Kazakhstan, having the corresponding qualification, academic degree of the doctor or candidate of science, degree of the doctor of philosophy (PhD), the doctor on profile and length of service as at least 5 (five) years in that field of activity on which assumes to act as the expert;

8) the foreign expert involved to carrying out GNTE of scientific, scientific and technical projects and programs - the physical person who is not the citizen of the Republic of Kazakhstan, having the corresponding qualification, academic degree of the doctor or candidate of science, degree of the doctor of philosophy (PhD), the doctor on profile, length of service as at least 5 (five) years, work experience in the specialty in the foreign scientific organizations, published at least four scientific articles and (or) reviews in the magazines entering the first two quartiles of the international Web of Science database for the last 5 (five) years and Hirsh's index at least five for the last 5 (five) years according to the international databases Web of Science and (or) Scopus.

Persons specializing in the field of humanitarian and social sciences for the last 5 (five) years shall have at least two Articles and (or) reviews in the magazines indexed in Science Citation Index Expanded, Social Science Citation Index, Arts and Humanities Citation Index, Russian Science Citation Index and (or) Emerging Sources Citation Index of the Web of Science database and (or) having percentile on CiteScore in Scopus base at least 35 (thirty five) at the time of appointment. The requirement for availability of index of Hirsh at least five for the last 5 (five) years do not extend to persons specializing in the field of humanitarian and social sciences;

9) the Kazakhstan expert involved to carrying out GNTE of scientific, scientific and technical projects and programs – the physical person who is the citizen of the Republic of Kazakhstan, having the corresponding qualification, academic degree of the doctor or candidate of science, degree of the doctor of philosophy (PhD), the doctor on profile, length of service as at least 5 (five) years and at least 2 (two) scientific articles having for the last 5 (five) years and (or) reviews in the magazines entering the first three quartiles of the international Web of Science database, and Hirsh's index at least 3 (three) for the last 5 (five) years according to the international databases Web of Science and (or) Scopus.

Persons specializing in the field of humanitarian and social sciences for the last 5 (five) years shall have at least 1 (one) Article or the overview in the magazine indexed in Science Citation Index Expanded, Social Science Citation Index, Arts and Humanities Citation Index, Russian Science Citation Index and (or) Emerging Sources Citation Index of the Web of Science database and (or) having percentile on CiteScore in the Scopus database at least 35 (thirty five) at the time of appointment or at least 10 (ten) Articles and (or) reviews in the editions recommended by authorized body in the fields of education and sciences. The requirement for availability of index of Hirsh at least 3 (three) for the last 5 (five) years does not extend to persons specializing in the field of humanitarian and social sciences.

Do not extend to the persons specializing in the field of national security and defense, and also having the corresponding access for work with the projects containing the data constituting the state secrets requirements for availability of publications and Hirsh's index.

The Kazakhstan experts involved to carrying out GNTE of closing (intermediate) statements on scientific and scientific and technical activities for the last 5 (five) years shall have at least 1 (one) Article or the overview in the magazine indexed in Science Citation Index Expanded, Social Science Citation Index, Arts and Humanities Citation Index, Russian Science Citation Index and (or) Emerging Sources Citation Index of the Web of Science database and (or) having percentile on CiteScore in the Scopus database at least 25 (twenty five) at the time of appointment. The requirement for availability of index of Hirsh does not extend to these experts;

10) the facts of violations of scientific ethics - plagiarism, falsification, fabrication of data, false co-authorship, assignment of foreign results in requests, the direction the applicant of the scientific project and (or) program on the different directions within the same source of financing, duplication by the applicant of object of GNTE or projects of commercialization of RNNTD, and also other violations in planning process, assessment, selection, carrying out and distribution of results of scientific research, including protection of the rights, safety and wellbeing of objects of research (objects of wildlife and the habitat) and researchers;

11) authorized body in the field of science - the state body performing cross-industry coordination and management in the field of science and scientific and technical activities;

11-1) scientific organizations performing basic scientific research – the state scientific organizations and the scientific organizations with absolute participation of the state included in the list of the scientific organizations performing basic researches in the field of archeology, astronomy, astrophysics, atomic energy, oriental studies, art, history, culture, literature, mathematics and mechanics, education, political science, religious studies, sociology, philosophy, ethnology, linguistics approved by authorized body;

12) individual registration number (further – IRN) – the individual registration number of object of GNTE, projects of commercialization of RNNTD, projects of the scientific organizations performing basic scientific research by budget funds appropriated by the organizer to the applicant on grant or program target financing;

13) complex examination of objects of GNTE - the expertize which is carried out by the organization of joint operation of group of the Kazakhstan experts who are specialists in different knowledge domains or the different scientific directions of one area of knowledge of which the expert opinion with the approved comments and points on evaluation criteria is result;

14) commission examination of objects of GNTE - the expertize which is carried out by the organization of joint operation of group of the Kazakhstan experts who are specialists within one scientific direction of which the expert opinion with the approved comments and points on evaluation criteria is result;

15) the conclusion of GNTE - the conclusion created in information system of the organizer in form according to appendix 1 to these rules, on the basis of generalization of points on each evaluation criterion on GNTE object;

16) the applicant on objects of the state scientific and technical examination (GNTE objects) - the subject of scientific and (or) scientific and technical activities accredited in authorized body or the autonomous organization of education and its organization on equal terms realizing scientific research;

17) the expert opinion - the document which is constituted by the expert and contains data on results of the expertize of objects of GNTE or projects of commercialization of RNNTD which is carried out by it, and also its conclusions on the questions raised before it, analytical assessment of object of GNTE or the project of commercialization of RNNTD, objective and independent of interests of the customer and organizer;

18) the customer – the authorized body in the field of science which signed with the organizer the paid contract for the organization of carrying out GNTE and examination of the projects of commercialization of RNNTD submitted on tender grant or program target financing about financing of target scientific, scientific and technical programs, the research works pushed on competition of the State award in science and technology and also projects of commercialization of RNNTD; projects of the scientific organizations performing basic scientific research;

19) technological examination (further - TE) - the activities connected with assessment of relevance, scientific and technical potential, implementations (use) of results of scientific and (or) scientific and technical activities, readiness for commercialization, technical and industrial hazards of the project of commercialization of RNNTD;

20) organizer - National center of the state scientific and technical examination;

21) threshold point – GNTE point making at least 25 points for requests within grant and program target financing of scientific research and at least 21 points for requests in the priority direction of science in the field of homeland security and defense, except for the applications submitted for financing of the scientific organizations performing basic scientific research;

22) economic (marketing) examination (further - EME) - the activities connected with assessment of commercial attractiveness and justification of the declared financial and economic indicators of the project.

3. GNTE is performed for the purpose of preparation of analytical assessment of scientific, scientific and technical projects and programs, projects of commercialization of RNNTD, and also requests for financing of basic scientific research, on the principles of independence, objectivity, competence, complexity, reliability, completeness and justification of expert opinions.

4. Objects of GNTE are:

1) scientific, scientific and technical projects and programs;

2) the research works pushed on competition of the State award in science and technology;

3) closing (intermediate) statements on scientific and (or) scientific and technical activities within grant and program target financing;

4) projects of commercialization of RNNTD;

5) requests for financing of basic scientific research.

5. The organization of works on carrying out GNTE of scientific, scientific and technical projects and programs, projects of commercialization of RNNTD, and also requests for financing of the basic scientific research offered to financing from the government budget for the address of the customer is performed by the organizer.

6. GNTE of scientific, scientific and technical projects and programs, projects of commercialization of RNNTD, and also requests for financing of the basic scientific research which are subject to financing from the government budget it is carried out by competent Kazakhstan and foreign experts whose main objectives are:

1) expert evaluation of objects taking into account scientific novelty, the offered scientific and technical level, relevance, prospects, degree of readiness of scientific, scientific and technical projects and programs;

2) assessment of conformity of scientific, scientific and technical projects and programs to world level of scientific, technical and technological knowledge, tendencies and priorities of scientific and technical progress;

3) assessment of opportunities of goal achievement of scientific, scientific and technical projects and programs by means of the planned transactions, need and sufficiency of expected costs of work, material resources;

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