I.O.'S ORDER OF THE MINISTER OF SCIENCE AND THE HIGHER EDUCATION OF THE REPUBLIC OF KAZAKHSTAN

of November 6, 2023 No. 563

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 19) of article 6 of the Law of the Republic of Kazakhstan "About science and technological policy" and the subitem 131) of Item 15 of the Regulations on the Ministry of science and the higher education of the Republic of Kazakhstan approved by the order of the Government of the Republic of Kazakhstan of August 19, 2022 No. 580, I ORDER:

1. Approve 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 appendix to this order.

2. To provide to committee of science of the Ministry of science and the higher education of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this order on official Internet resource of the Ministry of science and the higher education of the Republic of Kazakhstan;

3) submission of this order to Legal department of the Ministry of science and the higher education of the Republic of Kazakhstan of data on execution of the actions provided by the subitem 1) and 2) of this Item within ten working days after state registration in the Ministry of Justice of the Republic of Kazakhstan.

3. To impose control of execution of this order on the supervising vice-minister of science and the higher education of the Republic of Kazakhstan.

4. This order becomes effective after ten calendar days after day of its first official publication.

Appendix

to the Order of the Acting Minister of science and the higher education of the Republic of Kazakhstan of November 6, 2023 No. 563

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

Chapter 1. General provisions

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 subitem 19) of article 6 of the Law of the Republic of Kazakhstan "About science and technological policy" (further - the Law) and the subitem 131) of Item 15 of the Regulations on the Ministry of science and the higher education of the Republic of Kazakhstan approved by the order of the Government of the Republic of Kazakhstan of August 19, 2022 No. 580 "About some questions of the Ministry of science and the higher education of the Republic of Kazakhstan" and 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.

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 grantee on projects of commercialization of results of scientific and (or) scientific and technical activities – 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 results of scientific and (or) scientific and technical activities (further – the grantee on projects of commercialization of RNNTD);

3) the project of commercialization of results of scientific and (or) scientific and technical activities – the document including content of the expected work directed to practical application of results of scientific and (or) scientific and technical activities, including results of intellectual activities, for the purpose of conclusion to the market of new or advanced goods, processes and services, directed to commercialization;

4) the report on commercialization of results of scientific and (or) scientific and technical activities - the document containing information on results and efficiency of project implementation of commercialization of results of scientific and (or) scientific and technical activities;

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

6) grant on commercialization of results of scientific and (or) scientific and technical activities - the means provided 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 subject of scientific and (or) scientific and technical activities – the physical persons and legal entities performing scientific and (or) scientific and technical activities (further – the contractor);

8) 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);

9) 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;

10) the private partner – the individual entrepreneur, particular partnership, consortium or the legal entity, except for the state legal entities, and also limited liability partnerships and joint-stock companies, fifty and more percent of shares in the authorized capital or voting shares of which directly or indirectly belong to the state, signed the agreement of public-private partnership;

11) 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 for the budget account in the form of basic, grant, program target financing and financing of the scientific organizations performing basic scientific research, financings of scientific and technical providing and commercialization of results of scientific and (or) scientific and technical activities;

12) the state order of local executive body of area, city of republican value and the capital - the order of local executive body of area, city of republican value and the capital to the subject of scientific and (or) scientific and technical activities based on the contract for accomplishment of the research works financed by budgetary funds.

3. Financing of subjects of scientific and (or) scientific and technical activities is performed at the same time in various forms of financing according to the procedure and on the conditions 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 implementation of scientific, scientific and technical projects and programs consists between the accredited subject of scientific and (or) scientific and technical activities or the autonomous organization of education and authorized body and (or) industry authorized body or legal entities determined by authorized body, financing scientific and (or) scientific and technical activities for all term of their realization, but no more than for five years according to item 4 of article 34 of the Law.

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.

Chapter 2. Procedure for basic financing of scientific and (or) scientific and technical activities

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 according to Item 1 of article 35 of the Law.

Basic financing is not allocated to the scientific organizations included in the list of the scientific organizations performing basic scientific research according to Item 2 of article 35 of the Law 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 according to item 4 of article 35 of the Law.

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 within the last two years are subject to exception of the list of subjects of basic financing. The subjects of scientific and (or) scientific and technical activities receiving continuously basic financing within the last five years with performance of works as the third party (collaborators) on program target financing are not 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 and affirm authorized body according to the subitem 6) of article 6 of the Law.

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.

Chapter 3. Procedure for grant financing of scientific and (or) scientific and technical activities

16. Grant financing is allocated for carrying out scientific research for the purpose of increase in level of research works, scientific and technical potential and competitiveness of the scientific organizations and their collectives, scientific, and also commercialization of results of scientific and (or) scientific and technical activities. From means of grant financing competitions on grant financing for young scientists are announced.

17. Grant financing is provided gratuitously and irretrievable from budget funds for realization of basic and applied scientific research.

18. Industry authorized bodies till January 15 of the year preceding planned send to authorized body of the offer on the priority, specialized directions and amounts of grant financing according to the priority directions of development of science of the Republic of Kazakhstan determined by the Highest scientific and technical commission under the Government of the Republic of Kazakhstan (further - VNTK), according to appendix 3 to these rules.

19. The authorized body sends offers of industry authorized bodies 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.

20. The center of examination within two working days from the date of receipt of offers on the priority and specialized directions and amounts of grant financing sends them for consideration to National scientific councils (further – NNS) for receipt of decisions on them.

The center of examination sends decisions of NNS to authorized body till February 15 of the year preceding planned.

21. The authorized body after receipt of NNS provided by the center of examination of the decision on grant financing within five working days sends them for consideration of VNTK.

22. VNTK till March 30 of the year preceding planned makes the relevant decision according to the procedure, No. 826 established according to Regulations on the Highest scientific and technical commission under the Government of the Republic of Kazakhstan, the approved order of the Government of the Republic of Kazakhstan of October 7, 2024 (further - Regulations on VNTK).

The authorized body within 15 (fifteen) working days sends the decision 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).

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