On approval of the Rules for organizing and conducting research within a state defense order

New Unofficial translation

Order of the Minister of Industry and Infrastructural Development of the Republic of Kazakhstan dated November 7, 2019 no. 829. Registered with the Ministry of Justice of the Republic of Kazakhstan on November 15, 2019 no. 19602

      Unofficial translation

      In accordance with sub-clause 31) of article 6 of the Law of the Republic of Kazakhstan dated March 18, 2019 "On the defense industry and the state defense order" I HEREBY ORDER:

      1. To approve the attached Rules for organizing and conducting research within a state defense order.

      2. The Department of Development of defense industry complex of the Ministry of Industry and Infrastructural Development of the Republic of Kazakhstan in accordance with the procedure, established by law, shall ensure:

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

      2) placement of this order on the Internet resource of the Ministry of Industry and Infrastructural Development of the Republic of Kazakhstan after its official publication.

      3. Control over implementation of this order shall be entrusted to the supervising vice-minister of Industry and Infrastructural Development of the Republic of Kazakhstan.

      4. This order shall come into force upon expiry of ten calendar days after the date of its first official publication.

      Minister B. Atamkulov

      "AGREED"

      Ministry of Education and Science

      of the Republic of Kazakhstan

      "__" ______________ 2019

      "AGREED"

      Ministry of Finance

      of the Republic of Kazakhstan

      "__" ______________ 2019

      "AGREED"

      Ministry of Defense

      of the Republic of Kazakhstan

      "__" ______________ 2019

      "AGREED"

      Ministry of Internal Affairs

      of the Republic of Kazakhstan

      "__" ______________ 2019

      "AGREED"

      State Security Service

      of the Republic of Kazakhstan

      "__" ______________ 2019

      "AGREED"

      National Security Committee

      of the Republic of Kazakhstan

      "__" ______________ 2019

  Approved by the order of the
Minister of Industry and
Infrastructural Development of
the Republic of Kazakhstan
dated November 7, 2019 no. 829

Rules for organizing and conducting research within a state defense order

Chapter 1. General provisions

      1. These Rules for organizing and conducting research within a state defense order (hereinafter referred to as the Rules) have been developed in accordance with sub-clause 31) of article 6 of the Law of the Republic of Kazakhstan dated March 18, 2019 "On the defense industry and the state defense order" (hereinafter referred to as the Закон) and shall determine the procedure, associated with organizing and conducting research within a state defense order.

      2. In these Rules, the following basic definitions shall be used:

      1) entities of scientific and (or) scientific technological activities (hereinafter referred to as the entities) – legal entities, performing scientific and (or) scientific technological activities, requirements to which shall be determined by these Rules;

      2) Defense scientific technological commission of research (hereinafter referred to as the commission) – an advisory board under the Government of the Republic of Kazakhstan;

      3) authorized body in defense industry and state defense order (hereinafter referred to as the authorized body) – a state body providing leadership and intersectoral coordination in the field of defense industry and state defense order;

      4) register of domestic producers of military goods (products), dual-purpose (application) goods (products) and domestic suppliers of military works and military services of the state defense order (hereinafter referred to as the register) – list of legal entities notwithstanding form of ownership regardless of the forms of property, carrying out activities for the production of military goods (products), dual-purpose (application) goods (products), performing military work and providing military services corresponding to qualification requirements;

      5) research within a state defense order (hereinafter referred to as the research) – applied and fundamental research, research, development and technological work in the field of creating new types of weapons, military equipment, technological and special equipment, modernization consisting of equipping weapons and military equipment aimed at improving the defense capability and ensuring national security of the state, carried out by subjects of scientific and ( or) scientific and technological activities by appropriate scientific methods and means, in order to achieve the results of scientific and (or) scientific and technological activities within the state defense order;

      6) executor of research within the state defense order (hereinafter referred to as the executor of research) – legal entity carrying out research within the state defense order on the basis of an agreement;

      7) specialized research directions within the state defense order (hereinafter referred to as the SRD) – directions of research within the state defense order, which are developed by the authorized body in agreement with the interested central executive bodies, state bodies directly subordinate and accountable to the President of the Republic of Kazakhstan and approved by the commission.

Chapter 2. Procedure for organizing and conducting research within a state defense order

      3. Interested central executive bodies, state bodies, directly subordinated to the President of the Republic of Kazakhstan by August 1 of the current year, shall submit to the authorized body proposals or formation of the SRD.

      The authorized body within 20 (twenty) calendar days upon receipt of proposals, shall develop the SRD.

      The advisory body, functioning under the authorized body (if any), reviews proposals for the formation of the SRD from interested central executive bodies, government bodies directly subordinate and accountable to the President of the Republic of Kazakhstan.

      After development of the SRD, the authorized body, within 5 (five) working days shall submit the SRD for review and approval to the commission.

      4. Within 30 (thirty) calendar days after review and approval of the SRD, the authorized body creates expert councils on the SRD (hereinafter referred to as the expert councils), approves their Regulations and compositions in agreement with the interested central executive bodies, state bodies, directly subordinated and accountable to the President of the Republic of Kazakhstan.

      5. The expert councils shall conduct research expertise, as well as research reports in accordance with rules for conducting the research expertise within a state defense order, approved according to sub-clause 32) of article 6 of the Law.

      The expert councils are the collegial bodies and shall be created on specialized research directions, approved by the Defense scientific technological commission.

      The composition of expert councils is composed of competent Kazakhstani scientists, representatives of central executive bodies, state bodies directly subordinated and accountable to the President of the Republic of Kazakhstan, their departments, national development institutions, national companies, organizations of defense industry complex, scientific organizations, higher educational institutions, scientific public associations and shall be approved by the authorized body.

      6. Within 5 (five) working days after the review and approval of the SRD, the authorized body shall send to the recipients of the state defense order applications for the necessary research within the approved SRD, in the form according to Annex 1 to these Rules.

      An advisory body that works with the recipient of a state defense order (if any) shall review applications for necessary research within the approved SRD, before their submission to the authorized body.

      Recipients of the state defense order by October 20 of the current year shall send applications to the authorized body for the necessary research within the approved SRD.

      Applications shall be sent in the Kazakh and Russian languages, signed by the first head of the recipient of the state defense order.

      7. Upon receipt of applications from recipients of the state defense order, the authorized body shall send them to entities by November 1 of the current year to form applications for the implementation of research within the state defense order (hereinafter referred to as the application) in the form in accordance with Annex 2 to these Rules.

      The entities include legal entities, accredited as an entity of research and (or) research-technological activities in the authorized body in science, having access to information, constituting state secrets, as well as licensed in trafficking in weapons, military equipment and certain types of weapons, explosives and products with their use and (or) special technical equipment intended for operational search activities.

      For the purposes of performance of experimental design and technological work, organizations from the register shall be allowed.

      8. Funds in the framework of financing research shall be allocated to expenses directly related to the research specified in the application.

      9. Entities by November 15 of the current year shall submit applications in the Kazakh and Russian languages to the authorized body.

      Within 5 (five) working days from the date of receipt of applications, the authorized body shall send them to the corresponding expert council.

      10. The authorized body within 10 (ten) calendar days from the date of receipt of opinions of expert councils shall send applications to the recipients of the state defense order attached with the opinions of the expert councils.

      11. Recipients of the state defense order within 20 (twenty) calendar days from the date of receipt of applications shall send to the authorized body a list of scientific studies signed by the first head for further submission to the commission.

      The advisory body, functioning at the recipient of the state defense order (if any), shall review the list of research before sending them to the authorized body.

      12. For inclusion in the draft state defense order, the authorized body, no later than February 5 of the year preceding the planning period, shall send lists of research to the commission.

      13. The commission no later than April 5 of the year preceding the planning period, shall develop proposals for financing research from the republican budget.

      14. Not later than April 15 of the year preceding the planning period, the authorized body shall forward the proposals of the commission for financing research to the recipients of the state defense order for the development of a budget application in accordance with budget legislation of the Republic of Kazakhstan.

      15. The executor of research shall be determined in accordance with the current legislation in the state defense order.

Chapter 3. Conclusion of the agreement for conducting the research within the state defense order

      16. The implementation of research shall be carried out on the basis of an agreement on the implementation of research concluded between the executor of research and the authorized body.

      In the event that budget funds under the state defense order are provided for in the budget of the recipient of the state defense order, an agreement on the performance of research shall be concluded between the executor of the research and the recipient of the state defense order.

      17. Execution of research shall be implemented in accordance with the current international and national standards, according to the current legislation in standardization, in their absence; the performance shall be implemented in accordance with the terms and requirements of the concluded agreement.

      18. Conclusion and amendments to the agreement for execution of research shall be made according to articles 22 and 23 of the Law.

      19. Control over execution of the research shall be conducted immediately by the authorized body or the recipient of the state defense body in accordance with requirements and terms of the concluded agreement.

      Chapter 4. Acceptance of the results of research within a state defense order

      20. By results of research, the executor shall generate a relevant report on research conducted.

      The mentioned report shall be sent by the executor of research to the authorized body and the recipient of the state defense order in accordance with requirements and terms of the concluded agreement.

      Recipients of the state defense order, by November 1 of the reporting year, shall review the received reports on completed research for compliance with their requirements of the concluded agreement and forward them to the authorized body.

      21. Within 5 working days from the date of receipt of reports on completed research, the authorized body shall forward them to the appropriate expert council for approval.

      The advisory body, functioning at the recipient of public defense order (if any), before approval, shall review the reports on research.

      The results of reports review (if any) shall be sent by the recipients of the state defense order to the authorized body.

      22. Within 5 (five) working days from the date of receipt of the opinions of expert councils, the authorized body shall send for approval reports on completed research with the conclusions of expert councils to the recipients of the state defense order.

      23. Within 15 (fifteen) working days from the date of receipt of reports on completed research with the opinions of expert councils, recipients of the state defense order shall submit approved reports on completed research to the authorized body for further submission for consideration by the commission.

      The advisory body, functioning at the recipient of the state defense order (if any), before approval, shall review the reports on the research.

      24. Within 5 (five) working days from the date of receipt of approved reports on completed research, the authorized body shall submit them for the review by the commission.

      The authorized body within 5 (five) working days after the commission reviews the reports on completed research, shall send them to the recipients of the state defense order for storage.

      25. Accounting of reports on completed research shall be performed by the authorized body.

      Storage of reports and results shall be carried out by the authorized body or the recipient of the state defense order in accordance with the concluded agreement.

      26. Acceptance of prototypes shall be carried out in accordance with Rules for testing the results of experimental design and technological work in agreement with interested central executive bodies, the state bodies, directly subordinated and accountable to the President of the Republic of Kazakhstan, approved according to sub-clause 36) of article 6 of the Law.

  Annex 1 to the Rules for
organizing and conducting
research within
a state defense order
Form

Application for necessary research within the approved specialized research directions

1

Name of the specialized research direction


2

Type of research


3

Estimated duration of research


4

Suggested research topic


5

Justification of the relevance of research


6

Goals and objectives of research


7

Type of expected results of research

End product

8

The practical purpose of the results of research

for which divisions, categories of persons

9

Other necessary technical characteristics and requirements to research


      First head________________ ______________________________________
(signature) (surname and initials)

      Date

      Note: all graphs shall be filled out in Times New Roman, size 14 not more than 3 pages.

  Annex 2 to the Rules for
organizing and conducting
research within
a state defense order
Form

Application for implementation of research within a state defense order

1

Name of the executor of research


2

Name of recipient of the state defense order


3

Name of research


4

Type of research (research work, development work, research and development work)


5

Specialized research development


6

The problem to which research is directed


7

Relevance of research

Provide a brief description of the existing situation in the field under consideration, assess the types and volumes of losses (risks) that society will incur if this situation persists due to the rejection of the proposed research

8

The scope of the results of research, the estimated scale of their use

Indicate the direction of activity and specific processes (production, technological, organizational, managerial) in which the results of research will be used. Indicate the scale of use (number of organizations, units of equipment, volumes of purchases, etc.).

9

Additional reasons for conducting research

If there are indications of the need to carry out the proposed research, reference documents should be given in the guidance documents, as well as copies thereof (extracts in case of a large volume of materials).

10

Planned result

List the final results of research (including completed and intermediate results) with an indication of the form of their transfer to the recipient of the state defense order, bearing in mind that the degree of completeness of the research should provide the possibility of independent use of the result.

11

Feasibility of the research plan

Indicate the validity of scientific methods used in research, the availability of alternative approaches. Explain the conformity of resources (human, financial and other material) and the distribution of work to the stated terms, the volume and content of the work, and the requested amount of funding. Indicate questions regarding experimental studies of humans and animals. Point out issues related to plagiarism prevention, falsification and fabrication of data, false co-authorship and attribution of results.

12

Competency of the applicant

Substantiate the adequacy of the level of competence of the supervisor and members of the research group to carry out the research.

13

Organizations -subcontractors of the counteragent (co-executors of the research)

Provide full and abbreviated names of organizations, a list of the work they perform and the complexity of these works as a percentage in relation to research as a whole.

14

Conformity of the executor of research with the requirements for subjects of scientific and (or) scientific and technical activity


15

Copies of supporting documents


16

Terms for conducting research


17

Cost of research


      Head of the entity of scientific___________________________________ __________

      and (or) scientific technological (signature) (surname and initials) activities/

      Head of organization

      Head of research

      _______________________________________________________________ __________

      (signature) (surname and initials)

      Date

      Note: all graphs shall be filled out in Times New Roman, size 14, not more than 20 pages.

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