In accordance with subclause 7) of clause 2 of article 100-1 of the Entrepreneur Code of the Republic of Kazakhstan dated October 29, 2015 I HEREBY ORDER:
1. To approve the attached Rules for the provision of innovative grants for the technological development of existing enterprises.
2. To recognize as invalid:
1) order of the Minister of Investment and Development of the Republic of Kazakhstan dated December 18, 2015 No. 1211 "On approval of the Rules for the provision of innovative grants for the technological development of existing enterprises" (registered with the Register of State Registration of Regulatory Legal Acts as no. 13063, published on June 22, 2016 in the "Adilet" Information and Legal System);
2) clause 2 of the List of certain orders of the Minister of Investment and Development of the Republic of Kazakhstan, to which amendments and additions, approved by the order of the Minister of Investment and Development of the Republic of Kazakhstan dated June 7, 2017 No. 332 "On amendments and additions to certain orders of the Minister of Investment and Development of the Republic of Kazakhstan" (registered with the Register of State Registration of Regulatory Legal Acts as no. 15288, published on June 30, 2017 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan in the electronic form) were made.
3. The Department of Innovations Ecosystem of the Ministry of Digital Development, Innovations and Aerospace Industry of the Republic of Kazakhstan 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 Digital Development, Innovations and Aerospace Industry of the Republic of Kazakhstan;
3) within ten working days after the state registration of this order, submission to the Legal Department of the Ministry of Digital Development, Innovations and Aerospace Industry of the Republic of Kazakhstan of information about execution of measures, stipulated by subclauses 1) and 2) of this clause.
4. Control over execution of this order shall be entrusted to the supervising Vice-Minister of Digital Development, Innovations and Aerospace Industry of the Republic of Kazakhstan.
5. This order shall come into force upon expiry of ten calendar days after the date of its first official publication.
Minister of Digital Development, Innovations,
and Aerospace Industry
of the Republic of Kazakhstan
Ministry of Industry and
of the Republic of Kazakhstan
Ministry of Finance
of the Republic of Kazakhstan
Ministry of National Economy
of the Republic of Kazakhstan
by the order of the Minister of
Digital Development, Innovations
and Aerospace Industry
of the Republic of Kazakhstan
dated October 5, 2020 No. 370/НҚ
Rules for the provision of innovative grants for the technological development of existing enterprises
Chapter 1. General Provisions
1. These Rules for the provision of innovative grants for the technological development of existing enterprises (hereinafter referred to as the Rules) have been developed in accordance with subclause 7) of clause 2 of article 100-1 of the Entrepreneur Code of the Republic of Kazakhstan dated October 29, 2015 and shall determine the procedure for the provision of innovative grants for the technological development of existing enterprises.
2. The following basic concepts shall be used in these Rules:
1) grantee – a legal entity, received an innovative grant in accordance with these Rules;
2) Grant Financing Council (hereinafter referred to as the Council) – a collegial body consisting of an odd number of representatives of public organizations and relevant industries (on agreement), independent experts (domestic and (or) foreign) created within the framework of the national institute in the field of technological development, to make decisions on the projects of service recipients taking into account expert examinations of applications and conditions for the provision of innovative grants set forth by these Rules;
3) project assessment criteria – signs of assessment of the applicant's project using a scoring system;
4) contract on provision of an innovative grant for technological development of existing enterprises (hereinafter referred to as the contract) – a contract concluded between the national institute and the applicant for provision of an innovative grant;
5) innovative grant – budget funds, provided to the subjects of industrial and innovative activity on a gratuitous basis for implementation of their industrial and innovative projects within the framework of priority areas of provision of innovative grants;
6) authorized body in the field of state support of innovative activity (hereinafter referred to as the authorized body) – the central executive body in charge of leadership in the field of innovative development, as well as within the limits provided for by the legislation of the Republic of Kazakhstan, cross-sectoral coordination and participation in the implementation of state support for innovative activity;
7) decision of the Council – decision made by the members of the Council and, drawn up in a protocol and containing information on the results of voting on the issue of providing an innovative grant;
8) license contract – a contract under which the patentee (licensor) grants the other party (licensee) the right to temporarily use the relevant industrial property in a certain way;
9) cutting-edge technology – technology with little practical application on the market and high potential for further expansion;
10) application – an application for the acceptance of an innovative grant for the technological development of existing enterprises, submitted by the applicant, which is filled out through an automated system of electronic acceptance and tracking of applications;
11) applicant – a subject of industrial and innovative activity - a legal entity carrying out activity in the territory of the Republic of Kazakhstan within the framework of priority areas of provision of innovative grants, submitted an application for an innovative grant for consideration in accordance with these Rules;
12) automated system of electronic acceptance and tracking of applications (hereinafter referred to as the automated system) – is an automated system for the acceptance and tracking of applications for innovative grants;
13) technology – a complex of methods and tools, which ensures the production and release of one or another product, including manufacturing and release of goods;
14) national Institute for Development in the field of technological development (hereinafter referred to as the National Institute) – the national institute for development, authorized for implementation of measures of state support of innovation activity and coordination of innovative development processes;
15) transfer of technology – a process of implementation of new or improved technologies by the subjects of innovative activity, the rights of possession and (or) and (or) use to which have been obtained by methods not prohibited by the laws of the Republic of Kazakhstan.
3. Innovative grants for the technological development of existing enterprises shall be provided to the applicants to solve the technological problems of development of an enterprise, implementation of the program of import substitution, through development and implementation of the results of scientific and technical activity including with the use of technology transfer, in order to obtain a positive economic effect, within the framework of priority areas determined by the authorized body.
Innovation grants may not be used by subjects of industrial and innovative activities, fifty or more percent of shares (stakes in the authorized capital) of which directly or indirectly belong to the state, national management holding, national holding, national company (with the exception of a social and entrepreneurial corporation, as well as entrepreneurs established under a public-private partnership agreement).
4. Information support of the provision of innovative grants shall be carried out by the national institute and the authorized body.
5. Provision of innovative grants shall be carried out by the authorized body involving the national institute for development in the field of technological development by allocating funds envisaged for the provision of innovative grants, on the basis of a contract concluded between the authorized body and the national institute.
6. The balances on the current account of the national institute, which are at the end of the financial year, shall not be subject to return to the authorized body and, accordingly, to the state budget, but are spent on the provision of innovative grants in the next financial year.
7. Services of the national institute for the provision of innovative grants shall be paid by the authorized body at the expense of the republican budget.
Chapter 2. Procedure for the provision of innovative grants for the technological development of existing enterprises
8. The national institute announces the acceptance of applications for innovative grants in the mass media and on the official Internet resource of the national institute, indicating the address of the automated system and the schedule for accepting applications. The schedule for accepting applications shall be agreed with the authorized body and published on the official Internet resource within 15 (fifteen) working days before the start of accepting applications.
9. The procedure for the provision of innovative grants for the technological development of existing enterprises includes the following stages:
1) acceptance, registration and preliminary verification by the national institute of an application in the form according to Appendix 1 to these Rules (hereinafter referred to as the application) attached with documents specified in clause 21 of these Rules, for their completeness, shall be carried out within 5 (five) working days upon acceptance of the application.
Upon completion of the preliminary verification of the application, the national institute shall send to the applicant's e-mail address specified in the application, a notification of the identified comments (if any).
The grounds for the return of an application for revision shall be its inconsistence with the conditions of these Rules.
The applicant shall eliminate the deficiencies specified in the notification within 10 (ten) working days from the date of their receipt.
If the applicant does not eliminate the deficiencies within the specified period, the national institute leaves the application without further consideration.
During the period of elimination of the deficiencies by the applicant, the period of consideration of the application shall be suspended from the time of sending by e-mail to the applicant of an official notification about the deficiencies identified and shall be resumed again after their elimination;
2) Repeated verification of the applicant’s documents shall be carried out within 3 (three) working days upon acceptance (in case of sending of a notice to the applicant about the deficiencies identified).
The national institute shall ensure non-disclosure of information about the application to third parties not involved in the process of providing innovative grants, with the exception of the shareholder of the national institute, the authorized body and cases established by the legislative acts of the Republic of Kazakhstan;
3) carrying out expert examination of the application by the national institute within 20 (twenty) working days with awarding points based on the project assessment criteria, specified in the Requirements to the procedure of examination according Appendix 2 to these Rules;
4) drawing up and sending of a complex conclusion on results of expert examination of the applicant for consideration to the Council within 5 (five) working days upon acceptance of conclusions of the expert examination;
5) organization of activity of the Council and making the decision on provision or non-provision of an innovative grant;
The Council is created in the national institute for the purposes of transparent and comprehensive consideration of applications and making the decision on provision of an innovative grant. Organization of activity of the Council, payment for work of its members and the composition shall be regulated by an act of the national institute.
The Council shall make the decision on provision of innovative grants taking into account expert examination of applications and scored points on the projects of the applicant, as well as terms and conditions of these Rules.
The total period of procedures, specified in sublcause 5) of clause 9 of these Rules, shall be 20 (twenty) working days;
6) the national institute shall refuse to provide an innovative grant for the technological development of existing enterprises in the following cases:
establishing the inaccuracy of the documents submitted by the applicant for obtaining an innovative grant, and (or) the data (information) contained therein;
inconsistency of the applicant and (or) the submitted materials, objects, data and information necessary for the provision of an innovative grant;
if the proposed project was previously financed by an innovative grant provided by a national institute, or by other sources of budgetary funds provided free of charge;
existence of tax arrears and arrears of mandatory pension contributions, mandatory professional pension contributions and social deductions except for cases when the period of payment is deferred in accordance with the legislation of the Republic of Kazakhstan;
a motivated decision of the Council on the refusal to provide an innovative grant;
7) signing of a contract or sending to the applicant a justified refusal to provide an innovative grant.
Within 3 (three) working days from the date of the decision by the Council, the national institute shall notify the applicant of the need to sign a contract or shall send a justified refusal to provide an innovative grant.
The total period of the procedure specified in part one of subclause 7) of clause 9 of these Rules, shall be 10 (ten) working days from the date of the decision by the Council.
The total period of the procedures specified in clause 9 of these Rules, shall not exceed 63 (sixty-three) working days.
The contract shall be signed by the grantee or a representative of the grantee authorized to conclude the agreement and by the national institute at the location of the national institute. The contract shall be made in two copies, one for each of the parties in the form, which is approved by the act of the national institute.
In the event that for the corresponding financial year the total amount of sums declared for receiving innovative grants exceeds the amount allocated by the authorized body for the corresponding financial year, the formation of the list of grantees shall be carried out according to the principle of the largest number of awarded points;
8) undertaking the reciprocal obligations by the grantee on the provided innovation grant.
Within 3 (three) years from the date of the decision of the national institute to complete the project, the grantee shall undertake reciprocal obligations aimed at increasing the volume of sold innovative products annually by at least 10% of the amount of the innovation grant and achieving the volume of export of innovative products by at least 10% of the amount of the innovation grant.
10. The applicant for presentation of his project shall be invited to the meeting of the Council in person or by means of telecommunications.
11. In order to control the implementation of the project, the national institute shall carry out ongoing monitoring of the implementation of the project in accordance with the calendar plan and fulfillment by the grantee of undertaken reciprocal obligations.
Monitoring of projects under the concluded contracts shall be regulated by the act of the national institute, which is posted on the Internet resource of the authorized body and the national institute.
12. The contract provides for submission by the grantee of information about the project to the national institute within the period of 3 (three) years since the moment of taking decision by the national institute to complete the project for the purpose of post-grant monitoring of the project.
13. In justified cases of impossibility to implement the project due to circumstances beyond the control of the grantee, the national institute shall submit the issue of termination of the contract for consideration by the Council.
At the same time, innovative grant funds spent at the time of termination of the contract are considered used for their intended purpose.
Chapter 3. Terms and conditions for the provision of innovative grants for the technological development of existing enterprises
14. An innovative grant for the technological development of existing enterprises shall be provided in the amount of up to 70 (seventy) percent of reasonable justified costs under the license contract and (or) up to 50 (fifty) percent of reasonable justified costs for procurement of equipment, but no more than 400 000 000 (four hundred million) tenge, including payment of costs for the following purposes:
1) the costs of consulting services to support the transaction (services of a technology broker);
2) procurement of technical documentation and (or) equipment that is an integral part of the acquired technology from the owner of the technology;
3) training of engineering and technical personnel, including the involvement of foreign specialists;
4) development of industrial design of the product;
5) testing of the technological process;
6) product certification.
The following criteria shall be established for the applicant:
Carrying out commercial activity in the declared industry for at least 3 (three) years;
Availability of engineering and technical personnel with required qualification level;
the total annual income of the applicant for the last 3 (three) years is not less than the full cost of the project.
15. Affiliation of the owner of the technology or the person who assigns rights to the technology with the applicant shall not be allowed.
16. To transfer the funds for project implementation, the applicant, who obtained a positive conclusion of the Council, shall open a separate current account in the escrow account mode in a second-tier bank - a resident of the Republic of Kazakhstan for the purpose of using funds for the intended purpose for the implementation of the project, with the condition of their depositing without the right of the grantee to commit expenditure transactions not related to the implementation of the project.
A contract for opening a current account in the escrow account mode shall be signed between the applicant, the national institute and a second-tier bank - a resident of the Republic of Kazakhstan.
After signing the contract, the grantee shall transfer funds to a separate current account in the escrow account mode for co-financing the project in the amount according to the calendar plan within 10 (ten) working days.
The national institute, within 5 (five) working days from the date of acceptance of funds from the grantee, shall ensure the transfer of funds to the current account in the escrow account mode in the amount according to the calendar plan.
17. The transfer of the innovative grant to the grantee shall be carried out in accordance with the terms of the concluded contract in tranches (parts) based on the results of the monitoring of the implementation of activities and analysis of the costs, incurred by the grantee in the reporting stage, carried out by the national institute, with the exception of the first tranche.
The national institute shall transfer innovative grant at least in two tranches (parts)
Therewith, the amount of each tranche (part) shall be no more than fifty percent from the approved amount of the innovative grant.
18. The following criteria shall be established for the implemented technologies:
1) aimed at technological development of the production enterprise;
2) be not lower than the level of advanced and (or) modern, mainly focused on the use of domestic raw materials;
3) have a fact of industrial application or the high degree of readiness for use (passed pilot plant tests);
4) aimed at the production of products with export potential and (or) increasing labor productivity.
19. A grant for the technological development of existing enterprises shall be provided to the applicants on terms of co-financing in stages according to the calendar plan. The applicant shall submit an application for participation in only one project and shall not apply for other innovative grants for the declared project at the time of consideration of the application and implementation of the project.
20. The term for the development of the grant must not exceed 36 (thirty-six) months.
Chapter 4. List of documents for the obtaining of the innovative grant for the technological development of existing enterprises
21. An applicant shall submit to the national institute an application using the automated system, including the following documents:
1) a preliminary agreement, confirming the intention of the parties on the transfer of technology with indication of terms and conditions of the transfer (a notarized copy);
2) a business plan of the project in form according to Appendix 3 to these Rules (it is also provided in English, on electronic media, in Microsoft Word format);
3) financial statements for the past 3 years (entities, for which conducting annual audit of financial statements is mandatory, shall also submit audit reports for the mentioned period) attached with information on financial participation in other organizations, detailed breakdown of the balance (10% and more of the sum of all items of financial statements);
4) documents confirming availability of funds for implementation of the project (certificate from second-tier banks, statements of accounts etc.), and (or) decision of a second-tier bank to provide a loan/ loan facility;
5) at least three alternative commercial offers by components (activities) of the project and technical specifications according to which the commercial offers have been received, except for the equipment, which is an integral part of the purchased technology (according to the preliminary agreement).
22. The application, submitted after the expiry of the deadline for submission, shall not be subject to registration and consideration.
23. The applicant shall ensure the completeness and accuracy of submitted documents, initial data, calculations, justifications. In the information provided by the applicant, the sources of the data used in the calculations and the date of the calculation shall be indicated.
to the Rules for the provision of
innovative grants for the
technological development of
Application for an innovative grant for the technological development of existing enterprises
to the Rules for the provision of
innovative grants for the
technological development of
Requirements to the procedure for expert examinations
1. Expert examinations of the projects shall be carried out by the national institute, involving, where necessary, domestic and (or) foreign individuals and (or) legal entities.
2. Project assessment criteria are structured as follows:
1) The level of co-financing (10 - 20 points):
1% of co-financing is equal to one point;
2) scientific, technical advantages (0-25 points):
the extent to which systemic issues are addressed: the number of companies using the technology, scalability, market size for potential use;
technology readiness level;
innovativeness and competitiveness;
availability of customers and investors;
3) economic returns (0-25 points):
potential economic result (based on the business plan by structure);
4) opportunities, resources and material base of the applicant (0-15 points):
qualifications and management skills of personnel;
significant research works;
intellectual property (patents, copyrights and others);
technologies launched into mass production;
developed industrial processes and products;
project management experience similar in nature, purpose and scope;
resources and material base;
international partners, resources and enterprises;
5) The Council awards to the project 0-15 points:
Potential capacity for commercialization of the project (sales volume, profitability and financial risk, project efficiency).
Experts carry out project expert examination in the following areas:
1) technological expert examination shall be carried out in order to establish the advantages over analogues, technical feasibility and technological expediency of the project;
2) financial and economic expert examination is carried out with the aim of assessing the market, economic feasibility of the project, criteria of competitiveness, marketing strategy, distribution of work according to the stated terms, volume and content of work, and the requested amount of financing;
3) legal expert examination shall be carried out for the purpose of a comprehensive legal analysis of the content of the submitted documents for compliance with the current legislation.
Technological, financial, economic and legal expert examination shall be carried out on projects simultaneously.
3. The national institute shall form a list of external domestic and foreign experts and expert organizations, including on the basis of recommendations of the National Chamber of Entrepreneurs of the Republic of Kazakhstan "Atameken", industry associations.
4. When involving experts to carry out the examination of applications, the national institute concludes a contract with each expert for the provision of expert services, the form of which is regulated by the acts of the national institute.
5. The procedure of expert examination and the form of the score sheet shall be regulated by the acts of the national institute.
6. Assessment of the application by an expert who was directly involved in its preparation, as well as being affiliated with the applicant shall not be allowed.
к to the Rules for the provision of
innovative grants for the
technological development of
Project business plan by structure
1. 1. Applicant’s brief description;
1) Applicant’s name;
2) Organizational and legal form, date of state registration (re-registration for legal entities);
3) Head of organization;
4) Address, phone number, fax, e-mail;
5) Brief description of main areas of activities;
6) Work experience in the economic sector;
7) Current organizational state;
8) Brief report on financial and economic activities for the last reporting period.
2. Brief description of the project
1) Project name;
2) The essence of the project;
3) Prerequisites for initiating the project;
4) Project team;
5) Place of project implementation (region, district);
6) Products intended for release;
7) Project efficiency (net present value over the project life cycle (NPV), internal rate of return for the project life cycle (IRR), discounted payback period on investment (DPP), investment performance indicator (PI);
8) The current status of the project, including the stage of product development (with the attachment of supporting documents);
9) Special conditions for the implementation and restrictions on the project: the availability of licenses (if the type of activity is licensed), patents, permits, the presence of export and import quotas, restrictions and recommendations on sales markets and raw materials, water, energy supply, transport, communications, the possibility of waste disposal, needs for foreign labor, requirements for environmental friendliness of technological processes etc.;
10) Project implementation cost, financing sources:
borrowed funds (loans or borrowed funds from economic units);
11) Terms of project implementation - months;
12) Cost estimates:
Cost of labour
Cost amount (tenge)
Explanation of pricing
Data source used in calculations
in particular by items:
For reference: costs from other sources of financing - Total:
Note: For each cost item, the applicant indicates the sources of the data used in the calculations, a breakdown of pricing.
13) Calendar plan for project implementation:
Name of works under the contract and their main stages
Work completion time (months)
Estimated stage price (tenge)
Form and type of reporting
Note: The draft calendar plan specifies no more than 3 stages of the project implementation.
3. Marketing section
1) Product description:
1-1) the name of the product offered for release;
Name of goods (services)
Production volume in value terms (tenge)
Production volume in kind
1-2) functional purpose and scope of application;
1-3) basic technical, aesthetic and other characteristics of the product;
1-4) indicators of manufacturability of products (operational and other qualities);
1-5) compliance with state standards and regulations;
1-6) cost characteristic (per unit of production - cost price, wholesale price, retail price);
1-7) information on patent and license protection, copyrights, trademarks and other objects of intellectual property.
2. Description of sales markets (export and domestic):
2-1) a description of the main companies operating in this market segment;
2-2) description of products offered by competing companies;
2-3) characteristic features of the market, its detailed segmentation (territorial, demographic and others), the allocation of a market niche;
2-4) quantitative characteristics of the market (annual volumes in physical and monetary terms, trends towards an increase / decrease in demand);
2-5) substantiation of the potential market share that the company's products can occupy (TAM (Total Addressable Market) - the total volume of the target market; SOM (Serviceable & Obtainable Market) - the actually achievable market volume; SAM (Served / Serviceable Available Market) - the available market size);
2-6) secondary markets (associated with the main market by territorial, seasonal and other characteristics);
2-7) main trends in the studied markets, expected changes;
2-8) availability of contracts with potential consumers of products and documents confirming the readiness to purchase products (protocols of intentions, preliminary supply contracts, supply contracts;
2-9) regulatory and legal field, the availability of regulatory documents, special requirements, ways to satisfy them, associated costs and time costs. Forecast of changes in the legal regulation of this market;
2-10) the presence of factors that provide a significant impact on the successful sale of products in this market (pricing policy, superiority of products in terms of technical characteristics, reputation in the market, relations with contractors, labor collective, extraordinary qualities.
3) Risk analysis:
3-1) a description of the applied risk assessment methodology;
3-2) identification of risks, in the context of: planned stages of the project's life; types of risk (financial, technical, legal, commercial, production, organizational); the nature of the consequences (permissible, critical, catastrophic); by the nature of accounting (internal, external).
3-3) ranking of risks according to the degree of influence and probability of occurrence, and the formation of a risk map (using the method of “sensitivity analysis”);
3-4) measures to prevent risks (with a reflection of the cost of their implementation).
4. Technical section
1. Brief description of the project technology;
2. Justification of the choice of a technological solution;
3. Related infrastructure and transport opportunities;
4. Factors determining the volume of production of goods (services) under the project;
5. Comparative analysis of alternative solutions in terms of technical and cost characteristics (technical level and cost of goods and services offered for production in comparison with analogues, links to the source of information):
Name of indicators
6. Provision with resources:
1) Raw materials and materials: list of types of used raw materials and materials.
2) Equipment and components: a list of the required equipment and components, and the main technical characteristics for them; novelty of equipment and technology; the cost of equipment and components, taking into account transportation costs, tax obligations, customs duties, installation and commissioning works; justification of the need to select a supplier of equipment and components.
3) Overhead costs: a list of overhead costs; overhead costs; justification of the need and choice of suppliers.
4) Production personnel: availability of personnel with the required qualifications; market analysis of specialists, required qualifications; description of the sources and cost of staffing the required qualifications.
5. Financial section
Size and structure of project financing:
1) Structure of financing by sources and components: own funds; innovative grant; borrowed funds.
2) Financial model of the project: production program; forecast of sales volumes in monetary terms; calculation of production costs and sales costs; forecast report on income and expenses; forecast cash flow statement; forecast of the break-even point of the project.
3) Financial and economic indicators: net present value (NPV) for the life cycle of the project; internal rate of return (IRR) for the project life cycle; payback period of the project (simple and discounted); simple rate of return (profitability) for each year of the project's life; taxes paid, customs duties and payments to the budget by types.
6. Environmental section
Compliance of the project technology with the standards and regulations for the impact on the environment.
7. Socio-economic section
1) Compliance of the project with the needs of the country's economy (state programs and other documents);
2) Increase in the production of food products and non-food consumer goods;
3) Import substitution (volume and cost of substituted imports);
4) Increase in exports (volume and value of exports);
5) Creation of new jobs.
Head of the organization
(signature) (surname, name, patronymic)
Seal (if any)