Detailed Conditions And Procedure For Applying For, Conducting And Approving The Result Of Regular Evaluation Of Research And Development


Published: 2009-12-20

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Detailed conditions and procedure for applying for, conducting and approving the result of regular evaluation of research and development

Passed 15.12.2009 Annex 83

The regulation is established on the basis of Subsection 201 (2) of the Organization of Research and Development Act.

§ 1.  Scope of application of the regulation

The regulation establishes the conditions and procedure for applying for, conducting and approving the result of regular evaluation of research and development.

§ 2.  Objective of regular evaluation

The objective of regular evaluation is to assess the level of research and development in a corresponding field of research and development at a research and development institution compared to internationally recognized criteria.

§ 3.  Organization of regular evaluation

(1) Regular evaluation shall be organized by the Ministry of Education and Research or person authorized by the Ministry of Education and Research (hereinafter organizer of regular evaluation).
(2) Expenses related to regular evaluation shall be covered from the state budget through the budget of the Ministry of Education and Research, except in the following cases:
1) the evaluation concerns the corresponding field of research and development at an research and development institution operating as a legal person under private law or a structural unit thereof
2) the research and development of the applicant’s corresponding field of research and development was evaluated negatively at the last regular evaluation.
(3) To carry out regular evaluation the Minister of Education and Research shall form a 3-16-member evaluation committee consisting of foreign experts in the various fields and approve its working procedure.
(4) Only researchers recognized in their field with experience in assessing research and development may be appointed as members of the evaluation committee.

§ 4.  Application for regular evaluation

(1) Regular evaluation may be applied for by a research and development institution or, if the evaluation of research and development at a research and development institution belonging to the structure of a legal person is applied for, by a legal person under public or private law (hereinafter applicant).
(2) The application for regular evaluation shall be submitted by the applicant to the Ministry of Education and Research and a copy to the organizer of the regular evaluation by 31 December of the calendar year preceding the regular evaluation.
(3) The applicant shall submit information on the following to the organizer of the regular evaluation along with the application:
1) the research environment in the corresponding field and
2) doctoral programmes carried out on the basis of the respective field of research and development (name of the study programme, study programme code, study programme group in which the doctoral studies are being carried out, the number of enrolled doctoral candidates and the list of doctoral dissertations defended).
(4) The organizer of the regular evaluation shall, on the basis of the Estonian Research Information System consolidate the following information on the applicant:
1) research staff related to the corresponding field and their qualifications (including doctoral candidates involved)
2) research publications, patents, patent applications and plant variety rights certificates in the corresponding field
3) targeted financing of research topics, research grants and other sponsored funding related to the corresponding field.
(5) The organizer of the regular evaluation shall coordinate the information specified in Subsection 4 of this Section with the applicant within one month of the deadline for submission of the application.
(6) The organizer of the regular evaluation shall forward applications conforming to the requirements, information submitted by the applicant and the information consolidated on the basis of the Estonian Research Information System to the evaluation committee within three months of the deadline for submission of applications.

§ 5.  Conducting of the regular evaluation

(1) The regular evaluation shall be conducted by the evaluation committee based on the application and information submitted by the applicant and the data consolidated on the basis of the Estonian Research Information System as well as of a site visit to the research and development institution.
(2) The evaluation committee shall visit the research and development institution the research and development of which is being evaluated, talk to research staff and students in doctoral programmes and if necessary, verify the data submitted.
(3) The applicant shall be informed of the evaluation committee’s visit at least 10 working days before the visit.
(4) The evaluation committee shall appraise the applicant’s research and development in the corresponding field based on the following criteria:
1) number of research staff and their qualification compared to internationally recognized criteria in the corresponding field
2) research and development performance compared to internationally recognized criteria in the corresponding field
3) the existence and sufficiency of the research environment, including equipment and facilities, for carrying out research and development in the corresponding field
(5) The evaluation committee shall, within six months of the deadline for submission of the application for regular evaluation, make a justified proposal in consideration of the circumstances specified in Subsection 4 of this Section:
1) to evaluate the research and development institution’s research and development in the corresponding field positively, or
2) to evaluate the research and development institution’s research and development in the corresponding field negatively.
(6) The justified proposal of the evaluation committee, which is in conformity with the requirements set forth in this regulation and other legal acts, shall be submitted by the organizer of the regular evaluation to the Ministry of Education and Research within one month of the receipt of the proposal.
(7) If the organizer of the regular evaluation finds that the proposal of the evaluation committee is not sufficiently justified or does not conform to the requirements set forth in this regulation and other legal acts, the organizer of the regular evaluation shall return the proposal to the evaluation committee for review within one month of the receipt of the proposal.

§ 6.  Approval of the regular evaluation decision

(1) The Minister of Education and Research shall on the basis of the justified proposal of the evaluation committee, approve by directive the regular evaluation decision to evaluate the research and development institution’s research and development in the corresponding field positively or negatively.
(2) The Minister of Education and Research shall have the right to return a proposal to the evaluation committee for a second review if
1) the proposal is not sufficiently justified
2) requirements set forth in this regulation or other legal acts were violated in carrying out the evaluation.
(3) The directive specified in Subsection 1 of this Section and the proposal of the evaluation committee which constituted the basis thereof shall be communicated to the applicant and published on the Ministry of Education and Research website.

§ 7.  Entry into force of the regulation

This regulation shall enter into force on 20 December 2009.

§ 8.  Implementing provision

Applications for participation in regular evaluation in 2010 shall be submitted to the Ministry of Education and Research and a copy shall be submitted to the organizer of the regular evaluation by 1 February 2010.

Tõnis LUKAS
Minister
Janar HOLM
Secretary General

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