Science and Technology in Kazakhstan: Current Status and Future Prospects

136 Pages·2007·0.34 MB·English

by  Office for Central Europe and Eurasia, Committee on Science and Technology in Kazakhstan, National R

Committee on Science and Technology in Kazakhstan
Office for Central Europe and Eurasia
Development, Security, and Cooperation
Policy and Global Affairs
THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001
NOTICE: The project that is the subject of this report was approved by the Governing
Board of the National Research Council, whose members are drawn from the councils of
the National Academy of Sciences, the National Academy of Engineering, and the Insti-
tute of Medicine. The members of the committee responsible for the report were chosen
for their special competences and with regard for appropriate balance.
This study was supported by Contract/Grant No. FRGV-7631 between the National Acad-
emy of Sciences and the government of Kazakhstan. Any opinions, findings, conclusions,
or recommendations expressed in this publication are those of the author(s) and do not
necessarily reflect the views of the organizations or agencies that provided support for the
project.
International Standard Book Number-13: 978-0-309-10471-5
International Standard Book Number-10: 0-309-10471-8
One copy of this report per request is available from the Office for Central Europe and
Eurasia, National Research Council, 500 Fifth Street, N.W., Washington, DC 20001;
[phone]; Fax [phone].
Additional copies of this report are available from the National Academies Press, 500
Fifth Street, N.W., Lockbox 285, Washington, DC 20055; [phone] or (202) 334-
3313 (in the Washington metropolitan area); Internet, http://www.nap.edu.
Copyright 2007 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of
distinguished scholars engaged in scientific and engineering research, dedicated to the
furtherance of science and technology and to their use for the general welfare. Upon the
authority of the charter granted to it by the Congress in 1863, the Academy has a mandate
that requires it to advise the federal government on scientific and technical matters. Dr.
Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the
National Academy of Sciences, as a parallel organization of outstanding engineers. It is
autonomous in its administration and in the selection of its members, sharing with the
National Academy of Sciences the responsibility for advising the federal government.
The National Academy of Engineering also sponsors engineering programs aimed at
meeting national needs, encourages education and research, and recognizes the superior
achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of
Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences
to secure the services of eminent members of appropriate professions in the examination
of policy matters pertaining to the health of the public. The Institute acts under the re-
sponsibility given to the National Academy of Sciences by its congressional charter to be
an adviser to the federal government and, upon its own initiative, to identify issues of
medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute
of Medicine.
The National Research Council was organized by the National Academy of Sciences in
1916 to associate the broad community of science and technology with the Academy’s
purposes of furthering knowledge and advising the federal government. Functioning in
accordance with general policies determined by the Academy, the Council has become
the principal operating agency of both the National Academy of Sciences and the Nation-
al Academy of Engineering in providing services to the government, the public, and the
scientific and engineering communities. The Council is administered jointly by both Acad-
emies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair
and vice chair, respectively, of the National Research Council.
www.national-academies.org
COMMITTEE ON SCIENCE AND TECHNOLOGY IN KAZAKHSTAN
Alvin W. Trivelpiece (Chair), Director (retired), Oak Ridge National
Laboratory
Clifford Gaddy, Senior Fellow, Global Economy and Development Program,
The Brookings Institution
Norman P. Neureiter, Director, Center for Science, Technology, and Security
Policy, American Association for the Advancement of Science
Marilyn L. Pifer, Senior Program Manager and Senior Technical Advisor,
U.S. Civilian Research & Development Foundation
Consultants
John D. Baldeschwieler, J. Stanley Johnson Professor (emeritus), California
Institute of Technology
Lawrence Goldberg, Senior Engineering Advisor, National Science
Foundation
Brenda Pierce, Program Coordinator, Energy Resources Program, U.S.
Geological Survey
Joseph Silva, Jr., Dean (emeritus), University of California, Davis, School of
Medicine
Henry J. Vaux, Jr., Professor (emeritus), University of California, Berkeley
NRC Staff
Glenn Schweitzer, Director, Office for Central Europe and Eurasia
Amy Moore, Senior Program Assistant, Office for Central Europe and Eurasia
v
Preface
In June 2006 the National Research Council (NRC) entered into a contract
with the National Center for Scientific and Technical Information (NCSTI) of
the Ministry of Education and Science (MES) of the government of Kazakhstan
to carry out a study of the current status and the potential for future development
of the science and technology (S&T) base of the country. Of particular interest to
both parties were the S&T human resources of the country, the organizational
and institutional structures of the public and private sectors that have S&T di-
mensions, the capabilities of research and education institutions, the linkages
among these and other organizations that have a role in the innovation process,
and the sectors of economic and social development that deserve priority for
investments of government funds to support research and development (R&D)
activities. This report presents the results of the study carried out by a committee
of specialists selected by the NRC.
S&T-related policies, priorities, and activities are changing in Kazakhstan
as the government attempts to upgrade the S&T infrastructure as rapidly as
possible and as the private sector steadily increases its investments in the ex-
panding economy. This report is based on conditions in the country as of Sep-
tember 2006. Many of the conclusions and recommendations in this report should
be relevant for several years, though, since the technology-oriented commitment
of the country’s leadership to rapid economic and scientific development proba-
bly will remain until the next major political election in 2012.
vii
viii PREFACE
SCOPE OF THE STUDY
The Statement of Task in the contract specified that the following topics
would be addressed:
• Existing institutional capabilities of Kazakhstan’s R&D institutions, state
research centers, and other institutions of the S&T community.
• Higher education capacity and trends, with particular attention to (1)
research activities and (2) the significance of national S&T policy in influencing
higher education and research.
• Current and potential domestic and international customers for R&D re-
sults and S&T products.
• Funding sources for S&T.
• Shortcomings in Kazakhstan’s policies that affect S&T and the principal
mechanisms for implementing relevant policies.
• Factors hindering the development of Kazakhstan’s S&T.
• Specific measures for maintaining and facilitating research activity that
can lead to breakthroughs.
• Opportunities for regional S&T collaboration.
In addition, NCSTI asked the NRC to provide observations to the extent
possible on other aspects of the S&T base that are being addressed in the govern-
ment’s program for the evaluation of scientific institutions, recognizing that there
were time, resource, and information constraints for providing such observa-
tions. Of particular interest were the proposed Terms of Reference for the gov-
ernment’s evaluation. These proposed Terms of Reference are set forth in Ap-
pendix A.
In subsequent discussions NCSTI officials indicated that the following top-
ics would be of special interest:
• The legal basis for activities in the field of S&T.
• The material and technical base for scientific activities.
• Public- and private-sector funding of research activities.
• Establishment of priorities in the field of S&T.
• Relationships between public- and private-sector research and education
activity.
• Commercial demand and potential domestic and international customers
for the products of research.
Taken together, the overlapping interests set forth above cover almost every
aspect of S&T activities in the country. Since this study was to be completed
within six months in order to be most helpful within the government’s planning
and budget timeline, the committee members and consultants engaged to assist
PREFACE ix
in this effort were not able to spend sufficient time in Kazakhstan to examine all
aspects of the S&T infrastructure.
At the same time, a number of other foreign organizations were developing
recommendations concerning S&T activities in the country. The Ministry of
Industry and Trade (MIT) was supporting studies by international experts of
industrial technology activities, with an emphasis on the role of the private sec-
tor. Further, the World Bank had completed in early 2006 the development of an
analytical framework for providing support to selected research groups of excel-
lence in the country and for promoting technology transfer activities. Also, as of
September 2006 the Science Foundation of Ireland was carrying out a limited
study of S&T aspects of higher education, and specialists from the Organisation
for Economic Co-operation and Development in Paris, the World Bank, and
MES were initiating a more detailed study of the same topic.
Well aware of these constraints and overlapping activities, the NRC com-
mittee and NCSTI agreed that it would be most helpful to MES if this report had
the following characteristics:
• The study would identify fields of S&T that should be considered for
increased and sustained government R&D funding and/or political support. At
the time of initiation of the study, the government was considering designation
of five fields of priority importance for focusing R&D efforts: space science and
information technology, biotechnology, nanotechnology, nuclear and renewable
energy, and hydrocarbon and mineral resources. The study was to examine these
fields along with additional fields that the NRC committee thought warranted
consideration for special emphasis.
• Given time and logistics constraints, the committee and NCSTI agreed
that it was not feasible to examine activities in space science and the social
sciences other than economics, recognizing that each of these topics deserved
serious assessments through other mechanisms.
• The current and future activities of key public-sector educational and
research institutions under the purview of MES would be primary focal points
for the study. A limited number of institutions of MIT, the Ministry of Agricul-
ture, the Ministry of Health, and the Ministry of Energy and Natural Resources
would be considered as well. Organizations subordinate to the Ministries of
Transportation, Communication, Environmental Protection, and Defense—while
involved in S&T-related activities—would not be included in the study. A few
private-sector institutions, including selected universities, small innovative firms,
and large companies that are particularly active in S&T endeavors would be
included to ensure a broad overview of S&T-related capabilities.
• The study would give special attention to the government’s proposed
draft of the program plan for development of science from 2007 to 2012 and
provide comments on the program as appropriate. The main idea of the plan, as
explained by NCSTI, is to create and develop the necessary conditions and envi-
x PREFACE
ronment for carrying out research; for increasing the quality of research; for
developing the base for cooperation between research centers, education institu-
tions, and the private industrial sector; and for motivating young scientists to
work in Kazakhstan.
• The crucial importance of development and retention of the nation’s S&T
human resource base would be a major consideration throughout all aspects of
the study.
• The study would consider research, development, and education within
the broader context of the entire innovation process—from basic research to
successful use of the products of research.
AUDIENCES FOR THIS REPORT
The principal audience for this report is the government of Kazakhstan,
particularly MES. President Nazarbayev, his advisers, the parliament, and other
government officials and organizations should be interested in the analyses and
conclusions since the report addresses some of the highest priority issues that
have been debated within the government in recent years.
A second important audience is the large array of Kazakhstani organiza-
tions involved in activities that have important S&T components. Some are
designers or implementers of research programs. Others are potential users of
the products of research. Others train managers and specialists to carry out
S&T-related activities. Still others are affected financially by decisions to allo-
cate resources to S&T. Many more are affected in the long run by scientific
endeavors that lead to changes in the technological capabilities of the country.
In the words of the U.S. National Academy of Engineering, “Every business
participates in technological change as an originator, user, or victim of techno-
1
logical invention and innovation.”
A third audience includes many international organizations, governments of
neighboring states, providers of foreign assistance, local and foreign investors in
the economy of the country, the international scientific community, and interna-
tional and homegrown nongovernmental organizations that are involved in shap-
ing the future of the country. Some members of this audience are familiar with
many of the developments cited in the report, but others are not. Therefore,
appropriate references are provided to assist in clarifying for a broad audience
the recent developments discussed in the report.
1
William G. Howard, Jr., and Bruce R. Guile, eds., Profiting from Innovation, MacMillan, New
York, 1992, p. 7.