DR. J. TECH

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP79-00798A000500110001-0
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 24
• Document Creation Date: December 9, 2016
• Document Release Date: July 19, 2000
• Sequence Number: 1
• Content Type: LETTER

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DEPARTMENT OF STATE
DIVISION OF LANGUAGE SERVICES
(TRANSLATION)
State Committee of
USSR Council of Ministers
for Science and Technology
To the Counselor on Scientific Affairs
of the Embassy of the U.S.A. in the U.S.S.R.,
Dr. J. Tech
Russian -'
42243
T-127
I am sending you materials on three topics prepared by the Soviet
side of the working group on science policy for transmission to the U.S.
side: Planning and management of scientific research and development,
training and utilization of scientific and engineering/technical personnel
and the system of incentives for basic research.
Additional material for topic III under the heading "Utilization of
scientific personnel" and materials for the topic of "Financing of research
and development" is in the process of being compiled and will be sent to
you in the near future.
Sincerely yours,
E. Sklyarov
Chairman of the Soviet side
of the Joint U.S.-U.S.S.R.
Working Group on Science Policy
State Dept. declassification & release instructions on file
pV
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QUESTIONS TO THE AMERICAN SIDE ON TOPIC NO. I - "PLANNING
AND MANAGEMENT OF RESEARCH AND DEVELOPMENT"
1. Are unique principles and methods of planning and managing R&D
used in all sectors of the national economy of the U.S.A.? If so, how
is this uniqueness achieved? If not, what different sorts of principles are
used in the different sectors (government agencies, private firms, univer-
sities) ?
2. To what degree is there centralized management of R&D in the U.S.A.
on a national scale? On the scale of the separate sectors of the economy?
3. How is national scientific policy reflected? To what degree does
it depend on general government policies? How are the aims and priorities
in the sphere of R&D formulated? How do they conflict with or correspond
to general national priorities? Do contradictions exist between scientific
policies of the government and of private firms and universities?
4. How is long-range planning of R&D combined with forecasting the
development of the entire economy of the country?
5. How is the Federal budget for R&D formulated? Is this a total of
the budgetscf the individual departments and agencies? Or in formulating
the general size of the science budget, do other factors influence it, for
instance, those connected with the evaluation of the role of science and its
needs as a whole?
6. What is the hierarchical structure of the administration of R&D in
the system of Federal organs and how is this structure most commonly reflected
in firms and universities?
7. Is there in the U.S.A. a government plan or list of the most impor-
tant scientific and technical problems? If so, who makes up this list, how
many of them are there, and what is their nature? How are the concepts of
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"problems" and "projects" defined?
8. What role in the introduction of programs and projects is
played by various agencies and personages? What role in this is played by
the President, his scientific adviser, the Congress, the Departments and
other agencies, firms, universities, and the scientific community as a whole?
9. What factors are taken into consideration in the determination of
the size and distribution of funds, personnel, and material for research
aid development in government agencies, firms, universities, and institutes?
On what level are these decisions made?
10. How are questions examined and determined in regard to centraliza-
tion and decentralization in the management of research and development in
government agencies, firms, universities? What role do the states and local
authorities play in the development of science?
11. To what degree are such instruments as the RRV and RERT [Russian
abbreviations] systems and systems analysis used in the management of research
and development? What tendencies are displayed in the utilization of these
or other methods?
12. What are the most widespread formalized methods employed in the
planning of research and development:
-- for determining the aims of research and development
on the scale of the whole country, of a federal Department,
and of firms?
-- for forming scientific and technical programs?
r- -- for the selection, during the planning of research within a
specific program, of those who are to carry out the work?
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13. To what extent is the cost-effectiveness method useful in planning
and distributing resources for research and development?
14. How is the general evaluation of research and development projects
determined, taking into account economic indices as well as other aspects
(scientific, technological, social, and political)?
15-On what levels of planning of research and development is the appli-
cation of formalized methods of evaluating the results considered to be most
effective?
16. In the development of a program, how is the requirement of logical
completeness of the program as such coordinated with definite limitations of
resources?
17. How is research and development coordinated within the government
sector, and between the government and other sectors of the economy? Under
what circumstances is duplication of research and development considered useful and
when harmful? What is the scale of the former and of the latter?
18. How is the management of interdepartmental government programs of
research and development carried out? Are special supervisory bodies fre-
quently created for this aim? What alternate methods are used for managing
such programs?
19. How are scientific programs managed in which the government, firms,
and universities participate? How are the problems of managing interdisci-
plinary and complex scientific and technical programs solved on different
levels, interdepartmental, interinstitutional, interfirm, within universities,
institutes, and f}rms? How is the relatively immobile organizational struc
ture of institutes correlated with the creation of more stable integrated
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groups on the interdepartmental level? Does such a group carry out one or
several projects?
20. What value is given today to. such forms of organization of science and
its connection with production and. education, as research parks and industrial
parks?
21. What are the types and sizes of government and non-government contracts
for research and development? What types of contracts are used for basic
research, for applied research and for development? What is the effectiveness
of different types of contracts as instruments for management of research
and development?
22. Who receives preference in the distribution of subsidies or grants:
scientific institutes or individual scientists?
23. What factors in the U.S. accelerate and which ones slow down the
process of "research-development-production-utilization"? What are the
methods of government and private stimulation of this process? What incen-
tives and what sanctions are applied in its regulation? What interaction is
there between researchers, developers, and producers? How are contradictions
among them eliminated?
24.What size of scientific research and design centers in the USA
is considered optimal?
25. What tendencies are there to develop a system of projects as a form of
managing research and development? What are the main features of this sys-
tem and how widespread is it? Is the budget of scientific institutions made
up of the funds allocated for projects, or can a scientific institution as a
whole receive financing, and under what conditions?
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26. Do contradictions exist, and if so, what kind, between financing re-
quirements for programs of research and development and making. And imple-
menting budgets on the level of the federal government, firms, and universities?
27.How is accounting for and monitoring of implementation of research
and development carried out? What are the forms and time intervals of such
reports?
28. What are the average time periods and costs of implementation of
R&D projects and what tendencies are there to change them?
29. What are the average time periods required for utilization of the
results of research and development in production, and what tendencies are
there to change them?
30. What percentage of R&D programs are successful? What percentage of
results of research and development are patented? What percentage are
utilized in production? What percentage of patents find practical applica-
tion and within what periods of time?
31.How is the effectiveness of the U.S. patent system evaluated? What
tendencies are displayed in its development?
32. How widely is new foreign equipment and technology used in the U.S.?
33. How widely do firms introduce the results of research and develop-
ment that are received from other firms and organizations?
34. How is the system of scientific and technical information organized
in the U.S. and how is its effectiveness evaluated?
35. What is the policy of acquisition and utilization of patents in
conducting various research and development programs on the federal level
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36. What are the quantitative and qualitative methods of evaluating
the economic effectiveness and social usefulness of research and develop-
ment and evaluating the consequences of practical implementation of their re-
sults?
37. What methods are used in analyzing and evaluating the work of
researchers and developers?
38. During recent years the practice of "technology evaluation" has
spread in the U.S. What is its essence and how is it applied in practice?
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Subdivision I. Development and Implementation of Science Policy
in the Field of Basic Research
Question 1. Does there exist a mechanism designed for developing policy in
the field of basic science in correspondence with general govern-
mental policy?
Question 2. Is policy in the field of basic research a doctrine formed for a
period of several years or does it consist of a set of unconnected
ad hoc recommendations?
Question 3. How is the selected science policy implemented?
a) How can science policy be implemented with regard to basic
research financed by the Federal government?
b) How can science policy be implemented with regard to basic research
not financed by the Federal government?
c) What mechanism.is used to redistribute resources among the
fields of basic science in case of a change in scientific
policy connected, for example, with changes in general govern-
mental policies?
Question 4. Is there any kind of analysis of alternatives of science policy from
the standpoint of correspondence with general state policies
and the availability of existing resources?
Question 5. Is there feedback from the results of fundamental research to
scientific or general government policy in the form of a constant
mechanism of evaluation of the influence, on scientific or general
government policy, of results received in the field of basic research?
How does, this mechanism function?
Question 6. Are formalized methods of decision making used in the determination
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of policy in the area of basic research?
a) How effective is the use of formalized methods of decision
making on various levels of organization of basic research: forma-
tion of science policy, distribution of resources between research
centers or their groups, planning research in a specific research
center (or within the framework of a project)?
b) Are the methods of "cost/effectiveness" and "cost/benefit" used
in the analysis of policy alternatives in the area of basic research?
c) What methods are used to evaluate the possible results of basic
research?
d) Has there been evaluation of the overall economic effect (on a
national scale) of the results of basic research?
e) Are methods of social and technological forecasting used in
developing science policy in the area of basic research?
Question 7. Is a programmed approach used in the planning of basic research?
Has there been any experience in creating programs in the field of
basic science? What factors interfere with successful application
of such a programmed approach?
Question 8. What inadequacies exist in the system of grants? How can the conservatism
of this system be overcome in which the distribution of resources
is determined by past scientific successes of the research manage-
ment?
Question 9. What mechanism is utilized to concentrate significant resources in
narrow fields of basic research? How effective from the point of
view of implementing a science policy is the concentration of basic
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research in specialized institutes (scientific centers
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Subdivision II. Planning of Basic Research
Question 1. Is there a single mechanism for planning basic research on the
scale of the entire country (including research not financed by
the Federal. government)?.
Question 2. What is the present structure of expenditures for research and
development?
a) What is the amount of expenditures on basic research for the
country as a whole? What part of the total expenditures are borne
by the Federal government?
b) What type of research conducted in the private sector is finan-
ced through the Federal government?
c) What proportion of general expenditures on research and develop-
ment are comprised of expenditures for basic research?
d) Is the existing ratio of expenditures for basic research to
overall expenditures for research and development a result of a
specific policy or has it come about by chance?
e)What is the optimal relationship of expenditures for basic
research to overall expenditures for research and development?
Does a common point of view exist on this subject?
Question 3. What period of time is covered in planning basic research:
a) In organizations financed by the Federal government?
b) In the private sector?
What determines the time period covered in planning basic research?
Question 4. Is there coordination of plans for basic research conducted by
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organs of the Federal government and by private organizations? What
mechanism is utilized in achieving this?
Question 5. What is the typical mechanism of setting into motion basic research,
projects financed by the Federal government? How often does the
initiative on the conduct of new lines of research proceed from
organs of the Federal government? What is the analogous mechanism
in the private sector?.
Question 6. Through what channels and in what form does information on pro-
posed basic research and basic research in progress come to the
planning organs of the Federal government? Is this mechanism the
same for.research conducted in the government and in the private
sector?
Question 7. How is analysis conducted regarding the state of basic research
being carried out in:
a) the government sector?
b) the private sector?
Are formalized methods used to analyze the state of basic research
(e.g.
evaluation,using many criteria, of the state of research in
the individual fields of science)?
Question 8. What is the mechanism of selecting the individual or organizatiai
which is to carry out the basic research?
Question 9. Under what circumstances in the conduct of basic research is it
considered desirable to create new scientific research organizations?
Question 10. Is there duplication in-basic research?
a) Under what circumstances is duplication considered desirable
and consciously planned?
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b) Under what circumstances is duplication a result of insuffi-
cient coordination?
Question 11. How are plans of basic research coordinated:
a) among Federal organs financing this research,
b) within individual Federal Departments.
Subdivision III. Distribution of Resources and Financing of
Basic Research
Question 1. How are resources for basic research distributed?
a) How are resources for basic research distributed. in different
scientific fields in a) the governmental sector and b) the private
sector?
b) What is the mechanism for distribution of resources among
different projects within a scientific field?
c) Are formalized methods used for distribution of resources
among different scientific fields?
d) What mechanism exists for distribution of resources among
research organizations conducting research in one scientific field
- in the governmental sector
- in the private sector?
e) Is there a comparative evaluation of competing scientific
research organizations? What factors are considered in this evalua-
tion? Is there a formalized methodology for conducting such
evaluation?
to what degree are the name and previous achievements of the
director of research taken into account in deciding the question
of allocation of resources,
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do previous failures in research (inevitable in basic science)
reflect on the chances of receiving new grants?
f) Are the criteria for evaluating the research of government in
private scientific research organizations the same?
Question 2. How is financing and financial supervision in the field of basic
research conducted?
a) What decision mechanism is utilized in allocating funds to very
expensive research or for the acquisition of unique equipment? On
what level are such decisions made?
b) How is utilization of allocated resources supervised?
c) What form does this financial supervision take and how often does
it occur:
- at the level of the financing body,
- within an individual research organization?
d) Do financing organs trust scientific managers who determine
the amount of expenditures for research?
e) Are cost overruns in research permitted? Are the reasons for
cost overruns analyzed? Under what circumstances do the financing
organs allocate additional resources for completion of research?
Question 3. Is there any retrospective analysis of the allocations for basic
research? Has the connection between past allocations and adopted
science policy been analyzed? Are results of retrospective analysis
used in developing recommendations in the area of science policy
or in the making of regulatory models for distribution of resources?
Question 4. What happens in the case where financing of basic research is
terminated within the frame of a particular scientific field or
within a scientific research organization:
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a) In the governmental sector,
b) In the private sector?
Question 5. Under what circumstances does the Federal government continue
the financing of basic research carried out in the private sector
if the private organization ceases to finance this research?
Question 6. Is there a practice of inviting leading scientists from abroad
fo conduct basic research
a) In the government sector,
b) In the private sector?
Subdivision IV. Utilization of the Results of Basic Research in Applied Scien-
tific Research Work (SRW) and Applied Experimental Design Work (EDW)
Question 1. Does there exist a single mechanism for securing speedy transfer
of the results of basic research into practice (applied SRW and EDW)?
a) Does there exist beginning-to-end planning which covers the
entire cycle of research - from basic research to EDW - within
single projects?
b) Is there a mechanism for stimulating the application of the
results of basic research?
c) What factors hinder the quick application of the results of
basic research? I
d) What organizational forms would best accelerate.the quick appli-
cation of the results of basic research?
e) What mechanism is utilized for the transfer of information on
the results of basic research into the sphere of applied SRW and EDW?
Question 2. Is possible application of basic research taken into account before 10 the beginning of research or in the early stages of research?
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a) Is there a generally accepted practice of evaluating the applied
significance of the results of basic research? Who analyses the
potential application of research results--the researcher, who
obtained them or the organization which is the potential user of
these results?
b) Is the applied significance of expected results of basic research
one of the factors which determine the distribution of resources
among scientific fields?
Question 3. Is there a mechanism of incentives for basic research in certain
fields of science in which expected results could have an important
influence on the development of specific applied research or develop-
ment?
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April 11, 1,974
5C ICNCF_ AND TECHNOLOGY
POLICY OFFICE
Dr. Jack Tech
Science Attache
American Emmnbassy, Moscow
STATINTL
Subject: Working Group on .RD Planning. and Managernent
(FYI) The U. S. Working. Group anticipates significant study will be
required once the Soviet questions are received in the U. S. If any
more serious d lays are encountered, we .Trill have to request further
delays of our meeting. When the attached correspondence is forwarded
could you detertzz.ine the status of the Soviet submission to the U. S.
If the threat of postponement could he used as a lever to stimulate a
response, please indicate our dilemma.. We desire to have the meeting
on time but also to have time to go over the USSR questions and prepare
for our meeting in ivloscow. You could point out that this will require
the gathering togcther of our delegation from all over the United States
after we receive their submission.
Hylan B. Lyon, Jr.
Special Assistant
? f
Oswald ]Dr. swald Gaul.^,, S UI/State
1 !5"r : ?f ~ :?`I=l e f f ri e r, St an f o r d
11
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 April 11, 1974
SCIENCE AND TECHNOLOGY
POLICY OFFICE
Dr. E. Sklyarov
State Committee for
Science and Technology
Mos cow, U. S. S. R.
Dear Dr. Sklyarov:
it is a pleasure to forward from Dr. Heffner the list of questions
which the U. S. subgroup has developed for discuss-ion in our May
meeting. We are looking forward to receipt of the USSR questions.
On. ge 4 and page 5 of our submission, we have included questions
related to the Academy of Sciences. We have coordinated these
questions with our Academy of Sciences working group, in I- articular
with Dr. Schull and M:r. Beckl.eer. We will be prepared to discuss
whether one or both of the subgroups should e?iscuss these particular
issues.
In the near future, I shall be forwarding the fina list of U, S. z 7emz.ibers
who will be - pa:rtici aging in the May Moscow meeting. '1711 e, U, S.
delegation suggests that approxima-e y -tree days; will be required to
adequately discuss these item's'. We also suggest. .that one or two hours
every day be set aside for the subgroups to nwet separately.
We shall bes very interested in visiting USSR rese~yrch and development
related activities after our meeting. When the list of attendees is
forwarded, we shall include the desires of the working group members
fQr these post-meeting visits.
.l personally am looking forward with great pleasure to the continuation
of our discussions and to our visit in. your Capitol city.
Sincerely yours,
I'll Hylan B, Lyon, Jr.
Special Assistant
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Q UE&TIO S FOB H ~, S. S.R. ON Phi) POLICY AND I? ULAGEN tIT
The Federal Role
1. What are the areas of x?esponsibility of the GK' T, the Academy
of Sciences, the Communist Party and other national bodies in the
formulation of 'national technology policy? By whom and on what basis
is the decision on annual volume of money, manpower, and materials for
R&D made? Concerning the 250 key projects:
a) How are the projects selected?
b) How often is the list revised?
c) Does it include military projects?
d) What is the role of the Ministry to which the
"head institution" carrying out the project
belongs?
How is scientific advice mobilized and organized in the U.S.S.R.?
What role does "independent nondepartmental expertise" play in
evaluating new technological products and processes, in inonit-oring,
R&J) programs, etc. Describe the place of technological forecasting
in research and develop.:ient planning.
2. Has the LT, S. S.R. developed an analytic treatment of the F&D
process? If so, what input measures and output treasures are
used? How does the U.S.S.R. determine the quality of its R&D? What
measures are used ford terminin; technological advance? How does
the U.S.S.R. estimate the economic, environmental, social and
political side effects of. new technology?
3. What are the mechanisms by which success is judged and
unsuccessful progranns ternmmii.nated? Who decides whether or not a
program has become obsolete? Who decides whether or not a scientific
research institute or design bureau should be closed down or reorganized
.along new lines? What are the criteria used in reaching these decisions?
4. What is the nature of the U.S.S.R. R&D program control procedures,
i.e., how are initial estimates of costs made, what means are used in
determining whether a particular program is on schedule, how are cost
overruns handled? Is resnnonsibi.lity for control of many programs centralized
in a single office? {?e fLind. s for a program scheduled ahead for the complete
progr in, or is the allocation of funds and materials contingent upon h i e) 1.
the program is progre ssinr ? R&D organisations have projects that are financed
through contracts with other organizationt as well as projects financed. If'rom
the state budget. How are the proportions for the two kinds of financ_i=.'ng
determined. in the planning process? Describe the process by which bud-?A
financed projects are allocated to R&D organizations. lion:; does the U. S- S, R.
estimate the annount of technical risk in, an R&D program, i.e., the probability
of success or failure?
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The Role of Bran_h~ Hirai si:rics
1. To what extent are the ministries free to determine their awn
R&D programs? What is the role of the ministries in planning the
introduction of new technology? Who decides to put a particular product
into series prcdticti_on or introduce a new process?
2. What proi~.l r: ~- have been encountered in organizing and 'adminis--
tering scientific production associations? What is being done to solve
these problems? H7w are the R&D planning and management functions of
the ministries affected by the creation of scientific productiq;i,
associations? ,
What is the rnjnistr