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transfer and North/South issues which have significant science and technology components-routinely have examined longer term factors as an integral part of the overall assessments. The Department of State has played a major role in their preparation and coordination.

While considerable attention has been devoted to examination of long-term aspects of specific subject areas, there is also a need for more systematic planning activities throughout the Government designed to assess future problems and opportunities as they relate to trends in science and technology and global politics. In this connection, there are some important efforts under way to look into the future more systematically. One of these is the pending "Global 2000" study which is a projection of the population, environment and natural resources at the beginning of the next century undertaken jointly by the Council on Environmental Quality (CEQ) and the State Department at the direction of the President. There is also an assessment being done with the National Academy of Sciences under a contract by the National Science Foundation in connection with the first of the Foundation's biennial "Five-Year Outlook" reports on U.S. national goals in science and technology.

Department of State planning

Science and technology issues are included in the Department's policy assessment and planning process. These issues are treated along with other important policy questions in intensive interchanges between overseas posts and the Department in periodic policy messages and discussion designed to review past performance and to set future goals. Specific attention is given to issues with a science and technology component such as energy, technology transfer, nuclear nonproliferation, the environment, law of the sea, international telecommunications, and outer space.

The Secretary's policy planning staff (S/P), the primary policy planning office for the Secretary of State on all issues, includes three officers who concentrate on global issues or policies which have significant scientific and technological content. These comprise issues which overlap bureaus or focus on a significant foreign policy problem such as North-South relations.

There has been a general recognition that long-term planning functions in the Department of State related to science and technology must be strengthened. In the Bureau of Oceans and International Environmental and Scientific Affairs (OES) attention to long-term considerations has generally been the responsibility of operating offices where the burden of dealing with today's crisis diminishes the opportunity for staff members to devote sufficient thought to long-term problems. The lack of a long-range planning staff in OES has in the past detracted from a fully coordinated, structured, and systematic long-range planning effort for the Bureau.

In recognition of this deficiency, the Department authorized in late 1977 the establishment of a policy assessment staff in OES consisting of four professionals and two clerical positions. The office began operation this month and will play a key role in the Department's longrange planning efforts, working in close collaboration with the OES operating offices which will be expected to develop an expanded concern for long-range planning and policy considerations, the Depart

ment's policy planning staff (S/P), and the planning offices of the regional and functional bureaus. The staff will be the centerpiece of a reinvigorated policy planning effort in OES centered around a policy planning council composed of the new policy assessment staff and the Bureau's Deputy Assistant Secretaries, an effort which is designed to catalyze the efforts of all the areas of the Bureau in long-range planning.

OES is now considering how best to establish a Public Advisory Committee for Science and Technology. Preliminary planning has gone forward with the participation of representatives of the academic, industrial, and other elements of the scientific and technological communities. Discussions to date have focused on several questions: (1) Organization and composition of the advisory structure; (2) charter or mandate for the advisory group; (3) interaction between the advisory group and OES policy assessment staff, the Secretary's policy planning staff, and principal functional units; (4) development of external research strategies; and (5) objectives of the advisory structure. We expect the advisory committee will assist OES and the Department of State in long-range planning activities by providing technical expertise and fresh viewpoints from outside the Government.

In addition, OES will continue to use existing advisory committees in connection with specialized areas of actvities. The Department's Advisory Committee on International Investment, Technology and Development, of which the Assistant Secretary of OES is a member ex officio, deals with such issues as technology transfer and transnational data flow by transitional enterprises. The Ocean Affairs Advisory Committee, under the aegis of OES, meets regularly on issues such as fisheries, Antarctica, and marine science and technology. There are also such statutory advisory committees as the Inter-American Tropical Tuna Advisory Committee and the International North Pacific Fisheries Advisory Commission in which the Department plays an important role.

While the Department has had an active external research program in science and technology-fiscal year 1979 funding is at $500,000-it is currently reviewing the adequacy of funding of this program. It is clear that more use of research consultants and similar services would help to improve planning.



There is general agreement that inadequate attention has been devoted in the past to the need for systematic evaluations of international science and technology activities and agreements, to provide a sound basis for decisions concerning their possible modification or termination. In addition, despite some exceptions in the past few years, such evaluations as were done often lacked the thoroughness and depth of analysis required for enlightened decisionmaking.

We need a more systematic way to evaluate the foreign policy benefits of major international science and technology agreements. The Department of State has the responsibility for insuring an integrated assessment, including a careful study of foreign policy implications.

For this it looks to the domestic agencies and technically qualified outside consultants. This activity is also important for long-range planning since such planning can only be built on reliable knowledge about existing programs and activities.

The evaluation process described above must be closely related to the resource allocation process. Domestic agency funding decisions are based on an assessment of the scientific and technical merits of a given program and its priority within available resources. Where international science and technology agreements need to be undertaken for primarily foreign policy purposes, alternative funding arrangements will be examined.


An essential component of long-term planning will be the effort to anticipate new developments in domestic technology which could have important implications for future U.S. foreign policy.

Scientific and technical staffs of domestic agencies working on domestic programs together with the agencies' international staffs are often able to identify opportunities for international cooperation. But, there does not seem to be a systematic effort to identify emerging new technologies and to explore their implications for U.S. foreign policy objectives. The establishment of the FITC can make a major contribu

tion here.


Knowledge of foreign developments in science and technology can make an important contribution to the strength of U.S. domestic programs, as well as providing information of significance for foreign policy.

We learn about important new foreign developments through a variety of means. Exchanges in the private sector-for example, scientist to scientist and international scientist gatherings are generally considered adequate to keep the United States abreast of significant developments in the area of basic science. On the technology side, technical agencies seem able generally to stay abreast of foreign scientific and technological developments in their own fields.

The industrial and commercial sectors have less confidence in the adequacy of information. Better communication between Government and industry would be helpful in this regard.

U.S. collection assets in science and technology historically have tended to focus on military-related areas, and this has become even more prevalent because of resource constraints. Principal collectors of nonmilitary information are the U.S. scientific attachés who, because of their small number and the variety of tasks assigned to them,

It is worth noting that, whereas no organic ties exist between the Department of State and the domestic agencies, AID operates under executive authority delegated to the Secretary of State, who has statutory responsibility for continuous supervision and general direction of economic assistance. Consequently, relations between the Department of State and AID are different in character from those between State and the domestic agencies.

have had limited capabilities to report on significant foreign developments. The domestic agencies, on the other hand, have become through their activities abroad an important source of information on foreign developments in their respective areas.


Long-term planning

1. The newly created OES policy assessment staff will develop procedures to improve the flow of information on planning and objectives between State and other agencies. It will seek ways of involving other agencies activity in the work of this office and explore the establishment of a fellowship program with the American Association for the Advancement of Science.

2. The Department of State will seek to broaden its utilization of outside expertise by: (a) Creating subject to approval in accordance with the Federal Advisory Committee Act, a Department of State Public Advisory Committee for Science and Technology, (b) increasing the use of studies and analyses prepared by scientists and other specialists in the nongovernmental community, and (c) studying the feasibility of alternative approaches, such as a contractual relationship with a Rand-type institution.

3. The Department of State will make use of CISET as a forum for the review and evaluation of long-range planning which has broad interagency significance. The Department will ask agencies with major international programs to inform the Chairman of CISET of steps they could take to strengthen joint long-range planning activities.

4. The Department of State will seek to establish small pilot programs with a few key domestic agencies where programs affect foreign policy objectives to explore possible approaches to systematic joint long-range planning activities. As part of this process, an effort will be made to identify the foreign policy implications of selected agency activities and relate these to foreign policy objectives and priorities in a country and regional framework. The effort will also try to identify emerging technologies and explore their implications for U.S. foreign policy objectives, as well as to promote joint evaluation of ongoing international scientific and technological activities. These programs will consist initially of small state-technical agency task forces to identify and analyze alternative approaches to meeting the above objectives.

5. The Department will work closely with the appropriate staff agencies of the Congress, such as the General Accounting Office (GAO), the Science Policy Research Division of the Congressional Research Service (CRS) and the Congressional Office of Technology Assessment (OTA). The Department will also draw upon the National Academy of Sciences, the National Academy of Engineering, the Institute of Medicine, the American Association for the Advancement of Science, and similar organizations as possible sources of aid in planning and evaluation.

Program initiation and funding

6. Each domestic agency engaged in major international activities will be encouraged to develop an overall strategy with appropriate criteria and clearly defined objectives for its international activities.

This will be undertaken on a pilot basis with a few agencies selected for the potential impact of their activities on foreign policy objectives. 7. Criteria to measure new initiatives against U.S. foreign policy objectives should be established on a selective country-by-country basis, and where appropriate, regional basis. OES, in cooperation with the NSC. OSTP, OMB, as well as relevant technical agencies, and other concerned Bureaus in the Department of State should take responsibility for developing such criteria.

8. No new program should be initiated for which funding is not existent or clearly attainable. It is important, therefore, that the planning process establish a solid framework of objectives in a timely manner and identify financial and manpower questions at the earliest stages.

9. State will work with OSTP, OMB, AID, FITC, and other interested agencies to develop a policy for funding international science and technology programs. This will be based on a careful study of the following categories:

-funding international activities undertaken primarily in support of domestic agency missions;

-funding international activities of foreign policy significance; -funding as part of development assistance;

10. Consideration will be given to a periodic conference among the agencies engaged in major international science and technology activities, to occur at an appropriate point during the annual budget cycle, which could provide information on major agency international program elements. The conference, called by the Department of State, would seek to insure rational planning and avoid program duplication. Program review

11. A systematic evaluation and review of selected U.S. Government international science and technology activities and agreements on an interagency basis is needed. This should include the domestic science. and technology agencies as well as the foreign policy agencies engaged in development aid. The proposed Foundation for International Technological Cooperation (FITC) could play a key role in this respect. 12. Each science and technology agreement should include specific plans for interim evaluations and periodic reviews and should address the matter of termination either by explicit provision for automatic termination or a clear expression of mutual expectation of termination in order to avoid easy renewal.

13. Reviews, at a minimum, should be conducted when an agreement is scheduled for renewal or termination or when political circumstances warrant a reevaluation. The annual report called for in section 503(b) of the statute should summarize the reviews carried out during the reporting year and their results.

14. The Department of State will provide more assistance to its overseas posts in the preparation of field evaluations. Such assistance will include provision of explicit guidance, consultation between the Department and field science and technology officers, and regional conferences for post science and technology officers.

Impact of new technologies

15. A key function of the OES functional offices and the policy assessment staff will be to maintain close contact with the governmental


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