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technology are at the heart of the economic development process and of international trade; they are the key to meeting national security requirements, to satisfying the world's vastly increased demand for food and mineral resources and to pursuing the goals of nonproliferation and disarmament. While much international activity in science and technology is carried out by universities, professional associations, nongovernmental organizations and private industry, the Government is involved to a considerable extent in the funding of such programs, and, of course, Government regulations and policies clearly influence international activities of the private sector.

The international activities of the Government relating to science. and technology are now so extensive and varied that almost no department or agency is unaffected. In the last 20 years, new technical agencies have become major components of Government, deeply involved in the planning and initiation of both domestic and international programs of fundamental significance. The decision of President Carter to propose a Foundation for International Technological Cooperation demonstrates the importance which this administration assigns to science and technology as elements of international relations and has been fully taken into account in preparing this report.

With the widening circle of agencies involved and the growing complexity of interaction, it is not surprising that new problems have arisen. The requirements of public policy and of efficient use of our resources demand that serious efforts be undertaken to assure a reasonable consistency between our foreign policy and other national goals. Indeed it would be a mistake to draw a sharp distinction between domestic and international aspects of science and technology. The National Science, Engineering and Technology Policy and Priorities Act of 1976 lists as the first priority goal for U.S. science and technology,

"fostering leadership in the quest for international peace and progress toward human freedom, dignity and well-being by enlarging the contributions of American scientists and engineers to the knowledge of man and his universe, by making discoveries of basic science widely available at home and abroad, and by utilizing technology in support of United States national and foreign policy goals."

This statutory language serves as a reminder that domestic and foreign policy considerations are closely entwined. Domestic agricultural research, for example, can crucially affect the world's food supply as well as the U.S. balance of payments and the prosperity of American farmers. Energy research is critical to world stability and U.S. security as fossil fuel reserves become increasingly inadequate to cover growing demands. Space technologies have provided spinoff benefits in many fields, some of them with strong foreign as well as domestic policy implications.

Recognition of the importance of science and technology to foreign policy is not new to U.S. foreign policymakers. Both congressional

A catalogue of such activities is in appendix D. The activities are carried out underGovernment bilateral or multilateral agreements or, in many cases, under agreements between U.S. agencies and their foreign counterparts. A partial listing of such agreements, showing their enormous diversity and scope, is in appendix E.

and executive branch concerns have generated a series of studies of the relationship between science, technology, and foreign policy, of which the Berkner Report commissioned in 1949 was the precursor. Among more recent studies, those by the Murphy Commission, by Dr. T. Keith Glennan, and the report prepared by Dr. Franklin Huddle of the Congressional Research Service for Chairman Zablocki of the House Committee on Foreign Affairs are indispensable for understanding the issues raised in this report. Recently an interagency panel studied the nature and extent of U.S. bilateral relationships in science and technology and how they are initiated and carried out. The findings of this panel have influenced significantly the content of this title V report and it is our hope that they can soon be made available to Congress and the public.

The Department of State views this report as only the first step in what we intend to be a continuing process of improving our ability to apply national resources in science and technology in support of our foreign policy goals. There are several complex issues raised by title V, such as the establishment of more definite criteria for evaluating international scientific and technological activities which require further interagency study. The Department intends to submit a followup report to the Congress in about 6 to 9 months-June to September 1979 in which these and similar issues will be dealt with more fully and a status report provided on the actions and recommendations set forth in this report. Plans for the preparation of the first Presidential report to the Congress, stipulated in section 503 (b) of the act will also be described in the followup report.



In section 501 (4) of Public Law 95-426, Congress has stated that, "the effective use of science and technology in international relations for the mutual benefit of all countries requires the development and use of the skills and methods of long-range planning.' More broadly, Public Law 94-282, the National Science and Technology Policy, Organization and Priorities Act of 1976 calls for the maintenance of,

"central policy planning elements in the executive branch which assist Federal agencies in . . . anticipating future concerns to which science and technology can contribute and devising strategies for the conduct of science and technology for such purposes." It is clear that Congress intends long-range planning to be an essential component of policy formulation relating to the interaction of science, technology, and foreign policy.

Two other sections of Public Law 95-426 are relevant to long-range planning, and, indeed, to the entire range of issues dealt with in this report. In section 502 (1) the Congress has stated that,

"technological opportunities, impacts, changes, and threats should be anticipated and assessed, and appropriate measures should be implemented to influence such technological developments in ways beneficial to the United States and other countries."

This language underlines the intimate relationship between planning and evaluation. While the latter must equally be a part of ongoing operations, it is discussed principally in this section of the report. Finally, section 501 (3) of the statute states that:

"... in the formulation, implementation and evaluation of the technological aspects of U.S. foreign policy, the U.S. Government should seek out and consult with both public and private industrial, academic, and research institutions concerned with modern technology."

While the primary focus of this report is on activities carried out within the executive branch, the Department of State appreciates. the fundamental role played by the private sector in furthering the interests of the Nation in international science and technology and, as noted below, intends to devote increased attention to exchanges of information and ideas with the nongovernmental scientific and technological community.


Science and technology are now widely accepted as significant components of U.S. diplomacy. They are, for example, important elements of the North/South dialog, East/West relations and relations with our allies. It is also recognized that systematic, long-term planning is essential if we are to insure that the international activities of the U.S. Government are conducted in a manner which insures maximum benefit to the United States and other countries.

Technical agency long-range planning

It is difficult to characterize the nature and level of long-term planning activities in international science and technology in view of the diversity of the various agencies which play a role in this area. In general, domestic agencies do not have staffs uniquely devoted to this aspect of long-range planning; rather they integrate the activities of program planners and project managers and international affairs staff personnel for long-term planning purposes. For example, NASA in its overall planning activities develops 5-year plans in each of its program offices. In this connection, NASA's International Affairs Division works closely with the key officials in each of the program offices to provide advice on the international implications of proposed projects and to identify opportunities for international cooperation.

Substantial research and analysis is undertaken by agencies and their contractors and consultants which bears on longer term U.S. objectives in the foreign policy area to which science and technology are relevant; however, it tends to be fragmentary and ad hoc. It generally is not undertaken in a framework designed to deal explicitly with longer range foreign policy problems.

Interagency planning

Recent interagency examination of critical problem areas, such as those carried out under the aegis of the National Security Council and the Office of Science and Technology Policy-for example, technology

5 Inless stipulated otherwise, whenever "international activities", or "agencies" are mentioned in this report, they are understood to be those of the U.S. Government.

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.

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