U.S.-USSR AGREEMENT ON BASIC SCIENTIFIC RESEARCH

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP90G01353R000400440001-3
• Release Decision: RIPPUB
• Original Classification: S
• Document Page Count: 50
• Document Creation Date: December 23, 2016
• Document Release Date: January 22, 2013
• Sequence Number: 1
• Publication Date: December 23, 1988
• Content Type: MEMO

STAT
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CIA-RDP90G01353R000400440001-3
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CIA-RDP90G01353R000400440001-3
Declassified in Part - Sanitized Copy Approved for Release 2013/10/24: CIA-RDP90G01353R000400440001-3
FILE CROSS REFERENCE SHEET:
DOCUMENT DATE: 2 Sept '89
DOCUMENT NUMBER: ER 28-32/1 89
ATTACHMENTS:
TO
FROM :
SUBJECT:
STAT
ES/NSC G. Philip Hughes
Procedures to Govern U.S. Government Participation in Science-Related
Activities with Warsaw Pact Countries
ORIGINAL FILED: L-108-IR (NSD 10)
CROSS REFERENCES:. B-600- IR
EE C
ff
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ER 88-3536X/S
STAT
,O(Execcitiye Secretary
27 Dec '88
Date
"IA1 7 (10-81)
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CONF ENTIAL 8805
THE WHITE HOUSE
WAS HI NGTON
December 23, 1988
MEMORANDUM FOR THE HONORABLE GEORGE P. SHULTZ
The Secretary of State
THE HONORABLE FRANK C. CARLUCCI
The Secretary of Defense
THE HONORABLE RICHARD J. THORNBURGH
The Attorney General
THE HONORABLE DONALD P. HODEL
The Secretary of the Interior
THE HONORABLE C. WILLIAM VERITY
The Secretary of Commerce
THE HONORABLE JOSEPH R. WRIGHT
The Director, Office of Management and Budget
vrTHE HONORABLE WILLIAM H. WEBSTER
The Director of Central Intelligence
THE HONORABLE CLAYTON YEUTTER
The U.S. Trade Representative
THE HONORABLE WILLIAM R. GRAHAM, JR.
Science Advisor to the President
THE HONORABLE ERICH BLOCH
The Director, National Science Foundation
SUBJECT: U.S.-USSR Agreement on Basic Scientific Research (U)
The President has determined that the renegotiated text of
Article II of the Framework Agreement of the U.S.-USSR Agreement
on Basic Scientific Research, the article containing the
definition of "basic scientific research", fulfills U.S.
objectives. (C)
In light of this decision and interagency approval of the
renegotiated texts of Articles IV-VI, as interpreted by the NSC
directive of December 16, 1988 (no. 8716), the State Department
is authorized to transmit U.S. Government approval of the
Framework Agreement to the Soviet Government. The State
Department is further requested to make arrangements with the
Soviets for the negotiation and completion of the two MOUs at the
earliest possible time. (C)
FOR THE PRESIDENT:
CONFID
De assify: OADR
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Colin L. Powell
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RogyiNG. AND RECORD SHEET ';'w
ImEct topmwo U.S.-USSR Agreement on Basic Scientific Research (U)
Assistant National Intelligence
Officer for Science & Technolo
TO (Officer designation, room number, and
building)
DATE
naive?
FORWARDED
EXTENSION
NO.
le 35 3 6-19 YY
DATE
19 December 1988
OFFICER'S
INMALS
COMMENTS (Number each comment to show from whom
to whom. Draw a tine across column after each comment.)
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CONFIDENTIAL
The essence of this response has
been coordinated with OSWR, SOVA
and TTIC.
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STAT
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W--KrENTIAL
Central Intelligence Agency
Wash ington. D. C.20505
ER 3536/4 88
0 DEC 1988,
MEMORANDUM FOR: Mr. Paul Schott Stevens
Executive Secretary, National Security Council
FROM:
Executive Secretary, Central Intelligence Agency
SUBJECT: U.S.-USSR Agreement on Basic Scientific Research (U)
REFERENCE: Memorandum from Executive Secretary, National Security
Council, dated 16 December 1988, Same Subject
This is in response to the reference, which requested Agency comments on
the recently re-negotiated text of the framework agreement on the above
subject. We believe that, although the negotiated definition differs from our
original proposal, the negotiated definition adequately addresses US concerns
that cooperation is to be limited to basic scientific research and will not
include applied scientific research. The term "applied technologies" is in
our judgment a much broader term than the original "industrial processes" and,
therefore, will be more protective of US interests. Thus we believe that the
negotiated definition is actually an improvement over the original proposal.
A
Executive Secretary
25X1
25X1
25X1
CONPIDENTIAL
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4:-(1
, CONF [DENT IAL
SUBJECT: U.S.-USSR Agreement on Basic Scientific Research
Distribution:
Orig - Addressee
1 - D/OSWR
1 - D/SOVA
1 - ES/TTIC
1 - NIO/S&T
25X1
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ER 88-3536X/3
3637 (10-81)
STAT_
Executive Secretary
19 Dec '88
Date
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t it ER 88-3536X/3
CONF aENTIAL
NATIONALSECURTYCOUNCL
WASHINGTON, D.C. 20506
December 16, 1988
MEMORANDUM FOR MR. MELVYN LEVITSKY
Executive Secretary
Department of State
SUBJECT:
COL GEORGE P. COLE, JR.
Executive Secretary
Department of Defense
MR. ROBIN ROSS
Chief of Staff
Department of Justice
MS. RAMONA BURCH
Executive Secretary
Department of Interior
MR. DONALD A. DANNER
Chief of Staff
Department of Commerce
8716
MR. L. WAYNE ARNY
Associate Director for National Security and
International Affairs
Office of Management and Budget
CONFIDE AL
Executive Secretary
Central Intelligence Agency
MR. JAMES FRIERSON
Chief of Staff
U.S. Trade Representative
MR. JOSEPH DESUTTER
Executive Director
Office of Science and Technology Policy
DR. JOHN BORIGHT
Executive Secretary
National Science Foundation
DR. DALLAS PECK
Director
United States Geological Survey
U.S.-USSR Agreement on Basic Scientific Researcr?..,
(U)
Decssify on: OADR
25X1
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PM
" l'aLm
CONFIDENTIAL
-2-
??-
You are requested to provide to the Executive Secretary of the
National Security Council by 12:00 noon, Tuesday, December 20
your agency's position on the recently renegotiated texts of
Articles II-VI of the Framework Agreement of the U.S.-USSR
Agreement on Basic Scientific Research. The key question to be
answered is: is the text, as renegotiated, to be accepted and
signed? Any agency seeking to go back to the Soviets should
propose specific language changes and provide the rationale for
those changes. (C)
In Article V of the text, the term "official approval? means
"approval by the United States Government". Also in Article V,
the term "non-government agencies" means "the National Academy of
Sciences, the Smithsonian Institution, and other non-profit
scientific institutions." (U)
?4,14ekoit
Paul Schott Stevens
Executive Secretary
Attachment
Tab A - Text of New Articles II-VI
CONFIDENTIAL
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ARTICLE II
Taking into account that fundamental and applied research involve
a continuum of scientific activity, for the purposes of this
Agreement, "basic scientific research" means theoretical or
experimental research having as its objective the acquisition of
fuller knowledge or understanding of the elemental principles of
phenomena and observable facts; such research extends the
knowledge base from which many societal benefits ultimately flow,
and, in the framework of this Agreement, such research is not
designed for the transformation of new discoveries into applied
technologies. The foregoing definition does not preclude
subsequent application of knowledge or understanding gained from
basic scientific research conducted under this Agreement, subject
to the extent of rights under Annex II.
ARTICLE IV
Scientific organizations of the two Parties will conclude
subsidiary Memoranda of Understanding (hereinafter referred to as
"MOUs") in order to carry out the operational implementation of
this Agreement. Consideration of MOUs shall be initiated upon
agreement of the Parties, acting through their Executive Agents
identified in Annex I, which is an integral part of this
Agreement.
ARTICLE V
Cooperative activities in the field of basic scientific research
under this Agreement will be subject to official approval in each
country, and implemented, in accordance with their respective
international obligations, national laws, regulations and
procedures. Such cooperation will be governed by the applicable
MOUs. Within this framework:
such cooperation may include the participation of
scientific institutions, government and nongovernment
agencies, higher educational institutions, and
individual scientists, specialists and researchers
(hereinafter referred to as "partners");
partners may carry out such cooperation in approved
areas through direct contacts and arrangements.
In order to facilitate implementation of this Agreement, partners
of one country intending to visit partners of the other country
for purposes of developing or implementing cooperation under this
Agreement are to so indicate in applying for permission to enter.
ARTICLE VI
Cooperation under this Agreement shall be conducted within the
limits of available funds. Financial arrangements for
cooperation will be set forth in the MOUs.
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CONFI
THE WHITE HOUSE
WASHINGTON
September 21, 1988
MEMORANDUM FOR THE HONORABLE GEORGE P. SHULTZ
The Secretary of State
THE HONORABLE FRANK C. CARLUCCI
The Secretary of Defense
THE HONORABLE RICHARD J. THORNBURGH
The Attorney General
THE HONORABLE DONALD P. HODEL
The Secretary of the Interior
THE HONORABLE C. WILLIAM VERITY
The Secretary of Commerce
6713
THE HONORABLE JAMES C. MILLER III
The Director, Office of Management and Budget
THE HONORABLE WILLIAM H. WEBSTER
The Director of Central Intelligency
THE HONORABLE CLAYTON YEUTTER
The U.S. Trade Representative
THE HONORABLE WILLIAM R. GRAHAM, JR.
Science Advisor to the President
THE HONORABLE ERICH BLOCH
The Director, National Science Foundation
SUBJECT: U.S.-USSR Agreement on Basic Scientific Research (U)
The President has determined that it is in the best interests of
the United States that we go forward with the U.S.-USSR Agreement
on Basic Scientific Research. (U)
Accordingly, we will present a U.S. proposal to Foreign Minister
Shevardnadze during his visit to Washington September 22-123 on
Article-IV and on the handling of the definition of basic
scientific research. We will ask for the Soviet response as soon
as possible with an eye to resuming talks in October or November.
Our overall objective will be to finish these negotiations by
the end of this year. (C)
CO IAL
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CONFIDENTIAL -2-
ARTICLE IV. We will propose to Foreign Minister Shevardnadze
that the following text be substituted for the text of Article IV
that was initialled on May 13:
"Cooperation in the field of basic scientific research under
this agreement will be governed by the applicable MOUs and
subject to the approval of each Party in accordance with its
international obligations, national laws, regulations and
procedures. Within this framework:
such cooperation may include the participation of
government agencies, scientific institutions, higher
educational institutions, and individual scientists,
specialists, and researchers, hereinafter referred
to as partners;
partners may carry out such cooperation in approved
areas through direct contacts and arrangements.
In order to facilitate the workings of this agreement,
partners or potential partners of one country intending to
visit those of the other country for purposes of cooperation
under this Agreement are to so indicate in applying for
permission to enter." (U)
So that it is clear, the U.S. Government will not be seeking to
control initial contacts or communications between scientists
when they first meet and discuss whether or not to engage in
joint work. The controls of this agreement apply when
scientists, having initially formulated their project proposals,
bring those proposals forward to the two governments for funding
and approval. The laws and regulations of the United States,
including export control laws and regulations, will, of course,
apply at all times. It remains our objective that U.S.
scientists not have to go through the Soviet bureaucracy in order
to make initial contact with their Soviet counterparts. (U)
DEFINITION. We will propose to Foreign Minister Shevardnadze
that the following definition of "basic scientific research" be
placed in the text of the Framework Agreement and all MOUs under
it.
Article Number. For the purposes of this agreement,'"basic
scientific research" means research that has as its
objective gaining fuller knowledge or understanding of the
fundamental aspects of phenomena and observable facts
without specific applications toward processes or
products in mind. As such, basic scientific research,
as distinct from applied research, is not directly or
significantly related to design, production, or
utilization in industrial processes.
CONFIDENTIAL
CONFIDENTIAL
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CONFIDENTIAL -3-
We will also tell the Foreign Minister, and repeat it throughout
the subsequent negotiations, that this definition does not bind
either government to approve any and all projects that meet the
definition. Projects will each be judged on a case-by-case basis
on their merits and some projects that meet the definition may
not be approved. The U.S. delegation will see that this
understanding is a part of the negotiating record and that it is
circulated and understood by all involved agencies. The program
implementing agencies will see that this point is understood
within the U.S. scientific community. (C)
PROCEDURES. The attached Statement of U.S. Government
Interagency Procedures for the Program Implementation of the
U.S.-USSR Agreement on Cooperation in Basic Scientific Research
will be strictly adhered to by all agencies. An unclassified
version of this document will be prepared for use by the program
agencies. (C)
REVIEW OF MOUS. The U.S. delegation, which includes all agencies
that have worked on this agreement, will review the three
subordinate MOUs for conformity with the decisions in this
document prior to the resumption of negotiations with the
Soviets. (C)
FOR THE PRESIDENT:
Colin L. Powell
Attachment
Tab A - Statement of U.S. Government Interagency Procedures
for the Program Implementation of the U.S.-USSR Agreement
on Cooperation in Basic Scientific Research
CONFIDENTIAL
CONFIDENTIAL
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CONFIDENTIAL
STATEMENT OF U.S. GOVERNMENT INTERAGENCY PROCEDURES
FOR PROGRAM IMPLEMENTATION UNDER THE U.S.-USSR AGREEMENT ON
COOPERATION IN BASIC SCIENTIFIC RESEARCH (C)
1. Statement on definition of basic and applied research/
science (U)
Basic and applied research are end members of a continuum of
scientific activities. In the U.S.-USSR Agreement on Basic
Scientific Research, we will focus exclusively on the basic
research/science end of this continuum. (U)
Research is herein defined as systematic study directed toward
fuller scientific knowledge or understanding of the subject
studied. Research is classified as either basic or applied
according to the objectives of the sponsoring agency. (U)
In basic research the objective of the sponsoring agency is to
gain fuller knowledge or understanding of the fundamental aspects
of phenomena and of observable facts without specific
applications toward processes or products in mind. As such,
basic research is not directly or significantly related to
design, production, or utilization in industrial processes. (U)
In applied research the objective of the sponsoring agency is to
gain knowledge or understanding necessary for determining the
means by which a recognized and specific need may be met. (U)
2. New, proposed broad areas of cooperation, major substantive
or administrative changes to the MOU programs (e.g., to
cooperative research, joint seminars and workshops, individual
scientific visits and exchange of scientific data, publications
and information), or additions of other activities, including new
MOUs, under the auspices of the Agreement on Basic Scientific
Research will be submitted for COMEX and interagency prior to
consideration by the U.S.-USSR Joint Commission on Cooperation in
Basic Scientific Research. Additionally, invitations to
scientista-; technical experts, and institutions from third
countries or international organizations shall also be submitted
for COMEX review as appropriate. COMEX and all intereste14
agencies will review all proposals as necessary for their
respective concerns regarding technology security, intellectual
property, budgetary, and other concerns. COMEX and reviewing
agencies will normally be expected to conduct such reviews within
six weeks of the submission of project proposals. (C)
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CONFIDENTIAL 72-
Necessary interagency review shall be coordinated by State and
OSTP under the aegis of the Interagency Coordinating Committee
for U.S.-Soviet Affairs (ICCUSA) which will provide an active
administrative focal point to coordinate interagency monitoring
activity. This coordinating function should include collecting
and prioritizing proposals, projects, and visitors for COMEX and
interagency review. This mechanism for interagency review will
apply in the case of all referenced "interagency review" in
paragraphs 5, 6, and 7. (C)
In the overall interagency review process, unresolved issues
involving technology security may be raised by any interested
agency to the Senior Interagency Group on Technology Transfer
(SIG/TT). Other unresolved issues may also be raised with other
appropriate interagency bodies. The Presidential directive of
March 22, 1988 creates an NSC-chaired Committee on
Science-related Agreements with Warsaw Pact Countries which has
the mandate to conduct senior-level monitoring of the Agreement
on Basic Scientific Research and all such science-related
agreements as necessary. (C)
3. The implementing agencies will notify the U.S. participants
of their obligations and limitations under the framework of the
Agreement on Basic Scientific Research. (U)
4. Under this Agreement, all exports of goods or technical data
must be made in accordance with the Export Administration Act of
1979 as amended (50 U.S.C. app. 2401 et seq.), the Export
Administration Regulations (15 C.F.R. 368-399), the Arms Export
Control Act of 1976 as amended (22 U.S.C. 2778), the
International Traffic in Arms Regillations (22 C.F.R. 120 et
seq.), all other applicable U.S. statutes and implementing
regulations, and all succeeding legislation and regulations. (U)
With respect to technical data governed by the Export
Administration Act of 1979 as amended, the following are exports:
(i) actual shipment or transmission of data in a tangible or
intangible form; (ii) 'visual inspection by foreign nationals of
U.S. origin equipment and facilities; (iii) oral exchanges of
information in the U.S. or abroad; and (iv) the application to
situations abroad of personal knowledge or technical expetrience
acquired in the U.S. Exports of such technical data not
qualifying for export under General License GTDA or GTDR require
a validated export license from the Commerce Department. (U)
CONFIDENTIAL
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CONFIDENTIAL -3-
5. In the NSF-managed portion of the program, we propose an
agreement functioning as follows:
a. NSF and ASUSSR establish a joint list of selected basic
science areas and topics for cooperation. The list would be
subject to annual review and change by mutual agreement.
NSF would submit any new proposed topics for COMEX and
interagency review and assessment prior to discussion with
the ASUSSR. (C)
b. On the U.S. side, NSF issues a program announcement
which offers to consider support of cooperative work in the
defined areas. The categories of support provided by NSF
would be (a) workshops or seminars to define opportunities
for specific cooperative research projects, and (b)
cooperative research projects. (C)
c. U.S. researchers identify their desired Soviet
counterparts in the usual manner, e.g., through review of
the scientific literature, direct contacts, meetings, etc.
NSF guidance will also be available as to Soviet centers of
excellence in targeted fields. U.S. researchers would be
informed that they are encouraged to propose Soviet
counterparts strictly on the basis of competence and that
all qualified Soviet investigators (including, e.g.,
dissidents and refuseniks) will be considered eligible for
participation in the program. (U)
d. Potential U.S. and Soviet research partners would
communicate directly with each other to reach a common
proposal, keeping NSF informed as appropriate. Then the
U.S. and Soviet researchers would submit their proposal to
the appropriate counterpart organization (NSF or ASUSSR).
(U)
e. NSF would assess these proposals for scientific merit
relying on peer review and identify the most promising
proposals. COMEX and all interested executive agencies will
expeditiously review the proposals in parallel for
technology security and export controls, intellectual
property, budgetary, and other concerns, as approprifate.
The resulting recommendations would be discussed by NSF with
the ASUSSR both by telex and at annual meetings of program
managers, and approved proposals highly rated on both sides
would be funded by the two sides. (C)
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CONFIDENTIAL -4-
6. In the USGS managed portion of the program, we propose
agreements functioning as follows:
a. The implementing agents, the USGS in coordination with
the NSF and the ASUSSR and other USSR counterpart agencies,
establish a joint list of priority geoscience research areas
and topics for cooperation. The list would be subject to
annual review by mutual agreement and would be chosen to
reflect USGS, NSF, ASUSSR, and other USSR geoscience agency
mission objectives. The USGS will submit any new proposed
topics for COMEX and interagency review prior to discussion
with USSR representatives. (C)
b. On the U.S. side, the USGS program coordinator would
facilitate communication between USGS and USSR geoscientists
to reach common proposals. The proposals would be reviewed
and evaluated by both sides. COMEX and all interested
executive agencies will expeditiously review the
USGS-approved proposals in parallel for technology security,
intellectual property, budgetary, and other concerns, as
appropriate. Resulting recommendations would be discussed
by USGS and NSF with the ASUSSR or Ministry of Geology, both
by telex and at annual meetings, and approved proposals
highly rated on both sides would be funded. (C)
7. U.S. principal investigators will provide appropriate
reporting on the results of their joint work to the sponsoring
agency, NSF or USGS. NSF and USGS will in turn provide this
information to COMEX and all interested executive agencies for
appropriate review and assessment. These reports should be
written to permit an assessment of science and technology gains
or losses (if any). Reports on completed projects as well as
interim reports on multi-year projects will be made. In
addition, an annual report of project activities under this
agreement will be prepared in conjunction with the annual
meetings of the Joint Commission. ICCUSA will ensure that these
reports are prepared expeditiously and disseminated widely. (C)
8. Soviets visiting the U.S. under this agreement will be
processed under Special Exchange (SPLEX) procedures. A visa
application and the transmitting cable from Moscow will be
received no less than four weeks in advance of the visit lin
normal circumstances. Each application will contain the full
name of the proposed visitor, his or her institutional
affiliation, the names of all prospective U.S. hosts, and the
complete itinerary and program planned for the visit, especially
non-governmental and industrial stops. This will allow for
thorough screening and counterintelligence! intelligence planning.
It will also allow State and Commerce to make notifications
needed to ensure compliance with Soviet Bloc visitor and export
control requirements. (C)
CONFIDENTIAL
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14 SEP 88
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14 SEP 88
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14 SEP 88
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15 5 Los...a 1 5 II L.
CO NTIAL NATIONALSECURTYCOUNCIL 6602
WASHINGTON, D.C. 20506
September 13, 1988
MEMORANDUM FOR MR. MELVYN LEVITSKY
Executive Secretary
Department of State
COL GEORGE P. COLE, JR.
Executive Secretary
Department of Defense
MR. ROBIN ROSS
Chief of Staff
Department of Justice
MS. RAMONA BURCH
Executive Secretary
Department of the Interior
MR. DONALD A. DANNER
Chief of Staff
Department of Commerce
MR. L. WAYNE ARNY
Associate Director for National Security
and International Affairs
Office of Management and Budget
Executive Secretary
Central Intelligence Agency
MR. JAMES FRIERSON
Chief of Staff
U.S. Trade Representative
MR. JONATHAN F. THOMPSON
Executive Director
Office of Science and Technology Policy
DR. JOHN P. BORIGHT
Executive Secretary
National Science Foundation
MR. DALLAS L. PECK
Director
U.S. Geological Survey
CON ENTIAL
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.rAriffElfaL
25X1
25X1
(11
25X1
25X1
25X1
)-600-ir
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? CONFIDENTIAL
CONFIDENTIAL -2-
SUBJECT: U.S.-USSR Agreement on Basic Scientific Research
(U
PROCESS. The Committee on Science-related Agreements with the
Warsaw Pact Countries met on Monday September 12 under the
chairmanship of Ty Cobb, Special Assistant to the President for
National Security Affairs. The Committee proposed the following
process in order to resolve interagency differences on this
agreement:
a) that all agencies should formally respond to this memo by
COB Thursday September 15. Any agency not responding
will be taken as concurring.
b) that issues which remain unresolved at that time be put
to the President for final resolution. (C)
The objective of this process will be to present a unified U.S.
Government position to the Soviets during the talks between tOe
Secretary of State and the Soviet Foreign Minister on September
22-23. (C)
ARTICLE IV. The following text should be substituted for the
May 13 text of Article IV.
"Cooperation in the field of basic scientific research under
this agreement will be governed by the applicable MOUs and
subject to the approval of each Party in accordance with its
international obligations, national laws, regulations and
procedures. Within this framework:
such cooperation may include the participation of
government agencies, scientific institutions, higher
educational institutions, and individual scientists,
specialists, and researchers, hereinafter referred
to as partners;
partners may carry out such cooperation in approved
areas through direct contacts and arrangements.
In order to facilitate the workings of this agreement,
partners or potential partners of one country intending to
visit those of the other country for purposes of cooperation
under this Agreement are to so indicate in applying for
permission to enter." (U)
So that it is clear, the U.S. Government will not be seeking to
control initial contacts or communications between scientists
when they first meet and discuss whether or not to engage in
joint work. The controls of this agreement apply when
CONFIDENTIAL
CONFIDENTIAL
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CONFIDENTIAL -3-
scientists, having initially formulated their project proposals,
bring those proposals forward to the two governments for funding
and approval. The laws and regulations of the United States,
including export control laws and regulations, will, of course,
apply at all times. It remains our objective that U.S.
scientists not have to go through the Soviet bureaucracy in order
to make initial contact with their Soviet counterparts. (C)
EXCHANGE OF LETTERS. The question of the definition should be
handled by an exchange of letters between the two governments.
(C)
The U.S.-to-USSR letter should read:
"With reference to the Agreement between the Government of
the United States of America and the Government of the Union
of Soviet Socialist Republics on Cooperation in Basic
Scientific Research, this is to confirm that the U.S. side
will rely on the following definition of "basic scientific
research" in determining the areas or topics in which it
will approve cooperation.
"Basic scientific research" has as its objective
gaining fuller knowledge or understanding of the
fundamental aspects of phenomena and observable facts
without specific applications toward processes or
products in mind. As such, basic scientific research,
as distinct from applied research, is not directly or
significantly related to design, production, or
utilization in industrial processes.
Cooperation under this agreement will not be in areas of
applied scientific research.
This letter will constitute an integral part of the
above referenced agreement." (U)
The USSR-to-U.S. letter should read:
"This letter is in response to your letter of (date)
concerning the Agreement between the Government of the
United States of America and the Government of the Union of
Soviet Socialist Republics on Cooperation in Basic
Scientific Research. The Soviet side accepts the definition
proposed by the United States Government. In addition, the
Soviet side agrees that cooperation under the Agreement will
not be in areas of applied scientific research. This letter
will also constitute an integral part of the above
referenced agreement." (U)
CONFIDENTIAL
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CONFIDENTIAL -4-
PROCEDURES. The Committee proposes that the NSC issue a
Statement of U.S. Government Interagency Procedures for Program
Implementation under the U.S.-USSR Agreement on Cooperation in
Basic Scientific Research. Such a document was initially
prepared in 1987-88 by the OSTP-led interagency working group
that prepared all documents for these negotiations. It has
been amended in light of intelligence community proposals made in
September 1988. Attached you will find a draft directive from
the NSC and a draft Statement of Procedures. (C)
REVIEW OF MOUs. The three subordinate MOUs, which have already
been given to the Soviets in March and April of 1988, will be
reviewed by the U.S. delegation after decisions at this juncture
are made and before MOU negotiations with the Soviets take place.
(C)
eltolst .
Paul Schott Stevens
Executive Secretary
Attachment
Tab A Draft NSC Directive and draft Statement of Procedures
CONFIDENTIAL
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CONFII.1 IAL XXXX
NATIONALSECURTYCOUNCL
WASHINGTON, D.C. 20506
MEMORANDUM FOR EXECUTIVE SECRETARIES
SUBJECT:
Statement of U.S. Government Interagency
Procedures for Program Implementation of the
U.S.-Soviet Agreement on Cooperation in
Basic Scientific Research (C)
The attached Statement of U.S. Government Interagency Procedures
was prepared in 1987 and early 1988 by the OSTP-chaired
interagency working group which handled preparations for the
negotiations of the U.S.-USSR Agreement on Basic Scientific
Research. (C)
The document was amended in September 1988 based on proposals
made by the intelligence community. The attached statement of
the procedures conforms to, and should be read in conjunction
with, the Presidential directive of March 22, 1988 entitled
"Monitoring of Science-related Agreements with Warsaw Pact
Countries." (C)
The Statement of U.S. Government Interagency Procedures should be
strictly adhered to by all agencies in the implementation of the
U.S.-Soviet Agreement on Cooperation in Basic Scientific
Research. (C)
Paul Schott Stevens
Executive Secretary
Attachment
Tab A - Statement of U.S. Government Interagency Procedures for
Program Implementation under the U.S.-USSR Agreement on
Basic Scientific Research
CO DENTIAL
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CONFIDENTIAL
STATEMENT OF U.S. GOVERNMENT INTERAGENCY PROCEDURES
FOR PROGRAM IMPLEMENTATION UNDER THE U.S.-USSR AGREEMENT ON
COOPERATION IN BASIC SCIENTIFIC RESEARCH (C)
1. Statement on definition of basic and applied research/
science (U)
Basic and applied research are end members of a continuum of
scientific activities. In the U.S.-USSR Agreement on Basic
Scientific Research, we will focus exclusively on the basic
research/science end of this continuum. (U)
Research is herein defined as systematic study directed toward
fuller scientific knowledge or understanding of the subject
studied. Research is classified as either basic or applied
according to the objectives of the sponsoring agency. (U)
In basic research the objective of the sponsoring agency is to
gain fuller knowledge or understanding of the fundamental asp6cts
of phenomena and of observable facts without specific
applications toward processes or products in mind. As such,
basic research is not directly or significantly related to
design, production, or utilization in industrial processes. (U)
In applied research the objective of the sponsoring agency is to
gain knowledge or understanding necessary for determining the
means by which a recognized and specific need may be met. (U)
2. New, proposed broad areas of cooperation, major substantive
or administrative changes to the MOU programs (e.g., to
cooperative research, joint seminars and workshops, individual
scientific visits and exchange of scientific data, publications
and information), or additions of other activities, including new
MOUs, under the auspices of the Agreement on Basic Scientific
Research will be submitted for COMEX and interagency review prior
to consideration by the U.S.-USSR Joint Commission on Cooperation
in Basic Scientific Research. Additionally, invitations to
scientists, technical experts, and institutions from third
countries or international organizations shall also be submitted
for COMEX review as appropriate. COMEX and all interested
agencies will review all proposals as necessary for their
respective concerns regarding technology security, intellectual
property, budgetary, and other concerns. COMEX and the
intelligence community will normally be expected to conduct such
reviews within six weeks of the submission of project proposals.
(C)
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CONFIDENTIAL -2-
Necessary interagency review shall be coordinated by State and
OSTP under the aegis of the Interagency Coordinating Committee
for U.S.-Soviet Affairs (ICCUSA) Executive Secretaries
Subcommittee. ICCUSA will provide an active administrative focal
point to coordinate interagency monitoring activity. This
coordinating function should include collecting and prioritizing
proposals, projects, and visitors for COMEX and intelligence
community review. This mechanism for interagency review will
apply in the case of all referenced "interagency review" in
paragraphs 5, 6, and 7. (C)
In the overall interagency review process, unresolved issues
involving technology security may be raised by any interested
agency to the Senior Interagency Group on Technology Transfer
(SIG/TT). Other unresolved issues may also be raised with other
appropriate interagency bodies. The Presidential directive of
March 22, 1988 creates an NSC-chaired Committee on
Science-related Agreements with Warsaw Pact Countries which has
the mandate to conduct senior-level monitoring of the Agreement
on Basic Scientific Research and all such science-related
agreements as necessary. (C)
3. The implementing agencies will notify the cooperating agents
of their obligations and limitations under the framework of the
Agreement on Basic Scientific Research. (U)
4. Under this Agreement, all exports of goods or technical data
must be made in accordance with the Export Administration Act of
1979 as amended (50 U.S.C. app. 2401 et seq.), the Export
Administration Regulations (15 C.F.R. 368-399), the Arms Export
Control Act of 1976 as amended (22 U.S.C. 2778), the
International Traffic in Arms Regulations (22 C.F.R. 120 et
seq.), all other applicable U.S. statutes and implementing
regulations, and all succeeding legislation and regulations. (U)
With respect to technical data governed by the Export
Administration Act of 1979 as amended, the following are exports:
(i) actual shipment or transmission of data in a tangible or
intangible form; (ii) visual inspection by foreign nationals of
U.S. origin equipment and facilities; (iii) oral exchanges of
information in the U.S. or abroad; and (iv) the application to
situations abroad of personal knowledge pr technical experience
acquired in the U.S. Exports of such technical data not
qualifying for export under General License GTDA or GTDR require
a validated export license from the Commerce Department. (U)
CONFIDENTIAL
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CONFIDENTIAL -3-
5. In the NSF-managed portion of the program, we propose an
agreement functioning as follows:
a. NSF and ASUSSR establish a joint list of selected basic
science areas and topics for cooperation. The list would be
subject to annual review and change by mutual agreement.
NSF would submit any new proposed topics for COMEX and
interagency review and assessment prior to discussion with
the ASUSSR. (C)
b. On the U.S. side, NSF issues a program announcement
which offers to consider support of cooperative work in the
defined areas. The categories of support provided by NSF
would be (a) workshops or seminars to define opportunities
for specific cooperative research projects, and (b)
cooperative research projects. (C)
c. U.S. researchers identify their desired Soviet
counterparts in the usual manner, e.g., through review of
the scientific literature, direct contacts, meetings, eta.
NSF guidance will also be available as to Soviet centers of
excellence in targeted fields. U.S. researchers would be
informed that they are encouraged to propose Soviet
counterparts strictly on the basis of competence and that
all qualified Soviet investigators (including, e.g.,
dissidents and refuseniks) will be considered eligible for
participation in the program. (U)
d. Potential U.S. and Soviet research partners would
communicate directly with each other to reach a common
proposal, keeping NSF informed as appropriate. Then the
U.S. and Soviet researchers would submit their proposal to
the appropriate counterpart organization (NSF or ASUSSR).
(U)
e. NSF would assess these proposals for scientific merit
relying on peer review and identify the most promising
proposals. COMEX and all interested executive agencies will
expeditiously review the proposals in parallel for
technology security and export controls, intellectual
property, budgetary, and other concerns, as appropriate.
The resulting recommendations would. be discussed by NSF with
the ASUSSR both by telex and at annual meetings of program
managers, and approved proposals highly rated on both sides
would be funded by the two sides. (C)
CONFIDENTIAL
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CONFIDENTIAL -4-
6. In the USGS managed portion of the program, we propose
agreements functioning as follows:
a. The implementing agents, the USGS in coordination with
the NSF and the ASUSSR and other USSR counterpart agencies,
establish a joint list of priority geoscience research areas
and topics for cooperation. The list would be subject to
annual review by mutual agreement and would be chosen to
reflect USGS, NSF, ASUSSR, and other USSR geoscience agency
mission objectives. The USGS will submit any new proposed
topics for COMEX and interagency review prior to discussion
with USSR representatives. (C)
b. On the U.S. side, the USGS program coordinator would
facilitate communication between USGS and USSR geoscientists
to reach common proposals. The proposals would be reviewed
and evaluated by both sides. COMEX and all interested
executive agencies will expeditiously review the
USGS-approved proposals in parallel for technology security,
intellectual property, budgetary, and other concerns, as
appropriate. Resulting recommendations would be discussdd
by USGS and NSF with the ASUSSR or Ministry of Geology, both
by telex and at annual meetings, and approved proposals
highly rated on both sides would be funded. (C)
7. U.S. principal investigators will provide appropriate
reporting on the results of their joint work to the sponsoring
agency, NSF or USGS. NSF and USGS will in turn provide this
information to COMEX and all interested executive agencies for
appropriate review and assessment. These reports should be
written to permit an assessment of technology gains or losses (if
any). Reports on completed projects as well as interim reports
on multi-year projects will be made. In addition, an annual
report of project activities under this agreement will be
prepared in conjunction with the meeting of the annual meetings
of the Joint Commission. ICCUSA will ensure that these reports
are prepared expeditiously and disseminated widely. (C)
8. Soviets visiting the U.S. under this agreement will be
processed under Special Exchange (SPLEX) procedures. A visa
application and the transmitting cable from Moscow will be
received no less than four weeks in advance of the visit in
normal circumstances. Each application will contain the full
name of the proposed visitor, his or her institutional
affiliation, the names of all prospective U.S. hosts, and the
complete itinerary and program planned for the visit, especially
non-governmental and industrial stops. This will allow for
thorough screening and counterintelligence/intelligence planning.
It will also allow State and Commerce to make notifications
needed to ensure compliance with Soviet Bloc visitor and export
control requirements. (C)
CONFIDENTIAL
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NATIONALSECURTYCOUNCL
WASHINGTON, D.C. 20506
MEMORANDUM FOR EXECUTIVE SECRETARIES
SUBJECT:
XXXX
Statement of U.S. Government Interagency
Procedures for Program Implementation of the
U.S.-Soviet Agreement on Cooperation in
Basic Scientific Research (C)
The attached Statement of U.S. Government Interagency Procedures
was prepared in 1987 and early 1988 by the OSTP-chaired
interagency working group which handled preparations for the
negotiations of the U.S.-USSR Agreement on Basic Scientific
Research. (C)
The document was amended in September 1988 based on proposals
made by the intelligence community. The attached statement of
the procedures conforms to, and should be read in conjunction
with, the Presidential directive of March 22, 1988 entitled
"Monitoring of Science-related Agreements with Warsaw Pact
Countries." (C)
The Statement of U.S. Government Interagency Procedures should be
strictly adhered to by all agencies in the implementation of the
U.S.-Soviet Agreement on Cooperation in Basic Scientific
Research. (C)
Paul Schott Stevens
Executive Secretary
Attachment
Tab A - Statement of U.S. Government Interagency Procedures for
Program Implementation under the U.S.-USSR Agreement on
Basic Scientific Research
CONFIDE
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,
The Director of Central Intelligence
Washington, D.C. 20505
National Intelligence Council
NIC #03044
12 September 198?1
MEMORANDUM FOR: Director of Central Intelligence
FROM: Julian C. Nall
National Intelligence Officer for Science and Technology
SUBJECT: The US-USSR Basic Science Agreement
1. On your behalf, the Technology Transfer Intelligence Committee, the
Scientific and Technical Intelligence Committee and I have prepared the
attached memorandum to give Intelligence Community views about the US-USSR
Basic Science Agreement. The memorandum will be presented by me as the
Intelligence Community view on 12 September at a meeting chaired by Ty Cobb,
Special Assistant to the President for National Security Affairs.
2. You will note from the memorandum that we make it clear that we give
our views about the intelligence implications of the matter and are not
addressing policy issues.
Attachment:
As stated
cc: DDI
C/NIC
?
. Julian C. Nall
National Intelligence Officer for
Science and Technology
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The Director of Central Intelligence
Washington. D.C. 20505
National Intelligence Council
09 September 1988
MEMORANDUM FOR: William Graham
Director, OSTP
Frederick M. Bernthal
Assistant Secretary of State for OES
FROM: Julian C. Nall
National Intelligence Officer for Science and Technology
SUBJECT:
Chairman
Technology Transfer Intelligence Committee
Chairman
Scientific and Technical Intelligence Committee
Intelligence Community Views of Procedures for Review and
Implementation of Projects under the US-USSR Basic
Science Agreement
1. An Intelligence Community working group has reviewed the language in
Article IV and the implementing procedures. We believe the procedures
drafted for the agreement would be enhanced if the recommendations given in
paragraph 5 below are included. These additions would assist the
Intelligence Community in carrying out its review. responsibilities
3. The proposed MOUs would enable us to carry out our
responsibilities. Here again, a suitable reference to national procedures
would be helpful to emphasize to the Soviets that the US has a review and
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approval process that must be carried out. The overall effect of the MOUs
and the annexes is positive in terms of prospects for adequate monitoring.
In particular, the time frames specified in the MOUs for the development of
cooperative activities are sufficient for the Intelligence Community to
conduct needed intelligence reviews and assessments. Most important,
however, the scientific areas and topics listed have been thoroughly
reviewed by the Intelligence Community. In our judgment, projects developed
in accordance with this list would pose a minimal risk of undesirable
transfers of technology.
4. The procedures for program implementation also would enable us to do
our job. Specific projects initiated under controlled conditions (such as
NSF-sponsored seminars and workshops) in previously-sanitized scientific
areas (per the MOUs) will be tabled by the prospective US and Soviet
researchers, reviewed for scientific merit (e.g., NSF peer rejew), provided
to the Intelligence Community for a technology transfer review, and only
then approved for bilateral implementation. With the incorporation of some
additional considerations discussed below, these procedures should limit
unwanted transfers of technology.
5. We recommend a few specific procedural changes that would enhance
the US ability to limit technology losses:
o Review Period We need a full six weeks to conduct a thorough review
of new proposals for cooperation.
o Visitor Control Soviets visiting the US under this agreement should
be processed under Special Exchange (SPLEX) procedures. This means that
the visa application and the transmitting cable from Moscow should be
received a full four weeks in advance of the visit. Each application
should contain the full name of the proposed visitor, the institute
affiliation, the prospective US hosts, and the complete itinerary and
program planned for the visit (especially non-governmental and
industrial stops). This will allow us to screen the visitors and to
conduct more complete reviews, as necessary.
o Administrative support To carry out its role in the process of
monitoring S&T agreements with tne Soviet Bloc, the State-chaired
Interagency Coordinating Committee on US-Soviet Affairs (ICCUSA) should
provide an active administrative focal point to coordinate interagency
monitoring activity. This coordinating function should include
collecting and--most important--prioritizing proposals, projects, and
visitors for intelligence community review. In addition, the focal
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point should have sufficient knowledge and standing to determine what
requires an intelligence community technology transfer assessment and
what does not. In certain fields, such as medicine and agriculture,
much activity falls outside the areas of technology security concern.
o Full After-Action Reports Project activity should be fully
documented by the US participants to permit an assessment of technology
gains versus suspected losses, if any. Reports on completed
projects--or interim reports on multi-year projects--are particularly
important in this regard. In addition, an annual wrap-up of project
activities under the basic sciences agreement should be prepared,
perhaps in conjunction with preparations for the yearly meeting of the
Joint Commission under the basic sciences framework agreement. The
ICCUSA focal point should ensure that these reports are prepared
expeditiously and disseminated widely.
.?/?- k
Julian C. Nall
NativAl Intelligence Officer for
Science and Technology
-..?????"7
Technology Transfer Intelligence Committee
Scientific & Technical Intelligence Committee
'.SECRET
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STAT
Exec five Secretary
8 Sep 88
Date
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: 35
MESSAGE NO.
FROM PAUL S.. STEVENS
(NAME)
?
THE WHITE HOUSE
Er
1 CLASSIFICATION CONFIDENTIAL
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GEORGE COLE, JR. EXEC SEC
DONALD DANNER
CHIEF OF STAFF
EXEC SEC
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VIA LDX
N11NAL SECURITY COUNCIL
CONF ENTIAL
6432
WASHINGTON. D.C. 20506
September 8, 1988
MEMORANDUM FOR MR. MELVYN LEVITSKY
Executive Secretary
Department of State
tiTIAL
COL GEORGE P. COLE, JRi
Executive Secretary
Department of Defense
MR. ROBIN ROSS
Chief of Staff
Department of Justice
MS. RAMONA BURCH
Executive Secretary
Department of the Interior
MR. DONALD A. DANNER
Chief of Staff
Department of Commerce
MR. L. WAYNE ARNY
Associate Director for National Security
and International Affairs
Office 01 Management and Budget
Executive Secretary
Central Intelligence Agency
MR. JAMES FRIERSON
Chief of Staff
U.S. Trade Representative
MR. JONATHAN F. THOMPSON
Executive Director
Office of Science and Technology Policy
DR. JOHN P. BORIGHT
Executive Secretary
National Science Foundation
MR. DALLAS L. PECK
Director
U.S. Geological Survey
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UVIlI IULIl I fru_
A 'It
CONFIDENTIAL -2-
SUBJECT:
Meeting -)f the Committee on Science-related
Agreements with Warsaw Pact Countries (C)
1
On March 22, 1988, an NSC-chaired senior-level committee was
created at the President's direction! to engage in oversight of
science-related agreements with Warsaw Pact countries. This
committee will meet on the topic of the U.S.-USSR Basic Sciences
Agreement on Monday, September 12, at 1:30 p.m. in Room 476 of
the Old Executive Office Building. The meeting will be chaired
by Ty Cobb, Special Assistant to the President for National
Security Affairs. (C)
Attendance will be principal plus one. Please phone names and
birth dates of attendees to Cynthia Sweeney on 395-5650 by
5:00 p.m., Friday, September 9. (U)
CONF/DENTIAL
Paul Schott Stevens
Executive Secretary
CONFIDENTIAL
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TO: ra AEA. Li 1 1 V Ira Onl-,t(E., 1 ARIA 1
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Remarks
STAT
Executive Secretary
14 Mar 88
Date
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I? I NMI
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mESSAGE No. 035Y CLASS IPICATION CONFIDENTIAL
PACES THREE
PAUL S. STEVENS
FROM
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MESSAGE DESCRIPTION
(EXTENSION) ( ROOM NC mB E R )
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DELIVER TO: DEPT/ROOM NO. EXTEMBIoN
ME . MELVYN LEVITSKY EXEC. SEC.
MR. ROBERT B. ZOELLICK EXEC. SEC.
COL. WILLIAM MATZ EXEC. SEC.
RADM. JOSEPH STRASSER EXEC. TO CHAIRMAN
EXEC. SEC.
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,111,W ? ye.... ? es M. 90214
TONALSECURTYCOUNCL
WASHINGTON. D.C. 2060e
March 11, 19RB
MEMORANDUM FOR MR. DONALD GREGG
Assistant to the Vice President
for National Security Affairs
MELVYN LEVITSKY
Executive Secretary
Department of State
MR. ROBERT B. ZOELLICK
Executive Secretary
Department of Treasury
COL WILLIAM M. MATZ
Executive Secretary
Department of Defense
RADM JOSEPH C. STRASSER
Executive to the Chairman
Joint Chiefs of Staff
MS. RAMONA BURCH .
Executive Secretary
Department of Interior
MR. GERALD J. MCKTPRNAN
Chief of Staff
Department of Commerce
MR. L. WAYNE ARNY
Associate Director tor National
Security and International Attairs
Office of Management and Budget
r.xecutive Secretary
Central Intelligence Agency
MR. JAMES FRIERSON
Chief of Staff
U.S. Trade Representative
MR. JONATHAN F. THOMPSON
Executive Assistant to the Director
Office of Science and Technology Policy
CONFIDEITIAT<
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CONFIDENTIAL -2-
DR. JOHN P. BORICHT
Executive Secretary
National Science Foundation
CONFIDENTIAL
SPRJECTI Policy 'Review Group Meeting on U.S.-USSR Basic
Sciences Agreement
With the object of getting the negotiations underway as soon as
possible, a PRG will be held to review the agreement and to
discuss any outstanding issues, especially thp cinestion of
post-agreement monitoring.
The meeting will take place in Cordell Hull Conference Room at
4:00 p.m. on Tuesday, March 15.
Attachment
Agenda
CONFIDENTIAL
Paul Schott Stevens
Executive Secretary
C014FIDENTIAL
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4:
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POLICY REVIEW GROUP MEETING
Tuesday, Meilen 15, 1988
4:00 - 5:00 PM
AGENDA
T. Opening Statement
90234
Colin L. Powell
(3 minutes)
IT. Overview of Proposed Agreements OSTP
(10 minutes)
III. Discussion
All
(17 minutes)
TV. Post-agreement Monitoring 11?ate
(3 minutvs)
osTr
(3 minutes)
V. Discussion
All
(22 minutes)
V. Summary and Next Steps colin L. Powell
(2 minutes)
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