ITnited States General Accountiug Office Report to t,he Chairman, Subcommittee 4 GAO on Technology and National Security, Joint Economic Committee: U.S. Congress March 1990 FOREIGN TECHNOLOGY U.S. Monitoring and Dissemination of the Results of Foreign Research - GAO/NSIAD-90-117 National !3ecurity and International Affairs Division B-201919 March 21,199O The Honorable Jeff Bingaman Chairman, Subcommittee on Technology and National Security Joint Economic Committee Congressof the United States Dear Senator Bingaman: This report responds to your request that we provide information on the major federal Departments and independent agenciesthat monitor foreign technology. As you requested,it also addressesthe coordination of monitoring activities, the potential for duplication or gaps in such activity, and the use and dissemination of the information these agenciescollect. This report does not include intelligence gathering involving the capability of potential U.S. adversaries, in keeping with your request for an unclassified report. As agreed with your office, unless you publicly announceits contents earlier, we plan no further distribution of this report until 30 days from the date of this letter. At that time we will send copies to interested parties and make copies available to others upon request. Pleasecontact me at (202) 276-4812 if you or your staff have any questions concerning the report. Other major contributors to this report are listed in appendix II. Sincerely, Allan I. Mendelowitz, Director Trade, Energy, and Finance Issues . Executive Summary The Chairman of the Subcommitteeon Technology and National Secur- ity, Joint Economic Committee, asked GAO to develop a compendium of federal programs and activities that monitor foreign dual-use technolo- gies-items that have both commercial and military use.GAO agreed with the Chairman’s office to provide information on the leading federal Departments and independent agenciesthat monitor foreign technology and summarize their monitoring efforts. GAO'S specific objectives were tc (1) assessthe coordination of monitoring activities, (2) identify duplica- tion or gaps in the technologiesmonitored, and (3) examine the use and dissemination of the information collected. . Scientific research information is being generated throughout the world. Background The United States, Japan, and Europe invest billions of dollars in research and development. Becauseresearch is so important to U.S. competitiveness, the United States must be aware of foreign research activity. Federal monitoring activities range from the collection of raw data to the development of highly detailed foreign capability analyses.The result of this monitoring activity is important for enhancing scientific research and policy formulation. GAO identified a total of six Departments and independent agenciesthat Resultsin Brief account for much of the current monitoring. Within these agencies,GAO identified 62 federal civilian and military agency offices and divisions that monitor foreign technology. There is no central source identifying all monitoring activity, and coordi- nation among monitoring agenciesis limited. This creates the potential both for duplication of monitoring efforts and gaps in monitoring coverage. Federal monitoring produces substantial information that would be ben- eficial to researchers,program manager%,and policymakers in other fed- eral agenciesand in private industry. However, there are several factors that hamper dissemination of this information, including different hard- ware and software requirements to accessdatabases,diverse foreign country copyright laws, and limited resourcesfor translating documents into English. Several possibilities may be available for improving access to monitoring information, specifically, a computer concept called gate- ways, and a database of experts. Page 2 G.4O/NSlAD-2%117For&n TecJmolqm Executive spmmvg GAO'sAnalysis Many Agencies Monitor GAO found that the Departments of Commerce,Defense,Energy, and State, the National Aeronautics and SpaceAdministration, and the Foreign Technology National ScienceFoundation account for much of the federal monitoring of foreign technology. Within these 6 agencies,GAO identified 62 federal civilian and military offices and divisions that monitor foreign technol- ogy. GAO'S review did not include the Central Intelligence Agency becauseit declined to cooperate. Coordination Is Limited GAO could find no central list of agenciesthat monitor foreign technology and so it developed its own by contacting various agenciesindividually. GAO found that generally agenciesmonitor foreign technology develop- ments to support their differing missions, which range from monitoring scientific research to assessingnational competitiveness.GAO alsO found that coordination among monitoring agenciesis limited and therefore may create the potential for agenciesto collect similar information. Moreover, becausethere is no central source,it is not possible to assess whether federal agenciesmonitor all potentially significant technologies. This situation presents an opportunity for gaps to occur in monitoring coverage;thus the U.S. may miss important developments. Obstaclesto Accessing GAO identified a number of sourcesfor foreign technical information col- lected by the government. Someof the information collected was availa- Information ble in sevendifferent databasesand in a number of agencies’internal files. Although more of this information could be made available to other agenciesand the public, accessto it is limited by a number of obstacles,including differing computer requirements and commingled restricted and unrestricted information. Improved accesscould enhance the dissemination of foreign technology information that the govem- ment develops. Efforts have been made to improve accessto this information in the past and several are underway now. A 1960seffort to coordinate agency sci- entific and technical information servicesceasedbecauseof lack of sup port in the early 1970s.Although modest in scopeand limited in resources,several efforts are underway today to improve access. Page3 Executive Summery Technological advancesin accessingand retrieving computerized infor- mation may allow improved retrieval of foreign technical information now available in different agencies.These new approaches,with which someagenciesare currently experimenting, are called gateways. They are attempts to electronically connect information systems that have different database structures, hardware, and software. To accessinfor- mation that is currently kept in informal files, it may also be possibleto develop databases containing information on subject area experts. These databasesmay include their names,fields of expertise, and addresses. GAO is making no recommendationsat this time pending the results of Recommendations ongoing efforts and research to improve accessto the information the government collects. As agreed with the Chairman’s office, GAO did not obtain written agency Agency Comments comments on this report, but throughout the review discussedthese issueswith agency officials and have incorporated their comments where appropriate. . P8ge 1 GAO/-N-117 Foreign Technology Page 6 GAo/NBuDgoll7 Foreign Technology thntents Executive Summary Chapter 1 8 Introduction The Widespread Generation of Scientific Information Three Levels of Monitoring Activity 8 8 Objectives,Scope,and Methodology 10 Chapter 2 13 Federal Civilian and Federal Agencies Monitor Foreign Technology for a Variety of Reasons 13 Military Agency Six Federal Agencies Do Much of the Monitoring 14 Efforts to Monitor Coordination of Monitoring Efforts Is Limited 15 Foreign Scienceand Gaps in Technology CoverageMay Exist but Are Difficult 16 to Identify Technology Chapter 3 17 Improved Accessto Sourcesof Foreign Technology Information Available Obstaclesto AccessingAvailable Information 17 20 the Information That Past and Current Efforts to Improve Accessto Available 22 Federal Agencies Information Collect Is Reeded Opportunities Exist to Improve Accessto Foreign 25 Technical Information Conclusions 26 Appendixes Appendix I: Description of Federal Agency Monitoring 28 Activity Appendix II: Major Contributors to This Report 36 Tables Table 3.1: Databasesof Information on Foreign 18 Technology Table 3.2: SelectedAgencies With Files of Foreign 19 Scientific and Technical Information Page 6 GAO/?MAD~ll7 Fort&n Technology Abbreviations Assm AssessmentSystem for European Technology and Science Committee on Scienceand Technical Information DOD Department of Defense DTIC DefenseTechnical Information Center GAO General Accounting Office ITA International Trade Administration NASA National Aeronautics and SpaceAdministration NSF National ScienceFoundation National Technical Information Service Office of JapaneseTechnical Literature OSTP Office of Scienceand Technology Policy STRIDE Scientific and Technical Reporting Information Dissemination Enhancement p-7 GAO/N-117 Fore@nTechnology Chapter 1 Intioduction Scientific research contributes to a healthy economy, a strong industrial base, and the general welfare of U.S. citizens. The federal government and private industry sponsor and conduct research programs to accom- plish these objectives. They also collect scientific and technical informa- tion developed by other nations. Accessto foreign scientific and technical information can help advancebasic research,improve policy formulation, and contribute to the competitivenessof American industry. Scientific research information is being generated throughout the world. The Widespread The United States, European nations, and Japan invest billions of dol- Generationof lars in scientific research annually. In 1986, total U.S. expenditures Scientific Information reached more than $98 billion in constant 1982 dollars. Japan and the major industrialized European countries have also made strong commit- ments to research, In 1986, the combined expenditures of Japan, France. West Germany, and the United Kingdom equaled over $82 billion in con- stant 1982 dollars. Becausescientific research is so important to U.S. competitiveness,the United States must be aware of foreign scientific and technical research activity. In 1986, the last year for which data are available, about 64 percent of scientific and technical articles were written by authors outside the United States. Accessto this information allows government and industry to avoid unnecessaryduplication, benefit from existing lmowledge, and accurately assessother countries’ technical capabilities. Scientific progress is often incremental-one bit of research building upon another. For this reason, scientific research advancesmore rapidly when data are shared internationally. Open communication allows for- eign research to be assessed,reanalyzed, replicated, and incorporated into ongoing research and production. Without accessto foreign scien- titic and technical information, U.S. scientists, industrialists, and policy- makers could fiid themselvesat a competitive disadvantage. Individual U.S. government agenciesmonitor foreign scientific and tech- Three Levels of nical information differently, reflecting their missions and responsibili- Monitoring Activity ties. Someefforts are limited to the collection and dissemination of basic research data, while others involve the development of detailed foreign capability analyses. Page 8 GAO/Nk3LADB&117 Foreign Ttchnology chapter 1 lIltiWhCtiOIl Collection At the primary level, government monitoring involves collecting and dis- seminating data, drawings, and researchfindings. U.S. agenciesobtain this information through formal and informal methods. The National Technical Information Service(NTIS) and the DefenseTech- nical Information Center (rmc) are two agenciesthat collect foreign research data, acquiring technical reports through formal international exchangeagreementsand cooperative relationships with other organiza- tions. The NTIS collection includes about 2 million reports. Approxi- mately one-third of the reports that have been added in the past 5 years include foreign technical information. DTIC’S technical report collection includes approximately 1.5 million publications, between 7 to 10 percent of which represent foreign technical information. Other federal agencies also collect foreign scientific and technical information by monitoring scientific journals and databasesand supporting joint researchefforts. In addition to these formal collection efforts, individual researcherscol- lect information through informal exchangeswith foreign scientists. This type of information may be recorded in travel reports and internal agency records. In other casesit may not be captured at all. Collation At a secondary level, someagenciesindex and abstract foreign technical publications, facilitating accessto the information. Electronic filesallow scientists and others to combine material on a single topic from various sourcesand nations. Agencies also publish newsletters covering recent scientific developments. The bibliographies and newsletters that these agenciesproduce inform scientists and others of technical activities in their fields and geographic areasof interest. Several federal agencieshave constructed computer files for collation and synthesis. NTISproduces a computerized databasethat indexes and abstracts reports, journal articles, and conferenceproceedingsincluded in the NTIScollection. DTICmaintains its own Technical Report Database that allows the production of bibliographies basedon the needs of MIC users. The mm Information Analysis Centers’ computerized files con- tain current international research information and synthesize this information in selectedsubject areas. Individual agency offices and units have also undertaken projects to meet particular needs.For example, the U.S. Navy’s Office of Naval ResearchEuropean Office maintains a databasethat provides accessto reports, articles, and contact points relevant to European scienceand Page 9 GAO/N!SIAD4@117Fortign Ttchnology Chapter 1 Iniroductton technology. Similarly, the Air Force’sForeign Technology Division has developed a databaseto report the use or appearanceof certain technol- ogies in the Eastern Bloc countries. Analysis At the highest level of information processing,U.S. agenciesanalyze for- eign scientific and technical information. Specialists review data from many sourcesto answer questions of scientific or strategic interest. These efforts produce reports and briefing materials used to assessthe scientific resourcesand capabilities of foreign nations. For example, the DefenseIntelligence Agency has developed an automated system that measureslevels of foreign scientific knowledge and comparesthese to current levels of U.S. technical accomplishment. In an April 10,1989, letter, the Chairman of the Subcommitteeon Tech- Objectives,Scope,and nology and National Security, Joint EconomicCommittee, asked us to Methodology develop a compendium of federal programs and activities that track, or monitor, foreign dual-use technology, i.e., items that have both commer- cial and military use. We initially provided the Chairman with an interim report that listed a number of federal agenciesmonitoring for- eign dual-use technology (Foreign Technologies:Federal Agencies’ Efforts to Track Developments,GAomuD-89-192, June 1989). Subse- quently, we agreed with the Chairman’s office to limit the final compen- dium to the leading federal departments and independent agenciesthat monitor foreign technology and summarize their monitoring activities. We further agreedto focus our efforts on the coordination of monitoring activities, the identification of duplication or gaps in the technologies monitored, and the use and dissemination of information collected. (Becausescientific research is a key element of technological develop ment, we refer to scientific and technological research interchangeably.) To identify federal programs and activities that monitor foreign technol- ogy, we contacted officials of agenciesthat we knew from prior audit work were the leading agenciesin monitoring foreign technology. These officials identified other monitoring agencies.Basedon our prior work, we focused our efforts on the Departments of Commerce,Defense, Energy, and State, the National Aeronautics and SpaceAdministration (NASA), and the National ScienceFoundation (NSF). We contacted each of these agenciesand requestedthat they complete a data collection form on their agency units that monitor foreign technol- ogy. For each agency unit we sought information on the technologies Page 10 GAO/NHAD4&117 Fortign Technoloey they monitor, the countries they follow in that monitoring, how they use that information, the resourcesthey devote to monitoring, and the avail- ability of the information they collect to others outside their agency. This information is summarized in the body of the report and provided in greater detail in appendix I. We did not attempt to assessthe quality of the information these agenciesgather through their monitoring activities. We asked officials of the 62 monitoring offices we identified in develop ing the compendium to respond to questions on their coordination activi- ties. We then reviewed and summarized the responses.We also discussed coordination with an official of the Office of Managementand Budget and a contractor working on technology monitoring under contract to the DefenseAdvanced ResearchProject Agency. Becausewe could find no listing of all federal monitoring activities, we were not able to assess whether there are any technologiesthat are not being monitored by the government. We were able to analyze the information on what technolo- gies are monitored to ascertain how extensively different agencies review the sametechnologies.However, becausedifferent agenciesuse the information they co&c%for different purposes,we could not draw any conclusionsabout whether multiple agency monitoring of the same technologies constituted unnecessaryduplication. Prom officials of each monitoring agency we gathered information’on the usesof the data they collected and the data’s availability outside their unit. We held extensive discussionswith a number of officials in the monitoring units within the six agenciesand in the White House’s Office of Scienceand Technology Policy about the accessibility of the information the government collects. Basedon these discussionsand a review of past and current efforts to improve such accessibility, we were able to develop information on obstaclesto accessinginformation and federal efforts to improve access. We did not include intelligence gathering involving the capability of potential U.S. adversaries, in keeping with the Chairman’s request for an unclassified report. As a separate matter, we attempted to include the Central Intelligence Agency, but it declined to cooperatein this review. We conducted our work between May 1989 and January 1990 in accord- ance with generally acceptedgovernment auditing standards. As agreed with the Chairman’s office, we did not obtain written agency comments, . Page 11 GAO/NgIAD43@117Foreign Technology Clmpter 1 Introdnctlon but throughout the review discussedthese issueswith agencyofficials and have incorporated their commentswhere appropriate. Page 12 GAO/NSIAD4J@117 Foreign Technology Chapter 2 Federal Civilian and Military Agency Efforts to Monitor Foreign Scienceand Technology Sixty-two federal military and civilian agency units, responding to our questionnaire, indicated that they monitor information on foreign tech- nology. Somehave specific statutory authority for such monitoring. Others, while not specifically directed to monitor foreign technology, do so as part of a broader agency mission. Many U.S. agencies-most nota- bly the Departments of Defense,Commerce,and Energy-monitor for- eign technology to enhanceU.S. competitivenessand to formulate trade and defensepolicy. Despite this extensive monitoring, we could find no central source identifying all such activity. Our review also indicated that coordination was limited. This createsthe potential both for dupli- cation of effort and for gaps in coverage. Agencies monitor foreign scientific and technical developmentsfor a Federal Agencies variety of reasons.These include responding to a specific legislative Monitor Foreign mandate, meeting a program objective, and collecting information inci- Technology for a dental to their primary mission. Variety of Reasons Legislatively mandated monitoring activities include both civilian and defenseprograms. For example, the Department of Commerce’sJapa- neseTechnical Literature Program is required by the JapaneseTechni- cal Literature Act of 1986 (P.L. 99-382). The program was created to acquire, translate, and disseminate Japanesetechnical literature. The Export Administration Act of 1979, as amended,assignedto the Depart- ment of Defensethe responsibility for defining critical technologiesand requires that Defensegive special emphasis to products that include technologies not possessedby countries that are the target of U.S. export controls. This in turn requires knowledge of the technological capabilities of such countries. Other monitoring activities are the result of program objectives. For example, NTIShas a foreign technology program whose objective is to acquire technical information produced as a result of foreign govem- men&sponsoredresearch and to disseminate it to the U.S. research and development community. Finally, some agenciesmonitor foreign scientific and technological developments incidental to their agency’sprincipal mission. For exam- ple, the primary mission of Commerce’sNational Institute of Standards and Technology is measurement and standards in the United States, but the Institute’s technical staff keep abreast of foreign developments in their disciplines. Page 13 GAO/NL4D-~117 Fortign Technolol(y Six Federal Agencies excluding the Central Intelligence Agency, accountedfor most of the for- Do Much of the eign technology monitoring. These agenciesare the Departments of Com- Monitoring merce, Defense,Energy, and State, NASA, and NSF. Appendix I contains specific information on the activities of each of these entities. The Department of Commercehas several agenciesthat monitor foreign technology devel- Commerce opments. These include NTIS,the Bureau of Export Administration, and the International Trade Administration (ITA). NTIScollects foreign technical information and makes it available to the general public, private industry, researchers,and other federal agencies. The information is used to support research, industry planning, domes- tic policy formulation, and the foreign technology monitoring efforts of other federal agencies. The Bureau of Export Administration monitors foreign technology to identify U.S. export controls rendered ineffective by the availability of foreign comparable commodities and to ensure the competitivenessof U.S. high technology firms in world markets. Monitoring is global, and the reports and studies prepared are generally available to other federal agencieson a need-to-know basis. ITAunits globally monitor specific foreign technologies,such as microelectronics, telecommunications, and industrial machinery. Infor- mation is used for such purposes as trade policy development and com- petitive assessments. The Department of DOD has many componentsthat monitor foreign technology, including Defense (DOD) the DefenseLogistics Agency’s DefenseTechnical Information Center and the DefenseIntelligence Agency. Other monitoring takes place at the three services(the Army, Navy, and Air Force). DTIC serves as the central collection and distribution point for scientific and technical information produced under the DOD'S research and devel- opment effort. DTICcolIects and disseminatesforeign technology infor- mation through international exchangeagreements.DTICalso administers information analysis centers that acquire, analyze, and sum- marize foreign technology data in specializedsubject areas. . P8ge14 Chapter2 FtdtraiChUianandMilibryAgtncyEffortt toMonitmFortignsdtnctandTtchnology The DefenseIntelligence Agency monitors foreign technology develop- ments. This information contributes to improving military industrial competitiveness and to providing planning information to other govem- ment agenciesand private industry. Monitoring is global and focuseson specific foreign technology of strategic interest to DOD. At the service level, the Army’s European ResearchOffice monitors for- eign technology to identify and transfer technologiesto appropriate Army research labs. The Navy’s Office of Naval Researchmonitors for- eign technology on a global basis, as doesthe Air Force’sForeign Tech- nology Division. The Department of Energy Scientists and technicians at research laboratories of the Department of Energy monitor foreign scientific and technical information in energy- related areas. They monitor countries with significant technical abilities in nuclear weapons, high-energy lasers, composite materials, supercom- puter technology, and nuclear reactor technology. Information is used to support strategic planning for national security. The Department of State Scienceofficers at embassiesthroughout the world monitor technology developments. The information is sent to government agenciesfor their use in monitoring foreign scientific and technical developments. The National Aeronautics NASA monitors foreign technology on a global basis and maintains a com- and SpaceAdministration prehensive information system covering aeronautics and supporting disciplines. The National Science NSF monitors foreign technology to disseminate information on intema- Foundation tional scienceand technology. NSF maintains an office in Japan where it acquires and analyzes Japanesescienceand technology policy informa- tion and promotes international scientific cooperation. Coordination of In our June 1989 report on federal monitoring of foreign technologies (Foreign Technologies:Federal Agencies’ Efforts to Track Develop- Monitoring Efforts Is ments, GAO/NSLAD-W192), we reported that we could find no central Limited source that identifies all federal monitoring activities. In our subsequent work, including review of databases,numerous discussionswith agency officials, and contacts with 62 units within 6 major agencies,we have Page15 GAO/NSIAD-W117FortignTtchnology Chapter 2 FtdtrdCXvllim~lUllltuyAgcncyMortr to Monitor Fore@ sdence and Technology continued to find no such central source and have concluded that none exists. We further stated in our earlier report that there was an apparent lack of formal coordination among agenciesthat monitor foreign technology. We subsequently contacted the 62 offices, bureaus, and divisions we had previously identified as monitoring foreign technology in the 6 major monitoring agencies.Our aim was to inquire about their coordination efforts. Of the 21 out of 62 responding to this query, 7 said that they did not coordinate their efforts with others; 9 said that they coordinated with at least 1 other agency; and 5 did not addresscoordination. For example, Army, Air Force, and Navy researchersshared information and technology tracking duties regarding Japanesetechnologies.How- ever, a DTICofficial in a draft agency report indicated that although many DOD organizations produce, collect, store, or distribute foreign sci- enceand technology information and certain agenciesstart programs to enhancethe use of such information, no central DOD entity coordinates foreign technology monitoring. According to this official, DOD should establish a focal point for coordinating foreign scienceand technology monitoring programs. While coordination is limited, there may be only limited resulting dupli- cation of monitoring effort. We found that while numerous agencies monitor foreign technology developments,they do so within a limited subject range determined by their individual needs;therefore, subjects may be so specific as to exclude duplication. Nevertheless,the absence of a central government source identifying all monitoring efforts and the limited coordination among monitoring agenciescreate the potential for duplication of efforts to take place. Becausethere is no central source that identifies all federal monitoring Gapsin Technology activities and becausetechnologiescontain a myriad of components CoverageMay Exist (such as the dozensof steps involved in computer chip manufacturing, but Are Difficult to each of which embodiesits own set of technologies),it is difficult to assesswhether federal agenciesmonitor all potentially significant tech- Identify nologies. Current federal monitoring also suffers from limited coordina- tion -amongagencies.This creates the potential for information gaps between agencies. Page 16 GAO/NSUD4Ml7 Fore&n Technology Improved Accessto the Idormation That Federal AgenciesCollect Is Needed The foreign scientific and technical information that the government now collects could be better used if accessto it was improved. However, certain obstaclesnow hamper access.These include different computer requirements for accessingagency databases,commingled classified and unclassified information, as well as public and proprietary information, and limited language translation capability. Previous efforts have been made to improve access,and new onesare underway; the present efforts, however, are limited in scope.Technolog- ical improvements now exist that may improve the ability to access existing information. Several knowledgeable sourcesbelieve the time may be appropriate to consider reestablishing an information point that is centrally accessible. We identified two different data systems for maintaining information Sourcesof Foreign that the agencieswe contacted generate.One is automated databases. Technology The other is written agency and individual (personal) files. Information Available Automated Databases Several agenciesmaintain computerized databasesthat index and abstract reports and other information. These files are information sum- maries, organized and structured so that a variety of users’ needscan be met. We were able to identify sevensuch automated databaseefforts. Table 3.1 contains a description of each. Page 17 GAO/NSIAIMO417 Fort&n Te-chnology -a lmplwtdAamutotbt~thmThat FtdtdA@BlChCdltCtl4Nttdtd Tablo 3.1: Databases of Information on Foreign Technology Accouibillty by out&da Aaoncv and databau Two of information aaencv Defense lntelli ence Agency, Assessments of selected DOD only Project SOCR it TES forei n technological capa %.-My Department of Energy’s Foreign abstracts and Available to the public Energy Database Indexes of energy related through commercral vendors technoloaies DTIC, Defense Research, Four major databases with Classified DOD reports are Development, Test, and summary descriptions or available only through DTIC Evaluation Online System references to planned, Database Network ongoing, completed, and independent research and development NASA, Scientific Technical Comprehensive scientific, Available directly from NASA Information Database engineering, and technical and through commercial information with bibliographic vendors coverage of world aerospace literature NSF, International Science Data by industry Data directly available to the and Technology Database classification (e.g., drugs, public. There is no other electrical machinery) for U.S. database similar in content patents, trade, by country and time series. NSF, United States-Japan Scientific journals, books, Available to the public Cooperative Science and proceedings of through NTIS Program Database professional societies addressing a variety of technologies NTIS, Bibliographic Database Research results, studies, Available to the public directories, handbooks, through commercial vendors conference presentations, and proceedings covering a wide range of topics in natural and behavioral sciences Agency and Individual Considerable information on foreign scientific and technological devel- Files opments are contained in agency files. These include formal files that contain reports assessingforeign technology as well as informal files maintained by researchersand analysts. We identified a number of both formal and informal agency files, someof which are listed in table 3.2. Ptgt 18 GAO/NW117 Porni@ Technology Table 3.2: Selected Agencks With FIIOS of Foreign Scientific and Technical Accessibility by outside Agency Type of Information agency Department of State, Science Any data on scientific and Available to interested Officers technological developments federal agencies; InformatIon available to the publrc (some through NTIS) Department of Commerce, Assessments of foreign Malority of information IS Bureau of Export technological capability classified and not available to Adminrstration the public Department of Commerce, Capability and developments Most materials available to International Trade in various technical areas, the public. Some of these Administration such as electronics materials for secunty reasons are restricted. Department of Commerce, Journal publications and data Available to interested oartres National Institute of developed through joint Standards and Technology scientific exchanges covering a variety of technrcal topics DOD, Air Force Systems Aerospace scientific and Available to DOD and DOD Command’s Foreign technical intelligence contractors with public Technoloav Division access limited DOD, Army Forei n Science Developments in military Available to the intelligence and Technology L!enter material and hardware community: some documents are later released bv DTIC DOD-various service Developments in technology Availability varies with the laboratories relevant to each individual information and laboratory lab’s specialty involved Department of Energy Developments in technology Most of this matenal is Laboratories relevant to energy issues classified. Limited to internal Energyunits and some to other selected aaencres NSF, Japanese Technical Technical assessments of Published reports available to Evaluation Center emerging Japanese trends in the public selected high technology areas The material these files contain is tailored to a specific audience,such as agency program managers.Someof this information is available to the public, while other information is only available to selectedfederal agenciesor through individual contacts. Regarding informal files, we found at least somegovernment scientists, researchers,and analysts keep data in personal files, usually organized and structured to meet their individual needs.This information includes clippings, notes, reports, and articles relevant to their field of study that is accumulated from numerous sources.For example, researchersmay rely on collegial relationships and professional contacts to learn about what is being done in other countries. They visit foreign researchersand record their observations in trip reports. They attend formal scientific meetings and exchange ideas informally, recording this information in Prge 19 GAO/N-117 Foreign Technology clupttr 3 rmproval Aecu t4l the Infomldon Tlut Fedtnl Agtndta Cdltct b Ntaltd personal notes. They also collect information contained in foreign jour- nals and magazinesand unpublished research reports. We could not determine the amount or importance of data stored in personal files. Key officials in five of the six agencieswe visited stated that they Obstaclesto Accessing believed foreign technological information available in federal agencies Available Information would help scientists, researchers,program managers,and policymakers in other federal agenciesand individuals in academia and private indus- try. However, there are several obstaclesto accessingthis information. These obstaclesinclude differing computer requirements for accessing the different databases,the inclusion of classified and unclassified information in the samedatabase,and limited translation capability. Differing Computer A key obstacle to accessingforeign scienceand technical databasessuch as those listed in table 3.1 is their differing computer requirements. Requirements Each database was produced for a different purpose, and the agencies use a variety of computer hardware and software combinations to main- tain the database flies. Although each databasesystem can be searched individually, it is not possible to accessthe databasessimultaneously. If users need to retrieve information on a specific topic from several of these databases,they must know the location of each database file and the routines required to accesseach database. Each database operates independently, and between them they use a variety of hardware, (i.e., computer equipment), software (i.e., instruc- tions by which the computer performs its tasks), and accesstechniques. Lacking a common mechanismthat would allow “talk ” between the var- ious systems, a user must arrange for accesswith each agency or ven- dor, learn the databasestructure of each file, becomefamiliar with the query language neededto accesseach database,and run different searcheson each to retrieve information on one technical subject. For example, the techniques used to accessand search DTIC’S Defense Research,Development, Test, and Evaluation Online System cannot be used with the NSF’S International Scienceand Technology Division database. Combining Classified and Classification of sensitive data is required to protect national security Unclassified Information interests. Several of the databaseswe identified as monitoring foreign technology information contain classified as well as unclassified data. Databasesthat combine classified and unclassified data present special Page 20 GAO/N?3IADB@117 Foreign Ttchnology cluptm 3 lmprovtd Acetam to the Informdon That Fedtnl&tntiet Cdltct b Nttdtd accessproblems. The presenceof classified information in a database requires that user accessbe limited, even when the bulk of the informa- tion in the databasecould be made available to the public. For example, the DefenseIntelligence Agency’s Project Socrates’entire databaseis classified, although much of the information in the system is not classi- fied and could be made available to wider groups of users. When databasescontain both classified and unclassified information, accessis limited to people with appropriate security clearances.While it may be possible to separate the classified and unclassified information and so allow broader accessto the unclassified portion, there is no gen- eral solution to the multilevel security problem and no current system that will guarantee the separation of classified and unclassified infor- mation. Multiple level security, which involves segregatingclassified from unclassified data and controlling access,is the subject of ongoing research. Combinations of physical, administrative, and technical approachesmay provide opportunities for greater accessto unclassified information. Proprietary Information Proprietary designations also limit access.Proprietary data are materi- als the private entity that provides the data considers businesssensi- tive. We identified two problems in attempting to access information that carries a proprietary label. One problem is that the mere presenceof proprietary information in a database can limit accessto information that is nonproprietary, thereby restricting its availability to a wider range of users. DOD’S Information Analysis Centers are examples of databasesthat cannot be freely accessedbecausethey contain someproprietary information. Each Center operates much the sameway but specializesin a different sub- ject. Each Center collects, analyzes, summarizes, and stores available information on highly specializedtechnical subjects. The collections are computerized to facilitate access,but include proprietary mformation, which limits access. A secondrelated problem, according to a DTICofficial, is that inforrna- tion in databasesis not always clearly marked as to what is proprietary. As a result, delays of up to 2 weeks can occur when users request infor- mation becauseof the need to clarify its status. For example, a requester could wait 2 weeks only to learn that the requested information was not proprietary. Conversely, somedatabasesare not labelled as restricted, but requests for certain data are rejected becausethose data are labeled . Page 21 GAO/NS-117 Foreign Technology lmprwtdAa!tutothtlIu-Tlut Ftdtrai &tmdtt Cdltct b Nttdtd “US. Government Use Only.” Such labelling occurs becausethe foreign data were either proprietary or copyrighted. As a result, requests for such information are burdensomeand time consuming. In these instances,the requester normally does not follow up becauseof the paperwork involved and the time it takes to obtain the information. Foreign Copyright Laws Copyright laws also present accessproblems to users. A 1988 Depart- ment of Commercereport on federal efforts to obtain Japanesescientific and technical information noted that all material published in Japan, including government publications, is consideredcopyrighted regardless of whether it contains a copyrighted statement. Permission to reproduce this material is obtainable only after a lengthy approval processinvolv- ing multiple layers of authority. NTIS has been able to alleviate this diffi- culty largely by negotiating blanket copyright releaseswith about 40 organizations with which it has acquisition agreements.However, copy- right issuesare still a barrier when NTBwishes to obtain published material from a Japaneseentity not covered under an acquisition agree- ment, According to NTIS’Deputy Director, copyright laws also limit WI-IS’ accessto information in countries other than Japan. Foreign Lanlguage According to the head of the MW’S Information Systems and Standards Translation Division, the translation of foreign documents is a major barrier to the exchangeof technological information. He specifically cited the cost of translating documents and the lack of a sufficient number of people with both the technical and language skills required to do such work. Also, with respect to Japan, according to the previously mentioned Com- merce report there are few federal agencieswith staff who are profi- cient in translating Japanesetechnical literature. As a result, translators are so overwhelmed that much information doesnot get translated promptly. The federal government has made prior efforts to collect and dissemi- Past and-Current nate foreign technical information; it presently has efforts underway, Efforts to Improve including a pilot project to do so. Those prior efforts did not produce a Accessto Available comprehensivesystem for collecting and disseminating this information, however, becausesupport declined. The current efforts have somewhat Information improved accessto information but are limited in scope or in the early stagesof development. Ptgt 22 GAO/IBLADWll7 For&n Technology Illlplwai Acttw to the lnform8tioIl Th8t Ftdtrtl&tndttCdtctIeNttdtd Past Efforts Efforts to coordinate technical information can be traced back to the 1960s.In 1962, responding to a growing concernover managementprob- lems and diffusion of information created by the rapid growth of scien- tific and technical activities, the Federal Council on Scienceand Technology Policy established the Committee on Scienceand Technical Information (c0sAn). CosATI’sfunctions were to (1) coordinate agency scientific and technical information services,(2) examine interrelation- ships between existing information services,both in and outside the gov- ernment, and identify gaps or unnecessaryoverlaps, and (3) develop governmentwide standards and comparability amongsystems.COSATI membersrepresented 12 of the largest scientific and technical informa- tion producer and user agenciesof the government. COSATI encouraged voluntary coordination of U.S. scientific and technical activities abroad and collection of foreign technical information. According to a former CUSATI Chairman, sharing of foreign technology information among par- ticipating federal agencieswas encouragedbut not required and distri- bution was not monitored. The former Chairman stated that information was presumed to be shared. According to the former K&UY Chairman, in 1972,the White House Office of Scienceand Technology Policy’s (0s~~)Director, acting on sug- gestions made in an NSF advisory report, transferred the leadership of COSATI to NSF as a managementimprovement. The former Chairman also said that CUSATI’S effectiveness as a coordinator of federal collection efforts had been restricted becauseof the lack of support by NSF. Becauseso much time has elapsedsince this transfer occurred, we were unable to review the matter with knowledgeable NSF officials. Current Efforts We identified three efforts underway to improve accessto foreign tech- nical information collected by the government. They are Project STRIDE (Scientific and Technical Reporting Information Dissemination Enhance- ment), the Office of JapaneseTechnical Literature, and an Office of Naval Researchprogram called AssessmentSystem for European Tech- nology and Science(ins). ProjectSTRIDE Project STRIDE, similar to COGATI but more limited ln scope,has its origins in the President’s Executive Order of April 1987. In 1986, CBTP’S Federal Coordinating Council’s Committee on International Science,Engineering, and Technology established a Working Group on International Educa- tion, Infrastructure, and Facilities, which began exploring the adequacy and accessibility of information on foreign scienceand technology. The Working Group’s exploration of the foreign scienceand technology , Page23 GAO/NSIAD4O-ll7FonignTedu1ololfy w-3 Imp!llwtdAtcentithernform8uonThrt Ftdtnl&tndaCtUtctirNttdtd information problem led to the President’s issuing Executive Order 12591, dated April 10,1987. This order directed NSFand the Depart- ments of State and Commerceto develop a central mechanismto promptly and efficiently disseminate to users in federal laboratories, academicinstitutions, and the private sector, on a fee-for-servicebasis, scientific and technological information developed abroad. In responseto this Executive Order, the three agenciesinitiated a jointly developed,6-month pilot study for an unclassified information service known as Project STRIDE. Each of the three agenciesperforms different functions, The State Department usesits scienceofficers at major for- eign posts (including those in WesternEurope and in Tokyo) to collect and report information through the U.S. government telegraphic net- work to a wide audienceof end-usersin the government. Commerce’s NTLS publishes this information in its Foreign Technology Abstract Newsletter. NSFextracts information from the incoming STRIDE telegrams and introduces this information into its internal databasenetwork. NSF also includes this information in its periodical entitled International S&T Insight. In 1988, Project !3TRDE was evaluated by a private consulting firm. The consultant found problems in two areas:the supply of and the demand for !3TRDE information. The consultant had been advised that there had been an assumption that STRIDE generated a large information flow that only neededdispersion to a “guaranteed” readership in the research and development community. In actuality, the consultant found that the lnformatlon flow from SI’RIDE was limited, as was the interest among the evaluator and user group. The consultant concluded that attempts to generate a larger flow could be made, but would require a substantial commitment of resources.The consultant made a series of recommenda- tions on how to improve !3llUDE.The three agenciesbeganto take correc- tive action, however, we were advised by the STRiDE consultant that the Department of State had discontinued its corrective actions. Office of Japanese Technical Another current effort involves the Department of Commerce’sOffice of Literature JapaneseTechnical Literature (OJTL).OJTI,deals with technical activities and developments in Japan. It acquires and translates selectedJapanese technical reports and documents and coordinates with other federal agenciesand Departments to identify significant gaps and avoid duplica- tion of effort in acquiring, translating, indexing, and disseminating Jap anesetechnical information. OJTL’S program responsibilities also include monitoring Japanesetechnical developmentsand consulting with U.S. . Page 24 GAO/NSIAMM17 Foreign Technology businesses,professional societies,and libraries on their need for Japa- nesescientific information. According to Commerce’sDeputy Assistant Secretary responsiblefor OJTL,the program has limited resourcesavailable to accomplish its mis- sion. To compensatefor this situation, it emphasizesthe use of mailings to a network of persons and organizations dp~zbelieveswould benefit from its work. OSIZalso acts to promote dialogue. For example, the agency periodically holds conferences,inviting individuals and organiza- tions that could benefit from information on Japanesetechnical litera- ture. It conducts extensive meetings with other federal agenciesand private firms. The program manager believesthese organizations share that information with others, thus multiplying the distribution’s effect. To fulfill its responsibility for avoiding gaps in coverageand for preventing duplication, Commerce’sAssistant Secretary for Technology Policy told us that the agency staff conducts interagency meetings and maintains informal contacts. Also, OJTLconsults with agencies,busi- nesses,and professional societiesbefore selecting which technologiesto monitor. Assm The Office of Naval Research’sASSCTS program is another effort to cre- ate a focal point for ready accessto foreign technical information. ASS~ is an unclassified, free, text-based system available to all US. government agenciesin Europe. It provides a rapid search and review of information concerning European science.ASSFISincludes abstracts and articles together with details of authorship and local points of contact for the technology reported. The prohibitive telecommunications costs have limited system use. Technological improvements to computers for retrieving data and the opportunities Exist to establishment of a databaseof experts are two opportunities to improve Improve Accessto accessto foreign technical information. Other possibilities, such as the Foreign Technical expansion of STRIDE, would require additional resources.Assessingthe costs and benefits of such a funding increasewas beyond the scopeof Information our work. Technological Technological advancesin accessingand retrieving computerized infor- Improvements mation may provide an answer to the problem of accessingforeign tech- nical information available in different agency databases.These advancescan make data retrieval faster and easier. At least one agency, P8gt 25 GAO/NSlAD3@117Fortign Technology clupttr 3 lmpmvtdAceavtothsrnfollMuonTh8t FtdtralAgtndtaCtlltttbNttdtd DTIC,is already trying to implement one of these techniques. DTIC, in an effort to gain greater accessto available information, is experimenting with a data retrieval concept known as “gateways.” The gateways con- cept is an attempt to electronically connect information systems with differing databasestructures, hardware, and software. At present, the concept is at an early stage of development and there is no general solu- tion for linking different databases. Gateways may be categorizedas either “information” or “knowledge” types. The basic purpose of an information gateway is to help database system users understand their information needs.The information gate- way retrieves and brings data to users. A knowledge gateway, on the other hand, goesbeyond retrieving and offers users optional informa- tion processingthat allows users to manipulate the data as necessary.If this is successful,information from international sourceswill be availa- ble to the DTIC’Sdatabaseusers. Database of Experts As indicated earlier, many researchersand scientists collect information on their own initiative in their field of study. They strive to keep abreast of the latest developments and are frequently at the cutting edgeof the technology under study. They frequently keep in touch with other leaders, including foreign scientists, and, on an informal basis, share knowledge. A databaselisting of experts and the disciplines they study could be developed.If the experts agreeor are willing to partici- pate, the databasecould indicate the person’s name, address,telephone, number, fields of expertise, and other pertinent information. The federal government collects an extensive amount of information on Conclusions foreign technology; however, more of it could be made available to other agenciesand the public. To be useful, this information must be accessi- ble to the people who would benefit from it. However, there are a number of obstaclesto obtaining the information, which impede its dissemination. A 1960seffort to improve the coordination of foreign technical informa- tion ceasedby 1972. Currently, efforts are underway to improve access to information, but they are modest in scopeand limited in resources. There are, however, somepossibilities for improving access.One is a technological advance called gateways, which makes data retrieval faster and easier. Another is the possibility of separating restricted and Page 26 GAO/‘N-117 Foreign Technology IlqmwtdAcct88tothtlnforJn8uonTh8t Fedtrtl A@mdet Cdtct b Nttdtd unrestricted information, such as classified from unclassified, and pro- prietary data from public information, Thesesolutions may increase accessto the foreign technology information the government presently collects. Since there are many sourcesof foreign technical information of poten- tial value to a large number of users, and since there have been past and are now current efforts to improve accessto these sources,senior OSTP and NTIS officials believe this may be an appropriate time for the federal government to restudy the issue of collecting, collating, processing,and disseminating foreign technical information to a wider audience.We agree that there is a need for improved managementand dissemination of such information, but are making no recommendationsat this time pending the results of ongoing efforts and research to improve accessto the information the government collects. Page 27 GAO/NSL4D4Wll7 Fort&n Tedmology Appendix I Description of Federal Agency Monitoring Activity Six federal agencieshave mJor monitoring efforts. This appendix con- tains a description of their foreign technology monitoring activity. Department of Commerce National Technical The National Technical Information Service collects and disseminates foreign scientific technical information regarding new research and Information Service developments obtained through agreementswith hundreds of organiza- tions. Monitoring is global and covers a wide variety of technologies. xl~ products are for sale to the public and are purchased by private industry, academicinstitutions, and individual researchers.The infor- mation is used as a source for new ideas and to keep professionals posted on the latest research in their fields. NTIS’Office of International Affairs monitors developmentsin machine- aided translation, with special emphasison Japanese-toEnglish lan- guageconversion. Machine-aidedtranslation materials are also used within NTISto expand its current service efforts, and they are expected to eventually improve general accessto Japanesetechnical information. Translations are shared with other government agenciesand made available to the general public on a cost recovery basis. Bureau of Export The Bureau of Export Administration’s Office of Foreign Availability Admini stration monitors foreign technology to identify domestic export controls that are no longer effective becausecomparable technologiesare available in foreign countries. Monitoring is global, depending on the industry and technology of interest, and covers all technologies.It usesresulting information in reviewing certain export license applications. The Bureau’s Office of Industrial ResourceAdministration monitors for- eign technology to assessthe impact of . imports on national security, l foreign investments on defense-relatedindustries, l DOD agreementson the U.S. industrial base,and . foreign weapon development on defensepreparedness. Plrgt 28 GAO/Nf&4D-S@117Foreign Technology It makes results of someof its efforts publicly available in a report to the President from the Secretary of Commerce.Other efforts result in internal and interagency memorandamaking recommendations.The information is used to develop, implement, and promote a strong and technologically superior defenseindustrial base. International Trade The International Trade Administration has five offices that play an active role in monitoring foreign technology. Administration The Office of Telecommunicationsmonitors foreign technology to facili- tate the export of U.S. telecommunications equipment and services. Global monitoring focuseson telecommunication technology in areas such as fibre optics, digital switching, and cellular phones.The results of these efforts are generally published in the U.S. Industrial Outlook. The Office makes individual studies available free of charge to other govern- ment agenciesand to the public on a fee basis. The information included is used in domestic and trade policy formulation and promotion. The Office of Aerospacemonitors foreign technology to help reduce trade barriers and increaseexport opportunities for the U.S. aerospace industry. Monitoring focuseson the European Community, Brazil, Can- ada, Japan, and Southeast Asia. The technologiesmonitored relate to advanced aerospacetechnology. The information is published in the U.S. Industrial Outlook. Unclassified products are available to the public. Classified and restricted products are available to qualified U.S. govern- ment agencies.The information may be used to measuretrade perform- ance and help gaugeU.S. industrial competitiveness. The Office of General Industrial Machinery monitors foreign technology to analyze markets and promote foreign trade efforts undertaken by the U.S. metalworking industry. Monitoring efforts focus upon the European Community, the Soviet Union, Japan, Taiwan, Korea, and Brazil. The technologies tracked include computer controlled machine tools, metal cutting tools, welding and robotics. The results of these efforts are included in the US. Industrial Outlook. Assessmentsare available to the public from the U.S. Government Printing Office. The information is used to support trade development and government activities, including Voluntary Restraint Agreements and the President’s DomesticAction Plan. The Office of Computers and BusinessEquipment monitors foreign tech- nology to support trade analyses and promotion efforts undertaken by Put 29 GAO/‘NSIAD-W117For&n Technology API=* I DtmdptlonofFtdtral Agency Monltorlng Actlvlg the U.S. computer and businessequipment industry. While recent moni- toring efforts have focused upon Japan, Korea, and Brazil, monitoring is global, and technologies include computer hardware and software, focusing in the last 2 years on supercomputer and personal computer technology. Competitive assessmentsand market studies have been available to the public from the U.S. Government Printing Office and NTISfor a fee. Products are available to other government agenciesfree of charge. The Office of Microelectronics and Instrumentation monitors foreign technology to support increasedexports of electronic devicesand instru- ments. Global monitoring efforts track such technologiesas microelec- tronics, semiconductors,medical equipment, and scientific instrumentation. The Office focuseson Japan, Korea, the People’s Republic of China, the United Kingdom, WestGermany, and Prance.The results of these efforts include competitive assessmentsand policy brief- ing papers. Competitive assessmentsare available to the public for a fee and are published in the U.S. Industrial Outlook. Most products are available to other government agenciesfree of charge. The information is used for policy formation and trade promotion. The JapaneseTechni.Cd The JapaneseTechnical Literature Program coordinates federal agency Lite rature Program collection, translation, and dissemination efforts relating to Japanese technical information. The technologiestracked include advancedmate- rials, microelectronics, manufacturing technology, biotechnology, medi- cal equipment, and robotics. The program issuesa quarterly news bulletin, the Annual Directory of JapaneseTechnical Resources,and annual summary reports on scientific and technical developments.The information is used to develop competitive assessmentsand new techni- cal programs in the United States. Department of Defense The DefenseTechnical The DefenseTechnical Information Center is the central collection and Information Center distribution point for scientific and technical information resulting from DOD’s research and development efforts. The Center collects and dissemi- nates foreign scientific technical information through international P8gt 30 GAO/NSWW117 Foreign Technology exchangeagreements,foreign contractors, and other DOD organizations. Global monitoring covers all scientific and technical literature. Products are available to Department of Defenseorganizations and their contrac- tors, private industry, academicinstitutions, and other government agencies,sometimesfor a fee. Unclassified reports are available to the public through NTIS.The information included can be used to support basic research, U.S. government policy formulation, and foreign scien- tific and technical information monitoring efforts by other U.S. govem- ment agencies. DOD’S Information Analysis Centers acquire, analyze, and summarize for- Information Analysis eign scientific and technical information in highly technical specialized Centers subject areas. Subject areas of interest include software development, cold weather, nuclear science,and infrared analysis and technology. Bibliographies, abstracts, and the servicesof the Centers are available to authorized DOD units and to the public on a limited basis. The informa- tion can be used to support DOD basic and applied research,policy for- mulation, and acquisitions. The Defense Intelligence The DefenseIntelligence Agency administers DOD’S !&rates project. Soc- rates monitors foreign scientific and technical information to support Agency DOD efforts to improve industrial competitiveness and provide planning information for U.S. military technological strategic purposes. Monitor- ing is global and focuseson specific technologiesof strategic interest. The information collected is used to produce capability assessmentsof strategic technologies. Using these data, Project Socratesproduces parameter reports to support export control decisions,research deci- sions, technology policy planning and international agreements.Prod- ucts are classified and available to authorized government organizations. Industrial and This program monitors foreign scientific and technical information to International Programs preserve export controls on technology that is military-critical and con- tributes to cooperative technology programs. Information from global monitoring is published in reports of the Institute for DefenseAnalyses. Accessto these reports is essentially unlimited. Additionally, through the Institute for DefenseAnalyses, Industrial and International Pro- grams provide foreign technology assessmentsin support of the Defense Critical TechnologiesPlan. . Ptgt31 GAO/NSIMMW117 Fore&n Technology AQW?d 1 Desaiption of Federal Agema Monitoring Activity The U.S. Army The Army’s European ResearchOffice monitors foreign scientific and technical information to try to identify unique foreign technologies. These technologies are transferred to appropriate Army laboratories and research facilities. Monitoring focuseson Europe, the Middle East, India, and Africa. The technologiesmonitored include basic research in physics, chemistry, biology, mathematics, electronics, materials, engi- neering, and geosciences.The information acquired is included in Scien- tific Highlights, USARDSG-UKResearchActivities Report, and the U.S. Army ResearchOffice Annual Report. Distribution of these products is unrestricted. The data collected are used by the Army and other govem- ment agenciesin the planning and execution of research and develop ment programs. Army laboratories monitor foreign scientific and technical information relevant to Army interests and responsibilities. Activities include the monitoring of meteorological data in Canada and Europe, the monitoring of robotics globally, and information on explosive devices focusing on France, West Germany, and the United Kingdom. The information is used to assesscompetitiveness,guide research and development efforts, and standardize techniques. Product distribution varies among the laboratories. The Army’s Foreign Scienceand Technology Center monitors foreign sci- entific and technical information relating to military material and hard- ware. Monitoring is global. Classified reports are available within the intelligence community. Unclassified reports are available to the public through DTIC and NTIS. The U.S. Navy The Office of the Chief of Naval Operations monitors foreign technology by focusing on those technologieswith potential naval application and those that can help identify areas for international research and devel- opment cooperation. Countries monitored include Australia, Brazil, Israel, Japan, South Korea, New Zealand, and Taiwan. The Office also develops bilateral and multilateral information exchangeagreements and technology cooperation programs with foreign nations. Listings of the agreementsand programs are available to the public. The Office of Naval Researchmonitors foreign technology through offices in London and Tokyo. The London Office monitors scienceand technology developments in Europe and the Mediterranean Basin, and the Tokyo office monitors scienceand technology in Japan and Korea. The information obtained by the London Office is included in the ASSETS P8gt 32 GAO,‘NsItiD.~117 Foreign Technology database and contains abstracts, articles, and local points of contact of interest to the Office’s European Office and the European scientific community. The U.S. Air Force The U.S. Air Force’s Foreign Technology Division maintains the Central Information and ReferenceControl database.This office is the primary producer of global scientific and technical aerospaceintelligence. Within the Department of Energy, research laboratories monitor foreign Department of Energy scientific and technical information relevant to their areasof research. Subjects of interest include nuclear weapons, high-energy lasers, com- posite materials, and reactor technology. Monitoring efforts cover coun- tries with significant technical abilities in these areas,potential suppliers, and countries with potential interests in acquiring nuclear capability. A variety of products result from these efforts. Someinfor- mation is maintained in databases.Information is generally classified and receives limited distribution. The information is used to support strategic planning, security related planning and decision-making, and tracking the flow of technology to sensitive nations. The State Department has scienceofficers in 24 major posts abroad, Department of State including most Western European capitals and Tokyo, and at several international organizations, such as the Organization for Economic Cooperation and Development. The officers report on foreign science and technical developments to approximately 60 federal government units. These reports are provided to the National Technical Information Service for publication in the Foreign Technology Abstract Newsletter, which is available to the public for an annual subscription fee. The information is used by numerous federal agenciesand researchersto monitor foreign technology developments of interest to them. National Aeronautics NASAmaintains a comprehensivedatabase system covering aeronautics, space,and supporting disciplines. The system began in 1962 and is and Space maintained by NASA’S scientific and Technical Information Facility. Administration Using this database, NAsAproduces semimonthly professional journals, including The Scientific and Technical Aerospace Reports and Intema- tional Aerospace Abstracts. These publications comprise about two-thirds of the database and are commercially available in the United Ptgt 8a GAO/NSIAD-9Wl7 Fort&n Ttchnology ApptntMxI DeralptronofFtddAgtnty Monltorlng A4ctMtv States through NASA and the American Institute of Aeronautics and Astronautics. As of 1988, approximately 37 percent of the databasewas from foreign sources,with about 14 percent from the Soviet Union and other Eastern Bloc countries. Japaneseitems make up about 6 percent of the database. NASA has informal, bilateral exchangearrangements with more than 20 Japaneseorganizations. The National ScienceFoundation collects information about scientific National Science developments and policy abroad. Subjects include astronomy, chemistry, Foundation materials, mathematics, physics, computing and information processing. Monitoring relates to scientific leadership in each subject. The informa- tion is used in the evaluation of grant proposals and reported in NSF publications. The Division of International Programs coordinates and managesthe NSF International Cooperative Scientific and Engineering Activities pro- grams. The programs are intended to foster U.S. knowledge of science and engineering activities in foreign countries, to initiate and support international cooperative activities, to provide opportunities for scien- tific collaboration in developing countries, and to provide support to U.S. institutions for foreign research.Information and analysis activities are emphasized,including the monitoring of technical developmentsin approximately 60 countries and organizations. The Division of ScienceResourceStudies collects current and detailed information on the scientific resources,activities, and capabilities of for- eign countries. The information is included in Scientific ResourcesHiah- lights, published annually in the International Scienceand Technology Data Update, and maintained for public use of the ScienceResources Studies’ Electronic Bulletin Board. The data facilitate comparisons between U.S. scientific and engineering activities and those of Japan, Western Europe, the Soviet Union, and other nations. It is intended to provide timely, policy related information to research and development managers,sciencepolicymakers and other agencieswithin the federal government. The Division of Electrical and Communications Systemsmanagesthe JapaneseTechnology Evaluation Project in collaboration with other fed- eral agencies. The Project assessesJapaneseresearch and development efforts in technologies such as advancedsensorsand computer assisted . Pyle 34 GAO/NSL4DSO-117 Fort&n Ttchnology design and manufacturing. Assessmentsare made available to the public through NTTS and are distributed directly to individual scientists listed with the Project. The studies are intended to provide an understanding of Japaneseresearch and technology to federal decisionmakersand pri- vate industry. Page a6 GAO/N~ll7 Fore&n Technololly Appendix II Major Contributor to This Report Steven H. Stemlieb, Project Director National Security and International Affairs Division, Washington, D.C. Thomas J. McGrane,Project Manager Boston RegionalOffice Nicolas DeMinico, Deputy Project Manager Walter Dunbar, Evaluator ReubenGarcia, Evaluator Gino Angelone, Evaluator Jennifer Arns, Programmer-Analyst Page 30 GAO/-NSIAD@M17 Foreign Technology
Foreign Technology: U.S. Monitoring and Dissemination of the Results of Foreign Research
Published by the Government Accountability Office on 1990-03-21.
Below is a raw (and likely hideous) rendition of the original report. (PDF)