oversight

Federal Research: Information on International Science and Technology Agreements

Published by the Government Accountability Office on 1999-04-22.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

                  United States General Accounting Office

GAO               Report to Congressional Requesters




April 1999
                  FEDERAL RESEARCH
                  Information on
                  International Science
                  and Technology
                  Agreements




GAO/RCED-99-108
                   United States
GAO                General Accounting Office
                   Washington, D.C. 20548

                   Resources, Community, and
                   Economic Development Division

                   B-279841

                   April 22, 1999

                   The Honorable F. James Sensenbrenner, Jr.
                   Chairman
                   The Honorable George E. Brown, Jr.
                   Ranking Minority Member
                   Committee on Science
                   House of Representatives

                   International collaboration in science and technology through joint
                   research and development projects and activities offers opportunities for
                   the United States and foreign governments to leverage research dollars
                   and increase productivity. The experience and information gained from
                   these projects and activities can lead to discoveries and inventions that are
                   important to the economic growth and development of both the United
                   States and foreign countries.

                   This report responds to your request that we provide information on the
                   U.S. government’s international science and technology (S&T) agreements
                   that support and encourage international cooperation in research and
                   development. Specifically, as agreed with your offices, this report
                   identifies (1) the number of international S&T agreements active during
                   fiscal year 1997 and (2) the number of these agreements that resulted in
                   research projects or other activities.1 As requested, we reviewed
                   international S&T agreements involving the Department of State (State); the
                   Department of Energy (DOE); the National Science Foundation (NSF); the
                   National Aeronautics and Space Administration (NASA); the National
                   Institutes of Health (NIH); the National Institute of Standards and
                   Technology (NIST); and the National Oceanic and Atmospheric
                   Administration (NOAA).


                   During fiscal year 1997, the seven agencies we reviewed participated in
Results in Brief   575 international science and technology agreements with 57 countries, 8
                   international organizations, and 10 groups of organizations and/or
                   countries. Fifty-four of the agreements were between the U.S. government
                   and the government of another country. The remaining 521 agreements
                   were signed by representatives of a U.S. agency and representatives of an
                   agency of a foreign government(s) or international organization.


                   1
                    Fiscal year 1997 is the most current year for which S&T agreement data were available at the start of
                   our review. We define active agreements as agreements that have not been terminated by the
                   participating governments or organizations.



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             More than 90 percent of the international science and technology
             agreements resulted in research projects or other research-related
             activities such as consultations among scientists and exchanges of data
             and personnel. The percentage of agency agreements that resulted in
             projects and other activities ranged, by agency, from 61 percent at the
             National Institutes of Health to 98 percent at the National Aeronautics and
             Space Administration. Agencies’ officials told us that changes in either
             country’s science priorities or inability to fund projects after negotiating
             an agreement are frequently the reasons some agreements do not result in
             research projects.


             The Department of State has overall responsibility for ensuring that all
Background   proposed international agreements are fully consistent with U.S. foreign
             policy objectives. The Department negotiates and administers
             government-level S&T agreements, often referred to as “umbrella” or
             “framework” agreements, between the U.S. government and governments
             of foreign countries. The Department also delegates authority to other U.S.
             agencies for them to negotiate and administer government-level
             agreements with foreign governments in mission-specific areas, such as
             energy and space. Government-level agreements generally provide the
             protocol that multiple agencies can use to share scientific data and
             equipment, to exchange researchers and conduct collaborative projects,
             and to protect intellectual property rights.

             In addition, research agencies negotiate and administer agency-level
             agreements with their counterpart agencies in foreign governments and
             with international organizations to conduct international cooperative
             research, provide technical support, or share data and/or equipment.
             Agencies have the flexibility to determine the number of agreements in
             which they participate and to choose whether these agency-level
             agreements will be related to or not related to a government-level
             agreement.

             The Department of State; the Offices of Science and Technology Policy
             and the United States Trade Representative, within the Executive Office of
             the President; the Department of Commerce; and other relevant agencies
             review many of the proposed agreements that are legally binding, as
             described in the Department of State’s Circular 175.2 The review—known
             as the Circular 175 process— is designed to ensure interagency

             2
              Circular 175 outlines the government’s procedures for coordinating reviews of proposed international
             S&T agreements.



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coordination; consistent treatment of issues such as access to foreign
facilities, information, and expertise; and appropriate consideration of the
foreign policy implications of specific agreements.

While these agreements can be an indicator of national interest to
cooperate in research and development, they are generally diplomatic
agreements that have no associated budget authority.3 The U.S.
government maintains these agreements to support and encourage
international cooperation in science and technology. However, the
government does not have a system for linking international S&T
agreements with actual spending on cooperative research and
development. According to a study by the Rand Corporation, the U.S.
government spent more than $3 billion in fiscal year 1995 on research and
development projects involving international cooperation that may or may
not have been associated with specific international S&T agreements.4 In
addition, the study states that government agencies spent as much as
$1.5 billion in other activities that were not research and development but
that constituted scientific or technical activities that involved significant
international cooperation.

In this report, we categorize the international S&T agreements into four
types: (1) government-level bilateral agreements between the U.S.
government and the government of another country, (2) agency-level
bilateral agreements between a U.S. agency and a research agency of a
foreign country that are related to a government-level agreement and
provide additional details that define how each agency will cooperate,
(3) agency-level bilateral agreements between a U.S. agency and a
research agency of a foreign country that are not related to a
government-level agreement, and (4) agency-level multilateral agreements
between a U.S. agency and research agencies of international organization
and/or of two or more foreign countries. Figure 1 illustrates the types of
S&T agreements.




3
 Between 1987 and 1995, the United States signed seven international S&T agreements that created
joint funds matched by each participating country to encourage collaboration on international
projects. In fiscal year 1996, the United States stopped contributing to these funds and no longer
provides funding for international S&T agreements.
4
 International Cooperation in Research and Development: An Inventory of U.S. Government Spending
and a Framework for Measuring Benefits, Critical Technologies Institute, RAND (1997).



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Figure 1: Types of International S&T Agreements

                                              Government-level bilateral S&T Agreements


                                                      Bilateral agreements between the
                                                          United States and another
                                                                   country.



                                         Agency-level bilateral and multilateral S&T Agreements


                         Bilateral agreements between                                  Bilateral agreements between
                          a U.S. agency and a foreign                                   a U.S. agency and a foreign
                          agency that are related to a                                     agency not related to a
                              government-level S&T                                         government-level S&T
                                    agreement.                                                   agreement.

                                                         Multilateral agreements between
                                                          a U.S. agency and international
                                                                organizations and/or
                                                                a group of countries.




                                             During fiscal year 1997, the seven agencies we reviewed participated in
Number of                                    575 international S&T agreements. The number of agreements varied by
International S&T                            agency, with the Department of Energy participating in 257 (or 45 percent)
Agreements                                   of the 575 agreements. Fifty-seven countries participated in bilateral
                                             agreements, while 8 international organizations and 10 groups of
                                             organizations and/or countries participated in multilateral agreements.


Types of International S&T                   Two-thirds of the agreements were agency-level bilateral agreements.
Agreements                                   Most of these were not related to government-level bilateral agreements.
                                             To be related to one of the government-level agreements, an agency-level
                                             agreement must specifically state that it is related to a government-level
                                             agreement.5 As figure 2 shows, 225 of the 575 agreements were
                                             agency-level bilateral agreements that did not refer to a government-level
                                             agreement, while 156 agency-level bilateral agreements did reference a
                                             government-level agreement. The 140 multilateral agreements did not have
                                             corresponding government-level multilateral agreements. App. I provides
                                             additional details on the number of agreements by type.


                                             5
                                              Under our approach for categorizing agreements, government-level agreements included agreements
                                             that cover broad S&T coordination issues and research in specific mission-related areas.



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Figure 2: Number of International S&T
Agreements, by Type, Active During
Fiscal Year 1997


                                                                        140                 Agency-level multilateral agreements

                                                    225                                     Agency-level bilateral agreements not
                                                                                            related to government-level bilateral
                                                                                            agreements

                                                                               54           Government-level bilateral agreements


                                                                  156                       Agency-level bilateral agreements
                                                                                            related to government-level
                                                                                            bilateral agreements




                                        Note: There are 575 agreements.

                                        Source: GAO’s analysis of agencies’ data.




                                        Agency officials had different viewpoints on the relative advantages and
                                        disadvantages of developing agency-level bilateral agreements that relate
                                        to government-level agreements. At the National Institute of Standards and
                                        Technology, over 80 percent of the agency-level bilateral S&T agreements
                                        refer to existing government-level agreements. Program officials at the
                                        National Institute of Standards and Technology said that they believe that
                                        it is easier to negotiate an agency-level agreement that is related to a
                                        government-level agreement because intellectual property rights issues
                                        have already been resolved in the government-level agreement.
                                        Department of State officials agreed. Office of Science and Technology
                                        Policy officials added that having agency-level agreements related to
                                        government-level agreements provides it and the Department of State
                                        some degree of oversight to ensure that agency programs are consistent
                                        with nonproliferation, trade, and other national security interests. At the
                                        Department of Energy, on the other hand, 40 percent of the Department’s
                                        agency-level bilateral agreements are not related to a government-level S&T
                                        agreement. According to Department of Energy officials, having
                                        agency-level agreements that are related to government-level agreements




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                                        under certain conditions can impose an administrative burden.
                                        Government-level agreements with some countries may require numerous
                                        meetings and reports to monitor the status of projects and actions.
                                        According to these officials, agency-level agreements related to such
                                        government agreements would also require similar meetings and reports.
                                        These meetings and reports can increase the cost and decrease the time
                                        available for actual research or project implementation.


Agencies’ Participation                 The distribution of the 575 agreements varied widely among the seven
                                        agencies we reviewed. As figure 3 shows, the number of agreements varied
                                        from 26 for the National Science Foundation to 257 for the Department of
                                        Energy.


Figure 3: Number of International S&T
Agreements, by Agency, Active During    300   Number of agreements
Fiscal Year 1997

                                        250



                                        200



                                        150



                                        100



                                         50



                                          0

                                                 NIH     NASA     DOE      NSF      NOAA   NIST    State



                                        Note: There are 575 agreements.

                                        Source: GAO’s analysis of agencies’ data.




Participation by Foreign                The seven agencies that we reviewed have bilateral agreements with 57
Countries and                           countries from almost every region of the world and multilateral
Organizations                           agreements with 8 international organizations and 10 groups of
                                        organizations and/or countries. Figure 4 summarizes the distribution of




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                                           bilateral agreements among major regions of the world. For example, in
                                           North America, the United States has a total of 34 bilateral agreements
                                           with two countries—Canada and Mexico. App. II provides specific data on
                                           the number of bilateral agreements by agency and by country.


Figure 4: Geographical Distribution of Bilateral Agreements


                                                                                                                          North America
                                                                                                                          34 Agreements
                                                                                                                             2 Countries

                                                                                                                                 Europe
                                                                                                                         111 Agreements
                                                                                                                            26 Countries

                                                                                                                                   Asia
                                                                                                                         190 Agreements
                                                                                                                            14 Countries

                                                                                                                            Middle East
                                                                                                                           13 Agreement
                                                                                                                             3 Countries

                                                                                                              Australia and South Pacific
                                                                                                                           24 Agreements
                                                                                                                              3 Countries

                                                                                                                                  Africa
                                                                                                                          15 Agreements
                                                                                                                             3 Countries

                                                                                                                             South and
                                                                                                                        Central America
                                                                                                                         48 Agreements
                                                                                                                             6 Countries



                                           Note: Total number of bilateral agreements equals 435.

                                           Source: GAO’s analysis of agencies’ data.




                                           As figure 4 shows, 301 (69 percent) of the bilateral agreements are with
                                           Asian and European countries; Middle Eastern countries have the least
                                           number of agreements. Agreements with Japan, Russia, and China
                                           together account for 146 (34 percent) of the 435 bilateral agreements.
                                           Japan has the most agreements with an individual agency—28 with the
                                           Department of Energy.

                                           Almost half of the 57 countries participating in bilateral agreements are
                                           involved in both government-level and agency-level agreements. Figure 5



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                                     summarizes the number of countries that participate in different types of
                                     agreements.


Figure 5: Number of Countries With
Different Types of Bilateral
Agreements


                                                                 7                          Countries with government-level
                                                                                            but no agency-level agreements


                                              27                                            Countries with government-
                                                                                            and agency-level agreements


                                                                       23                   Countries with agency-level but
                                                                                            no government-level agreements




                                     Note: There are 57 countries with bilateral agreements.

                                     Source: GAO’s analysis of agencies’ data.




                                     As shown in figure 5, U.S. agencies have signed international S&T
                                     agreements with agencies in 23 foreign countries that do not participate in
                                     government-level S&T agreements. For example, the Department of Energy
                                     and the National Aeronautics and Space Administration have a number of
                                     agreements with agencies in France and Australia. The United States has
                                     not signed a government-level S&T agreement with either country. Officials
                                     at the Office of Science and Technology Policy and the Department of
                                     State indicated that, with some countries, there may not be sufficient
                                     interest by enough agencies to warrant a government-level agreement.

                                     Figure 5 also shows that U.S. agencies have not developed agreements
                                     with seven countries that have signed government-level S&T agreements.6
                                     According to officials at the U.S. agencies, their agencies do not
                                     participate in agreements with some countries because the countries are

                                     6
                                      U.S. agencies have not signed agency-level agreements with Croatia, Latvia, Lithuania, the Former
                                     Yugoslav Republic of Macedonia, Romania, Slovenia, and Turkey.



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not conducting research that meets their agencies’ mission needs. The
officials said that State Department officials use joint S&T agreements as
one of several tools to improve foreign relations and to demonstrate
diplomatic support for a country. However, these officials said that while
they recognize that diplomacy and improved foreign relations may be valid
reasons for signing broad S&T agreements, individual U.S. agencies will not
sign agreements with other countries unless the agreements address
agency research missions. In addition, National Institutes of Health and
National Science Foundation officials said that agencies can informally
collaborate on research projects and in other research-related activities
without an international S&T agreement.

U.S. agencies have also signed a total of 140 international S&T agreements
with international organizations such as the International Energy Agency
and the European Space Agency and groups of organizations and/or
countries. Figure 6 summarizes the number of multilateral agreements by
these organizations and groups. For example, U.S. agencies have 16
agreements with the European Space Agency. See appendix III for details
on the agencies, organizations, and countries participating in the
multilateral agreements.




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Figure 6: Participants in Multilateral
S&T Agreements and Number of
Agreements by Participants
                                                                         16                       European Space Agency

                                                                                                  Groups of organizations
                                                                                     14
                                                                                                  and/or countries


                                                                                          8       European Union

                                                                                        5         Other organizations



                                                               97                                  International Energy Agency




                                         Note: There are 140 multilateral agreements.

                                         Source: GAO’s analysis of agencies’ data.




                                         Figure 6 shows that 97 (about 70 percent) of the 140 multilateral
                                         agreements are with the International Energy Agency. The International
                                         Energy Agency represents the U.S. and 23 countries with common
                                         scientific interests and priorities. According to Department of Energy
                                         officials, the International Energy Agency acts as a broker for the
                                         Department of Energy whenever two or more member countries
                                         participate in an agreement. However, the participating countries may vary
                                         for each agreement, depending in part on the subject of the agreement and
                                         the countries’ interests. For example, an agreement on coal research
                                         involves Australia, Canada, and 10 other countries and the United States,
                                         while another agreement on advance fuel cells research involves Japan,
                                         Korea, and 12 other countries and the United States.




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                      More than 90 percent of the international S&T agreements active in fiscal
Most S&T Agreements   year 1997 resulted in research projects or other research-related activities.
Result in Research    For the agreements that did not have such results, agencies cited two
Projects or Other     reasons: funding problems of one or both parties that developed after the
                      agreements were signed and changes in research priorities.
Research-Related
Activities            Figure 7 shows the percentage of agency agreements that have resulted in
                      research projects or other research-related activities since the agreements
                      were started or last renewed.7 The percentage of agency agreements
                      resulting in projects or other activities during this time ranged from
                      61 percent at the National Institutes of Health to 98 percent at the National
                      Aeronautics and Space Administration. In total, 93 percent of the agency
                      agreements, 506 in all, resulted in projects or other research-related
                      activities such as consultations among scientists and exchanges of data
                      and/or personnel. About 7 percent resulted in no activities. For this report,
                      we define a research project as a set of coherent activities designed to
                      achieve a common purpose by a specific date. We define other
                      research-related activities as meetings, consultations, and exchanges of
                      data and/or personnel.




                      7
                       Agency agreements include agency-level agreements and government-level mission-specific
                      agreements.



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Figure 7: Percent of Agreements That
Resulted in Research Projects or Other   100 Percent
Actions

                                          80




                                          60




                                          40




                                          20




                                           0


                                                   DOE   NASA      NIH       NIST   NOAA   NSF


                                                         Research Projects

                                                         Other actions



                                         Source: GAO’s analysis of agencies’ data.




                                         Agreements resulted in research projects more often—about 82 percent of
                                         the time—than in other research-related activities. See appendix IV for
                                         additional details on the results of each agency’s agreements.

                                         We did not include data on the number of research projects or other
                                         research-related activities associated with the 33 government-level
                                         agreements negotiated by the Department of State because these
                                         government-level agreements generally have associated agency-level
                                         agreements. As previously noted, U.S. agencies have developed
                                         agency-level agreements with all but seven countries that have
                                         government-level agreements. For three of these countries, four U.S.
                                         agencies have started projects under government-level agreements. These
                                         projects are funded from joint matching funds provided by the U.S.
                                         government and the participating countries to encourage international
                                         collaboration. For the remaining four countries, agencies have neither




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                                         signed an agency-level agreement nor started a joint project with the
                                         country under a government-level agreement.

                                         A variety of research projects are conducted under international
                                         agreements at the U.S. agencies. For example, the National Aeronautics
                                         and Space Administration’s projects conducted under international
                                         agreements include a project to develop crew return and transfer vehicles
                                         for the International Space Station and to launch satellites to conduct
                                         research projects. The National Science Foundation’s projects include
                                         joint work in ocean drilling, and the National Institutes of Health sponsors
                                         projects to investigate potentially dangerous infectious diseases. Table 1
                                         provides additional examples of projects and activities resulting from the
                                         agreements.

Table 1: Examples of Research
Projects and Activities Resulting From                                                   Examples of research projects and
International S&T Agreements             Agency                                          activities
                                         Department of Energy                            Demonstration of clean coal technologies
                                                                                         to more efficiently produce electricity from
                                                                                         coal.
                                         National Science Foundation                     Joint construction and operation of two
                                                                                         major telescopes for astronomical
                                                                                         observation (Gemini Telescopes Project).
                                         National Institutes of Health                   Consultations to explore areas of
                                                                                         cooperation in vision research and
                                                                                         workshops to discuss sharing electronic
                                                                                         library information.
                                         National Oceanic and Atmospheric                Distribution of data from remote-sensing
                                         Administration                                  satellites to foreign ground stations.
                                         National Aeronautics and Space                  Cooperation in launching a foreign
                                         Administration                                  country’s satellite for earth observation.
                                         National Institute of Standards and             Cooperation in dimensional metrology.
                                         Technology
                                         Source: GAO’s analysis of agencies’ data.



                                         Agencies’ officials told us that some agreements did not result in projects
                                         because the participating agencies of either country changed their S&T
                                         priorities or were unable to fund projects after negotiating an agreement.
                                         For example, National Institutes of Health officials said that an agreement
                                         signed late in fiscal year 1997 with Chile has not resulted in the intended
                                         projects or other activities because the Chilean science agency has not yet
                                         been able to provide the expected funding. However, the officials
                                         anticipate that projects may result from this agreement in the future.




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                  National Science Foundation officials told us that an agreement with
                  Indonesia has not resulted in activities because of administrative problems
                  that researchers have encountered in dealing with the country.


                  We provided a draft of this report to the Department of State; the
Agency Comments   Department of Energy; the Department of Commerce, which includes the
                  National Institute of Standards and Technology and the National Oceanic
                  and Atmospheric Administration; the National Science Foundation; the
                  National Aeronautics and Space Administration; the National Institutes of
                  Health; and the Office of Science and Technology Policy for review and
                  comment. We obtained comments from each of these agencies. Generally,
                  the agencies agreed that the report accurately describes their international
                  S&T agreements and related activities. Some of the agencies suggested
                  technical changes to help ensure an accurate description of their
                  international S&T agreements. In addition, the Department of State
                  suggested changes that would clarify its role and authority. We
                  incorporated these suggestions in our report.


                  To determine the number and type of international S&T agreements active
Scope and         during fiscal year 1997, we met with officials at the Department of State’s
Methodology       Bureau of Oceans and International Environmental and Scientific Affairs
                  and at selected agencies. Department of State officials provided us with
                  data on some government-level agreements. However, detailed data on
                  individual agencies’ agreements had to be obtained from representatives
                  from each agency’s international S&T office.8 To respond to our request for
                  information, these officials generally collected data from various units
                  within the agency on agreements that were active during fiscal year 1997
                  and provided the data to us electronically.9 We analyzed the data to
                  identify the number and type of agreements and the foreign participants.

                  To determine the number of agreements that resulted in projects or other
                  actions and the reasons some agreements have not produced these results,
                  we obtained information from the six U.S. research agencies. The
                  Department of State does not generally fund research projects under the
                  broad government-level S&T agreements that it administers.


                  8
                  We did not request data on informal cooperative efforts involving individual scientists or on the
                  Department of Energy’s classified agreements.
                  9
                   National Aeronautics and Space Administration officials identified active agreements that were
                  approved during the 3-year period fiscal years 1995-97, instead of all active agreements, because the
                  agency could not easily identify its total universe of active agreements.



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In addition, we reviewed and discussed legislation with the Department of
State and other agencies that was relevant to international S&T agreements.
We also reviewed and discussed with the six research agencies their
policies and procedures on international S&T agreements and obtained
pertinent documents and reports that discussed their international
activities and agreements.

In general, we relied on the data the agencies provided us and did not
independently verify its accuracy. However, we reviewed early drafts of
the data that the agencies prepared for us and followed up with the
agencies to clarify and resolve inconsistencies in all data that the agencies
provided. Our review was performed from August 1998 through April 1999
in accordance with generally accepted government auditing standards.


As arranged with your offices, unless you publicly announce its contents
earlier, we plan no further distribution of this report until 30 days after the
date of this report. At that time, we will send copies to the Honorable
William M. Daley, Secretary of Commerce; the Honorable Bill Richardson,
Secretary of Energy; the Honorable Donna E. Shalala, Secretary of Health
and Human Services; the Honorable Madeleine K. Albright, Secretary of
State; the Honorable D. James Baker, Under Secretary, National Oceanic
and Atmospheric Administration; Raymond G. Kammer, Director, National
Institute of Standards and Technology; Dr. Harold E. Varmus, Director,
National Institutes of Health; Daniel S. Goldin, Administrator, National
Aeronautics and Space Administration; Dr. Rita R. Colwell, Director,
National Science Foundation; and Dr. Neal Lane, Director, Office of
Science and Technology Policy. We will also make copies available to
others on request.

Please contact me at (202) 512-3841 if you or your staff have any questions.
Major contributors to this report are listed in appendix V.




Susan D. Kladiva
Associate Director, Energy,
  Resources, and Science Issues




Page 15                             GAO/RCED-99-108 International S&T Agreements
Contents



Letter                                                                      1


Appendix I                                                                 18
The Number and
Types of Agreements
Seven Federal
Agencies Participated
in During Fiscal Year
1997
Appendix II                                                                19
Number of United
States Bilateral S&T
Agreements by Region
and Country
Appendix III                                                               22
Organizations and
Countries
Participating in
Multilateral
Agreements
Appendix IV                                                                24
Number and Percent
of Agreements Active
in Fiscal Year 1997
That Resulted in
Research Projects or
Other Actions by
Agency



                        Page 16   GAO/RCED-99-108 International S&T Agreements
                        Contents




Appendix V                                                                                         25
Major Contributors to
This Report
Table                   Table 1: Examples of Research Projects and Activities Resulting            13
                          From International S&T Agreements


Figures                 Figure 1: Types of International S&T Agreements                             4
                        Figure 2: Number of International S&T Agreements, by Type,                  5
                          Active During Fiscal Year 1997
                        Figure 3: Number of International S&T Agreements, by Agency,                6
                          Active During Fiscal Year 1997
                        Figure 4: Geographical Distribution of Bilateral Agreements                 7
                        Figure 5: Number of Countries With Different Types of Bilateral             8
                          Agreements
                        Figure 6: Participants in Multilateral S&T Agreements and                  10
                          Number of Agreements by Participants
                        Figure 7: Percent of Agreements That Resulted in Research                  12
                          Projects or Other Actions




                        Abbreviations

                        DOE        Department of Energy
                        NASA       National Aeronautics and Space Administration
                        NIH        National Institutes of Health
                        NIST       National Institute of Standards and Technology
                        NOAA       National Oceanic and Atmospheric Administration
                        NSF        National Science Foundation
                        S&T        science and technology


                        Page 17                           GAO/RCED-99-108 International S&T Agreements
Appendix I

The Number and Types of Agreements
Seven Federal Agencies Participated in
During Fiscal Year 1997

                                                         Types of agreements
                    Government-level                                                    Agency-level
                           Agency                              Bilateral                   Bilateral
                          mission-                           (related to             (not related to
Agency       Broad S&T    specific     Subtotal       government-level)           government-level)            Multilateral            Total
DOE                  0          9                9                       85                          56                 107              257
NASAa                0          6                6                         6                       100                   15              127
NIH                  0          3                3                         8                         32                    1                  44
NIST                 0          0                0                       41                           8                    7                  56
NOAA                 0          2                2                         4                         19                    7                  32
NSF                  0          1                1                       12                          10                    3                  26
                      b
State               33          0             33                           0                          0                    0                  33
Total               33         21             54                        156                        225                  140              575
                                       Note: Department of Energy (DOE), National Aeronautics and Space Administration (NASA),
                                       National Institutes of Health (NIH), National Institute of Standards and Technology (NIST), National
                                       Oceanic and Atmospheric Administration (NOAA), National Science Foundation (NSF), and
                                       Department of State (State).
                                       a
                                        The number of S&T agreements for NASA may be understated. Agency officials provided data
                                       on agreements that were approved during fiscal years 1995 through 1997 because they did not
                                       know how many active agreements the agency had in fiscal year 1997.
                                       b
                                        In addition to the broad S&T agreements, the Department of State has negotiated
                                       government-level diplomatic notes with Canada, United Kingdom, and Germany that address
                                       intellectual property rights.

                                       Source: GAO’s analysis of agencies’ data.




                                       Page 18                                        GAO/RCED-99-108 International S&T Agreements
Appendix II

Number of United States Bilateral S&T
Agreements by Region and Country


Country               DOE      NASA   NIH   NIST    NOAA         NSF       State        Total
Asia
Japan                   28       26     4     13         2          4         1            78
Russia                  16        8     4      5         1          3         1            38
China                   20              3      1         2          3         1            30
Korea                    7              2      7         1          2         1            20
Indiaa                            1     1      1         1                                  4
Taiwan                                  2                2                                  4
Armenia                           1     1                                     1             3
Indonesia                                      1                    1                       2
Kazakhstan                                     1                              1             2
Philippines              1        1                                                         2
Thailand                          1                      1                                  2
Mongolia                          1                                           1             2
Pakistan                                                 1                                  1
Turkey                                                                        1             1
Subtotal                                                                                  190
Europe
France                   9        6     1                4          1                      21
Germany                  1        8     3                           3                      15
United Kingdom           5        3     1                1          1                      11
Italy                    2        4     3      1                              1            11
Czech Republic a,b                             2         1          1         1             5
             a
Hungary                           1     1      1                    1         1             5
Spain                    4                                                    1             5
Sweden                   3        1     1                                                   5
Ukraine                  3                     1                              1             5
         a
Poland                   2                                          1         1             4
Finland                  1              1                                     1             3
Netherlands                       1            1                                            2
Austria                           2                                                         2
Belarus                  1                                                    1             2
Bulgaria                                                            1         1             2
Denmark                           2                                                         2
Estonia                  1                                                    1             2
Belgium                           1                                                         1
Croatia a, c                                                                  1             1
Latvia                                                                        1             1
Lithuania                                                                     1             1
                                                                                   (continued)


                     Page 19                   GAO/RCED-99-108 International S&T Agreements
                              Appendix II
                              Number of United States Bilateral S&T
                              Agreements by Region and Country




Country                        DOE       NASA          NIH       NIST       NOAA         NSF        State        Total
Former Yugoslav Republic of
Macedoniaa, c                                                                                           1            1
Slovak Republic a, b                                                                        1                        1
            a c
Slovenia ,                                                                                              1            1
Switzerland                                               1                                                          1
Romania                                                                                                 1            1
Subtotal                                                                                                          111
South and Central America
Venezuela                        12                       1           1                                 1           15
Brazil                            3           6                       1          1                      1           12
Argentina                         3           4                       2                                 1           10
Chile                             2           3           1           1                                 1            8
Costa Rica                        2                                                                                  2
Ecuador                                                               1                                              1
Subtotal                                                                                                            48
North America
Canada                            5          14           1           3          2                                  25
Mexico                            3                       3           1          1                      1            9
Subtotal                                                                                                            34
Australia and South Pacific
Australia                         5           9           1                      1                                  16
New Zealand                                   2           1           1                                 1            5
Marshall Islands                  3                                                                                  3
Subtotal                                                                                                            24
Africa
South Africa                      3           2           1           1          1                      1            9
Egypt                                                     1           1                                 1            3
Ghana                             3                                                                                  3
Subtotal                                                                                                            15
Middle East
Israela                           1           4           3                                                          8
Saudi Arabia                      1                                   1          2                                   4
Kuwait                                                    1                                                          1
Subtotal                                                                                                            13
Total                           150        112          43            49       25         23           33         435

                                                                                             (Table notes on next page)




                              Page 20                                  GAO/RCED-99-108 International S&T Agreements
Appendix II
Number of United States Bilateral S&T
Agreements by Region and Country




Note: Department of Energy (DOE), National Aeronautics and Space Administration (NASA),
National Institutes of Health (NIH), National Institute of Standards and Technology (NIST), National
Oceanic and Atmospheric Administrtation (NOAA), National Science Foundation (NSF), and
Department of State (State).
a
 These countries participate with the United States in joint funds established through
government-level agreements or other arrangements to support international cooperation in
research and development.
b
 State Department has a joint government-level agreement with the Czech and Slovak Republics.
For this report, we have counted it as one agreement with the Czech Republic.
c
 Croatia, the Former Yugoslav Republic of Macedonia, and Slovenia have started joint projects
with the United States under government-level S&T agreements.

Source: GAO’s analysis of agencies’ data.




Page 21                                        GAO/RCED-99-108 International S&T Agreements
Appendix III

Organizations and Countries Participating in
Multilateral Agreements


                                                                                                                        Total
                                       Agencies participating in multilateral agreements                           number of
                              DOE           NASA           NIH          NIST        NOAA           NSF            agreements
Organizations
International Energy
Agency                          97                                                                                           97
European Space
Agency                                         13                                          3                                 16
European Union                    5             2                                          1                                  8
Pan American Health
Organization                                                 1                                                                1
European Science
Foundation                                                                                            1                       1
Standardization and
Metrology Organization
for the Gulf
Cooperation Council
Countries                                                                  1                                                  1
Nuclear Energy Agency             1                                                                                           1
Interamerican
Metrology System (5
regional organizations)                                                    1                                                  1
Groups of organizations and/or countries
European Union,
Canada, France,
Germany, Italy, Japan,
United Kingdom                                                             2                                                  2
European Union,
Japan, Russia                     2                                                                                           2
European Union,
International Science
and Technology
Center, Japan, Russia             1                                                                                           1
Canada, France, Russia                                                                     2                                  2
Canada, France                                                                             1                                  1
Canada, Australia                                                                                     1                       1
Canada, Australia,
United Kingdom, Chile,
Brazil, Argentina                                                                                     1                       1
Denmark, Hungary                                                           1                                                  1
Canada, Mexico                                                             2                                                  2
Sweden, Norway,
Finland, Denmark                  1                                                                                           1
Total                          107             15            1             7               7          3                    140

                                                                                                      (Table notes on next page)




                                           Page 22                              GAO/RCED-99-108 International S&T Agreements
Appendix III
Organizations and Countries Participating in
Multilateral Agreements




Note: Department of Energy (DOE), National Aeronautics and Space Administration (NASA),
National Institutes of Health (NIH), National Institute of Standards and Technology (NIST), National
Oceanic and Atmospheric Administration (NOAA), National Science Foundation (NSF).

Source: GAO’s analysis of agencies’ data.




Page 23                                        GAO/RCED-99-108 International S&T Agreements
Appendix IV

Number and Percent of Agreements Active
in Fiscal Year 1997 That Resulted in
Research Projects or Other Actions by
Agency
                                  Number and percent of agreements by agency

Type of        DOE           NASA                 NIH               NIST               NOAA                  NSF                 Total
results       No.    Pct.   No.     Pct.       No.      Pct.      No.      Pct.       No.       Pct.      No.       Pct.       No.       Pct.
Projects      211     82    124      97           5       11       47        84        31        97         25        96       443            82
Other
actions        36     14      1       1          22       50         4        7          0         0         0         0        63            11
No results     10      4      2       2          17       39         5        9          1         3         1         4        36             7
                                                                                                                                   a
Total         257    100    127     100          44      100       56       100        32       100         26       100       542       100
                                       Note: Department of Energy (DOE), National Aeronautics and Space Administration (NASA),
                                       National Institutes of Health (NIH), National Institute of Standards and Technology (NIST), National
                                       Oceanic and Atmospheric Administration (NOAA), National Science Foundation (NSF).
                                       a
                                           Does not include 33 government-level agreements.

                                       Source: GAO’s analysis of agencies’ data.




                                       Page 24                                        GAO/RCED-99-108 International S&T Agreements
Appendix V

Major Contributors to This Report


                        Alice Feldesman
Resources,              Robert Lilly
Community, and          Robin Nazzaro
Economic                Carrie Stevens
Development
Division, Washington,
D.C.
                        Mindi Weisenbloom
Office of General
Counsel




(141173)                Page 25             GAO/RCED-99-108 International S&T Agreements
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