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Page i
Successes and Difficulties of Small Innovative Firms in Russian
Nuclear Cities
Proceedings of a Russian-American Workshop
Committee on Small Innovative Firms in Russian Nuclear Cities
Office for Central Europe and Eurasia Development, Security, and
Cooperation Policy and Global Affairs
National Research Council
In cooperation with the
Institute for Physics and Power Engineering
Obninsk, Russia
NATIONAL ACADEMY PRESS
Washington, D.C.
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Page ii
NATIONAL ACADEMY
PRESS 2101 Constitution Avenue,
N.W. Washington,
D.C. 20418
NOTICE: The project that is the subject of this report was approved
by the Governing Board of the National Research Council, whose
members are drawn from the councils of the National Academy of
Sciences, the National Academy of Engineering, and the Institute of
Medicine. The members of the committee responsible for the report
were chosen for their special competences and with regard for
appropriate balance.
This study was supported by Contract No. DE-AM01–99PO80016,
Task Order DE-AT01–01NN40254 A001, between the National
Academy of Sciences and the U.S. Department of Energy. Any
opinions, findings, conclusions, or recommendations expressed in
this publication are those of the author(s) and do not necessarily
reflect the views of the organizations or agencies that provided
support for the project.
International Standard Book Number 0–309–08421–0
A limited number of copies of this report are available from:
Development, Security, and Cooperation
National Research Council, FO 2060
2101 Constitution Avenue, NW
Washington, DC 20418
Tel: (202) 334–2644
Additional copies of this report are
available for sale from: National
Academy Press 2101 Constitution Avenue, NW , Lockbox 285
Washington, DC 20055 Tel: (800)
624–6242 or (202)
334–3313 (in the Washington metropolitan area)
Internet, http://www.nap.edu
Printed in the United
States of America
Copyright 2002 by the National Academy of Sciences . All
rights reserved.
Page iii
THE NATIONAL ACADEMIES
National Academy of Sciences
National Academy of Engineering
Institute of Medicine
National Research Council
The National Academy of Sciences is a private,
nonprofit, self-perpetuating society of distinguished scholars
engaged in scientific and engineering research, dedicated to the
furtherance of science and technology and to their use for the
general welfare. Upon the authority of the charter granted to it by
the Congress in 1863, the Academy has a mandate that requires it to
advise the federal government on scientific and technical matters.
Dr. Bruce M.Alberts is president of the National Academy of
Sciences.
The National Academy of Engineering was
established in 1964, under the charter of the National Academy of
Sciences, as a parallel organization of outstanding engineers. It
is autonomous in its administration and in the selection of its
members, sharing with the National Academy of Sciences the
responsibility for advising the federal government. The National
Academy of Engineering also sponsors engineering programs aimed at
meeting national needs, encourages education and research, and
recognizes the superior achievements of engineers. Dr. Wm. A. Wulf
is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970
by the National Academy of Sciences to secure the services of
eminent members of appropriate professions in the examination of
policy matters pertaining to the health of the public. The
Institute acts under the responsibility given to the National
Academy of Sciences by its congressional charter to be an adviser
to the federal government and, upon its own initiative, to identify
issues of medical care, research, and education. Dr. Kenneth
I.Shine is president of the Institute of Medicine.
The National Research Council was organized by the
National Academy of Sciences in 1916 to associate the broad
community of science and technology with the Academy's purposes
of furthering knowledge and advising the federal government.
Functioning in accordance with general policies determined by the
Academy, the Council has become the principal operating agency of
both the National Academy of Sciences and the National Academy of
Engineering in providing services to the government, the public,
and the scientific and engineering communities. The Council is
administered jointly by both Academies and the Institute of
Medicine. Dr. Bruce M.Alberts and Dr. Wm. A.Wulf are chairman and
vice chairman, respectively, of the National Research Council.
Page iv
Page v
NRC COMMITTEE ON SMALL INNOVATIVE FIRMS
IN RUSSIAN NUCLEAR CITIES
Alvin W.Trivelpiece (Chair)
Director (retired) Oak Ridge National
Laboratory
Eileen S.Vergino Deputy
Director, Center for Global Security
Research Lawrence Livermore National Laboratory
Clifford G.Gaddy
Fellow, Economic Studies and Foreign
Policy Studies The Brookings Institution
RUSSIAN ORGANIZING COMMITTEE
Alexander P.Sorokin
Deputy Chair, Obninsk Council for
Science and Technology
Valery I.Balanda
Chief, Department of International
Relations Institute for Physics and Power Engineering
Mikhail V.Shubin Deputy
Chief, Department of Regional,
Social, and Personnel Policy Russian Ministry of Atomic
Energy
Yury K.Shiyan
Chief, Office of Foreign Affairs
Russian Academy of Sciences
Page vi
NRC STAFF
Glenn E.Schweitzer Project
Director
A.Chelsea Sharber Program
Specialist
Kelly Robbins Senior
Program Officer
Page vii
Preface
In October 2000 the Department of Energy (DOE), the Russian
Ministry of Atomic Energy (Minatom), and the National Research
Council (NRC) agreed that a workshop on the successes and
difficulties of small innovative firms in several of the atomic
cities of Russia would be helpful in identifying business
approaches and Russian governmental policies that should be
encouraged through joint programs of the U.S. and Russian
governments and through the efforts of Western nongovernmental
organizations. The Nuclear Cities Initiative of DOE awarded a
contract to the NRC to assume responsibility for organizing the
workshop. Having previously conducted projects in Russia on
commercialization of technology, the NRC was in a good position to
design a workshop that would be relevant to the needs of both the
Russian and the U.S. governments. Minatom selected the Institute
for Physics and Power Engineering (IPPE) in Obninsk as the Russian
counterpart to work with the NRC in organizing the workshop and to
serve as the host for the workshop. IPPE has had extensive
experience in organizing international conferences on topics
related to technology commercialization.
A workshop was held in Obninsk in September 2001. Twenty Russian
specialists from five nuclear cities and Moscow, seven American
specialists, and representatives of DOE and the technical
assistance program of the European Union (Tacis) made
presentations. An additional 20 Russian specialists attended the
workshop and made useful comments on the presentations. The
presentations addressed many aspects of the establishment and
management of small innovative firms in Russia, including a
Page viii
number of specific examples of the activities of small firms, as well
as lessons learned in establishing commercially viable firms in the
United States. While there are great differences in the business
environments, in the training and experience of entrepreneurs, in the
communication and physical infrastructures, and in the availability of
financial resources in the two countries, some principles concerning
management, marketing, and general business strategies are relevant in
both countries. This report includes the presentations made at the
workshop, with many of them reflecting general principles that enhance
the likelihood of profitability of firms in both countries.
Prior to the workshop the American participants visited three small
firms in Obninsk and several state research institutes that have had
experience in encouraging the establishment of firms based in part on
technical capabilities developed within the institutes. These visits
helped orient the American specialists to the realities of doing
business in Russia and highlighted various approaches that have been
followed.
At the end of the first day of the workshop, the participants received
the news of the terrorist attacks on New York and Washington.
Since the American participants would be unable to return to the
United States for several days, they collectively proposed continuing
the workshop and completing the planned program. Our Russian hosts
agreed with this approach. So, despite the uncertainties concerning
events in the United States, the workshop was completed as scheduled.
I would like to express my appreciation to the other members of the
NRC committee who assisted in the preparations for the workshop and
reviewed these proceedings. We are indebted to the Russian organizers
of the workshop, particularly Alexander Sorokin and Valery Balanda,
who assembled an excellent group of Russian participants and made all
the arrangements for a successful workshop. Also, we commend William
Desmond of DOE, who had the foresight to support this workshop and who
assisted in navigating the bureaucratic hazards in Washington and
Moscow that constantly threatened to result in its cancellation.
The Americans attending the workshop were deeply grateful to their
Russian friends for the outpouring of sympathy and support they
expressed to us regarding the terrible tragedy that befell the United
States during our visit. None of us will ever forget what we were
doing and whom we were with in Obninsk, Russia, on September 11, 2001.
ACKNOWLEDGMENTS
These proceedings have been reviewed in draft form by individuals
chosen for their technical expertise, in accordance with procedures
approved by the NRC's Report Review Committee. The purpose of
this
Page ix
independent review is to provide candid and critical comments that
will assist the institution in making its published proceedings as
sound as possible and to ensure that the proceedings meet
institutional standards for quality. The review comments and draft
manuscript remain confidential. In addition to the members of the NRC
Committee, I wish to thank Blaine Gibson, Siberia Pacific Company, for
his review of selected papers in this proceedings.
We wish to thank Kelly Robbins for her translation of the Russian
language papers into English. Special thanks also to Jan Dee Summers,
Kelly Robbins, and A.Chelsea Sharber for their editing of the
proceedings.
—Alvin Trivelpiece
Chair, NRC Committee on Small Innovative Firms in Russian Nuclear
Cities
Page x
Page xi
Contents
Nuclear Cities Initiative: Interests of the Program
George D.Pomeroy
1
Analysis of the Results of the Targeted Program for Promoting Employment for the Population of Minatom Closed Administrative-Territorial Zones for 1998–2000
Irina V.Yefimkova
8
Technobusiness in Russia's Atomic Cities
Glenn E.Schweitzer
22
Innovation Activity in Russian Higher Education
Sergei A.Mitrofanov, A.A.Kharin, I.L.Kolensky
24
Challenges at the Zelenograd Technopark
Vladimir Leontyev
39
States' Efforts in Small Business Development: Two Models
David N.McNelis
48
Development of Small Innovative Companies in Sarov to Serve the Russian Market
Vladimir I.Zhigalov
57
Page xii
Contents
Development of Small Innovative Companies in Snezhinsk to Serve the Russian Market
Aleksei A.Kholodov and Yury Rumyantsev
68
Development of Small Innovative Companies in Zarechny to Serve the Russian Market
Yevgeny N.Loguntsev
79
Development of Small Innovative Companies in Obninsk to Serve the Russian Market
Yevgeny A.Pashin
88
Companies Based on Technologies Developed at U.S. National Laboratories
Alvin W.Trivelpiece
97
The Creation of Sustainable Business in Russia's Nuclear Cities
Juan Matthews
101
Russian and American Business Practices and Laws: Advice to Businesses in Russian Nuclear Cities
Blaine A.Gibson
111
Support for Innovation Activities by the City Administration: Review of Innovative Firms in Zheleznogorsk
Pavel V.Yakushin
114
Steps Taken by the Zarechny City Administration to Support Small Innovative Companies
Yury I.Kvachev
139
The Role of Foreign Partners as Investors or Customers in the Development of Small Innovative Businesses in Snezhinsk
Vladimir V.Klimenko and Andrei G.Kruglov
148
Steps Taken by the Sarov City Administration and Most Important Organizations in Support of Small Innovative Businesses
Aleksandr V.Belugin, Yelena S.Dyakova, Vladimir I.Zhigalov,
P.G.Smirnov, and Olga N.Arkhipkina
157
Page xiii
Contents
Activities of the Obninsk City Administration Aimed at Supporting Small Innovative Firms
Igor M.Mironov
167
Small Business and the Macro Economy: Some Observations
Clifford G.Gaddy
182
Steps Being Undertaken by the Snezhinsk City Administration to Support Small Innovative Companies
Andrei G.Kruglov
190
The Role of Foreign Partners as Investors or Customers in the Development of Small Innovative Firms
Igor I.Rakosei
200
The Role of Foreign Partners as Investors and Customers in the Development of Small Innovative Companies
Yelena S.Dyakova and Vladimir I.Zhigalov
209
The Role of Nongovernmental Approaches to Business Development
Eileen S.Vergino
216
Small Innovative Business in the Nuclear Cities
Aleksandr P.Sorokin
223
Highlights of Presentations and Discussions
Glenn E.Schweitzer
230
Appendix A:
Committee Members and Participants
233
Appendix B:
Russian Science Cities
239
Page xiv
