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Innovating for Profit in Russia: Summary of a Workshop C Basic Principles of the Russian Federation Policy on the Development of Science and Technology for the Period to 2010 and Beyond Approved by the President of the Russian Federation, Vladimir Putin Moscow, 2002 I. GENERAL PROVISIONS Basic Principles of the Russian Federation policy on the development of science and technology for the period to 2010 and beyond (hereinafter referred to as Basic Principles) define the most important directions of state policy in the development of science and technology; the objectives, tasks and means of their implementation; and a system of economic and other measures for stimulating science and scientific-technical activity. The legal basis of the Basic Principles is the Constitution of the Russian Federation and the federal laws “On State Science and State Scientific-Technical Policy” and “On State Forecasting and Programs of Social-Economic Development of the Russian Federation.” Implementation of the Basic Principles is designed to ensure the following strategic national priorities of the Russian Federation: improving the quality of life of the population; achieving economic growth; developing fundamental science, education, and culture; and ensuring national defense and security. The Basic Principles are formed and implemented on the basis of national interests and the interests of the subjects of the Russian Federation.
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Innovating for Profit in Russia: Summary of a Workshop II. PURPOSE AND TASKS OF STATE POLICY ON THE DEVELOPMENT OF SCIENCE AND TECHNOLOGY Development of science and technology is intended to solve the tasks of the country’s social-economic progress and should be among the highest priorities of the Russian Federation. Science and technology are developed on the following bases: scientific-technical complexes including all organizations of different organizational-legal forms and forms of property which are involved in science, scientific-technical activity, and training of scientific workers, including personnel of the highest qualifications fundamental science, which has world-renowned scientific schools and a well-developed system of higher education most importantly, applied research and development (R&D) capabilities, industrial potential, unique production and other technologies, and scientific-technical reserves highly qualified scientific personnel and specialists, an information infrastructure, and material-technical and experimental bases experience and concentrated efforts in solving complex scientific-technical and technological problems on a national scale rich natural resources and well-developed transportation and communication infrastructures The objective of state policy in the development of science and technology is the transition to an innovative means of the country’s development on the basis of selected priorities. In order to reach the state policy objective in the field of science and technology, the following main tasks have to be accomplished: establishment of organizational and economic mechanisms for enhancing the domestic production demand for innovations based on advanced fundamental science and the most important kinds of applied R&D improvement of the normative legal basis for scientific, technical, and innovative activities adaptation of the scientific-technical complex to the conditions of a market economy, including the interaction between state and private capital with the purpose of developing science, technology, and engineering rational combination of the state regulatory and market mechanisms for the direct and indirect stimulation of scientific, scientific-technical, and innova-
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Innovating for Profit in Russia: Summary of a Workshop tion activity in order to achieve development priorities in science, technology, and engineering improvement of the training system for highly trained scientific and engineering personnel encouragement of support for scientific research and experimental development in priority fields of science, technology, and engineering while taking into account world trends strengthening of the R&D capabilities of higher education institutions h. facilitating of more active exchange of knowledge and technology between the defense and civilian sectors of the economy, and the development of dual-use technologies for wider application accelerated application of scientific and technical achievements which can help prevent military conflicts, technogenic and ecological disasters, and can reduce the damage caused by such events development and modernization of weapons and of military and special equipment; encouragement of industrial defense complex development improvement of the technical means, forms, and methods for countering terrorism, including international terrorism III. MAIN DIRECTIONS OF STATE SCIENCE AND TECHNOLOGY POLICY DEVELOPMENT AND MEANS OF IMPLEMENTATION The main directions of state policy in the field of science and technology are as follows: developing fundamental science and the main types of applied R&D forming a national innovation system increasing the efficient use of scientific and scientific-technical results retaining and developing the professional potential of personnel throughout the scientific-technical complex integrating science and education developing international scientific-technical cooperation Development of Fundamental Science and Main Types of Applied Research and Development Fundamental science is one of the strategic elements essential for the progress of society. The results of fundamental research and of the principal types of applied R&D provide the basis for economic growth and steady development of the state, and they are factors that determine the role of Russia in the modern world.
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Innovating for Profit in Russia: Summary of a Workshop The priority fields in the development of fundamental research are determined by the scientific community on the basis of Russian national interests, while considering world trends in science, technology, and engineering. The most important applied R&D are conducted in priority fields of science, technology, and engineering; they should be aimed at solving complex scientific-technical and technological problems and be oriented toward final results that can be transformed into innovative products. The main tasks of fundamental science and the most important kinds of applied R&D are the following: elaboration of measures for providing state funding to top priority fundamental research which can ensure technological breakthroughs and their subsequent transfer to technical applications forecasting studies for determining prospective directions in scientific-technical and technological development and an analysis of the consequences for administrative decisions raising the role of social sciences and humanities preservation of, and support for, scientific and scientific-technical schools and the dissemination of scientific knowledge stimulation of scientific R&D of an applied military character in order to: detect and counter military threats; create qualitatively new types of weapons and military and special equipment; and improve the ways of waging armed conflicts development of the research, design, and experimental base for making scientific instruments providing resources for the establishment of unique scientific plants and a network of centers for unique scientific and experimental equipment, including the use of leasing improvement of the information and information-telecommunications infrastructure and technologies in the field of science education; development of a unified codification system for scientific knowledge and technology; and establishment of a system for scientific-technical and military-technical information Improvement of State Regulations Relating to the Development of Science and Technology The state policy relating to the development of science and technology proceeds from the necessity to establish and implement the following: the most important innovative projects of value to the state using dedicated resources provided by the state (hereinafter referred to as innovative projects of state value)
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Innovating for Profit in Russia: Summary of a Workshop priority directions in the development of science, technology, and engineering in the Russian Federation, both at the federal level and at the subject level lists of crucial technologies of federal, regional, and local importance The priority directions in the development of science, technology and engineering of federal importance, lists of critical technologies of federal importance, and task-oriented programs of scientific research and experimental development are established to ensure implementation of the most important innovative projects of state value. The priority directions in the development of science, technology, and engineering and the lists of critical technologies are to be periodically modified. State orders for scientific-technical products are to ensure an organizational integration of R&D at the federal, regional, and local levels, with efficient management of state property including intellectual property. The bulk of state orders for scientific-technical products are task-oriented programs of scientific R&D and major innovation projects of state importance. The improvement of state regulation in the development of science and technology envisions the following: the formation of mechanisms for state support for priority directions in the development of science and critical technologies of general, regional, and local importance reforming state sector science and high technology with available finances, personnel, and other resources enhanced operating efficiency across the state science and high-tech complexes and the development of the non-state science and high-tech sectors which are aimed at solving major social-economic and defense tasks of the country the creation of conditions for adapting the academic scientific sector to market conditions, while considering the specific features of the organizational structure of fundamental research in Russia the establishment of modern corporations (holding companies, federal centers of science and high technologies, inter-region/local scientific centers) that will solve significant problems in the development of high technology sectors of the economy and will penetrate the world market for science-intensive products the improvement of state scientific centers as a result of the closer integration of the academic and higher education sectors of science with production sectors to develop competitive science-intensive products the improvement of financing for the state sectors of science and high technologies predominantly due to a large scale transition to competitive, site-by-site financing of scientific R&D implemented by state scientific organizations
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Innovating for Profit in Russia: Summary of a Workshop the development of the Russian Foundation for Fundamental Research, Russian Humanitarian Foundation, Foundation for Development Assistance for Small Enterprises in the Scientific-Technical Sphere, and extra budgetary funds for support of scientific and scientific-technical activity the enhanced efficiency of property management across the state science and high tech sectors the stimulation of scientific, technological, and innovative activities in the regions of the Russian Federation; assistance for the integration of their scientific potential with the science, technology, and engineering priorities; development of municipalities with high tech potential, and science cities and administrative areas with intensive scientific-technical and innovative development; and establishment of special scientific-technological zones strengthening the role of leading industrial R&D organizations: further strengthening the role of chief designers of strategically-important systems (models) of civil, military, and dual-use applications, which are frequently responsible for the establishment and implementation of scientific-technical policy and for implementing science, technology, and engineering developments in their respective fields maintaining the necessary level of financing for the development and modernization of weapons and of military and special equipment for the military-industrial complex, and for strengthening the positions of domestic producers of weapons and military equipment in the world market improving the target program method of planning the development of science, technology, and engineering, initially for the medium-term establishing a system for sharing the achievements of domestic science, technology, and engineering including informing the public about the measures taken by the state to encourage the development of science and education establishing a climate favorable for the development of innovation activities, for the introduction of technological innovations in production, and for attracting private investments in the high-tech sector of the economy Formation of a National Innovation System Formation of a national innovation system is a major task and an integral part of state economic policy. The national innovation system should ensure the integration of: state administrative efforts at all levels; organizations in the scientific-technical sphere; and the business sector to accelerate the application of science and technology successes as a means of implementing strategic national priorities. Formation of the national innovation system envisions: creation of a favorable economic and legal environment
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Innovating for Profit in Russia: Summary of a Workshop establishment of an innovation infrastructure improvement of the state mechanism for assisting the commercialization of R&D results Formation of a national innovation system will require the following major tasks: improvement in the mechanisms for interaction between the participants in the innovation process—including organizations which facilitate the integration of state scientific organizations and state higher educational institutions with industrial enterprises—to promote new production technologies and to raise the qualifications of production personnel implementation of an efficient economic policy with regard to the participants in the innovation process, the encouragement of extra-budgetary financing, and the development of institutional and legal conditions for venture capital investment in science-intensive projects establishment and development of the physical components of an innovation infrastructure (innovative-technological centers, technoparks, etc.), a network of organizations for rendering consulting services concerning innovative activity, assistance in the establishment and development of small innovative enterprises, and special arrangements for intellectual property and scientific-technical services Improvement in the Efficient Application of Scientific and Technological Results Introduction of the results of scientific and scientific-technical activity into the economy by means of managing intellectual property, a special aspect of incorporeal assets, deserves special attention in the transition to the wider use of innovations in the economy. The primary tasks for increasing efficiency in the use of scientific and scientific-technical results are the following: development of an information registration system for the results of scientific research and technological development achieved by various types of organizations (various provisions would be made for access to this information) development of state incentives for the development, legal protection, and use of the results of scientific and scientific-technical activities norms and laws determining the state’s right to intellectual property and other results of scientific and scientific-technical activities produced with financing from the federal budget; first and foremost, results connected to the interests of national defense and security
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Innovating for Profit in Russia: Summary of a Workshop normative-legal aspects of mechanisms for transferring the rights to use scientific results in economic activities to the organization/developers, investors, or other economic entities normative-legal support for introducing the results of scientific and scientific-technical activity into the economy (including the use of economic incentives); regulation of the system of registration, inventory, amortization, and taxation of intellectual property; and control of estimated costs of scientific and scientific-technical results formation of the market for intellectual property improvement of the patent and licensing system Preservation and Development of the Professional Potential of Personnel Employed in the Scientific-Technical Complex An indispensable prerequisite of preserving and developing the professional potential of scientific-technical personnel is raising the prestige of scientific and engineering work. The main tasks in preserving and developing the professional potential of personnel employed in the scientific-technical complex are the following: creation of conditions that can help attract and retain young people engaged in science and technology correlation of the types and quantities of highly-qualified scientific personnel being trained with science, technology, and engineering priorities: the number of specialists trained should also be correlated with major innovative projects of state importance, paying particular attention to the improvement of employment opportunities for scientific workers and the availability of qualified specialists for training highly-qualified scientific and engineering personnel improvement of the legal basis regulating the increase in the status, social protection, and incomes of scientific workers improvement of training for scientific personnel with the highest qualifications (post-graduate studies and studies for doctoral degrees) at higher educational institutions, state academy institutes, and state research centers creation of conditions which will encourage the return of leading Russian scientists and specialists who now work abroad and their employment in the scientific-technical complex formation of a continuous training system for highly-qualified personnel, particularly training in the field of innovative business, including facilitating their rotation in scientific, scientific-technical, and innovation areas
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Innovating for Profit in Russia: Summary of a Workshop Integration of Science and Education Integration of science and education is a major factor in the retention and training of scientific personnel, the inclusion of a scientific research foundation in the educational process, and scientific research throughout higher educational institutions. The main tasks in the integration of science and education are the following: establishment and support of activities: integrating scientific-educational structures, inter-university complexes, and scientific-industrial production centers (including innovation centers) in order to consolidate efforts and resources; and developing international cooperation to train qualified personnel in scientific, technological, and innovation areas development of modern information-telecommunication and other science-intensive technologies, and their introduction into the scientific and scientific-technical activities of the education process joint use of research and educational processes of the scientific, research, and instrument base available in the academic, higher education, and local sectors Development of International Scientific-Technical Cooperation The most important task in this field is the establishment of favorable conditions and mechanisms for the development of mutually beneficial and balanced international cooperation in the scientific, technological, and innovation areas. Implementation of this task will require the following: state support for international cooperation with the purpose of: implementing major innovation projects of national importance; supporting priorities in science, technology, and engineering; and extending fundamental research developing a normative-legal base for stimulating the inflow of foreign investments in the domestic scientific, scientific-technical, and innovation spheres; adjusting the legislation of the Russian Federation in science, technology, and engineering to conform with the norms of international law in this area encouraging the establishment of international scientific laboratories, centers, scientific-educational and integrated research and production structures; and promoting domestic scientific and scientific-technical products in the world market improving the export and customs control systems concerning the transfer of scientific and scientific-technical results, including dual-use technologies
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Innovating for Profit in Russia: Summary of a Workshop fostering interactions with counterparts engaged in scientific, scientific-technical, and innovative activities abroad and encouraging their active involvement in the implementation of Russian segments of international scientific programs and projects utilizing international cooperation to train personnel for the domestic scientific-technical complex developing scientific and scientific-technical links with the members of the Commonwealth of Independent States and the development of a uniform technological and informational space within the framework of the Union of Belarus and Russia commercializing Russian technologies, and expanding training and retraining of foreign specialists in the state’s higher education establishment and leading scientific organizations, including the use of mechanisms to amortize the foreign debt of the Russian Federation IV. MAIN MECHANISMS FOR STATE STIMULATION OF SCIENTIFIC, SCIENTIFIC-TECHNICAL, AND INNOVATION ACTIVITY Main mechanisms for state stimulation of scientific, scientific-technical and innovation activity in the priority fields of science, technology, and engineering development are the following: In the field of finances financing appropriate scientific R&D activities through the federal budget at a level that ensures implementation of tasks of the Basic Principles providing annual increases of appropriations for the program “Fundamental Research and Stimulation of Scientific-Technical Progress” to support the most important projects of value to the state; ensuring efficient use of federal budget allocations for financing fundamental research and encouraging scientific-technical progress targeting the allocation of budgetary funds for support of the most important scientific projects of value to the state, concentrating budgetary resources on the implementation of priority tasks in the development of science and critical technologies of federal importance searching for, and efficiently using, extra-budgetary sources of funding R&D efforts; this will supplement funds from federal executive bodies and local administrations of the Russian Federation, all of which support the introduction of scientific and scientific-technical results into the economy encouraging the activities of charitable organizations and other economic entities involved in financing fundamental research providing state support for science cities from budgets of all levels
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Innovating for Profit in Russia: Summary of a Workshop stimulating the development of small scientific-technical and innovative businesses, including support from the budgets of all levels for the small business infrastructure; and stimulating the development of: venture investments; leasing; crediting and risk insurance for science-intensive projects; training of specialists in innovation management; and, support for a competitive basis of scientific-technical and innovative projects As to the retention and training of scientific personnel raising the prestige and attractiveness of research professions changing the system of remuneration for the work of employees at publicly-funded scientific organizations, including providing the heads of state research organizations the right to raise wages (without imposing a maximum limit) for those employees who make considerable contributions to the development of Russian science, and the mastery of high technologies and engineering increasing additional payments to those with Candidates and Doctors of Sciences degrees employed in state scientific organizations and state higher educational establishments based on their achievements in obtaining scientific degrees creating conditions that can help attract and keep young people in the spheres of science and technology, including training young specialists in priority fields of science, technology, and engineering increasing the amount of funding (up to three percent) from the federal budget that is allocated for fundamental research and the stimulation of scientific-technical progress, for targeted support of scientific schools, and for R&D in priority fields of science, technology, and engineering conducted by young scientists and students increasing the volume of housing construction for young scientists, including housing based on mortgages improving pensions for scientists with advanced degrees (Candidate and Doctor degrees) by establishing non-state pension funds providing support for elderly scientists who have made outstanding contributions in priority fields of science, engineering, and technology In improving the structure of the state science and high-tech sectors, strengthen the material and technical base of science and improve the efficient use of state-owned property by: undertaking an inventory of the scientific-technical complex, including science cities, and changing (if necessary) the organizational-legal status and the forms of property of scientific organizations improving the academic science sector by concentrating resources on fundamental scientific problems, optimizing the management of scientific and scien-
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Innovating for Profit in Russia: Summary of a Workshop tific-technical activity, and specifying the number of subordinated scientific organizations and number of employees granting to the state research centers of the Russian Federation the functions of leading organizations in priority areas of technology and engineering development disposing of redundant property and unfinished construction projects made obsolete by the restructuring of the scientific-technical complex, and using the funds that had been designated for these activities for the additional financing of measures to strengthen the material and technical base of scientific organizations using some of the fixed assets of scientific organizations that became available during the restructuring of the scientific-technical complex to support small scientific and innovative businesses and to establish scientific and technological parks, innovative technological centers, and other facilities for innovative activity improving the existing system of accreditation for scientific organizations, while transitioning their attestation and certification to international standards increasing targeted financing for the instrument base, including for unique experimental stands, and R&D facilities in priority fields of science, technology, and engineering development, with up to five percent of the funds allocated from the federal budget for fundamental research and stimulation of scientific-technical progress targeting these needs providing budgetary compensation to state scientific organizations and state higher educational establishments through property tax rebates (property includes unique scientific equipment, stands, facilities, and installations) in accordance with a list approved by the government of the Russian Federation lowering customs duties on imported specialized scientific equipment which has no domestic analogs (within the general strategy of lowering customs on imported equipment) increasing the budgetary allocations for civil R&D in correlation with the transfer of profits of scientific organizations, generated by the leasing of federal property to the federal budget compensating state scientific organizations and state unitary enterprises for the rent of land using government funds at all administrative levels (within the limits of land lots recognized in inventories as indispensable for scientific and scientific-technical activity) in the field of efficient application of scientific and scientific-technical results and the creation of conditions for their commercialization: completing a normative-legal base regarding intellectual property and other results of scientific and scientific-technical activity, ensuring a balance of interests among all legal parties involved
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Innovating for Profit in Russia: Summary of a Workshop assuring adequate compensation for the purchase of scientific-technical products, which have intellectual property rights belonging to the Russian Federation, and other results of scientific and scientific-technical activity coordinating activities by federal executive bodies concerning the exposure and suppression of violations of intellectual property rights of the Russian Federation and other results of scientific and scientific-technical activity determining the procedures for assigning intellectual property rights of the Russian Federation and other results of scientific and scientific-technical activity obtained using funds from the federal budget to Russian and other investors who obtain these results on the territory of the Russian Federation using extra-budgetary funds regulating the transfer of intellectual property rights of the Russian Federation and other results of scientific and scientific-technical activity obtained using funds from the federal budget to other countries regulating the procedures for registration, evaluation, inventory, amortization, and taxation of intellectual property and other results of scientific and scientific-technical activity improving the procedures for the registration and use of secret inventions and improving the mechanisms for facilitating the mutual exchange of technologies between the military and civil spheres V. MAIN MECHANISMS FOR IMPLEMENTING THE BASIC PRINCIPLES Main mechanisms for implementing the present Basic Principles are the following: development and implementation of the basic financial-economic and program documents federal budget and budgets of the subjects of the Russian Federation federal purpose-oriented programs, in particular, “Research and Development in the Priority Fields of Science and Technology” covering the period 2002-2006, “Integration of Science and Higher Education in Russia,” for the period 2002-2006, and “National Technological Base,” for the period 2002-2006 state weapons program for the period 2001-2010 state defense orders development and implementation of major innovative projects of state importance development, implementation, and periodic amendment of the documents which determine the country’s level of scientific and technological development including:
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Innovating for Profit in Russia: Summary of a Workshop priority directions in the development of science, technology, and engineering in the Russian Federation and subjects of the Russian Federation list of critical technologies of the subjects of the Russian Federation, including the list of basic and crucial military technologies Basic principles will be implemented incrementally. During the first stage (2002-2006) it is necessary: to specify the normative-legal base of scientific, scientific-technical, and innovative activity, with special attention to the development of a system of economic and other incentives and also to protect the intellectual property and other rights of the Russian Federation to create mechanisms for the development, implementation, and amendment of program documents in scientific and scientific-technical spheres to ensure the introduction of a system of state orders for scientific-technical products; to elaborate the procedures for its formation, implementation, financing, control, acceptance of the finished products, and use of the obtained results to orient innovations toward the structural modification and modernization of available products, first and foremost for the introduction of resource-saving technologies and the improvement of consumer products to determine mechanisms of consolidated and multi-channel financing of purpose-oriented R&D programs and major innovation projects of value to the state through the use of budgets at all levels as well as extra budgetary resources to determine the procedure for forming and operating the standardization system, which will ensure that unified standards of measures and certifications in the scientific-technical sphere are compatible with world standards to elaborate drafts of the scientific-technological security concept and Basic Principles of the innovation policy of the Russian Federation for the period 2002-2006 to elaborate mechanisms for raising the economic incentives for the use of R&D results to solve social-economic tasks, the tasks of restructuring, and technological modernization of production with the purpose of improving the competitiveness of domestic products and services to define the procedures for conducting R&D in areas which could undermine security of the Russian Federation, public health, or the ecological situation in the country to re-orient the existing goal-oriented program of R&D to support science, technology, and engineering priorities, while considering a range of major innovation projects of state value; and to elaborate and approve the federal goal-oriented program “Scientific Personnel” to establish an integrated system of the various bodies of state administration for managing scientific, scientific-technical, and innovative activities
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Innovating for Profit in Russia: Summary of a Workshop to create a system that comparatively analyzes the levels of domestic and foreign R&D; and to establish a system of scientific-technical and military-technical information to optimize the composition of the scientific-technical complex, including the establishment of integrated scientific, scientific-technical, and scientific-educational structures to form a network of centers for shared use of unique scientific equipment At the second stage (up to the year 2010) it is necessary to finish the formation of the national innovation system and the integrated structure of the scientific-technical complex capable of operating efficiently in market conditions to ensure a stable position of the Russian Federation in the sphere of science and high technologies to establish mutually beneficial mechanisms of international integration and division of labor, including arrangements with states of the Commonwealth of Independent States After the year 2010, it will be necessary to ensure the further development of the scientific-technological complex as an integral part of the social, economic, defense, and cultural potential of the country; and improve the efficiency of its use in the interests of domestic and international high technology markets.
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