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Introduction
In the fall of 2010, the U.S. National Academies (consisting of the National
Academy of Sciences, the National Academy of Engineering, the Institute of
Medicine, and the National Research Council) and the Russian Academy of Sci-
ences, in cooperation with the Russian Academy of Medical Sciences and the
Russian Academy of Agricultural Sciences, established a joint committee of 12
prominent scientists from the United States and Russia to review past and cur-
rent U.S.-Russian bioengagement activities and to propose future directions for
cooperation that will serve the interests of both countries. (See Appendix A.1 for
biographies of committee members.) The U.S. Department of State and the Rus-
sian Academy of Sciences supported the committee’s efforts.
The Statement of Task that the committee addressed is as follows:
The committee will carry out an assessment of U.S.-Russian bioengagement ac-
tivities during the past 15 years, with particular attention to the impacts of vari-
ous types of engagement activities, lessons learned from engagement activities
that are relevant for future U.S.-Russian engagement programs, and future ap-
proaches to U.S.-Russian bioengagement, particularly approaches that build on
the foundations for cooperation that have been established during recent years.
CONTEXT FOR THE REPORT
For decades, many Russian and American organizations and individual sci-
entists have recognized the importance of working together on a bilateral basis in
the biological sciences and biotechnology (hereinafter collectively referred to as
bioengagement). Often they have developed and carried out programs within the
frameworks of formal intergovernmental agreements. At other times, they have
11
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12 U.S.-RUSSIAN RELATIONSHIP IN BIOLOGICAL SCIENCE AND BIOTECHNOLOGY
conducted joint activities under a variety of less formal arrangements, ranging
from handshakes between individual scientific leaders to institution-to-institution
memoranda of understanding.
Collaborative efforts have been broad ranging. For example, they have
extended from (a) enhancing biosafety systems at Russian research centers, to
(b) fusing biology and chemistry in exploring molecular structures in the labo-
ratories of both countries, to (c) investigating pre-historic microbes in remote
areas. The two governments have coordinated laboratory and field investigations
to upgrade the systems that help sustain the health of human populations, enhance
the value of agricultural resources, and preserve the ecological landscape more
broadly. They have collaborated in addressing diseases that can cross interna-
tional borders—for example, Severe Acute Respiratory Syndrome (SARS), polio,
Human Immunodeficiency Virus (HIV), and avian influenza. The joint efforts of
individual scientists in preserving important plant, animal, and insect populations,
including unique species found throughout the vast territories of Russia, Alaska,
and the southwestern United States, are well known within the international
biological community.
Following the splintering of the Soviet Union into 15 independent states in
1991, officials in Washington, Brussels, and other capitals initiated a series of
bilateral and multilateral programs to help contain the loss or misdirection of
Russian scientific expertise. Of particular concern was the possibility that under-
employed and poorly paid scientists who had worked in the Russian defense
sector might accept financial support from nefarious sources that would pay
generously for access to technological expertise that could be used for destruc-
tive purposes. Initially, international attention concentrated on the possibility of
nuclear scientists going astray; but Russian scientists with biological skills were
quickly included in fast-growing cooperative programs to prevent misdirection
of advanced technology capabilities. Soon many Russian chemical and aerospace
scientists also became involved in international programs to redirect careers to
civilian activities of scientists with defense-related experience.
At the same time, there were outcries from U.S. colleagues of prominent Rus-
sian scientists, along with loud voices of concern in Europe, that it was essential
to save critical components of Russian science, and particularly civilian-oriented
basic research capabilities of international interest that had been developed during
the Soviet era. The U.S. government responded to the calls from the Russian and
U.S. scientific communities for international support by establishing cooperative
programs that soon encompassed many aspects of the life sciences, along with
programs in other fields. As was to be expected at the time of economic chaos in
Russia, the activities initially took on donor-beneficiary characteristics of foreign
assistance programs.
Since the mid-1990s, bioengagement has involved many thousands of Rus-
sian and hundreds of American scientists, engineers, doctors, industrialists, tech-
nicians, and other specialists with important skills. Most participants have been
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INTRODUCTION 13
associated with government agencies, research centers, educational institutions,
private firms, and nongovernmental organizations in the two countries. Also, a
significant number of participants from both countries have been self-motivated
entrepreneurs.
As noted above, the two governments initially gave special priority to redi-
rection of Russian research teams with defense backgrounds to civilian careers.
An estimated 7,000 Russian specialists with biodefense-relevant expertise and/or
experience participated in redirection programs. Most team members remained in
their original places of employment, with new job assignments. These programs,
together with joint activities based on common scientific interests involving labo-
ratories that had not been entwined with defense activities, contributed to impor-
tant advances in a number of areas of the life sciences. However, the number and
scope of bioengagement programs initiated in response to security concerns have
been on the decline during the past several years along with an overall decline in
U.S.-Russian cooperation.
Joint efforts, whether motivated by security or other concerns, have often
emphasized applications of research findings that can advance social and eco-
nomic agendas of government departments and private-sector organizations. Col-
laboration has frequently been oriented toward providing products, technical
information, or services of importance to the governments, with commercializa-
tion of the products of research in the private-sector marketplace also an objective
at times. In addition, bilateral cooperation has addressed the scientific aspects of
a variety of global and regional issues of broad interest to the international com-
munity, from strengthening global networks for detecting outbreaks of contagious
diseases, to husbanding fishery stocks in ocean waters of common interest, to
preservation of biodiversity in mountainous areas, to understanding the biological
dimensions of climate change.
During the 1990s and into the early 2000s, U.S. government organizations
covered most of the direct costs of bioengagement programs, often providing sal-
ary support for Russian participants in cooperative undertakings. As to indirect
costs—such as providing facilities, utilities and engineering services, retirement
and health benefits for employees, and management services, the Russian institu-
tions where projects have been sited carried most of the financial burden.
The most active U.S. government organizations in promoting bioengagement
in recent years have included the Department of State (Appendix C.1), Defense
Threat Reducation Agency (Appendix C.2), Department of Energy (Appendix
C.3), Department of Health and Human Services (Appendix C.4), National Insti-
tutes of Health (Appendix C.5), Centers for Disease Control and Prevention
(Appendix C.6), and U.S. Agency for International Development (Appendix C.8).
The Agricultural Research Service of the Department of Agriculture (Appen-
dix C.10) and the Environmental Protection Agency (Appendix C.9) have also
sponsored many joint activities with Russian counterparts. To a lesser extent, the
National Science Foundation (Appendix C.7), National Oceanic and Atmospheric
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14 U.S.-RUSSIAN RELATIONSHIP IN BIOLOGICAL SCIENCE AND BIOTECHNOLOGY
Administration, U.S. Fish and Wildlife Service (Appendix C.11), and Food and
Drug Administration have supported collaborative activities involving Russian
institutions.
Many Russian institutions have participated in biosecurity- and biosafety-
oriented cooperative programs supported financially by the United States. Bio-
security is herein defined as “A complex of measures that include biosafety, while
providing for physical safekeeping of biomaterials and preventing inappropriate
use of biomaterials.” Biosafety is defined as: “Prevention of exposure to harmful
biological agents and measures taken to this end.”
The jointly implemented programs have usually depended on substantial
in-kind contributions from the collaborating Russian institutes, universities, and
enterprises. Until recently, special funding from ministries or other organizations
to initiate such activities had seldom been available. Of course, when a project
terminates, the appropriate ministry, academy, or institution itself must assume
responsibility for continuation of the activities, as appropriate.
As to the programs that have not been directly linked to biosecurity concerns,
a number of Russian ministries, academies, and special funds have provided
support for joint activities (e.g., the Ministry of Health and Social Development,
Ministry of Natural Resources, Ministry of Education and Science, and Minis-
try of Agriculture; three Russian academies; the Russian Foundation for Basic
Research; and the Foundation for Support of Small Business in the Science and
Technology Sphere—the Bortnik Fund). While they seldom have had major fund-
ing earmarked for such activities, they have often been able to allocate a limited
amount of support for specific projects. At times, the international departments
of ministries and academies have had flexibility in their financial resources to
provide support on a case-by-case basis; but usually the interested institutes have
been obliged to find the needed resources within their regular budget allotments.
Seldom does the Ministry of Finance allocate funds for specific bioengagement
activities. (For example, see Appendix D.4 for a discussion of the activities of
many institutes of the Siberian Branch of the Russian Academy of Sciences that
have obtained funding for bioengagement.)
Russian officials and specialists have repeatedly emphasized the importance
of orienting joint projects toward resolving day-to-day health, agriculture, and
environmental concerns of the Russian government and the Russian population.
However, a key U.S. concern in proposing bioengagement activities during the
1990s and early 2000s was the potential misuse of dangerous pathogens. At times,
this mismatch of priorities of the funding entities in the two countries has caused
complications in launching projects, but usually compromises have been reached.
Russian investigators have directed much of their attention to coordinated
research approaches—with most of the research activities sited in Russia—that
effectively use their experience and their laboratory capabilities in ways that will
continue after conclusion of U.S. participation and support. U.S. counterparts
have also been concerned about long-term maintenance of enhanced capabilities
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INTRODUCTION 15
of Russian institutions. However, their overriding priority has usually been to
complete cooperative projects that are undertaken and only then become con-
cerned about continuation of the collaboration efforts.
In 2009, the presidents of Russia and the United States established the U.S.-
Russia Bilateral Presidential Commission (BPC) as an important component of
their commitment to reset the U.S.-Russia political relationship. (See Appendix
E.1.) A number of BPC working groups have considered different aspects of
bioengagement. While the commission focuses primarily on government-to-
government programs, it recognizes that less formal institution-to-institution and
scientist-to-scientist relationships within both the public and the private sectors
are also important.
However, in 2012 the Russian government informed the United States that
the Cooperative Threat Reduction Program administered by the U.S. Depart-
ment of Defense (often referred to as the Nunn-Lugar Program) would not be
extended in Russia beyond 2013. Also, the Russian government advised the U.S.
Agency for International Development that it should close its offices in Moscow.
One year earlier the Russian government had announced that in 2015 it would
withdraw from the agreement and the associated protocol that established the
International Science and Technology Center (ISTC) when all projects in Russia
will have been completed. For almost two decades these three programs have
provided hundreds of millions of dollars for bioengagement activities. Indeed,
they have been important pillars of bioengagement for many years. As a result
of the Russian actions, future cooperation in the life sciences will differ signifi-
cantly from past activities.
NEW PRIORITIES IN INTERNATIONAL COOPERATION
For the past several years, Russia has been reorganizing its science, educa-
tion, and innovation systems against a background of economic uncertainty. A
consensus seems to have emerged within the Russian government that modern-
ization of Russia depends in large measure on engagement with the international
community. Despite the major changes in the intergovernmental bilateral rela-
tionship noted above, the United States remains high on the government’s list of
countries with relevant experiences and successes.
An important Russian government goal is for many universities and scientific
institutions of the nation to gain recognition as equal to counterparts in other
industrialized countries. At present, few Russian universities are on the short
lists of leading educational institutions of the world. Thus, at times they have
difficulties attracting attention of the world’s top scientists, whatever the Russian
achievements.
It has not been easy for the government or the population of Russia to change
systems that have been in place in Russia for decades. Vested interests and well-
developed procedures to control international relationships have often been bar-
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16 U.S.-RUSSIAN RELATIONSHIP IN BIOLOGICAL SCIENCE AND BIOTECHNOLOGY
riers to new approaches. To help improve an integrated scientific infrastructure
that links with the international scientific community, the Russian government has
promoted the following approaches during the past several years.
• Designation of 29 elite universities as “research universities,” with spe-
cial funding, to advance integration of research and education while expanding
international outreach to leading scientists throughout the world. A few of these
universities have well-established strengths in the biological sciences.
• Provision of “megagrants” (equivalent to $5 million for each grant) to
79 Russian university departments selected on a competitive basis to attract world
leaders of science to work at least 4 months annually in Russia for 3 years, where
they are to establish and lead laboratory teams. Several American biologists were
included in the teams to be supported by the initial 79 awards, with more awards
scheduled.
• Support for small Russian technology-oriented businesses to work with
universities in promoting technology transfer, with special advisory services
provided at times by American and other international specialists.
• Establishment of a new high-technology flagship university near Mos-
cow, named Skolkovo Institute of Science and Technology, which is to incorpo-
rate experiences of the Massachusetts Institute of Technology within its graduate
education and research programs, with affiliated research centers located through-
out the country, and indeed around the world. (See Appendix E.4.)
• Financial support of the Skolkovo Foundation and Rusnano in Moscow
that are explicitly targeted on linking Russian scientific capabilities with com-
mercial interests in the biomedical field and in the following four other priority
fields: nuclear, space, energy, and information technologies. (See Appendixes E.3
and E.5.)
• Establishment of government-supported venture capital funds, with
investments in biotech companies on the priority list.
• Federal requirements for state-owned strategic industrial companies to
devote a significant percentage of sales to support research and development,
including support of technology development activities at Skolkovo where, as
noted above, biomedicine is one of the priority fields of interest.
• Designation of and financial support for the Kurchatov Institute of
Atomic Energy as the nation’s first independent national research center, with the
institute expanding its capabilities in nanobiology research.
U.S. government financial capabilities for supporting bioengagement have
been decreasing as collaborative programs are completed and resources are
diverted to other deserving programs. Russia’s capabilities to finance cooperative
activities are steadily increasing. But still, the Russian financial contributions to
cover direct expenses of current cooperation in the biological sciences lag behind
U.S. contributions.
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INTRODUCTION 17
As to industrial interests, investments in Russia by U.S. pharmaceutical and
biotechnology companies have remained at a low level, due in large measure
to questions as to the business climate in Russia. Few Russian companies are
currently in financial or technical positions to risk investments in international
cooperation as an important component of their business strategies. Russian gov-
ernment venture-capital investments in biomedical activities in the United States
that are then linked back to activities in Russia are in their formative stages and
reflect a lack of confidence in the capabilities of Russian companies to move
forward on their own. Many biology-oriented companies in both countries main-
tain a watch-and-wait policy before investing in manufacturing activities across
the ocean, while progress toward a well-functioning market economy in Russia
moves forward only slowly.
SCOPE OF THE STUDY
The committee focused primarily on bilateral activities involving important
government and nongovernment institutions in the two countries. The committee
recognized the significance of multilateral activities, and particularly programs
of international organizations such as the United Nations Educational, Scientific,
and Cultural Organization; United Nations Environment Program; World Health
Organization; World Organization for Animal Health; and Food and Agriculture
Organization. But assessments of the many multilateral activities that have been
carried out would have greatly expanded the scope of the study and therefore
were not undertaken, with one exception.
The report does address U.S.-Russian biology-oriented activities that have
been financed in large measure by the United States and facilitated by the ISTC,
which has its headquarters in Moscow. (See Appendix E.2.) This international
organization has played a unique role in supporting cooperation linked to pro-
liferation concerns that has engaged Russian and American scientists, as well as
assisting with activities involving other countries from Europe and Asia and from
other states that emerged from the former Soviet Union.
However, the Russian government has taken the position that the era of
redirection of underemployed defense scientists to civilian tasks, which has been
the principal role of the ISTC, has been completed. Therefore, the government
considers that there is no longer a need in Russia for the ISTC. But the committee
responsible for this report believes that the accumulated experience of the ISTC
deserves careful attention, within Russia and globally.
Bilateral cooperation in space exploration has long had unique political sup-
port within the governments and among the general populations of Russia and
the United States. The direct and indirect costs of the large manned spaceflight
programs have been shared by the two countries. This report briefly mentions a
few bilateral research projects in space biology that are of special interest to the
international scientific community. However, a review of the overall effort in the
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18 U.S.-RUSSIAN RELATIONSHIP IN BIOLOGICAL SCIENCE AND BIOTECHNOLOGY
life sciences to ensure the well-being of astronauts and cosmonauts in space is
beyond the scope of this effort.
Finally, a comprehensive assessment of bilateral cooperation in many other
aspects of the life sciences over 15 years is not possible because of the large
volume of activities. The committee addressed limited but important portions
of many relevant bilateral programs—including both past and current programs.
In selecting activities for consideration, the committee gave special attention to
bilateral efforts that (a) have received high levels of financial support from the
two governments and from the private sector; (b) have resulted in significant
impacts of security, scientific, and economic importance; (c) have encountered
substantial problems and provide lessons learned for future programs; (d) hold
considerable promise of important achievements of mutual interest through effec-
tive integration of U.S. and Russian scientific capabilities in the decade ahead;
and/or (e) represent a broad spectrum of various types of programs that have
been carried out.
The committee gave priority to looking to the future. Many of its judgments
have been based on past experiences that retain their relevance for successful
engagement, and particularly engagement that continues for many years. Other
comments as to future challenges reflect the dynamic developments in the bio-
logical sciences and biotechnology throughout the world.
LEVEL OF INVESTMENT IN BILATERAL
COOPERATION IN THE LIFE SCIENCES
Over 15 years, investments of the two governments and, to a lesser extent,
private-sector companies and institutions in the two countries in bilateral coop-
eration have been extensive. The committee estimates that at the peak of the
cooperative activities during the beginning of the 2000s, the total expenditures by
the two countries—covering both direct and indirect costs of bioengagement—
exceeded the equivalent of $150 million per year. By 2011, this investment had
decreased to about $25 million per year. The total expenditures since 1997 were
considerably more than $1 billion. Some fragmentary data concerning expendi-
tures is included in the appendixes to this report. These data have been helpful
in estimating some costs.
A more accurate accounting of the levels of expenditures has not been pos-
sible for the following reasons.
1. Few, if any, government agencies in either country have readily available
records of expenditures for bioengagement—even expenditures to cover direct
costs—going back 15 years. Many have difficulty assembling authoritative data
for 2011. For example, the National Institutes of Health grants program is one
of the best documented activities. However, available data do not include all of
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INTRODUCTION 19
the matching contributions by Russian institutions or costs of administering the
grants program.
2. Few agencies break out budgets for the life sciences. Indeed, the breadth
of the life sciences is often underestimated, given the increasing convergence of
chemistry, physics, mathematics, and material sciences with biology.
3. Agencies sometimes have budgets for international activities but do not
break out biology-related aspects of international activities, nor do they separate
proposed budgets for U.S.-Russian engagement as distinct from activities involv-
ing other countries as well.
4. When accounting for costs of international programs, agencies seldom
include the costs incurred by government employees who oversee specific inter-
national programs on a full-time or part-time basis.
5. Many projects rely to a considerable extent on matching contributions by
host institutions, and these costs are simply absorbed by the host institutions as
overhead. (See, for example, Box I-1.) In some cases, the financial contributions
of host institutions have exceeded external grants directed to the same projects
by a factor of 10.
6. U.S. contracts and grants awarded to Russian institutions or individuals
do not include indirect costs as discussed above.
7. Excellent statistics are maintained by the ISTC, but even they do not
include matching costs by Russian institutions, indirect costs, or the funds pro-
vided to the U.S. collaborators for their participation.
Box I-1
Costs of Collaboration Absorbed by
Russian State Research Center Vector
Because of the need to fulfill international grant commitments, Vector, for
example, (a) tripled its energy and water consumption at its own expense
for a few years, (b) spent additional funds on materials and reagents, (c)
purchased personal protection equipment, (d) redirected internal funds to
support engineering personnel, and (e) provided funding for joint publica-
tions after grant funding had been expended.
SOURCE: Former Scientific Leader of Vector, June 2012.
STRUCTURE OF THE REPORT
Four dimensions of bioengagement that provide the framework for the report
are (1) enhancement of security, (2) advancement of science, (3) applications of
scientific findings, and (4) contributions of science in addressing problems of
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20 U.S.-RUSSIAN RELATIONSHIP IN BIOLOGICAL SCIENCE AND BIOTECHNOLOGY
global and regional interest. The objectives of engagement in these four overlap-
ping areas include the following:
1. Improve security by helping to (a) reduce the risk of proliferation of
potentially dangerous biological agents and expertise in the two countries to
irresponsible governments or to groups with hostile intentions and (b) prevent
bioterrorism, at home and in other countries strengthening response capabilities
should bioterrorism attacks occur.
2. Increase U.S. and Russian contributions to the advancement of sci-
ence, and particularly to improvement of the knowledge base for understanding
fundamental scientific issues.
3. Develop programs that apply existing scientific capabilities to
address public health, agricultural, and environmental issues, including (a)
utilization of the results of research and (b) contributions in responding to the
needs of the general populations for better and cheaper products, technical infor-
mation, and specialized services that are developed or provided by governments.
4. Contribute to resolving global and regional issues, wherein under-
standing the biological dimensions is critical in developing appropriate approaches
by the two countries and the international scientific community more broadly.
The report begins with a discussion of the importance of bioengagement.
After considering examples of activities related to each of the four objectives set
forth above, the report addresses positive impacts and shortcomings of activities.
It then considers impediments to cooperation and lessons learned during bilateral
cooperation in recent years. An important chapter is devoted to the strategic,
financial, and organizational aspects of bioengagement, with special attention
devoted to sustaining existing programs that have high payoffs while developing a
new approach to deepening involvement of the best scientists in the two countries
in collaborative efforts. The report concludes with a presentation of three major
recommendations of the committee that reflect the importance of bioengagement
in general, and strengthened international networks of researchers in particular,
in the years ahead.
A number of appendixes are included in the report. They discuss the inter-
ests and activities of U.S. and Russian sponsors of bioengagement, the types of
cooperation supported by a number of Russian institutions, and examples of bio-
engagement programs that have been successful. They underscore the broad reach
of bioengagement and help set the stage for consideration of future activities.
CONSULTATIONS AND RELATED REPORTS
In preparing this report, committee members and staff carried out consulta-
tions with many dozens of organizations and individuals in Russia and the United
States concerning their experiences in designing and implementing past bilateral
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INTRODUCTION 21
programs. Of comparable importance were their visions of future approaches and
of methods for improving program implementation. These organizations and indi-
viduals have been particularly helpful in providing details that are included in the
events highlighted throughout the report. A few specialists from other countries
were also consulted. Appendix A.3 identifies some of the key organizations that
provided information to the committee during preparation of this report.
During the late 1990s and the 2000s, the National Academies prepared a
number of reports on U.S.-Russian scientific relations in general, and coopera-
tion in the life sciences in particular. These reports are identified in Appendix
A.2. Many other relevant observations are included in books of well-qualified
observers, compendiums of activities prepared by other organizations, interna-
tional journals, and news outlets. A few of these sources that were of particular
help in preparing this report are also identified in Appendix A.2. Unfortunately,
there have been very few authoritative publications prepared jointly by U.S. and
Russian organizations or authors, which have focused explicitly on U.S.-Russian
bilateral engagement, and particularly on the future of this relationship in the
biological sciences. This report should assist in filling that gap.
That said, the most important source of information for the report has been
the observations of the committee members themselves, who have personally
observed development and implementation of many aspects of bioengagement
during recent years.
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