I. BACKGROUND

The Oppenheimer Institute for Science and International Cooperation was founded in 2000 by a group of concerned academics in the University of New Mexico. The purpose and goal of the Institute is to contribute to fulfilling the aspirations and legacy of J. Robert Oppenheimer in connection with utilizing science and international cooperation to reduce international tension and -promote sustainable advances in social and economic justice, education, health, and environmental integrity. Oppenheimer was an eminent physicist, the director of the Los Alamos National Laboratory at which the first nuclear weapon was developed, later head of the Institute for Advanced Studies at Princeton University, and a staunch advocate of using dialogue and scientific cooperation to work toward world peace.

The initial efforts of the Oppenheimer Institute are centered in Russia and other countries of the Newly Independent States (NIS) and address the issue of reducing the threat of weapons of mass destruction while improving the economic situation in these countries. In the post- cold war era Russia and its neighbors are seeking economic, political, and Social coherence while fighting precarious internal situations, including fiscal indiscipline, corruption, and declines in personal and environmental health. A major problem, but at the same time an important resource, are the ten closed nuclear cities that contain some three quarters of a million people. Russia no longer needs and certainly cannot afford this gigantic nuclear complex; funding levels are down by more than a factor of five from a decade ago. Since incentives for proliferation of nuclear materials and technologies exist, it is important both for Russia and the international community to find ways of redirecting weapons scientists, who represent a tremendous capacity of skills and advanced technologies, into the private sector. These scientists are available at bargain rates and constitute an important opportunity for Russian and western business; however, it is necessary to develop the necessary brokering intermediaries. Thus, prevention of the proliferation of weapons of mass destruction, together with the longer term goal of eliminating such weapons, is a task with several dimensions; technical, political, economic, and social. The Oppenheimer Institute plans to work on all of these fronts.

The professional disciplines of the Institute officers and Board of Directors include physics, economics, political science, and public administration. Their work experiences, in addition to academia, include research management at National Laboratories and consulting for government agencies and industries. All have been involved in international programs for training, faculty/student exchanges, and technology commercialization.

To help the Institute achieve its goals an International Advisory Board (IAB) has been formed that provides advice, guidance, and support to the Board of Directors. Typical activities of the IAB include developing program plans, selecting and describing projects, and identifying and nurturing useful international contacts.

The Institute has close ties with the University of New Mexico (UNM), in which the three members of the Board of Directors hold academic positions, and support can be enlisted from UNM departments such as Computer Science, Physics and Astronomy, the School of Public Administration, and the School of Business. The Institute also maintains collaborative relationships with the Los Alamos, Sandia, and Livermore National Laboratories as well as close working ties with many organizations in the NIS.

The Oppenheimer Institute is a private not-for-profit foundation, registered in the state of New Mexico, and has received 501 (c) (3) status under the IRS code. As a non-government, non-academic organization the Institute is not unduly constrained by political or bureaucratic agendas, is able to provide timely response to changing requirements in the field, can form subsidiary companies as appropriate, and is able to coordinate and integrate capabilities and skills across division lines.

II. OPERATING POLICIES

The Oppenheimer Institute pursues its goal of reducing the threat of weapons of mass destruction through three fundamental activities: 1) sponsoring policy-relevant research on various issues relevant to the production and distribution of weapons of mass destruction, 2) arranging international scholarly and scientific exchange through conferences, workshops, and student/faculty exchanges, and 3) developing public/private partnerships to promote technology commercialization, thereby transferring weapons-related capacities to the civilian sector.

Meeting Institute objectives requires building trust by developing mutual understanding and reciprocal obligation with our partners in the NIS. In our experience this is best accomplished through egalitarian collaborations based on shared vision, mutual trust, complementary and interdisciplinary capabilities and skills, and a framework of explicit accountability and transparency. The Oppenheimer Institute has already built a foundation for this type of interaction with a number of Russian organizations (see Section IV). Since interactions between the U.S. and the NIS are often made difficult by misunderstandings and conflicting expectations, achieving a state of trust and ability to work together required several years of dialogue, networking, good communication, and demonstrated results. Based upon our partnering experience in Russia we have developed an Institute policy ensuring at least 50% of the funds received for a project are spent in Russia by Russians.

Since its inception the Institute has been engaged in collaborations with professionals from Russian nuclear centers and universities, representing a joint Russian-American effort to contribute to international stability and promote economic development by creating new opportunities for weapons scientists in the civilian sector. One form of this international collaboration is represented by the Institute's public/private partnerships to promote technology commercialization, transforming facilities and human capital from weapons-related specialization to civilian sector development. The Institute acts as a "technology broker", bringing together partners from private, public, and NGO sectors to facilitate new civilian uses of technology. Our efforts are leading to partnerships in computer tomography programs, automobile parts production, computer software development, shipment identification and tracking, remote sensing, and other areas.

The principal Institute office is located in Albuquerque, New Mexico. To help carry out projects in the field, branch offices have been established in Ekaterinburg, Russia and Bishkek, Kyrgyz Republic. Also, three companies have been registered in New Mexico (soon to be co-registered in Russia) that are also available to participate as needed in transferring technologies to the private sector:

SNOWMEDICAL -- promote commercialization of medical technologies including image reconstruction algorithms, computer tomography components, and prosthetic devices.

SURFACE SCIENCES -- explore commercial interest in novel coatings, advanced machining techniques, and applications of titanium.

URAL SCIENTIFIC -- provide consulting services, business training, market research, and assistance with proposal preparation.

III. RECENT PROJECTS LED BY INSTITUTE STAFF

A project focused on the closed nuclear city of Snezhinsk (containing the weapons institute VNIITF) was carried out under the auspices of the Department of Energy Initiatives in Proliferation Prevention program. An interdisciplinary team from UNM visited several sites in the Urals region and initiated a partnership that has since grown to encompass several Russian and American organizations. Six Russian technical weapons specialists attended extensive training sessions in New Mexico to learn about vehicles and approaches for technology commercialization including business startup, market research, and financing. These cooperative efforts were given additional momentum with an award by the U.S. State Department in the fall of 1999 for a long-term educational partnership between UNM and the Urals State Technical University (USTU), Ekaterinburg. A former employee of the Russian Federal Nuclear Center at Snezhinsk has been named Fellow-in-Residence at UNM working on various technology commercialization projects. Excellent working relationships have been established with the Ural State Technical University (including the Center for Innovative Business and the Ural Region Teknopark), the city administrations of Snezhinsk and Ekaterinburg, and SPEKTR Conversion, a commercialization organization recently separated from VNIITF.

In May 2000 UNM and the Oppenheimer Institute cooperated with the Urals State Technical University to sponsor an international symposium on public/private partnerships with a focus on technology commercialization. About 80 people participated in the Symposium including public officials, managers and scientists from five Urals region weapons technology plants, scholars from Russia and Kazakhstan, and business people from Russia and the U.S. Specific partnerships and training activities were stressed that will lead directly to non-weapons sector jobs. For example, arrangements were made for representatives of a U.S.-based engineering firm and of a U.S.-based computer tomograph manufacturer to visit appropriate organizations in Russia to work out plans for out sources for automobile parts and to examine possibilities for participating in the world market of computer tomographs. The Institute's brokerage activities have also included computer software development, low frequency devices for shipment monitoring, and prosthetic production. The Institute plays the role of disinterested broker in the formative stages of these partnerships, withdrawing as the projects develop commercial viability.

The Institute continues to provide intellectual capacity to the USTU Research Park (Teknopark). This research park will promote financially transparent private-public partnerships linking USTU, Russia's nearby nuclear centers, and the Ural region private, for-profit businesses. Such private-public partnerships are essential to the emergence of a new Russia. A successful Ural region University Research Park may serve as a model for other financially-strapped Russian universities as a new source of income. Essential training and faculty-staff exchange programs are also arranged by the Institute.

The Oppenheimer Institute is a formal collaborator on an approved CRADA project (Department of Energy- Initiatives for Proliferation Prevention) entitled "Custom Automotive Component Manufacturing." In support of the project the Institute will participate in developing component production and monitoring strategies; facilitate within Russia interactions, communications and organizational interfacing; and provide primary logistical support including interpreters, record keeping, and necessary training. Much of this effort will be performed through the Ekaterinburg office.

Oppenheimer Institute staff is collaborating with several Russian organizations on International Science and Technology Center (ISTC) projects funded by the U.S. State Department. Examples include ''Accelerator-driven Cascade Reactor for Burning Nuclear Waste'' (Sarov, Kurchatov, MUCATEX, etc.) and ''Radiation Monitoring Devices for Contaminated Sites'' (The Kyrgyz Academy of Science).

IV. COLLABORATING INSTITUTIONS

The Oppenheimer Institute has worked closely with a number of institutions in Russia and neighboring countries and has collaborative agreements with the following:

RUSSIA * Kurchatov Institute (Moscow)* * VNIIEF (Sarov)

* SPEKTR Conversion (Snezhinsk) * Snezhinsk City Administration (Snezhinsk) * VNIITF (Snezhinsk)* * Snezhinsk Physical/Technical Institute (Snezhinsk)* * International Development Center (Snezhinsk)

* Ural State Technical University (Ekaterinburg)* * Ekaterinburg City Administration (Ekaterinburg) * Center for Innovative Business (USTU)* (Ekaterinburg)

Kazakhstan

* Kazakhstan State Academy of Management (Petropavlosk) * North Kazakhstan State University (Petropavlosk) * Almaty State University (Almaty) * Ust-Kamenogorsk State University (Ust-Kamenogorsk)

Kyrgyz Republic

* Kyrgyz Academy of Science (Bishkek)

*Senior members of these organizations have been asked to serve on the Oppenheimer Institute International Advisory Board.

V. PROJECTS IN THE PLANNING STAGE

The Oppenheimer Institute is developing, in conjunction with its Russian collaborators, detailed plans for the projects listed below and proposals for the necessary project funding.

* Urals State Technical University Research Park: Continued development is needed to enable this research park to promote financially transparent private-public partnerships linking the USTU, nearby nuclear centers, and Ural region private businesses.

* Physical Technical Institute Open Science Center:

This Center will explore opportunities for professional personnel in computer systems hardware and software, nuclear physics, machine manufacturing processes, etc. to get involved in contract research or as part of private businesses.

* Industry-to-Industry Linkages: The Institute plans to expand its project to match Russian industries with needs of western firms by providing a data base of industrial sites, identification of potential strategic partners, and logistical arrangements for facilitating introductions. SPEKTR Conversion will participate.

* Training. Workshops. Faculty/Student Exchanges: The Institute will continue its activities in sponsoring programs for training and information exchange on topics including project management, accounting and transparency, business plan development, market research, product packaging, intellectual property protection, licensing, and financing mechanisms. New areas may include public awareness, conflict resolution, and human resources. A number of universities in the NIS will participate including USTU, SPHTI, and North Kazakhstan State University.

* Computerized Tomography Products: A collaborative project between SPEKTR Conversion, VNIITF, Marconi Medical Systems, and the Oppenheimer Institute could develop new reconstruction algorithms, technical testing of machines, x-ray tube technology, and design of low-cost CT scanner.

* Prosthetics Production and Distribution: A project is under consideration for developing effective, low -cost prosthetic devices and determining how to make them easily available world-wide. Several organizations in Russia and the U.S. are interested.

* Geographic Information System Program; Data, imagery, and software are available to use GIS in resource management, emergency planning, city and regional development, mapping health trends, managing greenhouse gas emissions, etc. The Institute hopes to help develop sustainable commercial enterprises in Russia and other NIS to exploit GIS utilizing the skills in VNIITF, SPEKTR Conversion, UGTU, and Moscow State University.

* Shipment Monitoring: The Oppenheimer Institute proposes to link a western firm with several Russian organizations to provide high-tech devices for toll road monitoring, electronic tethering, sensitive material control, and cross-border and customs monitoring.

* ISTC Projects: The ISTC program is an established mechanism for employing nuclear city scientists in peaceful research, but funding constraints prevent many worthy proposals from becoming real projects. The Oppenheimer Institute can serve as a vehicle for obtaining foundation funding for selected ISTC projects thereby expanding the contributions of that program to international stability.

VI. BOARD OF DIRECTORS AND INTERNATIONAL ADVISORY BOARD

List and biographies coming soon.

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