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Appendix C Sample Survey NATIONAL RESEARCH COUNCIL Office of Japan Affairs 2101 Constitution Avenue, NW Harris Building, Suite 164 Washington, DC 20418 Access to Precompetitive Research in the United States and Japan: Biotechnology and Optoelectronics Under the sponsorship of the National Research Council, a U.S. committee will meet with a counterpart group from Japan to compare and contrast the nature of precompetiOve research in biotechnology and optoelectronics. The purpose of the meeting is to enhance the understanding of the problems and prospects for expanding symmetrical access to precompetitive research in the United States. Thank you for taking the time to fill out this survey. This information will be used to develop aggregate data. It will not be released in a form that identifies individuals or organizations by name. PLEASE RETURN THE SURVEY BY NOVEMBER 13, 1989. 32

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33 1. At what type of organization are you employed? (Circle one): A. University B. Nonprofit organization C. National laboratory D. Government agency E. Trade association F. Consultant M. Other: G. Private, U.S.-owned H. Private, Japanese-owned company I. Private, joint U.S.-Japan company J. Private company, other ownership K. Consortium Professional society 2a. How many research and technical staff members are employed by your organization? 2b. How many of them are working on biotechnology? 3. What is your principal responsibility? (Circle one): A. Basic research B. Applied research C. Product development D. Research planning E. Research administration F. Strategic/financial planning G. Liaison H. International affairs I. Production J. Other: How would you describe the major research efforts that your organization is now conducting in biotechnology? (Circle a number on the scale between precompetitive and proprietary.) (Precompetitive) 0 1 2 3 4 5 (Proprietary) 5. What typecast of research is your organization now conducting in biotechnology? (Circle all that apply.) A. Basic research B. Applied research C. Product development)

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34 6. For those areas chosen in question 5, how much of this research involved collaboration or interaction with any other organization? (Circle typeks) of research; indicate extent of collaboration by choosing a number on the scale.) A. Basic research (None) O 1 2 3 4 5 B. Applied research (None) O 1 2 3 4 5 C. Product development (None3 O 1 2 3 4 5 (Full Time) Mull Time) (Full Time) 7. For those areas chosen in question 5, how much of this research involves collaboration or interaction with Japanese organizations? (Circle type~s) of research; indicate extent of collaboration by choosing a number on the scale.) A. Basic research (None) O 1 2 3 4 5 (FullTime) B. Applied research (None) O 1 2 3 4 5 (FullTime) C. Product development (None) O 1 2 3 4 5 (FullTime) 8. What Formosa has (have) your interactions~s), if any, with Japanese organizations taken over the past year, and how beneficial are they to your organization? (Check all that apply, and rate each item checked by circling a number on the scale below each. Knot beneficial; 5 very beneficial) B. D. E. F._ Direct financial support from Japanese organization 0 1 2 3 4 5 Direct financial support to Japanese organization 0 1 2 3 4 5 Joint venture with Japanese organization 0 1 2 3 4 Collaborative R&D Circle one: private program 0 1 2 3 4 Your organization's R&D facility in Japan 0 1 2 3 4 5 Personnel exchange Circle one: Japanese to U.S. Americans to Japan 0 1 2 3 4 5 Circle one: less than 1 month more than 1 month 0 1 2 3 4 5 Receipt of Japanese visitors for short tours 0 1 2 3 4 5 government- sponsored 5 Japanese to U.S. 3 4 less than 1 month 5

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35 Visits to Japanese laboratories for short tours 0 1 Attendance at conferences in Japan 0 1 2 3 4 5 Contact with Japanese researchers at U.S. conferences 0 1 2 3 4 5 Exchange of preprints with Japanese researchers 1 2 3 4 5 Access to Japanese-language publications 0 1 2 3 4 5 User of databases on Japanese research (Which ones?) 0 1 2 3 4 5 2 ~4 _ ~A ~ K _ M. N. 0. Licensing of technology to Japanese organizations 0 1 2 3 4 5 Licensing of technology from Japanese organizations 0 1 2 3 4 5 9. How would you characterize the nature of most of your organization's exchanges with Japan? (Check one) A. Providing technology/information in exchange for capital B. Providing capital in exchange for technology/information C. Providing capital for marketing rights/market access D. Providing marketing rights/market access for capital E. Exchange of personnel F. Exchange of technologyfinformation G. Other: 10. What type of benefits do you expect from your interaction with Japan? (Check one) A. Short-term benefits B. Long-tenn benefits C. No benefits

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36 11. With what type(s) of Japanese organization(s) does your organization currency interact? (Check all that apply.) A. Industry labs: Central research 2._ Development 3. Factory engineering B. Government labs: 1. MITI labs 2. STA labs 3. Other: C. Consortia D._ University lab E. Other: 12. How do you evaluate your access to Japanese scientific and technical information? (Circle a number on the scale.) (no access) 0 1 2 3 4 5 (great deal of access) 13. To what extent do you require more information in your field from Japan? (Circle a number on the scale.) (do not require more) 0 1 2 3 4 5 (require a lot morel 14. What typos) of information do (would) you value most? (Check no more than three.) C. D. E. F. G. H. A. Information about R&D, in particular, Japanese institutions B. Assessment of the level of Japanese technology development in particular areas Japanese patent information Japanese-language conference papers (or translations of) Information about production processes in Japanese organizations Japanese budget information Information about Japanese science and technology policy Information about the organization of R&D in Japanese organizations Other:

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37 15. With what typos) of Japanese organizations would you most like to interact? A. Industry labs: 1. Central research 2. Development 3. Factory engineering Government labs: 1. MITI labs 2. STA labs 3. Other: B. 16. In your opinion, how much do the Japanese in your field desire more information about R&D going on in the United States? (Circle a number on the scale.) (not at all) 0 1 2 3 4 5 (a great deal) 17. In your opinion, what typos) of information do the Japanese value most? (Check no more than three.) A. Information about R&D, in particular, U.S. institutions B. Assessment of the level of U.S. technology development in particular areas C. U.S. patent information D. Conference papers E. Information about production processes in U.S. organizations F. U.S. budget information G. Information about U.S. science and technology policy H. Information about the organization of R&D in U.S. organizations I. Other: 18. In your interactions with Japan, how would you evaluate the openness of the Japanese to transferring knowledge and technology to your organization? (Circle a number on the scale or choose "unable to judge.") (closed) 0 1 2 3 4 5 (very open) unable to judge

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38 19. In your interactions with Japan, how would you evaluate the willingness of the Japanese to enter into formal joint projects in which precompetitive information would be exchanged? (Circle a number on the scale or choose "unable to judge.") (unwilling) O 1 2 3 4 5 (very willing) unable to judge 20. In your interactions with Japan, how would you evaluate the willingness of the Japanese to enter into formal joint projects in which potentially proprietary information would be exchanged? (Circle a number on the scale or choose "unable to judge.") (unwilling) 0 1 2 3 4 5 (very willing) unable to judge 21. In your opinion, what are the major problems in accessing scientific and technical information in your field from Japan? (Check no more than three.) A. B. C. D E. F. Language barrier reading Language bamer speaking Cultural differences Lack of information about where to look Lack of funds to look U.S. government regulations G. Japanese government regulations H. Resistance from Japanese firms My organization is not interested 22. Do you believe technical interactions with Japan in your field have increased over the past five years? (Circle a number on the scale.) (not at all) 0 1 2 3 4 5 (significantly) 23. Do you expect technical interactions with Japan in your field to increase over the next five years? (Circle a number on the scale.) (not at all) 0 1 2 3 4 5 (significantly) 24. Do you think increased interaction with Japan would be useful to you in the future? (Circle a number on the scale.) (not at all) 0 1 2 3 4 5 (significantly)

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39 25. What types of interactions would you like to develop? (Check no more than three and circle the most important.) A. B. C. D. E. F. Direct financial support by Japanese organization Direct financial support of Japanese organization Joint venture with Japanese organization Collaborative R&D Circle one: private program government sponsored Your company's R&D facility in Japan Personnel exchange Circle one: Japanese to U.S. Americans to Japan Circle one: less than 1 month more than 1 month G. Receipt of Japanese visitors for short tours H. Visits to Japanese laboratories for short tours I. J. rim. L. M. N. O. Attendance at conferences in Japan Contact with Japanese researchers at U.S. conferences Exchange of preprints with Japanese researchers Access to Japanese-language publications User of databases on Japanese research Please list: Licensing of technology to Japanese organizations Licensing of technology from Japanese organization 26. Have you ever been denied access to Japanese technical information in circumstances you felt were unjustified? Yes If so, please describe: No