Defense Supply Chain Network

OMB - 5/13/11

OMB Control Number: 0694-0119
Expiration Date: December 31, 2011

NATIONAL SECURITY ASSESSMENT:
Defense Supply Chain Network

SCOPE OF ASSESSMENT
The U.S Department of Commerce, Bureau of Industry and Security (BIS), Office of Technology Evaluation, in coordination with the U.S. Department of Defense (DoD), Office of Manufacturing and
Industrial Base Policy, is conducting an industrial base survey of DoD’s supply chain. The principal goal of this effort is to produce a sector-by-sector, tier-by-tier (S2T2) evaluation of the defense
industrial base with a specific focus on the aircraft, ground systems, missiles, missile defense, services and shipbuilding sectors for 30 defense systems. The results will provide DoD with a
comprehensive picture of the defense supply chain as a benchmark to plan for potential budget, market, and technological challenges which could impact U.S. military capabilities and readiness.
RESPONSE TO THIS SURVEY IS REQUIRED BY LAW
A response to this survey is required by law (50 U.S.C. app. Sec. 2155). Failure to respond can result in a maximum fine of $10,000, imprisonment of up to one year, or both. Information furnished
herewith is deemed confidential and will not be published or disclosed except in accordance with Section 705 of the Defense Production Act of 1950, as amended (50 U.S.C App. Sec. 2155). Section
705 prohibits the publication or disclosure of this information unless the President determines that its withholding is contrary to the national defense. Information will not be shared with any nongovernment entity, other than in aggregate form. The information will be protected pursuant to the appropriate exemptions from disclosure under the Freedom of Information Act (FOIA), should it be
the subject of a FOIA request.
Not withstanding any other provision of law, no person is required to respond to nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the
requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number.
BURDEN ESTIMATE AND REQUEST FOR COMMENT
Public reporting burden for this collection of information is estimated to average 14 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information to BIS
Information Collection Officer, Room 6883, Bureau of Industry and Security, U.S. Department of Commerce, Washington, D.C. 20230, and to the Office of Management and Budget, Paperwork
Reduction Project (OMB Control No. 0694-0119), Washington, D.C. 20503.
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Previous Page

Next Page
TABLE OF CONTENTS

I

General Instructions

II

Definitions

III

Who Must Respond to this Survey

1

Company Information

2

Product & Service Lines

3

Sales Information

4

Operations

5

Program Participation

6

Customers

7

Subcontractor Relationships

8

Parts & Components

9

Competitive Environment

10

Financial Health

11

Investment Capital & Capital Expenditures

12

Research & Development

13

Workforce

14

Certification
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Section I
GENERAL INSTRUCTIONS
Your company is required to complete this survey using an Excel template, which can be downloaded from the U.S. Department of Commerce, Bureau
of Industry and Security (BIS) website. At your request, survey compliance staff will e-mail the Excel survey template directly to your company. For
A.
your convenience, a PDF version of the survey is available on the BIS website to aid internal data collection. DO NOT submit the PDF version of your
company’s response to BIS.
Respond to every question. Surveys that are not fully completed will be returned for completion. Use comment boxes to provide any information to
supplement responses provided in the survey form. Make sure to record a complete answer in the cell provided, even if the cell does not appear to
expand to fit all the information.
B.
DO NOT COPY AND PASTE RESPONSES WITHIN THIS SURVEY. Survey inputs should be made manually, by typing in responses or by use of a dropdown menu. The use of copy and paste can disrupt the data collection process. If your survey response is corrupted as a result of copy and paste
responses, a new survey will be sent to you for immediate completion.
If information is not available from your facility/plant's records in the form requested, you may furnish estimates. For 2011 data, estimate full year
C.
data.
For specific questions or assistance with the Excel survey, e-mail: [email protected]
E-mail is the preferred method of contact and will allow for a detailed U.S. Government e-mail response for your company records. If you must phone,
contact:
D.
Jason Bolton, Survey Compliance Staff, (202) 482-5936
Anna Bruse, Survey Compliance Staff, (202) 482-7418
Teresa Telesco, Survey Compliance Staff, (202) 482-4959
Michael Finucane, Survey Compliance Staff, (202) 482-3893
Erika Maynard, Survey Compliance Staff, (202) 482-5572
Chris Nelson, Survey Compliance Staff, (202) 482-1271
E.

In a number of questions you will be asked to specify facility/plant, business unit/division, or corporate/whole company levels of data. Facility/plant
level data is preferred, whenever possible.

F. Upon completion, review and certification of the Excel survey, transmit the survey via e-mail attachment to [email protected].
For questions related to the overall scope of this Defense Supply Chain Network assessment, contact:
Brad Botwin, Director, Industrial Studies
Office of Technology Evaluation, Room 1093
U.S. Department of Commerce
G. 1401 Constitution Avenue, NW
Washington, DC 20230
[email protected]
DO NOT submit completed surveys to Brad Botwin's postal or personal email address; all surveys must be submitted electronically to
[email protected].
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Section II

DEFINITIONS
Term

Authorizing Official
Backlog
CAGE Code

Core competencies
Critical Skills
Customer

Definition
Executive officer of the company or business unit or other individual who has the authority to execute this survey on behalf of
the firm.
Unfinished work or work for which you already have contract in your facility's order book.
Commercial and Government Entity (CAGE) Code identifies companies doing or wishing to do business with the U.S. Federal
Government. The code is used to support mechanized government systems and provides for a standardized method of
identifying a given facility at a specific location. Find CAGE codes at http://www.dlis.dla.mil/cage_welcome.asp.
A specific factor that is central to the way a facility operates. Without this factor, the facility would struggle to hold its
competitive position in the market.
Specific workforce attributes and training that enable a facility to produce its core product or offer its core service.
An entity to which a facility directly delivers the product or service that the facility produces. A customer may be another
company or another facility owned by the same parent company. The customer may be the end user for the item but often will
be an intermediate link in the supply chain, adding additional value before transfering the item to yet another customer.

Data Universal Numbering System A nine-digit numbering system which uniquely identifies an individual business. Find DUNS numbers at
http://fedgov.dnb.com/webform.
(DUNS)

Facility/Plant

Full Time Equivalent (FTE)
Employees
NAICS Code
PSC Code
Rare Earth Element
Service
Single Source
Sole Source
Supplier
United States
Utilization Rate

A building or the minimum complex of buildings or parts of buildings in which a company operates to serve a particular
function, producing revenue and incurring costs for the company. A facility may produce an item of tangible or intangible
property or may perform a service. It may encompass a floor or group of floors within a building, a single building, or a group of
buildings or structures. Often, a facility is a grouping of related locations at which company employees work, together
constituting a profit-and-loss center for the company, and it may be identified by a unique DUNS number.
Employees who work for 40 hours in a normal work week. Convert part-time employees into "full-time equivalents" by taking
their work hours as a fraction of 40 hours.
North American Industry Classification System (NAICS) codes identify the category of product(s) or service(s) provided by your
company. Find NAICS codes at http://www.census.gov/epcd/www/naics.html
Product or Service Code used to report government procurement transactions. To find a PSC, visit
https://www.fpds.gov/wiki/index.php/PSC,_NAICS_and_more.
Rare Earth Element is a category that includes numbers 57-71 of the periodic table (lanthanum, cerium, praseodymium,
neodymium, promethium, samarium, europium, gadolinium, terbium, dysprosium, holmium, erbium, thulium, and ytterbium)
as well as yttrium (39) and scandium (21).
An intangible product (contrasted to a good, which is a tangible product). Services typically cannot be stored or transported, are
instantly perishable, and come into existence at the time they are bought and consumed.
A company or facility that is designated as the only accepted source for the supply of parts, components, materials, or services,
even though other sources with equivalent technical know-how and production capability may exist.
A company or facility that is the only source for the supply of parts, components, materials, or services. No alternative domestic
or foreign suppliers exist other than the current supplier.
An entity from which your facility obtains inputs. A supplier may be another firm with which you have a contractual
relationship, or it may be another facility owned by the same parent company. The inputs may be goods or services.
The "United States" or "U.S." includes the 50 states, Puerto Rico, the District of Columbia, the island of Guam, the Trust
Territories, and the U.S. Virgin Islands.
The fraction of a facility's potential output that is actually being used in current production, where potential output is based on
a 7 day-a-week, 3x8-hour shift production schedule.
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Section III
WHO MUST RESPOND TO THIS SURVEY
Please select "Yes" or "No" from the drop-down options to the statement below.
My company has manufactured products and/or provided services, directly or indirectly, for Department of
Defense programs since January 2005 (including Air Force, Army, Navy, Marine Corps, Intelligence Community,
Defense Logistics Agency, and/or other defense agencies).
A.
For the purposes of this survey, products and/or provided services include assembly, integration, R&D, distribution,
software, repair and overhaul, and testing/validation.
EXEMPTION FROM SURVEY
If you selected "No" to the statement above, you may be exempt from completing this U.S. Department of Commerce survey. If you think you
are exempt, complete Questions B and C, and call one of the contacts listed in the "General Instructions" to verify your status.
Briefly describe the products and/or services provided by your company:
B.

C.

Before 2005, did your company do any work for the Department of Defense? If "Yes," explain below.

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Section 1.a
Corporate/Company Name
Business Unit/Division Name (if applicable)
Facility/Plant Name (if applicable)
Respondent Street Address
A. Respondent City
Respondent State
Respondent Zip Code
Respondent Website
Respondent Phone Number
Point(s) of Contact regarding this survey:
Name
B.

My company is headquartered in:
C.

Parent Company Name, if applicable

COMPANY INFORMATION

Title

Phone Number

E-mail Address

State

City

State/Province

Country

City

State/Province

Country

My company is Publicly traded/Privately held:
My parent company is Publicly traded/Privately held:
Comments
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Section 1.b
COMPANY INFORMATION (cont.)
Please provide the following identification codes, as applicable, to your facility/plant. (Each category must contain at least one code)
*Find your facility/plant's Data Universal Numbering System (DUNS) number(s) at http://fedgov.dnb.com/webform
**Find your facility/plant's Commercial and Government Entity (CAGE) Codes at http://www.dlis.dla.mil/cage_welcome.asp
***Find your facility/plant's North American Industry Classification System (NAICS) codes at http://www.census.gov/epcd/www/naics.html
A. ****Find your facility/plant's Product and Service (PSC) Codes at http://www.fpdsng.com/downloads/service_product_codes.pdf
Data Universal
Numbering System
(DUNS) Number(s)*

Commercial and
Government Entity
(CAGE) Code(s)**

Product &
Service Code(s)
(PSC)****

NAICS (6-digit)
Code(s)***

Select your facility/plant's primary business lines from the drop-down menu below. Provide a short description of the corresponding business lines next
to each selected category. If your facility/plant has more than one dominant focus, rank them 1 through 3 by net sales, 1 being the highest.
Business Line

B

Description of Business Line

1.
2.
3.
Identify the main issues and challenges affecting the long-term viability of your facility/plant's product line(s) or service(s). Select all that apply.
Buy America Waivers
Difficulty Obtaining Key Inputs (Materials, Services, etc.)
Domestic Competition
C. Environmental Regulations/Remediation
Export Controls
Foreign Competition
Foreign Subsidies/Import Restrictions
Government Budget Volatility
Government Regulatory Burden
Healthcare

Imports
Labor Costs
Proximity to Customer
Proximity to Supplier
R&D Costs
Skills Retention
Taxes
Variability of Demand
Other (specify)
Other (specify)

Describe the actions your company has taken/will take in the next five years to increase your facility/plant's competitiveness.
D.
Identify what policy changes or regulatory reforms you recommend the U.S. Government implement to enhance your competitiveness.
E.

Comments
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Section 2.a

PRODUCT & SERVICE LINES

Identify the principle products and/or services that your facility/plant CURRENTLY manufactures/performs. Then, using the drop-downs, indicate whether the customer for this product/service is defense, nondefense government, and/or commercial. If applicable, estimate the duration of backlog/order book at current production rates and the primary competitor for each product/service.
Principle Product/Service

A.

Defense

Non-Defense
Government

Commercial

Duration of
Backlog/Order Book

Primary Competitor Name

City

State

1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
Does any part of your production process for defense customers have a significant degree of integration with your non-defense government and/or commercial business? Explain below.

B.

Has your portfolio of defense-related products and/or services changed significantly in the past five years? Explain below.
C.

Comments:
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Country

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Section 2.b
PRODUCT & SERVICE LINES
List the new products/services that your facility/plant intends to offer in the NEXT FIVE YEARS and indicate whether the primary target customer will be defense, non-defense
government, and/or commercial customers.
Product/Service
A.

Defense

Non-Defense Government

Commercial

1.
2.
3.
4.
5.
List the products/services that your facility/plant has ceased to provide over the PAST FIVE YEARS. Indicate whether the customer was defense, non-defense government, and/or
commercial, and the reason for ceasing production. Then, indicate whether your facility/plant is able to really reconsitute this capability, if necessary.
Product/Service

B.

Defense

Non-Defense
Government

Commercial

1.
2.
3.
4.
5.
Comments:
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Reason for Cease in
Production

Ability to
Reconstitute?

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Section 3
SALES INFORMATION
Provide your facility/plant's U.S. and Non-U.S. annual sales information for 2008-2010, with an estimate for 2011. Then, indicate whether your 2012-2016 sales will "increase,"
"decrease," or "remain the same," from the drop-down menu provided.
Note: Calendar year and Facility/Plant-level data is preferred.
[B. - D. Totals must equal 100%]
Source of Sales Data:
Reporting Schedule:
2008
2009
2010
2011*
2012-2016*
Annual Sales
U.S.
Non-U.S.
U.S.
Non-U.S.
U.S.
Non-U.S.
U.S.
Non-U.S.
U.S.
Non-U.S.
Total Sales, all Customers
A. [record in $ Thousands, e.g. $12,000.00 =
survey input $12]
Total Defense Sales
B.
[as a % of part A]
C.

Total Non-Defense Government Sales
[as a % of part A]

D.

Total Commercial & All Other Sales
[as a % of part A]

* If data is not available, provide estimates.
**"U.S." means U.S. domestic sales; "Non-U.S." means export sales from U.S. located facilities
Comments:
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Section 4

OPERATIONS

2008
2009
Estimate in percent the capacity utilization rate for your
A.
2010
facility/plant from 2008-2011.
2011
Not Applicable
For your facility/plant, do your costs fluctuate in response to decreases/increases in customer orders. If "Yes",
estimate the percent change in unit cost for the following changes in volume.
Cost Change %
Explain
Order Change %
decrease 75%
decrease 50%
decrease 25%
B.
decrease 10%
increase 10%
increase 25%
increase 50%
increase 75%
increase 100%
Estimate the point at which the costs of production for your facility/plant are substantially affected by order
volume. Explain below.
C.
Does your facility/plant use rare earth elements or products that contain rare earth elements in its production
process or as a component of final products? If "Yes", select the elements used below.
Neodymium
Gadolinium
Dysprosium
Samarium
Yttrium
Praseodymium
D.
Europium
Nedodymium-Iron-Boron Magnets
Terbium
Samarium-Cobalt Magnets
Rare Earth Phosphors
Rare Earth Polishing Agent
Other Rare Earth Oxide or
Other Rare Earth Metal
Chemical (specify)
or Alloy (specify)
Comments:
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Section 5
PROGRAM PARTICIPATION
Identify the principle Department of Defense programs (including Air Force, Army, Navy, Marine Corps, Intelligence Community,
Defense Logistics Agency, and/or other defense agencies) your facility/plant has served in any production or service capacity since
2008. For each program/system name and product/service specified, identify whether your facility/plant is currently supporting
that system.
Note: If you do not know which programs your facility has served, indicate in the box to the right, and proceed to Section 6.
For a list of program/system names, click HERE.
Program/System Name (short name)
Products/Service Supplied
1.
2.
3.
4.
5.
6.
7.
8.
A. 9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
B. Overall, how many defense programs does your facility/plant currently work on?
Comments:
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Currently Supporting?

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Section 6
CUSTOMERS
Do you sell your products or services off the shelf, customized for your customers, or both? If "Yes" or "Both", estimate the percent of your company's
products or services that are customized or purchased off the shelf, as a percent of current (2010-present) net sales. *If "not applicable," proceed to
Question C.
A. [Percentages should total 100%]
Type of Sale
Explanation
% of Current Sales
Off the Shelf
Customized
B. Do you provide more customization for defense customers or non-defense government/commercial customers?
Since 2008, who are your most important direct customers (including internal/same company)? Provide the customer name, and designate both the primary focus and reason for
importance. Then, select the approximate range of aggregate revenue from 2008-2011 for each customer. Finally, identify whether you compete with this customer at any level of
your operations.
Customer Name
Primary Focus
Reason For Importance
2008-2011 Revenue
Competitor?
1.
2.
3.
4.
5.
C. 6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
Comments:
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Section 7.a
SUBCONTRACTOR RELATIONSHIPS
Estimate the percent of your facility/plant's current (2010-present) defense-related contract revenue that is subcontracted to external providers, to include internal/same company
A.
business units/divisions?
B. Do you have contracts with suppliers that provide incentive payments for on-time delivery or other quality characteristics?
U.S. Suppliers
Identify your facility/plant's most important U.S. suppliers/subcontractors that assist you in directly or indirectly supporting DoD programs. For each supplier name, indicate the product/service
supplied, location of the supplier, reason that supplier is important, and whether the supplier supports non-DoD customers. Finally, identify whether that supplier/subcontractor is a competitor in any
level of operation.
*Note: Include internal suppliers.
Supports NonReason for Importance
Supplier/Subcontractor Name
Product/Service
City
State
Competitor?
DoD Customers
1.
2.
3.
4.
5.
6.
C. 7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
Non-U.S. Suppliers
Identify your facility/plant's most important Non-U.S. suppliers/subcontractors that assist you in directly or indirectly supporting DoD programs. For each supplier name, indicate the product/service
supplied, location of the supplier, reason that supplier is important, and whether the supplier supports non-DoD customers. Finally, identify whether that supplier/subcontractor is a competitor in any
D.
level of operation.
*Note: Include internal suppliers.
Supports NonReason for Importance
Supplier/Subcontractor Name
Product/Service
City
Country
Competitor?
DoD Customers
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Comments:
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Section 7.b

SUBCONTRACTOR RELATIONSHIPS (cont.)

For each U.S. supplier and product/service listed in Section 7.a, indicate whether a price fluctuation, a delay of the product/service, or both, would substantially disrupt your
facility/plant's operations. Indicate whether the supplier is single or sole source. Then, for each product/service, indicate whether your facility/plant maintains an inventory
reserve; and if the product/service was no longer available, whether your facility would be able to readily produce the product/service in-house.
Supplier Name

A.

1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Product/Service

Disruption in Operations

Single or Sole
Source?

Maintain Inventory
Reserve?

Produce InHouse?

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

For each Non-U.S. supplier and product/service listed in Section 7.a, indicate whether a price fluctuation, a delay of the product/service, or both, would substantially disrupt your
facility/plant's operations. Indicate whether the supplier is single or sole source. Then, for each product/service, indicate whether your facility/plant maintains an inventory
reserve; and if the product/service was no longer available, whether your facility would be able to readily produce the product/service in-house.
Supplier Name

B.

1.
2.
3.
4.
5.
6.
7.
8.
9.
10.

0
0
0
0
0
0
0
0
0
0

Product/Service

Disruption in Operations

Single or Sole
Source?

0
0
0
0
0
0
0
0
0
0
Comments:
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Maintain Inventory
Reserve?

Produce InHouse?

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Section 7.c
SUBCONTRACTOR RELATIONSHIPS (cont.)
If your defense orders were to substantially decrease, which of your suppliers or subtier suppliers (companies that supply your
subcontractors/suppliers) would be most vulnerable? List the supplier names and location below.
Note: If you do not know which suppliers would be most vulnerable, indicate in the box to the right, and proceed to Question B.
Company Name
City
State
A.
1.
2.
3.
4.
5.
If your defense orders were to substantially increase, which of your suppliers or subtier suppliers (companies that supply your
subcontractors/suppliers) would have the greatest difficulty ramping up production to meet your needs? List the supplier names and
location below.

B.

Note: If you do not know which suppliers would be most vulnerable, indicate in the box to the right, and proceed to Section 8.
Company Name
City
State
1.
2.
3.
4.
5.
Comments:
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Country

Country

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Section 8
PARTS & COMPONENTS
Are you required to utilize parts and components that are deemed obsolete for products you sell into the defense supply chain? If
"Yes," indicate the key obsolete parts/components below, the supplier's name, and the location of the company that supplies
them to your facility/plant.
Part/Component
Supplier Company
State
A. 1.
2.
3.
4.
5.
B. Estimate the cost premium for these obsolete parts and components?
C. Do you have difficulty obtaining these obsolete parts and components?
Comments:
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Country

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Section 9
VERTICAL INTEGRATION
The Department of Defense is concerned about potential constraints on competition due to vertical integration in the supply chain. In your facility/plant's business, are you
concerned about potential biases in your customer-supplier relationships because your customers or your suppliers are also potential competitors in your own market niche? If
"Yes", identify the product/service with which you are concerned, the name of the supplier/customer that is also a potential competitor, and the location of that potential
competitor's facility/plant.
Product/Service
System
Competitor Name
City
State
A.
1.
2.
3.
4.
5.
Comments:
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Country

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Section 10.a
FINANCIAL HEALTH
Report select line items from your financial statement for years 2008-2011. From the drop-down, first indicate whether the reported income statement and
balance sheet select line items are Facility/Plant, Business Unit/Division, or Corporate/Whole Company financials. For 2011, estimate the full year data.
DO NOT COPY & PASTE YOUR INPUTS
Note: Facility/Plant level financials are preferred.
Note: Calendar year data is preferred.
Source of Income Statement Line Items:
Reporting Schedule:
Income Statement (Select Line Items)
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.

2008

Record in $ Thousands, e.g. $12,000.00 = survey input of $12
2009
2010

2011*

2008

Record in $ Thousands, e.g. $12,000.00 = survey input of $12
2009
2010

2011*

Net Sales (and other revenue)
Cost of Goods Sold
Research & Development Expense
Total Operating Expenses
Total Operating Income (Loss)
Total Other Income (Expenses)
Earnings Before Interest and Taxes
Interest Expense
Income Tax Expense
Net Income
Source of Income Statement Line Items:
Reporting Schedule:
Balance Sheet (Select Line Items)

A. Cash
B. Marketable Securities
C. Accounts Receivable
D. Inventories
E. Total Current Assets
F. Property, Plant, and Equipment
G. Total Non-Current Assets
H. Total Assets
I. Accounts Payable
J. Total Current Liabilities
K. Long-Term Debt (less current portion)
L. Total Non-Current Liabilities
M. Total Liabilities
N. Retained Earnings
O. Total Owner's Equity
* If data is not available, provide estimates.
Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act
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Section 10.b
FINANCIAL HEALTH (cont.)
Use the space below to qualify with narrative any anomalies, transactions, litigation, or non-recurring one-time events reflected in your financial statement line
items, e.g. reporting restatement, merger and acquisition, chapter 11, SEC investigation, etc.
A.

2008

B.

2009

C.

2010

D.

2011
TRANSACTIONS
Did your company undergo any mergers, acquisitions, and/or joint ventures from calendar years 2008-2011? If "Yes", identify your
most significant mergers, acquisitions, and/or joint ventures over the period. Then, record the subject entity's name, transaction type,
entity's location, calendar year, and the primary objective of the deal.

E.

Note: Primary objectives can include capabilities acquired or divested in the Joint Venture, when applicable).
Entity Name
Transaction Type
Country
Year
1.
2.
3.
4.
5.
Comments:
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Primary Objective

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Section 11
INVESTMENT CAPITAL AND CAPITAL EXPENDITURES
Select the top three capital types/sources your facility/plant uses to support its operations. Then, using the drop downs, rate the ease of access for each type/source for
the years 2008-2011.
Source of Capital Expenditure Data:
Capital Expenditure Reporting Schedule:
Ease of Access
A.
Capital Type or Source
2008
2009
2010
2011
1.
2.
3.
Record your capital expenditures corresponding to the select categories.
Note: Calendar year and Facility/Plant level data is preferred.
Source of Capital Expenditure Data:
Capital Expenditure Reporting Schedule:
Capital Expenditure Category
B.

a.
b.
c.
d.
e.
f.
g.

2008

2009

Total Capital Expenditures
[Record in $ Thousands, e.g. $12,000.00 = survey input of $12]
Machinery, Equipment, and Vehicles [ as a percent of a.]
IT, Computers, Software [as a percent of a.]
Land, Buildings, and Leasehold Improvements [as a percent of a.]

Other (specify)
Other (specify)
% of Total Capital Expenditures relating to defense business lines
[as a percent of a.]

Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

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2010

2011

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Section 12.a

RESEARCH & DEVELOPMENT

A. Do you perform any research and development (R&D) activities at this facility/plant?
B.

How much of the R&D for your product(s) do you do in house? How much of the R&D is outsourced? Estimate a
percentage for each category. Explain below. [Total must equal 100%]

In-House

Outsourced

Design Team?

Number in Design Team

C. Do your typical contracts rely on significant design by your facility, or is your work better characterized as build-to-print?
D. How often are you asked to make significant changes once a product is already in development?
Do you have a designated design team in-house? If "Yes," how many people are normally involved in your
product design process? Explain.
E.

Record your total research and development (R&D) dollar expenditures and the percentage of total R&D expenditures relating to DoD, non-defense government, and
commercial business lines. Then, indicate both the type of R&D performed, by percent allocation, and your company's R&D funding sources, by percent of total R&D
dollars sourced.
Note: Calendar year and Facility/Plant level data is preferred.
Source of R&D Reporting:
R&D Reporting Schedule:
R&D Expenditures
F.
Total R&D Expenditures
a. [Record $ in Thousands, e.g. $12,000.00 = survey input of $12]
b.

2008

2009

R&D Expenditures relating to DoD business lines
[as a percent of a.]

R&D Expenditures relating to non-defense government
business lines [as a percent of a.]
R&D Expenditures relating to commercial & all other
d. business lines [as a percent of a.]
c.

Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

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2010

2011

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Section 12.b
RESEARCH & DEVELOPMENT (cont.)
Record your facility/plant's total R&D funding dollar amounts. Then, record the total dollar amounts for private R&D funding, R&D funding reimbursed indirectly, and R&D
funding paid directly by government. Finally, provide the corresponding percentage breakouts for each category. For 2011, estimate full year data.
Note: If your company's annual Total R&D Expenditures and Total R&D Funding Sources do not match, explain the discrepancy in the comments section.
Note: Calendar year and Facility/Plant level data is preferred.

a.

Source of R&D Reporting:
R&D Reporting Schedule:
R&D Funding Sources
Total R&D Funding

2008

2009

[Record $ in Thousands, e.g. $12,000.00 = survey input of $12]

Private:
b. Total Private R&D Funding ($)
c.
d.
e.
f.
A.

g.

Internal/Self-Funded [as a percent of b.]
Domestic Lender [as a percent of b.]
Foreign Lender [as a percent of b.]
Contracts with other Companies [as a percent of b.]
Domestic Capital Investors, e.g. Venture Capital
[as a percent of b.]

h. Foreign Capital Investors [as a percent of b.]
Reimbursed Indirectly:
i. Total R&D Funding Reimbursed Indirectly ($)
j. DoD IR&D Reimbursement [as a percent of i.]
k. Other Government IR&D Reimbursement [as a percent of i.]
Directly, paid by Government:
l. Total R&D Funding Directly Paid by Government ($)
m. Defense R&D Contracts [as a percent of l.]
n. Other Government R&D Contracts [as a percent of l.]
* If data is not available, provide estimates.
Is there a minimum level of R&D funding you must maintain to remain competitive in the future? Explain below.
B.

Comments:
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2010

2011*

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Section 13.a
WORKFORCE
Record the total number of full time equivalent (FTE) employees in your facility/plant operations by occupational type for the 2008-2011 period. Do not
double count personnel who may perform cross-operational roles. Estimates are acceptable.
Note: Calendar year and Facility/Plant level data is preferred.
Source of Workforce Data:
Reporting Schedule:
Professional Occupations
a. Total Full Time Equivalent (FTE) Employees
b. Administrative, Management, & Legal Staff
c. Marketing & Sales
d. Research and Development (R&D) Staff
A.
e. Production Line Workers
f. Testing Operators, Quality Control, & Support Technicians
g. Other (specify)
h. Other (specify)
*If data is not available, provide estimates.

2008

2009

B. Estimate the percent of your current FTE employees who hold advanced degrees.

2010

2011*

Master's Degree

Ph.D.

2010

2011

Estimate the number of scientists and engineers who work in your facility/plant in any capacity.
Science & Technical Occupations

C.

2008

2009

a. Scientists
b. Engineers
Comments:
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Section 13b.

WORKFORCE (cont.)

Difficult to Hire
Difficult to Retain
1.
2.
3.
Other (specify) 4.
Identify your facility/plant's critical skills/competencies that are essential to your viability and long-term competitiveness. Explain.
Note: Facility/plant data is preferred.

For your facility/plant, identify what professional
A. occupations are the most difficult to hire and retain.

Skills/Competencies
Explain
1.
B.
2.
3.
4.
5.
If your defense-related work were to decline or cease, could non-defense government or commercial work help
C.
retain workforce skills needed for future defense work?
If applicable, within the services portion of your facility/plant operations, identify what skills/competencies distinguish you to the marketplace.
D.

Comments:
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Section 14
Certification
The undersigned certifies that the information herein supplied in response to this questionnaire is complete and correct to the best of his/her knowledge. It is a
criminal offense to willfully make a false statement or representation to any department or agency of the United States Government as to any matter within its
jurisdiction (18 U.S.C.A. 1001 (1984 & SUPP. 1197))
Company Name
Company's Internet Address
Name of Authorizing Official
Title of Authorizing Official
E-mail Address
Phone Number and Extension
Date Certified
In the box below, provide any additional comments or any other information you wish to include regarding this survey assessment.

How many hours did it take to complete this survey?

BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

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