Integrated Circuit Design and Fabrication Capability

National Security and Critical Technology Assessments of the US Industrial Base

OMB-0694-0119-PRA-Package-Integrated-Circuits-Excel-Survey-120916.xlsx

Integrated Circuit Design and Fabrication Capability

OMB: 0694-0119

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Overview

Cover Page
Table of Contents
General Instructions
Definitions
Reporting Level
Reporting Level II
1a Organization
2a, b
2c
2d
3
4a, b Wafer Starts
4c Mask Production
5 Packaging
6a On-die IN-OUT
6b Bit cell and MEM
7a IC Design
7b IC Manufacture
7c IC Design and Manufacture
8a National Security
8b National Security
9 Mats and Equipment
10 Workforce
11 Sales
12 Financials
13 Mergers & Acquisitions
14 CAPEX
15 R&D
16 Export Regulation
17a IP and Trade
17b IP and Trade
18 Competitiveness
19 Cybersecurity
20 Certification

Sheet 1: Cover Page

OMB Control Number: TKTK-TKTK

Expiration Date: Month/Date/Year

DEFENSE INDUSTRIAL BASE ASSESSMENT: THE U.S. INTEGRATED CIRCUIT DESIGN AND MANUFACTURING INDUSTRY

SCOPE OF ASSESSMENT

The U.S. Department of Commerce, Bureau of Industry and Security (BIS), Office of Technology Evaluation (OTE), is conducting a survey and assessment of the health and competitiveness of the U.S. design and manufacturing infrastructure available for producing Integrated Circuit products required for meeting U.S. national security needs. The goal of this study is to provide decision makers in the U.S. Departments of Defense, Energy, Justice, Homeland Security, and other Executive Branch agencies with detailed information on (1) the health and status of Integrated Circuit design and manufacturing capabilities remaining in the United States; and (2) the outlook for maintaining these activities in the future. The scope of this effort encompasses Integrated Circuit design and manufacturing resources, including the supply chain.

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 Information furnished herewith is deemed confidential and will not be published or disclosed except in accordance with Section 705 of the Defense Production Act of 1950, as amended (50 U.S.C App.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 non-government 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.

Notwithstanding 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. TKTK-TKTK), Washington, D.C. 20503.

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

Sheet 2: Table of Contents

Previous Page		Table of Contents	Next Page
Table of Contents
I	Cover Page
II	Table of Contents
III	General Instructions
IV	Definitions
V	Reporting Level
1	Organization Information
2	Integrated Circuit Design and Manufacturing
3	Rad Tolerant, Rad Hardened, Neutron Hardened IC Design & Manufacturing
4	Wafer Starts and Mask Production
5	Packaging
6	Software - On-Die Input/Output & Bit Cell and Memory
7	Performance of Design and Manufacturing Functions and Outsourcing
8	National Security Requirements
9	Materials and Equipment
10	Workforce
11	Sales
12	Financials
13	Mergers & Acquisitions, JVs
14	CAPEX
15	R&D
16	Export Controls
17	Trade and Intellectual Property
18	Competitiveness
19	Cybersecurity
20	Certification

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

Sheet 3: General Instructions

Return to Table of Contents

Section I: General Instructions

Your organization is required to complete this survey of the U.S. Integrated Circuit industry using an Excel template, which can be downloaded from the BIS website: http://bis.doc.gov/chipsurvey

If you are not able to download the survey document, at your request BIS, staff will e-mail the Excel survey template directly to you.

For your convenience, a PDF version of the survey and required drop-down content is available on the BIS website to aid internal data collection. DO NOT SUBMIT the PDF version of the survey as your response to BIS. Should this occur, your organization will be required to resubmit the survey in the requested Excel format.

Respond to every question. Surveys that are not fully completed will be returned for completion. Use the 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.

DO NOT CUT AND PASTE RESPONSES WITHIN THIS SURVEY. Survey inputs should be completed by typing in responses or by use of a drop-down menu. The use of cut and paste can corrupt the survey template. If your survey response is corrupted as a result of cut and paste responses, a new survey will be sent to your organization for immediate completion.

Do not disclose any classified information in this survey form.

Estimates are sometimes acceptable where indicated, but in sections that do not explicitly allow estimates you must contact BIS survey support staff before including estimates.

Upon completion of the survey, final review, and certification, transmit the survey document via e-mail to: [email protected]

Questions related to the survey should be directed to BIS survey support staff at [email protected] (E-mail is the preferred method of contact).

You may also speak with a member of the BIS survey support staff by calling (202) 482-6339

For questions related to the overall scope of this Industrial Base assessment, contact:

Brad Botwin, Director, Industrial Studies
Office of Technology Evaluation, Room 1093
U.S. Department of Commerce
1401 Constitution Avenue, NW
Washington, DC 20230

DO NOT submit completed surveys to Mr. Botwin's postal or e-mail address; all surveys must be submitted electronically to XXX

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

Sheet 4: Definitions

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Section II: Definitions
Term	Definition
Applied Research	Systematic study to gain knowledge or understanding necessary to determine the means by which a recognized and specific need may be met. This activity includes work leading to the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes.
Authorizing Official	Executive officer of the organization or business unit or other individual who has the authority to execute this survey on behalf of the organization.
Basic Research	Systematic, scientific study directed toward greater knowledge or understanding of the fundamental aspects of phenomena and of observable facts.
Capability	The ability to perform defined design and/or manufacturing steps for producing integrated circuit products within an organization's own facilities and with its own employees with little or no outsourcing.
Capital Expenditures	Investments made by an organization in buildings, equipment, property, and systems where the expense is depreciated. This does not include expenditures for consumable materials, other operating expenses and salaries associated with normal business operations.
Commercial and Government Entity (CAGE) Code	Commercial and Government Entity (CAGE) Code identifies companies doing or seeking to do business with the U.S. Federal Government. The code is used to support mechanized government systems and provides a standardized method of identifying a given facility at a specific location. Find CAGE codes at https://cage.dla.mil/search/.
Commercially Sensitive Information (CSI)	Privileged or proprietary information which, if compromised through alteration, corruption, loss, misuse, or unauthorized disclosure, could cause serious harm to the information's owners.
Customer	An entity to which an organization directly delivers the product or service that the facility produces. A customer may be another organization or another facility owned by the same parent organization. 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 transferring the item to yet another customer.
Cyber Security	The body of technologies, processes, and practices designed to protect networks, computers, programs, and data from attack, damage, or unauthorized access.
Data Universal Numbering System (DUNS)	A nine-digit numbering system that uniquely identifies an individual business. Find DUNS numbers at http://fedgov.dnb.com/webform.
Development	The design, development, simulation, or experimental testing of prototype or experimental hardware or systems, to validate technological feasibility or concept of operation, to reduce technological risk, or to provide test systems prior to production approval.
Design	Design activity required to implement a product concept in support of the manufacture of the Integrated Circuit product at a fabrication facility.
Facility	A facility can constitute a single building or multiple buildings functioning as a unified design, fabrication, or packaging facility. Design, fabrication, and packing, test and assembly operations must be identified separately. Individual wafer fabrication facilities serving distinct sets of technology nodes should be identified separately even if operating on a single campus.
Full Time Equivalent (FTE) Employees	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.
Harmonized Tariff Schedule (HTS)	The Harmonized Tariff Schedule (HTS) is the statute used to determine tariff classifications for goods imported in the United States and maintained and published by the United States International Trade Commission. The HTS is based on the International Harmonized System.
Integrated Circuit	Analog or digital devices that incorporate transistors, diodes, capacitors, resistors, and other circuit elements that are integrated on a single substrate (chip), typically silicon.
Location	For the purpose of this survey, a location is a single contiguous site.
Manufacturing	The production of a working Integrated Circuit product in a fabrication facility.
Neutron Hardened	Integrated Circuit products incorporating design features and/or physical characteristics that can withstand the damaging effects of high-speed neutrons, gamma rays, and electromagnetic pulses that accompany a nuclear weapons detonation. Most CMOS[1] technologies are inherently neutron hardened without any specific effort on the part of an ICs designer/manufacturer. For “minority carrier” IC devices that are affected by neutron-induced displacement damage, a level of 1X1014 n/cm2 (1MeV equivalent fluence) is the accepted standard.[2]
North American Industry Classification System (NAICS) Code	North American Industry Classification System (NAICS) codes identify the category of product(s) or service(s) provided by an organization. Find NAICS codes at http://www.census.gov/epcd/www/naics.html
Organization	A company, firm, laboratory, or other entity that owns or controls one or more U.S. establishment capable of designing and/or manufacturing Integrated Circuit products. A company may be an individual proprietorship, partnership, joint venture, or corporation (including any subsidiary corporation in which more than 50 percent of the outstanding voting stock is owned by a business trust, cooperative, trustee(s) in bankruptcy, or receiver(s) under decree of any court owning or controlling one or more establishment.
Product/Process Development	Conceptualization and development of a product prior to the production of the product for customers.
Radiation Hardened	Integrated Circuit products incorporating design features and/or physical characteristics that demonstrate a capability to resist radiation-induced damage from industrial sources, electromagnetic pulses, weapons systems; and/or charged particles in space that can damage circuitry and render a device inoperable. Some IC devices may be considered radiation hardened when their total dose failure level exceeds >300 krad.[3] A total dose failure level of 500krad is the standard cited in International Traffic in Arms (ITAR) regulations.[4]
Radiation Tolerant	Integrated Circuit products incorporating design features and/or physical characteristics with limited capability to resist radiation induced damage from industrial sources, electromagnetic pulses, industrial sources, weapons systems, and charged particles in space that can damage circuitry and render a device inoperable. Radiation tolerant would cover parts having a total dose failure level >100 krad but less than 300 krad.
Research and Development	Basic and applied research in the engineering sciences, as well as design and development of prototype products and processes.
Semiconductor	Elemental materials such as silicon and germanium (or compounds like gallium arsenide) that possess levels of electrical conductivity that are less than a conductor but greater than an insulator. The properties of these materials and similar ones can be manipulated to affect conductivity through temperature and/or the use of dopants.
Service	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.
Single-Event Effects Resistant	Single-event effects caused by a single energetic particle striking an Integrated Circuit (IC) device. Performance of the IC device is not compromised to a point where it is inoperable or not reliable for executing a mission as a result of latch-up, burnout, or gate rupture.
Single Source	An organization 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.
Sole Source	An organization that is the only source for the supply of parts, components, materials, or services. No alternative U.S. or non-U.S. based suppliers exist other than the current supplier.
Supplier	An entity from which your organization 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 organization. The inputs may be goods or services.
Trusted Access Program	A program implemented by the National Security Agency and the Defense Microelectronics Activity (DMEA) to qualify Integrated Circuit design and manufacturing companies as “trusted” suppliers of application specific Integrated Circuit (ASIC) products required for national security applications.
United States	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.
Wafer Starts Per Week	The number of semiconductor wafers that can be processed by an Integrated Circuit production line(s) in a 7-day period.

	[1] Complimentary metal oxide semiconductor (CMOS) is a class of semiconductor used in digital logic circuits employed in microcontrollers, microprocessors, memory, and other devices. The technology also is used in analog circuits in sensors, transceivers, data converters and other systems.
	[2] Sandia National Laboratories. A minority carrier device is a device in which current is conducted by charge carriers of sign (positive or negative) opposite to the dopant polarity of the underlying semiconductor material. In other words, current carried by electrons (negative) in a p-type semiconductor, or by holes in an n-type semiconductor. In semiconductors, minority charge carriers are less abundant than majority charge carriers. Minority carrier devices: Bipolar junction transistors, charge-coupled devices (CCDs), solar cells.
	[3] Sandia National Laboratories.
	[4] ITAR Part 121 – The United States Munitions List (See www.pmddtc.state.gov/consolidated_itar.htm. [Microelectronic circuits are considered radiation hardened when they exceed all five of these standards: (1) Total dose of 5x105 Rads (Si); (2) Dose rate upset of 5x108 Rads (Si) per second; (3) Neutron dose of 1x1014 N/cm2; (4) Single-Event upset of 1x10minus;7 or less error/bit/day; and (5) Single-Event latch-up free and having a dose rate latch-up of 5x108 Rads (Si) per second or greater.]
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 5: Reporting Level

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CORPORATE LEVEL RESPONSE
Section III: Organization Reporting Profile
This survey consists of sections that must be answered at the Corporate Level and other sections that must be answered at the Facility Level. The reporting level will be specified at the top of each section in RED. Facilities that will be responding separately from their corporate headquarters should proceed to section 1a to begin the survey.
Description of Business Activity
A.	Select the description of your organization's U.S. operations that that most closely reflects its business:
	Design Integrated Circuit products (fabless)					Yes/No
	Design and Manufacture Integrated Circuit products (integrated device manufacturer)
	Design and Manufacture Integrated Circuit products; and perform Package, Test & Assembly
	Manufacture Integrated Circuit products (as a foundry)
	Manufacture Integrated Circuit products (as a foundry) and perform Package, Test & Assembly
	Design Integrated Circuit products (fabless); and perform Package, Test & Assembly
	Provide Package, Test & Assembly Services
	Other [Write In]
B.	Identify the number of Integrated Circuit-related design and manufacturing facilities that your organization operated in the United States in 2016.		IC Activity		U.S. Locations	Non-U.S. Locations
			Design
			Manufacturing
			Packaging, Test & Assembly
	Comments:
C.	Identify all of your organization's Integrated Circuit-related Design, Manufacturing, and Packaging facilities* located in the United States.
	Facility* Name	City	State	DMEA Certified Trusted** Facility	Primary Scope of Work
				Yes	Design
				No	Manufacturing
					PT&A
					Other







	*Facilities can constitute a single building or multiple buildings functioning as a unified design, fabrication, or packaging facility. Design, fabrication, and packing, test and assembly operations must be identified separately. Individual wafer fabrication facilities serving distinct sets of technology nodes should be identified separately even if operating on a single campus.
	** "Trusted" refers to certification from the Defense Microelectronics Activity's Trusted Accredidation Program to design or manufacture Integrated Circuit products.
Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 6: Reporting Level II

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CORPORATE LEVEL RESPONSE
Section III: Reporting Level (Cont.)
A.	Is your organization publicly traded or privately held?				If your organization is publicly traded, identify its stock ticker symbol.
B.	Provide the following identification codes, as applicable, for your organization.
		Data Universal Numbering System (DUNS) Code(s)		Harmonized Tariff Schedule (HTS) Code(s)		NAICS (6-digit) Code(s)*
		Find DUNS numbers at:		Find HTS numbers at:		Find NAICS codes at:
		http://fedgov.dnb.com/webform		http://hts.usitc.gov		http://www.census.gov/epcd/www/naics.html
C.	Indicate if your organization qualifies as any of the following types of business:
	A small business enterprise (as defined by the Small Business Administration)
	8(a) Firm (as defined by the Small Business Administration)
	A historically underutilized business zone (HUB Zone)
	A minority-owned business
	A woman-owned business
	A veteran-owned or service-disabled veteran owned business
D.	Specify the industry sectors that your organization serves through the provision of design and/or manufacturing services for Integrated Circuit products located in the United States:
	Aviation systems/Avionics		Yes	Healthcare/Medical Devices
	Automotive		No	Industrial
	Consumer electronics		N/A	Military and Space
	Communications			Other National Security systems
	Electronic Data Processing			Optical/Photonics
	Energy			Other [Write In]
Comments:

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

Sheet 7: 1a Organization

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FACILITY LEVEL RESPONSE
Section 1a: Organization Information
This survey consists of sections that must be answered at the Corporate Level and other sections that must be answered at the Facility Level. The reporting level will be specified at the top of each section as appropriate.
A.	Provide the following information for your facility.
	Facility Name
	Street Address
	City
	State
	Zip Code
	Website
	Phone Number
	CAGE Code (if applicable)
B.	Select the option that most closely describes this facility's Primary Business, and indicate any "Additional Business Lines."	Primary Business		Integrated circuit/semiconductor product design facility
				Integrated circuit/semiconductor product fabrication facility
		Additional Business Line		Integrated circuit/semiconductor product packaging, assembly, and test facility
				Integrated circuit/semiconductor product research and development facility
		Additional Business Line		Integrated circuit/semiconductor product corporate headquarters facility
				N/A
C.	Provide the following information for your parent organization(s), if applicable. Enter N/A if no parent organization.
		Parent Organization 1			Parent Organization 2
	Organization Name
	Street Address
	City
	State/Province
	Country
	Postal Code/Zip Code
D.	Point of Contact regarding this survey:
	Name	Title	Phone Number		E-mail Address	State

Comments:


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

Sheet 8: 2a, b

Table of Contents

FACILITY LEVEL RESPONSE

Section 2 Integrated Circuit Design & Manufacturing

2.a List this facility's Integrated Circuit Design and Manufacturing product capabilities and market types in the United States in calendar year 2016.

Design and Manufacturing Facility Market Types and Capabilities

Product Capabilities

Conventional Integrated Circuit Products

Single-Event Effects Resistant

Radiation Tolerant

Radiation Hardened

Neutron Hardened

Market Types

Commercial

Industrial

Military/Space

Commercial

Industrial

Military/Space

Commercial

Industrial

Military/Space

Commercial

Industrial

Military/Space

Commercial

Industrial

Military/Space

Design/Manufacture/Both/Neither

2.b Identify this facility's Integrated Circuit-related design and manufacturing capabilities by technology node, wafer size, and material type:

Capability to Design and/or Manufacture - by Technology Node, Wafer Size & Material Type

Minimum Technology Node Capability [nanometers]

-- by
Wafer
Size

(Select all that apply -- A blank response is counted as "No Capability")

Amorphous Silicon

Bulk Silicon

Silicon on Insulator

Silicon Germanium

Silicon on Sapphire

Silicon Carbide

Aluminum Gallium Arsenide

Gallium Arsenide

Gallium Nitride

Indium Phosphide

Antimonides

Organic Technologies

Carbon Based Technologies (e.g., nanotubes)

Superconducting Materials

< 7* - 10,000

2- or 3-inch

Design - Conventional

4-inch

Design - Radiation Resistant

6-inch

Manufacture - Conventional

8-inch

Manufacture - Radiation Resistant

12-inch

Both - Design

Comments:

Note: 10,000 nanometers equals 10 micrometers *Respond to this specification if your organization expects to develop a capability to work at this Technology Node by 2021.

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

Sheet 9: 2c

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CORPORATE LEVEL RESPONSE

Section 2 Integrated Circuit Design & Manufacturing - continued

2.c Specify your organization's design and manufacturing capabilities by device type with regard to the production of custom radiation-tolerant, radiation-hardened, and neutron hardened Integrated Circuit products located in the United States:

Device Type

Capability to Design and/or Manufacture - by Device & Material Type

(Select all that apply -- A blank response is counted as "No capability")

Conventiona IC Products

Radiation Tolerant

Radiation Hardened

Neutron Hardened

Single-Event Effects Resistant - Destructive

Single-Event Effects Resistant -Non-Destructive

Amorphous
Silicon

Bulk Silicon

Silicon on
Insulator

Silicon
Germanium

Silicon on
Sapphire

Silicon
Carbide

Aluminum Gallium Arsenide

Gallium
Arsenide

Gallium
Nitride

Indium
Phosphate

Antimonides

Organic
Technologies

Carbon Based Technologies (e.g., nanotubes)

Superconducting Materials

Analog/Linear Technologies

Design

Digital Logic Technologies

Manufacture

Digital Signal Processors

Both

Field Programmable Gate Arrays

Neither

One-time, Electrically Programmable Gate Arrays

Mask Programmable Gate Arrays

Structured ASICs [a.k.a. Structured Arrays; Platform ASICs]

Standard Cell ASICs [a.k.a. cell-based ASICs]

Custom ASICs

MMIC** Technologies

Mixed Signal Technologies

Processors

Nonvolatile Memory

3-D Nonvolatile Memory

SRAM

DRAM - DDR3

DRAM - DDR4

IR*-Focal Plane Arrays

Anti-Tamper Technology

Display Electronics

MEMS Technologies

Optical/Photonic Technologies

RF Technologies

Other: [Write In]

Comments:

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

Sheet 10: 2d

Table of Contents

FACILITY LEVEL RESPONSE

Section 2 Integrated Circuit Design & Manufacturing - Continued

2.d Identify this facility's design and manufacturing capabilities with regard to the production of Nonvolatile Memory devices, memory density, and access time:

Note: Do not complete this page if your organization does not design Nonvolatile Memory products. Proceed to

Section 3

Memory Device Type
(Stand-Alone)

Capability to Design Nonvolatile Memory - by Device, Density, Read-Write Speed

Memory Density

Access Time
[Nano Seconds (ns)]

Write/Erase

Select all that apply - A blank response is counted as "No capability"

Select all that apply -- A blank response is counted as "No capability"

[Provide specifications]

<1 Mbit

1- <8 Mbit

16- <32 Mbit

64- <128 Mbit

256 - <1024 Mbit

1- <8 Gbit

16 - <32 Gbit

64 - <128 Gbit

> 128 Gbit

100-
300ps
****

300 -
<700ps

700ps - <1ns

1-<10ns

10-<20ns

20-<50ns

50-<150ns

>150ns

Size

Time

Specify data size: Word, page, block, etc.

(Write in Spec.)

Erasable Programmable Read-Only Memory (EPROM)

Design

Write In

Electrically Erasable Programmable Read-Only Memory (EEPROM)

Manufacture

Flash - NOR*

Both

Flash - NAND

Neither

Flash - NAND 3D**

Ferro Electric (FeRAM)

Magnetoresistive (MRAM)

MEMS-base (nanotube, NRAM)

Memristor***

Phase Change Memory (PCM, a.k.a. PRAM)

Polymer

Storage Class Memory (e.g., RRAM)

Super Permanent Memory (XPM)

Zero Capacitor (ZRAM)

Other [Write In]

*NOR Flash memory is able to read individual flash memory cells, and as such it behaves like a traditional read-only memory (ROM).
**Nonvolatile random access memory that can be erased electronically and rewritten up to 100,000 times.
*** A non-volatile memory technology that can change its resistance in varying levels. It can offer resistance in two states for a digital 0 or 1 or to levels in between to go beyond a binary system.
**** Pico second = 1 trillionith of a second.

Comments:

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

Sheet 11: 3

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CORPORATE LEVEL RESPONSE

Section 3 Rad Tolerant, Rad Hardened, Neutron Hardened IC Design & Manufacturing

3.a Identify your organization's current capabilities, previous capabilities and interest in developing capabilities in design, manufacturing or both for each of the following types of Integrated Circuit.

Type of Integrated Circuit

Currently (in 2017) has capabilities to:

Had capabilities 2013-2016

Interested in developing capabilities for U.S. Government

Re-constituting Capacity

Initiating Capacity

Radiation Tolerant

Design

Radiation Hardened

Manufacture

Neutron Hardened

Both

Single-Events Effects Resistant - Destructive

Neither

Single-Event Effects Resistant - Nondestructive

Does your organization design or manufacture Radiation Tolerant, Radiation Hardened, Neutron Hardened or Single-Event Effects Resistant Integrated Circuits?

Yes/No

If no, proceed to Section 4.

3.b Identify your organization's capabilities to design and/or manufacture custom Integrated Circuit products that are Radiation Tolerant, Radiation Hardened, Neutron Hardened or Single-Event Effects Resistant at locations in the United States.

Capability to Design and/or Manufacture - by Material Type

(Select all that apply - A blank response is counted as "No capability")

Amorphous
Silicon

Bulk Silicon

Silicon on
Insulator

Silicon
Germanium

Silicon on
Sapphire

Silicon
Carbide

Aluminum Gallium Arsenide

Gallium
Arsenide

Gallium
Nitride

Indium
Phosphate

Antimonides

Organic
Technologies

Carbon Based Technologies (e.g., nanotubes)

Superconducting Materials

Radiation Tolerant

Design

Radiation Hardened

Manufacture

Neutron Hardened

Both

Single-Event Effects Resistant - Destructive

Neither

Single-Event Effects Resistant
- Non-Destructive

Radiation Tolerant: Integrated circuit products incorporating design features and/or physical characteristics with limited capability to resist effects from radiation induced damage (ionizing dose) from industrial sources, electromagnetic pulses, weapons systems, and charged particles in space that can damage circuitry and render a device inoperable.

Radiation Hardened: Integrated circuit products incorporating design features and/or physical characteristics that demonstrate a capability to resist effects from radiation-induced damage (ionizing dose) from industrial sources, electromagnetic pulses, weapons systems, or charged particles in space that can damage circuitry and render a device inoperable.

Neutron Hardened: Integrated circuit products incorporating design features and/or physical characteristics that can withstand the damaging effects of high-speed neutrons, gamma rays, and electromagnetic pulses that accompany a nuclear weapons detonation.

Single-Event Effects (SEE) Resistant - Destructive: Resistant to effects caused by a single energetic particle striking an Integrated Circuit (IC) device. Performance of the IC device is not compromised to a point where it is inoperable or not reliable for executing a mission as a result of event latch-up, burnout, or gate rupture, or snapback. [Immune to destructive SEEs up to an ion linear energy transfer (LET) of 80 MeV.cm2/mg.]

Single-Event Effects Resistant - Non-Destructive: Resistant to effects caused by a single energetic particle striking an Integrated Circuit (IC) device. Performance of the IC device is not compromised to a point where it is inoperable or not reliable for executing a mission as a result of event upset, transient, or functional interrupt. [Immune to non-destructive SEEs is at an LET of 30-40 MeV.cm 2/mg.]

*Organization possesses manufacturing process technology to achieve radiation tolerance, hardening, or neutron hardening.

Comments:

Sheet 12: 4a, b Wafer Starts

Table of Contents

FACILITY LEVEL RESPONSE

Section 4 Manufacturing Capabilities & Production Rates

Does your organization manufacture Integrated Circuits?

Yes/No

[If no, proceed to section 4c]

4.a 1) State the average manufacturing capacity utilization rates at your U.S. -based fabrication facility for the years 2013-2016. Then, 2) state the maximum number of wafer starts possible per week at your manufacturing facility; 3) state the actual average wafer starts per week at your facility; and 4) indicate whether this facility will be operating through 2021.

Average Manufacturing Capacity Utilization Rates

2016 Maximum number of Wafer Starts Per Week*

2016 Average Actual Wafer Starts Per Week**

Will this Facility Operate Through 2021?

2013

2014

2015

2016

Yes/No

*Normalized to 8-inch wafer equivalents.

**Assumes 7-days-a-week operations.

Note: a 100% utilization rate equals full operation with no downtime beyond that necessary for maintenance

4.b Specify the maximum Wafer Start capacity per week of your facility in 2016 in the United States by technology node, wafer size, and material type.

Wafer Starts Per Week by Circuit Technology Node, Wafer Size & Material Type

(State your wafer-start-per-week capacity -- A blank response is counted as "No capability")

Minimum Technology Node Capability [nanometers]

-- by
Wafer
Size

Amorphous
Silicon

Bulk Silicon

Silicon on
Insulator

Silicon
Germanium

Silicon on
Sapphire

Silicon
Carbide

Aluminum Gallium Arsenide

Gallium
Arsenide

Gallium
Nitride

Indium
Phosphate

Antimonides

Organic
Technologies

Carbon Based Technologies (e.g., nanotubes)

Superconducting Materials

< 7* - 10,000

2- or 3-inch

Write In #

4-inch

6-inch

8-inch

12-inch

Comments:

Note: 10,000 nanometers equals 10 micrometers *Respond to this specification if your organization expects to develop a capability to work at this Technology Node by 2021.

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

Sheet 13: 4c Mask Production

Table of Contents

FACILITY LEVEL RESPONSE

Section 4 Mask Production and Capability

Does your organization currently have captive, in-house Integrated Circuit mask-making capability?

Yes/No

[If no, proceed to section 5]

4.c Identify all technology nodes (nanometer ranges) for which your organization is capable of producing masks at company-owned and operated facilities located in 1) the United States; and 2) in company-owned and operated facilities sited at non-U.S. locations.

Mask Technology Node (Nanometers)

(Select all that apply -- A blank response is counted as "No Capability")

Location

10000 - 6000

<6000 - 3000

<3000 - 1500

<1000 - 800

<800 - 500

<500 - 350

<350 - 250

<250 - 180

<180-130

<130 - 90

<90 -65

<65 - 45

<45-32

<32-28

<22-14

<10-7

U.S.

Non-U.S.

Both

Indicate the percentages of your organization's Binary and Phase-Shift mask production that are fulfilled in-house and by external mask makers.

Binary Mask Blanks

Phase-Shift Mask Blanks

What percent of your organization's binary mask requirements are fulfilled by mask production performed:

In-House

by External Mask Makers

What percent of your organization's phase-shift mask requirements are fulfilled by mask production performed:

In-House

by External Mask Makers

U.S.

Non-U.S.

U.S.

Non-U.S.

U.S.

Non-U.S.

U.S.

Non-U.S.

Comments:

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

Sheet 14: 5 Packaging

Table of Contents

CORPORATE LEVEL RESPONSE

Section 5: Performance of Production Steps – Wafer Processing & Die Packaging

Does your organization manufacture Integrated Circuits?

Yes/No

[If no, proceed to section 6]

1) Identify the Integrated Circuit wafer processing and wafer die packaging steps that your organization performs at its facilities in the United States and at facilities it owns in Non-U.S. locations. 2) Identify the names of the supplier(s) that your organization employs to perform wafer processing and die packaging activities at facilities outside the United States and provide the country locations where that work is performed. Select all that apply -- A blank response is counted as "No Capability."

Wafer Processing and Packaging Steps

U.S.

Non-U.S. Location

Country/Countries of Company-Owned Facilities

List of Suppliers

Country #1

Country #2

Country #3

Equipment Supplier #1

Equipment Supplier Country #1

Equipment Supplier #2 Name

Equipment Supplier Country #2

Equipment Supplier #3 Name

Equipment Supplier Country #3

Wafer Thinning

Backgrinding

Yes/No

Other [Write In]

Wafer Dicing

Saw Blade

Yes/No

Laser Dicing

Plasma Dicing

Other [Write In]

Interconnects

Wired Bonding

Yes/No

Solder Bumping

Stud Bumping

Pillar

Redistribution Layer Connects

Other [Write In]

Circuit Bonding

Direct Die Film (DDF) Attach

Yes/No

Silver Glass Attach

Leaded Solder Attach

Gold Silicon Eutectic Attach

Wafer-to-Wafer

Other [Write In]

Substrate/Packaging

Ceramic

Yes/No

Organic

Through Silicon Via

Flexible

Other [Write In]

Comments:

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

Sheet 15: 6a On-die IN-OUT

Table of Contents

CORPORATE LEVEL RESPONSE

Section 6a:

On-Die INPUT/OUTPUT Integrated Circuit Devices & Enabling Firmware

State the percentage of Integrated Circuit On-Die Input/Output Controllers and Firmware used by your organization in 2016 that were 1) produced internally at company facilities located in the U.S. and at Non-U.S. company locations; 2) licensed from U.S. companies, and 3) licensed from non-U.S. companies. Secondly, identify the top three non- U.S. suppliers and countries that were sources of these controllers and firmware used in products manufactured by your company in 2016. Select all that apply -- A blank response is counted as "No Capability."

Company Produced / Licensed On-Die Input/Output Controllers and Firmware

Non-U.S. Countries and Suppliers

Type of On-die Hardware Protocol Controller & Firmware Controlled Device

Internally Produced at Company Locations in U.S.

Internally Produced at Company Locations Outside the U.S.

Licensed from U.S. Companies

Licensed from non-U.S. Companies

Total (must add up to 100%)

Supplier #1 Name

Country #1

Supplier #2 Name

Country #2

Supplier #3 Name

Country #3

PCI Express - Controller

PCI Express - Firmware

Ethernet (1G, 10G, 25G, 100G) - Controller

Ethernet (1G, 10G, 25G, 100G) - Firmware

USB (1.0, 2.0, 3.0) - Controller

USB (1.0, 2.0, 3.0) - Firmware

SATA - Controller

SATA - Firmware

Thunderbolt - Controller

Thunderbolt - Firmware

Firewire - Controller

Firewire - Firmware

Memory - DDR3 and DDR4 - Controller

Memory - DDR3 and DDR4 - Firmware

ZigBee - Controller

ZigBee - Firmware

Bluetooth - Controller

Bluetooth - Firmware

802.11 - Controller

802.11 - Firmware

Other - Controller [Write in]

Other - Firmware [Write in]

Comments:

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

Sheet 16: 6b Bit cell and MEM

Table of Contents

CORPORATE LEVEL RESPONSE

Section 6b:

Embedded Integrated Circuit Bit Cell and Memory Compiler Intellectual Property Sources

For your analog, Application Specific Integrated Circuit and Field Programmable Gate Array products, state the percentage of embedded Integrated Circuit bit cell and memory compiler intellectual property used by your organization in 2016 that was 1) produced internally at company facilities located in the U.S. and at Non-U.S. company locations; 2) licensed from U.S. companies, and 3) licensed from non-U.S. companies. Secondly, identify the top three non- U.S. suppliers and countries that were sources of bit cell and memory compiler intellectual property used in products manufactured by your company in 2016. Select all that apply -- A blank response is counted as "No Capability."

Company Produced / Licensed Bit Cell and Memory Compiler IP

Country and Sources of Bit Cell, Memory Compiler IP

Type of Memory Device IP

Internally Produced at Company Locations in U.S.

Internally Produced at Company Locations Outside the U.S.

Licensed from U.S. Companies

Licensed from non-U.S. Companies

Total (must add up to 100%)

Supplier #1 Name

Country #1

Supplier #2 Name

Country #2

Supplier #3 Name

Country #3

Embedded EEPROM – Bit Cell

Embedded EEPROM – Memory Compiler

Embedded FLASH – Bit Cell

Embedded FLASH – Memory Compiler

Embedded SRAM – Bit Cell

Embedded SRAM – Memory Compiler

Embedded DRAM – Bit Cell

Embedded DRAM – Memory Compiler

Embedded Other – Bit Cell

[Write in]

Embedded Other – Memory Compiler

[Write in]

Comments:

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

Sheet 17: 7a IC Design

Table of Contents

CORPORATE LEVEL RESPONSE

Section 7a Performance of Production Functions for the Design of Integrated Circuits

Answer the questions on this page ONLY if your organization operates design facilities in the United States to produce Integrated Circuit products. If your organization does not operate design facilities in the United States, proceed to Section 7b.

Identify practices from the list below that reflect; 1) your organization's business methods in regard to execution of the eight design functions listed along the top of this page; 2) its practices and plans on outsourcing Integrated Circuit design.

Respond to All Questions

Integrated Circuit Design Functions

Analog

Digital

RTL Design*

Synthesis**

Physical Layout***

Functional Verification****

Simulation

Test Vector Generation*****

Other (Specify Here)

1. In 2016 performed the following Integrated Circuit Design Steps at facilities in the United States that it owns and operates:

Yes/No/Not Applicable

2. Did not design at its own U.S. facilities, but contracted with other U.S.-based organizations to perform the design tasks at their U.S. facilities.

Yes/No/Not Applicable

3. For the 2017-2021, my organization expects to retain capability to perform the following Integrated Circuit design steps at facilities in the United States that it owns and operates.

Yes/No/Not Applicable

4. For 2017-2021 period, my organization will secure other U.S.-based vendors to complete these design steps at their facilities in the United States.

Yes/No/Not Applicable

5. Anticipates that the organization's capabilities to perform the following the eight design steps facilities in the United States will:

Increase/Decrease/No Change

6. Expects that its use of outsourcing in 2017-2021 will :

Increase/Decrease/No Change

7. In 2016, my organization outsourced the following Integrated Circuit design steps to facilities located outside of the United States that it owns and operates:

Yes/No/Unknown

8. The following Integrated Circuit design steps were out-sourced in 2016 to non-U.S. companies operating at non-U.S. locations:

Yes/No/Unknown

9. The three primary reasons why my organization outsources Integrated Circuit design steps to non-U's locations are:

Reason # 1

Reason #2

Reason #3

<----- Reasons for Outsourcing

10. In the space provided, identify the top five countries to which your
organization outsources Integrated Circuit design:

Country #1

Country #2

Country #3

Tariff avoidance

Lower costs

Joint venture

Country #4

Country #5

Proximity to customer

Market access

Availability of skilled labor

Comments:

Government subsidies

Production efficiency

Other

Complete the Next Page, Section 7b, If your organization outsources Integrated Circuit manufacturing steps to non-U.S. locations.

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

Sheet 18: 7b IC Manufacture

Table of Contents

CORPORATE LEVEL RESPONSE

Section 7b Performance of Production Functions for the Manufacture of Integrated Circuits

Answer the questions on this page ONLY if your organization operates manufacturing facilities in the United States to produce Integrated Circuit products. If your organization does not operate manufacturing facilities in the United States, proceed to Section 7c.

Identify practices from the list below that reflect; 1) your organization's business methods in regard to execution of the eight manufacturing functions listed along the top of this page; 2) its practices and plans on outsourcing Integrated Circuit manufacturing.

Respond to All Questions

Integrated Circuit Manufacturing Functions

Mask Making

Wafer Manufacturing
(Front End)

Wafer Manufacturing
(Back End)

E-Test

Wafer Sorting

Dicing

Packaging

Final Test & Inspection

Other (Specify Here)

1. In 2016 performed the following Integrated Circuit Manufacturing Steps at facilities in the United States that it owns and operates:

Yes/No/Not Applicable

2. Did not manufacture at its own U.S. facilities, but contracted with other U.S.-based organizations to perform the manufacturing tasks at their U.S. facilities.

Yes/No/Not Applicable

3. For the 2017-2021, my organization expects to retain capability to perform the following Integrated Circuit manufacturing steps at facilities in the United States that it owns and operates.

Yes/No/Not Applicable

4. For 2017-2021 period, my organization will secure other U.S.-based vendors to complete these manufacturing steps at their facilities in the United States.

Yes/No/Not Applicable

5. Anticipates that the organization's capabilities to perform the following the eight manufacturing steps facilities in the United States will:

Increase/Decrease/No Change

6. Expects that its use of outsourcing in 2017-2021 will :

Increase/Decrease/No Change

7. In 2016, my organization outsourced the following Integrated Circuit manufacturing steps to facilities located outside of the United States that it owns and operates:

Yes/No/Unknown

8. The following Integrated Circuit manufacturing steps were out-sourced in 2016 to non-U.S. companies operating at non-U.S. locations:

Yes/No/Unknown

9. The three primary reasons why my organization outsources Integrated Circuit manufacturing steps to non-U's locations are:

Reason # 1

Reason #2

Reason #3

<----- Reasons for Outsourcing

10. In the space provided, identify the top five countries to which your
organization outsources Integrated Circuit manufacturing:

Country #1

Country #2

Country #3

Tariff avoidance

Lower costs

Joint venture

Country #4

Country #5

Proximity to customer

Market access

Availability of skilled labor

Comments:

Government subsidies

Production efficiency

Other

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

Sheet 19: 7c IC Design and Manufacture

Table of Contents

CORPORATE LEVEL RESPONSE

Section 7c Outsourcing of Production Steps for the Design and Manufacture of Integrated Circuits

Specify the characteristics of the Integrated Circuit products for which your organization outsources Design and/or Manufacturing Steps.

If your organization does not outsource Integrated Circuit design or manufacturing facilities in the United States, proceed to

Section 8.

Device Types

Outsourced Design - by Device Type, Material, & Circuit Technology Node

(Select all that apply -- A blank response is counted as "No Capability")

Capability

Semiconductor Material Types

Circuit Technology Node [nanometers]

Conventional IC Products

Radiation Tolerant

Radiation Hardened

Neutron Hardened

Single-Event Effects Resistant - Destructive

Single-Event Effects Resistant - Non-Destructive

Amorphous
Silicon

Bulk Silicon

Silicon on
Insulator

Silicon
Germanium

Silicon on
Sapphire

Silicon
Carbide

Aluminum Gallium Arsenide

Gallium
Arsenide

Gallium
Nitride

Indium
Phosphate

Antimonides

Organic
Technologies

Carbon Based Technologies (e.g., nanotubes)

Superconducting Materials

10,000 - 6,000

3,000 - <6,000

1,500 - <3,000

1,000 - <1,500

800 - <1,000

500 - <800

350 - <500

250 - <350

180 - <250

130 - <180

90 - <130

65 - <90

45 - <60

32 - <45

28 - <32

14 - <22

7 - <10

< 7

Analog/Linear Technologies

Design

Digital Logic Technologies

Manufacture

Digital Signal Processors

Both

Field Programmable Gate Arrays

Neither

One-time, Electrically Programmable Gate Arrays

Mask Programmable Gate Arrays

Structured ASICs [a.k.a. Structured Arrays; Platform ASICs]

Standard Cell ASICs [a.k.a. cell-based ASICs]

Custom ASICs

MMIC** Technologies

Mixed Signal Technologies

Processors

Nonvolatile Memory

3-D Nonvolatile Memory

SRAM

DRAM - DDR3

DRAM - DDR4

IR*-Focal Plane Arrays

Anti-Tamper Technology

Display Electronics

MEMS Technologies

Optical/Photonic Technologies

RF Technologies

Other: [Write In]

Comments:

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

Sheet 20: 8a National Security

Previous Page		Table of Contents			Next Page
CORPORATE LEVEL RESPONSE
Section 8a: National Security Requirements - The Trusted Access Program
1. Does your organization have in place today an ability to design or manufacture custom Integrated Circuit products in a trusted* environment located in the United States that conforms to Department of Defense (DOD) standards for the conduct of such work?					Design/Manufacture/Both/Not Applicable
2. Has your organization been certified by DOD's Trusted Access Program Office at the Defense Microelectronics Activity (DMEA) as a 'trusted' supplier of Integrated Circuit products?					Yes/No/Not Applicable
3. Is your organization planning to seek certification by DOD's Trusted Access Program Office at the Defense Microelectronics Activity as a 'trusted' supplier of Integrated Circuit products?					Yes/No/Unknown
4. How does your organization view the return on investment associated with expenses incurred for securing accreditation through DMEA's Trusted Access Program?					Favorably/Unfavorably/No opinion
5. Is your organization familiar with alternatives to the current Trusted Access Program and, if so, which do you assess most favorably? (Split manufacturing, Trust by design, Tiers of trust)					Unfamiliar/Split Manufacturing/Tiers of Trust/Trust by Design
6. If your organization has recently withdrawn from operating a facility from the Trusted Access Program or is planning to do so, identify the affected facility by name and address and explain the reason for your organization's action in the space below.
Name:			Address:
Explanation:
7. If you answered "Yes" to Question 1, 2, or 3 identify the manufacturing and/or design facilities for which (1) certification has been awarded, (2) the facilities for which certification is being sought or may be sought, and (3) the primary business activity at that facility.
Facility Name(s)	City	State	Awarded Certification	Seeking Certification	Business Activity
			Yes/No	Yes/No	Design
					Manufacture
					Package, Test, Assembly


Comments:
Comments:
* "Trusted" refers to certification from the Defense Microelectronics Activity's Trusted Accreditation Program to design or manufacture Integrated Circuits.
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 21: 8b National Security

Previous Page		Table of Contents				Next Page
CORPORATE LEVEL RESPONSE
Section 8b National Security Requirements - Outlook on Future Capability to Supply Integrated Circuit Products
For each of the Integrated Circuit devices listed, indicate 1) how your organization's ability to design and/or manufacture at its United States facilities may change in the next five years. 2) State the primary factor contributing to this change (if applicable); and 3) Identify the types of customers that would be affected by this change.
Device Types	(Select all that apply -- A blank response is counted as "No Capability")
	Integrated Circuit Design			Integrated Circuit Manufacturing
	Future Capability	Primary Factor	Types of Affected Customers	Future Capability	Primary Factor	Types of Affected Customers
Analog/Linear Technologies
Digital Logic Technologies	Increase	Labor costs	Commercial (COTS standard Products)
Digital Signal Processors	Decrease	Cost of Modernization	Commercial (Custom Products)
Field Programmable Gate Arrays	Cease	Low order volume	Industrial (COTS standard Products)
One-time, Electrically Programmable Gate Arrays	No Change	Manufacturing Difficulty	Industrial (Custom Products)
Mask Programmable Gate Arrays	N/A	Meeting DOD Requirements	U.S. Government Agencies - excluding DOD (Custom Products)
Structured ASICs [a.k.a. Structured Arrays; Platform ASICs]		Regulations	DOD (Custom Products)
Standard Cell ASICs [a.k.a. cell-based ASICs]		Technology lag	DOD (COTS standard Products)
Custom ASICs		Low Profitability	DOD (Custom Products)
MMIC** Technologies		Trusted Certification Costs	U.S. Government Agencies - excluding DOD COTS standard Products)
Mixed Signal Technologies		Rising Commercial Orders
Processors		Rising US Government Orders
Nonvolatile Memory		Design Difficulty
3-D Nonvolatile Memory
SRAM
DRAM - DDR3
DRAM - DDR4
IR*-Focal Plane Arrays
Anti-Tamper Technology
Display Electronics
MEMS Technologies
Optical/Photonic Technologies
RF Technologies
Other [Write In]
Comments:
Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 22: 9 Mats and Equipment

Table of Contents

CORPORATE LEVEL RESPONSE

Section 9:

Manufacturing Equipment Suppliers

For each of the listed processes, identify those used by your organization by 1) Writing in principal equipment type 2) Primary practice for maintaining equipment and 3) your organization's three primary suppliers of that equipment. If you only have one supplier, enter "None" for suppliers two and three. A blank response will be counted as "no capability."

Integrated Circuit Manufacturing
Processes - Front to Back

Primary Equipment Suppliers
- By Process

(Select all that apply -- A blank response is counted as "No Capability")

Type of Equipment #1

Type of Equipment #2

Type of Equipment #3

Primary Company Practice - Equipment Maintenance Performed By:

Equipment
Supplier #1

City

State

Country

Single or Sole Source Suppler

Equipment
Supplier #2

City

State

Country

Single or Sole Source Suppler

Equipment
Supplier #3

City

State

Country

Single or Sole Source Suppler

Wet Wafer Cleaning

Write In

Company employees

Piranha solution

Manufacturer

RCA clean

OEM Distributor

Photolithography

Third-Party Contractor

Ion implantation

Dry etching

Wet etching

Plasma strip/Ashing

Thermal treatments Rapid thermal anneal

Furnace anneals

Furnace Thermal oxidation

Rapid thermal oxidation

Epitaxy

Chemical vapor deposition (CVD)

Plasma enhanced chemical vapor deposition (PECVD)

Rapid thermal chemical vapor deposition

Physical vapor deposition (PVD)

Molecular beam epitaxy (MBE)

Electrochemical deposition (ECD)

Chemical-mechanical planarization (CMP)

Inline monitor testing at wafer level
[interstitial/ silver /kerf structures]

Wafer bumping (flip chip products only)

Through silicon via (TSV), back side thinning and
backside metal redistribution [if a 3-D chip]

Wafer functional test (testing of design structures)

Wafer backgrinding
(Smartcard, PCMCIA cards, other applications)

Die preparation Wafer mounting / Tape

Die cutting/dicing

IC packaging Die attachment/bonding

IC bonding Wire bonding (if wirebond product)

Thermosonic bonding

Wafer bonding (if a wafer level bonded assembly)

Tape Automated Bonding (TAB)

IC encapsulation Baking

Plating

Laser marking

Trim and form

IC testing

Comments:

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

Sheet 23: 10 Workforce

Table of Contents

FACILITY LEVEL RESPONSE

Section 10 Employment

Indicate the primary Integrated Circuit business line that accounts for the majority of FTE Employees and Contractors at this facililty:

Design/Manufacture/Package, Test, and Assembly

Record the total number of full time equivalent (FTE) employees BY FACILITY in your U.S./domestic operations by labor type for calendar years 2013-2016. Do not double count personnel who may perform cross-operational roles.

Reporting Schedule:

Calendar Year/Fiscal Year

2013

2014

2015

2016

FTE Employees

FTE Contractors

Number of US Citizens

Number of non-US Citizens

List the top five countries (other than the U.S.) from which your location has non-U.S. citizen workers (employees or contractors), and identify the number of each type of visa or green card holder associated with each country.

Country

H-1B

H-2B

F-1

Green Card

Total (Auto Sum)

List the number of staff located at this facility working in the positions listed below that support Integrated Circuit design or Integrated Circuit product manufacturing (fabrication). Blanks will be interpreted as meaning that there are no personnel on site at this facility performing the listed job function.

Occupational Category -
Design of Integrated Circuits

Number of Staff

Occupational Category -
Manufacture of Integrated Circuits

Number of Staff

Occupational Category -
Manufacture of Integrated Circuits

Number of Staff

Silicon Design Architect

Environmental Engineering

Engineering Manager

Researcher

Safety Engineer

Manufacturing Manager

Quality Engineers

Planning/Procurement/Supply Chain

Facilities Engineering/Technician

Pre Silicon Validation Engineer

Statistician

Shift Manager

Post Silicon Validation Engineer

Process Engineer/Technician

Failure Analysis Engineer

Layout Engineer

Product Engineer

Integration Engineer

Debug Engineer

Reticle Engineer

Automation Engineer/Technician

Electronic Engineer

Manufacturing Technician

Factory Manager

RF/Analog Engineer

Equipment Engineer

Yield Engineer

Integration Engineer

Industrial Engineer

CAD Engineer

Thermal Engineer

Mechanical Engineer

Packaging Engineer

Program Manager

State 1) the average age of the staff working at this location; and 2) the percentage of this staff that is projected to leave or retire in the next five years.

Type of Integrated Circuit Facility

Design/Manufacturing

Average
Age

% Projected to
leave or retire
in next five years

Comments:

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

Sheet 24: 11 Sales

Previous Page		Return to Table of Contents					Next Page
CORPORATE LEVEL RESPONSE
Section 11: Sales
For years 2013-2016 provide your organization's U.S. and non-U.S. sales information. For 2017, project whether your sales will increase, decrease or remain unchanged.
Reporting Schedule:			Calendar Year/Fiscal Year
Record $ in Thousands, e.g. $12,000.00 = survey input of $12			2013	2014	2015	2016	2017*
A.	Total Sales, all Customers (in $)
B.	Total IC-Related Sales, all Customers U.S./Non-U.S. ( in $)
C.	Total U.S. IC-Related Sales - as a % of B
D.	Total Non-U.S. IC-Related Sales - as a % of B
E.	Direct sales of Custom IC Products (including design services) to U.S. Government customers (in $)
F.	Is your organization dependent of U.S. Government sales for its ongoing viability?						Yes/No
G.	Identify your organization's 1) top five commercial customers, their country location, and estimated revenue from them for 2016; 2) state the primary type of IC product supplied (IC designs or fabricated product) sold to them and the estimated revenue for 2016 attributed to the primary product; and 3) indicate whether the products were supplied under DMEA Trusted Access certification.
	Top 5 Commercial Customers by Revenue ($)
	Commercial End Customer Name	Country	Estimated 2016 Revenue - All Product Sales	Prime Product Type (Based on Revenue)		Estimated 2016 Revenue -Primary Product	DMEA Trusted Program
				Drop-Down of 23 Product Classes			Yes/No




H.	Identify your organization's 1) top five U.S. Government customers, the associated federal agency, and estimated revenue from them for 2016; 2) state the primary type of IC product supplied (IC designs or fabricated product) sold to them and the estimated revenue for 2016 attributed to the primary product; and 3) indicate whether the products were supplied under DMEA Trusted Access certification.
	Top 5 U.S. Government Customers for Custom Products (Non-COTS) by Revenue ($)
	Government End Customer Name	Federal Agency	Estimated 2016 Revenue - All Product Sales	Prime Product Type (Based on Revenue)		Estimated 2016 Revenue -Primary Product	DMEA Trusted Program
				Drop-Down of 23 Product Classes			Yes/No




Comments:
Disclosure of financial information is required for both public and private companies. All financial data is treated as Business Proprietary and exempt from Freedom of Information Act (FOIA) requests. Providing BIS with financial information will not result in the public release of you organization’s financial data.
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 25: 12 Financials

Previous Page		Return to Table of Contents				Next Page
CORPORATE LEVEL RESPONSE
Section 12: Financials
Provide the following Income Statement and Balance Sheet financial line items for your organization for years 2013-2016 below. Furnish full-year estimates for 2016.
Reporting Schedule:			(Fiscal Year/Calendar Year)
Income Statement (Select Line Items)			Record $ in Thousands, e.g. $12,000.00 = survey input of $12
Income Statement (Select Line Items)			2013	2014	2015	2016
A.	Net Sales (and other revenue)
B.	Cost of Goods Sold
C.	Total Operating Income (Loss)
D.	Earnings Before Interest and Taxes
E.	Net Income
Source of Balance Sheet Items:			(Corporate/Whole Organization)
Reporting Schedule:			(Fiscal Year/Calendar Year)
Balance Sheet (Select Line Items)			Record $ in Thousands, e.g. $12,000.00 = survey input of $12
Balance Sheet (Select Line Items)			2013	2014	2015	2016
A.	Cash
B.	Inventories
C.	Current Assets
D.	Total Assets
E.	Current Liabilities
F.	Total Liabilities
Comments:
Disclosure of financial information is required for both public and private companies. All financial data is treated as Business Proprietary and exempt from Freedom of Information Act (FOIA) requests. Providing BIS with financial information will not result in the public release of you organization’s financial data.
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Reporting of Significant One-Time Events
*Year*	*Instruction: Provide an explanation of any significant one-time events that would skew assessments of the economic performance of your organization.*
2013
2014
2015
2016

Sheet 26: 13 Mergers & Acquisitions

Return to Table of Contents

Section 13: Acquisitions, Divestitures, Mergers and Joint Ventures

CORPORATE LEVEL RESPONSE

Acquisitions, Divestitures, and Mergers

How many Integrated Circuit-related acquisitions, divestitures and mergers has your organization been party to since 2013?

If none, a "0" must be placed in the box.

Identify your organization's five most recent Integrated Circuit-related acquisitions, divestitures and mergers, going back no more than five years. Identify the primary objective of each event listed and provide a description.

Organization Name

Type of Activity

Country

Year

Primary Objective

Explain (optional

<---- Primary Objective Dropdown

Acquisition

Access to government contracts

Market Access

Divestiture

Access to intellectual property

R&D access/coordination

Merger

Bankruptcy restructuring

Reduce costs

Broaden customer base

Regulatory

Develop new capabilities

Tax-related

Joint Ventures

Expand Product Lines

Vertical integration

How many Integrated Circuit-related joint ventures does your organization currently participate in?

If none, a "0" must be placed in the box.

Other objective (Explain)

Identify your organization's current Integrated Circuit-related joint venture relationships, including public/private R&D partnerships. Select the primary objective of the joint venture and provide a description.

Organization Name

Country

Year

Primary Objective

Explain (optional

<---- Primary Objective Dropdown

Cost Reduction

Market Access

Access to technology

Product Improvements

Other

Risk sharing

Have any non-U.S. governments (including sovereign wealth funds) invested, directly or indirectly, in your organization - and collectively control five percent or more of stockholder voting shares?

Yes - Directly/Yes - Indirectly/No

If you answered "yes" explain in the space below the nature of the investment and identify the non-U.S. government(s).

Comments:

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

Sheet 27: 14 CAPEX

Return to Table of Contents

Section 14: Capital Expenditures

CORPORATE LEVEL RESPONSE

Did your organization track capital expenditure financials between 2013 and 2016?

If not, enter "0" in section B

Capital Expenditure Reporting Schedule:

Calendar Year/Fiscal Year

Capital Expenditure Category

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

2013

2014

2015

2016

U.S.

Non-U.S.

U.S.

Non-U.S.

U.S.

Non-U.S.

U.S.

Non-U.S.

Total Capital Expenditures

Total Integrated Circuit-related Capital Expenditures

Machinery and Equipment [as a % of row 1]

IT, Computers, Software [as a % of row 1]

Land, Buildings, and Leasehold Improvements [as a % of row 1]

Other [Write In]

Lines 1 through 4 must total 100%

From 2013-2016, what was the most significant factor in dictating your organization's Capital Expenditures?

Explain:

Rank your organization's top 3 capital expenditure priorities for 2013-2016, anticipated priorities for 2017-2021, and provide a brief description.

Priority

2013-2016

2017-2021

Description

Replace old machinery and equipment

Improve productivity

Expand capacity

Add new capability

Upgrade technology

Meet specific customer requirements

Other [Write In]

Comments:

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

Sheet 28: 15 R&D

Previous Page			Table of Contents				Next Page
Section 15: Research & Development
CORPORATE LEVEL RESPONSE
A.	Does your organization perform Research and Development (R&D)?				Yes/No	If not, proceed to section 16
In Question B, record your organization's total R&D dollar expenditures for years 2013 - 2016. In Question C, identify your organization's R&D funding sources, by percent of total R&D dollars sourced. Note: Total annual funding sources reported (section C) can exceed total expenditures reported (section B) for a given year.
Reporting Schedule:					Calendar Year/Fiscal Year
B.				Record $ in Thousands, e.g. $12,000.00 = survey input of $12
				2013	2014	2015	2016
	1	Total R&D Expenditures		$				Data Confirmation
	2	Basic Research (as a percent of B1)		%				Total 2016 R&D Expenditures
	3	Applied Research (as a percent of B1)		%				Total 2016 R&D Expenditures
	4	Product/Process Development (as a percent of B1)		%				None
	5	Total of 2 - 4 (must equal 100%)		0%	0%	0%	0%
C.				Record $ in Thousands, e.g. $12,000.00 = survey input of $12
				2013	2014	2015	2016
	1	Total R&D Funding Sources		$
	2	Parent Company (Internal)		%
	3	Total Federal Government		%
	4	State and Local Government		%
	5	U.S. Private Entity [includes industry, universities]		%
	6	Foreign Investors [includes industry, governments]		%
	8	Other	(specify here)	%
	9	Total of 2 - 8 (must equal 100%)		0%	0%	0%	0%
D.	1) Report the percentages of your organization's total annual R&D expenditures for supporting Integrated Circuit product design and manufacturing activity performed in U.S. and Non-U.S. locations for 2013-2016
	R&D Expenditures For Integrated Circuit Design and/or Manufacturing (Corporate or Integrated Circuit Business Unit)
	Total Integrated Circuit-Related R&D Expenditures			2013	2014	2015	2016
	Percent Performed at All U.S. Locations			%
	Percent Performed at All Non-U.S. Locations			%
	Total Integrated Circuit R&D Expenditures			$
Comments:
Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 29: 16 Export Regulation

Previous Page					Table of Contents					Next Page
Section 16a - Export Regulation & Trade Issues: Regulatory Impacts
CORPORATE LEVEL RESPONSE
A.	Identify the Integrated Circuit-related products that your organization exports:					IC Designs		Yes/No
						Partially Built ICs		Yes/No
						Complete IC Products		Yes/No
B.	Do you utilize the U.S. export control system (Export Administration Regulations [EAR]/Commerce Control List [CCL]), or (International Traffic in Arms Regulations [ITAR]/U.S. Munitions List [USML]) for the export of Integrated Circuit-related products and services (including design services and manufacturing)?							EAR/CCL	Yes/No
								ITAR/USML	Yes/No
	If you do not utilize U.S. export control licenses for Integrated Circuit -related products or services, select "No" in the box and proceed to Section 17.							Yes/No
C.	Has your organization lost export sales opportunities of Integrated Circuit-related products or services to non-U.S. competitors because of U.S. export controls (EAR/CCL or ITAR/USML)? If "Yes," select the total dollar amount of lost export sales opportunities from 2013-2016.							Lost Sales?*	Lost Export Sales Estimate
						EAR/CCL		Yes/No	$
						ITAR/USML		Yes/No	$
	*Lost Sales: Are attributed to binding, written supply contracts (not estimates) of a stated dollar value that could not be fulfilled because a review of export regulations determined that the Integrated Circuit-related products (designs, technology, and or manufactured devices) could not be exported to a designated customer or country.
D.	State whether U.S. export control regulations since 2013 directly affected your organization’s Integrated Circuit business in any of the ways listed below. If "Yes," explain in the box provided at right.
	Impact				Response		Explanation
	1	Altered your organization's Integrated Circuit-related research and development program			Y/N
	2	Avoided the export of products or services that are subject to EAR/CCL or ITAR/USML related controls.			EAR/CCL
					ITAR/USML
					Both
					N/A
	3	Altered the composition of specific Integrated Circuit-related business lines			EAR/CCL
					ITAR/USML
					Both
					N/A
	4	Located or relocated Integrated Circuit-related facilities outside the United States due to regulatory burdens.			EAR/CCL
					ITAR/USML
					Both
					N/A
	5	Non-U.S. organization's avoided buying U.S.-origin Integrated Circuit-related products or services.			Y/N
	6	Spurred non-U.S. organizations to offer "ITAR/USML-free" or "EAR/CCL-free" Integrated Circuit-related products or services.			Y/N
E.	State whether reforms in export control regulations (EAR/CCL and ITAR/USML) have affected your Integrated Circuit business:									Yes/No
F.	For the two technologies listed below, identify how reforms in export control have affected your Integrated Circuit product business by: 1) Selecting the top three regulatory impacts from the list below; 2) indicating from the list provided how export control reforms may have changed the range of companies and number of companies your organizations does business with as well as your overall business volume.
	Impacts of Export Control Reforms
	Technology		Regulatory Impacts					Range of Trading Companies	Number of Trading Countries	Business Volume
			Impact #1	Impact #2		Impact #3
	Microwave Monolithic Integrated Circuits		Reduced Paperwork	Wider business opportunities	Other #1			Increase	Increase	Increase
			Increased Paperwork	Fewer business opportunities				Decrease	Decrease	Decrease
	Transmit/Receive Modules		Reduced Licensing Time	Removed some controls	Other # 2			No Change	No Change	No Change
			Increased Licensing Time	Added some controls				Other
Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 30: 17a IP and Trade

Previous Page			Table of Contents				Next Page
CORPORATE LEVEL RESPONSE
Section 17a - Trade and Intellectual Property Issues
From the list below, identify the methods your organization uses to transfer Integrated Circuit-related design and manufacturing intellectual property on a legal, authorized basis to U.S. and non-U.S. destinations.

A		Methods	US Location(s)	Non-U.S. Location(s)	Design IP or Manufacturing IP
	1	Licensing Intellectual Property	Yes/No	Yes/No	Design IP
	2	Joint Ventures			Manufacturing IP
	3	Research collaborations			Both
	4	Participation in scientific/technical conferences
	5	Information provided to potential investors
	6	Debt Financing
	7	Non-Disclosure Agreements
	8	Other [Write in]
From the list below, identify the methods by which unauthorized transfers of your company’s Integrated Circuit-related design and manufacturing intellectual property have occurred. If yes, identify the types of IP.

B		Methods	US Location(s)	Non-U.S. Location(s)	Design IP or Manufacturing IP
	1	Cyber security intrusions	Yes/No	Yes/No	Design IP
	2	Planting staff in your company			Manufacturing IP
	3	Physical break-ins at company facilities			Both
	4	Business partners
	5	Dumpster Diving
	6	Former employees
	7	Employees
	8	External IT System Contractors
	9	Persons performing R&D with your company
	10	Company campus Wi-Fi Network Interceptions
	11	Persons speaking to outside industry analysts/experts
	12	Persons speaking with your bankers/financiers
	13	Persons speaking with contractors and suppliers
	14	Violation of Non-Disclosure Agreements
	15	Other [Write in]
C	1	In the years 2013-2016, did your organization experience unauthorized transfers of Integrated Circuit-related design and/or manufacturing Intellectual Property?				Type of IP
						Design/Manufacturing/Both/Neither
	2	If “Yes,” report the number of instances this occured for Design IP and Manufacturing IP?				Design IP	Manufacturing IP

	3	Does your company know the country location(s) of the most frequent perpetrators of the unauthorized transfers of your company’s Integrated Circuit-related intellectual property? If “Yes” identify the countries.			Yes/No	Country	Country



	4	Was the intellectual property subject to any the following export control regulations:		CCL/EAR		Yes/No/Not applicable	Yes/No/Not applicable
				USML/ITAR
	5	Did your organization report the incident(s) to the:	U.S. Department of Defense			Yes/No
			U.S. Department of Commerce
			U.S. Department of State
			Federal Bureau of Investigation
			State/Local police authorities
			U.S. Department of Energy
			Other [Write In]
	6	In the past five years has your organization experienced a loss of access to critical Integrated Circuit-related Intellectual Property?				Yes/No/Not applicable

Comments:

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

Sheet 31: 17b IP and Trade

Return to Table of Contents

Section 17b: Trade and Intellectual Property Issues

CORPORATE LEVEL RESPONSE

Identify all trade practices and requirements that your organization has encountered at any time since 2013 in countries where it currently conducts business or seeks to do business directly or indirectly through third parties. Then, identify up to three countries where these practices or requirements have been encountered and whether they persist to date.

Trade Practices

Yes/No

Country #1

Persists Today?

Country #2

Persists Today?

Country #3

Persists Today?

Tariffs on the Integrated Circuit-related products and services that your organization sells

Yes

National trade policy to phase out the use of Integrated Circuit-related products designed or made outside of their country

Threats to boycott your organization’s products unless your organization allows substantial investment by entities from that country

N/A

Manipulation of your organization's publicly traded stock as a consequence of refusing to transfer intellectual property or establish design and/or manufacturing operations in that country

Denied timely access to the country’s market

Comments:

Conditional Trade Requirements

Yes/No

Country #1

Persists Today?

Country #2

Persists Today?

Country #3

Persists Today?

Transfer of Integrated Circuit-related device intellectual property (trade secrets, patents, etc.)

Yes

Transfer of Integrated Circuit-related manufacturing process intellectual property (trade secrets, patents, etc.)

Outsource design of Integrated Circuit-related products to their country

N/A

Establish Integrated Circuit-related design operations in their country

Outsource the manufacture of Integrated Circuit-related products to their country

Establish Integrated Circuit-related manufacturing operations in their country

Required investment/equity from non-US companies in order to maintain market access

Mandatory joint ventures as means to achieve transfers on design and/or manufacturing intellectual property and know-how

Comments:

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

Sheet 32: 18 Competitiveness

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Section 18: Competitiveness

CORPORATE LEVEL RESPONSE

Rank your organization's top five issues affecting the long-term competitiveness of your organization and provide an explanation.

Issue

2013-2016

2017-2021

Explanation (optional):

Aging equipment, facilities, or infrastructure

Aging workforce

Competition - domestic

Competition - foreign

Counterfeit parts

Cybersecurity

Environmental regulations/remediation - U.S.

Environmental regulations/remediation - non-U.S.

Export controls; ITAR/USML; EAR/CCL

Forced localization

Government acquisition processes

Government purchasing volatility

Government regulatory burden

Healthcare costs

Health and safety regulations

Imports

Industrial Espionage

Intellectual property/patent infringement

Labor availability/costs

Material input availability

Product obsolescence

Pension costs

Proximity to customers

Proximity to suppliers

R&D costs

Reduction in commercial demand

Reduction in USG demand

Taxes

Worker/skills retention

Other

(specify)

Other

(specify)

Comments:

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

Sheet 33: 19 Cybersecurity

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CORPORATE LEVEL RESPONSE
Section 19: Cyber Security
A.		Estimate your organization's spending on physical and cyber security, in thousands of dollars, and state the number of security incidents your organization has recorded in each year.
		Reporting Schedule:
				Record $ in Thousands, e.g. $12,000.00 = survey input of $12
				2013		2014		2015		2016*
				Incidents	Expenditures	Incidents	Expenditures	Incidents	Expenditures	Incidents	Expenditures
		1	Cyber Security	#	$	#	$	#	$	#	$
		2	Physical Security	#	$	#	$	#	$	#	$
		* Furnish full year estimates for 2016 if data is unavailable.
B.	1	Is your organization aware of Defense Federal Acquisition Regulation Supplement (DFARS) 252.204-7009, Limitations on the Use or Disclosure of Third-Party Contractor Reported Cyber Incident Information? http://www.acq.osd.mil/dpap/dars/dfars/html/current/252204.htm									Yes/No
		Explain:
	2	Who is responsible for administering your organization's internal computer network(s)?									Dropdown
	3	Who is responsible for administering your organization's external computer network(s)?									Dropdown
C.	1	Is the computer or computer network that houses your organization's Commercially Sensitive Information (CSI) connected to the Internet, either directly or via an intermediary network or server? *This includes customer/client information, financial information and records, human resources information, intellectual property information, internal communications, manufacturing and production line information, patent and trademark information, research and development information, regulatory/compliance information, and supplier/supply chain information.									Yes/No
	2	Does your organization either restrict or prohibit your external cloud service or external data storage provider(s) from storing Commercially Sensitive Information (CSI) outside of the U.S.?								External Cloud Service Providers	Restrict/Prohibit/No/Unknown
										External Data Storage Providers	Restrict/Prohibit/No/Unknown
		Estimate the percentage of your organization's Commercially Sensitive Information (CSI) that is stored with:								External Cloud Service Providers	(% Entry Only)
										External Data Storage Providers	(% Entry Only)
	3	Does your organization use the following cloud-based security protocols?			Advanced authentication (biometrics, tokens etc.)	<Yes/No>	End-point protection	<Yes/No>	Identity and access management	<Yes/No>
					Real-time monitoring/analytics	<Yes/No>	Threat intelligence	<Yes/No>	Other (specify)	<Yes/No>
		Explain:
	4	Does your organization have structured methods for protecting the following types of Commercially Sensitive Information (see definitions)?				<Yes/No/Not Applicable>	Explain
		Customer/client information
		Financial information and records
		Human resources information/employee data
		Information subject to export control regulations (EAR and/or ITAR)
		Intellectual property related information
		Internal communications including negotiation points, merger and acquisition plans, and/or corporate strategy
		Manufacturing and production line information
		Patent and trademark information
		Regulatory/compliance Information
		Research and development (R&D) related information
		Supply chain and sourcing information
		Other (specify)
D.		Using the drop-down lists and free-text entries below, indicate the type(s) and severity of any cybersecurity events that have occurred at this organization from 2013-2016.
		Event				Impact Level		Frequency	Explain (incident and follow-up)
	1	(Choose from Drop-Down)				Severe		#	Write in
	2	(Choose from Drop-Down)				Moderate
	3	(Choose from Drop-Down)				Low
	4	Other Cybersecurity Event		(Specify)		None
	5	Other Cybersecurity Event		(Specify)
Note: The FBI encourages recipients to report information concerning suspicious or criminal activity to their local FBI field office or the FBI's 24/7 Cyber Watch (CyWatch). Field office contacts can be identified at http://www.fbi.gov/contact-us/field. CyWatch can be contacted by phone at 855-292-3937 or e-mail at [email protected]. When available, each report submitted should include the date, time, location, type of activity, number of people, and type of equipment used for the activity, the name of the submitting organization, and a designated point of contact.
Comments:

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


			Part B, 2 &3: Dropdown:					Part D: Event Dropdown:
			Internal IT Department					Business interruption
			Internal IT department and external U.S. service provider					Exfiltration of CSI data
			Internal IT Department and external non-U.S. service provider					Theft of personnel information
			Only U.S. external service provider					Damage to software and/or source code
			Only non-U.S. external service provider					User idle time and lost productivity because of downtime or systems performance delays
			Both U.S. and non-U.S. service providers					Disruption to normal operations because of system availability problems
			Not Applicable					Damage or theft of IT assets and infrastructure
								Incurred cost of damage assessment and remediation
								Theft of software and/or source code
								Damage to company production capabilities or systems
								Destruction of information asset
								Reputation loss, market share, and brand damages
								Ransomware Attack
								Other

Sheet 34: 20 Certification

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Section 20: 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)). Once this survey is complete, submit it via e-mail to: [email protected]. Be sure to retain a copy for your records and to facilitate any necessary edits or clarifications.
Organization Name
Organization'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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