Request for Approval for Cognitive Testing of Innovation Module for the 2017 Survey of Business Owners (SBO)

Attachment 2: Interview Questions

1. During the three years 2015 to 2017, how important were each of the following strategies to your company?

	Degree of importance
	High	Medium	Low	Not important
Focus on improving your existing goods or services				
Focus on introducing entirely new goods or services				
Focus on reaching new customer groups				
Focus on customer-specific solutions				
Focus on low price				
Focus on reducing costs				
Focus on satisfying key clients				
Focus on developing niche or specialized markets				
Focus on new domestic markets				
Focus on opening up new export markets				

2. During the three years 2015 to 2017, did your company introduce new or significantly improved:

	Yes	No
A. Goods (exclude the simple resale of new goods and changes of a solely aesthetic nature). A good is usually a tangible object such as a smartphone, furniture, or packaged software, but downloadable software, music and film are also goods.		
B. Services. A service is usually intangible, such as retailing, insurance, educational courses, air travel, consulting, etc.		
C. Methods of manufacturing for producing goods or services		
D. Logistics, delivery or distribution methods for your inputs, goods or services		
E. Supporting activities for your processes, such as maintenance systems or operations for purchasing, accounting, or computing		

If you answered yes to any of the items above, then we consider that to be an innovation.

3. If you answered “Yes” to either question 2a or 2b, were any of your product innovations during the three years 2015 to 2017:

		Yes	No
New to your market?	Your company introduced a new or significantly improved product (good or service) onto your market before your competitors (it may have already been available in other markets)		
Only new to your company?	Your company introduced a new or significantly improved product (good or service) that was already available from your competitors in your market		

4. Using the definitions above, please give the percent of your total sales in 2017 from:

A. New or significantly improved products (goods or services) introduced during the three years 2015 to 2017 that were new to your market
				%
B. New or significantly improved products (goods or services) introduced during the three years 2015 to 2017 that were only new to your company
				%
C. Products (goods or services) that were unchanged or only marginally modified during the three years 2015 to 2017 (include the resale of new products purchased from other companies)
				%
Total sales in 2017	1	0	0	%

5. During the three years 2015 to 2017, did your company engage in the following innovation activities? If yes, please also enter the total investment in each, rounding to the nearest thousand.

Yes

No

Total Investment

A. In-house R&D

Research and development activities undertaken by your company to create new knowledge or solve scientific or technical problems (include software development that meets this requirement)





$_______,000

If yes, did your company perform R&D during the three years 2015 to 2017:

Continuously (your company had permanent R&D staff in-house)





$_______,000

Occasionally (as needed only)





$_______,000

B. External R&D

Your company contracted-out R&D to other companies (include affiliated companies) or to public or private research organizations





$_______,000

C. Acquisition of machinery, equipment, software & buildings

New machinery, equipment software and building that were acquired for the purpose of developing the goods, services, manufacturing or logistics mentioned previously in Question 2





$_______,000

D. Acquisition of existing knowledge from other companies or organizations

Acquisition of existing know-how, copyrighted works, patented and non-patented inventions, etc. from other companies or organizations for the development of new or significantly improved products and processes





$_______,000

E. Training for innovative activities

In-house or contracted out training for your personnel specifically for the development and/or introduction of new or significantly improved products and processes





$_______,000

F. Market introduction of innovations

In-house or contracted out activities for the market introduction of your new or significantly improved goods or services, including market research and launch advertising





$_______,000

G. Brand Building

In-house or contracted out activities to build your company’s brand identity





$_______,000

H. Design

In-house or contracted out activities to alter the shape, appearance or usability of goods or services





$_______,000

I. Other

Other in-house or contracted out activities to develop or implement new or significantly improved products or processes such as feasibility studies, testing, tooling up, industrial engineering, etc.





$_______,000

6. During the three years 2015 to 2017, did your company have any innovation activities that did not result in a product or process innovation because the activities were:

			Yes		No
Abandoned or suspended before completion				
Still ongoing at the end of the 2017				

7. During the three years 2015 to 2017, did your company receive any public financial support for innovation activities from the following levels of government? Include financial support via tax credits or deductions, grants, subsidised loans, and loan guarantees. Exclude R&D and other innovation activities conducted entirely for the public sector under contract.

		Yes			No
	Local or State Government			
	Federal Government			

8. During the three years 2015 to 2017, did your company co-operate on any of your innovation activities with other companies or organizations? Innovation co-operation is active participation with other companies or organizations on innovation activities. Both partners do not need to commercially benefit. Exclude pure contracting out of work with no active co-operation.

 Yes  (GO TO QUESTION 9)

 No  (GO TO QUESTION 10)

9. Please indicate the type of innovation co-operation partner by location.

                                                                    (Mark all that apply)

Type of co-operation partner	United States	All other countries
Other affiliated companies (legal entities under common ownership)		
Suppliers of equipment, materials, components, or software		
Clients or customers from the private sector		
Clients or customers from the public sector		
Competitors or other companies in your sector		
Consultants or commercial labs		
Universities or other higher education institutes		
Government or public research institutes		
Private research institutes		

10. During the three years 2015-2017, did your company introduce new:

	Yes	No
A. Business practices for organizing procedures (i.e. first time use of supply chain management, business re-engineering, knowledge management, lean production, quality management, etc.)		
B. Methods of organizing work responsibilities and decision making (i.e. first time use of a new system of employee responsibilities, team work, decentralisation, integration or de-integration of departments, education/training systems, etc.)		
C. Methods of organizing external relations with other companies or public organizations (i.e. first time use of alliances, partnerships, outsourcing or sub-contracting, etc.)		
D. Aesthetic design or packaging of a good or service (exclude changes that alter the product’s functional or user characteristics – these are product innovations)		
E. Media or techniques for product promotion (i.e. first time use of a new advertising media, a new brand image, introduction of loyalty cards, etc.)		
F. Methods for product placement or sales channels (i.e. first time use of franchising or distribution licenses, direct selling, exclusive retailing, new concepts for product presentation, etc.)		
G. Methods of pricing goods or services (i.e. first time use of variable pricing by demand, discount systems, etc.)		

11. Which of the following best describes why your enterprise had no innovation activities during the three years from 2014 to 2016:

No compelling reason to innovate	
Considered innovating, but factors preventing innovation were too large	

12. During the three years from 2015 to 2017, how important were the following factors in hampering or preventing your company from innovating?

		Degree of importance
		High	Medium	Low	Not important
Lack of internal finance for innovation					
Lack of credit or private equity					
Innovation costs too high					
Lack of skilled employees within your company					
Lack of collaboration partners					
Difficulties in obtaining government grants or subsidies for innovation					
Uncertain market demand for your ideas for innovations					
Too much competition in your market					
Legislation/regulation that generated excessive burden					
Legislation/regulation that created uncertainty					
Legislation/regulation that lacked consistency across the United States					
Low demand for innovations in your market					
No need to innovate due to previous innovations					
No need to innovate due to very little competition in your company’s market					
Lack of good ideas for innovations					

13. Please assess the effect of the following types of legislation or regulations on your company’s innovation activities during the three years 2015 to 2017. Please select one answer, per row.

Legislation or regulation	Stimulated innovation		Created no major problems	Created uncertainty	Generated an excessive burden		Not relevant
Product safety / consumer protection							
Operational and worker safety							
Environmental							
Intellectual property							
Tax							
Employment or social affairs							
Other, Specify______							

14. During the three years 2015 to 2017, did your company do any of the following:

	Yes	No
A. Apply for a utility patent (patents for inventions)		
B. Apply for a design patent (patents for appearance)		
C. Register a trademark		
D. Claim copyrights		
E. Use trade secrets		
F. Use nondisclosure agreements		