ABS-1 Annual Business Survey

Annual Business Survey

Att C - 19ABS-1

Annual Business Survey

OMB: 0607-1004

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Attachment C

Welcome to the Annual Business Survey
DO NOT use this worksheet to respond to the survey, it is intended to assist with gathering and preparing data prior to
reporting online. Please view the online report for specific instructions.
Return to https://portal.census.gov when you are ready to report online.
SECTION A: COMPANY INFORMATION
The following section collects information on the operations and structure of the business. All businesses that receive
this questionnaire should answer questions in the upcoming section. The reporting unit for the survey is the U.S.located company, including all majority-owned subsidiaries and divisions regardless of location. Report only for
domestic operations.
A.1 CEASED OPERATION
Has this business ceased operations?
Yes
No – Skip to A.3 BUSINESS OWNERSHIP - FOREIGN ENTITY
A.2 DATE CEASED OPERATIONS
Enter the month and year this business ceased operations.
Month
Year

REPORTING INSTRUCTIONS: If date ceased operations is before January 2018, skip to SECTION F: CONTACT
INFORMATION.
If date ceased operations is between 01/2018 and 12/2019, even though this business is not currently operating,
you are still required to complete the survey covering the business activity for 2018.

A.3 BUSINESS OWNERSHIP – FOREIGN ENTITY
In 2018, was this business a majority-owned subsidiary of a foreign company?
Yes
No
If “Yes”, note the reporting unit for the survey is the U.S. located business.
REPORTING INSTRUCTIONS FOR FOREIGN-OWNED COMPANIES: If you are owned by a foreign parent, the reporting
unit for the survey is the U.S. located company, including all majority-owned subsidiaries and divisions located in the
domestic United States (50 states and District of Columbia). For reporting purposes, your foreign parent and any
foreign affiliates your company does not own should be treated the same as any business partner, customer, or
supplier you do not own.

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Attachment C

A.4 BUSINESS OWNERSHIP – U.S. ENTITY
In 2018, did another U.S. company or other entity own more than 50 percent of this business? Examples of other entities
include estates, trusts, employee stock ownership plans (ESOPs), associations, membership clubs, and cooperatives.
Yes – Skip to A.6 BUSINESS - 10% or MORE OWNERSHIP
No
A.5 BUSINESS OWNERSHIP – GOVERNMENT OR TRIBAL ENTITY
In 2018, was this business owned by a government or tribal entity?
Yes
No
A.6 BUSINESS - 10% OR MORE OWNERSHIP
In 2018, did at least one person own 10% or more of this business? Do not count parent companies, estates, trusts or
other entities.
Yes
No - Select “No” ONLY if no person owned 10% or more of this business.
A.7 NUMBER OF OWNERS
In 2018, how many people owned this business?
 Do not combine two or more owners to create one owner.
 Count spouses and partners as separate owners.
1 person
2 people
3 people
4 people
5-10 people
11 or more people
Don’t know
A.8 NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS
For the pay period including March 12, 2018, how many people worked for this business, including those paid through
grants? Include both full-time and part-time employees as well as yourself. Include only persons in the U.S. Count each
person only once. If none, report zero.
NUMBER OF PEOPLE
a. Owners who received a W-2 issued by this business for salary or wages
b. Employees who received a W-2 issued by this business for salary or wages
Total

__________

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Attachment C

A.9 NUMBER OF WORKERS WHO DO NOT RECEIVE W-2
Not including employees or employee/owners included in the previous question how many other people worked for this
business, including those paid through grants? Include both full-time and part-time workers as well as yourself, if
applicable. Include only persons in the U.S. Count each person only once. If none, report zero.
NUMBER OF PEOPLE
a. Individuals whose work was directed by this business who received payment
in other ways (for example, contractors, consultants, temporary workers who
receive a 1099 from this business or payment from another business)
b. Unpaid individuals who worked for the business (for example, friends,
volunteers, family members)
A.10 TOTAL SALES AND REVENUES
What was the amount of this business’s sales and revenues, including grants, during 2018? Round to the nearest one
thousand dollars. If none, report zero.
$Bil. Mil. Thou.
2018 sales, revenues, and grants

,000

REPORTING INSTRUCTIONS: Report amount using U.S. Generally Accepted Accounting Principles (U.S. GAAP) as
recognized by the Financial Accounting Standard Board (FASB). If the business follows International Financial
Reporting Standards (IFRS), we request that you estimate any adjustments that would be required to conform to
U.S. GAAP.
A.11 DOMESTIC SALES AND REVENUES
How much of the ‘A.10 TOTAL SALES AND REVENUES’ in 2018 sales, revenue, and grants was attributable to or originated
from domestic operations? Include sales and operating revenues to foreign customers, including foreign subsidiaries.
$Bil. Mil. Thou.
,000
REPORTING INSTRUCTIONS: For example, a U.S. manufacturing corporation sells parts to customers around the
world, however, because all of its operations are located inside the United States it reports all of its sales in this
question.
A.12 TYPES OF CUSTOMERS
In 2018, which of the following types of customers accounted for 10% or more of this business’s total sales of goods
and/or services? Select all that apply.
U.S. Federal government
State and local government, including school districts, transportation authorities, etc.
Other businesses, including distributors of your product(s)
Other organizations (foreign governments, nonprofits, etc.)
Individuals

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Attachment C

A.13 TYPES OF WORKERS
In 2018, which of the following types of workers were used by this business? Select all that apply.
Full-time paid employees (workers who received a W-2)
Part-time paid employees (workers who received a W-2)
Paid day laborers
Temporary staffing obtained from a temporary help service
Leased employees from a leasing service or a professional employer organization
Contractors, subcontractors, independent contractors, or outside consultants (workers who received a 1099 or
payment from another company)
None of the above
A.14 PRIMARY BUSINESS ACTIVITY
Describe this business’s primary business activity during 2018.

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Attachment C

SECTION B: OWNER CHARACTERISTICS
The following section collects information on the owners of the business. Based on the number of owners you reported
in the Company Information section, you may be asked to complete this section for up to four owners of the business.
Unless otherwise indicated, the reporting period for this section is calendar year 2018.
B.1 PERCENT OWNERSHIP
For the person(s) owning the largest percentage(s) in this business in 2018, list each person’s name and
percentage owned.
 Do not report percentages owned by parent companies, estates, trusts, or other entities.
 If more than 4 people owned this business equally, select any 4 people.
 Round percentages to whole numbers. For example, report 1/3 ownership as 33%.
Name of Owner

Percentage Owned

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Attachment C

OWNER 1 - If applicable, if not skip to Section C.
B.1.1 SEX
What is the sex of Owner 1?
Male
Female
B.1.2 ETHNICITY
Is Owner 1 of Hispanic, Latino, or Spanish origin?
No, not of Hispanic, Latino, or Spanish origin
Yes, Mexican, Mexican American, Chicano
Yes, Puerto Rican
Yes, Cuban
Yes, another Hispanic, Latino, or Spanish origin—
Enter origin below. For example, Argentinean,
Colombian, Dominican, Nicaraguan, Salvadoran,
Spaniard, and so on.

B.1.3 RACE
What is Owner 1’s race? Select all that apply. (For this
survey, Hispanic origins are not races.)
White
Black or African American
American Indian or Alaska Native—Enter name of
enrolled or principal tribe below.
Asian Indian
Chinese
Filipino
Japanese
Korean
Vietnamese
Other Asian—Enter race, for example, Hmong,
Laotian, Thai, Pakistani, Cambodian, and so on.

B.1.4 MILITARY SERVICE
Has Owner 1 ever served in any branch of the U.S.
Armed Forces, including the Coast Guard, the National
Guard, or a Reserve component of any service branch?
Yes
No – Skip to INITIAL ACQUISITION YEAR
B.1.5 MILITARY SERVICE DISABILITY
Is Owner 1 disabled as the result of illness or injury
incurred or aggravated during military service?
Yes
No
B.1.6 OTHER MILITARY SERVICE
Do any of the following characteristics describe Owner 1’s
military service? Select all that apply.
Served on active duty military service, not including
training for the Reserves or National Guard
Served on active duty military service after
September 11, 2001
Served on active duty military service in 2018
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2018
None of the above
B.1.7 INITIAL ACQUISITION YEAR
In what year did Owner 1 initially acquire ownership of
this business?
Year
Don’t know

Native Hawaiian
Guamanian or Chamorro
Samoan
Other Pacific Islander—Enter race, for example,
Fijian, Tongan, and so on.

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Attachment C

B.1.8 PRIMARY INCOME SOURCE
In 2018, did this business provide Owner 1’s primary
source of personal income?
Yes
No
B.1.9 PRIOR BUSINESS OWNERSHIP - CONTINUED
Not including this business, what is the status of the
previous business Owner 1 started most recently?
Business is still operating and Owner 1 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
This is the owner’s first business
Other
(specify):
__________________________________________

B.1.10 EDUCATION PRIOR TO OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of school
Owner 1 completed?
Less than high school / secondary school graduate –
Skip to AGE
High school / secondary school graduate Diploma or GED – Skip to AGE
Technical, trade, or vocational school – Skip to AGE
Some college, but no degree – Skip to AGE
Associate Degree (for example, AA, AS) –
Bachelor’s Degree (for example, BA, BS)
Masters Degree (for example, MA, MEng, Med,
MSW, MBA)
Doctorate Degree (for example, PhD, EdD)
Professional Degree, beyond a Bachelor’s
Degree (for example, MD, DDS, DVM, LLB, JD)

B.1.11 FIELD OF HIGHEST DEGREE PRIOR TO
OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the field of the highest degree
completed for Owner 1? Select all that apply.
Biological, agricultural and environmental life
sciences
Chemistry, except biochemistry
Computer and mathematical sciences and other
technology and technical fields
Earth, atmospheric and ocean sciences
Economics, political science, psychology,
sociology and other social sciences
Engineering
Health
Physics and astronomy
Science and mathematics teacher education
Other science and engineering related fields, not
listed above
Art and humanities fields
Education, except science and math teacher
education
Management and administration fields
Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above
B.1.12 AGE
What was the age of Owner 1 as of December 31, 2018?
Under 25
45-54
25-34
55-64
35-44
65 or over
B.1.13 PLACE OF BIRTH
Was Owner 1 born in the United States?
Yes
No
B.1.14 US CITIZENSHIP
Is Owner 1 a citizen of the United States?
Yes
No

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Attachment C

B.1.15 REASONS FOR OWNING THE BUSINESS
How important to Owner 1 are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not at all
Important

Wanted to be my own boss
Flexible hours
Balance work and family
Opportunity for greater income
Best avenue for my ideas/goods/services
Unable to find employment
Working for someone else didn’t appeal to me
Always wanted to start my own business
An entrepreneurial friend or family member was a role model
Wanted to carry on the family business
Wanted to help and/or become more involved in my community
Other (specify)

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Attachment C

OWNER 2 - If applicable, if not skip to Section C.
B.2.1 SEX
What is the sex of Owner 2?
Male
Female
B.2.2 ETHNICITY
Is Owner 2of Hispanic, Latino, or Spanish origin?
No, not of Hispanic, Latino, or Spanish origin
Yes, Mexican, Mexican American, Chicano
Yes, Puerto Rican
Yes, Cuban
Yes, another Hispanic, Latino, or Spanish origin—
Enter origin below. For example, Argentinean,
Colombian, Dominican, Nicaraguan, Salvadoran,
Spaniard, and so on.

B.2.3 RACE
What is Owner 2’s race? Select all that apply. (For this
survey, Hispanic origins are not races.)
White
Black or African American
American Indian or Alaska Native—Enter name of
enrolled or principal tribe below.
Asian Indian
Chinese
Filipino
Japanese
Korean
Vietnamese
Other Asian—Enter race, for example, Hmong,
Laotian, Thai, Pakistani, Cambodian, and so on.

B.2.4 MILITARY SERVICE
Has Owner 2 ever served in any branch of the U.S.
Armed Forces, including the Coast Guard, the National
Guard, or a Reserve component of any service branch?
Yes
No – Skip to INITIAL ACQUISITION YEAR
B.2.5 MILITARY SERVICE DISABILITY
Is Owner 2 disabled as the result of illness or injury
incurred or aggravated during military service?
Yes
No
B.2.6 OTHER MILITARY SERVICE
Do any of the following characteristics describe Owner 2’s
military service? Select all that apply.
Served on active duty military service, not including
training for the Reserves or National Guard
Served on active duty military service after
September 11, 2001
Served on active duty military service in 2018
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2018
None of the above
B.2.7 INITIAL ACQUISITION YEAR
In what year did Owner 2 initially acquire ownership of
this business?
Year
Don’t know

Native Hawaiian
Guamanian or Chamorro
Samoan
Other Pacific Islander—Enter race, for example,
Fijian, Tongan, and so on.

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Attachment C

B.2.8 PRIMARY INCOME SOURCE
In 2018, did this business provide Owner 2’s primary
source of personal income?
Yes
No
B.2.9 PRIOR BUSINESS OWNERSHIP - CONTINUED
Not including this business, what is the status of the
previous business Owner 2started most recently?
Business is still operating and Owner 1 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
This is the owner’s first business
Other
(specify):
__________________________________________

B.2.10 EDUCATION PRIOR TO OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of school
Owner 2completed?
Less than high school / secondary school graduate –
Skip to AGE
High school / secondary school graduate Diploma or GED – Skip to AGE
Technical, trade, or vocational school – Skip to AGE
Some college, but no degree – Skip to AGE
Associate Degree (for example, AA, AS) –
Bachelor’s Degree (for example, BA, BS)
Masters Degree (for example, MA, MEng, Med,
MSW, MBA)
Doctorate Degree (for example, PhD, EdD)
Professional Degree, beyond a Bachelor’s
Degree (for example, MD, DDS, DVM, LLB, JD)

B.2.11 FIELD OF HIGHEST DEGREE PRIOR TO
OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the field of the highest degree
completed for Owner 2? Select all that apply.
Biological, agricultural and environmental life
sciences
Chemistry, except biochemistry
Computer and mathematical sciences and other
technology and technical fields
Earth, atmospheric and ocean sciences
Economics, political science, psychology,
sociology and other social sciences
Engineering
Health
Physics and astronomy
Science and mathematics teacher education
Other science and engineering related fields, not
listed above
Art and humanities fields
Education, except science and math teacher
education
Management and administration fields
Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above
B.2.12 AGE
What was the age of Owner 2as of December 31, 2018?
Under 25
45-54
25-34
55-64
35-44
65 or over
B.2.13 PLACE OF BIRTH
Was Owner 2born in the United States?
Yes
No
B.2.14 US CITIZENSHIP
Is Owner 2a citizen of the United States?
Yes
No

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Attachment C

B.2.15 REASONS FOR OWNING THE BUSINESS
How important to Owner 2are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not at all
Important

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Attachment C

OWNER 3 - If applicable, if not skip to Section C.
B.3.1 SEX
What is the sex of Owner 3?
Male
Female
B.3.2 ETHNICITY
Is Owner 3of Hispanic, Latino, or Spanish origin?
No, not of Hispanic, Latino, or Spanish origin
Yes, Mexican, Mexican American, Chicano
Yes, Puerto Rican
Yes, Cuban
Yes, another Hispanic, Latino, or Spanish origin—
Enter origin below. For example, Argentinean,
Colombian, Dominican, Nicaraguan, Salvadoran,
Spaniard, and so on.

B.3.3 RACE
What is Owner 3’s race? Select all that apply. (For this
survey, Hispanic origins are not races.)
White
Black or African American
American Indian or Alaska Native—Enter name of
enrolled or principal tribe below.
Asian Indian
Chinese
Filipino
Japanese
Korean
Vietnamese
Other Asian—Enter race, for example, Hmong,
Laotian, Thai, Pakistani, Cambodian, and so on.

B.3.4 MILITARY SERVICE
Has Owner 3ever served in any branch of the U.S.
Armed Forces, including the Coast Guard, the National
Guard, or a Reserve component of any service branch?
Yes
No – Skip to INITIAL ACQUISITION YEAR
B.3.5 MILITARY SERVICE DISABILITY
Is Owner 3disabled as the result of illness or injury
incurred or aggravated during military service?
Yes
No
B.3.6 OTHER MILITARY SERVICE
Do any of the following characteristics describe Owner 3’s
military service? Select all that apply.
Served on active duty military service, not including
training for the Reserves or National Guard
Served on active duty military service after
September 11, 2001
Served on active duty military service in 2018
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2018
None of the above
B.3.7 INITIAL ACQUISITION YEAR
In what year did Owner 3initially acquire ownership of
this business?
Year
Don’t know

Native Hawaiian
Guamanian or Chamorro
Samoan
Other Pacific Islander—Enter race, for example,
Fijian, Tongan, and so on.

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Attachment C

B.3.8 PRIMARY INCOME SOURCE
In 2018, did this business provide Owner 3’s primary
source of personal income?
Yes
No
B.3.9 PRIOR BUSINESS OWNERSHIP - CONTINUED
Not including this business, what is the status of the
previous business Owner 3started most recently?
Business is still operating and Owner 1 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
This is the owner’s first business
Other
(specify):
__________________________________________

B.3.10 EDUCATION PRIOR TO OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of school
Owner 3completed?
Less than high school / secondary school graduate –
Skip to AGE
High school / secondary school graduate Diploma or GED – Skip to AGE
Technical, trade, or vocational school – Skip to AGE
Some college, but no degree – Skip to AGE
Associate Degree (for example, AA, AS) –
Bachelor’s Degree (for example, BA, BS)
Masters Degree (for example, MA, MEng, Med,
MSW, MBA)
Doctorate Degree (for example, PhD, EdD)
Professional Degree, beyond a Bachelor’s
Degree (for example, MD, DDS, DVM, LLB, JD)

B.3.11 FIELD OF HIGHEST DEGREE PRIOR TO
OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the field of the highest degree
completed for Owner 3? Select all that apply.
Biological, agricultural and environmental life
sciences
Chemistry, except biochemistry
Computer and mathematical sciences and other
technology and technical fields
Earth, atmospheric and ocean sciences
Economics, political science, psychology,
sociology and other social sciences
Engineering
Health
Physics and astronomy
Science and mathematics teacher education
Other science and engineering related fields, not
listed above
Art and humanities fields
Education, except science and math teacher
education
Management and administration fields
Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above
B.3.12 AGE
What was the age of Owner 3as of December 31, 2018?
Under 25
45-54
25-34
55-64
35-44
65 or over
B.3.13 PLACE OF BIRTH
Was Owner 3born in the United States?
Yes
No
B.3.14 US CITIZENSHIP
Is Owner 3a citizen of the United States?
Yes
No

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Attachment C

B.3.15 REASONS FOR OWNING THE BUSINESS
How important to Owner 3are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not at all
Important

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Attachment C

OWNER 4 If applicable, if not skip to Section C.
B.4.1 SEX
What is the sex of Owner 4?
Male
Female
B.4.2 ETHNICITY
Is Owner 4of Hispanic, Latino, or Spanish origin?
No, not of Hispanic, Latino, or Spanish origin
Yes, Mexican, Mexican American, Chicano
Yes, Puerto Rican
Yes, Cuban
Yes, another Hispanic, Latino, or Spanish origin—
Enter origin below. For example, Argentinean,
Colombian, Dominican, Nicaraguan, Salvadoran,
Spaniard, and so on.

B.4.3 RACE
What is Owner 4’s race? Select all that apply. (For this
survey, Hispanic origins are not races.)
White
Black or African American
American Indian or Alaska Native—Enter name of
enrolled or principal tribe below.
Asian Indian
Chinese
Filipino
Japanese
Korean
Vietnamese
Other Asian—Enter race, for example, Hmong,
Laotian, Thai, Pakistani, Cambodian, and so on.

B.4.4 MILITARY SERVICE
Has Owner 4ever served in any branch of the U.S.
Armed Forces, including the Coast Guard, the National
Guard, or a Reserve component of any service branch?
Yes
No – Skip to INITIAL ACQUISITION YEAR
B.4.5 MILITARY SERVICE DISABILITY
Is Owner 4disabled as the result of illness or injury
incurred or aggravated during military service?
Yes
No
B.4.6 OTHER MILITARY SERVICE
Do any of the following characteristics describe Owner 4’s
military service? Select all that apply.
Served on active duty military service, not including
training for the Reserves or National Guard
Served on active duty military service after
September 11, 2001
Served on active duty military service in 2018
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2018
None of the above
B.4.7 INITIAL ACQUISITION YEAR
In what year did Owner 4initially acquire ownership of
this business?
Year
Don’t know

Native Hawaiian
Guamanian or Chamorro
Samoan
Other Pacific Islander—Enter race, for example,
Fijian, Tongan, and so on.

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Attachment C

B.4.8 PRIMARY INCOME SOURCE
In 2018, did this business provide Owner 4’s primary
source of personal income?
Yes
No
B.4.9 PRIOR BUSINESS OWNERSHIP - CONTINUED
Not including this business, what is the status of the
previous business Owner 4started most recently?
Business is still operating and Owner 1 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
This is the owner’s first business
Other
(specify):
__________________________________________

B.4.10 EDUCATION PRIOR TO OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of school
Owner 4completed?
Less than high school / secondary school graduate –
Skip to AGE
High school / secondary school graduate Diploma or GED – Skip to AGE
Technical, trade, or vocational school – Skip to AGE
Some college, but no degree – Skip to AGE
Associate Degree (for example, AA, AS) –
Bachelor’s Degree (for example, BA, BS)
Masters Degree (for example, MA, MEng, Med,
MSW, MBA)
Doctorate Degree (for example, PhD, EdD)
Professional Degree, beyond a Bachelor’s
Degree (for example, MD, DDS, DVM, LLB, JD)

B.4.11 FIELD OF HIGHEST DEGREE PRIOR TO
OWNING THE BUSINESS
Prior to establishing, purchasing, or acquiring this
business, what was the field of the highest degree
completed for Owner 4? Select all that apply.
Biological, agricultural and environmental life
sciences
Chemistry, except biochemistry
Computer and mathematical sciences and other
technology and technical fields
Earth, atmospheric and ocean sciences
Economics, political science, psychology,
sociology and other social sciences
Engineering
Health
Physics and astronomy
Science and mathematics teacher education
Other science and engineering related fields, not
listed above
Art and humanities fields
Education, except science and math teacher
education
Management and administration fields
Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above
B.4.12 AGE
What was the age of Owner 4as of December 31, 2018?
Under 25
45-54
25-34
55-64
35-44
65 or over
B.4.13 PLACE OF BIRTH
Was Owner 4born in the United States?
Yes
No
B.4.14 US CITIZENSHIP
Is Owner 4a citizen of the United States?
Yes
No

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Attachment C

B.4.15 REASONS FOR OWNING THE BUSINESS
How important to Owner 4are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not at all
Important

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Attachment C

B.5 ONE FAMILY MAJORITY OWNERSHIP
In 2018, did two or more members of one family own the majority of this business? Family refers to
spouses/unmarried partners, parents/guardians, children, siblings, or close relatives.
Yes
No
B.6 JOINT OWNERSHIP
In 2018, did spouses/unmarried partners jointly own this business?
Yes
No – Skip to REASONS FOR OWNING THE BUSINESS
B.7 EQUAL OPERATION
In 2018, was this business operated equally by both spouses/unmarried partners?
Yes, equally operated by spouses/unmarried partners
No, primarily operated by Owner 1
No, primarily operated by Owner 2

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Attachment C

SECTION C: PRODUCTS AND PROCESSES
The following section collects information on the business’s introduction of a new or improved product (goods or
services) or business process that differed significantly from the business’s previous products or processes.
The products (goods or services) or business processes must have characteristics or intended uses that are new or
which provide a significant improvement over what was previously used or sold by the business. However, they can fail
or take time to prove themselves.
The products or business process need only be new or improved for the business. It could have been originally
developed or used by other businesses or organizations.
The following section asks about the three previous years including the calendar year 2018 instead of one year as in
other sections of this questionnaire.
C.1 - NEW OR IMPROVED GOODS OR SERVICES
During the three years 2016 to 2018, did this business introduce to the market any new or improved goods or services that
differed significantly from the business’s previous goods or services?
Select one for each row.

Yes

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 also include digital goods such as
downloadable software, music and film.
b. Services. (Exclude the simple resale of new services.) A
service is usually intangible, such as retailing, insurance,
educational courses, air travel, consulting, etc., and also
includes digital services.
If ‘No’ is selected for a. and b., skip to ‘C-5 - PROCESS INNOVATION’
C.2 – NOVELTY OF NEW OR IMPROVED GOODS OR SERVICES
During the three years 2016 to 2018, did this business introduce any new or improved goods or services that were:
Select one for each row.

Yes

New to the market? This business introduced a new or improved product (good or service)
that was not previously offered by any of your competitors (it may have already been
available in other markets)
New only to this business? This business introduced a new or improved product (good or
service) that was identical or very similar to products already offered by your competitors

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Attachment C

C.3 - NEW OR IMPROVED GOODS OR SERVICES AS PERCENT OF TOTAL SALES
Using the definitions in the previous question, what percentage of this business’s ‘A.11 DOMESTIC SALES AND REVENUES’ in
sales and revenues were attributable to or originated from domestic operations:
a. New or improved goods and services introduced during 2016 to 2018 that were
new to your market.
b. New or improved goods and services introduced during 2016 to 2018 that were
new only to this business.
c. Goods and services that were unchanged or only marginally modified during 2016 to 2018
(include the resale of new goods or services purchased from other companies
Total sales in 2018

%
%
%

100%

C.4 – SOURCES OF NEW OR IMPROVED GOODS OR SERVICES
Who developed these new or improved products (goods and services)? For other businesses, include independent
businesses. Organizations include universities, research institutes, non-profits, etc. Select all that apply
This business by itself
This business together with other businesses or organizations
This business by adapting or modifying products originally developed by other businesses
or organizations
Other businesses or organizations
C.5 - NEW OR IMPROVED BUSINESS PROCESSES
During the three years 2016 to 2018, did this business introduce any of the following types of new or improved business
processes that differ significantly from your previous business processes?
Yes

a. Methods for producing goods or providing services
(including methods for developing goods or services)
b. Logistics, delivery or distribution methods
c. Marketing methods for promotion, packaging, pricing, product
placement or after sales services
d. Information and communication systems
(including hardware, software and data processing)
e. Administration and management activities (including decision-making
human resource management, and methods for
accounting or other administrative operations)
f. Product and business process development activities (including
activities to identify, develop or adapt products or processes)
If ‘No’ is selected for a. – f., SKIP to ‘C.7 – INNOVATION ACTIVITIES’

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Attachment C

C.6 - IMPROVED BUSINESS PROCESS DEVELOPERS
Who developed these new or improved business processes? For other businesses, include independent businesses.
Organizations include universities, research institutes, non-profits, etc. Select all that apply
This business by itself
This business together with other businesses or organizations
This business by adapting or modifying business processes originally developed by other
businesses or organizations
Other businesses or organizations
C.7 - ACTIVITIES FOR NEW OR IMPROVED PRODUCTS OR BUSINESS PROCESSES
During the three years 2016 to 2018, did this business have any of the following types of activities? Include all
developmental, financial and commercial activities, that were intended to result in a new or improved product or business
process that differed significantly from your previous products or processes.
Yes

a. Research and development: creative and systematic work undertaken in order to
increase the stock of knowledge and to devise new applications of available knowledge
b. Engineering and design activities: planning of technical specifications, testing,
evaluation, setup and pre-production for goods, services, processes or systems;
installing equipment, tooling-up, testing, trials and user demonstrations; and activities
to extract knowledge or design information from existing products or process
equipment. Also includes activities to develop a new or modified function, form or
appearance for goods services or processes
c. Marketing and brand equity activities: include market research, market testing,
methods for pricing, product placement and product promotion; product advertising,
the promotion of products at trade fairs or exhibitions and the development of
marketing strategies
d. Intellectual Property (IP) related activities: protection or exploitation of knowledge,
often created through R&D, software development, and engineering, design and other
creative work, including all related administrative and legal work
e. Employee training: activities that are paid for or subsidized by the firm to develop
knowledge and skills required for the specific trade, occupation or vocation of a firm’s
employees.
f. Software development and database activities: in-house development and purchase of
computer software; collection and analysis of data in proprietary computer databases
and data obtained from publicly-available reports or the Internet; and Activities to
upgrade or expand the functions of IT systems, including computer program and
databases.
g. Acquisition of machinery, equipment and other tangible assets
h. Management related to innovation: Activities to plan, govern and control internal and
external resources
If ‘No’ is selected for a.-h. AND total NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS from question ‘A.8
NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS’ is between 1 and 9, skip to SECTION D: RESEARCH AND
DEVELOPMENT.
If ‘No’ is selected for a.-h. AND total NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS from question ‘A.8
NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS’ is greater than or equal to 10, skip to SECTION E:
TECHNOLOGY AND INTELLECTUAL PROPERTY.
21

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Attachment C

C.8 - ACTIVITY COSTS
How much did this business spend on the innovation activities selected in the previous question in 2018? Note that this
question refers only to the year 2018 and not 2016 – 2018.
$Mil. Thou. Dol.
,000

If yes is selected for a. from question ‘C.7 - INNOVATION ACTIVITIES’ AND total NUMBER OF W-2 PAID EMPLOYEES OR
EMPLOYEE/OWNERS from question ‘A.8 NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS’ is greater than or
equal to 10 AND response to ‘C.8 INNOVATION COST’ does not equal zero, continue to ‘C.9 - R&D INNOVATION COSTS’.
If response to ‘C.8 INNOVATION COST’ equals zero AND total NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS
from question ‘A.8 NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS’ is between 1 and 9, skip to Section D:
Research and Development.
If response to ‘C.8 INNOVATION COST’ equals zero AND total NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS
from question ‘A.8 NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS’ is greater than or equal to 10, skip to
SECTION E: TECHNOLOGY AND INTELLECTUAL PROPERTY.
C.9 - R&D FOR ACTIVITY COSTS
Of the ‘C.8 INNOVATION COSTS reported, how much was for research and development (creative and systematic work
undertaken in order to increase the stock of knowledge and to devise new applications of available knowledge) in 2018 ?
$Mil. Thou. Dol.
,000

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Attachment C

SECTION D: RESEARCH AND DEVELOPMENT
The following section collects information on research and development activity from businesses.
What is Research and Development (R&D)?
Research and development (R&D) comprise creative and systematic work undertaken in order to increase the stock of
knowledge and to devise new applications of available knowledge.
The term R&D does NOT include expenditures for:






Costs for routine product testing, quality control, and technical services unless they are an integral part of an R&D
project
Market research
Efficiency surveys or management studies
Literary, artistic, or historical projects, such as films, music, or books and other publications
Prospecting or exploration for natural resources

R&D activity in software INCLUDES:
• Software development or improvement activities that expand scientific or technological knowledge
• Construction of new theories and algorithms in the field of computer science
R&D activity in software EXCLUDES:
• Software development that does not depend on a scientific or technological advance, such as
• supporting or adapting existing systems
• adding functionality to existing application programs, and
• routine debugging of existing systems and software
• Creation of new software based on known methods and applications
• Conversion or translation of existing software and software languages
• Adaptation of a product to a specific client, unless knowledge that significantly improved the base program was added in
that process
Reporting unit
The reporting unit is this business, including all subsidiaries and divisions. Include subsidiary companies where there is
more than 50 percent ownership.
Reporting period
Report data for the calendar year 2018, if possible, or for this business’s fiscal year ending between April 2018 and
March 2019.
Estimates are acceptable:
Report all items to the best of your ability.

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Attachment C

D.1 R&D ACTIVITIES
During 2018, did this business do any of the following R&D activities? Include activities that:
• This business performed
• Others paid this business to do
• This business paid others to do
Yes

a. Conducted activities aimed at acquiring new knowledge or understanding
without specific immediate commercial applications or uses
b. Conducted activities aimed at acquiring new knowledge for solving a specific
problem or meeting a specific commercial objective
c. Conducted systematic work, drawing on research and practical experience and
resulting in additional knowledge, which is directed to producing new products
or processes or to improving existing products or processes
d. Developed and tested goods, services, or processes that were derived from scientific
research or technical findings
e. Developed software that advanced scientific or technological knowledge
f. Produced findings that could be published in academic journals or presented at
scientific conferences
g. Applied scientific or technical knowledge in a way that has never been done before
h. Created new scientific or technical solutions that can be generalized to other situations
i. Conducted work to discover previously unknown technological facts, structures,
or relationships
j. Conducted work to extend the understanding of scientific facts, relationships, or
principles in ways that could be useful to others
If “No” is selected for a. – j., skip to SECTION E: TECHNOLOGY AND INTELLECTUAL PROPERTY.

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Attachment C

D.2 R&D COSTS
What was the total cost (both direct and indirect) in 2018 for all the R&D activities reported as “Yes” in the ‘R&D
ACTIVITIES’ question? Your best estimate is acceptable. Report dollar amount in thousands. If none, report zero.
INCLUDE THE FOLLOWING COSTS:
• Salaries, wages, fringe benefits
• Plant, machinery, and equipment, except that which was capitalized because it had an alternative future use
 Materials, supplies, software
• Rent, utilities
• Consultants, contractors
 Depreciation expense from plant, machinery, and equipment that was capitalized because it had an alternative future
use
DO NOT INCLUDE:
• Costs for routine product testing, quality control, and technical services unless they are an integral part of an R&D
project
• Market research
• Efficiency surveys or management studies
• Literary, artistic, or historical projects, such as films, music, or books and other publications
• Prospecting or exploration for natural resources
Total costs for ‘R&D activities’ reported in the R&D Activities question for 2018
$Mil. Thou. Dol.
,000
D.3 FOREIGN R&D COSTS
During 2018, what amount, if any, of the ‘D.2 R&D COSTS’ was performed by businesses outside the U.S.?
$Mil. Thou. Dol.
,000
D.4 DOMESTIC R&D COSTS
We’ve calculated this business’s domestic R&D costs by subtracting the amount entered for R&D costs outside the U.S.
from all R&D costs. This value will be used in other questions in this questionnaire.
This business’s domestic R&D cost in 2018 is:
$Mil. Thou. Dol.
,000
D.5 TYPES OF R&D COSTS
During 2018, how much of the ‘D.4 DOMESTIC R&D COSTS’ in domestic R&D costs was for each of the following types of
costs?
a. Salaries, wages, and fringe benefits

b. Expensed machinery and equipment (not capitalized)

c. Materials and supplies

d. Payments to others for R&D, including purchased R&D services

e. Depreciation on R&D property and equipment

All other costs (for example, consultants, contractors, travel, rent)

Total = DOMESTIC R&D COSTS
25

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Attachment C

D.6 R&D DOMESTIC PERFORMANCE COSTS
[SUBTRACT ITEM D IN D.5 TYPES OF R&D COSTS (PAYMENTS TO OTHERS FOR R&D, INCLUDING PURCHASED R&D
SERVICES) FROM D.4 DOMESTIC R&D COSTS]
We’ve calculated this business’s domestic R&D performance cost by subtracting the payments for R&D services (item d. in
question ‘D.5 - TYPES OF R&D COSTS’) from domestic R&D costs (question D.4 DOMESTIC R&D COSTS’). This value will be
used in the next question.
This business’s domestic R&D performance cost in 2018 is:
$Mil. Thou. Dol.
,000

D.7 FUNDING SOURCES FOR R&D ACTIVITIES
During 2018, of the ‘D.6 R&D DOMESTIC PERFORMANCE COSTS ‘ in total R&D domestic performance costs?, how much
was paid for by the following sources?
a. This U.S. business

b. Your foreign owner (if the business is foreign owned)

c. Other businesses located within the U.S.

d. Other businesses located outside the U.S.

e. Universities or colleges located within the U.S.

Non-profit organizations located within the U.S.

g. U.S. Federal government (including R&D grants)

U.S. State or Local government (not including state universities)

All other organizations outside the U.S.

$
Total = D.6 R&D DOMESTIC PERFORMANCE COSTS

D.8 R&D CATEGORIES
During 2018, of the ‘D.6 R&D DOMESTIC PERFORMANCE COSTS’ in R&D domestic performance costs, how much was for
the following categories?
a. Basic Research – activities aimed at acquiring new knowledge or understanding without
$
specific immediate commercial applications or uses
b. Applied Research – activities aimed at solving a specific problem or meeting a specific
$
commercial objective
c. Development – systematic work, drawing on research and practical experience and resulting $
in additional knowledge, which is directed to producing new products or processes or to improving
existing products or processes
Total = D.6 R&D DOMESTIC PERFORMANCE COSTS

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Attachment C

D.9 R&D EMPLOYEES
For the pay period including March 12, 2018, how many employees from this business’s domestic
operations, were R&D employees and how many were all other employees? Include owners who receive a W-2. If none,
report zero.
R&D employees include all employees who work on R&D or who provide direct support to R&D, such as researchers,
R&D managers, technicians, clerical staff, and others assigned to R&D groups. Exclude employees who provide only
indirect support to R&D, such as corporate personnel, security guards, and cafeteria workers.
Previously, you indicated this business had ‘A.8 NUMBER OF W-2 PAID EMPLOYEES OR EMPLOYEE/OWNERS – show
number of employees’ W-2 employees and owner/employees.
a. How many of those employees and owner/employees were R&D employees?
b. Of the R&D employees, how many were female
c. Of the R&D employees, how many were male?
The sum of b. and c. should equal the amount entered in a.
D.10 R&D EMPLOYEE OCCUPATIONS
Of the ‘D.9.a. R&D EMPLOYEES’ R&D Employees how many were? If none, report zero.
a)
b)
c)
d)

Researchers (including R&D scientists, engineers, and their managers)
R&D technicians and equivalent staff
R&D support staff (clerical and other)
Total R&D employees

total from D.9 R&D EMPLOYEES

e) Of the researchers reported in line a how many had PhDs?

D.11 DOMESTIC R&D EMPLOYEES FULL TIME EQUIVALENT
What was the full time equivalent of the ‘D.9.a R&D EMPLOYEES’ R&D employees? For full-time R&D employees use the
number of employees for the FTEs. For other full-time employees not working solely on R&D or part-time employees
working on R&D use the share of full-time work week they work on R&D.
Total FTEs
D.12 DOMESTIC RESEARCHERS FULL TIME EQUIVALENT
What was the full time equivalent of the ‘D.10.a R&D EMPLOYEE OCCUPATIONS’ researchers?
Total FTEs
D.13 TAX CREDIT FOR RESEARCH ACTIVITIES
Did this business file for the tax credit for increasing research activities (IRS Form 6765) in 2018?
Yes
No

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Attachment C

SECTION E: TECHNOLOGY AND INTELLECTUAL PROPERTY

The following section collects information on intellectual property and technology use for the business.
Technology related questions in this section asks about the following technologies:
Artificial Intelligence: Artificial intelligence is a branch of computer science and engineering devoted to making machines
intelligent. Intelligence is that quality that enables an entity to perceive, analyze, determine response and act
appropriately in its environment.
Cloud-based Computing Systems and Applications: Cloud systems and applications are computing resources available ondemand via the internet.
Specialized Software (excluding Artificial Intelligence): Specialized software is software dedicated to performing a
particular business function.
Robotics: Robotic equipment (or robots) are automatically controlled, reprogrammable, and multipurpose machines used
in automated operations in industrial and service environments.
Specialized Equipment (excluding Robotics): Specialized equipment is equipment capable of automatically carrying out
pre-specified task(s).

E.1 INTELLECTUAL PROPERTY ACTIVITIES
Indicate whether this business did any of the following during 2018. Select one for each row.
Yes
a. Transferred intellectual property (IP) to others not owned by this business
through participation in technical assistance or "know - how" agreements

b. Received IP from others not owned by this business through participation in
technical assistance or "know how" agreements
c. Participated in cross-licensing agreements in which two or more parties grant a
license to each other for the use of the subject matter claimed in one or more
of the patents owned by each party
d. Allowed free use of patents or other IP owned by this business (for example,
allowing free use of software patents by the open source community)
e. Made use of open source patents or other freely available IP not owned by
this business
E.2 IMPORTANCE OF INTELLECTUAL PROPERTY
During 2018, how important were the following types of intellectual property protection to this business?
Select one for each row.
Very
Somewhat
Not at all
Important
Important
Important
a. Utility patents (patents for inventions)
b. Design patents (patents for appearance)
c. Trademarks
d. Copyrights
e. Trade secrets
f.

Nondisclosure agreements

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Attachment C

E.3 PRODUCTION TECHNOLOGY FOR GOODS AND SERVICES
During the three years 2016 to 2018, to what extent did this business use the following technologies in production
processes for goods or services?
Artificial Intelligence
o Did not use
o Tested, but did not use in production or service
o Low use
o Moderate use
o High use
o Don’t know
Cloud-based Computing Systems and Applications
o Did not use
o Tested, but did not use in production or service
o Low use
o Moderate use
o High use
o Don’t know
Specialized Software
o Did not use
o Tested, but did not use in production or service
o Low use
o Moderate use
o High use
o Don’t know
Robotics
o Did not use
o Tested, but did not use in production or service
o Low use
o Moderate use
o High use
o Don’t know
Specialized Equipment
o Did not use
o Tested, but did not use in production or service
o Low use
o Moderate use
o High use
o Don’t know
If all answers to E.3 are “Did not use”, “Tested, but did not use in production or service”, or “Don’t know” then proceed to
E.19 – Factors Adversely Affecting Technology Adoption and Utilization.

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Attachment C

E.4 MOTIVATION FOR ARTIFICIAL INTELLIGENCE TECHNOLOGY ADOPTION AND UTILIZATION – PROCESSES AND
METHODS
During the three years 2016 to 2018, why did this business adopt or use Artificial Intelligence? Select all that apply.
 To automate tasks performed by labor
 To upgrade outdated processes or methods
 To improve quality or reliability of processes or methods
 To expand the range of goods or services
 To adopt standards and accreditation
 Some other reason
E.5 IMPACT OF ARTIFICIAL INTELLIGENCE TECHNOLOGY ON WORKFORCE – PROCESSES AND METHODS
During the three years 2016 to 2018, what were the effects of adopting or using Artificial Intelligence on the following?
A. The number of workers employed by this business
o Increased
o Decreased
o Did not change
B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

The scientific, technological, engineering, and mathematical skills of workers employed by this business
Increased overall
Decreased overall
Did not change overall
Not applicable, we did not employ workers with scientific, technological, engineering and mathematical skills

E.6 IMPACT OF ARTIFICIAL INTELLIGENCE TECHNOLOGY ON WORKER TYPES – PROCESSES AND METHODS
Indicate what effect Artificial Intelligence had on the following types of workers employed by this business during the three
years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D. The number of non-supervisory workers
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o
o
o
o

Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

Attachment C

E.7 MOTIVATION FOR CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ADOPTION AND
UTILIZATION – PROCESSES AND METHODS
During the three years 2016 to 2018, why did this business adopt or use Cloud-based Computing Systems and
Applications? Select all that apply.
 To automate tasks performed by labor
 To upgrade outdated processes or methods
 To improve quality or reliability of processes or methods
 To expand the range of goods or services
 To adopt standards and accreditation
 Some other reason
E.8 IMPACT OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ON WORKFORCE – PROCESSES
AND METHODS
During the three years 2016 to 2018, what were the effects of adopting or using Cloud-based Computing Systems and
Applications on the following?
A. The number of workers employed by this business
o Increased
o Decreased
o Did not change
B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.9 IMPACT OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ON WORKER TYPES –
PROCESSES AND METHODS
Indicate what effect Cloud-based Computing Systems and Applications had on the following types of workers employed by
this business during the three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
31

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Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

Attachment C

E.10 MOTIVATION FOR SPECIALIZED SOFTWARE TECHNOLOGY ADOPTION AND UTILIZATION – PROCESSES AND
METHODS
During the three years 2016 to 2018, why did this business adopt or use Specialized Software? Select all that apply.
 To automate tasks performed by labor
 To upgrade outdated processes or methods
 To improve quality or reliability of processes or methods
 To expand the range of goods or services
 To adopt standards and accreditation
 Some other reason
E.11 IMPACT OF SPECIALIZED SOFTWARE TECHNOLOGY ON WORKFORCE – PROCESSES AND METHODS
During the three years 2016 to 2018, what were the effects of adopting or using Specialized Software on the following?
A. The number of workers employed by this business
o Increased
o Decreased
o Did not change
B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.12 IMPACT OF SPECIALIZED SOFTWARE TECHNOLOGY ON WORKER TYPES – PROCESSES AND METHODS
Indicate what effect Specialized Software had on the following types of workers employed by this business during the
three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers
32

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Attachment C

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

E.13 MOTIVATION FOR ROBOTICS TECHNOLOGY ADOPTION AND UTILIZATION – PROCESSES AND METHODS
During the three years 2016 to 2018, why did this business adopt or use Robotics? Select all that apply.
 To automate tasks performed by labor
 To upgrade outdated processes or methods
 To improve quality or reliability of processes or methods
 To expand the range of goods or services
 To adopt standards and accreditation
 Some other reason
E.14 IMPACT OF ROBOTICS TECHNOLOGY ON WORKFORCE – PROCESSES AND METHODS
During the three years 2016 to 2018, what were the effects of adopting or using Robotics on the following?
A. The number of workers employed by this business
o Increased
o Decreased
o Did not change
B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.15 IMPACT OF ROBOTICS TECHNOLOGY ON WORKER TYPES – PROCESSES AND METHODS
Indicate what effect Robotics had on the following types of workers employed by this business during the three years 2016
to 2018.
33

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A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

Attachment C

E.16 MOTIVATION FOR SPECIALIZED EQUIPMENT TECHNOLOGY ADOPTION AND UTILIZATION – PROCESSES AND
METHODS
During the three years 2016 to 2018, why did this business adopt or use Specialized Equipment? Select all that apply.
 To automate tasks performed by labor
 To upgrade outdated processes or methods
 To improve quality or reliability of processes or methods
 To expand the range of goods or services
 To adopt standards and accreditation
 Some other reason
E.17 IMPACT OF SPECIALIZED EQUIPMENT TECHNOLOGY ON WORKFORCE – PROCESSES AND METHODS
During the three years 2016 to 2018, what were the effects of adopting or using Specialized Equipment on the following?
A. The number of workers employed by this business
o Increased
o Decreased
o Did not change
B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

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Attachment C

E.18 IMPACT OF SPECIALIZED EQUIPMENT TECHNOLOGY ON WORKER TYPES – PROCESSES AND METHODS

Indicate what effect Specialized Equipment had on the following types of workers employed by this business during the
three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

E.19 FACTORS ADVERSELY AFFECTING TECHNOLOGY ADOPTION AND UTILIZATION
During the three years 2016 to 2018, indicate which factors adversely affected the adoption or utilization of the following
technologies to produce goods or services. Select all that apply for each technology.
Artificial Intelligence
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Cloud-based Computing Systems and Applications
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
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 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology

Attachment C

Specialized Software
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Robotics
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Specialized Equipment
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology

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Attachment C

E.20 TECHNOLOGY BASED GOODS AND SERVICES
During the three years 2016 to 2018, did this business sell the following technologies or goods or services that included the
following technologies?
Artificial Intelligence
o Yes
o No
o Don’t know
Cloud-based Computing Systems and Applications
o Yes
o No
o Don’t know
Specialized Software
o Yes
o No
o Don’t know
Robotics
o Yes
o No
o Don’t know
Specialized Equipment
o Yes
o No
o Don’t know
If all answers to E.20 are “No” or “Don’t know” then proceed to E.36 – Factors Adversely Affecting Technology Production.

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Attachment C

E.21 MOTIVATION FOR ARTIFICIAL INTELLIGENCE TECHNOLOGY ADOPTION AND UTILIZATION – GOODS AND SERVICES
During the three years 2016 to 2018, why did this business produce Artificial Intelligence, or produce goods or services that
included Artificial Intelligence? Select all that apply.
 To upgrade goods or services
 To expand the range of goods or services
 To enter new markets or adapt existing products to new markets
 To increase or maintain market share
 To adopt standards and accreditation
 Some other reason
E.22 IMPACT OF ARTIFICIAL INTELLIGENCE TECHNOLOGY ON WORKFORCE – GOODS AND SERVICES
During the three years 2016 to 2018, what were the effects of producing Artificial Intelligence or producing goods or
services that included Artificial Intelligence on the following?
A.
o
o
o

The number of workers employed by this business
Increased
Decreased
Did not change

B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.23 IMPACT OF ARTIFICIAL INTELLIGENCE TECHNOLOGY ON WORKER TYPES – GOODS AND SERVICES
Indicate what effect producing Artificial Intelligence or producing goods or services that included Artificial Intelligence had
on the following types of workers employed by this business during the three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D. The number of non-supervisory workers
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o
o
o
o

Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

Attachment C

E.24 MOTIVATION FOR CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ADOPTION AND
UTILIZATION – GOODS AND SERVICES
During the three years 2016 to 2018, why did this business produce Cloud-based Computing Systems and Applications, or
produce goods or services that included Cloud-based Computing Systems and Applications? Select all that apply.
 To upgrade goods or services
 To expand the range of goods or services
 To enter new markets or adapt existing products to new markets
 To increase or maintain market share
 To adopt standards and accreditation
 Some other reason
E.25 IMPACT OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ON WORKFORCE – GOODS
AND SERVICES
During the three years 2016 to 2018, what were the effects of producing Cloud-based Computing Systems and Applications
or producing goods or services that included Cloud-based Computing Systems and Applications on the following?
A.
o
o
o

The number of workers employed by this business
Increased
Decreased
Did not change

B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.26 IMPACT OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ON WORKER TYPES – GOODS
AND SERVICES
Indicate what effect producing Cloud-based Computing Systems and Applications or producing goods or services that
included Cloud-based Computing Systems and Applications had on the following types of workers employed by this
business during the three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
39

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Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

Attachment C

E.27 MOTIVATION FOR SPECIALIZED SOFTWARE TECHNOLOGY ADOPTION AND UTILIZATION – GOODS AND SERVICES
During the three years 2016 to 2018, why did this business produce Specialized Software, or produce goods or services that
included Specialized Software? Select all that apply.
 To upgrade goods or services
 To expand the range of goods or services
 To enter new markets or adapt existing products to new markets
 To increase or maintain market share
 To adopt standards and accreditation
 Some other reason
E.28 IMPACT OF SPECIALIZED SOFTWARE TECHNOLOGY ON WORKFORCE – GOODS AND SERVICES
During the three years 2016 to 2018, what were the effects of producing Specialized Software or producing goods or
services that included Specialized Software on the following?
A.
o
o
o

The number of workers employed by this business
Increased
Decreased
Did not change

B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.29 IMPACT OF SPECIALIZED SOFTWARE TECHNOLOGY ON WORKER TYPES – GOODS AND SERVICES
Indicate what effect producing Specialized Software or producing goods or services that included Specialized Software had
on the following types of workers employed by this business during the three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers
40

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Attachment C

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

E.30 MOTIVATION FOR ROBOTICS TECHNOLOGY ADOPTION AND UTILIZATION – GOODS AND SERVICES
During the three years 2016 to 2018, why did this business produce Robotics, or produce goods or services that included
Robotics? Select all that apply.
 To upgrade goods or services
 To expand the range of goods or services
 To enter new markets or adapt existing products to new markets
 To increase or maintain market share
 To adopt standards and accreditation
 Some other reason
E.31 IMPACT OF ROBOTICS TECHNOLOGY ON WORKFORCE – GOODS AND SERVICES
During the three years 2016 to 2018, what were the effects of producing Robotics or producing goods or services that
included Robotics on the following?
A.
o
o
o

The number of workers employed by this business
Increased
Decreased
Did not change

B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

E.32 IMPACT OF ROBOTICS TECHNOLOGY ON WORKER TYPES – GOODS AND SERVICES
Indicate what effect producing Robotics or producing goods or services that included Robotics had on the following types
of workers employed by this business during the three years 2016 to 2018.
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A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

Attachment C

E.33 MOTIVATION FOR SPECIALIZED EQUIPMENT TECHNOLOGY ADOPTION AND UTILIZATION – GOODS AND SERVICES
During the three years 2016 to 2018, why did this business produce Specialized Equipment, or produce goods or services
that included Specialized Equipment? Select all that apply.
 To upgrade goods or services
 To expand the range of goods or services
 To enter new markets or adapt existing products to new markets
 To increase or maintain market share
 To adopt standards and accreditation
 Some other reason
E.34 IMPACT OF SPECIALIZED EQUIPMENT TECHNOLOGY ON WORKFORCE – GOODS AND SERVICES
During the three years 2016 to 2018, what were the effects of producing Specialized Equipment or producing goods or
services that included Specialized Equipment on the following?
A.
o
o
o

The number of workers employed by this business
Increased
Decreased
Did not change

B.
o
o
o

The skill level of workers employed by this business
Increased overall
Decreased overall
Did not change overall

C.
o
o
o
o

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Attachment C

E.35 IMPACT OF SPECIALIZED EQUIPMENT TECHNOLOGY ON WORKER TYPES – GOODS AND SERVICES
Indicate what effect producing Specialized Equipment or producing goods or services that included Specialized Equipment
had on the following types of workers employed by this business during the three years 2016 to 2018.
A.
o
o
o
o

The number of production workers
Increased
Decreased
Did not change
Not applicable, we did not employ production workers

B.
o
o
o
o

The number of non-production workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-production workers

C.
o
o
o
o

The number of supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers

D.
o
o
o
o

The number of non-supervisory workers
Increased
Decreased
Did not change
Not applicable, we did not employ non-supervisory workers

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Attachment C

E.36 FACTORS ADVERSELY AFFECTING TECHNOLOGY PRODUCTION
During the three years 2016 to 2018, indicate which factors adversely affected the production of the following
technologies or goods or services that included the technology. Select all that apply for each technology.
Artificial Intelligence
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Cloud-based Computing Systems and Applications
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Specialized Software
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Robotics
 This technology was too expensive
 The technology was not mature
 Lacked access to required data
 Required data not reliable
 Lacked access to required human capital and talent
 Laws and regulations
 Concerns regarding safety and security (physical security and/or cyber security)
 Lacked access to capital
 Technology not applicable to this business
 No factors adversely affected the adoption of this technology
Specialized Equipment

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










This technology was too expensive
The technology was not mature
Lacked access to required data
Required data not reliable
Lacked access to required human capital and talent
Laws and regulations
Concerns regarding safety and security (physical security and/or cyber security)
Lacked access to capital
Technology not applicable to this business
No factors adversely affected the adoption of this technology

Attachment C

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Attachment C

SECTION F: CONTACT INFORMATION
CONTACT INFORMATION
Enter the first and last name of the person who is filling out this survey. We request a telephone number so we can
contact you if there is a question.
Contact Name:
Title:
Phone:
Email address:
REMARKS
Additional Remarks: Please use this space for any explanations that may be essential in understanding your reported
data.

THANK YOU
46

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Attachment C

DEFINITIONS
Product:
Products are goods and services (including knowledge-capturing products) that result from a process of
production.
Good:
Goods are physical, produced objects for which a demand exists, over which ownership rights can be established
and whose ownership can be transferred from one institutional unit to another by engaging in transactions on
markets.
Services:
Services are the result of a production activity that changes the conditions of the consuming units or facilitates the
exchange of products or financial assets. They cannot be traded separately from their production. Services can also
include some knowledge-capturing products.
Business process functions
Business process include the following: (1) methods for producing goods or providing services; (2) distribution and
logistics; (3) marketing and sales; (4) information and communication systems; (5) administration and management
activities; and (6) product and business process development (including activities to identify, develop or adapt
products or a firm’s processes).
Production Process:
Production processes (or production activities) are defined as all activities, under the control of a business, that use
inputs of labor, capital, goods and services to produce outputs of goods and services.
Research and Development (R&D)
Research and development (R&D) comprise creative and systematic work undertaken in order to increase the stock
of knowledge and to devise new applications of available knowledge.
The term R&D does NOT include expenditures for:






Costs for routine product testing, quality control, and technical services unless they are an integral part of an
R&D project
Market research
Efficiency surveys or management studies
Literary, artistic, or historical projects, such as films, music, or books and other publications
Prospecting or exploration for natural resources

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Attachment C

• supporting or adapting existing systems
• adding functionality to existing application programs, and
• routine debugging of existing systems and software
• Creation of new software based on known methods and applications
• Conversion or translation of existing software and software languages
• Adaptation of a product to a specific client, unless knowledge that significantly improved the base program was
added in that process
Artificial Intelligence:
Artificial intelligence is a branch of computer science and engineering devoted to making machines intelligent.
Intelligence is that quality that enables an entity to perceive, analyze, determine response and act appropriately in
its environment. Systems with artificial intelligence perform functions including, but not limited to, speech
recognition, machine vision, or machine learning:




Speech recognition transforms human speech into a format useful for computer applications (for example, a
digital assistant)
Machine vision uses sensors and software that allow images to be used as an input for computer applications
(for example, systems that sort or inspect objects or support navigation in mobile equipment)
Machine learning uses statistical software and data to “learn” and make better predictions without
reprogramming (for example, recommender systems for websites, or sales and demand forecasting)

Artificial Intelligence technologies also include virtual agents, deep learning platforms, decision management
systems, biometrics, text analytics, and natural language generation and processing.
Cloud-based Computing Systems and Applications
Cloud systems and applications are computing resources available on-demand via the internet. Cloud computing
enables ubiquitous, convenient, on-demand internet access to a shared pool of configurable computing resources
(e.g., networks, servers, storage, applications, and services) that can be rapidly provisioned and released with
minimal management effort or service provider interaction.
Specialized Software (excluding Artificial Intelligence):
Specialized software is custom or packaged software dedicated to performing a particular business function.
Specialized software includes, but is not limited to, software applications for accounting, sales, marketing,
customer service and billing, logistics, health care delivery, telemedicine, computer-aided design (CAD), computeraided engineering (CAE), or inventory management. Specialized software excludes general purpose software such
as word processing or spreadsheets. Exclude Artificial Intelligence software reported above.
Robotics:
Robotic equipment (or robots) are automatically controlled, reprogrammable, and multipurpose machines used in
automated operations in industrial and service environments. Robots may be mobile, incorporated into standalone stations, or integrated into a production line. A robot may be part of a manufacturing cell or incorporated
into another piece of equipment.
Industrial robots may perform operations such as: palletizing, pick and place, machine tending, material handling,
dispensing, welding, packing/repacking, and cleanroom.
Service robots are commonly used in businesses for such operations as cleaning, delivery, construction, inspection,
and medical services such as dispensing or surgery.
48

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Attachment C

Specialized Equipment (excluding Robotics):
Specialized equipment refers to equipment capable of automatically carrying out pre-specified task(s). Specialized
equipment includes, but is not limited to, computer numerically controlled (CNC) machinery, computer-aided
manufacturing (CAM) systems, manufacturing cells, materials working lasers, automated guided vehicles systems,
automated storage and retrieval systems, and automated materials handling systems. Exclude robotics equipment
reported above.
Production worker:
A worker (up through the line supervisor level) engaged in activities or processes that result in the creation of
products, goods or services. This includes those directly engaged in fabricating, processing, assembling, inspecting,
receiving, storing, handling, packing, warehousing, shipping (but not delivering), maintenance, repair, janitorial and
guard services, product development, auxiliary production for the own use of business (e.g. a power plant),
recordkeeping, and other services closely associated with these production operations in the business covered by
the report. Employees above the working-supervisor level are excluded.
This group includes the following employees in the construction sector: working supervisors, qualified craft
employees, mechanics, apprentices, helpers, laborers, and so forth, engaged in new work, alterations, demolition,
repair, maintenance, and the like, whether working at the site of construction or in shops or yards at jobs (such as
precutting and preassembling) ordinarily performed by members of the construction trades.

Non-production worker:
A worker engaged in the following activities: supervision above the working foreman level, sales (including driversalesman), sales delivery (highway truck drivers and their helpers), advertising, credit collection, installation and
servicing of own products, clerical and routine office functions, executive, purchasing, financing, legal, professional,
and technical. Also included are employees on the payroll of the business engaged in the construction of major
additions or alterations to the plant who are utilized as a separate work force.
Supervisory worker:
A worker whose major responsibility is to supervise, plan, or direct the work of others, such as top executive and
managerial positions, officers of corporations, department heads, and superintendents.
Non-supervisory worker:
A worker who does not supervise, plan, or direct the work of others. This group includes employees (not above the
working-supervisor level) such as office and clerical employees, repairers, salespersons, operators, drivers, physicians,
lawyers, accountants, nurses, social employees, research aides, teachers, drafters, photographers, beauticians, musicians,
restaurant employees, custodial employees, attendants, line installers and repairers, laborers, janitors, guards, and other
employees at similar occupational levels whose services are closely associated with those of the employees listed.

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File Type	application/pdf
Author	Windows User
File Modified	2019-01-29
File Created	2018-12-20