Abs

Annual Business Survey

C. ABS 2020 draft_D1

Annual Business Survey

OMB: 0607-1004

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Attachment C

2020 Annual Business Survey
SECTION A: Company Information
The following section collects information on the operations and structure of this business. All businesses that
receive this survey 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 Owned Entity on page 1.
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 2019, skip to Section F:
Contact Information on page 41.
If the ceased operations date is after January 1, 2020, you are still required to complete
this survey covering any business activity for 2019; even though this business is not
currently operating.
A.3 Business Ownership – Foreign Owned Entity
In 2019, was this business a majority-owned subsidiary of a foreign company?
Yes
No
Reporting Instructions for Foreign-Owned Companies: If this business is 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, the foreign
parent and any foreign affiliates this company does not own, should be treated the same as any business
partner, customer, or supplier this business does not own.

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Attachment C

A.4 Business Ownership – U.S. Entity
In 2019, 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 on page 2.
No
A.5 Business Ownership – Government or Tribal Entity
In 2019, was this business owned by a government or tribal entity?
Yes
No
A.6 Business - 10% or More Ownership
In 2019, 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 2019, 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
Business is owned by a parent company, estate, trust or other entity
Do not know
A.8 Number of W-2 Paid Domestic Employees or Employee/Owners
For the pay period including March 12, 2019, 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 Domestic Workers Who Did Not Receive a 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.

a. Individuals whose work was directed by this business who received payment
in other ways (e.g., contractors, consultants, temporary workers who received a
1099 from this business or payment from another business)

Number of People

b. Unpaid individuals who worked for this business (e.g., friends, volunteers,
family members)
A.10 Total Worldwide Sales and Operating Revenues
In 2019, what was the amount of this business’s worldwide and domestic sales and operating revenues, including
grants?
Round to the nearest one thousand dollars. If none, report zero.
$Bil. Mil. Thou.
2019 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 this 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 Worldwide Sales and Operating Revenues’ in 2019 sales, revenue, and grants was
attributable to or originated from domestic operations? Include sales and operating revenues to foreign customers,
including foreign subsidiaries. Round to the nearest one thousand dollars. If none report zero.
$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 2019, 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 2019, 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 Franchise Operation
In 2019, did all or part of this business operate as a franchise?
 Yes
 No
A.15 Primary Business Activity
Describe this business’s primary business activity during 2019.

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Attachment C

Section B: Owner Characteristics
The following section collects information on the owners of this business. Based on the number of owners you
reported, you may be asked to complete this section for up to four owners of this business. If this business has no
owners, then you will proceed to Section C: Goods, Services, and Business Processes on page 19.
Unless otherwise indicated, the reporting period for this section is calendar year 2019.
B.1 Percent Ownership
For the person(s) owning the largest percentage(s) in this business in 2019, 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 (Estimates are acceptable)

If percent entered for Owner 1 is more than 0%, then answer questions for Owner 1 on pages 6, 7 and 8.
If percent entered for Owner 2 is more than 0%, then answer questions for Owner 2 on pages 9, 10 and 11.
If percent entered for Owner 3 is more than 0%, then answer questions for Owner 3 on pages 12, 13 and 14.
If percent entered for Owner 4 is more than 0%, then answer questions for Owner 4 on pages 15, 16 and 17.

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Attachment C

Owner 1 - If Applicable. If Not, Skip To Section C on page 19.
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 B.1.7 Initial Acquisition Year on page 6.
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 2019
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2019
None of the above
B.1.7 Initial Acquisition Year
In what year did Owner 1 initially acquire ownership of
this business?
Year
Do not know

Guamanian or Chamorro
Native Hawaiian
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 2019, did this business provide Owner 1’s primary
source of personal income?
Yes
No
B.1.9 Prior Business Ownership
Not including this business, what is the status of the
previous business Owner 1 started most recently?
This is the owner’s first business
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
Other (specify):

B.1.10 Education Prior to Owning this 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 B.1.12 Age on page 7.
High school / secondary school graduate - Diploma or
GED – Skip to B.1.12 Age on page 7.
Technical, trade, or vocational school – Skip to
B.1.12 Age on page 7.
Some college, but no degree – Skip to B.1.12 Age on
page 7.
Associate Degree (for example, AA, AS)
Bachelor’s Degree (for example, BA, BS)
Master's 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
this 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 nonscience and nonengineering related
fields, not listed above
B.1.12 Age
What was the age of Owner 1 as of December 31, 2019?
Under 25
25 - 34
35 - 44

45 - 54
55 - 64
65 or over

B.1.13 Place of Birth
Was Owner 1 born in the United States?
Yes
No
B.1.14 U.S. Citizenship
Is Owner 1 a citizen of the United States?
Yes
No

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Attachment C

B.1.15 Reasons for Owning this 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
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 did not 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 B.5 One Family Majority on page 18.
B.2.1 Sex
What is the sex of Owner 2?
Male
Female
B.2.2 Ethnicity
Is Owner 2 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.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 B.2.7 Initial Acquisition Year on page 9.
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 2019
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2019
None of the above
B.2.7 Initial Acquisition Year
In what year did Owner 2 initially acquire ownership of
this business?
Year
Do not know

Guamanian or Chamorro
Native Hawaiian
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 2019, did this business provide Owner 2’s primary
source of personal income?
Yes
No
B.2.9 Prior Business Ownership
Not including this business, what is the status of the
previous business Owner 2 started most recently?
This is the owner’s first business
Business is still operating and Owner 2 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
Other (specify):

B.2.10 Education Prior to Owning this Business
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 2 completed?
Less than high school / secondary school graduate –
Skip to B.2.12 Age on page 10.
High school / secondary school graduate - Diploma or
GED – Skip to B.2.12 Age on page 10.
Technical, trade, or vocational school – Skip to B.2.12
Age on page 10.
Some college, but no degree – Skip to B.2.12 Age on
page 10.
Associate Degree (for example, AA, AS)
Bachelor’s Degree (for example, BA, BS)
Master's 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)

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B.2.11 Field of Highest Degree Prior to Owning
this 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 nonscience and nonengineering related
fields, not listed above
B.2.12 Age
What was the age of Owner 2 as of December 31, 2019?
Under 25
25 - 34
35 - 44

45 - 54
55 - 64
65 or over

B.2.13 Place of Birth
Was Owner 2 born in the United States?
Yes
No
B.2.14 U.S. Citizenship
Is Owner 2 a citizen of the United States?
Yes
No

Attachment C

B.2.15 Reasons for Owning this Business
How important to Owner 2 are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not
Important

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Attachment C

Owner 3 - If Applicable. If Not Skip To B.5 One Family Majority on page 18.
B.3.1 Sex
What is the sex of Owner 3?
Male
Female
B.3.2 Ethnicity
Is Owner 3 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.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 3 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 B.3.7 Initial Acquisition Year on page 12.
B.3.5 Military Service Disability
Is Owner 3 disabled as the result of illness or
injury incurred or aggravated during military services?
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 2019
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2019
None of the above
B.3.7 Initial Acquisition Year
In what year did Owner 3 initially acquire ownership
of this business?
Year
Do not 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 2019, did this business provide Owner 3’s primary
source of personal income?
Yes
No
B.3.9 Prior Business Ownership
Not including this business, what is the status of the
previous business Owner 3 started most recently?
This is the owner’s first business
Business is still operating and Owner 3 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
Other (specify):

B.3.10 Education Prior to Owning this Business
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 3 completed?
Less than high school / secondary school graduate
– Skip to B.3.12 Age on page 13.
High school / secondary school graduate - Diploma
or GED – Skip to B.3.12 Age on page 13.
Technical, trade, or vocational school – Skip to
B.3.12 Age on page 13.
Some college, but no degree – Skip to B.3.12 Age
on page 13.
Associate Degree (for example, AA, AS)
Bachelor’s Degree (for example, BA, BS)
Master's 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
this 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 nonscience and nonengineering related
fields, not listed above
B.3.12 Age
What was the age of Owner 3 as of December 31, 2019?
Under 25
25 - 34
35 - 44

45 - 54
55 - 64
65 or over

B.3.13 Place of Birth
Was Owner 3 born in the United States?
Yes
No
B.3.14 U.S. Citizenship
Is Owner 3 a citizen of the United States?
Yes
No

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Attachment C

B.3.15 Reasons for Owning this Business
How important to Owner 3 are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not
Important

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Attachment C

Owner 4 If Applicable. If Not Skip To B.5 One Family Majority on page 18.
B.4.1 Sex
What is the sex of Owner 4?
Male
Female
B.4.2 Ethnicity
Is Owner 4 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.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 4 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 B.4.7. Initial Acquisition Year on page 15.
B.4.5 Military Service Disability
Is Owner 4 disabled as the result of illness or
injury incurred or aggravated during military services?
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 2019
Served in the National Guard or as a reservist of any
branch of the U.S. Armed Forces in 2019
None of the above
B.4.7 Initial Acquisition Year
In what year did Owner 4 initially acquire ownership
of this business?
Year
Do not know

Guamanian or Chamorro
Native Hawaiian
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 2019, did this business provide Owner 4’s primary
source of personal income?
Yes
No
B.4.9 Prior Business Ownership
Not including this business, what is the status of the
previous business Owner 4 started most recently?
This is the owner’s first business
Business is still operating and Owner 4 still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
Other (specify):

B.4.10 Education Prior to Owning this Business
Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 4 completed?
Less than high school / secondary school graduate
– Skip to B.4.12 Age on page 16.
High school / secondary school graduate - Diploma
or GED – Skip to B.4.12 Age on page 16.
Technical, trade, or vocational school – Skip to
B.4.12 Age on page 16.
Some college, but no degree – Skip to B.4.12 Age
on page 16.
Associate Degree (for example, AA, AS)
Bachelor’s Degree (for example, BA, BS)
Master's 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
this 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 nonscience and nonengineering related
fields, not listed above
B.4.12 Age
What was the age of Owner 4 as of December 31, 2019?
Under 25
25 - 34
35 - 44

45 - 54
55 - 64
65 or over

B.4.13 Place of Birth
Was Owner 4 born in the United States?
Yes
No
B.4.14 U.S. Citizenship
Is Owner 4 a citizen of the United States?
Yes
No

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Attachment C

B.4.15 Reasons for Owning this Business
How important to Owner 4 are each of the following reasons for owning this business? Select one for each row.
Very
Important

Somewhat
Important

Not
Important

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Attachment C

B.5 One Family Majority Ownership
In 2019, 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 2019, did spouses/unmarried partners jointly own this business?
Yes
No -Skip to Section C: Goods, Services, and Business Processes on page 19
B.7 Equal Operation
In 2019, 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: Goods, Services, and Business Processes
The following section collects information on this business’s introduction of new or improved goods, services or
business processes that differed significantly from this business’s previous goods, services, or processes.
The goods, 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 this business. However, they can fail or take time to
prove themselves.
The goods, services, or business processes need only be new or improved for this business. They could have been
originally developed or used by other businesses or organizations.
The following section asks about the 2017- 2019 time period instead of one year as in other sections of this survey.

C.1 New or Improved Goods
During the three years 2017 to 2019, did this business introduce to the market any new or improved goods that differed
significantly from this business’s previous goods? (This includes the addition of new functions or improvements to existing
functions or user utility. Functions include quality, technical specifications, reliability, durability, economic efficiency during
use, affordability, convenience, usability, and user friendliness. User utility includes attributes such as affordability and financial
convenience.)
Goods: usually a tangible object such as a smartphone, furniture, or packaged software, but also includes digital goods such as
downloadable software, music and film. (Exclude the simple resale of new goods or changes of a solely aesthetic nature.)
o
o

Yes
No

C.2 New or Improved Services
During the three years 2017 to 2019, did this business introduce to the market any new or improved services that differed
significantly from this business’s previous services? (This includes the addition of new functions or improvements to existing
functions or user utility. Functions include quality, technical specifications, reliability, durability, economic efficiency during
use, affordability, convenience, usability, and user friendliness. User utility includes attributes such as affordability and
financial convenience.)
Services: intangible activities, such as retailing, insurance, educational courses, air travel, consulting, etc., also includes digital
services. (Exclude the simple resale of new services.)
o
o

Yes
No

If no is selected for ‘C.1 – New or Improved Goods’ and no is selected for ‘C.2 – New or Improved Services,' skip to ‘C.11 –
New or Improved Business Processes’ on page 23.

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Attachment C

C.3 Novelty of New or Improved Goods or Services
During the three years 2017 to 2019, did this business introduce any new or improved goods or services that differ
significantly from goods or services previously offered by this business that were:
Select one for each row.
Yes
No
New to the market? This business introduced a new or improved 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 good or service
that was identical or very similar to products already offered by your competitors.
If no is selected for both a. and b., skip to ‘C.5 – Expectations’ on page 20.
If you reported $0 for ‘A.11 – Domestic Sales and Revenues’, skip to ‘C.5 – Expectations’ on page 20.
C.4 New or Improved Goods or Services as a Percent of Total Sales
In 2019, what percentage of this business’s ‘A.11 DOMESTIC SALES AND REVENUES’ in domestic sales and revenues were
attributable to or originated from domestic operations in the following categories?
Details must sum to total dollar amount of Domestic Sales and Revenues. Estimates are acceptable.
a. New or improved goods or services introduced during 2017 to 2019 that were
new to your market.
b. New or improved goods or services introduced during 2017 to 2019 that were
new only to this business.
c. Goods or services that were unchanged or only marginally modified during 2017
to 2019 (include the resale of new goods or services purchased from other companies).
Total sales in 2019

%
%
%

100%

C.5 Expectations
Did the new or improved goods or services introduced during 2017 to 2019 meet this business’s expectations, such as market
share, sales or profits as of December 2019?
o
o
o
o

Yes, expectations were exceeded.
Yes, expectations were met.
No, Expectations were not met.
Too early to tell

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Attachment C

C.6 Sources of New or Improved Goods or Services
Who developed these new or improved goods or services? Select all that apply.
This business by itself
This business together with other businesses, universities, research institutes, nonprofits,
or other organizations
This business by adapting or modifying goods or services originally developed by other
businesses or organizations
Other businesses or organizations

C.7 Goods or Services Cooperation Partners
During the three years 2017 to 2019, did this business cooperate with any of the following partners in developing new
or improved goods or services? Select all that apply.
Yes

a) Parent, affiliated, or subsidiary business
b) Suppliers of equipment, materials, components, or software
c) Other businesses
d) Federal, state, or local government
e) Customers
f)

Consultants or commercial laboratories

g) Universities, colleges, or other institutions of higher education
h) Nonprofit organizations
i)

Households or individuals

If no is selected for a.-i., skip to ‘C.9 – Most Important Innovation’ on page 22.

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Attachment C

C.8 Goods or Services Cooperation Partners Location
Where were these businesses or organizations located? Select all that apply.

a) Parent, affiliated, or subsidiary business

United
States

Canada
or Mexico

Rest of
World

b) Suppliers of equipment, materials, components, or software
c) Other businesses
d) Federal, state, or local government
e) Customers
f)

Consultants or commercial laboratories

g) Universities, colleges or other institutions of higher education
h) Nonprofit organizations
i)

Households or individuals

C.9 Most Important Innovation
Thinking about the most important good or service this business introduced during 2017 to 2019, was that good or service new
to the market or new only to this business?
New to the market - This business introduced a new or improved 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 good or service that
was identical or very similar to goods or services already offered by your competitors.
If you reported $0 for ‘A.11 – Domestic Sales and Revenues’, skip to ‘C.11 – New or Improved Business Processes’ on page 23.
C.10 Most Important Innovation and Sales
In 2019, what percentage of this business’s ‘A.11 DOMESTIC SALES AND REVENUES’ in domestic sales and revenues were
attributed to this business’s most important innovation? Estimates are acceptable.
%

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Attachment C

C.11 New or Improved Business Processes
During the three years 2017 to 2019, did this business introduce any of the following types of new or improved
business processes that differed significantly (e.g., greater efficacy, resource efficiency, reliability and resilience,
affordability, convenience and usability) from your previous business processes?
Yes

a. Methods for producing goods or providing services
(including methods related to engineering and related technical testing,
analysis and certification)
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, or adopting
new methodologies for developing products and processes)
If no is selected for a. – f., skip to ‘C.13 Goods, Services, or Business Process Activities’ on page 24.

C.12 Improved Business Process Developers
Who developed these new or improved business processes? Select all that apply.
o
o
o
o

This business by itself
This business together with other businesses, universities, research institutes, nonprofits, or other organizations
This business by adapting or modifying business processes originally developed by other businesses or organizations
Other businesses or organizations

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Attachment C

C.13 Goods, Services, or Business Process Activities
During the three years 2017 to 2019, did this business have any of the following types of innovation activities? Include all
developmental, financial and commercial activities that were intended to result in a new or improved good, service or business
process that differed significantly from your previous goods, services, or business processes. (Similar activities that were not
intended to result in a new or improved good, service or business process should not be reported here (e.g., employee training
intended for general maintenance of skills are not considered “innovation activities." Simple replacement of machinery
without enhanced capabilities are not considered “innovation activities.")
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 preproduction 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 include 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., skip to ‘C.17 – Government Support’ on page 26.

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Attachment C

C.14 Results of Innovation Activities
During the three years 2017 to 2019, did this business have any innovation activities that did not result in a goods, services,
or business process innovation because the activities were: Select one for each row.
Yes

a. Abandoned or suspended before completion
b. Still ongoing at the end of 2019

C.15 Activity Costs
In 2019, how much did this business spend on the innovation activities selected in ‘C.13 Goods, Services or Business Process
activities’ question? Note that this question refers only to the year 2019 and not the three-year period, 2017 – 2019. Estimates
are acceptable.









Research and development
Engineering and design activities
Marketing and brand equity activities
Intellectual Property (IP) related activities
Employee training
Software development and database activities
Acquisition of machinery, equipment and other tangible assets
Management related to innovation
$Mil. Thou. Dol.
,000

If yes is selected for a. from ‘C.13 – Goods, Services, or Business Process Activities’ and Total Number of W-2 Paid
Employees or Employee/Owners from ‘A.8 Number of W-2 Paid Employees or Employee/Owners’ is greater than or equal
to 10 and response to ‘C.15 – Activity Costs’ does not equal zero, continue to ‘C.16 - R&D for Activity Costs’.
All else skip to ‘C.17 – Government Support’ on page 26.
C.16 R&D for Activity Costs
Of the ‘C.15 Activity 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 2019?
$Mil. Thou. Dol.
,000

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Attachment C

C.17 Government Support
During the three years 2017 to 2019, did this business use any of the following types of government programs (federal, state,
or local) to aid innovation activities?

Yes
a. Government tax incentive or tax credit programs: Include programs intended to support innovation
activities such as research and development or capital expenditures
b. Government grants and contributions programs: Include programs intended to support innovation
activities such as research and development, business development or commercialization of
intellectual property
c. Government training and hiring programs: Include programs intended to support innovation
activities such as hiring and training of researchers, interns or other personnel
d. Government procurement: Include programs intended to support innovation such as the
procurement of new or improved goods, services or business processes
e. Other government programs: Include programs and activities to support innovation not included
elsewhere such as access to facilities, export incentives, technical assistance, market information or
loans

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Attachment C

C.18 Barriers of Innovation
During the three years 2017 to 2019, how, if at all, were each of the following factors in discouraging this business to conduct
innovation activities:
Select one for each row.
Very
discouraging

Somewhat
discouraging

A little
discouraging

Not at all
discouraging

a. Lack of internal finance for innovation
b. Lack of credit or private equity
c. Difficulties in obtaining public grants or subsidies
d. Costs too high
e. Lack of skilled employees within this business
f.

Lack of collaboration partners

g. Lack of access to external knowledge
h. Uncertain market demand for your ideas
i.

Too much competition in your market

Different priorities within this business

k. Government regulations

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Attachment C

C.19 Business Strategies
During 2017 to 2019, to what extent did this business focus on the following business strategies?
Select one for each row.
A great
extent

To some
extent

To a small
extent

Not at all

a. Improve existing goods or services
b. Introduce new goods or services
c. Reduce prices for goods or services
d. Increase the quality of goods or services
e. Develop a broad range of products
f.

Develop one or a small number of key products

g. Satisfy established customers
h. Reach out to new customers
i.
j.

Develop standardized goods or services (e.g., goods or
services are the same regardless of market or
customer type)
Develop customer-specific solutions(e.g., customized
goods or services)

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Attachment C

C.20 Use of Digital Technologies
During 2017 to 2019, to what extent does this business use the following digital technologies for innovation activities?
Select one for each row.
a. Computer infrastructure (server technologies)

A great
extent

To some
extent

To a small
extent

Not at all

b. Cloud computing
c. Artificial Intelligence
d. Automation
e. Internet-connected devices
f.

Mobile communication technologies

g. The use of digital technologies for collaboration
h. Communication (e.g., through social media)
i.

Digital technologies for planning and management
(e.g., enterprise resource planning, customer
relationship management)

Digital technologies for distributed ledgers
(blockchain)

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Attachment C

C.21 Capabilities for Using Digital Technologies
During 2017 to 2019, to what extent does this business use any of the following for innovation activities?
Select one for each row.
a. Digital integration within and across different business
functions
b. Access to and ability to use data analytics to design,
develop, commercialize and improve products,
including data about the users of the firm’s products
and their interactions with such products
c. Access to networks and the use of solutions and
architectures (hardware and software)
d. Effective management of privacy and cybersecurity
risks
e. Adoption of business models for digital environments,
such as e-commerce, participative platforms, etc.

A great
extent

To some
extent

To a small
extent

Not at all

C.22 Technology Capabilities
During 2017 to 2019, did this business obtain the necessary technical expertise for its innovation activities through any of the
following means?
Select one for each row.
a. Acquired technology products (machinery, equipment,
software) from other firms or organizations
b. Acquired intellectual property (IP) rights, including
patents, copyrights, and trademarks that give ownership,
exclusion rights or rights to use technical knowledge
c. Modified or adapted existing technology to the firm’s
specific needs
d. Developed new technology (both hardware and software)
in-house

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Yes

Attachment C

Section D: Research and Development
The following section collects information on research and development activity from businesses with W-2 employment
between 1 and 9.
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 2019, if possible, or for this business’s fiscal year ending between April 2019 and
March 2020.
Estimates are acceptable
Report all items to the best of your ability.

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Attachment C

D.1 R&D Activities
During 2019, 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: Domestic and Foreign Transactions on page 37.

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Attachment C

D.2 R&D Costs
What was the total cost (both direct and indirect) in 2019 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 2019.
$Mil. Thou. Dol.

,000
If you reported less than $50(000) for ‘D.2 – R&D Costs’, skip to Section E: Domestic and Foreign Transactions on page 37.
D.3 Foreign R&D Costs
During 2019, 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 have 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 survey.
This business’s domestic R&D cost in 2019 is:
$Mil. Thou. Dol.
,000
If ‘D.4 Domestic R&D Costs’ equals $0, skip to ‘D.9 – R&D Employees' on page 36.

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Attachment C

D.5 Types of R&D Costs
During 2019, how much of the ‘D.4 Domestic R&D Costs’ in domestic R&D costs was for each of the following types
of costs?
In thousands
a. Salaries, wages, and fringe benefits
$
,000
b. Expensed machinery and equipment (not capitalized)

,000

c. Materials and supplies

,000

d. Payments to others for R&D, including purchased R&D services
e. Depreciation on R&D property and equipment
f.

All other costs (e.g., consultants, contractors, travel, rent)
Total should equal D.4 Domestic R&D Costs

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Attachment C

D.6 R&D Domestic Performance Costs
We have 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 2019 is:
$Mil. Thou. Dol.
,000
If ‘D.6 – R&D Domestic Performance Costs’ equals $0, skip to ‘D.9 – R&D Employees’ on page 36.

D.7 Funding Sources for R&D Activities
During 2019, 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?
In thousands
a. This U.S. business
$
,000
b. Your foreign owner (if this 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.
f.

Nonprofit organizations located within the U.S.

g. U.S. Federal government (including R&D grants)
h. U.S. State or Local government (not including state
universities)
i.

All other organizations outside the U.S.
Total should equal D.6 R&D Domestic Performance Costs

,000

D.8 R&D Categories
During 2019, 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

,000

Total should equal D.6 R&D Domestic Performance Costs $

,000

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Attachment C

D.9 R&D Employees
For the pay period including March 12, 2019, 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.
If you reported 0 for item a. in question ‘D.9 - R&D Employees’, skip to ‘D.13 – Tax Credit for Research Activities’ on page 36.
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 workweek 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 2019?
Yes
No

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Attachment C

Section E: Domestic and Foreign Transactions
This section collects information on selected domestic and global transactions. The section includes questions about costs and
business activities and transactions involving contract manufacturing and design activities. The data will be used to assist public
and private organizations better understand, plan, and and make decisions affected by the relationship between domestic and
foreign activities.
For questions requiring dollar amounts, estimates are acceptable.
E.1 Operating Expenses
In 2019, what was this business’ total domestic operating expenses or costs?
 INCLUDE:
o Cost of goods sold
o Cost of services sold
o Selling, general, and administrative (SG&A) costs so long as they are incurred to promote the selling and delivery
of the company’s products and services, e.g., advertising expense, sales commission expenses, office salaries,
rent expense,
o Depreciation expense
o Research and development expense
 EXCLUDE:
o Capitalized expenses
o Interest expense
o Income taxes
o Impairment reserves
o Losses on sales of assets
$Bil. Mil. Thou.
,000

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Attachment C

E.2 Activities Conducted by Unaffiliated Companies
In 2019, did any unaffiliated companies located in the U.S. conduct any of the following activities for this
business? Unaffiliated companies include firms such as independent contractors and suppliers.
Select one for each row.

a. Core production (cost of goods and services in your primary business
activities)
b. Distribution and logistics (include transportation costs)
c. Marketing, sales/after sales services
d. Administrative or management functions
e. Research and development (R&D; includes creative and systematic
work undertaken in order to increase the stock of knowledge and to
devise new applications of available knowledge)
f. Engineering and other technical services (includes testing and design
other than R&D)
g. Information and Communication Technology (ICT) services
h. All other operating expenses.

Yes No
 















E.3 Activities Conducted by Foreign Companies
In 2019, did any companies located outside the U.S. conduct any of the following activities for your business?
Companies located outside the U.S. may be unaffiliated or affiliated (such as a foreign affiliate or a foreign parent).
Select one for each row.

a. Core production (cost of goods and services in your primary
business activities)
b. Distribution and logistics (include transportation costs)
c. Marketing, sales/after sales services
d. Administrative or management functions
e. Research and development (R&D; includes creative and
systematic work undertaken in order to increase the stock of
knowledge and to devise new applications of available knowledge)
f. Engineering and other technical services (includes testing and
design other than R&D)
g. Information and Communication Technology (ICT) services
h. All other operating expenses

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Yes


No












Attachment C

E.4 Manufacturing Activities
In 2019, did this business manufacture any goods in the United States? Includes processing, assembly, labeling, packing
and related services on materials and physical components.
 Yes
 No
E.5 Contracting Out Manufacturing
In 2019, did this business contract out any manufacturing tasks or otherwise purchase manufacturing services
(processing, assembly, labeling, packing or related services on materials and physical components) from any
unaffiliated company or from affiliated companies located outside the United States?
Yes
No – Skip to E.8 Contracting In Manufacturing on page 39.
E.6 Contracting Out Manufacturing by Company Type
In 2019, who performed the manufacturing for this business’ U.S.-located units or establishments? Select all that
apply.
U.S.-located unaffiliated companies
Foreign-affiliated companies
Foreign unaffiliated companies
E.7 Design for Contracting Out
In 2019, did this business provide or determine the design or specifications for goods, finished or in-process,
manufactured for this business by any company type identified in question E.6?
 Yes
 No
E.8 Contracting In Manufacturing
In 2019, did this business perform any manufacturing tasks for any unaffiliated company or affliated companies located
outside the United States?
Yes
No – Skip to Section F: Contact Information on page 41.

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Attachment C

E.9 Contracting In Manufacturing by Company Type
In 2019, on behalf of what types of companies did this business’ U.S.-located units or establishments perform
manufacturing activities? Select all that apply.
U.S.-located unaffiliated companies
Foreign-affiliated companies
Foreign unaffiliated companies

E.10 Design for Contracting In
In 2019, did this business provide or determine the design or specifications for any of the goods, finished or in-process, that
were manufactured by your business for any company type identified in question E.9?
 Yes
 No

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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:
Additional Remarks: Please use this space for any explanations that may be essential in understanding your reported
data.

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Attachment C

Definitions
Affiliated (company or business): An entity that is owned 10% or more (based on voting interest or an equivalent interest)
directly or indirectly by your company.
Business processes: Business process includes 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).
Core production activity: This term refers to your primary business activities. For manufacturing companies, core production
typically involves production of physical goods. For service companies and other companies, core production refers to the
main services or activities provided by your business such as ICT services, marketing services, etc.
Domestic (or U.S.-located): Refers to a location in any of the U.S. 50 states, and the District of Columbia.
Exported goods: Value of goods including the value of equipment, supplies, materials, etc. This should equal the amounts
reported in the Automated Export System’s (AES) Electronic Export Information (EEI) filed with U.S. Customs and Border
Protection plus the cost of transporting the goods to customers located in foreign destinations (i.e., outside the United
States).
Exported services: An exported service is a service-related product (e.g., services performed, including digital service, license
agreement) that is sold or transferred to, or performed for customers (individual, government, business establishment, etc.)
located in foreign destinations (i.e., outside the United States).
Foreign affiliate: A foreign affiliate is an entity located outside the United States that is owned at least 10% (based on voting
interest or an equivalent interest) directly or indirectly by the U.S. reporter.
Foreign parent (of a U.S.-located business): The first entity outside the United States in an affiliate's ownership chain that
has a direct or indirect investment interest of more than 50 percent of the affiliate’s voting securities.
Goods: Usually a tangible object such as a smartphone, furniture, or packaged software, but also includes digital goods such
as downloadable software, music and film. (Exclude the simple resale of new goods and changes of a solely aesthetic
nature.)
Imported goods: The value of goods purchased from customers located in foreign destinations (i.e., outside the United
States) as indicated in import declarations filed with the U.S. Customs and Border Protection.
Imported services: An imported service is a service-related product (e.g., service performed, including digital service, license
agreement) that is purchased from customers located in foreign destinations (i.e., outside the United States).
Intellectual property: Includes patents, processes, and trade secrets; books and music; trademarks; recorded performances
and events such as radio and television programs and motion pictures; broadcast and recorded live performances and
events and their content; general use computer software; franchise fees; and other (for example, digital media).

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Attachment C

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
Services: Intangible activities, such as retailing, insurance, educational courses, air travel, consulting, etc., also includes
digital services. (Exclude the simple resale of new services.)
Services are intangible activities that are produced and consumed simultaneously and that change the conditions (e.g.,
physical, psychological, etc.) of users.
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.
Unaffiliated (company or business): entity that is owned less than 10%, directly or indirectly, by your company (e.g.,
independent contractors and suppliers).

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