ABS-1 Annual Business Survey

Attachment C
U.S. DEPARTMENT OF COMMERCE
U.S. CENSUS BUREAU
FORM

ABS-1

(01/05/2021) Draft 5

2021 ANNUAL BUSINESS SURVEY
OMB No. 0607-1004: Approval Expires xx/xx/xxxx

DUE DATE:
Need help or have questions?
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abshelp
ჀCall 1-888-824-9954, between
8 a.m. and 8 p.m., Eastern
time, Monday through Friday.
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Si usted habla español y
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su cuestionario, Ilame sin
cargo alguno al
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Este, de lunes a viernes.
(Please correct any errors in this mailing address.)

YOUR RESPONSE IS REQUIRED BY LAW. Title 13, United States Code, Sections 8(b), 131, and 182; Title 42, United
States Code, Section 1861-76 (National Science Foundation Act of 1950, as amended); and Section 505 within the America
COMPETES Reauthorization Act of 2010, authorize this collection. Sections 224 and 225 of Title 13 require your response.
The U.S. Census Bureau is required by Section 9 of Title 13 to keep your information confidential and use your responses
only to produce statistics. The Census Bureau is not permitted to publicly release your responses in a way that could
identify your business, organization, or institution. Per the Federal Cybersecurity Enhancement Act of 2015, your data are
protected from cybersecurity risks through screening of the systems that transmit data.

COMPLETE THIS SURVEY ONLINE
Ⴠ Go to: https://portal.census.gov

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Attachment C

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 Operations
Has this business ceased operations?
Yes
No – Skip to ’A.3 Business Ownership – Foreign-Owned Entity’
A.2 Date Ceased Operations
Print the month and year this business ceased operations.
MM

YYYY

Reporting Instructions: If date ceased operations is before January 2020, skip to SECTION I:
CONTACT INFORMATION on page 43.
If the ceased operations date is after January 1, 2020, you are still required to complete this survey
covering any business activity for 2020; even though this business is not currently operating.
A.3 Business Ownership – Foreign-Owned Entity
In 2020, 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 the 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.
A.4 Business Ownership – U.S. Entity
In 2020, 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 2020, was this business owned by a government or tribal entity?
Yes
No
A.6 Business – 10% or More Ownership
In 2020, 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.
Form ABS-1

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Attachment C

A.7 Number of Owners
In 2020, how many people owned this business?
ჀDo not combine two or more owners to create one owner.
ჀCount spouses and partners as separate owners.
ჀCount owners who owned at least 10% of this business.
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, 2020, 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
United States.
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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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 in 2020, including those paid through grants? Include both full-time and part-time workers as
well as yourself, if applicable. Include only persons in the United States.
Count each person only once. If none, report zero.
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). . . . . . . . . .

Number of People

b. Unpaid individuals who worked for this business (for example, friends,
volunteers, family members). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
A.10 Total Worldwide and Domestic Sales and Operating Revenues
In 2020, 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.

2020 sales, revenues, and grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Mil.

Thou.

Dol.

0 0 0

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.

Form ABS-1

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Attachment C

A.11 Domestic Sales and Revenues
How much of the ’A.10 Total Worldwide and Domestic Sales and Operating Revenues’ in 2020 sales,
revenues, 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.

Dol.

0 0 0

Revenues Domestic operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 2020, 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
A.13 Types of Workers
In 2020, 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 from this business)
Part-time paid employees (workers who received a W-2 from this business)
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 2020, did all or part of this business operate as a franchise?
Yes
No

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Attachment C

A.15 Working From Home
In 2020, did this business allow any employees to work from home?
Yes
No – Skip to ’A.17 Factors Affecting Working From Home’
A.16 Percent of Employees Working From Home
In 2020, what percent of all employees at this business worked from home at the following frequencies?
If none, report zero. Estimates are acceptable.
a. Never . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.0

%

b. Less than one day per week . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.0

%

c. One day per week . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.0

%

d. Two to four days per week . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.0

%

e. Five or more days per week . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.0

%

Total = 100%
A.17 Factors Affecting Working From Home
In 2020, did any of the following factors limit the ability of this business’s employees to work from home?
Select all that apply.
Job or parts of job cannot be performed from home
Management of employees working from home too costly or complicated
Security (IT or other) concerns
Other (specify) ᇉ
No limiting factors
A.18 Primary Business Activity
Describe this business’s primary business activity during 2020.

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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 the business had
no owners, then proceed to the instructions on the bottom of page 19.
Unless otherwise indicated, the reporting period for this section is calendar year 2020.
B.1 Percent Ownership
For the person(s) owning the largest percentage(s) in this business in 2020, 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%.
Percentage Owned

Name of Owner

If
If
If
If

(Estimates are acceptable.)

Name 1:

Owner 1:

.0

%

Name 2:

Owner 2:

.0

%

Name 3:

Owner 3:

.0

%

Name 4:

Owner 4:

.0

%

percent
percent
percent
percent

entered
entered
entered
entered

for
for
for
for

Owner
Owner
Owner
Owner

1
2
3
4

is
is
is
is

more
more
more
more

than
than
than
than

0%,
0%,
0%,
0%,

then
then
then
then

answer
answer
answer
answer

Form ABS-1

6

questions
questions
questions
questions

for
for
for
for

Owner
Owner
Owner
Owner

1
2
3
4

on
on
on
on

pages
pages
pages
pages

7, 8, and 9.
10, 11 and 12.
13, 14 and 15.
16, 17 and 18.

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Attachment C

OWNER 1

B.1.3 Race
What is Owner 1’s race? Select all that apply.
(For this survey, Hispanic origins are not races.)

If the business had no owners, then proceed to the
instructions on the bottom of page 19

White – Print for example, German, Irish,
English, Italian, Lebanese, Egyptian, etc. C

B.1.1 Sex
What is the sex of Owner 1?
Male

Female
Black or African Am. – Print, for example,
African American, Jamaican, Haitian, Nigerian,
Ethiopian, Somali, etc. C

Note: Please answer BOTH B.1.2 Ethnicity and
B.1.3 Race questions.
B.1.2 Ethnicity
Is Owner 1 of Hispanic, Latino, or Spanish origin?

American Indian or Alaskan Native – Print name
of enrolled or principal tribe(s), for example,
Navajo Nation, Blackfeet Tribe, Mayan, Aztec,
Native Village of Barrow Inupiat Traditional
Government, Nome Eskimo Community, etc. C

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 –
Print, for example, Salvadoran, Dominican,
Colombian, Guatemalan, Spaniard,
Ecuadorian, etc. C

Chinese

Vietnamese

Native
Hawaiian

Filipino

Korean

Samoan

Asian Indian

Japanese

Chamorro

Other Asian – Print, for example, Pakistani,
Cambodian, Hmong, etc. C

Other Pacific Islander – Print, for example,
Tongan, Fijian, Marshallese, etc. C

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 8

B.1.5 Military Service Disability
Is Owner 1 disabled as the result of illness or injury
incurred or aggravated during military service?
Yes

Form ABS-1

7

No

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Attachment C

B.1.6 Other Military Service

B.1.10 Education Prior to Owning the Business

Do any of the following characteristics describe
Owner 1’s military service? Select all that apply.

Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 1 completed?

Served on active duty military service, not
including training for the Reserves or
National Guard

Less than high school / secondary school
graduate – Skip to ’B.1.12 Age’ on page 9

Served on active duty military service after
September 11, 2001

High school / secondary school graduate –
Diploma or GED – Skip to ’B.1.12 Age’
on page 9

Served on active duty military service in 2020

Technical, trade, or vocational school –
Skip to ’B.1.12 Age’ on page 9

Served in the National Guard or as a reservist
of any branch of the U.S. Armed Forces in 2020

Some college, but no degree – Skip to
’B.1.12 Age’ on page 9

None of the above

Associate Degree (for example, AA, AS)
B.1.7 Initial Acquisition Year
Bachelor’s Degree (for example, BA, BS)

In what year did Owner 1 initially acquire ownership
of this business?

Master’s Degree (for example, MA, MEng, Med,
MSW, MBA)

Year

Doctorate Degree (for example, PhD, EdD)
Don’t know

Professional Degree, beyond a Bachelor’s Degree
(for example, MD, DDS, DVM, LLB, JD)

B.1.8 Primary Income Source
In 2020, 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)

C

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Attachment C

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.

B.1.12 Age
What was the age of Owner 1 as of December 31,
2020?
Under 25

45 - 54

Biological, agricultural and environmental life
sciences

25 - 34

55 - 64

Chemistry, except biochemistry

35 - 44

65 or over

Computer and mathematical sciences and other
technology and technical fields

B.1.13 Place of Birth

Earth, atmospheric and ocean sciences

Was Owner 1 born in the United States?

Economics, political science, psychology,
sociology and other social sciences

Yes

No

Engineering

B.1.14 U.S. Citizenship

Health

Is Owner 1 a citizen of the United States?
Yes

Physics and astronomy

No

Science and mathematics teacher education

B.1.15 Reasons for Owning the Business

Other science and engineering related fields,
not listed above C

How important to Owner 1 are each of the following
reasons for owning this business?
Select one for each row.

Art and humanities fields

Wanted to be my own boss

Education, except science and math teacher
education

Flexible hours

Management and administration fields

Balance work and family

Very
Important

Somewhat
Important

Not
Important

Opportunity for greater
income
Best avenue for my ideas /
goods / services

Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above C

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)

Form ABS-1

9

C

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Attachment C

OWNER 2

B.2.3 Race
What is Owner 2’s race? Select all that apply.
(For this survey, Hispanic origins are not races.)

If applicable, if not Skip to ’B.5 One Family Majority
Ownership’ on page 19.

White – Print for example, German, Irish,
English, Italian, Lebanese, Egyptian, etc. C

B.2.1 Sex
What is the sex of Owner 2?
Male

Female
Black or African Am. – Print, for example,
African American, Jamaican, Haitian, Nigerian,
Ethiopian, Somali, etc. C

Note: Please answer BOTH B.2.2 Ethnicity and
B.2.3 Race questions.
B.2.2 Ethnicity
Is Owner 2 of Hispanic, Latino, or Spanish origin?

American Indian or Alaskan Native – Print name
of enrolled or principal tribe(s), for example,
Navajo Nation, Blackfeet Tribe, Mayan, Aztec,
Native Village of Barrow Inupiat Traditional
Government, Nome Eskimo Community, etc. C

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 –
Print, for example, Salvadoran, Dominican,
Colombian, Guatemalan, Spaniard,
Ecuadorian, etc. C

Chinese

Vietnamese

Native
Hawaiian

Filipino

Korean

Samoan

Asian Indian

Japanese

Chamorro

Other Asian – Print, for example, Pakistani,
Cambodian, Hmong, etc. C

Other Pacific Islander – Print, for example,
Tongan, Fijian, Marshallese, etc. C

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 11

B.2.5 Military Service Disability
Is Owner 2 disabled as the result of illness or injury
incurred or aggravated during military service?
Yes

Form ABS-1

10

No

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32011116

Attachment C

B.2.6 Other Military Service

B.2.10 Education Prior to Owning the Business

Do any of the following characteristics describe
Owner 2’s military service? Select all that apply.

Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 2 completed?

Served on active duty military service, not
including training for the Reserves or
National Guard

Less than high school / secondary school
graduate – Skip to ’B.2.12 Age’ on page 12

Served on active duty military service after
September 11, 2001

High school / secondary school graduate –
Diploma or GED – Skip to ’B.2.12 Age’
on page 12

Served on active duty military service in 2020

Technical, trade, or vocational school –
Skip to ’B.2.12 Age’ on page 12

Served in the National Guard or as a reservist
of any branch of the U.S. Armed Forces in 2020

Some college, but no degree – Skip to
’B.2.12 Age’ on page 12

None of the above

Associate Degree (for example, AA, AS)
B.2.7 Initial Acquisition Year
Bachelor’s Degree (for example, BA, BS)

In what year did Owner 2 initially acquire ownership
of this business?

Master’s Degree (for example, MA, MEng, Med,
MSW, MBA)

Year

Doctorate Degree (for example, PhD, EdD)
Don’t know

Professional Degree, beyond a Bachelor’s Degree
(for example, MD, DDS, DVM, LLB, JD)

B.2.8 Primary Income Source
In 2020, 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)

C

Form ABS-1

11

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Attachment C

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.

B.2.12 Age
What was the age of Owner 2 as of December 31,
2020?
Under 25

45 - 54

Biological, agricultural and environmental life
sciences

25 - 34

55 - 64

Chemistry, except biochemistry

35 - 44

65 or over

Computer and mathematical sciences and other
technology and technical fields

B.2.13 Place of Birth

Earth, atmospheric and ocean sciences

Was Owner 2 born in the United States?

Economics, political science, psychology,
sociology and other social sciences

Yes

No

Engineering

B.2.14 U.S. Citizenship

Health

Is Owner 2 a citizen of the United States?
Yes

Physics and astronomy

No

Science and mathematics teacher education

B.2.15 Reasons for Owning the Business

Other science and engineering related fields,
not listed above C

How important to Owner 2 are each of the following
reasons for owning this business?
Select one for each row.

Art and humanities fields

Wanted to be my own boss

Education, except science and math teacher
education

Flexible hours

Management and administration fields

Balance work and family

Very
Important

Somewhat
Important

Not
Important

Opportunity for greater
income
Best avenue for my ideas /
goods / services

Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above C

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)

Form ABS-1

12

C

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Attachment C

OWNER 3

B.3.3 Race
What is Owner 3’s race? Select all that apply.
(For this survey, Hispanic origins are not races.)

If applicable, if not Skip to ’B.5 One Family Majority
Ownership’ on page 19.

White – Print for example, German, Irish,
English, Italian, Lebanese, Egyptian, etc. C

B.3.1 Sex
What is the sex of Owner 3?
Male

Female
Black or African Am. – Print, for example,
African American, Jamaican, Haitian, Nigerian,
Ethiopian, Somali, etc. C

Note: Please answer BOTH B.3.2 Ethnicity and
B.3.3 Race questions.
B.3.2 Ethnicity
Is Owner 3 of Hispanic, Latino, or Spanish origin?

American Indian or Alaskan Native – Print name
of enrolled or principal tribe(s), for example,
Navajo Nation, Blackfeet Tribe, Mayan, Aztec,
Native Village of Barrow Inupiat Traditional
Government, Nome Eskimo Community, etc. C

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 –
Print, for example, Salvadoran, Dominican,
Colombian, Guatemalan, Spaniard,
Ecuadorian, etc. C

Chinese

Vietnamese

Native
Hawaiian

Filipino

Korean

Samoan

Asian Indian

Japanese

Chamorro

Other Asian – Print, for example, Pakistani,
Cambodian, Hmong, etc. C

Other Pacific Islander – Print, for example,
Tongan, Fijian, Marshallese, etc. C

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 14

B.3.5 Military Service Disability
Is Owner 3 disabled as the result of illness or injury
incurred or aggravated during military service?
Yes

Form ABS-1

13

No

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Attachment C

B.3.6 Other Military Service

B.3.10 Education Prior to Owning the Business

Do any of the following characteristics describe
Owner 3’s military service? Select all that apply.

Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 3 completed?

Served on active duty military service, not
including training for the Reserves or
National Guard

Less than high school / secondary school
graduate – Skip to ’B.3.12 Age’ on page 15

Served on active duty military service after
September 11, 2001

High school / secondary school graduate –
Diploma or GED – ’B.3.12 Age’
on page 15

Served on active duty military service in 2020

Technical, trade, or vocational school –
Skip to ’B.3.12 Age’ on page 15

Served in the National Guard or as a reservist
of any branch of the U.S. Armed Forces in 2020

Some college, but no degree – Skip to
’B.3.12 Age’ on page 15

None of the above

Associate Degree (for example, AA, AS)
B.3.7 Initial Acquisition Year
Bachelor’s Degree (for example, BA, BS)

In what year did Owner 3 initially acquire ownership
of this business?

Master’s Degree (for example, MA, MEng, Med,
MSW, MBA)

Year

Doctorate Degree (for example, PhD, EdD)
Don’t know

Professional Degree, beyond a Bachelor’s Degree
(for example, MD, DDS, DVM, LLB, JD)

B.3.8 Primary Income Source
In 2020, 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)

C

Form ABS-1

14

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Attachment C

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.

B.3.12 Age
What was the age of Owner 3 as of December 31,
2020?
Under 25

45 - 54

Biological, agricultural and environmental life
sciences

25 - 34

55 - 64

Chemistry, except biochemistry

35 - 44

65 or over

Computer and mathematical sciences and other
technology and technical fields

B.3.13 Place of Birth

Earth, atmospheric and ocean sciences

Was Owner 3 born in the United States?

Economics, political science, psychology,
sociology and other social sciences

Yes

No

Engineering

B.3.14 U.S. Citizenship

Health

Is Owner 3 a citizen of the United States?
Yes

Physics and astronomy

No

Science and mathematics teacher education

B.3.15 Reasons for Owning the Business

Other science and engineering related fields,
not listed above C

How important to Owner 3 are each of the following
reasons for owning this business?
Select one for each row.

Art and humanities fields

Wanted to be my own boss

Education, except science and math teacher
education

Flexible hours

Management and administration fields

Balance work and family

Very
Important

Somewhat
Important

Not
Important

Opportunity for greater
income
Best avenue for my ideas /
goods / services

Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above C

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)

Form ABS-1

15

C

§A",Z¤

32011165

Attachment C

OWNER 4

B.4.3 Race
What is Owner 4’s race? Select all that apply.
(For this survey, Hispanic origins are not races.)

If applicable, if not Skip to ’B.5 One Family Majority
Ownership’ on page 19.

White – Print for example, German, Irish,
English, Italian, Lebanese, Egyptian, etc. C

B.4.1 Sex
What is the sex of Owner 4?
Male

Female
Black or African Am. – Print, for example,
African American, Jamaican, Haitian, Nigerian,
Ethiopian, Somali, etc. C

Note: Please answer BOTH B.4.2 Ethnicity and
B.4.3 Race questions.
B.4.2 Ethnicity
Is Owner 4 of Hispanic, Latino, or Spanish origin?

American Indian or Alaskan Native – Print name
of enrolled or principal tribe(s), for example,
Navajo Nation, Blackfeet Tribe, Mayan, Aztec,
Native Village of Barrow Inupiat Traditional
Government, Nome Eskimo Community, etc. C

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 –
Print, for example, Salvadoran, Dominican,
Colombian, Guatemalan, Spaniard,
Ecuadorian, etc. C

Chinese

Vietnamese

Native
Hawaiian

Filipino

Korean

Samoan

Asian Indian

Japanese

Chamorro

Other Asian – Print, for example, Pakistani,
Cambodian, Hmong, etc. C

Other Pacific Islander – Print, for example,
Tongan, Fijian, Marshallese, etc. C

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 17

B.4.5 Military Service Disability
Is Owner 4 disabled as the result of illness or injury
incurred or aggravated during military service?
Yes

Form ABS-1

16

No

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32011173

Attachment C

B.4.6 Other Military Service

B.4.10 Education Prior to Owning the Business

Do any of the following characteristics describe
Owner 4’s military service? Select all that apply.

Prior to establishing, purchasing, or acquiring this
business, what was the highest degree or level of
school Owner 4 completed?

Served on active duty military service, not
including training for the Reserves or
National Guard

Less than high school / secondary school
graduate – Skip to ’B.4.12 Age’ on page 18

Served on active duty military service after
September 11, 2001

High school / secondary school graduate –
Diploma or GED – Skip to ’B.4.12 Age’
on page 18

Served on active duty military service in 2020

Technical, trade, or vocational school –
Skip to ’B.4.12 Age’ on page 18

Served in the National Guard or as a reservist
of any branch of the U.S. Armed Forces in 2020

Some college, but no degree – Skip to
’B.4.12 Age’ on page 18

None of the above

Associate Degree (for example, AA, AS)
B.4.7 Initial Acquisition Year
Bachelor’s Degree (for example, BA, BS)

In what year did Owner 4 initially acquire ownership
of this business?

Master’s Degree (for example, MA, MEng, Med,
MSW, MBA)

Year

Doctorate Degree (for example, PhD, EdD)
Don’t know

Professional Degree, beyond a Bachelor’s Degree
(for example, MD, DDS, DVM, LLB, JD)

B.4.8 Primary Income Source
In 2020, 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)

C

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17

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Attachment C

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.

B.4.12 Age
What was the age of Owner 4 as of December 31,
2020?
Under 25

45 - 54

Biological, agricultural and environmental life
sciences

25 - 34

55 - 64

Chemistry, except biochemistry

35 - 44

65 or over

Computer and mathematical sciences and other
technology and technical fields

B.4.13 Place of Birth

Earth, atmospheric and ocean sciences

Was Owner 4 born in the United States?

Economics, political science, psychology,
sociology and other social sciences

Yes

No

Engineering

B.4.14 U.S. Citizenship

Health

Is Owner 4 a citizen of the United States?
Yes

Physics and astronomy

No

Science and mathematics teacher education

B.4.15 Reasons for Owning the Business

Other science and engineering related fields,
not listed above C

How important to Owner 4 are each of the following
reasons for owning this business?
Select one for each row.

Art and humanities fields

Wanted to be my own boss

Education, except science and math teacher
education

Flexible hours

Management and administration fields

Balance work and family

Very
Important

Somewhat
Important

Not
Important

Opportunity for greater
income
Best avenue for my ideas /
goods / services

Sales and marketing fields
Social service and related fields
Other non-science and non-engineering related
fields, not listed above C

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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18

C

§A",r¤

32011199

Attachment C

B.5 One Family Majority Ownership
In 2020, 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 2020, did spouses / unmarried partners jointly own this business?
Yes
No – See instructions at the bottom of this page

B.7 Equal Operation
In 2020, 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

If you reported "No" to ’A.4 Business Ownership – U.S. Entity’ AND you reported between 1-9 total
employment to ’A.8 Number of W-2 Paid Domestic Employees or Employee Owners’, then skip to
SECTION D: RESEARCH AND DEVELOPMENT FOR MICROBUSINESSES on page 28.
All others skip to SECTION E: TECHNOLOGY, OPERATIONS, AND INNOVATION on page 33.

Form ABS-1

19

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Attachment C

SECTION C: RESEARCH ACTIVITIES AT NONPROFIT ORGANIZATIONS
The following section collects information on your organization and asks about research performed and/or
funded by your organization. For the purposes of this survey, your organization is defined as all units included
in your Internal Revenue Service (IRS) Form 990 or IRS Form 990-PF filings. Only organizations headquartered in
the U.S. are eligible for this section. The reporting period for this section is your organization’s fiscal year
ending in 2020. Estimates are acceptable. Report all items to the best of your ability.
C.1 Organization Affliation
Is your organization affiliated with or considered part of another for-profit, nonprofit, or higher education
organization? For example, a specific hospital foundation, university research entity, etc.
Yes
If Yes, specify

C

No
C.2 Total Expenses
What was the consolidated total amount of your organization’s
expenses for 2020 as (would be) reported on your IRS Form 990s,
line 18, or IRS Form 990-PFs, line 26 (a) revenue and expenses
per books?

$Bil.

Mil.

Thou.

Dol.

0 0 0

Round to the nearest one thousand dollars. If none, report zero . . . . . .
C.3 Number of Employees
For the pay period including March 12, 2020, how many people worked for your organization?
Include:
Ⴠ Full- and part-time employees.

Number

Exclude:
Ⴠ Temporary employees and consultants. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
C.4 Fiscal Year End
In what month did your organization’s Fiscal Year (FY) 2020 end?
MM

YYYY

2 0 2 0

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20

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Attachment C

The next questions ask about research performed and/or funded by your organization.
Please read the information below before continuing.
By research we mean...
For the purposes of this survey, research includes research and experimental development.
Research and experimental development comprise creative and systematic work to:
Ⴠ Increase the stock of knowledge, including knowledge of humankind, culture, and society OR
Ⴠ Devise new applications of available knowledge (including materials, products, devices, processes, systems,
or services)
Research activities must be...
Ⴠ Novel: projects that advance current knowledge or create new knowledge
Ⴠ Creative: projects focused on original concepts and hypotheses
Ⴠ Uncertain: project outcomes are unable to be completely determined at the outset
Ⴠ Systematic: projects are planned and budgeted
Ⴠ Transferable/Reproducible: project methodology and results are transferable/reproducible to other situations
and locations
May meet the criteria for research

Most likely do not meet the criteria for research

Ⴠ Laboratory or animal studies

Ⴠ Internal program monitoring or evaluation

Ⴠ Clinical trials

Ⴠ Public service grants or outreach programs

Ⴠ Prototype development

Ⴠ Education or training programs

Ⴠ Outcomes research

Ⴠ Quality control testing

Ⴠ Development/measurement of new methods to
deliver/measure social service outcomes

Ⴠ Market research
Ⴠ Management studies/efficiency surveys

Ⴠ Policy research

Ⴠ Literary, artistic, or historical projects, such as
films, music, or books and other publications

Ⴠ Humanities research
Ⴠ Research traineeships

Ⴠ Feasibility studies, unless included as part of an
overall research project

Ⴠ Other experimental studies
C.5 Research Performed by Your Organization

Did your organization perform research in FY 2020?
Include:
Ⴠ Research performed by your organization’s employees or contract employees. (Contract employees are
individuals contracted to work on projects otherwise fully performed by your organization’s staff.)
Exclude:
Ⴠ Research performed outside your organization by subcontractors or subawardees.
(Report in C.6 Research Performed by Others.)
Yes
No
If you would like to add additional detail or clarification to your response, please comment in the
space provided below.

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Attachment C

C.6 Research Performed by Others
Did your organization fund research performed by others outside your organization in FY 2020?
Include:
Ⴠ All grants, contracts, subcontracts, and subawards awarded by your organization to external recipients to
perform research
Exclude:
Ⴠ Research performed by contract employees
Yes
No
If you would like to add additional detail or clarification to your response, please comment in the
space provided below.

If you reported “No” for ‘C.5 Research Performed by Your Organization’ AND “No” for ‘C.6 Research
Performed by Others,’ skip to ‘C.16 Burden Estimate’ on page 27.
If you reported “No” for ‘C.5 Research Performed by Your Organization’ AND “Yes” for ‘C.6 Research
Performed by Others,’ skip to ‘C.15 Funding for Research Performed by Other Organizations’ on page 27.
All others continue to ‘C.7 Funding for Research Performed by This Organization.’
C.7 Funding for Research Performed by This Organization
In FY 2020, how much was spent on research performed within your organization?
Round to the nearest one thousand dollars. If none, report zero.
Include:
Ⴠ Direct costs, such as salaries and wages, travel, equipment, supplies, consulting, and other expenditures
directly supporting your organization’s research projects
Ⴠ Indirect costs associated with research expenditures, such as general and administrative salaries and
wages, fringe benefits, facility costs, depreciation, etc. These should be calculated using your
organization’s applicable fringe, overhead, and General and Administrative (G&A) or Facilities and
Administrative (F&A) rates
Exclude:
Ⴠ Capital expenditures (i.e., costs for construction or renovation of facilities)
Ⴠ Payments/funds in excess of the actual cost of the research work performed (e.g., fees)
Ⴠ Payments made by your organization to subcontractors or subawardees performing research outside your
organization
$Mil.

Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Thou.

Dol.

0 0 0

If you would like to add additional detail or clarification to your response, please comment in the
space provided below.

Form ABS-1

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§A"-8¤

32011231

Attachment C

C.8 Research Funding Sources
How much of the ‘C.7 Funding for Research Performed by This Organization’ came from each of the
following sources?
Round to the nearest one thousand dollars. If none, report zero.
a. Federal government: Any agency of the United States
government. Include subcontract or subaward funds your
organization received for research activities on federal projects . . . . . .

$Mil.

Thou.

Dol.

0 0 0

b. State and local government: Any state, county, municipality,
or other local government entity in the United States . . . . . . . . . . . . . .

0 0 0

c. Businesses: Domestic or foreign for-profit organizations.
Report funds from a company’s nonprofit foundation in Row d . . . . . .

0 0 0

d. Foundations: Domestic or foreign nonprofit grant-making
organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

e. Universities: Domestic or foreign degree-granting institutions . . . . . .

0 0 0

f. All other nonprofits: Domestic or foreign public charities and
other nonprofit organizations not reported in Row d or e . . . . . . . . . . .

0 0 0

g. Internal funds: Your organization’s own funds from your
endowment, general donations, or other unrestricted sources . . . . . . .

0 0 0

h. Individual donors: Gifts designated by the donors for research . . . . .

0 0 0

All other sources not reported above . . . . . . . . . . .

0 0 0

Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

i.

Other, specify:

C

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23

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32011249

Attachment C

C.9 Field of Research
How much of the ‘C.7 Funding for Research Performed by This Organization’ was spent in each of the
following fields?
Round to the nearest one thousand dollars. If none, report zero.
a. Agricultural Sciences and Natural Resources and
Conservation: e.g., Agricultural sciences, Animal sciences,
Applied horticulture, Fishing and fisheries science, Food science
and technology, Forestry, Natural resources and conservation,
Plant sciences, or Soil sciences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$Mil.

Thou.

Dol.

0 0 0

b. Biological, Biomedical, and Health Sciences: e.g.,
Biochemistry, biophysics, molecular biology; Biotechnology;
Botany; Cell biology; Epidemiology; Genetics; Medicine;
Neuroscience; Public health; Veterinary medicine; or Zoology. . . . . . . .

0 0 0

c. Engineering: e.g., Aerospace, aeronautical, and astronautical
engineering; Bioengineering and biomedical engineering;
Chemical engineering; Civil engineering; Electrical, electronic, and
communications engineering; Industrial and manufacturing
engineering; Mechanical engineering; or Metallurgical and
materials engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

d. Geosciences, Atmospheric Sciences, and Ocean Sciences:
e.g., Atmospheric sciences and meteorology, Geological and earth
sciences, or Ocean and marine sciences . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

e. Mathematics, Statistics, and Computer and Information
Sciences: e.g., Computer sciences, Information sciences,
Information technology, Mathematics, or Statistics . . . . . . . . . . . . . . . .

0 0 0

f. Physical Sciences: e.g., Astronomy and astrophysics, Chemistry,
Materials science, or Physics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

g. Psychology and Social Sciences: e.g., Anthropology;
Archaeology; City, urban, community, and regional planning;
Criminology; Economics; Geography; Linguistics; Political science
and government; Psychology; Public policy analysis; or Sociology,
demography, and population studies. . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

h. Humanities: e.g., English language and literature, letters; Foreign
languages and literature; History; or Philosophy and religious
studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

i.

Other Fields: e.g., Business management and business
administration, Communication and communications technologies,
Education, Law, Library science, Social work, or Visual and
performing arts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Form ABS-1

24

0 0 0
0 0 0

§A"-R¤

32011256

Attachment C

C.10 Research Performance
How much of the ‘C.7 Funding for Research Performed by This Organization’ was for basic research,
applied research, and experimental research?
Round to the nearest one thousand dollars. If none, report zero.
(1) Federal

(2) Nonfederal

(3) Total

a. Basic research: Experimental or theoretical work undertaken primarily to acquire new knowledge of
the underlying foundations of phenomena and observable facts, without any particular application or
use in view.
$Mil.

Thou.

Dol.

$Mil.

Thou.

0 0 0

Dol.

$Mil.

Thou.

0 0 0

Dol.

0 0 0

b. Applied research: Original investigation undertaken in order to acquire new knowledge. It is directed
primarily towards a specific, practical aim or objective.
$Mil.

Thou.

Dol.

$Mil.

Thou.

0 0 0

Dol.

$Mil.

Thou.

0 0 0

Dol.

0 0 0

c. Experimental development: Systematic work, drawing on knowledge gained from research and
practical experience and producing additional knowledge, which is directed to producing new products
or processes or to improving existing products or processes.
$Mil.

Thou.

Dol.

$Mil.

Thou.

0 0 0

Dol.

$Mil.

Thou.

0 0 0

Dol.

0 0 0

Total: Total for column (1) should equal the amount entered for ‘C.8 a. Research Funding Sources –
Federal Government.’ Total for column (3) should equal the amount entered for ‘C.7 Funding
for Research Performed by This Organization.’
$Mil.

Thou.

Dol.

$Mil.

Thou.

0 0 0

Dol.

0 0 0

$Mil.

Thou.

Dol.

0 0 0

If you would like to add additional detail or clarification to your response, please comment in the
space provided below.

Examples
Basic research

Applied research

Experimental development

A researcher is studying the properties
of human blood to determine what
affects coagulation.

A researcher is conducting research on
how a new chicken pox vaccine affects
blood coagulation.

A researcher is conducting clinical trials
to test a newly developed chicken pox
vaccine for young children.

A researcher is studying the properties
of molecules under various heat and
cold conditions.

A researcher is investigating the
properties of particular substances
under various heat and cold conditions
with the objective of finding longer
lasting components for highway
pavement.

A researcher is working with state
transportation officials to conduct tests
of a newly developed highway
pavement under various types of heat
and cold conditions.

A researcher is investigating the effect
of different types of manipulatives on
the way first graders learn
mathematical strategy by changing
manipulatives and then measuring
what students have learned through
standardized instruments.

A researcher is studying the
implementation of a specific math
curriculum to determine what teachers
need to know to implement the
curriculum successfully.

A researcher is developing and testing
software and support tools, based on
fieldwork, to improve mathematics
cognition for student special education.

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Attachment C

C.11 Research Employees for Nonprofit Organizations
Of the ‘C.3 Number of Employees’ reported, how many worked on research activities in FY 2020?
Include:
Ⴠ Only your organization’s paid employees.
Exclude:
Ⴠ Contract employees. (Report in C.13 Research Contract Employees for Nonprofit Organizations.)
Number

a. Researchers (including scientists, engineers, and their managers):
Professionals engaged in the conception or creation of new knowledge. . . . . . . . . .
b. Research technicians and other support personnel: Staff who work under
the supervision of researchers to conduct research activities . . . . . . . . . . . . . . . . . .
c. Other support personnel (clerical and other): Staff who provide direct
support services for the research project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
C.12 Research Full-time Equivalents for Nonprofit Organizations
How many full-time equivalents (FTEs) worked on research activities in FY 2020?
FTE research personnel are calculated as the total working (paid) hours spent working on research during a
specific reference period (usually a calendar year) divided by the number of hours representing a full-time
schedule within the same period. Include only your organization’s paid employees. For example, if you have
three people working 20, 30, and 40 hours in a week on research activities and a full-time schedule is 40
hours a week at your organization, your research FTE calculation is (20 + 30 + 40)/40 = 2.25 FTE.
Number
of FTEs
a. Researchers (including scientists, engineers, and their managers):
Professionals engaged in the conception or creation of new knowledge. . . . . . . . . . . . .



b. Research technicians and other support personnel: Staff who work under
the supervision of researchers to conduct research activities . . . . . . . . . . . . . . . . . . . . .



c. Other support personnel (clerical and other): Staff who provide direct
support services for the research project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .



C.13 Research Contract Employees for Nonprofit Organizations
a. Did any contract employees work on your research activities in FY 2020?
Contract employees are individuals contracted to work on projects otherwise fully performed by your
organization staff.
Yes
No

Employees

b. If yes, how many contract employees worked on your research activities
during FY 2020? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Attachment C

C.14 Research Volunteers for Nonprofit Organizations
a. Did any volunteers work on your research activities in FY 2020?
Volunteers are unpaid workers contributing appreciable and essential activity to research performed by
your organization. Their research skills should be comparable to those of your employees. Individuals
funded by other sources to conduct research at your organization should not be considered volunteers.
Yes
No
b. If yes, how many volunteers worked on your research activities during FY 2020?. . . . . .
If you reported “No” for ‘C.6 Research Performed by Others,’ skip to ‘C.16 Burden Estimate.’
C.15 Funding for Research Performed by Other Organizations
Include:
Ⴠ All grants, contracts, subcontracts, and subawards awarded by your organization to external recipients to
perform research.
Ⴠ For multi-year awards, include only the amount paid to the external recipient in FY 2020.
Exclude:
Ⴠ Research performed by contract employees.
a. Research grants or contracts: Include grants and contracts
awarded by your organization to external recipients to perform
independent research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$Mil.

Thou.

Dol.

0 0 0

b. Subcontracts and subawards: Include subcontracts and
subawards awarded by your organization to external recipients
to support your research activities. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

If you would like to add additional detail or clarification to your response, please comment in the
space provided below.

C.16 Burden Estimate
What was the total amount of staff time it took your organization to complete this questionnaire?
Include:
Ⴠ The time spent reading the instructions, working on the questions, and obtaining information.
Ⴠ The time spent by all employees in collecting and providing this information.
Hours

Minutes

:

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Attachment C

SECTION D: RESEARCH AND DEVELOPMENT FOR MICROBUSINESSES
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:
Ⴠ Costs for routine product testing, quality control, and technical services unless they are an integral part of an
R&D project
Ⴠ Market research
Ⴠ Efficiency surveys or management studies
Ⴠ Literary, artistic, or historical projects, such as films, music, or books and other publications
Ⴠ Prospecting or exploration for natural resources
R&D activity in software INCLUDES:
Ⴠ Software development or improvement activities that expand scientific or technological knowledge
Ⴠ Construction of new theories and algorithms in the field of computer science
R&D activity in software EXCLUDES:
Ⴠ Software development that does not depend on a scientific or technological advance, such as
Ⴠ supporting or adapting existing systems
Ⴠ adding functionality to existing application programs, and
Ⴠ routine debugging of existing systems and software
Ⴠ Creation of new software based on known methods and applications
Ⴠ Conversion or translation of existing software and software languages
Ⴠ 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 2020, if possible, or for this business’s fiscal year ending between April 2020
and March 2021.
Estimates are acceptable.
Report all items to the best of your ability.

Form ABS-1

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Attachment C

D.1 R&D Activities
During 2020, did this business do any of the following R&D activities? Include activities that:
Ⴠ This business performed
Ⴠ Others paid this business to do
Ⴠ This business paid others to do
Select one for each row.

Yes

No

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, OPERATIONS, AND INNOVATION
on page 33.
D.2 R&D Costs
What was the total cost (both direct and indirect) in 2020 for all the R&D activities reported as “Yes” in the ‘D.1
R&D Activities’ question? Your best estimate is acceptable.
Report dollar amount in thousands. If none, report zero.
Include the following costs:
Ⴠ Salaries, wages, fringe benefits
Ⴠ Plant, machinery, and equipment, except that which was capitalized because it had an alternative
future use
Ⴠ Materials, supplies, software
Ⴠ Rent, utilities
Ⴠ Consultants, contractors
Ⴠ Depreciation expense from plant, machinery, and equipment that was capitalized because it had an
alternative future use
Do not include:
Ⴠ Costs for routine product testing, quality control, and technical services unless they are an integral
part of an R&D project
Ⴠ Market research
Ⴠ Efficiency surveys or management studies
Ⴠ Literary, artistic, or historical projects, such as films, music, or books and other publications
Ⴠ Prospecting or exploration for natural resources
$Mil.

Thou.

Total costs for ‘R&D Activities’ reported in the ’D.1 R&D Activities’
question for 2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Dol.

0 0 0

If ’D.2 R&D Costs’ are less than $50,000, skip to SECTION E: TECHNOLOGY, OPERATIONS, AND
INNOVATION on page 33.
Form ABS-1

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Attachment C

D.3 Foreign R&D Costs
During 2020, what amount, if any, of the ‘D.2 R&D Costs’
was performed outside the U.S. by this business or others?
Round to the nearest thousand dollars. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$Mil.

Thou.

Dol.

0 0 0

D.4 Domestic R&D Costs
Calculate this business’s domestic R&D costs by subtracting the amount
entered for R&D costs outside the U.S. (question ’D.3 Foreign R&D Costs’)
from all R&D costs (question ’D.2 R&D Costs’). This value will be used in
other questions in this survey. Round to the nearest thousand dollars.

$Mil.

Thou.

Dol.

0 0 0

............................
This business’s domestic R&D cost in 2020
If ‘D.4 Domestic R&D Costs’ equals $0, skip to ‘D.9 R&D Employees’ on page 32.
D.5 Types of R&D Costs
During 2020, how much of the ‘D.4 Domestic R&D Costs’ in domestic R&D costs was for each of the
following types of costs? Round to the nearest thousand dollars.
$Mil.

Thou.

Dol.

a. Salaries, wages, and fringe benefits . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

b. Expensed machinery and equipment (not capitalized) . . . . . . . . . . . . . .

0 0 0

c. Materials and supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

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

0 0 0

e. Depreciation on R&D property and equipment . . . . . . . . . . . . . . . . . . .

0 0 0

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

0 0 0
0 0 0

Total = ’D.4 Domestic R&D Costs’ . . . . . . . . . . . . . . . . . . . . . . . . . .
D.6 Domestic R&D Performance Costs

Calculate this business’s domestic R&D performance costs 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’). Use this value in the next question. Round to the nearest thousand dollars.
$Mil.

Thou.

Dol.

0 0 0

This business’s domestic R&D performance costs in 2020. . . . . . . . . . . . . . . . . . .
If ‘D.6 Domestic R&D Performance Costs’ equals $0, skip to ‘D.9 R&D Employees’ on page 32.

Form ABS-1

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32011314

Attachment C

D.7 Funding Sources for R&D Activities
During 2020, of the ‘D.6 Domestic R&D Performance Costs‘ in total domestic R&D performance cost,
how much was paid for by the following sources? Round to the nearest thousand dollars.
$Mil.

Thou.

Dol.

a. This U.S. business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

b. Your foreign owner (if this business is foreign-owned) . . . . . . . . . . . .

0 0 0

c. Venture capital and angel financing . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 0 0

d. Other businesses located within the United States . . . . . . . . . . . . . . . .

0 0 0

e. Other businesses located outside the United States . . . . . . . . . . . . . . .

0 0 0

f. Universities or colleges located within the United States. . . . . . . . . . .

0 0 0

g. Nonprofit organizations located within the United States . . . . . . . . . . .

0 0 0

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

0 0 0

Which agency provided the largest share? Select one from the list below.
Department of Defense
National Science Foundation
Department of Health and Human Services including the National Institutes of Health
Department of Energy
NASA
Other agencies
h. U.S., State, or local government (not including state universities) . . . .

0 0 0

i.

0 0 0

All other organizations outside the United States. . . . . . . . . . . . . . . . .

0 0 0

Total = ’D.6 Domestic R&D Performance Costs’ . . . . . . . . . . . . . .
D.8 R&D Categories

During 2020, of the ‘D.6 Domestic R&D Performance Costs’ in domestic R&D performance cost, how much
was for the following with types of R&D? Round to the nearest thousand dollars.
a. Basic research – activities aimed at acquiring new knowledge
or understanding without specific immediate commercial
applications or uses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$Mil.

Thou.

Dol.

0 0 0

b. Applied research – activities aimed at solving a specific
problem or meeting a specific commercial objective. . . . . . . . . . . . . .

0 0 0

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. . . . . . . . . . . . . . . . . . . .

0 0 0

Total = ’D.6 Domestic R&D Performance Costs’ . . . . . . . . . . . . . .
Form ABS-1

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32011322

Attachment C

D.9 Domestic R&D Employees
For the pay period including March 12, 2020, 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 reported this business’s total number of employees in ‘A.8 Number of W-2
Paid Employees or Employee/Owners’ on page 3. Reponses below should not exceed the
number of employees reported in A.8.

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 Domestic R&D Employees’, skip to ‘D.13 Tax Credit for
Research Activities’.
D.10 Domestic R&D Employees’ Occupations
Employees

Of the ‘D.9 a. R&D Employees’, how many were?
If none, report zero.
a. Researchers (including R&D scientists, engineers, and their managers) . . . . . . . . . . . . . . . . . . .
b. R&D technicians and equivalent staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. R&D support staff (clerical and other). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Total R&D employees (Total from ’D.9 a. Domestic R&D Employees’) . . . . . . . . . . . . . . . . .
e. Of the researchers reported in line D.10 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. Domestic R&D Employees’, R&D employees?
For full-time Domestic 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. Report partial FTEs in decimals.
For example, report 1/2 FTE as .5.

Number
of FTEs



Total FTEs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
D.12 Domestic Researchers Full-Time Equivalent
What was the full-time equivalent of the ‘D.10 a. Domestic R&D Employee Occupations’
researchers? Report partial FTEs in decimals. For example, report 1/2 FTE as .5.

Number
of FTEs

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 2020?

Yes
No
Note: Additional questions about R&D changes due to the coronavirus pandemic will be asked in
SECTION H: RESEARCH AND DEVELOPMENT AND THE CORONAVIRUS PANDEMIC.
Form ABS-1

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Attachment C

SECTION E: TECHNOLOGY, OPERATIONS, AND INNOVATION
The following section collects information on business technology use, domestic and foreign operations, and
business innovation of new or improved goods, services, or business processes that differed significantly from
this business’s previous goods, services, or processes.
E.1 Digital Share of Business Activity
In 2020, did this business use a digital format for any of the following types of information?
Select one for each row.
Collected
primarily in
digital format

Collected,
but not
digitally

Did not
collect

Don’t
know

a. Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Financial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Customer feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Marketing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Supply chain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g. Other (specify)

C

...............................

E.2 Cloud Service Purchases
In 2020, did this business use cloud services for any of the following IT functions? Do not include software
purchases with embedded cloud features (e.g., Microsoft office, Adobe).
Select one for each row.

In use,
primarily
cloud-based

In use,
but not
cloud-based

Not in use

Don’t
know

a. Security or firewall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Servers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Data storage and management ( e.g., Amazon
Web Services, IBM Bluemix, Microsoft Azure) . . . . . . . . .
d. Collaboration and file synchronization
(e.g., Dropbox, OneDrive, Google Drive). . . . . . . . . . . . . .
e. Data analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Billing and account management . . . . . . . . . . . . . . . . . . .
g. Customer relationship management. . . . . . . . . . . . . . . . .
h. Other (specify)

C

...............................

Form ABS-1

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32011348

Attachment C

E.3 Business Technologies
In 2020, did this business produce goods or provide services by using or applying any of the following
technologies?
Select one for each row.
In use

In testing,
but not
in use

Not in use
nor testing

Don’t
know

a. Augmented reality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Automated guided vehicles (AGV) or AGV systems . . . . .
c. Machine learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Machine vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Natural language processing . . . . . . . . . . . . . . . . . . . . . .
f. Radio-frequency identification (RFID) system . . . . . . . . . .
g. RoboticsTouchscreens/kiosks for customer interface
(e.g., self-checkout, self-check-in, touchscreen ordering). .
h. Voice recognition software . . . . . . . . . . . . . . . . . . . . . . . .
i.

Additive manufacturing (3D printing)
including prototyping. . . . . . . . . . . . . . . . . . . . . . . . . . . .

E.4 Activities Conducted by Unaffiliated Companies
In 2020, did any unaffiliated companies located in the United States conduct any of the following activities
for this business? Unaffiliated companies include firms such as independent contractors and suppliers.
Select one for each row.

Yes

No

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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Form ABS-1

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32011355

Attachment C

E.5 Activities Conducted by Foreign Companies
In 2020, did any companies located outside the United States conduct any of the following activities for
this business? Companies located outside the United States may be unaffiliated or affiliated, such as a
foreign affiliate or a foreign parent.
Select one for each row.

Yes

No

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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
E.6 New or Improved Goods
During the three years 2018 to 2020, 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.
Yes
No

E.7 New or Improved Services
During the three years 2018 to 2020, 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.
Yes
No

Form ABS-1

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32011363

Attachment C

SECTION F: FINANCING
CORONAVIRUS PANDEMIC
When answering the following questions, please factor in the coronavirus pandemic and how it affected this
business.
F.1 Effect of Coronavirus Pandemic on Business Sales
How would you assess the overall effect of the coronavirus pandemic on this business’s sales in 2020?
Increased significantly
Increased somewhat
Had little to no change
Decreased somewhat
Decreased significantly
F.2 Sources of Financial Assistance During Coronavirus Pandemic
Since March 13, 2020, has this business requested financial assistance from any of the following sources?
Include:
Ⴠ Paycheck Protection Program (PPP) loans
Ⴠ Small Business Economic Injury Disaster loans
Ⴠ Other federal, state, or local government programs aimed specifically at addressing the
coronavirus pandemic
Yes
No – Skip to ’F.6 Level of Operations During Coronavirus Pandemic’ on page 37
F.3 Government Financial Assistance Requested During Coronavirus Pandemic
What was the total dollar amount of government-sponsored
coronavirus pandemic financial assistance (from the previous
question – ‘F.2 Sources of Financial Assistance During
Coronavirus Pandemic’) that this business requested? Round
to the nearest one thousand dollars. If none, report zero . . . . . . .

$Bil.

Mil.

Thou.

Dol.

0 0 0

If response is $0, skip to ‘F.6 Level of Operations During Coronavirus Pandemic’ on page 37.
F.4 Government Financial Assistance Received During Coronavirus Pandemic
What was the total dollar amount of government-sponsored
$Bil.
Mil.
coronavirus pandemic financial assistance that this business
received? Round to the nearest one thousand dollars.
If none, report zero . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Thou.

Dol.

0 0 0

If response is $0, skip to ‘F.6 Level of Operations During Coronavirus Pandemic’ on page 37.

Form ABS-1

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Attachment C

F.5 Government Financial Assistance Forgiveness
What share of the government-sponsored coronavirus pandemic financial assistance received was forgiven or
does not need to be paid back?
None
1 – 25%
26 – 50%
51 – 75%
76 – 100%
Don’t know
F.6 Level of Operations During Coronavirus Pandemic
Will this business be able to maintain operations into the next year (2022)?
Yes, at or above the current level of operations
Yes, at or below the current level of operations
No
Don’t know
F.7 Financial Health of the Business
In 2021, how concerned are you about the financial health of this business?
Not that concerned
Somewhat concerned
Very concerned
F.8 Outstanding Debt for the Business
What is the total amount of this business’s current outstanding debt?
Round to the nearest one thousand dollars. If none, report zero.
$Bil.

Mil.

Thou.

Dol.

0 0 0
Don’t know

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32011389

Attachment C

SMALL BUSINESS CREDIT
When answering the following questions, please respond based on this business’s credit-seeking activity for
the 12 months ending December 31, 2020. Exclude loans that were forgiven as part of a government
response to the coronavirus pandemic.
F.9 New Credit Applications
For the 12 months ending December 31, 2020, did this business submit an application for new credit
(e.g., a credit card, loan, line of credit, trade financing, etc.)?
Yes
No – Skip to SECTION G: MANAGEMENT PRACTICES on page 39
Don’t know – Skip to SECTION G: MANAGEMENT PRACTICES on page 39
F.10 New Credit Sources
For the 12 months ending December 31, 2020, from what lenders did this business apply for new credit?
Select all that apply.
Bank (financial institution that accepts deposits and extends credit, either in person or online)
Credit union (nonprofit financial institution that provides banking services, including loans, to its members)
Fintech/online lender (type of finance company that operates exclusively online and/or by phone to issue
loans or lines of credit, usually with no collateral requirements. Includes payment companies that offer
loans and cash advances to merchants.)
Finance company (company that provides loans or leases but, unlike a bank, does not accept deposits or
offer banking services. Examples include mortgage companies, equipment dealers, and auto finance
companies.)
Community Development Financial Institution (CDFI) (financial institution certified by the U.S. Department
of the Treasury that provides credit, financial services, and technical assistance to underserved people or
places)
Other, specify

C

F.11 New Credit Received
For the 12 months ending December 31, 2020, how much of the total amount of credit requested did this
business receive?
None
Some
All
Don’t know
F.12 Business Financing Uses
For the 12 months ending December 31, 2020, for what purpose did this business seek financing?
Select all that apply.
Meet operating expenses
Expand business, pursue new opportunity, or acquire business assets
Refinance or pay down debt
Other, specify

C

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32011397

Attachment C

SECTION G: MANAGEMENT PRACTICES
The following section collects information on management practices and employee training.
G.1 Managing Production Problems or Service Issues
In 2020, what best describes what happened at this business when a production problem or service issue arose?
For example, finding a quality defect in a product or piece of equipment breaking down.
We fixed it but did not take further action
We fixed it and took action to make sure that it did not happen again.
We fixed it and took action to make sure that it did not happen again, and had a continuous
improvement process to anticipate problems like these in advance
No action was taken
No production problem or service issue arose
G.2 Number of Key Performance Indicators
In 2020, how many key performance indicators were monitored at this business?
Key performance indicators are formal, quantifiable measures of performance or quality at this business.
1-2 key performance indicators
3-9 key performance indicators
10 or more key performance indicators
No key performance indicators – Skip to ‘G.4 Frequency of
Customer Satisfaction Monitoring’ on page 40
G.3 Frequency of Key Performance Indicators
During 2020, how frequently were the key performance indicators reviewed at this business?
Select all that apply.
Yearly
Quarterly
Monthly
Weekly
Daily
Hourly or more frequently
Never

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Attachment C

G.4 Frequency of Customer Satisfaction Monitoring
How often does this business monitor customer satisfaction through analysis of complaints, customer
satisfaction surveys, focus groups, or other methods?
Select all that apply.
Yearly
Quarterly
Monthly
Weekly
Daily
Hourly or more frequently
Never
G.5 Business Targets
In 2020, what best describes the timeframe of business, service, or production targets at this business?
Examples of business, service, or production targets include number of customers, production, quality,
efficiency, sales, waste, and on-time delivery.
Main focus was on short-term (less than one year) targets
Main focus was on long-term (more than one year) targets
Combination of short-term and long-term targets
No targets – Skip to ‘G.7 Employee Promotion’
G.6 Level of Effort to Reach Business Targets
In 2020, how much effort did it take to achieve business, service, or production targets at this business as
compared to previous years’ effort?
Minimal effort
Less than normal effort
Normal effort
More than normal effort
Extraordinary effort
G.7 Employee Promotion
In 2020, what was the primary way employees were promoted at this business?
Promotions were based solely on performance and ability
Promotions were based partly on performance and ability and partly on other factors
(e.g., tenure or family connections)
Promotions were based mainly on factors other than performance and ability
(e.g., tenure or family connections)
Employees are not promoted
Not applicable

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Attachment C

G.8 Under-Performing Employee
In 2020, was an under-performing employee reassigned or dismissed?
Yes, within 6 months of identifying under-performing employee
Yes, after 6 months of identifying under-performing employee
Under-performing employees were not reassigned or dismissed
No under-performing employees identified
Not applicable
G.9 Employee Training Expenditures
In 2020, how much did this business spend on formal training
programs? Round to the nearest one thousand dollars.
If none, report zero . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$Bil.

Mil.

Thou.

Dol.

0 0 0

G.10 Employee Training Participation

Percent

In 2020, what percent of employees received any formal training?
If none, report zero . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

%

If response is 0%, skip to SECTION I: CONTACT INFORMATION on page 43.
G.11 Hours of Employee Training
In 2020, what was the average number of formal training hours each employee received?

Hours

Average number of hours . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
G.12 Area of Employee Training
In 2020, which of the following areas did employees cover during their formal training?
Select all that apply.
Occupational Safety and Health Administration (OSHA) or other safety training
Other mandated or required government training (federal, state, or local)
Improving teamwork or problem-solving skills
Training in sales and customer service
Training to use computers or new equipment
Training on the same use of equipment and tools
Other, specify

C

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Attachment C

SECTION H: RESEARCH AND DEVELOPMENT AND THE CORONAVIRUS
PANDEMIC
The coronavirus pandemic resulted in major economic changes, as businesses reacted to a general shutdown that
started in the United States in mid-March 2020. When answering the following questions, please consider how the
coronavirus pandemic affected this business’s research and development (R&D) activities.
H.1 R&D Changes due to the Coronavirus Pandemic
In 2020, did the following statements apply to this business’s research and development
(R&D) in response to the coronavirus pandemic? Select one for each row.

Yes

No

a. New R&D projects were started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Existing R&D projects were canceled . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Existing R&D projects were disrupted or delayed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Check here if business did not have R&D and skip to SECTION I: CONTACT
INFORMATION on page 43.
H.2 Impact of Coronavirus Pandemic on R&D Expenditures
In 2020, did this business modify its in-house R&D expenditures in response to the coronavirus pandemic?

Yes, increased in-house R&D expenditures
Yes, decreased in-house R&D expenditures
No change in in-house R&D expenditures due to the coronavirus pandemic
Don’t know
H.3 R&D Performance Due to Coronavirus Pandemic
In 2020, did this business perform in-house R&D on coronavirus pandemic related R&D projects in response to
the coronavirus pandemic? For example, R&D to create self-sterilizing work surfaces; R&D to develop a
COVID-19 diagnostic test; R&D to adapt LEDs to UV for light-weight air purification system, etc.

Yes
No
H.4 Impact of Coronavirus Pandemic on R&D Full-Time Equivalent Personnel
In 2020, were there any changes to the number of full-time equivalent (FTEs) R&D personnel employed or
contracted in response to the coronavirus pandemic by this business?

Yes, increase in FTEs
Yes, decrease in FTEs
No change in R&D personnel due to the coronavirus pandemic
Don’t know
H.5 Outsourcing R&D Expenditures due to the Coronavirus Pandemic
In 2020, did this business modify its outsourced R&D expenditures in response to the coronavirus pandemic?

Yes, increased outsourced R&D expenditures
Yes, decreased outsourced R&D expenditures
No change in payments made to other organizations for R&D due to the coronavirus pandemic
Don’t know
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Attachment C

SECTION I: 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.
Title

Contact Name

Area code

Phone number

Ext.

Email address

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

Thank you for completing the 2021 Annual Business Survey form.
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Attachment C

Definitions
Domestic (or U.S.-located):
Refers to a location in any of the U.S. 50 states and the District of Columbia.
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.
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).
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:
Ⴠ Costs for routine product testing, quality control, and technical services unless they are an integral part of an
R&D project
Ⴠ Market research
Ⴠ Efficiency surveys or management studies
Ⴠ Literary, artistic, or historical projects, such as films, music, or books and other publications
Ⴠ Prospecting or exploration for natural resources
R&D activity in software INCLUDES:
Ⴠ Software development or improvement activities that expand scientific or technological knowledge
Ⴠ Construction of new theories and algorithms in the field of computer science
R&D activity in software EXCLUDES:
Ⴠ Software development that does not depend on a scientific or technological advance, such as
Ⴠ supporting or adapting existing systems
Ⴠ adding functionality to existing application programs, and
Ⴠ routine debugging of existing systems and software
Ⴠ Creation of new software based on known methods and applications
Ⴠ Conversion or translation of existing software and software languages
Ⴠ Adaptation of a product to a specific client, unless knowledge that significantly improved the base program
was added in that process

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