in●no●va●tion
1: the introduction of something new
2: a new idea, method, or device Sponsored by: Economic Research Service United States Department of Agriculture Contact Tim Wojan, [email protected] 202‐694‐5419 Conducted by: Social and Economic Sciences Research Center Washington State University Contact [email protected] 800‐833‐0867 4. Approximately what year did this establishment begin operating? _______ Year 2. What is your main product or service? 2A. How is your main product or service delivered? (Check all that apply.)  As a transportable good  As a service provided in person  As a product that can be provided digitally 2B. Which ONE statement BEST describes the way you make your product or provide your service? Do you… 1 Customize products or services for each customer 2 Produce small batches of a distinct product or tailor services to a limited number of customers 3 Produce large numbers of the same product or provide a standard service to all customers 4 Other  Please describe: 3. Does your firm have ONLY ONE location or MORE THAN ONE location? (from RBUS Q4) 1 Only one location  Skip to Q5 2 More than one location 3a. (IF MORE THAN ONE LOCATION) Is this location the firm’s headquarters or is it a branch only? (from RBUS Q6) 1 Headquarters 2 Branch only 3 5. How much importance did each of these factors have for locating your establishment in this community? (Check the appropriate number for each factor.) Little or no Some High Don’t Factor Importance importance importance know ▼
▼
▼
▼ a. Owner‐ties to area .......................... 1 2 3 4 2 3 4 b. Availability of low‐cost labor .......... 1 c. Available skilled labor pool ............. 1 2 3 4 d. Outdoor amenities (e.g., climate, landscape) ............... 1 2 3 4 e. Access to transportation ................. 1 2 3 4 f. Access to material inputs ................ 1 2 3 4 2 3 4 g. Access to customers ....................... 1 h. Government incentives ................... 1 2 3 4 i. Low taxes ........................................ 1 2 3 4 j. Quality of local schools ................... 1 2 3 4 k. Strong or growing local economy ... 1 2 3 4 6. What was the AVERAGE number of employees on YOUR PAYROLL in 2010, including all full‐time and part‐time workers? (modified from RBUS Q11) _______ # of Employees 6a. Were there workers at your establishment NOT ON YOUR PAYROLL in 2010, such as independent contractors, or workers from a temporary personnel agency or professional employer organization? 1 Yes 2 No  Skip to Q7 6b. If yes, what was the average number of such workers in 2010? _______ # of workers 7. What percent of all employees are managers? _______ % managers 7A. What percent of all employees are professionals? _______ % professionals 4 8. In the following questions “workforce” is defined as all employees aside from managers and professionals. For 2011, what is your best estimate of the average hourly wage for your workforce? (from RBUS Q36) _______ average hourly wage 9. In 2011, how many employees in your workforce had the following training or education as their highest qualification? (Please give either the number of employees or the percentage of employees.) a. b. c. d. # of Employees ▼
Less than a high school degree ........................................_______ High school graduate or GED ..........................................._______ Training or some college after high school resulting in certificate or associates degree ..................................._______ Four‐year college degrees or higher ..............................._______ Percentage Employees ▼ _______% _______% _______% _______% 10. Is any part of the workforce covered by a collective bargaining agreement? (from RBUS Q43) 1 Yes 2 No 11. In the past three years, how difficult has it been to find qualified applicants for your workforce? 1 Very difficult 2 Somewhat difficult 3 Not difficult  Skip to Q12 11a. (If very or somewhat difficult) Why has it been difficult to find qualified applicants for your workforce? (Check all that apply.) 1 Quality of the labor pool 2 Increases in required skills and knowledge 3 Insufficient number of workers available locally 4 Limited interest among job seekers for openings at this establishment 5 12. During the past 12 months, did you… (Check all that apply.)  Offer a health insurance option for all full‐time employees  Offer a retirement plan  Pay for employee education, professional development or training  Offer paid maternity leave  Have an employee‐ownership plan  Offer paid time off for employees to volunteer 13. Do position descriptions at your establishment specifically outline training requirements? 1 Yes 2 No  Skip to Q14 13b. Do you track whether employees complete this training? 1 Yes 2 No 14. Do you reward members of your workforce for new ideas? 1 Yes 2 No 20. Are the following technologies currently used at your establishment? (Check all that apply.) (Modified from GaMEP2005 Survey)  Personal computers/laptops (if no, SKIP to 21.)  Broadband  Sale of products or services via Internet (e‐commerce)  (If YES): What percentage of sales is via Internet? _______%  Supplier purchases via internet (e‐procurement)  Web advertising  Direct e‐mail marketing  Social media (e.g., Facebook, Twitter)  Personal Digital Assistants (e.g., business issued smartphones)  RFID readers or optical scanners (i.e., Radio Frequency Identification)  An integrated enterprise resource planning system (e.g., SAP, Microsoft Dynamics, or Oracle Applications that include accounting, logistics, human resources, sales management, along with other functions)  Stand alone supply chain, logistics management software  Stand alone customer relationship management software 6 20a. What percentage of your workforce uses computers on a daily basis? _______% 21. Which of the following factors have limited your establishment’s use of information and communications technology? (Check all that apply.) (modified from RBUS Q62)  Difficulty integrating new technologies into current way of doing business  The cost of equipment and software  The cost of information and communications services  Lack of knowledge  Lack of access to adequate broadband or high speed internet 23. In general, which of the following are important sources of information about new opportunities or new ways of doing things? (Check all that apply.)  Suppliers  Customers  Other businesses in your industry  Other businesses NOT in your industry  Business/trade association conferences or publications  Your own employees  Media (e.g., newspapers, television, internet)  Private consultants  University extension, community college or business school (IF 1, 2, 3, or 4 selected) 23A. Of the businesses identified as information sources, where are they located? 1 In your community 2 Outside community within a reasonable drive 3 Beyond a reasonable drive 24. Approximately what percentage of 2010 final shipments or billed services went to customers… (Total should equal 100%) a. locally, within one hour drive ......_______% b. within the rest of the U.S. ..........._______% c. internationally .............................._______% = 100% 7 25‐1. Were you in business in 2007? 1 Yes 2 No  Skip to Q26 25. What is your best guess of the percentage of 2007 final shipments or billed services that went to customers… (Total should equal 100%) 26. 27. a. locally, within one hour drive ......_______% b. within the rest of the U.S. ..........._______% c. internationally .............................._______% = 100% What percentage of goods and services sold by your establishment are sold to… (Total should equal 100%) a. Other businesses .........................._______% b. Government ................................_______% c. Individuals ...................................._______% = 100% Is the market for your products or services… 1 Growing 2 Stable 3 Declining 4 Mixed (i.e., some are declining, others growing) 5 Uncertain 29. Do employees in this establishment document good work practices and lessons learned? 1 Yes 2 No 30. Does this establishment monitor customer satisfaction through analysis of complaints, customer satisfaction surveys, focus groups, or other methods? 1 Yes, it is a regular part of our business 2 Yes, occasionally 3 No 8 31. Does this establishment evaluate whether responses to customer complaints remedied the cause of problems identified? 1 Yes, it is a regular part of our business 2 Yes, occasionally 3 No 33. Did your establishment introduce any of the following in the last three years? (Check all that apply.)  New or significantly improved goods (Exclude: 1. The simple resale of new goods purchased from others and 2. Changes that are superficial )  New or significantly improved services  New or significantly improved methods of manufacturing or producing goods or services  New or significantly improved logistics, delivery, or distribution methods for your inputs, goods, or services  New or significantly improved support activities for your processes (Examples of processes: 1. Maintenance systems and 2. Operations for purchasing, accounting, or computing)  New or significant improvements in your marketing methods 34. Did this establishment have any improvement or innovation activities in the last three years that were… (Check all that apply.) (Yes/No) (from CIS6 Q14)  Abandoned  Incomplete 35. Did you check any answers to any section of questions 33 or question 34? (from CIS6 Q15) 1 Yes  Skip to Q36 2 No 35b. Please indicate why improvement or innovation activities have not been necessary or possible. (Check all that apply.) (from CIS6 Q20)  No need due to previous improvements  No need due to market conditions  Other factors 9 Go to Q45, page 12 36. Did you sell any new or significantly improved goods or services during 2010 with the following improvements? (Check all that apply.)      Improved performance More user‐friendly Reduced costs New features New service capabilities 38. During the last three years, did your company start selling any new or significantly improved goods or services before your competitors in at least one of your markets? (Include a product even if it was available in another market.) 1 Yes 2 No 3 Don’t know 39. What percent of your establishment’s 2010 sales were new or significantly improved goods or services? (If none, enter zero.) _______ % 42. During the last three years, did your establishment engage in any of the following innovation‐related activities? (Check all that apply.)       In‐house R&D (to increase knowledge or devise innovations) Purchase R&D from research organizations or other branches of your company In‐house design activities (to improve aesthetics of product or packaging) Purchase design services. Purchase machinery, equipment, computers or software to implement innovations Planning, engineering, design, or other development work to implement an innovation  Purchase or license patents, inventions, know‐how, or other types of knowledge to implement an innovation  Training staff to develop or introduce innovations  Market research, advertising, and other marketing activities linked to implementing an innovation 10 43. What sources of finance did the establishment use over the past 3 years for funding innovation? Personal funds from any source  a1. Personal/family savings of owner(s)  a2. Personal/family home equity loan  a3. Personal credit card(s) that carried a balance  a4. Personal/family assets other than savings of owner(s)  Business loan from federal, state, or local government  Government‐guaranteed business loan from a bank or financial institution  Business loan from a bank or financial institution  A loan or investment in the business from family or friends  Credit or advance from customer  Investment by venture capitalist(s)  Business profits and/or assets  Grants  Other source(s) of capital, please describe: 44. If excess cash were available, how likely is it in the current environment that these funds would be used to… Not at all Likely ▼
Fund additional innovation projects ........... 1 Fund additional investment projects ......... 1 Provide additional training of employees .. 1 Provide a reserve or cushion ...................... 1 Repay debt .................................................. 1 ▼
▼
▼
2 2 2 2 2 3 3 3 3 3 4 4 4 4 4 Almost Certainly ▼ 5 5 5 5 5 ( Resume for non‐innovators) 46. Does your establishment produce products or provide services in any of the five green sectors? (Check all that apply.)  Produce renewable energy  Increase energy efficiency  Conserve natural resources  Prevent, reduce, or clean up pollution  Produce clean transportation fuels 11 47. In the last 3 years did your establishment… (Check all that apply.) (from CIS6 Q22)  Apply for a patent?  If checked, how many patents have you applied for? _______ # patents  Register an industrial design?  Register a trademark?  Produce materials eligible for copyright?  Use trade secret protections, e.g. non‐disclosure agreements, non‐compete clauses or sought remedies for misappropriation? 48. During the economic recession (2008‐2009) period, to what extent did your firm commit resources to innovate? 1 Increased resources for innovation activities 2 There was no change in innovation resources 3 Delayed or decreased resources for innovation 4 Don’t know 49. Compared to 2010, in this current (2011) year would you say resources for innovation at your firm have been… 1 Increased 2 Stayed the same 3 Decreased 45. Over the last three years have you… (check any that apply.) (adapted from GA_MEP2005)           Increased variety of goods or services offered Increased market share or entered new markets Begun exporting goods or services Reduced time to respond to customer needs Improved flexibility of production or service provision Increased capacity of production or service provision Reduced labor costs per unit output Reduced materials and energy required per unit output Reduced environmental impacts/improved health & safety Improved employee satisfaction/reduced worker turnover 12 19. The following is a list of factors related to your establishment’s location. For each one please tell us how much of a problem it is for your establishment’s ability to compete. A major A minor Not a Factor problem problem problem ▼
▼
▼
a. Zoning or development regulations ................................ 1 2 3 2 3 b. Vitality of local economy ................................................. 1 c. Access to financial, legal, and other business services .............................................................. 1 2 3 d. Access to equipment and software suppliers ................. 1 2 3 e. Access to training courses ............................................... 1 2 3 f. Access to transportation/freight forwarding 2 3 facilities and services ....................................................... 1 g. Availability of broadband ................................................. 1 2 3 h. Local availability of mobile or cellular service ................. 1 2 3 i. Local roads and bridges .................................................. 1 2 3 j. Cost of facilities and land ................................................ 1 2 3 k. Attractiveness of area to managers and professionals .. 1 2 3 l. Quality of primary and secondary schools ...................... 1 2 3 m. Environmental regulations .............................................. 1 2 3 n. State and local tax rate .................................................... 1 2 3 22. Please indicate the activity level of the following institutions within your community. Not at all Very Somewhat active/ active active Not present ▼
▼
▼
a. b. c. d. e. Local government development effort 1. Village, town or city ..................................................... 1 2. County .......................................................................... 1 3. Regional or multi‐county ............................................. 1 Business association (e.g., Chamber of Commerce) ....... 1 Cooperative extension support for business ................... 1 College or university support for local business .............. 1 Local investors.................................................................. 1 2 2 2 2 2 2 2 3 3 3 3 3 3 3 28‐screen. Do you have a good understanding of the decisions that led to the founding of this establishment? 1 Yes 2 No  Skip to Q15 13 28a1. If Yes, Was the establishment originally founded around a new or customized product or service that was created by one of the founders of the business? 1 Yes 2 No  Skip to Q19 3 Don’t know  Skip to Q15 28a. If Yes, Thinking about this new or customized product or service, why was it originally developed? 1 One of the founders needed it for personal use 2 One of the founders needed it for use at a previous job or business 3 One of the founders identified a market opportunity that did not emerge from own use of the product or service. 15. One purpose of this survey is to assess which types of government or government‐
sponsored programs are the most helpful to businesses. Please rate importance/value of the following types of government programs, which have been used over the past 3 years. (from RBUS Q58) Program a. b. c. d. e. f. g. h. Not Used ▼
Direct loans from a government agency (e.g., USDA B&I Direct Loan) . 1 Government insurance or guarantee for loans (e.g., SBA 7(a) Loan Program) ................................... 1 Revolving loan funds run by a nonprofit or government organization ....................................... 1 Tax incentives by state and/or local government, including enterprise zones, urban revitalization areas, Tax Increment Financing districts ............. 1 Government‐assisted industrial parks or business incubators ............. 1 Government‐funded technology assistance programs .......................... 1 Government‐assisted worker‐training programs .................. 1 National Innovation Marketplace ...... 1 14 Not Somewhat Very Important Important Important ▼
▼
▼
Don’t Know ▼ 2 3 4 5 2 3 4 5 2 3 4 5 2 3 4 5 2 3 4 5 2 3 4 5 2 2 3 3 4 4 5 5 17.
Did your company attempt to borrow money for any purpose over the past three years from any of the sources below? No Did not attempt at this source ▼
Commercial bank ....................................... 1 Thrift institution ......................................... 1 Credit union ............................................... 1 Finance company or factor ........................ 1 Leasing company ........................................ 1 Insurance or mortgage company ............... 1 Family or friends ......................................... 1 Federal, state or local government ............. 1 Credit or advance from a customer ............ 1 Angel capital funding .................................. 1 Venture capital funding ............................. 1 Private (traditional VC) ............................... 1 Public/non‐profit/reduced profit VC .......... 1 Personal sources of funds ........................... 1 Personal home equity loan ......................... 1 Other personal loan .................................... 1 Personal credit card .................................... 1 Other ______________________ .............. 1 Yes Yes Yes received received Did not all the some of receive funding funding funding applied for applied for ▼
▼
▼ 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 18. How were the funds you borrowed/wanted to borrow to be used? (Check all that apply.)         Cash flow or operating costs Real estate or structures Replacement of old plant, equipment or vehicles Investment in additional plant, equipment or vehicles Repayment of debt Reserve or cushion Inventory Investment in intangible assets such as research and development, design, branding, or training 15 16. Over the past 3 years, were retained earnings (business profits) used to finance the establishment? 1 Yes 2 No  Skip to Q50 16b. Yes. Compared with borrowed funds in financing the establishment, how important were retained earnings? 1 More important 2 Less important 3 Equally important 50. Which of the following best describes your current position? 1 Mid level manager 2 Senior manager 3 Executive/owner 4 Other, please describe: 51. Which statement best describes your personal expertise about how innovation affects management in this firm? 1 No knowledge 2 Novice 3 Somewhat aware and knowledgeable, but not an expert 4 Expert/thought leader 16