Supplement No. 1 to Part 702 - General Survey Information
15:2.1.3.2.3.0.1.7.3 :
Supplement No. 1 to Part 702 - General Survey Information
This supplement provides general information about surveys and
the content of the typical survey. The content of this supplement
is purely an example of a typical survey, and in no way limits the
content that may appear in a specific Bureau of Industry and
Security (BIS)-issued survey. Procedures and content vary from
survey to survey, and as such, there is no set template to follow.
Nonetheless, BIS is offering this information as a basic guide to
some elements of a survey.
Survey Structure
Most surveys include the following sections: Cover Page; Table
of Contents; General Instructions; Glossary of Terms;
Organizational Information, and sector-specific sections.
- The cover page typically includes the title of the survey, its
scope, an explanation of the legal requirement to comply, the
burden estimate for compliance with the survey, the Office of
Management and Budget (OMB) control number, and the survey date of
expiration.
- The General Instructions section normally includes process
steps necessary for a person's survey submittal. These include but
are not limited to instructions for survey completion, survey
support staff point-of-contact information, the name and address of
the presiding BIS official, and instructions for both survey
certification and submittal.
- The Glossary of Terms section explains terms contained in the
survey. Terms contained in the survey may be unique to the subject
matter of the industry assessment, and therefore may change in
meaning from survey to survey. Therefore, it is important to follow
the specific instructions and defined terms contained in the
specific survey you receive, regardless of any previous survey you
might have completed.
- The Organization Information section requests information
related to the person in receipt of the survey, including address
information, the source level of response (e.g., facility,
business unit, division, corporate consolidated, etc.), point of
contact details, and other pertinent contact information.
The survey is generally organized in a question and answer
format and is presented on an electronic survey system. Each survey
is specially tailored to collect the specific information
requested. Therefore, specific detailed information is what should
be submitted in response to a survey requesting such
information.
- For example, if we ask for a listing of your customers that
order widget A, your response should not be a listing of your
entire customer base. Only the information pertaining to customers'
ordering widget A is responsive to that kind of question.
Also note that your reply to a survey request is compulsory,
unless you meet the criteria for exemption set forth in the body of
the regulation. Therefore, any non-disclosure agreements or similar
agreements you may have with your customers or clients are not
applicable to a survey's request for information. Compliance with
the survey is required by the DPA. Accordingly, compliance with
that statutory requirement is paramount to any private agreement
you have with your customers or other parties.
In addition to the aforementioned sections, each survey contains
sections tailored to the specific scope of the study, including but
not limited to Facility Locations, Products and Services,
Inventories, Suppliers and Customers, Challenges and Organizational
Outlook, Employment, Operations, Financial Statements, Sales,
Research and Development, and Capital Expenditures.
Examples of survey terms.
Certification: A section of the survey in which a person
(an authorizing official) certifies that the information supplied
in response to the survey is complete and correct, to the best of
the person's knowledge.
Facility: A building or the minimum complex of buildings
or parts of buildings in which a person operates to serve a
particular function, producing revenue and incurring costs for the
person. A facility may produce an item of tangible or intangible
property or may perform a service. It may encompass a floor or
group of floors within a building, a single building, or a group of
buildings or structures. Often, a facility is a group of related
locations at which employees work, together constituting a
profit-and-loss center for the person, and it may be identified by
a unique Dun and Bradstreet number.
Sole source: An organization that is the only source for
the supply of parts, components, materials, or services. No
alternative U.S. or non-U.S. based supplier exists other than the
current supplier.
Survey template: The data collection instrument supplied
by BIS to persons by which survey information is recorded and
submitted to BIS. The survey is generally organized in a question
and answer format and is presented on an electronic survey
system.
Supplier: An entity from which your organization obtains
inputs. A supplier may be another firm with which you have a
contractual relationship, or it may be another facility owned by
the same parent organization. The inputs may be materials, products
or services.