ABS Questionnaire ABS Questionnaire

2023 ABS Content Draft
A. Company Information
B. Owner Characteristics
C. Research Activities at Nonprofit Organizations
D. Research and Development for Microbusinesses
E. Goods, Services, and Business Processes and Climate Response
F. Financing
G. Technology and Intellectual Property
H. Sustainability and Climate Impact
I. Contact Information

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 U.S. 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 the ceased-operations date is before January 2022, skip to SECTION __:
CONTACT INFORMATION on page XX.
If the ceased-operations date is after January 1, 2022, you are still required to complete this survey
covering any business activity for 2022, even though this business is not currently operating.

A.3 BUSINESS OWNERSHIP – FOREIGN-OWNED ENTITY

In 2022, was this business a majority-owned subsidiary of a foreign company?
 Yes
 No

1

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 2022, 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 2022, was this business owned by a government or tribal entity?
 Yes
 No

A.6 BUSINESS – 10% OR MORE OWNERSHIP

In 2022, did at least one person own 10% or more of this business? Do not count parent companies,
estates, trusts or other entities.
 Yes
 No – Select “No” ONLY if no person owned 10% or more of this business.

A.7 NUMBER OF OWNERS

In 2022, how many people owned this business?
• Do not combine two or more owners to create one owner.
• Count spouses and partners as separate owners.
• Count 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 EMPLOYEES/OWNERS

For the pay period including March 12, 2022, 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.
2

Count each person only once. If none, report zero.
a. Number of owners who received a W-2 issued by
this business for salary or wages
b. Number of employees who received a W-2 issued
by this business for salary or wages
c. Total

Number of People
___________________________
___________________________
___________________________

A.9 NUMBER OF DOMESTIC WORKERS WHO DID NOT RECEIVE A W-2

Not including employees or employees/owners included in the previous question, how many other
people worked for this business in 2022, 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 (e.g.,
contractors, consultants, temporary workers who
receive a 1099 from this business or payment from
another business)
b. Unpaid individuals who worked for this business
(e.g., friends, volunteers, family members)

Number of People

___________________________
___________________________

A.10 TOTAL WORLDWIDE AND DOMESTIC SALES AND OPERATING REVENUES

In 2022, 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.
2022 sales, revenues, and grants

$Bil. | Mil. | Thou.
$___________________________

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.

3

A.11 DOMESTIC SALES AND REVENUES

How much of the ’A.10 Total Worldwide and Domestic Sales and Operating Revenues’ in 2022 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.
Domestic operating revenues

$Bil. | Mil. | Thou.
$___________________________

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 SOURCES OF DOMESTIC SALES AND REVENUES

Approximately what share of this business’s ‘A.11 Domestic Sales and Revenues’ in 2022 domestic sales
and revenues, including grants, came from the following?
If none, report zero.
a. Selling goods to customers, including other
businesses
b. Selling services to customers, including other
businesses

Percent
_____________%
_____________%

c. Licensing or royalties

_____________%

d. Grants

_____________%

e. Other (specify)

_____________%
Total = 100%

A.13 TYPES OF CUSTOMERS

In 2022, 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
Business did not have any sales

A.14 TYPES OF WORKERS

In 2022, which of the following types of workers were used by this business? Select all that apply.
4

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.15 FRANCHISE OPERATION

In 2022, did all or part of this business operate as a franchise?
 Yes
 No

A.16 WORKING FROM HOME

In 2022, did this business allow any employees to work from home?
 Yes
 No – Skip to ’A.18 Factors Affecting Working From Home’

A.17 PERCENT OF EMPLOYEES WORKING FROM HOME

In 2022, what percent of all employees at this business worked from home at the following frequencies?
If none, report zero. Estimates are acceptable.
a. Never

Percent
_____________%

b. Less than one day per week

_____________%

c. One day per week

_____________%

d. Two to four days per week

_____________%

e. Five or more days per week

_____________%
Total = 100%

A.18 FACTORS AFFECTING WORKING FROM HOME

In 2022, 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)
5

 No limiting factors

A.19 PRIMARY BUSINESS ACTIVITY

Describe this business’s primary business activity during 2022.

6

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 2022.

B.1 PERCENT OWNERSHIP

For the person(s) owning the largest percentage(s) in this business in 2022, list each person’s name and
percentage owned.
• Do not report percentages owned by parent companies, estates, trusts, or other entities.
• If more than 4 people owned this business equally, select any 4 people.
• Round percentages to whole numbers. For example, report 1/3 ownership as 33%.
Name of Owner
Name 1:
Name 2:
Name 3:
Name 4:

Percentage Owned
(Estimates are acceptable.)
Owner 1: ________%
Owner 2: ________%
Owner 3: ________%
Owner 4: ________%

If percent entered for Owner 1 is more than 0%, then answer questions for Owner 1 on pages XX, XX,
and XX.
If percent entered for Owner 2 is more than 0%, then answer questions for Owner 2 on pages XX, XX,
and XX.
If percent entered for Owner 3 is more than 0%, then answer questions for Owner 3 on pages XX, XX,
and XX.
If percent entered for Owner 4 is more than 0%, then answer questions for Owner 4 on pages XX, XX,
and XX.

B.1.1 SEX

What is the sex of Owner X?
 Male
 Female
Note: Please answer BOTH B.1.2 Ethnicity and B.1.3 Race questions.

B.1.2 ETHNICITY

Is Owner X of Hispanic, Latino, or Spanish origin?





No, not of Hispanic, Latino, or Spanish origin
Yes, Mexican, Mexican American, Chicano
Yes, Puerto Rican
Yes, Cuban

7

 Yes, another Hispanic, Latino, or Spanish origin – Print, for example, Salvadoran, Dominican,
Colombian, Guatemalan, Spaniard, Ecuadorian, etc.
_____________________

B.1.3 RACE

What is Owner X’s race? Select all that apply. (For this survey, Hispanic origins are not races.)
 White – Print, for example, German, Irish, English, Italian, Lebanese, Egyptian, etc.
_____________________
 Black or African Am. – Print, for example, African American, Jamaican, Haitian, Nigerian,
Ethiopian, Somali, etc.
_____________________
 American Indian or Alaska 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.
_____________________
 Chinese
 Vietnamese
 Native Hawaiian
 Filipino
 Korean
 Samoan
 Asian Indian
 Japanese
 Chamorro
 Other Asian – Print, for example, Pakistani, Cambodian, Hmong, etc.
_____________________
 Other Pacific Islander – Print, for example, Tongan, Fijian, Marshallese, etc.
_____________________

B.1.4 MILITARY SERVICE

Has Owner X 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 XX

B.1.5 MILITARY SERVICE DISABILITY

Is Owner X disabled as the result of illness or injury incurred or aggravated during military service?
 Yes
 No

B.1.6 OTHER MILITARY SERVICE

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

Served on active duty military service, not including training for the Reserves or National Guard
Served on active duty military service after September 11, 2001
Served on active duty military service in 2022
Served in the National Guard or as a reservist of any branch of the U.S. Armed Forces in 2022
8

 None of the above

B.1.7 INITIAL ACQUISITION YEAR

In what year did Owner X initially acquire ownership of this business?
Year
____
 Don’t know

B.1.8 PRIMARY INCOME SOURCE

In 2022, did this business provide Owner X’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 X started most recently?







This is the owner’s first business
Business is still operating, and Owner X still owns it
Business is no longer in operation
Business was purchased by another company
Business was purchased by another individual
Other (specify)
_____________________

B.1.10 EDUCATION PRIOR TO OWNING THE BUSINESS

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

Less than high school / secondary school graduate – Skip to ’B.1.12 Age’ on page XX
High school / secondary school graduate – Diploma or GED – Skip to ’B.1.12 Age’ on page XX
Technical, trade, or vocational school – Skip to ’B.1.12 Age’ on page XX
Some college, but no degree – Skip to’B.1.12 Age’ on page XX
Associate Degree (for example, AA, AS) – Skip to ’B.1.12 Age’ on page XX
Bachelor’s Degree (for example, BA, BS)
Master’s Degree (for example, MA, MEng, MEd, MSW, MBA)
Doctorate Degree (for example, PhD, EdD)
Professional Degree, beyond a Bachelor’s Degree (for example, MD, DDS, DVM, LLB, JD)

B.1.11 FIELD OF HIGHEST DEGREE PRIOR TO OWNING THE BUSINESS

Prior to establishing, purchasing, or acquiring this business, what was the field of the highest degree
completed for Owner X? Select all that apply.







Biological/ agricultural sciences and natural resources
Chemistry, except biochemistry
Computer sciences and mathematics
Engineering
Geosciences, atmospheric and ocean sciences
Health sciences
9













Physics and astronomy
Psychology and social sciences
Science and mathematics teacher education
Other science and engineering related fields, not listed above (specify)
_____________________
Arts and humanities fields
Business management and administration fields
Education, except science and mathematics teacher education
Law and legal studies
Public administration and social service and related fields
Sales and marketing fields
Other non-science and non-engineering related fields, not listed above (specify)
_____________________

B.1.12 AGE

What was the age of Owner X as of December 31, 2022?







Under 25
25 - 34
35 - 44
45 - 54
55 - 64
65 or over

B.1.13 PLACE OF BIRTH

Was Owner X born in the United States?
 Yes
 No

B.1.14 U.S. CITIZENSHIP

Is Owner X a citizen of the United States?
 Yes
 No

B.1.15 OWNER DISABILITY

Does Owner X have a physical or mental impairment that substantially limits one or more of his/her
major life activities? For this survey, major life activities can include both those in everyday and
professional life.
 Yes
 No
 Don’t know

B.1.16 REASONS FOR OWNING THE BUSINESS

How important to Owner X is each of the following reasons for owning this business? Select one for each
row.
Wanted to be my own boss

Very Important


Somewhat Important


Not Important


10

Flexible hours







Balance work and family







Opportunity for greater income







Best avenue for my ideas /
goods / services







Unable to find employment







Working for someone else didn’t
appeal to me







Always wanted to start my own
business







An entrepreneurial friend or
family member was a role model







Wanted to carry on the family
business







Wanted to help and/or become
more involved in my community
Other (specify)













11

B.5 ONE FAMILY MAJORITY OWNERSHIP

In 2022, 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 2022, did spouses / unmarried partners jointly own this business?
 Yes
 No – See instructions at the bottom of this page

B.7 EQUAL OPERATION

In 2022, 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 Employees/Owners,’ skip to SECTION
D: RESEARCH AND DEVELOPMENT FOR MICROBUSINESSES on page XX.
All others skip to ‘SECTION E: GOODS, SERVICES, AND BUSINESS PROCESSES’ on page XX.

12

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 United States are eligible for this section. The reporting period for
this section is your organization’s fiscal year ending in 2022. Estimates are acceptable. Report all items
to the best of your ability.

C.1 ORGANIZATION AFFILIATION

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
___________________
 No

C.2 TOTAL EXPENSES

What was the consolidated total amount of your organization’s expenses for 2022 as (would be)
reported on your IRS Form 990s, line 18, or IRS Form 990-PFs, line 26 total expenses and disbursements
for column (a) revenue and expenses per books?
Round to the nearest one thousand dollars. If none,
report zero.

$Bil. | Mil. | Thou.
$____________________________

C.3 NUMBER OF EMPLOYEES

For the pay period including March 12, 2022, how many people worked for your organization?
Include:
• Full- and part-time employees
Exclude:
•

Temporary employees and consultants

C.4 FISCAL YEAR END

Number
_______________

In what month did your organization’s Fiscal Year (FY) 2022 end?
MM | YYYY
___ 2022

13

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:
Increase the stock of knowledge, including knowledge of humankind, culture, and society OR
Devise new applications of available knowledge, including materials, products, devices, processes,
systems, or services
Research activities must be...
•
•

•
•
•
•
•

Novel: projects that advance current knowledge or create new knowledge
Creative: projects focused on original concepts and hypotheses
Uncertain: project outcomes are unable to be completely determined at the outset
Systematic: projects are planned and budgeted
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
• Laboratory or animal studies
• Internal program monitoring or evaluation
• Clinical trials
• Public service grants or outreach programs
• Prototype development
• Education or training programs
• Outcomes research
• Quality control testing
• Development/measurement of new
• Market research
methods to deliver/measure social service
outcomes
• Policy research
• Management studies/efficiency surveys
• Humanities research
• Literary, artistic, or historical projects, such
as films, music, or books and other
publications
• Research traineeships
• Feasibility studies, unless included as part
of an overall research project
• Other experimental studies

C.5 RESEARCH PERFORMED BY YOUR ORGANIZATION
Did your organization perform research in FY 2022?
Include:
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:

•

•

Research performed outside your organization by subcontractors or subawardees. (Report in ‘C.6
Research Performed by Others’ on page XX.)
14

 Yes
 No
If you would like to add additional detail or clarification to your response, please comment in the
space provided below.
__________________________________

C.6 RESEARCH PERFORMED BY OTHERS

Did your organization fund research performed by others outside your organization in FY 2022?
Include:
All grants, contracts, subcontracts, and subawards awarded by your organization to external
recipients to perform research
Exclude:
•

•
•

Research performed by your organization’s employees
Research performed by contract employees (Contract employees are individuals contracted to work
on projects otherwise fully performed by your organization’s staff.)

 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 ‘”Contact Information Section’ on page XX.
If you reported “No” for ‘C.5 Research Performed by Your Organization’ AND “Yes” for ‘C.6 Research
Performed by Others,’ skip to ‘C.17 Funding for Research Performed by Other Organizations’ on page
XX.
All others continue to ‘C.7 Funding for Research Performed by This Organization.’

C.7 FUNDING FOR RESEARCH PERFORMED BY THIS ORGANIZATION

In FY 2022, how much was spent on research performed within your organization? Round to the nearest
one thousand dollars. If none, report zero.
Include:
•
•

Direct costs, such as salaries and wages, travel, equipment, supplies, consulting, and other
expenditures directly supporting your organization’s research projects
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
15

Exclude:
Capital expenditures (i.e., costs for construction or renovation of facilities). Report Capital
expenditures in ‘C.18 -C.20’ on pages XX.
• Payments/funds in excess of the actual cost of the research work performed (e.g., fees)
• Payments made by your organization to subcontractors or subawardees performing research
outside your organization
$Bil. | Mil. | Thou.
Total
$____________________________
•

If you would like to add additional detail or clarification to your response, please comment in the
space provided below.
__________________________________
If ‘C.7 Funding for Research Performed by This Organization’ are less than $50,000, then skip to
‘Contact Information Section’ on page XX.

C.8 RESEARCH FUNDING SOURCES

How much of the ‘C.7 Funding for Research Performed by This Organization’ in 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. Internal funds: Your organization’s own funds
from your endowment, general donations, or
other unrestricted sources. Report only domestic
sources for this item.
b. Federal government: Any agency of the
United States government. Include funds your
organization received as a subcontractor or
subawardee for research activities on federal
projects. Report only domestic sources for this
item.
c. State and local government: Any state,
county, municipality, or other local government
entity in the United States. Report only domestic
sources for this item.
d. Individual donors: Gifts designated by the
donors for research
e. Businesses: Domestic and foreign for-profit
organizations. Report funds from a company’s
nonprofit foundation in Row g
f. Universities: Domestic and foreign degreegranting institutions

(1) Domestic Sources
$Bil. | Mil. | Thou.
$______________

(2) Foreign Sources
$Bil. | Mil. | Thou.
Gray out

(3) Total
$Bil. | Mil. | Thou.
$______________

$______________

Gray out

$______________

$______________

Gray out

$______________

$______________

$______________

$______________

$______________

$______________

$______________

$______________

$______________

$______________

16

g. Foundations and all other nonprofits:
Domestic and foreign public charities and other
nonprofit organizations not reported in Row f
h. Other, specify: All other sources not reported
above
____________________________
Total

$______________

$______________

$______________

$______________

$______________

$______________

$______________

$______________

$______________

C.9 RESEARCH PERFORMANCE BY FIELD

How much of the ‘C.7 Funding for Research Performed by This Organization’ in 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
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
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
d. Geosciences, Atmospheric Sciences, and Ocean Sciences:
e.g., Atmospheric sciences and meteorology, Geological and
earth sciences, or Ocean and marine sciences
e. Mathematics, Statistics, and Computer and Information
Sciences: e.g., Computer sciences, Information sciences,
Information technology, Mathematics, or Statistics
f. Physical Sciences: e.g., Astronomy and astrophysics,
Chemistry, Materials science, or Physics
g. Psychology and Social Sciences: e.g., Anthropology;
Archaeology; City, urban, community, and regional planning;
Criminology; Economics; Geography; Linguistics; Political

$Bil. | Mil. | Thou.

$____________________________

$____________________________

$____________________________

$____________________________

$____________________________
$____________________________
$____________________________
17

science and government; Psychology; Public policy analysis; or
Sociology, demography, and population studies
h. Humanities: e.g., English language and literature, letters;
Foreign languages and literature; History; or Philosophy and
religious studies
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

$____________________________

$____________________________
$____________________________

C.10 CLINICAL TRIAL RESEARCH

What percentage of the amount reported in ‘C.7 Funding for Research Performed by This Organization’
in funding for research performed by this organization was for medical clinical trials phases I-III? Report
percentages in whole numbers. If none, report zero.
Percent
________%

C.11 RESEARCH PERFORMANCE BY TYPE OF RESEARCH

How much of the ‘C.7 Funding for Research Performed by This Organization’ in funding for research
performed by this organization was for basic research, applied research, and experimental
development? Round to the nearest one thousand dollars. If none, report zero.

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

(1) Federal
$Bil. | Mil. |
Thou.

(2) Nonfederal
$Bil. | Mil. | Thou.

(3) Total
$Bil. | Mil. |
Thou.

$____________

$____________

$____________

$____________

$____________

$____________

$____________

$____________

$____________
18

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.’

$____________

$____________

$____________

If you would like to add additional detail or clarification to your response, please comment in the
space provided below.
__________________________________
Basic Research
A researcher is studying the
properties of human blood to
determine what affects
coagulation.
A researcher is studying the
properties of molecules under
various 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.

Examples
Applied Research
A researcher is conducting
research on how a new chicken
pox vaccine affects blood
coagulation.
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 studying the
implementation of a specific
math curriculum to determine
what teachers need to know to
implement the curriculum
successfully.

Experimental development
A researcher is conducting
clinical trials to test a newly
developed chicken pox vaccine
for young children.
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 developing and
testing software and support
tools, based on field work, to
improve mathematics cognition
for student special education.

C.12 RESEARCH PERFORMANCE BY TYPE OF COST

How much of the ‘C.7 Funding for Research Performed by This Organization’ spent on research
performed within your organization was for each of the following types of costs?
a. Salaries, wages, and fringe benefits of your
organization’s employees
• Include costs for all compensation and benefits of
employees that are included in the total reported on
C.7.

$Bil. | Mil. | Thou.

_______________________
19

•

Include payroll taxes such as Social Security and
Medicare.

b. Costs associated with contract employees working
on your organization’s research
c. Depreciation and amortization on property, plant,
equipment, and intangible assets
•

Include depreciation on tangible research assets,
such as buildings or equipment, as well as the
amortization of intangible assets such as patents.

d. Expensed machinery and equipment
•

_______________________

Include all equipment purchases for research that
are beneath your organization’s capitalization
threshold.

e. Materials and supplies
•

_______________________

_______________________

Include costs for materials and supplies consumed
for research

f. All other costs
• Include administrative and overhead costs clearly
associated with your organization’s research.
Total

_______________________
_______________________
_______________________

C.13 RESEARCH EMPLOYEES FOR NONPROFIT ORGANIZATIONS

Of the ‘C.3 Number of Employees’ employees reported, how many worked on research activities in FY
2022?
Include:
• Only your organization’s paid employees.
Exclude:
•

Contract employees. (Report in ’C.15 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: Staff who work under the
supervision of researchers to conduct research activities _______________________

20

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

_______________________

Total

_______________________

C.14 RESEARCH FULL-TIME EQUIVALENTS FOR NONPROFIT ORGANIZATIONS
How many full-time equivalents (FTEs) worked on research activities in FY 2022?

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.
a. Researchers (including scientists, engineers, and
their managers): Professionals engaged in the
conception or creation of new knowledge
b. Research technicians: 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

Number of FTEs
____.____
____.____
____.____
____.____

C.15 RESEARCH CONTRACT EMPLOYEES FOR NONPROFIT ORGANIZATIONS

a. Did any contract employees work on your research activities in FY 2022?
Contract employees are individuals contracted to work on projects otherwise fully performed by
your organization staff.
 Yes
 No
b. If "Yes," how many contract employees worked on your research activities during FY 2022?
___________________

C.16 RESEARCH VOLUNTEERS FOR NONPROFIT ORGANIZATIONS

a. Did any volunteers work on your research activities in FY 2022?
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

21

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 2022?
___________________
If you reported “No” for ‘C.6 Research Performed by Others,’ skip to ‘C.18 Total Capital Expenditures
for Your Organization’ on page XX.

C.17 FUNDING FOR RESEARCH PERFORMED BY OTHER ORGANIZATIONS

In FY 2022, how much funding did your organization provide to others to perform research activities?
Include:
All grants, contracts, subcontracts, and subawards awarded by your organization to external
recipients to perform research.
• For multi-year awards, include only the amount paid to the external recipients in FY 2022.
Exclude:
•

•

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

$Bil. | Mil. | Thou.
$____________________________

$____________________________
$____________________________

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

C.18 TOTAL CAPITAL EXPENDITURES FOR YOUR ORGANIZATION

What was the amount of your organization’s capital expenditures in 2022?
Total

$Bil. | Mil. | Thou.
$____________________________

C.19 TOTAL CAPITAL EXPENDITURES FOR RESEARCH OPERATIONS

How much of the ‘C.18 TOTAL CAPITAL EXPENDITURES FOR YOUR ORGANIZATION’ in capital
expenditures was for research operations?
22

•
•

Organizations should allocate capital expenditures that benefit both research and other
operations on a reasonable basis.
None of the costs reported here should be included in ‘C.7 Funding for Research Performed
by This Organization’.
$Bil. | Mil. | Thou.
$____________________________

Total

C.20 CAPITAL EXPENDITURES FOR RESEARCH OPERATIONS BY TYPE OF COST

How much of the ‘C.19 TOTAL CAPITAL EXPENDITURES FOR RESEARCH OPERATIONS’ in capital
expenditures for research operations was for the following?
a. Land acquisition
b. Buildings and land improvement
c. Equipment
d. Capitalized software
e. All other capital expenditures for research
operations
Total

$Bil. | Mil. | Thou.
$____________________________
$____________________________
$____________________________
$____________________________
$____________________________
$____________________________

23

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:
•
•
•
•
•

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

R&D activity in software INCLUDES:
•
•

Software development or improvement activities that expand scientific or technological knowledge
Construction of new theories and algorithms in the field of computer science

R&D activity in software EXCLUDES:
•

•
•
•

Software development that does not depend on a scientific or technological advance, such as
• supporting or adapting existing systems
• adding functionality to existing application programs, and
• routine debugging of existing systems and software
Creation of new software based on known methods and applications
Conversion or translation of existing software and software languages
Adaptation of a product to a specific client, unless knowledge that significantly improved the base
program was added in that process

Reporting unit
The reporting unit is this business, including all subsidiaries and divisions. Include subsidiary companies
where there is more than 50 percent ownership.
Reporting period
Report data for the calendar year 2022, if possible, or for this business’s fiscal year ending between April
2022 and March 2023.
Estimates are acceptable.
Report all items to the best of your ability.

24

D.1 R&D ACTIVITIES

During 2022, did this business do any of the following R&D activities? Include activities that:
•
•
•

This business performed
Others paid this business to do
This business paid others to do

Select one for each row.
Yes

No





















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









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

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 ‘D. 17 FEDERAL TAX CREDIT FOR RESEARCH ACTIVITIES’ on page XX.

D.2 R&D COSTS

What was the total cost (both direct and indirect) in 2022 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.

25

Include:
Salaries, wages, and fringe benefits
Plant, machinery, and equipment, except that which was capitalized because it had an
alternative future use
• Materials, supplies, software
• Rent and utilities
• Consultants and contractors
• Depreciation expense from plant, machinery, and equipment that was capitalized because it had
an alternative future use
Exclude:
•
•

Costs for routine product testing, quality control, and technical services unless they are an
integral part of an R&D project
• Market research
• Efficiency surveys or management studies
• Literary, artistic, or historical projects, such as films, music, or books and other publications
• Prospecting or exploration for natural resources
• Capital expenditures (i.e., costs for construction or renovation of facilities). Report capital
expenditures in ‘D.10 TOTAL CAPITAL EXPENDITURES FOR YOUR ORGANIZATION,’ ‘D.11 TOTAL
CAPITAL EXPENDITURES FOR R&D OPERATIONS,’ and ‘D.12 CAPITAL EXPENDITURES FOR R&D
OPERATIONS BY TYPE OF COST’ on page XX.
• Payments/funds in excess of the actual cost of the research work performed (e.g., profits or
fees)
$Mil. | Thou.
Total costs for ‘R&D Activities’ reported in the ’D.1
R&D Activities’ question for 2022
$________________________
•

If ’D.2 R&D Costs’ are less than $50,000, skip to ‘D. 17 FEDERAL TAX CREDIT FOR RESEARCH ACTIVITIES’
on page XX.

D.3 FOREIGN R&D COSTS
During 2022, 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.

$________________________

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.
This business’s domestic R&D cost in 2022

$Mil. | Thou.
$________________________
26

If ‘D.4 Domestic R&D Costs’ equals $0, skip to ‘D. 17 FEDERAL TAX CREDIT FOR RESEARCH ACTIVITIES’
on page XX.

D.5 TYPES OF R&D COSTS

During 2022, 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
b. Expensed machinery and equipment (not
capitalized)

$________________________

c. Materials and supplies

$________________________

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

$________________________

e. Depreciation on R&D property and equipment

$________________________

f. All other costs (e.g., consultants, contractors,
travel, rent, general administrative costs, clearly
associated with your company’s R&D)

$________________________

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.
This business’s domestic R&D performance costs in
2022

$Mil. | Thou. | Dol.
$________________________

If ‘D.6 Domestic R&D Performance Costs’ equals $0, skip to ‘D. 17 FEDERAL TAX CREDIT FOR RESEARCH
ACTIVITIES’ on page XX.

D.7 FUNDING SOURCES FOR R&D ACTIVITIES

During 2022, 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.
a. This U.S. business

$Mil. | Thou. | Dol.
$________________________

27

b. Your foreign owner (if this business is foreignowned)

$________________________

c. Other businesses located within the United States

$________________________

d. Other businesses located outside the United States $________________________
e. Universities or colleges located within the United
States.

$________________________

f. Nonprofit organizations located within the United
States

$________________________

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

$________________________

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)

$________________________

i. All other organizations outside the United States

$________________________

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

$________________________

D.8 R&D CATEGORIES

During 2022, 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
b. Applied research – activities aimed at solving a
specific problem or meeting a specific commercial
objective

$Mil. | Thou. | Dol.

$________________________

$________________________

28

c. Development – systematic work, drawing on
research and practical experience and resulting in
additional knowledge, which is directed to producing
new products or processes or to improving existing
products or processes
Total = ’D.6 Domestic R&D Performance Costs’

$________________________
$________________________

If ‘D.7.h. Domestic R&D Performance Costs funded by the U.S. Federal Government’ equals $0 (or
missing), skip to ‘D.10 Total Capital Expenditures for This Business’ on page XX.
All others continue to ‘D.9 R&D Categories Funded by the U.S. Federal Government’

D.9 R&D CATEGORIES FUNDED BY THE U.S. FEDERAL GOVERNMENT

During 2022, of the ‘D.7.h. Domestic R&D Performance Costs funded by the U.S. Federal Government’
in domestic R&D performance cost funded by the U.S. federal government, how much was for the
following 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
b. Applied research – activities aimed at solving a
specific problem or meeting a specific commercial
objective
c. Development – systematic work, drawing on
research and practical experience and resulting in
additional knowledge, which is directed to producing
new products or processes or to improving existing
products or processes
Total = ‘D.7.h. Domestic R&D Performance Costs
funded by the U.S. Federal Government’

$Mil. | Thou. | Dol.

$________________________

$________________________

$________________________
$________________________

D.10 TOTAL CAPITAL EXPENDITURES FOR THIS BUSINESS

What was the amount of this business’s capital expenditures in 2022?
Total

$Mil. | Thou. | Dol..
$____________________________

If ‘D.10 Total Capital Expenditures for this Business’ equals $0, skip to ‘D.13 Domestic R&D Employees‘
on page XX.

29

D.11 TOTAL CAPITAL EXPENDITURES FOR R&D OPERATIONS

How much of the ‘D.10 TOTAL CAPITAL EXPENDITURES FOR THIS BUSINESS’ in capital expenditures
was for R&D operations?
•
•

Businesses should allocate capital expenditures that benefit both R&D and other operations
on a reasonable basis.
None of the costs reported here should be included in ‘D.7 Funding Sources for R&D
Activities’.
$Mil. | Thou. | Dol..
$____________________________

Total

If ‘D.11 Total Capital Expenditures for R&D Operations’ equals $0, skip to ‘D.13 Domestic R&D
Employees’ on page XX.

D.12 CAPITAL EXPENDITURES FOR R&D OPERATIONS BY TYPE OF COST

How much of the ‘D.11 TOTAL CAPITAL EXPENDITURES FOR R&D OPERATIONS ‘ in capital expenditures
for R&D operations was for the following?
a. Land acquisition
b. Buildings and land improvement
c. Machinery and equipment
d. Capitalized software
e. Other intellectual property
f. All other capital expenditures for R&D operations
Total

$Mil. | Thou. | Dol..
$____________________________
$____________________________
$____________________________
$____________________________
$____________________________
$____________________________

D.13 DOMESTIC R&D EMPLOYEES

For the pay period including March 12, 2022, how many employees from this business’s domestic
operations were R&D employees and how many were all other employees? Include owners who
received 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 XX. Reponses below should not exceed the number of
employees reported in A.8.
Employees

30

a. How many of those employees and
employees/owners 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.13 Domestic R&D Employees,’ skip to ‘D.17 Federal Tax
Credit for Research Activities’.

D.14 DOMESTIC R&D EMPLOYEES’ OCCUPATIONS
Of the ‘D.13.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

Employees
___________
___________

c. R&D support staff (clerical and other)

___________

d. Total R&D employees (Total from ’D.13.a.
Domestic R&D Employees’)
e. Of the researchers reported in line D.14.a., how
many had PhDs?

___________
___________

D.15 DOMESTIC R&D EMPLOYEES FULL-TIME EQUIVALENT

What was the full-time equivalent of the ‘D.14.a. Domestic R&D Employees,’ R&D employees? For fulltime 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.
Total FTEs

Number of FTEs
____.____

D.16 DOMESTIC RESEARCHERS FULL-TIME EQUIVALENT

What was the full-time equivalent of the ‘D.14.a. Domestic R&D Employee Occupations’ researchers?
Report partial FTEs in decimals. For example, report 1/2 FTE as .5.
Number of FTEs
31

Total FTEs

____.____

D.17 FEDERAL TAX CREDIT FOR RESEARCH ACTIVITIES

Did this business file for the federal tax credit for increasing research activities (IRS Form 6765) in 2022?
 Yes
 No

32

D.18 STATE TAX CREDIT FOR RESEARCH ACTIVITIES

a. Did this business file for a state tax credit for increasing research activities in 2022?
 Yes
 No
b. If yes, what state(s)? Select all that apply.










































Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island













South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming

33

Section E: Goods, Services, and Business Processes

The following section collects information on this business’s introduction of new or improved goods,
services, or business processes that differed significantly from the business’s previous goods, services, or
business processes.
The goods, services, or business processes must have characteristics or intended uses that are new or
improved, and which differ significantly from what was previously used or sold by this business.
However, they can fail or take time to prove themselves.
The goods, services, or business processes need only be new or improved for this business. They could
have been originally developed or used by other businesses or organizations.
This section also collects information on this business’s response to or anticipation of climate related
demands.
Unless otherwise indicated in the question, this section asks about the three years 2020 to 2022 time
period, instead of one year as in other sections of this survey.
E.1 NEW OR IMPROVED GOODS
During the three years 2020 to 2022, 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 the following: 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, this business introduced a new or improved good that was new to the market, which was not
previously offered by any of your competitors (it may have already been available in other markets)
 Yes, this business introduced a new or improved good that was new only to this business, which
was identical or very similar to products already offered by your competitors
 No
E.2 NEW OR IMPROVED SERVICES
During the three years 2020 to 2022, 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.)
34

 Yes, this business introduced a new or improved service that was new to the market, which was not
previously offered by any of your competitors (it may have already been available in other markets)
 Yes, this business introduced a new or improved service that was new only to this business, which
was identical or very similar to services already offered by your competitors
 No
If "No" is selected for ‘E.1 New or Improved Goods’ and "No" is selected for ‘E.2 New or Improved
Services,’ skip to ‘E.9 New or Improved Business Processes’.
E.3 INNOVATION AND ENVIRONMENTAL BENEFITS DURING USE OF GOODS OR SERVICES
During the three years 2020 to 2022, did this business introduce innovations with any of the following
environmental benefits obtained during the consumption or use of a good or service by the end user? If
yes, was the extent of that contribution a great deal or not?

a. Reduced energy use or CO2 ‘footprint’
b. Reduced air, water, soil or noise pollution
c. Facilitated recycling of product after use
d. Extended product life through longer-lasting, more durable,
or easier-to-repair products

Yes, a great
extent





Yes, but not a
great extent





No





E.4 NEW OR IMPROVED GOODS OR SERVICES AS PERCENT OF TOTAL SALES
In 2022, what percentage of this business’s ‘A.11 Domestic Sales and Revenues’ in domestic sales and
revenues were attributable to or originated from domestic operations in the following categories?
Details must sum to 100% of total dollar amount reported in ‘A.11 Domestic Sales and Revenues’.
Estimates are acceptable.
a. New or improved goods or services introduced during 2020 to 2022 that were
new to your market.
b. New or improved goods or services introduced during 2020 to 2022 that were
new only to this business.
c. Goods or services that were unchanged or only marginally modified during
2020 to 2022 (include the resale of new goods or services purchased from
other companies).
Total sales in 2022 =

__________%
__________%
__________%
100%

E.5 EXPECTATIONS
Did the new or improved goods or services introduced during 2020 to 2022 meet this business’s
expectations, such as market share, sales or profits as of December 2022?





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

35

E.6 SOURCES OF NEW OR IMPROVED GOODS OR SERVICES
Who developed these new or improved goods or services? Select all that apply.
 This business by itself
 This business together with other businesses, universities, research institutes, nonprofits, or other
organizations
 This business by adapting or modifying goods or services originally developed by other businesses or
organizations
 Other businesses or organizations
E.7 MOST IMPORTANT INNOVATION
Thinking about the most important good or service this business introduced during 2020 to 2022, was
that good or service new to the market or new only to this business?
 New to the market - This business introduced a new or improved good or service that was not
previously offered by any of your competitors (it may have already been available in other markets)
 New only to this business - This business introduced a new or improved good or service that was
identical or very similar to goods or services already offered by your competitors
If you reported $0 for ‘A.11 – Domestic Sales and Revenues’, skip to ‘E.9 – New or Improved Business
Processes’.
E.8 MOST IMPORTANT INNOVATION AND SALES
In 2022, what percentage of this business’s ‘A.11 Domestic Sales and Revenues’ in domestic sales and
revenues were attributed to this business’s most important innovation? Estimates are acceptable.
___________________%
E.9 NEW OR IMPROVED BUSINESS PROCESSES
During the three years 2020 to 2022, did this business introduce any of the following types of new or
improved business processes that differed significantly (e.g. greater efficacy, resource efficiency,
reliability and resilience, affordability, convenience and usability) from your previous business
processes? Select one for each row.
a. Methods for producing goods or providing services (including methods
related to engineering and related technical testing, analysis and certification)
b. Logistics, delivery or distribution methods
c. Marketing methods for promotion, packaging, pricing, product placement or
after sales services
d. Information and communication systems (including hardware, software and
data processing)
e. Administration and management activities (including decision-making,
human resource management, and methods for accounting or other
administrative operations)
f. Product and business process development activities (including
activities to identify, develop, or adapt products or processes, or adopting new
methodologies for developing products and processes)

Yes


No




















36

If “No” is selected for all of ‘E.9 New or Improved Business Processes, items a. – f.’, skip to ‘E.12 Goods,
Services, or Business Process Activities’ on page XX.

E.10 INNOVATION AND ENVIRONMENTAL BENEFITS WITHIN THIS BUSINESS
During the three years 2020 to 2022, did this business introduce innovations with any of the following
environmental benefits obtained within this business? If yes, was the extent of that contribution a great
deal or not?

a. Reduced material or water use per unit of output
b. Reduced energy use or CO2 ‘footprint’ (i.e. reduced total
CO2 emission)
c. Reduced soil, noise, water or air pollution
d. Replaced a share of materials with less polluting or
hazardous substitutes
e. Replaced a share of fossil energy with renewable energy
f. Recycled waste, water, or materials for own use or sale

Yes, a great
extent



Yes, but not a
great extent



No





















E.11 IMPROVED BUSINESS PROCESS DEVELOPERS
Who developed these new or improved business processes? Select all that apply.
 This business by itself
 This business together with other businesses, universities, research institutes, nonprofits, or other
organizations
 This business by adapting or modifying business processes originally developed by other businesses
or organizations
 Other businesses or organizations
E.12 GOODS, SERVICES, OR BUSINESS PROCESS ACTIVITIES
During the three years 2020 to 2022, did this business have any of the following types of innovation
activities?
•

•

•

Include all developmental, financial, and commercial activities that were intended to result in a
new or improved good, service or business process that differed significantly from your previous
goods, services, or business processes.
Similar activities that were not intended to result in a new or improved good, service or business
process should not be reported here. (e.g., employee training intended for general maintenance
of skills are not considered “innovation activities”)
Simple replacement of machinery without enhanced capabilities are not considered “innovation
activities”

Select one for each row.
Yes

No
37

a. Research and development: creative and systematic work undertaken in
order to increase the stock of knowledge and to devise new applications of
available knowledge
b. Engineering and design activities: planning of technical specifications,
testing, evaluation, setup and pre-production for goods, services, processes or
systems; installing equipment, tooling- up, testing, trials and user
demonstrations; and activities to extract knowledge or design information
from existing products or process equipment. Also include activities to develop
a new or modified function, form or appearance for goods, services, or
processes
c. Marketing and brand equity activities: include market research, market
testing, methods for pricing, product placement and product promotion;
product advertising, the promotion of products at trade fairs or exhibitions,
and the development of marketing strategies
d. Intellectual Property (IP) related activities: protection or exploitation of
knowledge, often created through R&D, software development, and
engineering, design and other creative work, including all related
administrative and legal work
e. Employee training: activities that are paid for or subsidized by the firm to
develop knowledge and skills required for the specific trade, occupation or
vocation of a firm’s employees
f. Software development and database activities: in-house development and
purchase of computer software; collection and analysis of data in proprietary
computer databases and data obtained from publicly-available reports or the
Internet; and activities to upgrade or expand the functions of IT systems,
including computer program and databases
g. Acquisition of machinery, equipment and other tangible assets
h. Management related to innovation: Activities to plan, govern and control
internal and external resources































If “No” is selected for all of ‘E.12 Goods, Services, or Business Process Activities, items a. - h.’, skip to
‘E.15 Reasons for No Innovation Activities’ on page XX.
All others continue to ‘E.13 Cooperation on Innovation’.
E.13 COOPERATION ON INNOVATION
During the three years 2020 to 2022, did this business cooperate with other businesses or organizations
on any of the following? (Cooperation occurs when two or more participants agree to take responsibility
for a task or series of tasks and information is shared between the parties to facilitate the agreement.)
Select one for each row.
a. On R&D
b. On other innovation activities (excluding R&D)
c. On any other business activities

Yes




No




38

If “Yes” is selected for ‘E.13 Cooperation on Innovation - item a, b, OR c.’, continue to ‘E.14
Cooperation Partner Locations’.
All others skip to ‘E.16 Results of Innovation Activities’ on page XX.
E.14 COOPERATION PARTNER LOCATIONS
Indicate the type of innovation cooperation partner by location during the three years 2020 to 2022.
Select all that apply.
Type of innovation co-operation partner:
a. Consultants, commercial labs, or private research institutes
outside your business group
b. Suppliers of equipment, materials, components, or software
outside your business group
c. Companies that are your clients or customers outside your
business group
d. Companies that are your competitors outside your business group
e. Other companies outside your business group
f. Companies within your business group
g. Universities or other higher education institutions
h. Government or public research institutes
i. Clients or customers from the public sector: public sector includes
government owned organizations such as local, regional and
national administrations and agencies, schools, hospitals, and
government providers of services such as security, transport,
housing, energy, etc.
j. Nonprofit organizations

United
States


Canada/
Mexico


Rest of
World









































Go to ‘E.16 Results of Innovation Activities’ on page XX.
E.15 REASONS FOR NO INNOVATION ACTIVITIES
Which of the following reasons best describes why this business did not have innovation activities during
the three years 2020 to 2022.
 A lack of resources prevented innovating (e.g. lack of finance, qualified personnel, material)
 Decided not to innovate due to reasons other than lack of resources (e.g. strategic reasons; not the
right time to innovate; other priorities; risks too high; low expected returns)
 Business had no need for innovating
Go to ‘E.19 Government Support’ on page XX.
E.16 RESULTS OF INNOVATION ACTIVITIES
During the three years 2020 to 2022, did this business have any innovation activities that did not result
in a goods, services, or business process innovation because the activities were:
Select one for each row.
Yes

No
39

a. Abandoned or suspended before completion
b. Still ongoing at the end of 2022







E.17 ACTIVITY COSTS
In 2022, how much did this business spend on the innovation activities selected in ‘E.12 Goods, Services
or Business Process Activities’? Note that this question refers only to the year 2022 and not the threeyear period, 2020 – 2022. Estimates are acceptable.
a. Research and development
b. Engineering and design activities
c. Marketing and brand equity activities
d. Intellectual Property (IP) related activities
e. Employee training
f. Software development and database activities
g. Acquisition of machinery, equipment and other tangible assets
h. Management related to innovation
$Mil/Tho/Dol
Total
___________,000
If “Yes” is selected for ‘item a. Research and Development’ from ‘E.12 Goods, Services, or Business
Process Activities’ and Total Number of W-2 Paid Employees or Employee/Owners from ‘A.8 Number of
W-2 Paid Employees or Employee/Owners’ is greater than or equal to 10 and response to ‘E.17 Activity
Costs’ does not equal zero, continue to ‘E.18 - R&D for Activity Costs’.
All others skip to ‘E.19 – Government Support’ on page XX.
E.18 R&D FOR ACTIVITY COSTS
Of the ‘E.15 Activity Costs’ reported, how much was for research and development (creative and
systematic work undertaken in order to increase the stock of knowledge and to devise new applications
of available knowledge) in 2022?
$Mil/Tho/Dol
___________,000
E.19 GOVERNMENT SUPPORT
During the three years 2020 to 2022, did this business use any of the following types of government
programs (federal, state, or local) to aid innovation?
Select one for each row.
a. Government tax incentive or tax credit programs: Include programs
intended to support innovation activities such as research and development or
capital expenditures
b. Government grants and contributions programs: Include programs
intended to support innovation activities such as research and development,
business development or commercialization of intellectual property

Yes


No






40

c. Government training and hiring programs: Include programs intended to
support innovation activities such as hiring and training of researchers, interns
or other personnel
d. Government procurement: Include programs intended to support
innovation such as the procurement of new or improved goods, services or
businesses processes
e. Other government programs: Include programs and activities to support
innovation not included elsewhere such as access to facilities, export
incentives, technical assistance, market information or loans













E.20 BARRIERS OF INNOVATION
During the three years 2020 to 2022, how, if at all, were each of the following factors in discouraging
this business to conduct innovation activities:
Select one from each row.

a. Lack of internal finance for innovation
b. Lack of credit or private equity
c. Difficulties in obtaining public grants or
subsidies
d. Costs too high
e. Lack of skilled employees within this business
f. Lack of collaboration partners
g. Lack of access to external knowledge
h. Uncertain market demand for your ideas
i. Too much competition in your market
j. Different priorities within this business
k. Government regulations

Very
Somewhat
A little
Not at all
discouraging discouraging discouraging discouraging
















































E.21 BUSINESS STRATEGIES
During the three years 2020 to 2022, to what extent did the business focus on the following business
strategies?
Select one for each row.

a. Improve existing goods or services
b. Introduce new goods or services
c. Reduce prices for goods or services
d. Increase the quality of goods or services
e. Develop a broad range of products
f. Develop one or a small number of key products
g. Satisfy established customers
h. Reach out to new customers

A great
extent









To some
extent









To a small
extent









Not at
all








41

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

















Section F: Financing

The following section collects information on the financing practices of the business, including the
business’s credit-seeking activity for the 12 months ending December 31, 2022.
F.1 ADDITIONAL FINANCING NEEDED
For the 12 months ending December 31, 2022, did this business need additional financing?
 Yes, business needed additional financing and the owner(s) chose not to apply
 Yes, business needed additional financing and the owner(s) did apply – Skip to ‘F.3 New Credit
Sources’
 No, business did not need additional financing – Skip to ‘F.6 Profitability’
F.2 REASON FOR AVOIDANCE OF ADDITIONAL FINANCING NEEDED
Why did this business choose not to apply for additional financing? Select all that apply.









Did not think business would be approved by lender
Did not want to accrue debt
Decided the financing costs would be too high
Preferred to reinvest the business profits instead
Felt the loan search/application process would be too time consuming
Decided to wait until funding conditions improved
Decided to wait until business hit milestones to be in stronger position to raise funds
None of the above

Go to ‘F.6 Profitability’ on page xx.
F.3 NEW CREDIT SOURCES
For the 12 months ending December 31, 2022, 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 (non-profit 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
payments 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)

42

 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: _______________________________

F.4 NEW CREDIT RECEIVED
For the 12 months ending December 31, 2022, how much of the total amount of credit requested did
this business receive?
 None
 Some
 All
 Don’t know
F.5 BUSINESS FINANCING USES
For the 12 months ending December 31, 2022, for what purpose did this business seek financing? Select
all that apply.
 Meet operating expenses
 Expand business, pursue new opportunity, or acquire business assets
 Replace capital assets or make repairs
 Refinance or pay down debt
 Other, specify: _______________________________
F.6 PROFITABILITY
For the 12 months ending December 31, 2022, did this business have profits, losses, or break even?
 Profits
 Losses
 Break even
F.7 NEGATIVE IMPACT ON PROFITABILITY
For the 12 months ending December 31, 2022, which of the following negatively impacted profitability
of this business? Only include responses that impacted profitability. Select all that apply.
 Access to financial capital
 Cost of financial capital
 Finding qualified labor
 Taxes
 Government regulations (for example, U.S. Federal, state and/or local)
 Slow business or lost sales
 Customers or clients not making payments or paying late
 The unpredictability of business conditions
 Changes or updates in technology
 None of the above
When answering the following questions, please factor in the coronavirus pandemic and how it affected
this business.

43

F.8 EFFECT OF CORONAVIRUS PANDEMIC ON BUSINESS SALES
How would you assess the overall effect of the coronavirus pandemic on this business’s sales in 2022?
 Increased significantly
 Increased somewhat
 Had little to no change
 Decreased somewhat
 Decreased significantly
F.9 FINANCIAL HEALTH OF THE BUSINESS
In 2022, how concerned are you about the financial health of this business?
 Not that concerned
 Somewhat concerned
 Very concerned
F.10 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.
$________________,000
 Don’t know
F.11 LEVEL OF OPERATIONS DURING THE CORONAVIRUS PANDEMIC
Will this business be able to maintain operations into the next year (2024)?
 Yes, at or above the current level of operations
 Yes, at or below the current level of operations
 No
 Don’t know

44

Section G: Technology and Intellectual Property

The following section collects information on intellectual property and technology use for the business.
Technology related questions in this section asks about the following technologies:
Artificial Intelligence: Artificial intelligence is a branch of computer science and engineering devoted to
making machines intelligent. Intelligence is that quality that enables an entity to perceive, analyze,
determine response and act appropriately in its environment.
Cloud-based Computing Systems and Applications: Cloud systems and applications are computing
resources available on-demand via the internet.
Specialized Software (excluding Artificial Intelligence): Specialized software is software dedicated to
performing a particular business function.
Robotics: Robotic equipment (or robots) are automatically controlled, reprogrammable, and
multipurpose machines used in automated operations in industrial and service environments.
Specialized Equipment (excluding Robotics): Specialized equipment is equipment capable of
automatically carrying out pre-specified task(s).
The questions in this section ask about the three years 2020 to 2022 time period, instead of one year as
in other sections of this survey.
G.1 INTELLECTUAL PROPERTY ACTIVITIES
Indicate whether this business did any of the following during 2022.
Select one for each row.
a. Transferred intellectual property (IP) to others not owned by this business
through participation in technical assistance or "know - how" agreements
b. Received IP from others not owned by this business through participation
in technical assistance or "know-how" agreements
c. Participated in cross-licensing agreements in which two or more parties
grant a license to each other for the use of the subject matter claimed in one
or more of the patents owned by each party
d. Allowed free use of patents or other IP owned by this business (for
example, allowing free use of software patents by the open source
community)
e. Made use of open source patents or other freely available IP not owned by
this business

Yes


No


















G.2 IMPORTANCE OF INTELLECTUAL PROPERTY
During 2022, how important were the following types of intellectual property protection to this
business?
Select one for each row.

45

a. Utility patents (patents for inventions)
b. Design patents (patents for appearance)
c. Trademarks
d. Copyrights
e. Trade secrets
f. Nondisclosure agreements

Very
Somewhat
Not
Important Important Important



















G.3 PRODUCTION TECHNOLOGY FOR GOODS AND SERVICES
During the three years 2020 to 2022, did this business adopt/use the following technologies?
Artificial Intelligence






This technology is not applicable to this business
Applicable, but did not test or use
Tested, but did not use as part of the processes or methods
Used as part of the processes or methods
Don’t know

Cloud-based Computing Systems and Applications






This technology is not applicable to this business
Applicable, but did not test or use
Tested, but did not use as part of the processes or methods
Used as part of the processes or methods
Don’t know

Specialized Software






This technology is not applicable to this business
Applicable, but did not test or use
Tested, but did not use as part of the processes or methods
Used as part of the processes or methods
Don’t know

Robotics






This technology is not applicable to this business
Applicable, but did not test or use
Tested, but did not use as part of the processes or methods
Used as part of the processes or methods
Don’t know

Specialized Equipment
 This technology is not applicable to this business
 Applicable, but did not test or use
 Tested, but did not use as part of the processes or methods
46

 Used as part of the processes or methods
 Don’t know
If all answers to G.3 are “This technology is not applicable to this business”, “Applicable, but did not
test or use”, “Tested, but did not use as part of the processes or methods”, or “Don’t know” then
proceed to ‘G.29 – Impact of the Coronavirus Pandemic on Automation’ on page XX.
If answer for Artificial Intelligence is “Used as part of the processes or methods” then answer questions
G.4 - G.8 on page XX.
If answer for Cloud-based Computing Systems and Applications is “Used as part of the processes or
methods” then answer questions G.9 - G.13 on page XX.
If answer for Specialized Software is “Used as part of the processes or methods” then answer questions
G.14 - G.18 on page XX.
If answer for Robotics is “Used as part of the processes or methods” then answer questions G.19 - G.23
on page XX.
If answer for Specialized Equipment is “Used as part of the processes or methods” then answer
questions G.24 - G.28 on page XX.
G.4 IMPORTANCE OF ARTIFICIAL INTELLIGENCE TECHNOLOGY - PROCESSES AND METHODS
How important was Artificial Intelligence for the processes and methods used by this business?
 Not important
 Somewhat important
 Very important
G.5 MOTIVATION FOR ARTIFICIAL INTELLIGENCE TECHNOLOGY ADOPTION AND UTILIZATION PROCESSES AND METHODS
During the three years 2020 to 2022, why did this business adopt or use Artificial Intelligence? Select all
that apply.








To automate tasks performed by labor
To replace or upgrade already existing automated processes or methods
To improve quality or reliability of processes or methods
To improve quality or reliability of goods or services
To expand the range of goods or services
To adopt standards and accreditation
Some other reason

G.6 IMPACT OF ARTIFICIAL INTELLIGENCE TECHNOLOGY ON WORKFORCE - PROCESSES AND METHODS
During the three years 2020 to 2022, what were the effects of adopting or using Artificial Intelligence
on the following?
A. The number of workers employed by this business
 Increased
 Decreased
47

 Did not change
B. The skill level of workers employed by this business
 Increased overall
 Decreased overall
 Did not change overall
C. The scientific, technological, engineering, and mathematical skills of workers employed by this
business





Increased overall
Decreased overall
Did not change overall
Not applicable, we did not employ workers with scientific, technological, engineering, and
mathematical skills

G.7 IMPACT OF ARTIFICIAL INTELLIGENCE ON WORKER TYPES - PROCESSES AND METHODS
Indicate what effect Artificial Intelligence had on the following types of workers employed by this
business during the three years 2020 to 2022.
A. The ratio of production workers to non-production workers







Increased
Decreased
Did not change
Not applicable, we did not employ production workers
Not applicable, we did not employ non-production workers
Not applicable, we did not employ production nor non-production workers

B. The ratio of non-supervisory workers to supervisory workers







Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers
Not applicable, we did not employ non-supervisory workers
Not applicable, we did not employ supervisory nor non-supervisory workers

G.8 TIMING OF ADOPTION FOR ARTIFICIAL INTELLIGENCE - PROCESSES AND METHODS
Approximately what year did this business first adopt or use Artificial Intelligence in processes and
methods?







Prior to 1990
1991 - 1995
1996 - 2000
2001 - 2005
2006 - 2010
2011 - 2015
48

 2016 - 2020
 2021 - Present
 Don’t know
G.9 IMPORTANCE OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY PROCESSES AND METHODS
How important was Cloud-based Computing Systems and Applications for the processes and methods
used by this business?
 Not important
 Somewhat important
 Very important
G.10 MOTIVATION FOR CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY
ADOPTION AND UTILIZATION - PROCESSES AND METHODS
During the three years 2020 to 2022, why did this business adopt or use Cloud-based Computing
Systems and Applications? Select all that apply.








To automate tasks performed by labor
To replace or upgrade already existing automated processes or methods
To improve quality or reliability of processes or methods
To improve quality or reliability of goods or services
To expand the range of goods or services
To adopt standards and accreditation
Some other reason

G.11 IMPACT OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS TECHNOLOGY ON
WORKFORCE - PROCESSES AND METHODS
During the three years 2020 to 2022, what were the effects of adopting or using Cloud-based
Computing Systems and Applications on the following?
A. The number of workers employed by this business
 Increased
 Decreased
 Did not change
B. The skill level of workers employed by this business
 Increased overall
 Decreased overall
 Did not change overall
C. The scientific, technological, engineering, and mathematical skills of workers employed by this
business
 Increased overall
 Decreased overall
 Did not change overall
49

 Not applicable, we did not employ workers with scientific, technological, engineering, and
mathematical skills
G.12 IMPACT OF CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS ON WORKER TYPES PROCESSES AND METHODS
Indicate what effect Cloud-based Computing Systems and Applications had on the following types of
workers employed by this business during the three years 2020 to 2022.
A. The ratio of production workers to non-production workers







Increased
Decreased
Did not change
Not applicable, we did not employ production workers
Not applicable, we did not employ non-production workers
Not applicable, we did not employ production nor non-production workers

B. The ratio of non-supervisory workers to supervisory workers







Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers
Not applicable, we did not employ non-supervisory workers
Not applicable, we did not employ supervisory nor non-supervisory workers

G.13 TIMING OF ADOPTION FOR CLOUD-BASED COMPUTING SYSTEMS AND APPLICATIONS PROCESSES AND METHODS
Approximately what year did this business first adopt or use Cloud-based Computing Systems and
Applications in processes and methods?










Prior to 1990
1991 - 1995
1996 - 2000
2001 - 2005
2006 - 2010
2011 - 2015
2016 - 2020
2021 - Present
Don’t know

G.14 IMPORTANCE OF SPECIALIZED SOFTWARE TECHNOLOGY - PROCESSES AND METHODS
How important was Specialized Software for the processes and methods used by this business?
 Not important
 Somewhat important
 Very important

50

G.15 MOTIVATION FOR SPECIALIZED SOFTWARE TECHNOLOGY ADOPTION AND UTILIZATION PROCESSES AND METHODS
During the three years 2020 to 2022, why did this business adopt or use Specialized Software? Select all
that apply.








To automate tasks performed by labor
To replace or upgrade already existing automated processes or methods
To improve quality or reliability of processes or methods
To improve quality or reliability of goods or services
To expand the range of goods or services
To adopt standards and accreditation
Some other reason

G.16 IMPACT OF SPECIALIZED SOFTWARE TECHNOLOGY ON WORKFORCE - PROCESSES AND METHODS
During the three years 2020 to 2022, what were the effects of adopting or using Specialized Software
on the following?
A. The number of workers employed by this business
 Increased
 Decreased
 Did not change
B. The skill level of workers employed by this business
 Increased overall
 Decreased overall
 Did not change overall
C. The scientific, technological, engineering, and mathematical skills of workers employed by this
business





Increased overall
Decreased overall
Did not change overall
Not applicable, we did not employ workers with scientific, technological, engineering, and
mathematical skills

G.17 IMPACT OF SPECIALIZED SOFTWARE TECHNOLOGY ON WORKER TYPES - PROCESSES AND
METHODS
Indicate what effect Specialized Software had on the following types of workers employed by this
business during the three years 2020 to 2022.
A. The ratio of production workers to non-production workers





Increased
Decreased
Did not change
Not applicable, we did not employ production workers
51

 Not applicable, we did not employ non-production workers
 Not applicable, we did not employ production nor non-production workers
B. The ratio of non-supervisory workers to supervisory workers







Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers
Not applicable, we did not employ non-supervisory workers
Not applicable, we did not employ supervisory nor non-supervisory workers

G.18 TIMING OF ADOPTION FOR SPECIALIZED SOFTWARE - PROCESSES AND METHODS
Approximately what year did this business first adopt or use Specialized Software in processes and
methods?










Prior to 1990
1991 - 1995
1996 - 2000
2001 - 2005
2006 - 2010
2011 - 2015
2016 - 2020
2021 - Present
Don’t know

G.19 IMPORTANCE OF ROBOTICS TECHNOLOGY - PROCESSES AND METHODS
How important was Robotics for the processes and methods used by this business?
 Not important
 Somewhat important
 Very important
G.20 MOTIVATION FOR ROBOTICS TECHNOLOGY ADOPTION AND UTILIZATION - PROCESSES AND
METHODS
During the three years 2020 to 2022, why did this business adopt or use Robotics? Select all that apply.








To automate tasks performed by labor
To replace or upgrade already existing automated processes or methods
To improve quality or reliability of processes or methods
To improve quality or reliability of goods or services
To expand the range of goods or services
To adopt standards and accreditation
Some other reason

G.21 IMPACT OF ROBOTICS TECHNOLOGY ON WORKFORCE - PROCESSES AND METHODS
During the three years 2020 to 2022, what were the effects of adopting or using Robotics on the
following?
52

A. The number of workers employed by this business
 Increased
 Decreased
 Did not change
B. The skill level of workers employed by this business
 Increased overall
 Decreased overall
 Did not change overall
C. The scientific, technological, engineering, and mathematical skills of workers employed by this
business





Increased overall
Decreased overall
Did not change overall
Not applicable, we did not employ workers with scientific, technological, engineering, and
mathematical skills

G.22 IMPACT OF ROBOTICS ON WORKER TYPES - PROCESSES AND METHODS
Indicate what effect Robotics had on the following types of workers employed by this business during
the three years 2020 to 2022.
A. The ratio of production workers to non-production workers







Increased
Decreased
Did not change
Not applicable, we did not employ production workers
Not applicable, we did not employ non-production workers
Not applicable, we did not employ production nor non-production workers

B. The ratio of non-supervisory workers to supervisory workers







Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers
Not applicable, we did not employ non-supervisory workers
Not applicable, we did not employ supervisory nor non-supervisory workers

G.23 TIMING OF ADOPTION FOR ROBOTICS - PROCESSES AND METHODS
Approximately what year did this business first adopt or use Robotics in processes and methods?





Prior to 1990
1991 - 1995
1996 - 2000
2001 - 2005
53







2006 - 2010
2011 - 2015
2016 - 2020
2021 - Present
Don’t know

G.24 IMPORTANCE OF SPECIALIZED EQUIPMENT TECHNOLOGY - PROCESSES AND METHODS
How important was Specialized Equipment for the processes and methods used by this business?
 Not important
 Somewhat important
 Very important
G.25 MOTIVATION FOR SPECIALIZED EQUIPMENT TECHNOLOGY ADOPTION AND UTILIZATION PROCESSES AND METHODS
During the three years 2020 to 2022, why did this business adopt or use Specialized Equipment? Select
all that apply.








To automate tasks performed by labor
To replace or upgrade already existing automated processes or methods
To improve quality or reliability of processes or methods
To improve quality or reliability of goods or services
To expand the range of goods or services
To adopt standards and accreditation
Some other reason

G.26 IMPACT OF SPECIALIZED EQUIPMENT TECHNOLOGY ON WORKFORCE - PROCESSES AND
METHODS
During the three years 2020 to 2022, what were the effects of adopting or using Specialized Equipment
on the following?
A. The number of workers employed by this business
 Increased
 Decreased
 Did not change
B. The skill level of workers employed by this business
 Increased overall
 Decreased overall
 Did not change overall
C. The scientific, technological, engineering, and mathematical skills of workers employed by this
business
 Increased overall
 Decreased overall
 Did not change overall
54

 Not applicable, we did not employ workers with scientific, technological, engineering, and
mathematical skills
G.27 IMPACT OF SPECIALIZED EQUIPMENT ON WORKER TYPES - PROCESSES AND METHODS
Indicate what effect Specialized Equipment had on the following types of workers employed by this
business during the three years 2020 to 2022.
A. The ratio of production workers to non-production workers







Increased
Decreased
Did not change
Not applicable, we did not employ production workers
Not applicable, we did not employ non-production workers
Not applicable, we did not employ production nor non-production workers

B. The ratio of non-supervisory workers to supervisory workers







Increased
Decreased
Did not change
Not applicable, we did not employ supervisory workers
Not applicable, we did not employ non-supervisory workers
Not applicable, we did not employ supervisory nor non-supervisory workers

G.28 TIMING OF ADOPTION FOR SPECIALIZED EQUIPMENT - PROCESSES AND METHODS
Approximately what year did this business first adopt or use Specialized Equipment in processes and
methods?










Prior to 1990
1991 - 1995
1996 - 2000
2001 - 2005
2006 - 2010
2011 - 2015
2016 - 2020
2021 - Present
Don’t know

G.29 IMPACT OF THE CORONAVIRUS PANDEMIC ON AUTOMATION
During the three years 2020 to 2022, did the coronavirus pandemic effect the automation of tasks
performed by labor in this business? Automation refers to automatically controlled operation of an
apparatus, process, or system by mechanical or electronic devices or software that take the place of
human labor.
 Yes, increased automation of tasks performed by labor
 Yes, decreased automation of tasks performed by labor
 No, did not change automation of tasks performed by labor
55

 Not applicable, this business did not have any tasks performed by labor that could be automated
G.30 TECHNOLOGY BASED GOODS AND SERVICES
During the three years 2020 to 2022, did this business sell the following technologies or provide goods
or services that included the following technologies?
Artificial Intelligence
 Yes
 No
 Don’t Know
Cloud-based Computing Systems and Applications
 Yes
 No
 Don’t Know
Specialized Software
 Yes
 No
 Don’t Know
Robotics
 Yes
 No
 Don’t Know
Specialized Equipment
 Yes
 No
 Don’t Know

56

Section H: Sustainability and Climate Impact
The next questions ask about this business’s response to or anticipation of sustainability management
and climate related demands. Sustainability management addresses how the operation of the business
is affected by demands from consumers, other businesses, and the government to meet the
environmental needs of present and future generations.
H.1 ENERGY OR CARBON EMISSIONS TRACKING
Does this business track energy use or carbon emissions from the following sources?
Select one for each row.

a.
b.
c.
d.

Heating of buildings
Cooling of buildings
Fleet transportation
Electricity (used for
lighting, computing,
HVAC, production, etc.)
e. Thermal energy in
production (for
example, from natural
gas, petroleum, coal,
biomass, etc.)

No, does not
track either





Yes, tracks
Energy
Expenditures





Yes, tracks
Carbon
Emissions





Source is not
applicable to
this business
or is
inaccessible













H.2 CARBON EMISSIONS REDUCTION PLAN
Has this business developed plans for reducing carbon emissions?
 Yes - Skip to ‘H.4 Carbon Emissions Strategies’ on page XX
 No
H.3 FUTURE PLANS FOR CARBON EMISSIONS
Is this business considering developing plans in the future for reducing carbon emissions?
 Yes
 No - Skip to ’H.7 Sustainability Alternatives’ on page XX

57

H.4 CARBON EMISSIONS STRATEGIES
Will this business implement any of the following strategies to reduce carbon emissions?
Select one for each row.
a. Eliminating products or activities reliant on fossil fuel use by
changing the company’s product or service mix
b. Replacing fossil fuel using activities with zero or low emissions
alternatives (for example, adding electric vehicles to the
company’s fleet)
c. Reducing carbon emissions by increasing the efficiency of
activities using fossil fuels
d. Offsetting carbon emissions that cannot be abated by supporting
projects that reduce carbon emissions elsewhere (e.g., providing
funds for reforestation or capping abandoned oil wells)

Yes


No














H.5 CARBON EMISSIONS REDUCTION GOAL DATE
What is the target date for achieving this business’s carbon emissions reduction goals?
 No target date set
 No later than 2030
 No later than 2040
 No later than 2050
 After 2050
H.6 CARBON EMISSIONS REDUCTION GOAL OBJECTIVE
How much of a reduction carbon emissions is this business planning?
 No reduction goal set
 Less than 25% reduction
 25-50% reduction
 More than 50%, but less than 100% reduction
 100% reduction
H.7 SUSTAINABILITY ALTERNATIVES
If this business is not successful at improving sustainability, does the business foresee any of the
following effects?
Select one for each row.
a.
b.
c.
d.
e.
f.

Fines for lack of compliance with regulations
Inability to raise capital or secure credit
A loss of customer trust
A loss of brand reputation
Hiring difficulties or lower employee retention
Financial risks associated with future policy changes such as
a carbon tax
g. Lost sales due to inability to provide emissions or other
environmental information to potential customers

Yes







No











58

H.8 SUSTAINABILITY INVESTMENTS
Is this business making any of the following investments to improve sustainability?
Select one for each row.

a. Purchase power agreements for renewable
energy
b. Renewable energy generation on-site (e.g., solar,
wind, geothermal)
c. Battery storage or other means of saving
renewable energy generation for later use
d. Improved energy efficiency and management
e. Engineering innovation to improve sustainability
of our materials (e.g., innovating to produce
goods with lower CO2 content)
f. Redesigning processes to make similar products
with less environmental impacts
g. Elimination of waste through circular economy or
design for re-use strategies
h. Recycling initiative going beyond municipal
mandates

Yes


No


Not
applicable









































59

H.9 EXTREME WEATHER EVENTS AND IMPACT
During the three years 2020 to 2022, has this business experienced monetary losses due to extreme
weather events? For example, hurricanes, floods, droughts, or heat waves.
Include:
• Incurred costs
• Losses of sales or assets
 Yes
 No
 Don’t Know
H.10 INVESTMENTS TO MITIGATE RISKS
During the three years 2020 to 2022, has this business undertaken investments to reduce the risk of
damages caused by extreme weather events? For example, hurricanes, floods, droughts, wildfires, or
heat waves.
 Yes
 No
 Don’t Know
H.11 FUTURE IMPACTS DUE TO EXTREME WEATHER
During the next decade, how likely is this business to experience negative impacts from extreme
weather events? For example, hurricanes, floods, droughts, wildfires, or heat waves.






Not at all likely
A little likely
Somewhat likely
Very likely
Extremely likely

60

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.
Contact Name

Contact Title

__________________________________

__________________________________

Area Code

Phone number

Ext.

_____________________________________
Email address
_________________________________

61

Definitions
Affiliated (company or business): Entity that is owned 10% or more (based on voting interest or an
equivalent interest) directly or indirectly by your company.
Artificial Intelligence: Artificial intelligence is a branch of computer science and engineering devoted to
making machines intelligent. Intelligence is that quality that enables an entity to perceive, analyze,
determine response and act appropriately in its environment. Systems with artificial intelligence
perform functions including, but not limited to, speech recognition, machine vision, or machine learning:
•Speech recognition transforms human speech into a format useful for computer applications (for
example, a digital assistant)
•Machine vision uses sensors and software that allow images to be used as an input for computer
applications (for example, systems that sort or inspect objects or support navigation in mobile
equipment)
•Machine learning uses statistical software and data to “learn” and make better predictions without
reprogramming (for example, recommender systems for websites, or sales and demand forecasting)
Artificial Intelligence technologies also include virtual agents, deep learning platforms, decision
management systems, biometrics, text analytics, and natural language generation and processing.

Business process functions: Business process includes the following: (1) methods for producing goods or
providing services; (2) distribution and logistics; (3) marketing and sales; (4) information and
communication systems; (5) administration and management activities; and (6) product and business
process development (including activities to identify, develop or adapt products or a firm’s processes).
Cloud-based Computing Systems and Applications: Cloud systems and applications are computing
resources available on-demand via the internet. Cloud computing enables ubiquitous, convenient, ondemand internet access to a shared pool of configurable computing resources (e.g., networks, servers,
storage, applications, and services) that can be rapidly provisioned and released with minimal
management effort or service provider interaction.
Core production activity: This term refers to your primary business activities. For manufacturing
companies, core production typically involves production of physical goods. For service companies and
other companies, core production refers to the main services or activities provided by your business
such as Information and Communication Technology services, marketing services, etc.
Domestic (or U.S.-located): refers to a location in any of the U.S. 50 states, and the District of Columbia.
Exported goods: Value of goods including the value of equipment, supplies, materials, etc. This should
equal the amounts reported in the Automated Export System’s (AES) Electronic Export Information (EEI)
filed with U.S. Customs and Border Protection plus the cost of transporting the goods to customers
located in foreign destinations (i.e., outside the United States).

62

Exported services: An exported service is a service-related product (i.e., services performed, including
digital service, license agreement) that is sold or transferred to, or performed for customers (individual,
government, business establishment, etc.) located in foreign destinations (i.e., outside the United
States).
Foreign affiliate: A foreign affiliate is an entity located outside the United States that is owned at least
10% (based on voting interest or an equivalent interest) directly or indirectly by the U.S. reporter.
Foreign parent (of a U.S.-located business): The first entity outside the United States in an affiliate's
ownership chain that has a direct or indirect investment interest of more than 50 percent of the
affiliate’s voting securities.
Franchise: an authorization granted by a government or company to an individual or group enabling
them to carry out specified commercial activities (e.g., providing a broadcasting service or acting as an
agent for a company's products).
Goods: Usually a tangible object such as a smartphone, furniture, or packaged software, but also
includes digital goods such as downloadable software, music, and film. (Exclude the simple resale of new
goods and changes of a solely aesthetic nature.)
Imported goods: The value of goods purchased from customers located in foreign destinations (i.e.,
outside the United States) as indicated in import declarations filed with the U.S. Customs and Border
Protection.
Imported services: An imported service is a service-related product (i.e., service performed, including
digital service, license agreement) that is purchased from customers located in foreign destinations (i.e.,
outside the United States).
Intellectual property: Includes patents, processes, and trade secrets; books and music; trademarks;
recorded performances and events such as radio and television programs and motion pictures;
broadcast and recorded live performances and events and their content; general use computer
software; franchise fees; and other (for example, digital media).
Nonproduction worker: A worker engaged in the following activities: supervision above the working
foreman level, sales (including driver-salesman), sales delivery (highway truck drivers and their helpers),
advertising, credit collection, installation and servicing of own products, clerical and routine office
functions, executive, purchasing, financing, legal, professional, and technical. Also included are
employees on the payroll of the business engaged in the construction of major additions or alterations
to the plant who are utilized as a separate work force.
Nonsupervisory worker: A worker who does not supervise, plan, or direct the work of others.
Product: Products are goods and services (including knowledge-capturing products) that result from a
process of production.
Production worker: A worker (up through the line supervisor level) engaged in activities or processes
that result in the creation of products, goods or services. This includes those directly engaged in
fabricating, processing, assembling, inspecting, receiving, storing, handling, packing, warehousing,
shipping (but not delivering), maintenance, repair, janitorial and guard services, product development,
63

auxiliary production for the own use of business (e.g. a power plant), recordkeeping, and other services
closely associated with these production operations in the business covered by the report. Employees
above the working-supervisor level are excluded.
Research and Development (R&D): Research and development (R&D) comprise creative and systematic
work undertaken in order to increase the stock of knowledge and to devise new applications of available
knowledge.
The term R&D does NOT include expenditures for:
•

Costs for routine product testing, quality control, and technical services unless they are
an integral part of an R&D project

•

Market research

•

Efficiency surveys or management studies

•

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

•

Prospecting or exploration for natural resources

R&D activity in software INCLUDES:
•
Software development or improvement activities that expand scientific or technological
knowledge
•

Construction of new theories and algorithms in the field of computer science

R&D activity in software EXCLUDES:
•

Software development that does not depend on a scientific or technological advance, such as

•

supporting or adapting existing systems

•

adding functionality to existing application programs, and

•

routine debugging of existing systems and software

•

Creation of new software based on known methods and applications

•

Conversion or translation of existing software and software languages

•
Adaptation of a product to a specific client, unless knowledge that significantly improved the
base program was added in that process
Robotics: Robotic equipment (or robots) are automatically controlled, reprogrammable, and
multipurpose machines used in automated operations in industrial and service environments. Robots
may be mobile, incorporated into stand-alone stations, or integrated into a production line. A robot may
be part of a manufacturing cell or incorporated into another piece of equipment.
Industrial robots may perform operations such as: palletizing, pick and place, machine tending, material
handling, dispensing, welding, packing/repacking, and cleanroom.
64

Service robots are commonly used in businesses for such operations as cleaning, delivery, construction,
inspection, and medical services such as dispensing or surgery.
Services: Intangible activities, such as retailing, insurance, educational courses, air travel, consulting,
etc., also includes digital services. (Exclude the simple resale of new services.)
Services are intangible activities that are produced and consumed simultaneously and that change the
conditions (i.e., physical, psychological, etc.) of users.
Services are the result of a production activity that changes the conditions of the consuming units or
facilitates the exchange of products or financial assets. They cannot be traded separately from their
production. Services can also include some knowledge-capturing products.
Specialized Equipment (excluding Robotics): Specialized equipment refers to equipment capable of
automatically carrying out pre-specified task(s). Specialized equipment includes, but is not limited to,
computer numerically controlled (CNC) machinery, computer-aided manufacturing (CAM) systems,
manufacturing cells, materials working lasers, automated guided vehicles systems, automated storage
and retrieval systems, and automated materials handling systems. Exclude robotics equipment reported
above.
Specialized Software (excluding Artificial Intelligence): Specialized software is custom or packaged
software dedicated to performing a particular business function. Specialized software includes, but is
not limited to, software applications for accounting, sales, marketing, customer service and billing,
logistics, health care delivery, telemedicine, computer-aided design (CAD), computer-aided engineering
(CAE), or inventory management. Specialized software excludes general purpose software such as word
processing or spreadsheets. Exclude Artificial Intelligence software reported above.
Supervisory worker: A worker whose major responsibility is to supervise, plan, or direct the work of
others, such as top executive and managerial positions, officers of corporations, department heads, and
superintendents.
Unaffiliated (company or business): Entity that is owned less than 10 percent, directly or indirectly, by
your company (i.e., independent contractors and suppliers).

65

66