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U.S. DEPARTMENT OF COMMERCE
2011 BUSINESS R&D
AND INNOVATION SURVEY
Economics and Statistics Administration
U.S. CENSUS BUREAU
FORM
BRDI-1 (12-06-2011) Draft 4
OMB No. 0607-0912: Approval Expires 10/31/2011
DUE DATE:
Report electronically:
econhelp.census.gov/brdis
Username:
Password:
Reporting electronically
allows you to save your
work as you go through
the form and could save
you time.
Report by mail:
If you report online,
please do not mail in
the paper form.
U.S. CENSUS BUREAU
1201 East 10th Street
Jeffersonville, IN
47132-0001
For information or
assistance:
•
•
•
econhelp.census.gov/brdis
Call 1-800-772-7851,
option "5" (8 a.m.–
5 p.m. EST, M-F)
Write to the address
above. Include your
11-digit ID printed on
the mailing label.
(Please correct any errors in this mailing address)
Your Response is Required by Law
Title 13, United States Code, requires businesses and other organizations that receive this
questionnaire to answer the questions and return the report to the Census Bureau.
Respondents are not required to respond to any information collection unless it displays a valid
approval number from the Office of Management and Budget (OMB). The OMB number appears
at the top of this page.
Your Response is Confidential by Law
Title 13, United States Code, requires that your response be seen only by persons sworn to uphold
the confidentiality of Census Bureau information and may be used only for statistical purposes.
The law also provides that copies retained in your company’s files are immune from legal process.
About the Business R&D and Innovation Survey
The Business Research and Development and Innovation Survey is a national survey that collects
critical information about research and development (R&D) and innovation at businesses operating
in the U.S. Policy makers and data users in industry and academia make use of this information for
short- and long-term planning.
Better information about R&D and innovation in the U.S. business sector will help leaders make
better decisions to strengthen American competitiveness.
Thank You – Your Response is Important
Accurate and timely statistical information could not be produced without your continued
cooperation and goodwill. Thank you.
∼ This survey is jointly conducted by the U.S. Census Bureau and the National Science Foundation ∼
§,"+-¤
11011020
Table of Contents
Survey Overview and Table of Contents
The survey is divided into six sections. Each section asks questions about different aspects of R&D
or innovation at your company. Due to the specialized nature of each section, it may be necessary to
collaborate with colleagues in different departments to answer the questions. The sections are color
coded and cover the following topical areas:
Section 1: Company Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.4
Topics: company ownership, business(es), revenues, and innovation
Requires: knowledge of the company’s sales and revenues
Section 2: Financial Schedule A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.10
Topics: R&D expenses and capital expenditures for R&D
Requires: knowledge of your company’s accounting concepts and access to financial records
Section 3: Financial Schedule B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.20
Topics: costs for work that was funded, paid for, or reimbursed by others
Requires: knowledge of your company’s financial records related to R&D activities
Section 4: Management and Strategy of R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.32
Topics: characteristics of R&D reported in Sections 2 and 3
Requires: familiarity with the technical and strategic aspects of your company’s R&D
Section 5: Human Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.36
Topics: your company’s employees, focusing on those who work on R&D activities
Requires: familiarity with human resources (HR) concepts and access to HR records
Section 6: Intellectual Property and Technology Transfer . . . . . . . . . . . . . . . . . . p.40
Topics: intellectual property and technology transfer
Requires: knowledge of your company’s general business strategy, patenting, and licensing
Changes from the 2010 survey
On the basis of extensive conversations with many of the 2010 survey respondents, the 2011 survey has
been improved. Sections and questions have been modified to make the concepts presented easier to
understand. For a list of specific changes, go to econhelp.census.gov/brdis.
Filing electronically
You may submit your survey online via a secure website. Online submission allows you to save the
data on secure Census Bureau servers as you go, so you can save, exit, and resume later without losing
any of your data. It also allows you to save a paper or electronic copy of your completed survey. To
submit online, follow the instructions at econhelp.census.gov/brdis.
Electronic materials
Electronic versions of the questionnaire and related documents are available to print or share with others
in your company via e-mail. They can be found at econhelp.census.gov/brdis.
You can:
• Print and download copies of the questionnaire in PDF format
• Download Excel worksheets for each section
• Get question-by-question instructions, definitions, and examples that provide clarification
• Get answers to frequently asked questions, including how the data will be used
Form BRDI-1
2
§,"+5¤
11011038
What is Research and Development (R&D)?
R&D is planned, creative work aimed at discovering new knowledge or developing new or significantly
improved goods and services. This includes a) activities aimed at acquiring new knowledge or
understanding without specific immediate commercial applications or uses (basic research); b) activities
aimed at solving a specific problem or meeting a specific commercial objective (applied research); and
c) systematic use of research and practical experience to produce new or significantly improved goods,
services, or processes (development).
The term research and development 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
Does R&D include development of software and Internet applications?
Only development of software and Internet applications that include an element of uncertainty and that
are intended to close gaps and meet scientific and technological needs should be reported as R&D on this
survey
R&D activity in software includes:
• Development of new software
• Significant improvement of existing software
• Construction of new theories and algorithms in the field of computer science
R&D activity in software does NOT include:
• Creation of new software based on known methods and applications
• Support for existing systems
• 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
• Routine debugging of existing systems and software
Reporting unit
The reporting unit is your company, including all subsidiaries and divisions. Include subsidiary companies
where there is more than 50 percent ownership.
Reporting period
Report data for the calendar year 2011, if possible, or for your company’s fiscal year ending between
April 2011 and March 2012.
Estimates are acceptable
Please report all items to the best of your ability.
To speak with a survey specialist, call 1-800-772-7851, option ‘1’ for English,
then option ’5’.
Survey specialists are available 8 a.m. to 5 p.m. EST, M-F to help with any questions you may have.
Form BRDI-1
3
§,"+G¤
SECTION 1
11011046
SECTION 1
Company Information
1-1
Did another company other than a holding company own more than 50 percent of
your company during 2011?
Yes ➔ Please provide the following information:
Name of owner
(MM)
(DD)
(YYYY)
Date owner purchased your company
No ➔ Skip to Question 1-3
1-2
If you answered "Yes" to Question 1-1, is your company’s owner a foreign company?
Yes (foreign owner) ➔ Please follow these instructions:
REPORTING INSTRUCTIONS FOR FOREIGN-OWNED COMPANIES:
If your company is foreign-owned, the reporting unit for the survey is your U.S.-based company,
including all its majority-owned subsidiaries and divisions regardless of location. For reporting
purposes, your foreign owner and any other foreign affiliates your company does not own should
be treated the same as any other customer or business partner you do not own.
If you pay your foreign owner for R&D services, those costs should be included in your responses
in Section 2 as "costs for purchased R&D services."
If your foreign owner pays or reimburses your company for R&D services, the costs for this R&D
should be included in your responses in Section 3 as "costs funded, paid for, or reimbursed by
others".
Report your survey data using U.S. generally accepted accounting principles (U.S. GAAP) as
recognized by the Financial Accounting Standard Board (FASB). If your company follows
International Financial Reporting Standards (IFRS), we request that you estimate any adjustments
that would be required to conform to U.S. GAAP.
No (U.S. owner) ➔ Please provide the following information:
EIN of owner (9 digits)
REPORTING INSTRUCTIONS FOR U.S.-OWNED COMPANIES:
If your company was purchased between April 1, 2011 and December 31, 2011, report only for
the period January 1, 2011 to the date of purchase. If your company was purchased before
April 1, 2011, complete Question 1-6 and return this form to the Census Bureau – you are not
required to complete the rest of this survey.
Disregard these instructions if your owner instructs you to complete this survey.
Form BRDI-1
4
§,"+O¤
1-3
Did your company own more than 50 percent of any company operations or
subsidiaries outside the 50 United States and D.C. during 2011?
Yes ➔ Include data for these operations/subsidiaries in your survey responses
No
1-4
Has your company ceased operations?
Yes ➔ Please provide the following information:
(MM)
(DD)
(YYYY)
Date your company ceased operations
REPORTING INSTRUCTIONS:
If your company ceased operations between April 1, 2011 and December 31, 2011, report only
for the period January 1, 2011 to the date your company ceased operations. If your company
ceased operations before April 1, 2011, complete Question 1-6 and return this form to the
Census Bureau – you are not required to complete the rest of this survey.
No
1-5
Did your company have discontinued operations in 2011?
Yes ➔ Include data for these operations in your survey responses
No
1-6
Who is the survey coordinator?
The survey coordinator is the person at your company responsible for gathering all requested
information, ensuring instructions are followed, and submitting the completed survey. The
survey coordinator may not be able to personally complete the entire survey and may need
to request information from other knowledgeable resources concerning your company’s R&D,
accounting, human resources, and legal matters.
Name
Title
Telephone
Area code
Fax
Number
Extension
Area code
Number
E-mail address
Form BRDI-1
5
§,"+V¤
SECTION 1
11011053
SECTION 1
11011061
Business Codes
1-7
Do the business code(s) listed below reflect all applicable codes from the list on
pages 42-43 in which your company operated worldwide during 2011?
NOTE: These codes will be used to describe both business activities and R&D activities and
may differ from industry codes used by other government surveys and reports.
If no business codes are printed below, please write in the codes from pages 42-43
that apply to your company.
Yes ➔ Continue with Question 1-8
No ➔ Draw a line through codes that are incorrect. As needed, enter additional
codes and descriptions from pages 42-43 in the spaces provided.
Business Code
(see pages 42-43)
Description
Form BRDI-1
6
§,"+^¤
11011079
What was the amount of your company’s worldwide net sales and revenues
during 2011?
Include:
• Sales and operating revenues from discontinued operations
$Bil.
Mil.
SECTION 1
1-8
Thou.
Exclude:
• Non-operating income (i.e., dividends, interest)
1-9
How much of the amount reported in Question 1-8 was attributable to or originated
from domestic operations?
$Bil.
Include:
• Operating revenues and sales to foreign customers,
including foreign subsidiaries
1-10
Mil.
Thou.
How much of the 2011 net sales and operating revenue amounts was for each
business code listed or amended in Question 1-7:
(1) Worldwide net sales and operating revenues reported in Question 1-8
(2) Domestic net sales and operating revenues reported in Question 1-9
Business code
(see page 6)
(1)
Worldwide net sales and
operating revenues
$Bil.
Mil.
Thou.
(2)
Domestic net sales and
operating revenues
$Bil.
Mil.
Thou.
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
Less eliminations –
the sales and
revenues that are
eliminated in order
to consolidate the (
business codes. . . .
)(
)
Total. . . . . . . . . . .
Total equals Question 1-8
Form BRDI-1
7
Total equals Question 1-9
§,"+p¤
SECTION 1
11011087
Innovation
1-11
1-12
Did your company introduce any of the following during the three-year period,
2009 to 2011?
a. New or significantly improved goods (excluding the simple resale
of new goods purchased from others and changes of a solely
aesthetic nature) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. New or significantly improved services. . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
c. New or significantly improved methods of manufacturing or
producing goods or services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
d. New or significantly improved logistics, delivery, or distribution
methods for your inputs, goods, or services . . . . . . . . . . . . . . . . . . . . . .
Yes
No
e. New or significantly improved support activities for your
processes, such as maintenance systems or operations for
purchasing, accounting, or computing . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
If you answered "yes" to either 1-11, line a, or 1-11, line b, were any of those new or
significantly improved goods or services:
a. New to one of your markets? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Yes
No
Your company introduced new or significantly improved goods or
services to one of your markets before your competitors. (It may
have been available in other markets.)
b. New only to your company? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Your company introduced new or significantly improved goods or
services that were already available from your competitors in your
markets.
1-13
Using the definitions above, please give the percentage of your total
sales in 2011 from:
a. New or significantly improved goods and services introduced during
2009 to 2011 that were new to one of your markets. . . . . . . . . . . . . . . . . . . . .
%
b. New or significantly improved goods and services introduced during
2009 to 2011 that were new only to your company . . . . . . . . . . . . . . . . . . . . .
%
c. Goods and services that were unchanged or only marginally modified
during 2009 to 2011 (include the resale of new goods or services
purchased from other companies) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
%
d. Total sales in 2011 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1-14
– 1-17
1 0 0 %
Not applicable to this form
Form BRDI-1
8
§,"+x¤
11011095
This page is intentionally blank. The survey continues on the next page.
Form BRDI-1
9
§,"+¢¤
11011103
SECTION 2
Financial Schedule A
SECTION 2
Who should answer this section?
Persons familiar with accounting concepts and with access to financial records related to your company’s
R&D activities should complete this section.
What does this section cover?
This section requests financial information about your company’s R&D expenses and capital expenditures
for R&D. This section requests information about your company’s R&D at multiple levels of detail: for
your worldwide consolidated enterprise, for units or parts of your company defined by geography
(countries, states, specific location), and for parts of your company defined by business code.
2-1
What was the total worldwide R&D expense for your company in 2011?
If your company is publicly traded, this amount is equivalent
to that disclosed on SEC Form 10-K as defined by FASB Statement
No. 2, "Accounting for Research and Development Costs."
If your company is foreign-owned, refer to the instructions on
page 4. Additional guidance, such as for privately owned
companies, is available online at www.census.gov/econhelp/brdis.
$Bil.
Mil.
Thou.
NOTE: Report your company’s R&D expense even if the amount is
not considered material for your company’s financial statements.
2-2
Does the amount reported in Question 2-1 include any of the following costs?
a. Collaborative research and development that was reimbursed by
business partners, such as through cost-sharing agreements . . . . . . . . .
Yes
No
b. R&D paid for by government or private foundation grants . . . . . . . . . . .
c. Technical services not an integral part of an R&D project (such as
product support provided by R&D employees) . . . . . . . . . . . . . . . . . . . .
Yes
No
Yes
No
d. Bid and proposal costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Expense your company claimed resulting from the acquisition of
another company with unfinished R&D projects (in-process R&D) . . . . .
Yes
No
Yes
No
2-3
If you answered "Yes" to any of the costs in Question
2-2, what was the amount of these costs that was
included in your response to Question 2-1?
2-4
Subtract Question 2-3 from Question 2-1 and enter the
result here. This is the total R&D paid for by your
company in 2011.
2-5
Is the amount entered in Question 2-4 greater than zero?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Yes ➔ Continue with Question 2-6
No ➔ Skip to Section 3 on page 20
Form BRDI-1
10
§,",$¤
11011111
R&D paid for by your company
2-6
Of the amount reported in Question 2-4, what were the costs for each business
code listed or amended on page 6 of this form?
Business code
(see page 6)
$Bil.
a.
................................
b.
................................
c.
................................
d.
................................
e.
................................
f.
................................
g.
................................
h.
................................
Mil.
Thou.
i. Total (equals Question 2-4) . . . . . . . . . . . . . . . . . . . . . . . . .
2-7
Of the amount reported in Question 2-4, what costs were incurred by your
company in the following locations?
a. Domestic United States (50 states and D.C.) [Include
R&D performed by domestic operations that are paid
for by foreign subsidiaries] . . . . . . . . . . . . . . . . . . . . . . . . . .
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
b. All other countries (also, Puerto Rico) [Include R&D
performed by foreign subsidiaries that are paid for
by domestic operations] . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Total (equals Question 2-4). . . . . . . . . . . . . . . . . . . . . . . . . .
2-8
Copy the amount from Question 2-7, line a. This is the
total domestic R&D paid for by your company in 2011.
2-9
Copy the amount reported from Question 2-7, line b.
This is the total foreign R&D paid for by your company
in 2011.
Form BRDI-1
11
§,",,¤
SECTION 2
Allocate R&D that is applicable to more than one business code on a reasonable basis.
Allocation in proportion to operating revenues is acceptable unless some alternative allocation
basis is more appropriate.
11011129
2-10 How much of the (1) domestic, (2) foreign, and (3) total worldwide R&D paid for by
your company in 2011 was for each of the following types of costs?
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
SECTION 2
a. Salaries, wages, and fringe benefits
b. Stock-based compensation
c. Temporary staffing, including on-site consultants
d. Expensed equipment
e. Materials and supplies
f. Leased facilities and equipment
g. Depreciation and amortization on R&D property and equipment
h. Payments to business partners for collaborative R&D
i. Purchased R&D services (if your company is foreign-owned, include payments to your foreign owner for R&D)
j. All other purchased services except R&D
k. All other costs
l. Total
Total equals Question 2-8
Total equals Question 2-9
Form BRDI-1
12
Total equals Question 2-4
§,",>¤
11011137
2-11 Add 2-10, lines h and i for each column, and enter the result here.
This is R&D performed by others.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
2-12 Subtract 2-11 from 2-10, line l, for each column and enter the result here.
This is R&D performed by your company.
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
2-13 Copy the amount from Question 2-12, column 2.
This is the foreign R&D paid for and performed by
your company in 2011.
$Bil.
$Bil.
(3)
Total worldwide
Mil.
Thou.
Mil.
Thou.
2-14 Of the amount reported in Question 2-13, how much R&D was performed in the
following locations?
$Bil.
Mil.
Thou.
a. Puerto Rico . .
j. Russia . . . . . . .
b. Canada . . . . .
k. Spain. . . . . . . .
Europe
$Bil.
Mil.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Thou.
l. Sweden . . . . . .
a. Austria . . . . .
m. Switzerland. . .
b. Beglium . . . .
n. United
Kingdom . . . . .
c. Czech Rep . . .
o. Other Europe. .
d. Denmark . . . .
Latin America
e. France. . . . . .
a. Argentina . . . .
f. Ireland . . . . .
b. Brazil . . . . . . . .
g. Italy . . . . . . . .
c. Chile . . . . . . . .
h. Netherlands. .
d. Mexico . . . . . .
i. Poland . . . . .
e. Other Latin
America. . . . . .
Question continues on next page
Form BRDI-1
13
§,",F¤
SECTION 2
$Bil.
(1)
Domestic
Mil.
11011145
2-14 (Continued)
SECTION 2
Asia and Pacific
$Bil.
Mil.
Middle East
Thou.
a. Australia . . . .
a. Israel . . . . . . . .
b. China . . . . . .
b. Other
Middle East . . .
Africa
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
c. Hong Kong . .
a. South Africa . .
d. India . . . . . . .
b. Other Africa. . .
e. Indonesia . . .
f. Japan . . . . . .
Total (equals
Question 2-13) . . .
g. South Korea .
h. Malaysia . . . .
i. New Zealand
j. Singapore . . .
k. Taiwan . . . . .
l. Thailand . . . .
m. Other Asia/
Pacific . . . . . .
2-15 Copy the amount from Question 2-12, column 1.
This is the domestic R&D paid for and performed
by your company in 2011.
Form BRDI-1
14
§,",N¤
11011152
2-16 How much of the amount reported in Question 2-15 was performed in each state
(including D.C.) in 2011?
Mil.
Thou.
$Bil.
Alabama . . . . . . .
Maine . . . . . . . . .
Alaska. . . . . . . . .
Maryland . . . . . . .
Arizona . . . . . . . .
Massachusetts . . .
Arkansas . . . . . .
Michigan . . . . . . .
California . . . . . .
Minnesota . . . . . .
Colorado. . . . . . .
Mississippi . . . . . .
Connecticut . . . .
Missouri . . . . . . .
Delaware . . . . . .
Montana . . . . . . .
District of
Columbia . . . . . .
Nebraska . . . . . . .
Florida . . . . . . . .
Nevada . . . . . . . .
Georgia . . . . . . .
New Hampshire . .
Hawaii . . . . . . . .
New Jersey . . . . .
Idaho . . . . . . . . .
New Mexico. . . . .
Illinois . . . . . . . .
New York . . . . . . .
Indiana . . . . . . . .
North Carolina . . .
Iowa . . . . . . . . . .
North Dakota . . . .
Kansas . . . . . . . .
Ohio . . . . . . . . . .
Kentucky. . . . . . .
Oklahoma . . . . . .
Louisiana . . . . . .
Oregon . . . . . . . .
Mil.
Thou.
SECTION 2
$Bil.
Question continues on next page
Form BRDI-1
15
§,",U¤
11011160
2-16 (Continued)
SECTION 2
$Bil.
Mil.
Thou.
$Bil.
Pennsylvania . . .
Vermont . . . . . . .
Rhode Island . . .
Virginia . . . . . . . .
South Carolina . .
Washington . . . . .
South Dakota . . .
West Virginia . . . .
Tennessee . . . . .
Wisconsin . . . . . .
Texas . . . . . . . . .
Wyoming . . . . . . .
Utah . . . . . . . . . .
Total (equals
Question 2-15) . . .
Mil.
Thou.
2-17 At what domestic location did your company perform the largest dollar amount of
R&D in 2011?
Address 1
Address 2
City
State
$Bil.
ZIP
Mil.
Thou.
2-18 How much of the amount reported in Question 2-15
was from the location identified in Question 2-17?
Form BRDI-1
16
§,",]¤
11011178
2-19 At what domestic location did your company perform the second largest dollar
amount of R&D in 2011?
Address 1
City
State
$Bil.
SECTION 2
Address 2
ZIP
Mil.
Thou.
2-20 How much of the amount reported in Question 2-15
was from the location identified in Question 2-19?
2-21 How much of the R&D paid for by your company for each business code reported in
Question 2-6 was performed by your company in the domestic U.S. (50 states and
D.C.)?
(1)
Domestic R&D performed
by your company
Business code
(see page 6)
$Bil.
a.
................................
b.
................................
c.
................................
d.
................................
e.
................................
f.
................................
g.
................................
h.
................................
Mil.
Thou.
i. Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Total equals Question 2-15
Form BRDI-1
17
§,",o¤
11011186
Domestic R&D paid for by foreign subsidiaries
2-22 How much of the amount reported in Question 2-15
was paid for by your company’s foreign subsidiaries?
SECTION 2
Example: Company Y owns a subsidiary in France. In order to
complete the development of a product in 2011, the French
subsidiary paid for R&D performed at Company Y’s U.S. R&D
center. The cost of the U.S. R&D that was paid for by the French
subsidiary would be included in this item.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Foreign R&D paid for by domestic operations
2-23 How much of the amount reported in Question 2-14
was paid for by your company’s domestic operations?
Example: Company Z owns a subsidiary in France. In order to
complete the development of a product in 2011, the domestic
operations paid for R&D performed at its subsidiary’s R&D center
in France. The cost of the French subsidiary’s R&D that was paid
for by the domestic operations would be included in this item.
R&D performed by others
2-24 Copy the amount from Question 2-11, column 1.
This is the domestic R&D paid for by your company
in 2011 that was performed by others.
2-25 How much of the amount reported in Question 2-24, was
performed by the following types of organizations?
a. Companies located inside the United States . . . . . . . . . . . . .
b. Your company’s foreign owner (if your company is
foreign-owned) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Other companies located outside the United States . . . . . . .
d. U.S. federal government agencies or laboratories . . . . . . . . .
e. U.S. state and local government agencies or laboratories . . .
f. Foreign government agencies or laboratories . . . . . . . . . . . .
g. All other organizations inside the United States . . . . . . . . . .
h. All other organizations outside the United States . . . . . . . . .
i. Total domestic R&D paid for by your company that
was performed by others (equals Question 2-24) . . . . . . .
Form BRDI-1
18
§,",w¤
11011194
Projected R&D for 2012
2-26 What are your company’s projected 2012 costs for (1) domestic, (2) foreign, and
(3) total worldwide R&D paid for by your company?
(1)
Domestic
Mil.
$Bil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
Domestic
2-27 How much of the amount reported in Question 2-26,
column 1, is for projected purchased R&D services
and projected payments to business partners for
collaborative
R&D?
Capital
expenditures
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
2-28 What was the amount of your company’s capital
expenditures in the domestic United States in 2011?
2-29 How much of the amount reported in Question 2-28 was
for R&D operations?
Reporting information
2-30 Is the information in this section reported for the 2011 calendar year?
Yes
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
to
Form BRDI-1
19
§,",¡¤
SECTION 2
NOTE: This amount is the 2012 projection for what is reported in
Question 2-10, line l.
11011202
SECTION 3
Financial Schedule B
Who should answer this section?
Persons familiar with accounting concepts and with access to financial records related to your
company’s R&D activities should complete this section.
What does this section cover?
This section requests financial information about your company’s costs for work that was funded, paid
for, or reimbursed by others. This section requests information about these costs at multiple levels of
detail: for your worldwide consolidated enterprise, for units or parts of your company defined by
geography (countries, states), and for parts of your company defined by business code.
SECTION 3
3-1
What were your company’s total worldwide costs (both direct and indirect) in 2011
for the following that were funded, paid for, or reimbursed by others not owned by
your company?
Exclude:
• Costs that were paid for by your company, such as those
reported in Question 2-4
• Payments in excess of the actual cost of the work performed
(such as profit or fees)
$Bil.
Mil.
Thou.
a. R&D that was reimbursed by your company’s foreign
owner, if your company was foreign-owned . . . . . . . . . . . . .
b. Collaborative R&D that was reimbursed by business
partners, such as through cost-sharing agreements. . . . . . . .
c. R&D paid for by government or private foundation grants . .
d. Defense R&D services provided to the government
and/or government contractors . . . . . . . . . . . . . . . . . . . . . . .
e. Medical nonclinical R&D services provided to others
not owned by your company. . . . . . . . . . . . . . . . . . . . . . . . .
f. Medical clinical trial phase I-III services provided to others
not owned by your company (include pass-through costs) . .
g. Nondefense custom software development and/or
computer systems designed for others not owned by
your company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Exclude:
• Software development that does not depend on a scientific
or technological advance, such as adding functionality to
existing application programs, debugging systems, and
adapting existing software
h. Developing, producing, and testing prototypes of
customer’s products prior to their introduction to the
market (excluding defense-related prototyping reported
in line d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
i. All other R&D services provided to others not owned by
your company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
j. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
20
§,"-#¤
11011210
$Bil.
3-2
Copy the amount from Question 3-1, line j. This is the
total R&D paid for by others in 2011.
3-3
Is the amount entered in Question 3-2 greater than zero?
Mil.
Thou.
Yes ➔ Continue with Question 3-4
No ➔ Skip to Section 4 on page 32
R&D paid for by others
3-4
Of the amount reported in Question 3-2, what costs were incurred by your
company in the following locations?
$Bil.
Mil.
Thou.
SECTION 3
a. Domestic United States (50 states and D.C.) . . . . . . . . . . . . .
b. All other countries (also, Puerto Rico) . . . . . . . . . . . . . . . . . .
c. Total (equals Question 3-2). . . . . . . . . . . . . . . . . . . . . . . . . .
3-5
Copy the amount from Question 3-4, line a. This is the
total domestic R&D paid for by others in 2011.
3-6
Copy the amount from Question 3-4, line b. This is the
total foreign R&D paid for by others in 2011.
Form BRDI-1
21
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
§,"-+¤
11011228
3-7
How much of the (1) domestic, (2) foreign, and (3) total worldwide R&D paid for by
others in 2011 was for each of the following types of costs?
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
a. Salaries, wages, and fringe benefits
b. Stock-based compensation
SECTION 3
c. Temporary staffing, including on-site consultants
d. Expensed equipment
e. Materials and supplies
f. Leased facilities and equipment
g. Depreciation and amortization on R&D property and equipment
h. Payments to business partners for collaborative R&D
i. Purchased R&D services (if your company is foreign-owned, include payments to your foreign owner for R&D)
j. All other purchased services except R&D
k. All other costs
l. Total
Total equals Question 3-5
Total equals Question 3-6
Form BRDI-1
22
Total equals Question 3-2
§,"-=¤
11011236
Add 3-7, lines h and i for each column, and enter the result here.
This is R&D performed by others (e.g., subcontracted/passed-through R&D costs).
$Bil.
3-9
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
Subtract 3-8 from 3-7, line l, for each column and enter the result here.
This is R&D performed by your company that was paid for by others.
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
3-10 Copy the amount from Question 3-9, column 2. This
is the foreign R&D performed by your company that
was paid for by others.
$Bil.
$Bil.
(3)
Total worldwide
Mil.
Thou.
Mil.
Thou.
3-11 Of the amount reported in Question 3-10, how much R&D was performed in the
following locations?
$Bil.
Mil.
Thou.
$Bil.
a. Puerto Rico . .
j. Japan . . . . . . .
b. Canada . . . . .
k. Russia . . . . . . .
c. China . . . . . .
l. Singapore . . . .
d. France . . . . .
m. South Korea . .
e. Germany. . . .
n. Sweden . . . . .
f. India . . . . . . .
o. United
Kingdom . . . . .
g. Ireland . . . . .
p. All other . . . . .
Mil.
Thou.
h. Israel . . . . . .
i. Italy . . . . . . . .
q. Total (equals
Question 3-10)
Form BRDI-1
23
§,"-E¤
SECTION 3
3-8
11011244
Domestic R&D performed by your company that was paid for by others
3-12 Copy the amount from Question 3-9, column 1.
This is the domestic R&D performed by your
company that was paid for by others.
$Bil.
Mil.
Thou.
3-13 How much of the domestic R&D performed by your company that was paid for by
others reported in Question 3-12 was for each business code listed or amended on
page 6 of this form?
Allocate R&D that is applicable to more than one business code on a reasonable basis.
Allocation in proportion to operating revenues is acceptable unless some alternative allocation
basis is more appropriate.
SECTION 3
Business code
(see page 6)
$Bil.
a.
................................
b.
................................
c.
................................
d.
................................
e.
................................
f.
................................
g.
................................
h.
................................
Mil.
Thou.
i. Total (equals Question 3-12). . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
24
§,"-M¤
11011251
3-14 How much of the amount reported in Question 3-12 was paid for by each of the
following?
If your company is a subcontractor or subgrantee, report the original source of funds.
Example: Company Sub Inc. performs custom software development for a large defense company as
a subcontractor on a contract with the U.S. Dept. of Defense. Even though Sub Inc. is working directly
for the defense company, it reports the cost of this development in line d because the Dept. of Defense
was the original source of funds.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Other companies located inside the United States. . . . . . . . .
b. Your company’s foreign owner (if your company
is foreign-owned) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
SECTION 3
c. Other companies located outside the United States . . . . . . .
d. U.S. federal government agencies or laboratories . . . . . . . . .
e. U.S. state government agencies or laboratories . . . . . . . . . .
f. Foreign government agencies or laboratories . . . . . . . . . . . .
g. All other organizations inside the United States . . . . . . . . . .
h. All other organizations located outside the United States . . .
i. Total (equals Question 3-12) . . . . . . . . . . . . . . . . . . . . . . . . .
3-15 Copy the amount from Question 3-14, line d. This
is domestic R&D performed by your company that was
paid for by the U.S. federal government.
Form BRDI-1
25
§,"-T¤
11011269
3-16
How much of the amount reported in Question 3-15 was paid
for by the following agencies?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Department of Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Department of Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. National Aeronautics and Space Administration . . . . . . . . . .
d. National Institutes of Health. . . . . . . . . . . . . . . . . . . . . . . . . .
SECTION 3
e. All other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Total (equals Question 3-15). . . . . . . . . . . . . . . . . . . . . . . . .
3-17
Subtract Question 3-15 from Question 3-12 and enter
the result here. This is the domestic R&D performed
by your company that was paid for by nonfederal
sources.
3-18 How much of the following three amounts was performed in each state
(including D.C.):
(1) Domestic R&D paid for by the U.S. federal government reported in Question 3-15
(2) Domestic R&D paid for by nonfederal sources reported in Question 3-17
(3) Total domestic R&D performed by your company that was paid for by others
reported in Question 3-12
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Alabama
Alaska
Arizona
Arkansas
California
Question continues on next page
Form BRDI-1
26
§,"-f¤
11011277
3-18 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Colorado
Connecticut
Delaware
SECTION 3
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Question continues on next page
Form BRDI-1
27
§,"-n¤
11011285
3-18 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Louisiana
Maine
Maryland
SECTION 3
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
Question continues on next page
Form BRDI-1
28
§,"-v¤
11011293
3-18 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
New Mexico
New York
North Carolina
SECTION 3
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Question continues on next page
Form BRDI-1
29
§,"-~¤
11011301
3-18 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Utah
Vermont
Virginia
SECTION 3
Washington
West Virginia
Wisconsin
Wyoming
Total
Total equals Question 3-15
Total equals Question 3-17
Total equals Question 3-12
3-19 At what domestic location did your company perform the largest dollar amount of
R&D that was paid for by others in 2011?
Address 1
Address 2
City
State
$Bil.
ZIP
Mil.
Thou.
3-20 How much of the amount reported in Question 3-12
was from the location identified in Question 3-19?
Form BRDI-1
30
§,"."¤
11011319
3-21 At what domestic location did your company perform the second largest dollar
amount of R&D that was paid for by others in 2011?
Address 1
Address 2
City
State
ZIP
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Mil.
Thou.
Projected R&D paid for by others in 2012
3-23 What are your company’s projected 2012 costs for R&D
that will be paid for by others?
NOTE: This amount is the 2012 projection for what is
reported in Question 3-2.
3-24 How much of the projected costs in 2012 for R&D that will
be paid for by others reported in Question 3-23 will be
performed by your company in the United States?
NOTE: This amount is the 2012 projection for what is
reported in Question 3-12.
3-25 How much of the projected costs in 2012 for domestic R&D
performed by your company that will be paid for by others
reported in Question 3-24 will be paid for by the
$Bil.
U.S. federal government?
NOTE: This amount is the 2012 projection for what is
reported in Question 3-15.
Form BRDI-1
31
§,".4¤
SECTION 3
3-22 How much of the amount reported in Question 3-12
was from the location identified in Question 3-21?
11011327
SECTION 4
Management and Strategy of R&D
Who should answer this section?
Persons familiar with the technical, managerial, and strategic aspects of your company’s R&D should
complete this section.
What does this section cover?
This section requests information about the characteristics of the R&D reported in Sections 2 and 3.
This section requests information about your company’s worldwide consolidated R&D and the R&D
your company performs in the domestic United States.
$Bil.
4-1
Copy the amount from Question 2-4. This is the
total R&D paid for by your company in 2011.
4-2
Is the amount entered in Question 4-1 greater than zero?
Mil.
Thou.
Yes ➔ Continue with Question 4-3
No ➔ Skip to Question 4-10 on page 33
SECTION 4
Characteristics of domestic R&D paid for and performed by your company
4-3
Copy the amount from Question 2-15. This is the
domestic R&D paid for and performed by your
company.
4-4
How much of the amount reported in Question 4-3
was for the following categories?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Development–the systematic use of research and
practical experience to produce new or significantly
improved goods, services, or processes . . . . . . . . . . . . . . . .
c. Total (equals Question 4-3). . . . . . . . . . . . . . . . . . . . . . . . . .
4-5
If you reported any research in Question 4-4, line a, how
much of that research was for the following categories?
a. Applied research–the activity aimed at solving a specific
problem or meeting a specific commercial objective . . . . . . .
b. Basic research–the activity aimed at acquiring new
knowledge or understanding without specific immediate
commercial application or use. . . . . . . . . . . . . . . . . . . . . . . .
c. Total (equals Question 4-4, line a) . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
32
§,".<¤
11011335
Areas of application for domestic R&D paid for and performed by your
company
NOTE: You may report the same R&D in multiple areas for Questions 4-6 to 4-7.
4-6
What percentage of the amount reported in Question 4-3 had
energy applications, including energy production, distribution, storage,
and efficiency (excluding exploration and prospecting)?
Example: Company B is a semiconductor manufacturer. Its products are not designed
specifically for energy applications. In 2011, 10% of the domestic R&D performed by
the company was focused on improving the energy efficiency of its products. Based on
this, Company B reports "10%" for this question.
4-7
%
What percentage of the amount reported in Question 4-3 had
environmental protection applications, including pollution
abatement?
%
Technology focus of domestic R&D paid for and performed by your company
4-8
4-9
What percentage of the amount reported in Question 4-3 was for
biotechnology—the use of cellular and bio-molecular processes to
solve problems or make useful products?
%
What percentage of the amount reported in Question 4-3 was for
nanotechnology—the science and technology involving work at the
nanometer scale?
%
Domestic R&D performed by your company that was paid for by others
4-10 Copy the amount from Question 3-12. This is the
domestic R&D performed by your company that was
paid for by others.
$Bil.
Mil.
Thou.
4-11 Is the amount entered in Question 4-10 greater than zero?
Yes ➔ Continue with Question 4-12
No ➔ Skip to Section 5 on page 36
Form BRDI-1
33
§,".D¤
SECTION 4
NOTE: You may report the same R&D in multiple areas for Questions 4-8 to 4-9.
11011343
4-12 How much of the amount reported in Question 4-10
was for the following categories?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Development–the systematic use of research and
practical experience to produce new or significantly
improved goods, services, or processes . . . . . . . . . . . . . . . .
c. Total (equals Question 4-10). . . . . . . . . . . . . . . . . . . . . . . . .
4-13 If you reported any research in Question 4-12, line a, how
much of that research was for the following categories?
a. Applied research–the activity aimed at solving a specific
problem or meeting a specific commercial objective . . . . . . .
b. Basic research–the activity aimed at acquiring new
knowledge or understanding without specific immediate
commercial application or use. . . . . . . . . . . . . . . . . . . . . . . .
c. Total (equals Question 4-12, line a). . . . . . . . . . . . . . . . . . . .
SECTION 4
NOTE: You may report the same R&D in multiple areas for Questions 4-14 to 4-17.
4-14 What percentage of the amount reported in Question 4-10 had energy
applications, including energy production, distribution, storage, and
efficiency (excluding exploration and prospecting)?
%
4-15 What percentage of the amount reported in Question 4-10 had
environmental protection applications, including pollution
abatement?
%
4-16 What percentage of the amount reported in Question 4-10 was
for biotechnology—the use of cellular and bio-molecular processes
to solve problems or make useful products?
%
4-17 What percentage of the amount reported in Question 4-10 was
for nanotechnology—the science and technology involving work at
the nanometer scale?
%
Form BRDI-1
34
§,".L¤
11011350
Domestic R&D performed by your company that was paid for by the
U.S. federal government
4-18 Copy the amount from Question 3-15. This is domestic
R&D performed by your company that was paid for by
the U.S. federal government.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
4-19 Is the amount entered in Question 4-18 greater than zero?
Yes ➔ Continue with Question 4-20
No ➔ Skip to Section 5 on page 36
4-20 How much of the amount reported in Question 4-18 was
for the following categories?
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Development–the systematic use of research and
practical experience to produce new or significantly
improved goods, services, or processes. . . . . . . . . . . . . . . . .
4-21 If you reported any research in Question 4-20, line a, how
much of that research was for the following categories?
a. Applied research–the activity aimed at solving a specific
problem or meeting a specific commercial objective . . . . . . .
b. Basic research–the activity aimed at acquiring new
knowledge or understanding without specific immediate
commercial application or use. . . . . . . . . . . . . . . . . . . . . . . .
c. Total (equals Question 4-20, line a). . . . . . . . . . . . . . . . . . . .
Form BRDI-1
35
§,".S¤
SECTION 4
c. Total (equals Question 4-18). . . . . . . . . . . . . . . . . . . . . . . . .
11011368
SECTION 5
Human Resources
Who should answer this section?
Persons familiar with human resources concepts and with access to records related to your company’s
employees should complete this section.
What does this section cover?
This section requests information about your company’s employees, focusing on those who worked on
R&D activities either full-time or part-time.
5-1
What was the total number of worldwide employees working at
your company for the pay period that included March 12, 2011?
Include:
• Full- and part-time employees
Number
Exclude:
• Leased or temporary employees and on-site consultants
5-2
How many of the employees reported in Question 5-1 were employees of
your company’s domestic operations and foreign operations?
Domestic operations employees include all employees whose payroll was reported on IRS
Form 941, Employer’s Quarterly Tax Return.
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total
employees
Employees . . . . . . . . . . . .
Total equals
Question 5-1
SECTION 5
5-3
How many employees reported in Question 5-2 were R&D employees?
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.
R&D employees exclude employees who provide indirect support to R&D, such as corporate
personnel, security guards, and cafeteria workers.
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total
employees
a. R&D employees . . . . . .
b. All other employees . . .
c. Total employees . . . . .
Total line equals Question 5-2
Form BRDI-1
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§,".e¤
11011376
R&D employees
5-4
Copy the numbers from Question 5-3, line a. These are your company’s
R&D employees.
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total R&D
employees
R&D employees . . . . . . . .
5-5
How many of the R&D employees reported in Question 5-4 were female employees
and male employees?
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total R&D
employees
a. Female R&D employees
b. Male R&D employees . .
c. Total R&D employees
Total line equals Question 5-4
5-6
How many of the R&D employees reported in Question 5-4 worked in the
occupations listed below?
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total R&D
employees
a. R&D scientists,
engineers, and
managers . . . . . . . . . . .
c. R&D support staff
(clerical and other) . . . .
d. Total R&D employees
Total line equals Question 5-4
Form BRDI-1
37
§,".m¤
SECTION 5
b. R&D technicians and
technologists. . . . . . . . .
11011384
Domestic full-time equivalents (FTEs)
5-7
Of the domestic R&D employees reported in Question 5-6, line d, what was the
number of domestic full-time equivalent (FTE) R&D employees?
The number of full-time equilavent R&D employees may differ from the number of R&D
employees reported in Question 5-6. Count each R&D employee who works full-time on R&D
activities as 1 FTE. Count each R&D employee who works part-time on R&D activities using the
fraction of the time he/she devotes to R&D activity. For example, an R&D employee who works
half-time on R&D activity would be counted as one-half (1/2) of an FTE employee. Similarly, a
full-time employee who devotes 25% of her time to R&D would be counted as one quarter (1/4)
of an R&D FTE employee.
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total R&D
employees
a. Full-time R&D . . . . . . . .
b. Part-time R&D . . . . . . . .
Examples of part-time R&D:
Full-time scientist works on R&D only half of the time = .5 FTE
Part-time engineer works 10 hours a week on R&D = .25 FTE
c. Total . . . . . . . . . . . . . . .
5-8
Of the domestic R&D scientists, engineers, and their managers reported in
Question 5-6, line a, what was the number of domestic full-time equivalent (FTE)
scientists, engineers, and their managers?
SECTION 5
(1)
Domestic
operations
(2)
Foreign
operations
(3)
Total R&D
employees
a. Full-time R&D . . . . . . . .
b. Part-time R&D . . . . . . . .
Examples of part-time R&D:
Full-time scientist works on R&D only half of the time = .5 FTE
Part-time engineer works 10 hours a week on R&D = .25 FTE
c. Total . . . . . . . . . . . . . . .
Form BRDI-1
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11011392
This page is intentionally blank. The survey continues on the next page.
Form BRDI-1
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§,".}¤
11011400
SECTION 6
Intellectual Property and Technology Transfer
Who should answer this section?
Persons with an understanding of your company’s general business strategy and knowledge of its
patenting, licensing, and other activities related to intellectual property should complete this section.
What does this section cover?
This section requests information about intellectual property and technology transfer activities such as:
• Patents
• Patent licensing
• Protection of intellectual property
• Transfer of intellectual property
Are responses to this survey confidential?
Yes. Your responses are completely confidential under Title 13, United States Code, and are seen only
by persons sworn to uphold the confidentiality of Census Bureau information. Data provided will be used
only to publish summary statistics that do not identify individual companies. Title 13 also provides that
copies of reports retained in your files are immune from legal process. In addition, reported data are
exempt from requests made under the Freedom of Information Act.
Patents
Number
6-1
How many patents did your company apply for in 2011 from the
U.S. Patent and Trademark Office (USPTO)?
6-2
What percentage of the patent applications reported in Question
6-1 has your company applied for or plans to apply for in foreign
jurisdictions?
%
What percentage of the patent applications reported in Question
6-1 was for inventions that originated within your company’s
organized R&D activities?
%
6-3
SECTION 6
Number
6-4
How many patents were issued to your company in 2011 by the USPTO?
6-5
What percentage of your company’s inventions considered for patenting
in 2011 resulted in patent applications?
%
Patent licensing
$Bil.
6-6
Mil.
Thou.
What was the amount of your company’s patent
licensing revenue in 2011?
Form BRDI-1
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§,"/!¤
11011418
Number
6-7
How many new agreements did your company enter into during 2011
to license patents to others not owned by your company?
Intellectual property transfer activities
6-8
Did your company perform the following activities in 2011?
a. Transferred intellectual property (IP) to others not owned by your
company through participation in technical assistance or
"know how" agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. Received IP from others not owned by your company through
participation in technical assistance or "know how" agreements . . . . . .
Yes
No
c. Transferred IP to a spin-off or spin-out of your company. . . . . . . . . . . .
Yes
No
d. Received IP from a parent company as part of a spin-off or spin-out. . .
Yes
No
e. Acquired more than 50% ownership in another company for the
primary purpose of acquiring their IP. . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Yes
No
Yes
No
h. Allowed free use of patents or other IP owned by your company
(for example, allowing free use of software patents by the open
source community) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
i. Made use of open source patents or other freely available IP not
owned by your company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
f. Acquired any financial interest in another company in order to
gain access to their IP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g. Participated in cross-licensing agreements—the 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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Intellectual property protection
6-9
During 2011, how important to your company were the
following types of intellectual property protection?
Very
important
Somewhat
important
Not
important
a. Utility patents (patents for invention) . . . . . . . . . . . . . . . . . . . .
b. Design patents (patents for appearance) . . . . . . . . . . . . . . . . . .
SECTION 6
c. Trademarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Copyrights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Trade secrets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Mask works (copyright protection for semiconductor products)
Form BRDI-1
41
§,"/3¤
11011426
Business codes
Consumer Goods
33430
Audio and video equipment manufacturing
31210
Beverage manufacturing
33200
Fabricated metal products manufacturing
31100
Food manufacturing
33700
Furniture and related products manufacturing
33990
Miscellaneous manufacturing not listed
elsewhere (games, office supplies,
slot machines, etc.)
32300
Printing and related support activities
32591
Soap, cleaning compound, and toilet
preparations manufacturing
31990
Textile, apparel, and leather products
manufacturing
31220
Tobacco manufacturing
(used in Sections 1, 2, 3, and 7)
Aerospace and Defense
33642
Aircraft engine and engine parts manufacturing
33641
Aircraft manufacturing
33644
Guided missiles, space vehicles, and parts
manufacturing
33692
Military armored vehicle, tank, and tank
components manufacturing
33643
Other aircraft parts and auxiliary equipment
manufacturing
33452
Search, detection, navigation, guidance,
aeronautical, and nautical system and
instruments manufacturing
33660
Ship and boat building
Energy and Mining
33360
Engine, turbine, and power transmission
equipment manufacturing
21200
Mining
33319
Mining, oil, and gas field machinery and
equipment manufacturing
21100
Oil and gas extraction
32401
Petroleum refineries
21300
Support activities for mining,
including oil and gas
Automobiles, Motorcycles, and Components
33620
Motor vehicle body and trailer manufacturing
33630
Motor vehicle parts manufacturing
33610
Motor vehicles manufacturing
33691
Motorcycle, bicycle, and parts manufacturing
33651
Railroad rolling stock manufacturing
33660
Ship and boat building
33699
All other transportation equipment
manufacturing
Capital Equipment
33311
Agricultural machinery and equipment
manufacturing
33332
Commercial, service industry, temperature
control, and airflow control machinery
manufacturing
33312
Construction machinery manufacturing
33500
Electrical equipment, appliances, and
components manufacturing
33360
Engine, turbine, and power transmission
equipment manufacturing
33322
Industrial machinery manufacturing, except
semiconductor machinery
33390
Metalworking and other general purpose
machinery manufacturing
33319
Mining, oil, and gas field machinery and
equipment manufacturing
33331
Photographic and photocopying equipment
manufacturing
Finance, Insurance, and Real Estate
52200
Finance: banking and credit intermediation
52400
Insurance carriers and related activities
53100
Real estate
52310
Securities, commodity contracts, and other
financial investments and related activities
(including funds and trusts)
Healthcare
33451
Electromedical, electrotherapeutic and
irradiation apparatus manufacturing
62200
Hospitals and nursing care facilities
32542
In vitro diagnostic substances manufacturing
62150
Medical and diagnostic laboratories
33910
Medical equipment and supplies manufacturing
62110
Offices of physicians
62199
Other ambulatory health care services
(ambulance, dental, home health care)
32541
Pharmaceutical, medicinal, botanical,
and biological products (except diagnostic)
manufacturing
54173
Research and development services
in biotechnology
54174
Research and development services
in physical, engineering, and life sciences
(except biotechnology)
Chemicals and Materials
32402
Asphalt paving, roofing, and saturated
materials manufacturing
32510
Basic chemicals manufacturing
32790
Cement, concrete, lime, gypsum, and other
nonmetallic mineral product manufacturing
32710
Clay and glass products manufacturing
21200
Mining
32403
Other petroleum and coal products
manufacturing, including motor oil,
hydraulic fluid, and charcoal
32592
Paint, adhesive, and other chemical
manufacturing
32200
Paper manufacturing
32530
Pesticide, fertilizer, and other agricultural
chemical manufacturing
32600
Plastics and rubber products manufacturing
33100
Primary metal manufacturing
32520
Resin, synthetic rubber, and artificial
synthetic fibers and filaments manufacturing
32591
Soap, cleaning compound, and toilet
preparations manufacturing
32100
Wood products manufacturing
Form BRDI-1
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§,"/;¤
11011434
Information Technology - Goods and Services
54150
Computer systems design and related services
33412
Computers and peripheral equipment
manufacturing, including magnetic and
optical media
51800
Data processing, hosting, and related services
33500
Electrical equipment, appliances, and
components manufacturing
45411
Electronic shopping and electronic auctions
33459
Measuring and control instruments
manufacturing (not listed elsewhere)
33429
Other communication equipment
manufacturing (except radio, television,
and wireless communication equipment)
51910
Other information services, including
Internet publishing, broadcasting,
and web search portals
33422
Radio, television, and wireless
communication equipment manufacturing
33440
Semiconductor and other electronic
components manufacturing
33321
Semiconductor machinery manufacturing
51120
Software publishers (except Internet)
33421
Telephone apparatus manufacturing
including routers, modems, and gateways
42500
Wholesale electronic markets and
agents and brokers (business to business)
Other Services
72000
Accommodation and food services
56100
Administrative and support services
71000
Arts, entertainment, and recreation
23000
Construction
53300
Lessors of nonfinancial intangible assets
(including patent licensing)
55100
Management of companies and enterprises
42300
Merchant wholesalers, durable goods
42400
Merchant wholesalers, nondurable goods
51200
Motion picture and sound recording
(except Internet)
51110
Newspaper, periodical, book, and
directory publishers (except Internet)
81000
Other services (not listed elsewhere)
49200
Couriers, messengers, and express delivery
services
53200
Rental and leasing services
44000
Retail trade, except electronic shopping
and electronic auctions
62400
Social assistance services
21300
Support activities for mining,
including oil and gas
48000
Transportation
49300
Warehousing and storage
Professional, Scientific, and Technical Services
54180
Advertising and related services
54130
Architectural, engineering, and related services
54150
Computer systems design and related services
54111
Legal, accounting, tax preparation,
bookkeeping and payroll services
54160
Management, scientific, and
technical consulting services
54190
Professional, scientific, and technical services
(not listed elsewhere)
54173
Research and development services in
biotechnology
54174
Research and development services in
physical, engineering, and life sciences
(except biotechnology)
54172
Research and development services in
social sciences and humanities
54140
Specialized design services
Telecommunications and Utilities
51500
Broadcasting (except Internet)
51790
Other telecommunications (not listed elsewhere)
51740
Satellite telecommunications
22100
Utilities
56200
Waste management and remediation services
51710
Wired telecommunications carriers
51720
Wireless telecommunications carriers
(except satellite)
Form BRDI-1
43
§,"/C¤
11011442
Remarks (Please use the space below for any explanations that may help us understand your reported data.)
We estimate that it will take from .5 to 25 hours to complete this form, with 14.9 hours being the average.
This includes time to read instructions, develop or assemble materials, conduct tests, organize and review the
information, and maintain and report the information. Send comments regarding this burden estimate or any
other aspect of this collection of information, including suggestions for reducing this burden, to:
Paperwork Project 0607-0912
U.S. Census Bureau
4600 Silver Hill Road
AMSD-3K138
Washington, D.C. 20233
You may e-mail comments to [email protected]; use "Paperwork Project 0607-0912" as the subject.
∼ Thank you for completing your 2011 Business R&D and Innovation Survey ∼
PLEASE MAKE A COPY OF THIS FORM FOR YOUR RECORDS AND RETURN THE ORIGINAL
Form BRDI-1
44
§,"/K¤
| File Type | application/pdf |
| File Title | BRDI-1_p01.g |
| File Modified | 2011-12-06 |
| File Created | 2011-12-06 |