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U.S. DEPARTMENT OF COMMERCE
Attachment B
2015 BUSINESS R&D
AND INNOVATION SURVEY
Economics and Statistics Administration
U.S. CENSUS BUREAU
FORM
BRDI-1 (08-18-2015) Draft 4
OMB No. 0607-0912: Approval Expires 12/31/2015
DUE DATE:
Report electronically:
https://econhelp.census.gov/brdis
User ID:
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:
•
•
•
https://econhelp.census.
gov/brdis
Call 1-800-772-7851,
option "5" (8 a.m.–
4:45 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
The survey is conducted under the authority of Title 13, United States Code, Sections 8(b), 131, and
182, and Title 42, United States Code, Sections 1861-76 (National Science Foundation Act of 1950, as
amended).
Title 13, United States Code, Sections 224 and 225 requires businesses and other organizations that
receive this questionnaire to answer the questions and return the report to the U.S. Census Bureau.
Your Response is Confidential by Law
Title 13, United States Code, Section 9 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 R&D and Innovation Survey is a national survey that collects critical information
about research and experimental 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 ∼
§,"S.¤
11015021
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.21
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.35
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.40
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.44
Topics: intellectual property and technology transfer
Requires: knowledge of your company’s general business strategy, patenting, and licensing
Changes from the 2014 survey
On the basis of extensive conversations with many of the 2014 survey respondents, the 2015 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 https://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 https://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 https://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
§,"S6¤
11015039
What is Research and Experimental 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 (experimental development).
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
Does R&D include development of software and Internet applications?
Research and experimental development activity in software and Internet applications refers only to
activities with an element of uncertainty and that are intended to close knowledge gaps and meet
scientific and technological needs. Report in this survey all software R&D as defined here regardless
of the eventual user (internal or external).
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 your company, including all subsidiaries and divisions regardless of location.
Include only subsidiary companies where there is more than 50 percent ownership. If you are owned
by a foreign parent, the reporting unit for the survey is your U.S.-located company, including all your
majority-owned subsidiaries and divisions regardless of location. For reporting purposes, your foreign
parent and any foreign affiliates your company does not own should be treated the same as any
business partner, customer, or supplier you do not own.
Reporting period
Report data for the calendar year 2015, if possible, or for your company’s fiscal year ending between
April 2015 and March 2016.
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 4:45 p.m. EST, M-F to help with any questions you may have.
Form BRDI-1
3
§,"SH¤
SECTION 1
11015047
SECTION 1
Company Information
1-1
Was your company a majority-owned subsidiary of a foreign company in 2015?
Yes ➔ Please provide the following information and then skip to Question 1-3:
Name of parent company
REPORTING INSTRUCTIONS FOR FOREIGN-OWNED COMPANIES:
If you are owned by a foreign parent, the reporting unit for the survey is your U.S.-located
company, including all your majority-owned subsidiaries and divisions regardless of location. For
reporting purposes, your foreign parent and any foreign affiliates your company does not own
should be treated the same as any business partner, customer, or supplier you do not own.
If you pay your foreign parent 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 parent 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
1-2
Did another U.S. company other than a holding company own more than 50 percent
of the voting interest in your company during 2015?
Yes ➔ Please provide the following information:
Name of parent company
EIN of owner (9 digits)
Date parent
company purchased
your company
(MM)
(DD)
(YYYY)
REPORTING INSTRUCTIONS FOR U.S.-OWNED COMPANIES:
If your company was purchased between April 1, 2015 and December 31, 2015, report only for
the period January 1, 2015 to the date of purchase. If your company was purchased before
April 1, 2015, complete Question 1-6 and return this form to the Census Bureau – you are not
required to complete the rest of this survey unless your owner instructs you to complete this
survey.
No
Form BRDI-1
4
§,"SP¤
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 2015?
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, 2015 and December 31, 2015, report only
for the period January 1, 2015 to the date your company ceased operations. If your company
ceased operations before April 1, 2015, 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 2015?
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
§,"SW¤
SECTION 1
11015054
SECTION 1
11015062
Business Codes
1-7
Do the business code(s) listed below reflect all applicable codes from the list on
pages 46-47 in which your company operated worldwide during 2015?
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 46-47
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 46-47 in the spaces provided.
Business code
(see pages 46-47)
Description
Form BRDI-1
6
§,"S_¤
1-8
What was the amount of your company’s worldwide sales and revenues
during 2015?
$Bil.
Mil.
SECTION 1
11015070
Thou.
Include:
• Sales and operating revenues from discontinued operations
1-9
How much of the amount reported in Question 1-8 was attributable to or originated
from domestic operations?
Include:
• Sales and operating revenues to foreign customers,
including foreign subsidiaries
Example: U.S. Manufacturing Corporation sells parts to
customers around the world. However, because all its
operations are located inside the United States it reports 100%
of its sales in this question.
1-10
$Bil.
Mil.
Thou.
How much of the 2015 sales and operating revenue amounts was for each business
code listed or amended in Question 1-7:
(1) Worldwide sales and operating revenues reported in Question 1-8
(2) Domestic sales and operating revenues reported in Question 1-9
Business code
(see page 6)
$Bil.
(1)
Worldwide sales and
operating revenues
Mil.
Thou.
$Bil.
(2)
Domestic sales and
operating revenues
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
§,"Sg¤
SECTION 1
11015088
Product (good or service) innovation
A product innovation is the market introduction of a new or significantly improved good or service
with respect to its capabilities, user friendliness, components, or sub-systems.
• Product innovations (new or improved) must be new to your company, but they do not need to
be new to your market.
• Product innovations could have been originally developed by your company or by other
companies.
1-11
1-12
During the three years 2013 to 2015, did your company introduce:
a. New or significantly improved goods (Exclude the simple resale
of new goods purchased from other companies and changes of
a solely aesthetic nature)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. New or significantly improved services? . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
If you answered "yes" to either 1-11, line a, or 1-11, line b, were any of your product
innovations during the three years 2013 to 2015:
a. New to your market?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Yes
No
Your company introduced a new or significantly improved good or
service to your market before your competitors. (It may have been
available in other markets.)
b. New only to your company? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Your company introduced a new or significantly improved good or
service that was already available from your competitors in your
market.
1-13
Using the definitions above, please give the percentage of your total
sales in 2015 from:
a. New or significantly improved goods and services introduced during
2013 to 2015 that were new to your market . . . . . . . . . . . . . . . . . . . . . . . . .
%
b. New or significantly improved goods and services introduced during
2013 to 2015 that were new only to your company. . . . . . . . . . . . . . . . . . . .
%
c. Goods and services that were unchanged or only marginally modified
during 2013 to 2015 (include the resale of new goods or services
purchased from other companies) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
%
1 0 0 %
d. Total sales in 2015 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
8
§,"Sy¤
Process innovation
A process innovation is the implementation of a new or significantly improved production process,
distribution method, or support activity for your goods or services.
• Process innovations must be new to your company, but they do not need to be new to your
market.
• The innovation could have been originally developed by your company or by other companies.
• Exclude purely organizational innovations.
1-14
During the three years 2013 to 2015, did your company introduce:
a. New or significantly improved methods of manufacturing or
producing goods or services? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. New or significantly improved logistics, delivery or distribution
methods for your inputs, goods, or services? . . . . . . . . . . . . . . . . . . . .
Yes
No
c. New or significantly improved supporting activities for your
processes, such as maintenance systems or operations for
purchasing, accounting, or computing? . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Form BRDI-1
9
§,"S£¤
SECTION 1
11015096
11015104
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 2015?
If your company is publicly traded, this amount is equivalent
to that disclosed on SEC Form 10-K as defined in FASB ASC Topic
730, Research and Development (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 https://econhelp.census.gov/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 R&D 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
f. Phase IV clinical trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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 2015.
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 Question 2-31 on page 20
Form BRDI-1
10
§,"T%¤
11015112
Indirect R&D charges
2-6
How much of the amount reported in Question 2-4
was for R&D costs your company plans to recoup
through indirect charges on U.S. federal government
contracts (IR&D or independent R&D)?
$Bil.
Mil.
Thou.
2-7
SECTION 2
R&D paid for by your company
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?
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.
Business code
(see page 6)
$Bil.
a.
................................
b.
................................
c.
................................
d.
................................
e.
................................
f.
................................
g.
................................
h.
................................
Mil.
Thou.
i. Total (equals Question 2-4) . . . . . . . . . . . . . . . . . . . . . . . . .
2-8
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 is paid
for by foreign subsidiaries] . . . . . . . . . . . . . . . . . . . . . . . . . .
$Bil.
Mil.
Thou.
b. All other countries (also, Puerto Rico) [Include R&D
performed by foreign subsidiaries that is paid for
by domestic operations] . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Total (equals Question 2-4). . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
11
§,"T-¤
11015120
2-9
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Copy the amount from Question 2-8, line a. This is the
total domestic R&D paid for by your company in 2015.
2-11 How much of the (1) domestic, (2) foreign, and (3) total worldwide R&D paid for by
your company in 2015 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
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
Question continues on next page
Form BRDI-1
12
§,"T5¤
SECTION 2
2-10 Copy the amount from Question 2-8, line b. This is the
total foreign R&D paid for by your company in 2015.
11015138
2-11 (Continued)
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
SECTION 2
k. All other costs
l. Total
Total equals Question 2-9
Total equals Question 2-10
Total equals Question 2-4
2-12 Add 2-11, lines h and i for each column, and enter the result here.
This is R&D performed by others.
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
$Bil.
(3)
Total worldwide
Mil.
Thou.
2-13 Subtract 2-12 from 2-11, 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.
2-14 Copy the amount from Question 2-13, column 2.
This is the foreign R&D paid for and performed by
your company in 2015.
$Bil.
$Bil.
(3)
Total worldwide
Mil.
Thou.
Mil.
Thou.
2-15 Of the amount reported in Question 2-14, how much R&D was performed in the
following locations? For full list of countries in each region see Question by Question Guidance at https://econhelp.census.gov/brdis.
$Bil.
Mil.
Thou.
$Bil.
Canada . . . . . . .
Denmark . . . . . .
Puerto Rico . . . .
Finland . . . . . . . .
Europe
$Bil.
Mil.
Mil.
Thou.
France . . . . . . . . .
Thou.
Austria. . . . . . . .
Germany. . . . . . .
Belgium . . . . . . .
Hungary . . . . . . .
Czech Rep . . . . .
Ireland . . . . . . . .
Question continues on next page
Form BRDI-1
13
§,"TG¤
11015146
SECTION 2
2-15 (Continued)
$Bil.
Mil.
Thou.
Asia and Pacific
Italy . . . . . . . . . .
Australia . . . . . . .
Luxembourg . . .
China . . . . . . . . .
Netherlands . . . .
Hong Kong . . . . .
Norway . . . . . . .
India . . . . . . . . . .
Poland . . . . . . . .
Indonesia . . . . . .
Russia . . . . . . . .
Japan . . . . . . . . .
Spain . . . . . . . . .
Malaysia . . . . . . .
Sweden . . . . . . .
New Zealand . . .
Switzerland . . . .
Singapore . . . . . .
Turkey . . . . . . . .
South Korea . . . .
United
Kingdom . . . . . .
Taiwan . . . . . . . .
Other
Europe. . . . . . . .
Thailand . . . . . . .
Latin America/
Other Western
Hemisphere
$Bil.
Mil.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Other Asia/
Pacific . . . . . . . . .
Thou.
Middle East
Argentina . . . . . .
Israel . . . . . . . . . .
Brazil . . . . . . . . .
Other
Middle East. . . . .
Chile . . . . . . . . .
Africa
Mexico. . . . . . . .
South Africa . . . .
Other Latin
America/OWH . .
Other Africa . . . .
Total (equals
Question 2-14) . . .
2-16 Copy the amount from Question 2-13, column 1.
This is the domestic R&D paid for and performed
by your company in 2015.
Form BRDI-1
14
§,"TO¤
11015153
2-17 How much of the amount reported in Question 2-16 was performed in each state
(including D.C.) in 2015?
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
§,"TV¤
11015161
2-17 (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 2-16) . . .
Mil.
Thou.
2-18 At what domestic location did your company perform the largest dollar amount of
R&D in 2015?
Address 1
Address 2
City
State
$Bil.
ZIP
Mil.
Thou.
2-19 How much of the amount reported in Question 2-16
was from the location identified in Question 2-18?
Form BRDI-1
16
§,"T^¤
11015179
2-20 At what domestic location did your company perform the second largest dollar
amount of R&D in 2015?
Address 1
City
State
$Bil.
SECTION 2
Address 2
ZIP
Mil.
Thou.
2-21 How much of the amount reported in Question 2-16
was from the location identified in Question 2-20?
2-22 Of the domestic R&D performed by your company reported in Question 2-16, how
much was for each business code reported in Question 2-7?
(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 2-16
Form BRDI-1
17
§,"Tp¤
11015187
R&D transactions between legal entities under common ownership
2-23 How much of the amount reported in Question 2-16 (domestic R&D performance) was
paid for by your company’s foreign subsidiaries through inter-company transactions?
SECTION 2
Example: Company Y owns a subsidiary in France. In order to
complete the development of a product in 2015, 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.
2-24 How much of the amount reported in Question 2-14 (foreign R&D performance) was
paid for by your company’s domestic operations through inter-company transactions?
Example: Company Z owns a subsidiary in France. In order to
complete the development of a product in 2015, 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.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
R&D performed by others
2-25 Copy the amount from Question 2-12, column 1.
This is the domestic R&D paid for by your company
in 2015 that was performed by others.
2-26 How much of the amount reported in Question 2-25, was
performed by the following types of organizations?
a. Companies located inside the United States . . . . . . . . . . . . .
b. Your company’s foreign parent (if you are owned by a
foreign parent). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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 2-25) . . . . . . .
Form BRDI-1
18
§,"Tx¤
11015195
Activities with academia
2-27 In addition to the amount reported in Question 2-25, did your company make monetary
gifts to U.S. universities or colleges in 2015 that included support for R&D?
Yes ➔ Continue with Question 2-28
2-28 What was the amount of monetary gifts made by
your company to U.S. universities or colleges in 2015
that was for R&D?
$Bil.
Mil.
Thou.
Projected R&D for 2016
2-29 What are your company’s projected 2016 costs for (1) domestic, (2) foreign, and
(3) total worldwide R&D paid for by your company?
NOTE: These amounts are the 2016 projections for the amounts
reported in Question 2-11, line l.
$Bil.
(1)
Domestic
Mil.
Thou.
$Bil.
(2)
Foreign
Mil.
Thou.
2-30 How much of the amount reported in Question 2-29,
column 1, is for projected purchased R&D services
and projected payments to business partners for
collaborative R&D?
Form BRDI-1
19
$Bil.
(3)
Total worldwide
Mil.
Thou.
Domestic
$Bil.
Mil.
Thou.
§,"T¢¤
SECTION 2
No ➔ Skip to Question 2-29
11015203
Capital expenditures
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
SECTION 2
2-31 What was the amount of your company’s capital
expenditures in the domestic United States in 2015?
2-32 How much of the amount reported in Question 2-31 was
for R&D operations?
2-33
How much of the amount reported in Question 2-32 was
for the following?
a. Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Capitalized software . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. All other capital expenditures for R&D operations . . . . . . . .
e. Total domestic capital expenditures for R&D
(equals Question 2-32) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Reporting information
2-34 Is the information in this section reported for the 2015 calendar year?
Yes
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
to
Form BRDI-1
20
§,"U$¤
11015211
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.
What were your company’s total worldwide costs (both direct and indirect) in 2015
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
parent (if you are owned by a foreign parent) . . . . . . . . . . . .
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 RDT&E goods or services (including DOD 6.1
through 6.7 funding), provided as a prime or as a sub,
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. Prototype development, production, and testing for
customer’s products prior to their introduction to the
market (excluding defense-related prototyping reported
in line d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
i. All other R&D services, not included above, provided to
the Federal Government or to others not owned by your
company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
j. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
21
§,"U,¤
SECTION 3
3-1
11015229
$Bil.
3-2
Copy the amount from Question 3-1, line j. This is the
total R&D paid for by others in 2015.
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 35
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 2015.
3-6
Copy the amount from Question 3-4, line b. This is the
total foreign R&D paid for by others in 2015.
Form BRDI-1
22
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
§,"U>¤
11015237
3-7
How much of the (1) domestic, (2) foreign, and (3) total worldwide R&D paid for by
others in 2015 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
c. Temporary staffing, including on-site consultants
SECTION 3
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
23
Total equals Question 3-2
§,"UF¤
11015245
3-8
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
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.
SECTION 3
(1)
Domestic
Mil.
(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? For full list of countries in each region see Question by Question Guidance at https://econhelp.census.gov/brdis.
$Bil.
Mil.
Thou.
$Bil.
Canada . . . . . . .
Italy. . . . . . . . . . .
Puerto Rico . . . .
Luxembourg . . . .
Europe
$Bil.
Mil.
Mil.
Thou.
Thou.
Netherlands . . . .
Austria . . . . . . .
Norway. . . . . . . .
Belgium . . . . . . .
Poland . . . . . . . .
Czech Rep . . . . .
Russia . . . . . . . . .
Denmark . . . . . .
Spain . . . . . . . . .
Finland . . . . . . .
Sweden . . . . . . .
France . . . . . . . .
Switzerland . . . .
Germany . . . . . .
Turkey. . . . . . . . .
Hungary . . . . . . .
United
Kingdom. . . . . . .
Ireland . . . . . . . .
Question continues on next page
Form BRDI-1
24
§,"UN¤
11015252
3-11 (Continued)
$Bil.
Thou.
New Zealand
.....
Latin America/
Other Western
Hemisphere
Argentina
$Bil.
Mil.
Singapore
Thou.
...
.......
Taiwan
Chile
.......
Thailand
Mexico
Other Latin
America/OWH
China
India
Middle East
$Bil.
Mil.
Thou.
Israel
Africa
Mil.
Thou.
$Bil.
Mil.
Thou.
...
South Africa
..
.......
Other Africa
...
Malaysia
$Bil.
........
..
Japan
Thou.
.....
......
Indonesia
Mil.
. .
......
Other
Middle East
Hong Kong
$Bil.
....
....
Australia
Thou.
Other Asia/
Pacific . . . . . . .
.....
Asia and Pacific
Mil.
. .
South Korea
Brazil
$Bil.
...
Total (equals
Question 3-10). . .
......
....
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.
Form BRDI-1
25
§,"UU¤
SECTION 3
Other
Europe
Mil.
11015260
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). . . . . . . . . . . . . . . . . . . . . . . . .
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.
a. Other companies located inside the United States. . . . . . . . .
b. Your company’s foreign parent (if you are owned by a
foreign parent). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Other companies located outside the United States . . . . . . .
d. U.S. federal government agencies or laboratories . . . . . . . . .
Question continues on next page
Form BRDI-1
26
§,"U]¤
11015278
3-14 (Continued)
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
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 outside the United States . . . . . . . . .
3-15 Add Question 3-14, lines a, b, and c, and enter the
result here. This is the R&D that was paid for by
other companies.
3-16 Using the list of business codes printed below, allocate the amount reported in
Question 3-15 based on the industries of the companies that paid for the R&D.
As needed, enter additional codes from pages 46-47 in the spaces provided.
Business code
Description
a.
3 2 5 4 3
Biotechnology-based pharmaceutical
and biological products (except
diagnostics) . . . . . . . . . . . . . . . . . . . . . .
b.
3 2 5 4
1
Pharmaceutical, medicinal, and
botanical products manufacturing . . . . .
c.
3 3 5 0 0
Electrical equipment, appliances, and
components manufacturing . . . . . . . . . .
d.
3 3 4 4 0
Semiconductor and other electronic
components manufacturing . . . . . . . . . .
e.
3 3 9
1
0
Medical equipment and supplies
manufacturing . . . . . . . . . . . . . . . . . . . .
f.
3 3 6
1
0
Motor vehicles manufacturing . . . . . . . .
$Bil.
g.
..
h.
..
i.
..
j.
Total (equals Question 3-15) . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
27
Mil.
Thou.
§,"Uo¤
SECTION 3
i. Total (equals Question 3-12) . . . . . . . . . . . . . . . . . . . . . . . . .
11015286
3-17 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.
3-18
$Bil.
How much of the amount reported in Question 3-17 was paid
for by the following agencies?
$Bil.
Mil.
Thou.
Mil.
Thou.
a. Department of Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Department of Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. National Aeronautics and Space Administration . . . . . . . . . .
SECTION 3
d. National Institutes of Health . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Department of Homeland Security . . . . . . . . . . . . . . . . . . . . .
f. Department of Transportation . . . . . . . . . . . . . . . . . . . . . . . .
g. Environmental Protection Agency. . . . . . . . . . . . . . . . . . . . . .
h. National Science Foundation . . . . . . . . . . . . . . . . . . . . . . . . .
i. All other, please specify:
....
j. Total (equals Question 3-17). . . . . . . . . . . . . . . . . . . . . . . . .
3-19 How much of the amount reported in Question 3-17 was performed under the
following types of agreements?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Contracts (include direct or prime contracts and
subcontracts). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Grants, reimbursements, and all other agreements . . . . . . . .
c. Total (equals Question 3-17) . . . . . . . . . . . . . . . . . . . . . . . . .
3-20
Subtract Question 3-17 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.
Form BRDI-1
28
§,"Uw¤
11015294
3-21 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 3-17
(2) Domestic R&D paid for by nonfederal sources reported in Question 3-20
(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
SECTION 3
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Question continues on next page
Form BRDI-1
29
§,"U¡¤
11015302
3-21 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Idaho
Illinois
Indiana
SECTION 3
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Question continues on next page
Form BRDI-1
30
§,"V#¤
11015310
3-21 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Missouri
Montana
Nebraska
SECTION 3
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Question continues on next page
Form BRDI-1
31
§,"V+¤
11015328
3-21 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Pennsylvania
Rhode Island
South Carolina
SECTION 3
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Question continues on next page
Form BRDI-1
32
§,"V=¤
11015336
3-21 (Continued)
$Bil.
(1)
Federal
Mil.
Thou.
$Bil.
(2)
Nonfederal
Mil.
Thou.
$Bil.
(3)
Total
Mil.
Thou.
Total
Total equals Question 3-17
Total equals Question 3-20
Total equals Question 3-12
3-22 At what domestic location did your company perform the largest dollar amount of
R&D that was paid for by others in 2015?
Address 1
City
State
$Bil.
SECTION 3
Address 2
ZIP
Mil.
Thou.
3-23 How much of the amount reported in Question 3-12
was from the location identified in Question 3-22?
3-24 At what domestic location did your company perform the second largest dollar
amount of R&D that was paid for by others in 2015?
Address 1
Address 2
City
State
$Bil.
ZIP
Mil.
Thou.
3-25 How much of the amount reported in Question 3-12
was from the location identified in Question 3-24?
Form BRDI-1
33
§,"VE¤
11015344
R&D performed by others
3-26 Copy the amount from Question 3-8, column 1. This
is the domestic R&D performed by others that was
paid for by others.
3-27 Of the amount reported in Question 3-26, how much
R&D was paid for by U.S. federal government agencies
or laboratories?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
Mil.
Thou.
Mil.
Thou.
Projected R&D paid for by others in 2016
SECTION 3
3-28 What are your company’s projected 2016 costs for R&D
that will be paid for by others?
NOTE: This amount is the 2016 projection for what is
reported in Question 3-2.
3-29 How much of the projected costs in 2016 for R&D that will
be paid for by others reported in Question 3-28 will be
$Bil.
performed by your company in the United States?
NOTE: This amount is the 2016 projection for what is
reported in Question 3-12.
3-30 How much of the projected costs in 2016 for domestic R&D
performed by your company that will be paid for by others
reported in Question 3-29 will be paid for by the
$Bil.
U.S. federal government?
NOTE: This amount is the 2016 projection for what is
reported in Question 3-17.
Form BRDI-1
34
§,"VM¤
11015351
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 2015.
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 4-15 on page 37
What percentage of the amount reported in Question 4-1 was directed toward
business areas or product lines that are new to your company?
Example: Company A manufactures laptop computers. In 2015 Company A’s
management decided to attempt to enter the cellular phone market and used a portion
of the company’s R&D budget to develop cellular phones. Because this was a new line
of business in 2015, Company A reports this R&D in this question.
%
Characteristics of domestic R&D paid for and performed by your company
4-4
Copy the amount from Question 2-16. This is the
domestic R&D paid for and performed by your
company.
4-5
How much of the amount reported in Question 4-4
was for the following categories?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Experimental development–the systematic use of
research and practical experience to produce new or
significantly improved goods, services, or processes . . . . . . .
c. Total (equals Question 4-4). . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
35
§,"VT¤
SECTION 4
4-3
11015369
4-6
If you reported any research in Question 4-5, line a, how
much of that research was for the following categories?
$Bil.
Mil.
Thou.
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 4-5, line a) . . . . . . . . . . . . . . . . . . . .
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 4-7 to 4-11.
4-7
What percentage of the amount reported in Question 4-4 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 2015, 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.
SECTION 4
4-8
4-9
%
What percentage of the amount reported in Question 4-4 had
environmental protection applications, including pollution
abatement?
%
What percentage of the amount reported in Question 4-4 had
defense applications, including military applications and general
security-related R&D?
%
4-10 What percentage of the amount reported in Question 4-4 had
health or medical applications?
%
4-11 What percentage of the amount reported in Question 4-4 had
agricultural applications?
%
Technology focus of domestic R&D paid for and performed by your company
NOTE: You may report the same R&D in multiple areas for Questions 4-12 to 4-14.
4-12 What percentage of the amount reported in Question 4-4 was for
software products or software embedded in other projects or products?
%
4-13 What percentage of the amount reported in Question 4-4 was for
biotechnology—the use of cellular and bio-molecular processes to
solve problems or make useful products?
%
4-14 What percentage of the amount reported in Question 4-4 was for
nanotechnology—the science and technology involving work at the
nanometer scale?
%
Form BRDI-1
36
§,"Vf¤
11015377
Domestic R&D performed by your company that was paid for by others
4-15 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.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
4-16 Is the amount entered in Question 4-15 greater than zero?
Yes ➔ Continue with Question 4-17
No ➔ Skip to Question 4-32 on page 39
4-17 How much of the amount reported in Question 4-15
was for the following categories?
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Experimental development–the systematic use of
research and practical experience to produce new or
significantly improved goods, services, or processes . . . . . . .
4-18 If you reported any research in Question 4-17, line a, how
much of that research was for the following categories?
SECTION 4
c. Total (equals Question 4-15). . . . . . . . . . . . . . . . . . . . . . . . .
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 4-17, line a). . . . . . . . . . . . . . . . . . . .
NOTE: You may report the same R&D in multiple areas for Questions 4-19 to 4-23.
4-19 What percentage of the amount reported in Question 4-15 had energy
applications, including energy production, distribution, storage, and
efficiency (excluding exploration and prospecting)?
%
4-20 What percentage of the amount reported in Question 4-15 had
environmental protection applications, including pollution
abatement?
%
4-21
4-22
What percentage of the amount reported in Question 4-15 had
defense applications, including military applications and general
security-related R&D?
%
What percentage of the amount reported in Question 4-15 had
health or medical applications?
%
Form BRDI-1
37
§,"Vn¤
11015385
4-23
What percentage of the amount reported in Question 4-15 had
agricultural applications?
%
Technology focus of domestic R&D performed by your company that was
paid for by others
NOTE: You may report the same R&D in multiple areas for Questions 4-24 to 4-26.
4-24 What percentage of the amount reported in Question 4-15 was for
software products or software embedded in other projects or products?
%
4-25 What percentage of the amount reported in Question 4-15 was
for biotechnology—the use of cellular and bio-molecular processes
to solve problems or make useful products?
%
4-26 What percentage of the amount reported in Question 4-15 was
for nanotechnology—the science and technology involving work at
the nanometer scale?
%
SECTION 4
Domestic R&D performed by your company that was paid for by the
U.S. federal government
4-27 Copy the amount from Question 3-17. 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.
4-28 Is the amount entered in Question 4-27 greater than zero?
Yes ➔ Continue with Question 4-29
No ➔ Skip to Question 4-32 on page 39
4-29 How much of the amount reported in Question 4-27 was
for the following categories?
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Experimental development–the systematic use of
research and practical experience to produce new or
significantly improved goods, services, or processes . . . . . . .
c. Total (equals Question 4-27). . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
38
§,"Vv¤
11015393
4-30 If you reported any research in Question 4-29, line a, how
much of that research was for the following categories?
$Bil.
Mil.
Thou.
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 4-29, line a). . . . . . . . . . . . . . . . . . . .
4-31 What percentage of the amount reported in Question 4-27 was for
software products or software embedded in other projects or products?
%
Characteristics of foreign R&D paid for and performed by your company
4-32 Copy the amount from Question 2-14. This is the
foreign R&D paid for and performed by your
company.
4-33 How much of the amount reported in Question 4-32
was for the following categories?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
SECTION 4
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Experimental development–the systematic use of
research and practical experience to produce new or
significantly improved goods, services, or processes . . . . . . .
c. Total (equals Question 4-32) . . . . . . . . . . . . . . . . . . . . . . . . .
Characteristics of foreign R&D performed by your company that was paid
for by others
4-34 Copy the amount from Question 3-10. This is the
foreign R&D performed by your company and paid
for by others.
4-35 How much of the amount reported in Question 4-34
was for the following categories?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Research–the planned, systematic pursuit of new
knowledge or understanding . . . . . . . . . . . . . . . . . . . . . . . . .
b. Experimental development–the systematic use of
research and practical experience to produce new or
significantly improved goods, services, or processes . . . . . . .
c. Total (equals Question 4-34) . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
39
§,"V~¤
11015401
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. Include employment data for operations or subsidiaries for
which your company owned more than 50 percent.
5-1
What was the total number of worldwide employees working at
your company for the pay period that included March 12, 2015?
Include:
• Full- and part-time employees
Number
Exclude:
• Leased or temporary employees and 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 the
first quarter filing of 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 and how many
were all other 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. Exclude employees who provide only 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
40
§,"W"¤
11015419
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 . . . . . . . . . . .
SECTION 5
b. R&D technicians and
technologists. . . . . . . . .
c. R&D support staff
(clerical and other) . . . .
d. Total R&D employees
Total line equals Question 5-4
5-7
How many of the R&D scientists, engineers, and managers reported in Question 5-6,
line a, had the following level of education?
(1)
Domestic
Operations
(2)
Foreign
Operations
(3)
Total
PhD (excluding MD,
JD, and EdD) . . . . . . . . . . .
Form BRDI-1
41
§,"W4¤
11015427
Domestic full-time equivalents (FTEs)
5-8
Of the domestic R&D employees reported in Question 5-4, column 1, what was the
number of full-time equivalents (FTEs) for R&D activity for full-time R&D employees,
other full-time employees not working solely on R&D, and part-time employees?
Number
a. FTEs for full-time R&D employees
Count the number of full-time employees who work only on R&D. . . . .
Example:
50 full-time R&D employees worked only on R&D = 50 FTEs
b. FTEs for other full-time employees not working solely on R&D
Use the share of the time they work on R&D to calculate the
number of FTEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
........
Example:
60 full-time employees averaged one-fourth of their time on R&D = 15 FTEs
c. FTEs for part-time employees working on R&D
Use the share of a full-time week (such as 40 hours) that they work
on R&D to calculate the FTEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
........
Example:
20 part-time employees averaged 20 hours a week on R&D activities = 10 FTEs
d. Total FTEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
SECTION 5
Total FTEs should not exceed Question 5-4, column 1.
Form BRDI-1
42
§,"W<¤
11015435
5-9
Of the domestic R&D scientists, engineers, and managers reported in Question 5-6,
row a, column 1, what was the number of full-time equivalents (FTEs) for R&D
activity for full-time R&D employees, other full-time employees not working solely
on R&D, and part-time employees?
Number
a. FTEs for full-time R&D scientists, engineers, and managers
Count the number of full-time employees who work only on R&D. . . . .
Example:
50 full-time R&D scientists worked only on R&D = 50 FTEs
b. FTEs for other full-time scientists, engineers, and managers not
working solely on R&D
Use the share of the time they work on R&D to calculate the
number of FTEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
........
Example:
60 full-time managers averaged one-fourth of their time on R&D = 15 FTEs
c. FTEs for part-time scientists, engineers, and managers working
on R&D
Use the share of a full-time week (such as 40 hours) that they work
on R&D to calculate the FTEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
........
Example:
20 part-time employees averaged 20 hours a week on R&D activities = 10 FTEs
d. Total FTEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5-10
How many of the R&D scientists, engineers, and managers reported in Question 5-6,
line a, column 1, were non-U.S. citizens employed in the United States under a
temporary visa, such as H-1B or L-1?
(1)
Domestic
Operations
R&D scientists, engineers, and managers employed under
a temporary visa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
43
§,"WD¤
SECTION 5
Total FTEs should not exceed Question 5-6, line a, column 1.
11015443
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, and transfer of intellectual property
Are responses to this survey confidential?
Yes. Your responses are completely confidential under Title 13, United States Code, Section 9, 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. The law 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.
Total patents and utility patents
Number
6-1
How many total patents did your company apply for in 2015 from
the U.S. Patent and Trademark Office (USPTO)?
6-2
Of the patent applications reported in Question 6-1, what was the
number of nonprovisional utility patent applications?
6-3
What percentage of the nonprovisional utility patent applications
reported in Question 6-2 has your company applied for or plans to
apply for in foreign jurisdictions?
%
What percentage of the nonprovisional utility patent applications
reported in Question 6-2 was for inventions that originated within
your company’s organized R&D activities?
%
Number
6-4
SECTION 6
Number
6-5
How many utility patents were issued to your company in 2015 by
the USPTO?
6-6
What percentage of your company’s inventions considered for
patenting in 2015 resulted in nonprovisional utility patent applications?
%
Utility patent sales and licensing to others
6-7
How much revenue did your company receive in
2015 from the sale of utility patents?
6-8
How much revenue did your company receive in
2015 from utility patent licensing?
Form BRDI-1
44
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
§,"WL¤
11015450
Utility patent purchases and licensing from others
6-9
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
How much did your company pay others in 2015
to purchase utility patents?
6-10 How much did your company pay others in 2015
to license utility patents?
Intellectual property transfer activities
6-11 Did your company perform the following activities in 2015?
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, open source software) . . . . . . . . . . . . . . . . . . . . . . . . . . .
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
6-12 During 2015, how important to your company were the
following types of intellectual property protection?
Very
important
Somewhat
important
Not
important
SECTION 6
a. Utility patents (patents for invention) . . . . . . . . . . . . . . . . . . . .
b. Design patents (patents for appearance) . . . . . . . . . . . . . . . . . .
c. Trademarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Copyrights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Trade secrets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Mask works (copyright protection for semiconductor products)
Form BRDI-1
45
§,"WS¤
11015468
Business codes
Consumer Goods
33333
Digital cameras manufacturing
33430
Audio and video equipment manufacturing
31210
Beverage manufacturing
33200
Fabricated metal products manufacturing
31100
Food manufacturing
33700
Furniture and related products manufacturing
32300
Printing and related support activities
32591
Soap, cleaning compound, and toilet
preparations manufacturing
31990
Textile, apparel, and leather products
manufacturing
31220
Tobacco manufacturing
33990
Miscellaneous manufacturing not listed
elsewhere (games, office supplies,
slot machines, etc.)
(used in Sections 1, 2, and 3)
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
33452
Search, detection, navigation, guidance,
aeronautical, and nautical system and
instruments manufacturing
33660
Ship and boat building
33643
Other aircraft parts and auxiliary equipment
manufacturing
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
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
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
32543
Biotechnology-based pharmaceutical and
biological products (except diagnostics)
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
32541
Pharmaceutical, medicinal, and botanical
products manufacturing
54173
Research and development services
in biotechnology
54174
Research and development services
in physical, engineering, and life sciences
(except biotechnology)
62199
Other ambulatory health care services
(ambulance, dental, home health care)
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
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
32403
Other petroleum and coal products
manufacturing, including motor oil,
hydraulic fluid, and charcoal
Form BRDI-1
46
§,"We¤
11015476
Information Technology - Goods and Services
33333
Digital cameras manufacturing
51801
Cloud computing applications and internet
based software 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)
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)
33429
Other communication equipment
manufacturing (except radio, television,
and wireless communication equipment)
51910
Other information services, including
Internet publishing, broadcasting,
and web search portals
Other Services
72000
Accommodation and food services
56100
Administrative and support services
71000
Arts, entertainment, and recreation
23000
Construction
49200
Couriers, messengers, and express delivery
services
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)
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
81000
Other services (not listed elsewhere)
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)
51740
Satellite telecommunications
22100
Utilities
56200
Waste management and remediation services
51710
Wired telecommunications carriers
51720
Wireless telecommunications carriers
(except satellite)
51790
Other telecommunications (not listed elsewhere)
Form BRDI-1
47
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11015484
Remarks (Please use the space below for any explanations that may help us understand your reported data.)
Public reporting burden for this collection of information is estimated to average 15 hours per response,
including the time for reviewing instructions, researching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of information. Send comments regarding this
burden estimate or any other aspect of this collection of information, including suggestions for reducing this
burden, to: ECON Survey Comments 0607-0912, U.S. Census Bureau, 4600 Silver Hill Road, Room EMD-8K122,
Washington, DC 20233. You may e-mail comments to [email protected]. Be sure to use
ECON Survey Comments 0607-0912 as the subject. You are not required to respond to this collection of
information if it does not display a valid approval number from the Office of Management and Budget (OMB).
The eight-digit OMB number is 0607-0912 and appears in the upper right corner of the first page of this report
form.
∼ Thank you for completing your 2015 Business R&D and Innovation Survey ∼
PLEASE MAKE A COPY OF THIS FORM FOR YOUR RECORDS AND RETURN THE ORIGINAL
Form BRDI-1
48
§,"Wu¤
| File Type | application/pdf |
| File Modified | 2015-08-31 |
| File Created | 2015-08-18 |