BRDI-1(S) 2015 Business R&D and Innovation Survey (Short Form)

11075017 Attachment C
U.S. DEPARTMENT OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU
FORM

2015 BUSINESS R&D AND
INNOVATION SURVEY

BRDI-1(S) (08-18-2015) D4

OMB No. 0607-0912: Approval Expires 12/31/2015

DUE DATE:

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U.S. CENSUS BUREAU
1201 East 10th Street
Jeffersonville, IN 47132-0001
(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.
Why did your company receive this survey?
The Census Bureau surveys a broad cross section of U.S. businesses to better identify which companies
engage in R&D activities. Even companies that have no R&D activity are required to complete the survey.
The data all companies provide are used to produce economic indicators related to sales, employment
and innovation.

INTERNET REPORTING OPTION AVAILABLE – We encourage you to complete
this survey online at: https://econhelp.census.gov/brdscr
User ID:

Password:

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.

∼ This survey is jointly conducted by the U.S. Census Bureau and the National Science Foundation ∼

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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.

For further instructions, please visit: https://econhelp.census.gov/brdscr
Form BRDI-1(S)

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Company Information
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 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
response to Question 11.
If your foreign parent pays or reimburses your company for R&D services, the costs for this
R&D should be included in your response to Question 16, line a.

No
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 parent company (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, 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
3

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, return this form to the Census Bureau – you are not required to
complete the rest of this survey.

No

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4

Please provide the name and phone number of the person completing this survey.
Name

Telephone
Area code

Number

Extension

E-mail address

5

Please describe your company’s primary business activity during 2015.

6

What was the amount of your company’s worldwide sales and revenues
during 2015?
$Bil.

Mil.

Thou.

Include:
• Sales and operating revenues for discontinued operations

7

How much of the amount reported in Question 6 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.

$Bil.

Mil.

Thou.

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.
8

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

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9

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 . . . . . . . . . . . . . . . . . . . . . . . . .

%

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 or significantly improved goods and services introduced during
2013 to 2015 that were 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.
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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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.
10

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

R&D paid for by your company
11

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 3. Additional guidance, such as for privately owned
companies, is available online at https://econhelp.census.gov/brdscr.

$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.

12

Is the amount entered in Question 11 greater than zero?
Yes ➔ Continue with Question 13
No ➔ Skip to Question 16 on page 6

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13

Does the amount reported in Question 11 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 . . . . . . . . . . .

Yes

No

c. Technical services not an integral part of an R&D project (such as
product support provided by R&D employees) . . . . . . . . . . . . . . . . . . . .

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

14

If you answered "Yes" to any of the costs in Question
13, what was the amount of these costs that was
included in your response to Question 11?

15

Subtract Question 14 from Question 11 and enter the
result here. This is the total R&D paid for by your
company in 2015.

$Bil.

Mil.

Thou.

$Bil.

Mil.

Thou.

R&D paid for by others
16

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 15
• 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
Question continues on next page
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16

Continued
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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Employees
17

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

18

How many of the employees reported in Question 17 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 17

19

How many employees reported in Question 18 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 18

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20

Of the domestic R&D employees reported in Question 19, line a, what was the
number of full-time equivalent (FTE) R&D employees working at your company
for the pay period that included March 12, 2015?
Full-time equivalent (FTE) R&D employees are an estimate of the manpower devoted to
R&D activities. Count each full-time R&D employee as 1 FTE and all other employees based
on the fraction of their time devoted to R&D. These amounts may be less than those
reported in Question 19, line a.
(1)
Domestic
operations

FTE R&D employees . . . . .
Hours

21

Approximately how long did it take to complete this survey?

Minutes

:

Remarks (Please use the space below for any explanations that may help us understand your reported data.)

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The eight-digit OMB number is 0607-0912 and appears in the upper right corner of the first page of this report
form.

PLEASE MAKE A COPY OF THIS FORM FOR YOUR RECORDS AND RETURN THE ORIGINAL
Form BRDI-1(S)

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