BRDI-M Form with updated confidentiality language

11086014
U.S. DEPARTMENT OF COMMERCE
Economics and Statistics Administration

U.S. CENSUS BUREAU
FORM

BRDI-M (02-08-2017)

2016 BUSINESS R&D AND
INNOVATION SURVEY
OMB No. 0607-0912: Approval Expires 12/31/2018

DUE DATE:

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manufacturing/brdis
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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 require your response. The U.S. Census Bureau is required by Section 9 of the same law to keep
your information CONFIDENTIAL and can use your responses only to produce statistics. The Census
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THIS COLLECTION HAS BEEN APPROVED by the Office of Management and Budget (OMB). The
eight-digit OMB approval number is 0607-0912 and appears at the upper right of this page. Without this
approval, we could not conduct this survey.
We estimate this survey will take 15 minutes, on average, to complete. On the back of this form you
will find the full burden estimate statement.
THANK YOU – YOUR RESPONSE IS IMPORTANT. Accurate and timely statistical information could
not be produced without your cooperation and goodwill. Thank you.

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

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11086022

A. OVERALL COMPANY INFORMATION

B. HUMAN RESOURCES

▲ ▲

6.

Please use a blue or black ink pen.
Mark X to indicate your answer.

If you have more than one business, please
respond only for the business named in the
address label of the questionnaire.
1.

Owners

Yes

b. Other owners (paid or unpaid)

Non-owners

No

c. Employees who received a W-2
issued by your company for salary
or wages
d. Individuals who received payment
in other ways (e.g., contractors/
consultants/ temporary workers
who received a 1099 or payment
from another company)

Did another U.S. company own more than 50
percent of your company during 2016?
Yes ➜ Go to Question 44
No

3.

e. Unpaid individuals who worked
for your company (e.g., interns,
friends, family members)

Has your company ceased operations?
7.

Yes ➜ Go to Question 44
No
4.

Number
of people

a. Owners who received a W-2
issued by your company for
salary or wages

Was your company a majority-owned
subsidiary of a foreign company in 2016?

2.

For the pay period including March 12, 2016,
how many people worked for your company,
including those paid through grants? Include
both full-time and part-time workers as well
as yourself. Please count each person only
once.

Please describe your company’s primary
business activity during 2016.

Not counting those listed in question 6,
which of the following were key people you
used as advisors for your company during the
past year?
Yes No
a. Scientist or technical expert
b. Financial expert or accountant
c. Business expert
d. Marketing expert

5.

e. Individual who offered
general advice
f. Legal, regulatory, or
compliance expert

What year did your company start? Give the
year your company first obtained an EIN
(Employer Identification Number) or first
filed a tax return, whichever is earlier. Please
answer for the firm identified.

g. Other
(specify):

Year company started
8.

If your company hired an employee within
the last three years, answer the following
about your most recent hire:
Yes No N/A
a. He/she performs the same
tasks we performed before
hiring him/her.
b. We hired him/her to get
skills we otherwise would
not have had.
c. We hired him/her to take
over certain tasks.

9.

Does your company have any employees who
reside outside the United States?
Yes
No

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C. FINANCIAL INFORMATION

D. INNOVATION

10. What was the amount of your company’s
sales and revenues, including grants, during
2016? Please round to the nearest one
thousand dollars. Your best estimate is fine.
2016 sales,
revenues,
and grants

$Mil.

Thou.

14. Did your company sell any goods or offer any
services during the last three years?
Yes

Dol.

No ➜ Go to Question 18.

0 0 0

15. During the last three years, did your company
do the following regarding the introduction
of a good or service your company offers?
The good or service should be new or
significantly improved with respect to its
characteristics or intended uses. Do not
include adaptation or customization of your
company’s goods or services for a specific
client’s needs.
Yes No

11. Approximately what share of your company’s
2016 sales and revenues, including grants,
came from the following?
a. Selling goods to customers,
including other companies

%

b. Selling services to customers,
including other companies

%

c. Licensing

%

d. Grants

%

b. Offered a new good or service
that your company has never
offered before

e. Other (specify):

%

c. Significantly improved a good or
service’s performance by making
changes in materials, equipment,
components or software

a. Offered a new good or service
that no company has ever
offered before

TOTAL = 100%

d. Developed a new use for one of
your goods or services with only
minor changes to its technical
specifications

12. Approximately what percent of your sales
and revenues for 2016 were from customers
in the United States and its territories? If
none, enter zero.

e. Added a new feature to one of
your goods or services that
enhance the performance of your
company’s goods or services

%

Percent of revenues

13. During 2016, did your company try to get
funding (e.g., loans, investments, or gifts)
from the sources listed below?

f.

Yes, tried
but did
Yes,
No,
not get did not
got
funding funding
try

16. During the last three years, did your company
do the following regarding the production or
delivery method for the goods or services
your company offers?
Yes No
a. Used a new way of purchasing,

a. Owners’ personal
assets or credit
b. Banks or credit unions

accounting, computing,
maintenance, inventory control, or
other support activities to produce
or deliver your goods or services
b. Used a new way to distribute your
goods or services to reduce costs

c. Friends or relatives
d. Angel investors
e. Venture capital or
private equity
f.

Made it significantly easier for
customers to use one of your
goods or services (e.g., easier
access, more user friendly)

c. Introduced techniques, equipment,
or software that are new to your
firm to significantly improve the
goods or services you offer

Federal government’s
Small Business
Technology Transfer
Program (STTR) or
Small Business Innovation
Research Program (SBIR)
or other grants

d. Made significant improvements
in techniques or processes by
increasing automation, decreasing
energy consumption, or using
software

g. Crowdfunding

e. Decreased production costs by
significantly improving the
materials, components, or
software inputs

h. Other (specify):

f.

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Changed methods to deliver
your company’s goods or
services faster or more reliably

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11086048

E. INTELLECTUAL PROPERTY

17. During the last three years, did your
company do the following regarding
significant changes in product design or
packaging, product placement, product
promotion, or pricing?
Yes No

19. How many U.S. patent applications, if any,
does your company currently have pending?
If none, enter zero.

a. Made significant changes to
the design or packaging of a good
or service other than changes that
alter how it is used

Number of U.S. patent
applications currently pending
20. How many U.S. patents does your company
currently own? If none, enter zero.

b. Promoted your company’s goods
or services in a way that
represents a significant departure
from your company’s existing
marketing methods

Number of U.S. patents owned

c. Used new ways to sell your
company’s goods or services
(e.g., first time use of franchising
or distribution licenses, direct
selling, exclusive retailing, new
concepts for presentation of your
goods or services)

21. Please indicate whether or not your company
did each of the following during the last
three years.
Yes No
a. Transferred intellectual property
(IP) to others not owned by your
company through participation in
technical assistance or "know
how" agreements

d. Used new pricing methods or
strategies to market your
company’s goods and services

b. Received IP from others not
owned by your company
through participation in
technical assistance or
"know how" agreements

e. Created or opened up a new
market for your company’s goods
or services

18. During the last three years, did your
company do the following regarding
significant changes in your company’s
business practices, workplace organization,
or external relations?
a. Implemented new methods to
improve internal processes or
deliver goods or services (e.g.,
introduce supply chain
management systems or
business re-engineering, lean
production and quality
management systems)

Yes

c. Participated in cross-licensing
agreements in which two or
more parties grant a license to
each other for the use of the
subject matter claimed in one
or more of the patents owned
by each party

No

d. Allowed free use of patents or
other IP owned by your
company (e.g., allowing free
use of software patents by the
open source community)
e. Made use of open source
patents or other freely available
IP not owned by your company

b. Applied new methods or
processes to improve
workplace organization (e.g.,
education and training systems
to improve learning and
sharing, implement changes in
workplace responsibilities or
authority of managers and
employees)

22. During the last three years, how important
were the following?
Very
Somewhat
Not
important important important

a. Utility patents (patents
for inventions)
b. Design patents (patents
for appearance)

c. Started a new way of
interacting with other firms or
organizations (e.g., alliances,
partnerships, outsourcing,
subcontracting)

c. Trademarks
d. Copyrights
e. Trade secrets
f.

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Nondisclosure
agreements

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11086055

F. RESEARCH AND DEVELOPMENT (R&D)

26. Of the total R&D amount you reported in
Question 25, what percent was for each of
the following types of costs?

Research and development (R&D) comprise
creative and systematic work undertaken in order
to increase the stock of knowledge and to devise
new applications of available knowledge.
23. During 2016, did your company do any of the
following R&D activities? Include activities
that:
• Your company performed
• Others paid your company to do
• Your company paid others to do
Yes No
a. Developed and tested services,
processes, or prototypes that
were derived from scientific
research or technical findings
b. Developed software that
advanced scientific or
technological knowledge

%

b. Equipment

%

c. Software purchases
and licenses

%

d. Other costs (e.g., consultants,
contractors, travel, rent)

%
TOTAL = 100%

27. Of the total R&D amount you reported in
Question 25, how much was paid for by
the following sources?

c. Produced findings that could be
published in academic journals or
presented at scientific conferences
d. Applied scientific or technical
knowledge in a way that has
never been done before
e. Created new scientific or
technical solutions that can be
generalized to other situations
f.

a. Salaries, wages, and fringe
benefits for company’s
employees

Conducted work to discover
previously unknown technological
facts, structures, or relationships

g. Conducted work to extend the
understanding of scientific facts,
relationships, or principles in
ways that could be useful to
others

a. Your U.S. company

%

b. Your foreign owner (if your
company is foreign owned)

%

c. Another U.S. company

%

d. U.S. university or college

%

e. U.S. non-profit organization

%

f.

%

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

g. U.S. State or Local government
(not including state universities)

%

h. Other (specify):

%

24. Did you answer “Yes” to any activities in
Question 23?
TOTAL = 100%

Yes
28. Of the total R&D amount you reported in
Question 25, how much was for the following
categories?

No ➜ Go to Question 30.
25. What was the total cost (both direct and
indirect) in thousands in 2016 for all the R&D
activities you answered “Yes” to in Question
23? Your best estimate is fine. Please include
all costs:
• Salaries, wages, fringe benefits
• Equipment, materials, supplies, software
• Rent, utilities
• Consultants, contractors
Total cost for
R&D activities
reported in
Question 23
for 2016

$Mil.

Thou.

a. Basic Research - activities
aimed at acquiring new
knowledge or understanding
without specific immediate
commercial applications or uses
b. Applied Research - activities
aimed at solving a specific
problem or meeting a specific
commercial objective
c. Development - systematic
work, drawing on research
and practical experience and
resulting in additional
knowledge, which is directed
to producing new products or
processes or to improving
existing products or processes

Dol.

0 0 0

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%

%

%
TOTAL = 100%

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29. How many people worked on the R&D
activities you reported in Question 23 for the
pay period that included March 12, 2016?

32. Where would you like for your company to
be in five years? Check all that apply.
Company will have a larger number of
employees

a. Owners

Company will have about the same
number of employees as it has currently

b. Employees who received a W-2
issued by your company for
salary or wages
c. Other paid workers (e.g.,
contractors, consultants,
temporary workers)

Company will be purchased by another
company
Uncertain
Other (specify):

d. Unpaid workers
e. Total

H. ABOUT THE OWNER

G. YOUR COMPANY STRATEGIES

If your company has more than one owner,
answer for the owner with the most responsibility
for the direction of the company.

30. How important is each of the following in
how your company seeks a competitive
advantage?
Very
Somewhat
Not
important important important

33. How important to you are each of the
following reasons for owning your company?

a. Your low prices

Very
Somewhat
Not
important important important

b. The quality of your
goods or services
c. Your unique
goods or services
d. The convenience
you offer

a. Wanted to be my
own boss
b. Flexible hours
c. Opportunity for
greater income

e. Your reputation
f.

d. Best avenue for my
ideas/goods/services

Please list any other important reasons for how
your company seeks a competitive advantage

e. Had to start company
to find work
f.

Please list any other important reasons for owning
your own company:

31. How important is each of the following to
your company’s future success?
a. Updating or
improving an existing
good or service
b. Developing a good or
service that will save
customers’ money
c. Developing a good
or service that will
improve current
customers’ experience
d. Having a formal
business strategic
plan in writing
e. Partnerships with
other businesses
f. Partnerships with one
or more universities
g. Providing customized
goods or services

Very
Somewhat
Not
important important important

34. Approximately, how many hours each week
do you work at this company? Include all
hours whether paid or unpaid.
Number of hours
35. Is this the first company you started?
Not applicable: I did
not start this company
Yes

➜

Go to
Question 37.

No

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11086071

39. Are you Hispanic or Latino?

36. Not including the company discussed in this
questionnaire, what is the status of the
company you started most recently?

Yes

Company is still in business and I still own it

No

Company is no longer in business

40. What is your race? Please select one or more.

Company was purchased by another company

American Indian or Alaska Native

Company was purchased by another individual

Native Hawaiian or other Pacific Islander

Other
(specify):

Asian
Black or African-American

37. What is the highest level of education you
completed?

White
Less than high school
41. Are you male or female?

High school graduate

Male

Some college

Female

Bachelor’s degree

42. Where were you born?

Master’s degree
Professional degree (e.g., JD, LLB, MD,
DDS, DVN)

Inside the U.S.

Research doctorate (e.g., PhD, DSc, EdD)

Outside the U.S.

Other
(specify):

43. Are you a U.S. citizen?
Yes

38. What was the major field of study for your
highest degree?

No

Business management/administration
Communication
Computer science
Education (includes research and
administration, and teaching)
Engineering
Humanities (includes history, foreign
languages and literature, and letters)
Life sciences (includes agricultural sciences/
natural resources, biological/biomedical
sciences and health sciences)
Mathematics
Physical sciences (includes astronomy,
atmospheric science and meteorology,
chemistry, geological and earth sciences,
ocean/marine sciences, and physics)
Psychology
Social sciences
Other
(specify):
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I. CONTACT INFORMATION
44. Please provide the following information for the person we may contact regarding the answers
to this survey.
Name

Title

Telephone
Area Code and Phone Number
–

–

Extension
–

E-mail address

Hours

45. Approximately how long did it take to complete this survey?

Minutes

:

46. Enter any comments below.

Thank you for your participation in this survey.
We estimate this survey will take 15 minutes, on average, to complete, 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: ERD Survey Comments 0607-0912, U.S. Census
Bureau, 4600 Silver Hill Road, Room ERD-6H128, Washington, DC 20233. You may e-mail comments to
[email protected]. Be sure to use ERD Survey Comments 0607-0912 as the subject.
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