Download:
pdf |
pdf11018017
U.S. DEPARTMENT OF COMMERCE
Economics and Statistics Administration
U.S. CENSUS BUREAU
FORM
2008 BUSINESS R&D
AND INNOVATION SURVEY
BRDI-1 (12-17-2008) Draft 18
OMB No. 0607-0912: Approval Expires 10/31/2011
DUE DATE:
Report electronically:
www.census.gov/econhelp/brdis
Username:
Password:
Reporting electronically allows
you to save your work as you
go through the form and
could save you time.
Report by mail:
If you report online, please
do not mail in the paper
form.
U.S. CENSUS BUREAU
1201 East 10th Street
Jeffersonville, IN 47132-0001
For information or
assistance:
•
•
•
www.census.gov/econhelp/brdis
Call 1-800-772-7851, option
"5" (8 a.m. – 5 p.m. EST, M-F)
Write to the address above.
Include your 11-digit ID
printed on the mailing label.
(Please correct any errors in this mailing address)
Your Response is Required by Law
Title 13, United States Code, requires businesses and other organizations that receive this
questionnaire to answer the questions and return the report to the Census Bureau.
Respondents are not required to respond to any information collection unless it displays a valid
approval number from the Office of Management and Budget (OMB). The OMB number appears
at the top of this page.
Your Response is Confidential by Law
Title 13, United States Code, requires that your response be seen only by persons sworn to uphold
the confidentiality of Census Bureau information and may be used only for statistical purposes.
The law also provides that copies retained in your company’s files are immune from legal process.
Thank You – Your Response is Important
The Business R&D and Innovation Survey will provide valuable information for U.S. policy makers
as well as industry and academic data users. Better information about R&D and innovation in the
U.S. business sector will help leaders make better decisions to strengthen American
competitiveness.
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 ∼
USCENSUSBUREAU
§,"q2¤
11018025
2
Table of Contents
What does this survey ask?
This survey asks questions about your company’s R&D expenses as well as R&D that is paid for by
customers, the government, and other organizations that are not owned by your company (funded
R&D). This survey also requests data on your company’s R&D employees and intellectual property.
The Business R&D and Innovation Survey is divided into six sections. Each section asks questions about
different aspects of R&D at your company. Due to the specialized nature of each section, it may be
necessary to collaborate with colleagues in different departments within your company for each section.
The sections are color-coded and cover the following topical areas:
Section 1: Company Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.3
• Asks for information about your company’s ownership, business(es), and revenue
• All companies must complete this section to determine whether they are required to complete the
rest of the survey
Section 2: R&D Paid for by Your Company (R&D Expense) . . . . . . . . . . . . . . . p.11
• Asks for information about your company’s R&D expense and capital expenditures for R&D
• Best answered by persons with knowledge of your company’s accounting concepts and with access
to financial records
Section 3: Management and Strategy of R&D Expense . . . . . . . . . . . . . . . . . . p.21
• Asks for strategic and technical information about your company’s R&D expense reported in Section 2
• Best answered by persons with first-hand knowledge of R&D operations, such as a VP of research
Section 4: R&D Funded or Paid for by Others . . . . . . . . . . . . . . . . . . . . . . . . . p.29
• Asks for information about R&D that is paid for by others, such as that paid for by customers or
partners
• Best answered by persons with knowledge of your company’s financial records related to contracts
and grants
Section 5: R&D Human Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . p.43
• Asks for information about your company’s R&D employees
• Best answered by persons with knowledge of your company’s human resources records
Section 6: Intellectual Property, Technology Transfer, and Innovation . . . . p.49
• Asks for information about intellectual property, patents, technology transfer activities such as
patent licensing, and actions taken to improve company performance
• Best answered by persons with knowledge of your company’s patenting, licensing, and general
business strategy
Are electronic copies of this survey form available?
You can download PDF copies of this survey from our website: www.census.gov/econhelp/brdis.
Downloaded forms are for coordination purposes only and should not be returned to the Census Bureau
because they lack the unique barcodes that appear on the form that was mailed to your company.
Form BRDI-1
(12-17-08)
§,"q:¤
11018033
SECTION 1
3
SECTION 1
Company Information
Form BRDI-1
(12-17-08)
§,"qB¤
11018041
SECTION 1
4
General Instructions
What is Research and Development (R&D)?
R&D is planned, creative work aimed at discovering new knowledge or developing new or significantly
improved goods and services. It includes 1) activity aimed at acquiring new knowledge or understanding
without specific immediate commercial application or use (basic research); 2) activity aimed at solving a
specific problem or meeting a specific commercial objective (applied research); and 3) systematic use of
research and practical experience to produce new or significantly improved goods, services, or processes
(development).
The term Research and Development does not include expenditures for:
• Costs for routine product testing, quality control, and technical services unless they are an integral
part of an R&D project
• Market research
• Efficiency surveys or management studies
• Literary, artistic, or historical projects, such as films, music, or books and other publications
• Prospecting or exploration for natural resources
Can I file this survey electronically?
Yes. You may submit your report by mail or electronically via Census Taker, a web-based form.
How to file electronically
(1) Go to www.census.gov/econhelp/brdis
(2) Click on Report Online
(3) Follow the online instructions to log in and respond to this survey
Advantages
• Reduced time and expense to report
• Improved quality through automatic data checks
• Data are saved to secure Census Bureau servers as you complete the form. You can exit the form
and resume at a later time without losing your data.
• Save a paper or electronic version of your completed form
Security
• Your information is encrypted at all times
• No cookies are used
• No plug-ins or downloaded software is required
How do I obtain additional information?
Our website www.census.gov/econhelp/brdis has the following information:
• More detailed general information about the Business R&D and Innovation Survey
• Frequently asked questions
• Sample questionnaires
• Worksheets for each section in a format that can be saved and emailed
How do I obtain copies of the final data reports?
Data from this survey, as well as other sources of information on science and technology, are available
at the National Science Foundation’s website: www.nsf.gov/statistics/.
How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousand.
$Bil.
Example: If figure is
$179,125,628.00 report:
Mil.
Thou.
1 7 9 1 2 6
To speak with a survey analyst, call 1-800-772-7851, option "5" (8 a.m. – 5 p.m. EST, M-F)
Form BRDI-1
(12-17-08)
§,"qJ¤
11018058
1•1
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, but he or she
will be able to request information from other knowledgeable resources within your company.
The survey coordinator may be assigned by your company’s CEO or another person with
oversight of or access to your company’s R&D, accounting, human resources, and legal
organizations.
Name
Title
Area code
Telephone
Number
Extension
Area code
–
Number
–
Fax
E-mail address
1•2
Did your company cease operations prior to April 1, 2008?
Yes ➔ Stop here and return the survey form to the U.S. Census Bureau.
Alternatively, you may report online at: www.census.gov/econhelp/brdis.
No ➔ Continue with Question 1•3
1•3
Did another U.S. company own more than 50 percent of your company during 2008?
Yes ➔ Please provide the following information:
Name of owner
EIN of owner (9 digits)
(MM) (DD)
(YYYY)
Date owner purchased your company
If your company was purchased before April 1, 2008, stop here. Return this survey
to the U.S. Census Bureau or report online at: www.census.gov/econhelp/brdis.
No ➔ Continue with Question 1•4
1•4
Did your company do any of the following during 2008?
• Incur R&D expenses OR
• Perform R&D that was funded or paid for by others not owned by your company, such as:
- R&D performed under contract for another company
- R&D funded by a government grant
Yes ➔ Complete the rest of this survey beginning with Question 1•5
NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the time period from January 1,
2008 to the date of purchase or the date your company ceased operations.
No ➔ Skip to Section 6, page 49
Form BRDI-1
(12-17-08)
§,"q[¤
SECTION 1
5
11018066
SECTION 1
6
Business Codes
1•5
Do the business code(s) listed below reflect all applicable codes from the list on
pages 8-9 in which your company operated worldwide during 2008?
Why are these codes needed?
The codes below are needed to report your sales for Question 1⋅8. They are also used in
Section 2 and Section 4 to collect R&D information.
How did we decide on these codes for your company?
We selected the codes using payroll and receipts data contained in our database for your
company’s domestic establishments and research on your company’s global businesses. The
codes and descriptions are based on groups of industries from the North American Industry
Classification System (NAICS) selected specifically for this form.
NOTE: If you have no business codes printed below, please refer to the list on
pages 8-9 and write in the codes that apply to your company.
Yes ➔ Continue with Question 1•6
No ➔ Draw a line through codes that are incorrect. As needed,
enter additional codes and descriptions from pages 8 and 9
in the spaces provided.
Business Code
(see pages 8-9)
1•6
Description
What was the amount of your company’s worldwide net sales
and operating revenues–the value of goods and services sold
during the year, net of discounts, returns, and allowances–
during 2008?
Include:
• Sales and operating revenues for discontinued operations
$Bil.
Mil.
Thou.
Exclude:
• Non-operating income (i.e. dividends, interest)
• Excise, sales, and other revenue based taxes
Form BRDI-1
(12-17-08)
§,"qc¤
11018074
1•7
How much of the 2008 worldwide net sales and operating
revenues reported in Question 1•6 was from
domestic operations?
$Bil.
Include:
• Operating revenues and sales to foreign subsidiaries
1•8
Mil.
Thou.
How much of the 2008 sales and operating revenue amounts was for each
business code listed or amended on page 6 of this form:
(1) Worldwide net sales and operating revenues reported in Question 1•6
(2) Domestic net sales and operating revenues reported in Question 1•7
(1)
Worldwide
sales and revenues
Business Code
(see page 6)
$Bil.
a.
..............
b.
..............
c.
..............
d.
..............
e.
..............
f.
..............
g.
..............
h.
..............
Mil.
Thou.
(2)
Domestic
sales and revenues
$Bil.
Mil.
Thou.
i. Less eliminations–sales and
revenues that are eliminated
in order to consolidate the
business codes . . . . . . . . . . . . . . .
j. Total . . . . . . . . . . . . . . . . . . . . . .
Total equals Question 1⋅6
Total equals Question 1⋅7
Hours
1•9
Approximately how long did it take to complete Section 1?
Form BRDI-1
(12-17-08)
§,"qk¤
SECTION 1
7
11018082
8
Business codes
(used in Sections 1, 2, and 4)
Aerospace & Defense
33641
33642
33643
33644
33692
33452
33660
Aircraft manufacturing
Aircraft engine and engine parts manufacturing
Other aircraft parts and auxiliary equipment
manufacturing
Guided missiles, space vehicles, and parts
manufacturing
Military armored vehicle, tank, and tank
components manufacturing
Search, detection, navigation, guidance,
aeronautical, and nautical system and
instruments manufacturing
Ship and boat building
Consumer Goods & Services
71300
31500
33430
81110
31210
51520
62440
44800
23600
53220
61100
33500
Capital Goods
45410
44300
44500
31100
72200
33700
45200
51600
56160
33430
33330
31600
51200
Automobiles, Motorcycles, & Components
33610
33620
33630
33691
33699
33312
23600
33360
33200
33311
23700
33322
33390
33313
33651
33660
23800
Motor vehicles manufacturing
Motor vehicle body and trailer manufacturing
Motor vehicle parts manufacturing
Motorcycle, bicycle, and parts manufacturing
All other transportation equipment
manufacturing
Audio and video equipment manufacturing
Commercial, service industry, temperature
control, and airflow control machinery
manufacturing
Construction machinery manufacturing
Construction of buildings
Engine, turbine, and power transmission
equipment manufacturing
Fabricated metal products manufacturing
Farm machinery and equipment
manufacturing
Heavy and civil engineering construction
Industrial machinery manufacturing, except
semiconductor machinery
Metalworking and other general purpose
machinery manufacturing
Mining machinery and equipment
manufacturing
Railroad rolling stock manufacturing
Ship and boat building
Specialty trade contractors
Commercial and Professional Services
(including contract research)
54120
54180
54130
56140
53240
54110
54160
56190
32300
56290
54170
54140
56150
Accounting, tax preparation, bookkeeping,
and payroll services
Advertising and related services
Architectural, engineering, and related services
Business support services
Commercial and industrial machinery
and equipment rental and leasing
Legal services
Management, scientific, and technical
consulting services
Office administrative, facilities, employment,
and other support services
Printing and related support activities
Remediation and other waste
management services
Research & development services
Specialized design services
Travel arrangement and reservation services
Form BRDI-1
(12-17-08)
44100
51110
81200
51510
81190
32591
62400
31300
31220
72100
Amusement, gambling, and recreation
industries
Apparel manufacturing
Audio and video equipment manufacturing
Automotive repair and maintenance
Beverage manufacturing
Cable and other subscription programming
(except Internet)
Child day care services
Clothing and clothing accessories stores
Construction of buildings
Consumer goods and general rental centers
Educational services
Electrical equipment, appliances, and
components manufacturing
Electronic shopping and mail-order houses
Electronics and appliance stores
Food and beverage stores
Food manufacturing
Food services and drinking places
Furniture and related products manufacturing
General merchandise stores
Internet publishing and broadcasting
Investigation, security, and services to
buildings and dwellings
Leather and allied products manufacturing
Motion picture and sound recording
(except Internet)
Motor vehicle and parts dealers
Newspaper, periodical, book, and directory
publishers (except internet)
Personal care, death care, laundry,
and other personal services
Radio and television broadcasting
(except Internet)
Repair and maintenance, except automotive
Soap, cleaning compound, and toilet
preparations manufacturing
Social assistance (except child day care
services)
Textile mill products
Tobacco manufacturing
Traveler accommodation services
Energy
21210
22110
21100
33313
32400
48610
56150
Coal mining
Electric power generation, transmission,
and distribution
Oil and gas extraction
Oil and gas field machinery and equipment
manufacturing
Petroleum and coal products manufacturing
Pipeline transportation of crude oil, refined
petroleum, and miscellaneous products,
except natural gas
Travel arrangement and reservation services
Financials
52230
52420
52210
52500
52410
52100
52220
Activities related to credit intermediation
Agencies, brokerages, and other insurance
related activities
Depository credit intermediation
Funds, trusts, and other financial vehicles
Insurance carriers
Monetary authorities-central bank
Nondepository credit intermediation
§,"qs¤
11018090
9
53100
52300
Real estate
Securities, commodity contracts, and other
financial investments and related activities
Health Care
33451
62210
62160
32543
62150
33910
62300
62120
62110
62190
32541
62220
54170
Electromedical, electrotherapeutic and
irradiation apparatus manufacturing
General medical and surgical hospitals
Home health care services
In-vitro diagnostic substances manufacturing
Medical and diagnostic laboratories
Medical equipment and supplies manufacturing
Nursing and residential care facilities
Offices of dentists and other health practitioners
Offices of physicians
Outpatient care centers and other ambulatory
health care services
Pharmaceutical, medicinal, botanical, and
biological products (except diagnostic)
manufacturing
Psychiatric, substance abuse, and specialty
hospitals
Research & development services
Information Technology - Goods and Services
33429
54150
33410
51820
33500
51900
51810
33460
33459
33422
33452
33440
33321
51120
33421
Communication equipment manufacturing,
except broadcasting, wireless, and
telephone apparatus
Computer systems design and related services
Computers and peripheral equipment
manufacturing
Data processing, hosting, and related services
Electrical equipment, appliances, and
components manufacturing
Information services (not elsewhere listed
in this category)
Internet service providers and web
search portals
Manufacturing and reproducing magnetic and
optical media manufacturing
Measuring and control instruments
manufacturing (not listed elsewhere in
this category)
Radio and television broadcasting and
wireless communications equipment
manufacturing
Search, detection, navigation, guidance,
aeronautical, and nautical system and
instruments manufacturing
Semiconductor and other electronic
components manufacturing
Semiconductor machinery manufacturing
Software
Telephone apparatus manufacturing
Materials
32511
32790
32710
33150
33110
21220
33130
21230
32200
32530
32600
32512
32591
21310
32100
(12-17-08)
Paint, adhesive, and other chemical
manufacturing
Paper manufacturing
Pesticide, fertilizer, and other agricultural
chemical manufacturing
Plastics and rubber products manufacturing
Resin, synthetic rubber, and artificial
synthetic fibers and filaments manufacturing
Soap, cleaning compound, and
toilet preparations manufacturing
Support activities for solid
mineral operations
Wood products manufacturing
Telecommunication Service
51750
51740
51710
51720
51790
Cable and other program distribution
Satellite telecommunications
Wired telecommunications carriers
Wireless telecommunications carriers
(except satellite)
Telecommunications services (not listed
elsewhere)
Transportation
48100
53210
49200
48200
48700
48800
48500
48400
49300
48300
Air transportation
Automotive equipment rental and leasing
Couriers and messengers
Rail transportation
Scenic and sightseeing transportation
Support activities for transportation
Transit and ground passenger transportation
Truck transportation
Warehousing and storage
Water transportation
Utilities
22110
22120
56290
56210
22130
Electric power generation, transmission,
and distribution
Natural gas distribution
Remediation and other waste
management services
Waste collection, treatment, and disposal
Water, sewage, and other systems
Business Codes Not Elsewhere Classified
53300
55100
42300
42400
33990
71200
45490
71100
Basic chemicals manufacturing
Cement, concrete, lime, gypsum, and other
nonmetallic mineral product manufacturing
Clay and glass products manufacturing
Ferrous and nonferrous foundries
Iron and steel mills, ferroalloy, and
steel product from purchased steel
Metal ore mining
Nonferrous metals production and processing
Nonmetallic mineral mining and quarrying
Form BRDI-1
32592
54190
45990
42500
Lessors of nonfinancial intangible assets
Management of companies and enterprises
Merchant wholesalers, durable goods
Merchant wholesalers, nondurable goods
Miscellaneous manufacturing (not listed
elsewhere)
Museums, historical sites, and similar
institutions
Nonstore retailers, except electronic
shopping and mail-order houses
Performing arts, spectator sports,
and related industries
Professional, scientific, and technical services
(not listed elsewhere)
Retail trade stores, including gasoline stations
(not listed elsewhere)
Wholesale electronic markets and agents
and brokers
§,"q{¤
11018108
10
This page was intentionally left blank.
Form BRDI-1
(12-17-08)
§,"r)¤
11018116
SECTION 2
R&D Paid for by Your Company (R&D Expense)
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.
Form BRDI-1
(12-17-08)
§,"r1¤
SECTION 2
11
11018124
12
SECTION 2 – R&D Paid for by Your Company (R&D Expense)
What does this section cover?
SECTION 2
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.
What is the reporting unit?
The reporting unit is your company, including all subsidiaries and divisions. Include operations of
subsidiary companies where there is more than 50 percent ownership. Also, include data for
discontinued operations.
NOTE: If your company is owned by a non-U.S. company, do not include data for your foreign
owner or for any other affiliated companies not owned by your company.
What does "R&D performed by your company" mean?
This section uses two different concepts to collect information about your company’s R&D: an accounting
concept, R&D expense, and a physical concept, R&D performed by your company. The amount of R&D
reported using these two concepts may differ.
Report R&D expense according to accounting definitions used by your company. For more information
refer to Financial Accounting Standards Board (FASB) Statement of Accounting Standards No. 2
(Accounting for Research and Development Costs). For this survey, report R&D expense even if the
amount is not considered material to your company.
R&D performed by your company includes all costs for R&D performed by your company’s full-time,
part-time, and temporary employees. It excludes costs for R&D performed by others not owned by your
company, such as contract research organizations, universities, and federal laboratories.
What do the terms "worldwide" and "domestic" mean?
The term "worldwide" refers to all geographic locations, including the United States. The term "domestic"
refers to the 50 United States and the District of Columbia only.
How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousand.
$Bil.
Example: If figure is
$179,125,628.00 report:
Mil.
Thou.
1 7 9 1 2 6
Are estimates acceptable?
Yes, estimates are acceptable. Please report all items to the best of your ability.
How should I answer a question that does not apply to my company?
Enter "0" if a question or category does not apply to your company.
What time period should be reported?
Report data for calendar year 2008, if possible, or for your company’s fiscal year ending between
April 2008 and March 2009.
NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the time period from January 1, 2008 to the
date of purchase or the date your company ceased operations.
To speak with a survey analyst, call 1-800-772-7851, option "5" (8 a.m. – 5 p.m. EST, M-F)
Form BRDI-1
(12-17-08)
§,"r9¤
11018132
13
2•1
What was the total worldwide R&D expense for your company
(including all domestic R&D expenses) in 2008?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
SECTION 2
Include:
• R&D expenses for all foreign and domestic subsidiaries and divisions
owned by your company
• R&D services purchased from others, including medical clinical trials
• R&D in social sciences–the application of scientific methods to the study
of the human aspects of the world, including such disciplines as
economics and psychology
• R&D expenses for discontinued operations
Exclude:
• R&D costs paid for by others not owned by your company (these costs
are reported in Section 4), such as:
- Costs for customer-sponsored R&D
- Costs associated with contract services your company provides to others
- Costs for R&D funded by government grants/contracts
- Costs reimbursed by business partners, such as through cost-sharing
agreements
• R&D costs paid for by your foreign owner, if your company is
foreign-owned
• Capital expenditures for R&D (report domestic capital expenditures for
R&D in Question 2⋅15)
• Market and advertising research
• R&D from acquired companies prior to acquisition (in-process R&D)
• Costs for routine product testing, quality control, and technical services
unless they are an integral part of an R&D project
• Independent research and development (IR&D) costs for which your
company anticipates reimbursement by the U.S. federal government
through indirect charges on government contracts (these costs are
reported in Section 4)
2•2
Was the amount entered in Question 2•1 greater than zero?
Yes ➔ Continue with Question 2•3
No ➔ Skip to Section 4
2•3
How much of the 2008 worldwide R&D expense reported in
Question 2•1 was for R&D performed by your company and
how much was for R&D performed by others not owned by
your company?
a. R&D performed by your company. . . . . . . . . . . . . . . . . . . . . . . . . . .
Include:
• All costs for R&D performed by your company’s full-time, part-time,
and temporary employees
b. R&D performed by others not owned by your company,
such as contract research organizations, universities, and
government labs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Include:
• If your company is foreign-owned, include your R&D expense that paid
for R&D performed by your foreign owner
c. Total (equals Question 2⋅1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"rA¤
11018140
14
How much of the 2008 worldwide R&D expense reported in
Question 2•1 was for gross annual payroll–wages and salaries
of employees excluding the cost of fringe benefits?
2•5
How much of the worldwide R&D expense for R&D performed
by others not owned by your company, reported in Question
2•3, line b, was performed by the following types of
organizations?
SECTION 2
2•4
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
......................
a. Companies located inside the United States
b. Companies located outside the United States . . . . . . . . . . . . . . . . . .
c. U.S. federal government agencies or laboratories. . . . . . . . . . . . . . .
d. U.S. state and local government agencies or laboratories . . . . . . . . .
e. Foreign government agencies or laboratories . . . . . . . . . . . . . . . . . .
f. Universities, colleges, and academic researchers (including
principal investigators) located inside the United States . . . . . . . . . .
g. Universities, colleges, and academic researchers (including
principal investigators) located outside the United States . . . . . . . . .
h. All other organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
i. Total R&D performed by others (equals Question 2⋅3, line b). . . .
2•6
How much of the R&D performed by your company in 2008 reported in Question 2•3,
line a, was performed in the countries listed below?
R&D performed by your company by country should reflect the actual location where your
company performed R&D.
$Bil.
Mil.
Thou.
$Bil.
a. United States
(domestic). . . . . .
h. Ireland . . . . . . . .
b. Puerto Rico . . . . .
i. Israel. . . . . . . . . .
c. Canada . . . . . . . .
j. Italy. . . . . . . . . . .
d. China . . . . . . . . .
k. Japan . . . . . . . . .
e. France. . . . . . . . .
l. Russia. . . . . . . . .
f. Germany. . . . . . .
m. Singapore . . . . . .
g. India . . . . . . . . . .
n. South Korea . . . .
Mil.
Thou.
Question continues on next page
Form BRDI-1
(12-17-08)
§,"rI¤
11018157
15
(Continued)
$Bil.
Mil.
Thou.
o. Sweden . . . . . . .
q. All other . . . . . . .
p. United Kingdom
r. Total (equals
Question 2⋅3,
line a) . . . . . . . . .
2•7
How much of the domestic R&D performed by your company
in 2008 reported in Question 2•6, line a, was paid for by your
company’s foreign operations or foreign subsidiaries?
2•8
How much of the domestic R&D performed by your company
reported in Question 2•6, line a, was for the following types
of costs?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Gross annual payroll–wages and salaries of R&D employees
and officers excluding fringe benefits . . . . . . . . . . . . . . . . . . . . . . . .
b. Employer’s cost for fringe benefits . . . . . . . . . . . . . . . . . . . . . . . . . .
Include:
• Disability benefits
• Life and medical insurance
• Paid holidays, time off benefits, vacation, annual, sick, and maternity
leave
• Retirement benefits, pension, and social security contributions
c. Stock-based compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Temporary staffing and leased employees . . . . . . . . . . . . . . . . . . . .
Include:
• Costs paid to Professional Employer Organizations (PEOs) and staffing
agencies for personnel
• All charges for payroll, benefits, and services
e. Expensed equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Materials and supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g. Lease and rental payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
h. Depreciation and amortization on R&D property and equipment . . .
i. All other costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
j. Total (equals Question 2⋅6, line a) . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"rZ¤
SECTION 2
2•6
11018165
16
2•9
How much of the domestic R&D performed by your company reported in Question 2•6,
line a, was performed in each state (including the District of Columbia) in 2008?
SECTION 2
$Bil.
Mil.
Thou.
$Bil.
Alabama . . . . . . . . .
Massachusetts . . . .
Alaska . . . . . . . . . . .
Michigan . . . . . . . . .
Arizona . . . . . . . . . .
Minnesota . . . . . . . .
Arkansas . . . . . . . . .
Mississippi . . . . . . .
California . . . . . . . .
Missouri . . . . . . . . .
Colorado . . . . . . . . .
Montana . . . . . . . . .
Connecticut . . . . . . .
Nebraska . . . . . . . . .
Delaware . . . . . . . . .
Nevada . . . . . . . . . .
District of Columbia
New Hampshire. . . .
Florida. . . . . . . . . . .
New Jersey . . . . . . .
Georgia . . . . . . . . . .
New Mexico . . . . . .
Hawaii . . . . . . . . . . .
New York . . . . . . . .
Idaho. . . . . . . . . . . .
North Carolina . . . .
Illinois . . . . . . . . . . .
North Dakota . . . . .
Indiana . . . . . . . . . .
Ohio . . . . . . . . . . . .
Iowa . . . . . . . . . . . .
Oklahoma . . . . . . . .
Kansas . . . . . . . . . .
Oregon . . . . . . . . . .
Kentucky . . . . . . . . .
Pennsylvania . . . . . .
Louisiana . . . . . . . .
Rhode Island . . . . . .
Maine . . . . . . . . . . .
South Carolina . . . .
Maryland . . . . . . . . .
South Dakota . . . . .
Mil.
Thou.
Question continues on next page
Form BRDI-1
(12-17-08)
§,"rb¤
11018173
17
(Continued)
$Bil.
Mil.
Thou.
$Bil.
Tennessee . . . . . . . .
Washington . . . . . .
Texas . . . . . . . . . . .
West Virginia . . . . .
Utah . . . . . . . . . . . .
Wisconsin . . . . . . . .
Vermont . . . . . . . . .
Wyoming . . . . . . . .
Virginia . . . . . . . . . .
Total (equals
Question 2⋅6, line a)
Mil.
Thou.
SECTION 2
2•9
2•10 At what domestic location did your company perform the largest dollar amount of
R&D in 2008?
Address 1
Address 2
City
2•11 How much of the domestic R&D performed by your
company reported in Question 2•6, line a, was from the
location identified in Question 2•10?
Form BRDI-1
(12-17-08)
State
ZIP
$Bil.
Mil.
Thou.
§,"rj¤
11018181
18
R&D by business code
2•12 How much of the worldwide R&D expense reported in Question 2•1 was for each
business code listed or amended on page 6 of this form?
SECTION 2
Allocate R&D that is applicable to more than one business code on a reasonable basis.
Allocation in proportion to operating revenues is acceptable unless some alternative allocation basis is
more appropriate.
Worldwide R&D expense
Business Code
(see page 6)
a.
.......................................
b.
.......................................
c.
.......................................
d.
.......................................
e.
.......................................
f.
.......................................
g.
.......................................
h.
.......................................
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
i. Total (equals Question 2⋅1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2•13 How much of the worldwide R&D expense reported in
Question 2•1 was a domestic R&D expense–R&D paid for by
your company’s domestic operations?
Form BRDI-1
(12-17-08)
§,"rr¤
11018199
19
2•14 How much of the worldwide R&D expense for each business code reported in
Question 2•12 was:
(1) Domestic R&D expense reported in Question 2•13
(2) Domestic R&D performed by your company reported in Question 2•6, line a
(2)
Domestic R&D performed
by your company
(1)
Domestic
R&D expense
Business Code
(see page 6)
a.
....................
b.
....................
c.
....................
d.
....................
e.
....................
f.
....................
g.
....................
h.
....................
Mil.
Thou.
$Bil.
Mil.
Thou.
SECTION 2
$Bil.
i. Total . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Total equals Question 2⋅13
2•15 How much of your company’s domestic capital expenditures
in 2008 was for R&D operations?
2•16 How much of the domestic capital expenditures for R&D
operations reported in Question 2•15 was for the following
categories?
Total equals Question 2⋅6,
line a
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
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⋅15). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"rƒ¤
11018207
20
2•17 What is your company’s projected 2009 worldwide R&D expense for the following
categories?
NOTE: The total for this question is the 2009 projection of what is reported in question 2⋅1.
$Bil.
Mil.
Thou.
a. R&D performed by your company at domestic locations. . . . . . . . . .
SECTION 2
b. R&D performed by your company at foreign locations . . . . . . . . . . .
c. R&D performed by others not owned by your company,
such as contract research organizations, universities, and
government labs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Include:
• If your company is foreign-owned, include your R&D expense that paid
for R&D performed by your foreign owner
d. Total projected worldwide R&D expense for 2009 . . . . . . . . . .
Reporting information
2•18 Is the information in this section reported on a calendar year basis?
Yes ➔ Continue
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
To
Hours
2•19 Approximately how long did it take to complete Section 2?
2•20 Please list the names and titles of the persons who provided data for this section.
Name
Form BRDI-1
Title
(12-17-08)
§,"s(¤
11018215
21
SECTION 3
Who should answer this section?
Persons familiar with the technical, managerial, and strategic aspects of your company’s R&D
should complete this section.
In order to complete this section, you will need to copy your company’s answers from Questions
2⋅1, 2⋅4, and 2⋅6 in Section 2 to Questions 3⋅1, 3⋅2, and 3⋅3.
Form BRDI-1
(12-17-08)
§,"s0¤
SECTION 3
Management and Strategy of R&D Expense
11018223
22
SECTION 3 – Management and Strategy of R&D Expense
What does this section cover?
This section requests information about the characteristics of the R&D expenses your company reported
in Section 2. This section requests information about your company’s worldwide consolidated R&D and
R&D your company performs in the domestic United States. Similar information about R&D funded or
paid for by others not owned by your company, such as costs for customer-sponsored R&D and R&D
funded by government grants/contracts, is requested in Section 4.
What is the reporting unit?
The reporting unit is your company, including all subsidiaries and divisions. Include operations of
subsidiary companies where there is more than 50 percent ownership. Also, include data for
discontinued operations.
NOTE: If your company is owned by a non-U.S. company, do not include data for your foreign
owner or for any other affiliated companies not owned by your company.
SECTION 3
What does "R&D performed by your company" mean?
This section uses two different concepts to collect information about your company’s R&D: an
accounting concept, R&D expense, and a physical concept, R&D performed by your company. The
amount of R&D reported using these two concepts may differ.
R&D expense is based on accounting definitions used by your company. For more information refer to
Financial Accounting Standards Board (FASB) Statement of Accounting Standards No. 2 (Accounting for
Research and Development Costs). For this survey, report R&D expense even if the amount is not
considered material to your company.
R&D performed by your company includes all costs for R&D performed by your company’s full-time,
part-time, and temporary employees. It excludes costs for R&D performed by others not owned by your
company, such as contract research organizations, universities, and federal laboratories.
What do the terms "worldwide" and "domestic" mean?
The term "worldwide" refers to all geographic locations, including the United States. The term "domestic"
refers to the 50 United States and the District of Columbia only.
How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousand.
$Bil.
Example: If figure is
$179,125,628.00 report:
Mil.
Thou.
1 7 9 1 2 6
Are estimates acceptable?
Yes, estimates are acceptable. Please report all items to the best of your ability.
How should I answer a question that does not apply to my company?
Enter "0" if a question or category does not apply to your company.
What time period should be reported?
Report data for calendar year 2008, if possible, or for your company’s fiscal year ending between
April 2008 and March 2009.
NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the time period from January 1, 2008 to the
date of purchase or the date your company ceased operations.
To speak with a survey analyst, call 1-800-772-7851, option "5" (8 a.m. – 5 p.m. EST, M-F)
Form BRDI-1
(12-17-08)
§,"s8¤
11018231
23
$Bil.
Mil.
Thou.
Copy the amount reported in Question 2•6, line a–R&D
expense performed by your company in the domestic
United States in 2008.
$Bil.
Mil.
Thou.
Copy the amount reported in Question 2•3, line b–2008
R&D performed by others not owned by your company,
such as contract research organizations, universities, or
government labs.
$Bil.
Mil.
Thou.
3•1
Copy the amount reported in Question 2•1–your company’s
worldwide R&D expense in 2008.
3•2
3•3
3•4
What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was directed toward business areas or product lines in
which your company had no revenues before 2008?
Example: Company A is an automobile manufacturer. In 2008, it began R&D on the
company’s first motorcycle. Because Company A had no previous revenues for
motorcycles, it is a new business area for the company. The expense for this R&D is
included in the calculation for this question.
3•5
Percent
%
What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was both directed toward business areas or product lines
in which your company had no revenues before 2008 and involved
science/technology that had not been used by your company in other
projects before 2008?
Example: Company C is an automobile manufacturer. In 2008, it began a project to
develop the company’s first motorcycle. At the same time, C begins to explore using
hydrogen fuel cell technology in its vehicles–including motorcycles. Because motorcycle
manufacturing is a new business area for C and the company had no experience with
hydrogen fuel cell technology before 2008, it would include the hydrogen fuel cell R&D
related to its motorcycle project in the calculation for this question.
3•7
%
What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 involved science/technology that your company had not
used in projects before 2008?
Example: Company B is an automobile manufacturer. In 2008, it began to explore using
hydrogen fuel cells in its vehicles. Because Company B had not used this technology
before 2008, it is new for the company. The expense for this R&D is included in the
calculation for this question.
3•6
Percent
Percent
%
What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was for R&D in science/technology new to the market(s)
(i.e. first-to-market) in which your company operates?
Exclude
• R&D to improve upon, replicate, or adopt science/technology currently in use in the
market(s) in which your company operates
Percent
Example: Company D manufactures cookware. In 2008, it devotes 10% of its R&D
expense to exploring the potential use in its products of a heat-conducting material
currently used only by the aerospace industry. The remainder of D’s R&D is focused on
improving products and technology already used in the cookware market. Company D
reports 10% for this question.
Form BRDI-1
(12-17-08)
§,"s@¤
%
SECTION 3
Worldwide R&D expense
11018249
24
Worldwide R&D agreements
3•8
What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was for R&D agreements?
Percent
R&D agreements involve two or more parties pooling resources and expertise to
undertake R&D and share in any resulting intellectual property. R&D agreements involve
shared risk and shared reward.
SECTION 3
3•9
%
Percent
What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was for R&D agreements with for-profit companies?
%
3•10 What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was for R&D agreements with U.S. federal government
agencies or laboratories?
Percent
3•11 What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was for R&D agreements with universities, colleges, and
academic researchers, including individual principal investigators?
Percent
3•12 What percentage of the worldwide R&D expense in 2008 reported in
Question 3•1 was for R&D agreements with nonprofit organizations
other than universities and colleges?
Percent
%
%
%
Number
3•13 In 2008, how many new R&D agreements did your company enter into?
3•14 Did the new R&D agreements reported in Question 3•13 involve agreements with the
following types of organizations?
a. For-profit companies located inside the United States . . . . . . . . . . . . . .
Yes
No
b. For-profit companies located outside the United States . . . . . . . . . . . . .
Yes
No
c. U.S. federal government agencies or laboratories. . . . . . . . . . . . . . . . . .
d. Universities, colleges, and academic researchers, including
individual principal investigators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Yes
No
e. Foreign government agencies or laboratories . . . . . . . . . . . . . . . . . . . . .
Yes
No
3•15 Did the new R&D agreements reported in Question 3•13 involve agreements with
the following?
a. Customers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. Vendors/suppliers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
c. Competitors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Form BRDI-1
(12-17-08)
§,"sR¤
11018256
25
Characteristics of domestic R&D performed by your company that was
part of your R&D expense
For questions 3•16 through 3•39, the reported amounts exclude R&D funded or paid by
others, which is reported in Section 4.
Percent
%
a. Research-planned, systematic pursuit of new knowledge or understanding. . . . .
b. Development–systematic use of research and practical experience to produce
new or significantly improved goods, services, or processes . . . . . . . . . . . . . . . .
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3•17 If you reported any research in Question 3•16, line a, what percentage of
that research was for the following categories?
%
1 0 0 %
Percent
a. Applied research–activity aimed at solving a specific problem or meeting a
specific commercial objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
%
b. Basic research–activity aimed at acquiring new knowledge or understanding
without specific immediate commercial application or use . . . . . . . . . . . . . . . . .
%
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1 0 0 %
3•18 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was directed toward business areas or
product lines in which your company had no revenues before 2008?
Example: Company E is an automobile manufacturer. In 2008, it began R&D at its U.S.
facilities on the company’s first motorcycle. Because Company E had no previous
revenues for motorcycles, it is a new business area for the company. The costs for this
R&D are included in the calculation for this question.
Percent
%
3•19 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 involved science/technology that your
company had not used in projects before 2008?
Example: Company F is an automobile manufacturer. In 2008, it began to explore using
hydrogen fuel cells in its vehicles at its U.S. R&D facility. Because Company F had not
used this technology before 2008, it is new for the company. The costs for this R&D are
included in the calculation for this question.
Percent
%
3•20 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was both directed toward business areas
or product lines in which your company had no revenues before 2008
and involved science/technology that had not been used by your
company in other projects before 2008?
Example: Company G is an automobile manufacturer. In 2008, it began a project to
develop the company’s first motorcycle. At the same time, G begins to explore using
hydrogen fuel cell technology in its vehicles–including motorcycles–at its U.S. R&D
facility. Because motorcycle manufacturing is a new business area for G and the
company had no experience with hydrogen fuel cell technology before 2008, it would
include the hydrogen fuel cell R&D related to its motorcycle project in the calculation for
this question.
Form BRDI-1
(12-17-08)
Percent
§,"sY¤
%
SECTION 3
3•16 What percentage of the domestic R&D performed by your company
in 2008 reported in Question 3•2 was for the following categories?
11018264
26
3•21 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for R&D in science/technology new
to the market(s) (i.e. first-to-market) in which your company operates?
Exclude:
• R&D to improve upon, replicate, or adopt science/technology currently in use in the
market(s) in which your company operates.
Percent
%
Example: Company H manufactures cookware. In 2008, 10% of its domestic R&D
performed by its company is for exploring the potential use in its products of a
heat-conducting material currently used only by the aerospace industry. The remainder
of H’s domestic R&D performed by its company is focused on improving products and
technology already used in the cookware market. Company H reports 10% for this
question.
SECTION 3
Areas of application for domestic R&D performed by your company
3•22 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 had defense applications, including
military applications and general security-related R&D?
3•23 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 had health or medical applications?
Percent
%
Percent
%
3•24 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 had energy applications, including energy
production, distribution, storage, and efficiency (excluding exploration
and prospecting)?
Example: Company I is a semiconductor manufacturer. Its products are not designed
specifically for energy applications, but 10% of its domestic R&D performed by its
company is focused on improving the energy efficiency of its products. Based on this,
Company I reports "10%" for this question.
3•25 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 had environmental protection applications,
including pollution abatement R&D?
3•26 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 had agricultural applications?
Percent
%
Percent
%
Percent
%
Technology focus of domestic R&D performed by your company
3•27 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for software products?
Percent
%
3•28 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for software embedded in other
projects or products?
Percent
3•29 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for the development of new or
significantly improved processes?
Percent
Form BRDI-1
(12-17-08)
%
§,"sa¤
%
11018272
27
3•31 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for the production of prototypes?
3•32 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for the operation of pilot plants?
Percent
%
Percent
%
Percent
%
3•33 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for biotechnology–the use of cellular
and bio-molecular processes to solve problems or make useful
products?
Percent
3•34 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for nanotechnology–science and
technology involving work at the nanometer scale?
Percent
3•35 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for social sciences–the application of
scientific methods to the study of human aspects of the world, including
such disciplines as economics and psychology?
%
%
Percent
%
R&D performed by others
3•36 What percentage of the R&D performed by others not owned by your
company reported in Question 3•3 was for the following categories?
Percent
%
a. Research-planned, systematic pursuit of new knowledge or understanding. . . . .
b. Development–systematic use of research and practical experience to produce
new or significantly improved goods, services, or processes . . . . . . . . . . . . . . . .
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3•37 If you reported any research in Question 3•36, line a, what percentage of
that research was for the following categories?
%
1 0 0 %
Percent
a. Applied research–activity aimed at solving a specific problem or meeting a
specific commercial objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
%
b. Basic research–activity aimed at acquiring new knowledge or understanding
without specific immediate commercial application or use . . . . . . . . . . . . . . . . .
%
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3•38 What percentage of the R&D performed by others reported in Question
3•3 was for medical clinical trials?
3•39 What percentage of the R&D performed by others reported in Question
3•3 was for the production of prototypes?
Form BRDI-1
(12-17-08)
1 0 0 %
Percent
%
Percent
§,"si¤
%
SECTION 3
3•30 What percentage of the domestic R&D performed by your company in
2008 reported in Question 3•2 was for medical clinical trials?
11018280
28
Activities with academia
SECTION 3
3•40 Did your company perform any of the following activities with universities, students,
or academic faculty in 2008?
a. Hired academic consultants for short-term projects in science
and engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. Hosted student interns pursuing undergraduate or graduate
degrees in science or engineering for at least one month . . . . . . . . . . . .
Yes
No
c. Hosted post-doctoral fellows in science or engineering for at
least one month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
d. Scientists or engineers from your company that served as visiting
scientists or engineers at a college or university for at least one
month . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
e. Made monetary gifts to universities or colleges that were restricted
to supporting R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
a. This company has been in business for fewer than 5 years as
of December 31, 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. This company’s primary mission in 2008 was to commercialize
science/technology discovered or developed by academic researchers . .
Yes
No
c. This company received venture capital funding in 2008 . . . . . . . . . . . . .
Yes
No
Company characteristics
3•41 Were the following statements true for your company in 2008?
Reporting information
3•42 Is the information in this section reported on a calendar year basis?
Yes ➔ Continue
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
To
Hours
3•43 Approximately how long did it take to complete Section 3?
3•44 Please list the names and titles of the persons who provided data for this section.
Name
Form BRDI-1
Title
(12-17-08)
§,"sq¤
11018298
29
SECTION 4
R&D Funded or Paid for by Others
Who should answer this section?
Persons familiar with accounting concepts and with access to financial records related to your
company’s R&D activities that are funded or paid for by others (funded R&D), including R&D paid
for by customers and R&D supported by government contracts and grants should complete this
section.
SECTION 4
Please answer Questions 4⋅1 to 4⋅3 to see if your company should fill out this section.
Form BRDI-1
(12-17-08)
§,"s¥¤
11018306
30
SECTION 4 – R&D Funded or Paid for by Others
What does this section cover?
This section requests information about your company’s R&D activities that are funded or paid for by
others not owned by your company (funded R&D). R&D reported in Section 2 should not be included in
responses to this section.
What is the reporting unit?
The reporting unit is your company, including all subsidiaries and divisions. Include operations of
subsidiary companies where there is more than 50 percent ownership. Also, include data for
discontinued operations.
NOTE: If your company is owned by a non-U.S. company, you should report the cost of R&D
reimbursed by both your foreign owner and other affiliated companies not owned by your
company in this section.
What is funded R&D?
Funded R&D is R&D your company performs that is funded or paid for by others not owned by your
company. Examples of funded R&D include R&D performed under contract for a customer, R&D
supported by a government grant, and R&D that is performed under a reimbursable agreement with
business partners.
Because the costs for this work are not paid for by your company, they are not accounted for as R&D
expenses, even though the nature of the work may be identical to other activities that are accounted for
as R&D expenses by your company.
SECTION 4
What do the terms "worldwide" and "domestic" mean?
The term "worldwide" refers to all geographic locations, including the United States. The term "domestic"
refers to the 50 United States and the District of Columbia only.
How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousand.
$Bil.
Example: If figure is
$179,125,628.00 report:
Mil.
Thou.
1 7 9 1 2 6
Are estimates acceptable?
Yes, estimates are acceptable. Please report all items to the best of your ability.
How should I answer a question that does not apply to my company?
Enter "0" if a question or category does not apply to your company.
What time period should be reported?
Report data for calendar year 2008, if possible, or for your company’s fiscal year ending between
April 2008 and March 2009.
NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the time period from January 1, 2008 to the
date of purchase or the date your company ceased operations.
To speak with a survey analyst, call 1-800-772-7851, option "5" (8 a.m. – 5 p.m. EST, M-F)
Form BRDI-1
(12-17-08)
§,"t’¤
11018314
31
Worldwide R&D performed by your company
4•1
What were your company’s total worldwide costs in 2008 for
R&D that was funded or paid for by others not owned by your
company?
Include:
• Cost of sales and indirect costs, such as overhead for contract R&D
services provided to others not owned by your company
• R&D costs paid for by your foreign owner, if your company is
foreign-owned
• Costs for R&D supported by grants from government agencies or
private foundations
• Costs paid for by others for the development, production, and testing of
prototypes prior to their introduction to the market
• Costs paid for by others for phase I - III medical clinical trials of medical
products
• Independent research and development (IR&D) costs for which your
company anticipates reimbursement by the U.S. federal government
through indirect charges on government contracts
• Costs reimbursed by business partners, such as through cost-sharing
agreements
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
4•2
SECTION 4
Exclude:
• Costs accounted for as R&D expenses by your company (reported in
Section 2)
• Payments in excess of the actual cost of the R&D (such as profits or fees)
• Costs for routine product testing, quality control, and technical services
unless they are an integral part of an R&D project
• Costs for routine testing of products currently on the market
• Costs for phase IV medical clinical trials or other post-marketing testing
performed for medical products
• Costs for R&D performed by FFRDCs (Federally Funded Research and
Development Centers) your company administers
• Bid and proposal (B&P) costs
How much of the 2008 worldwide costs reported in Question
4•1 for R&D that was funded or paid for by others not owned
by your company was for R&D performed by your company
and how much was for R&D performed by others not owned
by your company, such as subcontractors or subgrantees?
a. R&D performed by your company . . . . . . . . . . . . . . . . . . . . . . . . . .
Include:
• All costs for R&D performed by your company’s full-time, part-time,
and temporary employees
b. R&D performed by others not owned by your company, such
as subcontractors or subgrantees . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Total (equals Question 4⋅1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4•3
Was the amount entered in Question 4•2, line a, greater than zero?
Yes ➔ Continue with Question 4•4
No ➔ Skip to Section 5
Form BRDI-1
(12-17-08)
§,"t/¤
11018322
32
4•4
How much of the 2008 worldwide R&D performed by your company that was funded
by others reported in Question 4•2, line a, was performed in the countries listed below?
SECTION 4
$Bil.
Mil.
Thou.
$Bil.
a. United States
(domestic). . . . . .
j. Italy. . . . . . . . . . .
b. Puerto Rico . . . . .
k. Japan . . . . . . . . .
c. Canada . . . . . . . .
l. Russia. . . . . . . . .
d. China . . . . . . . . .
m. Singapore . . . . . .
e. France. . . . . . . . .
n. South Korea . . . .
f. Germany. . . . . . .
o. Sweden . . . . . . .
g. India . . . . . . . . . .
p. United Kingdom
h. Ireland . . . . . . . .
q. All other . . . . . . .
i. Israel. . . . . . . . . .
r. Total (equals
Question 4⋅2,
line a) . . . . . . . .
Mil.
Thou.
Domestic R&D performed by your company that was funded by others
4•5
How much of the domestic R&D performed by your company that was funded by
others reported in Question 4•4, line a, 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.
Business Code
(see page 6)
$Bil.
a.
.......................................
b.
.......................................
c.
.......................................
d.
.......................................
e.
.......................................
f.
.......................................
g.
.......................................
Mil.
Thou.
Question continues on next page
Form BRDI-1
(12-17-08)
§,"t7¤
11018330
33
4•5
(Continued)
Business Code
(see page 6)
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
.......................................
h.
i. Total (equals Question 4⋅4, line a) . . . . . . . . . . . . . . . . . . . . . . . . . .
4•6
How much of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a,
was for the following types of costs?
a. Gross annual payroll–wages and salaries of R&D employees
and officers excluding fringe benefits . . . . . . . . . . . . . . . . . . . . . . .
b. Employer’s cost for fringe benefits . . . . . . . . . . . . . . . . . . . . . . . . . .
Include:
• Disability benefits
• Life and medical insurance
• Paid holidays, time off benefits, vacation, annual, sick, and maternity
leave
• Retirement benefits, pension, and social security contributions
d. Temporary staffing and leased employees . . . . . . . . . . . . . . . . . . . .
Include:
• Costs paid to Professional Employer Organizations (PEOs) and staffing
agencies for personnel
• All charges for payroll, benefits, and services
e. Expensed equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Materials and supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g. Lease and rental payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
h. Depreciation and amortization on R&D property and equipment . . .
i. All other costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
j. Total (equals Question 4⋅4, line a) . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"t?¤
SECTION 4
c. Stock-based compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
11018348
34
4•7
How much of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, was
performed under each of the following types of agreements?
$Bil.
Mil.
Thou.
a. Contracts (include direct or prime contracts and subcontracts) . . . . .
b. Grants, reimbursements, and all other agreements . . . . . . . . . . . . .
c. Total (equals Question 4⋅4, line a) . . . . . . . . . . . . . . . . . . . . . . . . .
4•8
How much of the domestic R&D performed by your company that was funded by
others reported in Question 4•4, line a, was funded by each of the following?
Include
• If your company is a subcontractor or subgrantee, report the original source of funding
Example: Company K is a car manufacturer and Company L is a glass manufacturer. In 2008,
Company K is awarded a U.S. federal government contract to develop a new type of armored car.
Company K performs some of the R&D itself and subcontracts the development of the car’s bulletproof
glass windshield to Company L. Both Company K and Company L would include their R&D costs for
this project in the calculation for line c of this question.
$Bil.
Mil.
Thou.
SECTION 4
a. Other companies located inside the United States . . . . . . . . . . . . . .
b. Other companies located outside the United States . . . . . . . . . . . .
c. U.S. federal government agencies or laboratories . . . . . . . . . . . . . .
d. U.S. state government agencies or laboratories
(50 United States and D.C.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Foreign government agencies or laboratories . . . . . . . . . . . . . . . . .
f. All other organizations inside the United States. . . . . . . . . . . . . . . .
g. All other organizations located outside the United States . . . . . . . .
h. Total (equals Question 4⋅4, line a) . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"tQ¤
11018355
35
4•9
How much of the R&D funded by other companies reported
in Question 4•8, lines a and b, was funded by the following
types of companies?
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
$Bil.
Mil.
Thou.
a. Aerospace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Computer products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. Electronic products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Motor vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Petrochemicals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Pharmaceuticals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
g. All other companies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4•10 How much of the R&D funded by U.S. federal government
agencies or laboratories reported in Question 4•8, line c, was
funded by the following agencies?
SECTION 4
h. Total (equals Question 4⋅8, lines a and b) . . . . . . . . . . . . . . . . . . . .
a. Department of Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b. Department of Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. National Aeronautics and Space Administration . . . . . . . . . . . . . . . .
d. National Institutes of Health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. All other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Total (equals Question 4⋅8, line c) . . . . . . . . . . . . . . . . . . . . . . . . . .
4•11 How much of the 2008 worldwide R&D reported in Question
4•1 was independent research and development (IR&D) costs
for which your company anticipates reimbursement by the
U.S. federal government through indirect charges on
government contracts?
Form BRDI-1
(12-17-08)
§,"tX¤
11018363
36
4•12 How much of the following three funded R&D amounts was performed in each state
(including D.C.):
(1) 2008 R&D funded by the U.S. federal government reported in Question 4•8, line c
(2) 2008 R&D funded by all nonfederal sources
(3) 2008 total domestic R&D performed by your company that was funded by others
reported in Question 4•4, line a
(1)
Federal
$Bil.
Mil.
(2)
Nonfederal
Thou.
$Bil.
Mil.
Thou.
(3)
Total
$Bil.
Mil.
Thou.
Alabama . . . . .
Alaska . . . . . . .
Arizona . . . . . .
Arkansas . . . . .
California . . . . .
Colorado . . . . .
SECTION 4
Connecticut . . .
Delaware . . . . .
District of
Columbia . . . . .
Florida . . . . . . .
Georgia . . . . . .
Hawaii . . . . . . .
Idaho . . . . . . . .
Illinois . . . . . . .
Indiana . . . . . . .
Iowa . . . . . . . . .
Kansas . . . . . . .
Kentucky . . . . .
Louisiana . . . . .
Question continues on next page
Form BRDI-1
(12-17-08)
§,"t‘¤
11018371
37
4•12 (Continued)
(1)
Federal
$Bil.
Mil.
(2)
Nonfederal
Thou.
$Bil.
Mil.
Thou.
(3)
Total
$Bil.
Mil.
Thou.
Maine . . . . . . . .
Maryland . . . . .
Massachusetts
Michigan . . . . .
Minnesota . . . .
Mississippi . . . .
Missouri . . . . . .
Montana. . . . . .
Nebraska . . . . .
SECTION 4
Nevada . . . . . .
New Hampshire
New Jersey . . .
New Mexico . . .
New York . . . . .
North Carolina
North Dakota . . .
Ohio . . . . . . . . .
Oklahoma . . . . .
Oregon . . . . . . .
Pennsylvania . . .
Rhode Island . . .
Question continues on next page
Form BRDI-1
(12-17-08)
§,"th¤
11018389
38
4•12 (Continued)
(1)
Federal
$Bil.
Mil.
(2)
Nonfederal
Thou.
$Bil.
Mil.
Thou.
(3)
Total
$Bil.
Mil.
Thou.
South Carolina
South Dakota . .
Tennessee . . . .
Texas . . . . . . . .
Utah . . . . . . . . .
Vermont . . . . . .
Virginia . . . . . . .
Washington . . . .
SECTION 4
West Virginia . . .
Wisconsin . . . . .
Wyoming . . . . .
Total. . . . . . . . .
Total equals Question
4⋅8, line c
Total equals Question
4⋅4, line a
4•13 What are your company’s worldwide projected costs in
2009 for R&D performed by your company that will be
paid for by others?
$Bil.
Mil.
Thou.
4•14 How much of the projected costs in 2009 for R&D
performed by your company that will be paid for by
others reported in Question 4•13 will be performed in
the domestic United States?
$Bil.
Mil.
Thou.
4•15 How much of the projected costs in 2009 for domestic
R&D performed by your company that will be paid for by
others reported in Question 4•14 will be paid for by
U.S. federal government agencies?
$Bil.
Mil.
Thou.
Form BRDI-1
(12-17-08)
§,"tz¤
11018397
39
Characteristics of domestic R&D performed by your company that was
funded by others
Percent
%
a. Research-planned, systematic pursuit of new knowledge or understanding. . . . .
b. Development–systematic use of research and practical experience to produce
new or significantly improved goods, services, or processes . . . . . . . . . . . . . . . .
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4•17 If you reported any research in Question 4•16, line a, what percentage of
that research was for the following categories?
%
1 0 0 %
Percent
a. Applied research–activity aimed at solving a specific problem or meeting a
specific commercial objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
%
b. Basic research–activity aimed at acquiring new knowledge or understanding
without specific immediate commercial application or use . . . . . . . . . . . . . . . . .
%
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1 0 0 %
4•18 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, was for
medical clinical trials (phases I, II, and III)?
Percent
4•19 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, was for
the production of prototypes?
Percent
4•20 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, had defense
applications, including military applications and general security-related
R&D?
Percent
4•21 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, had health
or medical applications?
Percent
%
%
%
%
4•22 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, had energy
applications, including energy production, distribution, storage, and
efficiency (excluding exploration and prospecting)?
Example: Company L is a semiconductor manufacturer. Its products are not designed
specifically for energy applications, but 10% of its domestic R&D performed by its
company is focused on improving the energy efficiency of its products. Based on these
facts, Company L reports "10%" for this question.
4•23 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, had
environmental protection applications, including pollution
abatement R&D?
Form BRDI-1
(12-17-08)
Percent
%
Percent
§,"t¿¤
%
SECTION 4
4•16 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, was for
the following categories?
11018405
40
4•24 What percentage of the domestic R&D performed by your company
that was funded by others reported in Question 4•4, line a, had
agricultural applications?
Percent
%
Characteristics of domestic R&D performed by your company that
was funded by the U.S. federal government
4•25 What percentage of the domestic R&D performed by your company
funded by U.S. federal government agencies or laboratories reported
in Question 4•8, line c, was for the following categories?
Percent
%
a. Research-planned, systematic pursuit of new knowledge or understanding. . . . .
b. Development–systematic use of research and practical experience to produce
new or significantly improved goods, services, or processes . . . . . . . . . . . . . . . .
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
SECTION 4
4•26 If you reported any research in Question 4•25, line a, what percentage of
that research was for the following categories?
%
1 0 0 %
Percent
a. Applied research–activity aimed at solving a specific problem or meeting a
specific commercial objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
%
b. Basic research–activity aimed at acquiring new knowledge or understanding
without specific immediate commercial application or use . . . . . . . . . . . . . . . . .
%
c. Total. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4•27 What percentage of the domestic R&D performed by your company
that was funded by U.S. federal government agencies or laboratories
reported in Question 4•8, line c, was for the production of prototypes?
Form BRDI-1
(12-17-08)
1 0 0 %
Percent
§,"u&¤
%
11018413
41
Reporting information
4•28 Is the information in this section reported on a calendar year basis?
Yes ➔ Continue
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
To
Hours
4•29 Approximately how long did it take to complete Section 4?
4•30 Please list the names and titles of the persons who provided data for this section.
Name
SECTION 4
Title
Form BRDI-1
(12-17-08)
§,"u.¤
11018421
42
This page was intentionally left blank.
Form BRDI-1
(12-17-08)
§,"u6¤
11018439
43
SECTION 5
R&D Human Resources
Who should answer this section?
SECTION 5
Persons familiar with human resources concepts and with access to records related to your
company’s employees should complete this section.
Form BRDI-1
(12-17-08)
§,"uH¤
11018447
44
SECTION 5 – R&D Human Resources
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.
What is the reporting unit?
The reporting unit is your company, including all subsidiaries and divisions. Include operations of
subsidiary companies where there is more than 50 percent ownership. Also, include data for
discontinued operations.
NOTE: If your company is owned by a non-U.S. company, do not include data for your foreign
owner or for any other affiliated companies not owned by your company.
Who are R&D employees?
R&D employees include all employees providing direct support to either R&D paid for by your company
or R&D paid for by others not owned by your company, such as R&D your company performs under a
grant or contract. Include scientists and engineers working on R&D as well as R&D managers,
technicians, administrators, clerical staff, and interns providing direct support to R&D.
R&D employees do not include staff providing indirect support, such as security guards and cafeteria
workers. Leased employees, temps, and on-site consultants should not be counted as R&D employees.
What is a full-time equivalent (FTE)?
A full-time equivalent takes into account employees who do not work full-time or for employees who do
not work on R&D activities full-time. For example, an employee who works half-time would be counted
as one employee on a headcount basis but as one-half (½) an FTE employee. Similarly, a full-time
employee hired in June would be counted as one-half (½) an FTE employee. The number of FTEs and
the headcount may differ for your company.
What do the terms "worldwide" and "domestic" mean?
The term "worldwide" refers to all geographic locations, including the United States. The term "domestic"
refers to the 50 United States and the District of Columbia only.
Are estimates acceptable?
SECTION 5
Yes, estimates are acceptable. Please report all items to the best of your ability.
How should I answer a question that does not apply to my company?
Enter "0" if a question or category does not apply to your company.
What time period should be reported?
Report data for calendar year 2008, if possible, or for your company’s fiscal year ending between
April 2008 and March 2009.
NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the time period from January 1, 2008 to the
date of purchase or the date your company ceased operations.
To speak with a survey analyst, call 1-800-772-7851, option "5" (8 a.m. – 5 p.m. EST, M-F)
Form BRDI-1
(12-17-08)
§,"uP¤
11018454
45
Worldwide employees
5•1
What was the total number of employees working at your company
worldwide for the pay period that included March 12, 2008?
Include:
• For the domestic employees, all employees whose payroll was reported on
IRS Form 941, Employer’s Quarterly Federal Tax Return
• Employees in all activities during the pay period that includes March 12, 2008
• Employees on paid sick leave, paid holidays, and paid vacations during the
pay period that included March 12, 2008
Number
Exclude:
• Leased or temporary employees and on-site consultants
5•2
How many of your company’s total worldwide employees reported
in Question 5•1 were R&D employees?
Include:
• R&D scientists, engineers, managers, technicians, administrators, clerical staff,
and interns
Number
Exclude:
• Staff providing indirect support, such as security guards and cafeteria workers
5•3
How many of the worldwide R&D employees reported in Question 5•2 were
(1) female employees, (2) male employees, and (3) total employees, working
in the R&D occupations listed below?
(1)
Female
Employees
(2)
Male
Employees
(3)
Total
Employees
a. R&D engineers and their
managers . . . . . . . . . . . . . . . . . .
c. R&D technicians and
technologists. . . . . . . . . . . . . . . .
d. R&D support staff (clerical
and other) . . . . . . . . . . . . . . . . . .
e. Total worldwide R&D
employees . . . . . . . . . . . . . . . . .
Total equals
Question 5⋅2
5•4
Of the total worldwide R&D scientists and engineers and their
managers reported in Question 5•3, lines a and b, how many
had the following as their highest educational degree?
Number
a. PhD (including EngD, ScD, excluding MD, JD, and EdD). . . . . . . . . . . . . . .
b. Other college degrees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. All other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Total worldwide R&D scientists and engineers
(equals Question 5⋅3, lines a and b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"uW¤
SECTION 5
b. R&D scientists and their
managers (not already reported
in line a) . . . . . . . . . . . . . . . . . . .
11018462
46
Domestic employees
5•5
How many of the worldwide employees reported in Question 5•1
were domestic employees–employed by your company’s domestic
operations?
Include:
• All employees whose payroll was reported on IRS Form 941, Employer’s
Quarterly Federal Tax Return
• Employees on paid sick leave, paid holidays, and paid vacations during the
pay period that included March 12, 2008
5•6
Number
How many of your company’s total domestic employees reported in
Question 5•5 were R&D employees?
Include:
• R&D scientists, engineers, managers, technicians, administrators, clerical staff,
and interns
Number
Exclude:
• Staff providing indirect support, such as security guards and cafeteria workers
5•7
How many of the domestic R&D employees reported in Question 5•6 were
(1) female employees, (2) male employees, and (3) total employees, working
in the R&D occupations listed below?
(1)
Female
Employees
(2)
Male
Employees
(3)
Total
Employees
a. R&D engineers and their
managers . . . . . . . . . . . . . . . . . . .
b. R&D scientists and their
managers (not already reported
in line a). . . . . . . . . . . . . . . . . . . .
c. R&D technicians and
technologists . . . . . . . . . . . . . . . .
SECTION 5
d. R&D support staff (clerical
and other) . . . . . . . . . . . . . . . . . .
e. Total domestic R&D
employees . . . . . . . . . . . . . . . . .
Total equals
Question 5⋅6
5•8
Of the total domestic R&D scientists and engineers and their
managers reported in Question 5•7, lines a and b, how many
had the following as their highest educational degree?
Number
a. PhD (including EngD, ScD, excluding MD, JD, and EdD) . . . . . . . . . . . . . . .
b. Other college degrees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
c. All other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d. Total domestic R&D scientists and engineers
(equals Question 5⋅7, lines a and b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form BRDI-1
(12-17-08)
§,"u_¤
11018470
47
5•9
How many of the domestic R&D scientists and engineers and
their managers reported in Question 5•7, lines a and b, were
non-U.S. citizens employed in the United States under a
temporary visa, such as H-1B or L-1?
Number
Full-time equivalents (FTEs)
5•10 What was the number of domestic full-time equivalent (FTE)
scientists and engineers engaged in R&D activities during 2008?
Full-time equivalents account for R&D scientists and engineers who do not
work full-time and R&D scientists and engineers who do not work on R&D
activities full-time. For example, a scientist or engineer who works half-time
would be counted as one employee on a headcount basis but as one-half (½)
an FTE employee. Similarly, a full-time employee hired in June would be
counted as one-half (½) an FTE employee. The number of FTEs and the
headcount may differ for your company.
5•11 How many of the domestic R&D FTE scientists and engineers
reported in Question 5•10 were engaged in R&D activities funded
by U.S. federal government grants or contracts during 2008?
Number
Number
Reporting information
5•12 Is the information in this section reported on a calendar year basis?
Yes ➔ Continue
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
To
5•14 Please list the names and titles of the persons who provided data for this section.
Name
Form BRDI-1
Title
(12-17-08)
§,"ug¤
SECTION 5
Hours
5•13 Approximately how long did it take to complete Section 5?
11018488
48
This page was intentionally left blank.
Form BRDI-1
(12-17-08)
§,"uy¤
11018496
49
SECTION 6
Intellectual Property, Technology Transfer, and Innovation
Who should answer this section?
SECTION 6
Persons with an understanding of your company’s general business strategy and knowledge of
your company’s patenting, licensing, and other intellectual property related activities should
complete this section.
Form BRDI-1
(12-17-08)
§,"u£¤
11018504
50
SECTION 6 – Intellectual Property, Technology Transfer,
and Innovation
What does this section cover?
This section requests information about intellectual property, technology transfer activities, and
actions taken to improve company performance, such as:
• Patents
• Patent licensing
• Protection of intellectual property
• Transfer of intellectual property
• Innovation activity
Are responses to this survey confidential?
Yes. Your responses are completely confidential under Title 13, United States Code, and are seen only
by persons sworn to uphold the confidentiality of Census Bureau information. Data provided will be used
only to publish summary statistics that do not identify individual firms. Title 13 also provides that copies
of reports retained in your files are immune from legal process. In addition, reported data are exempt
from requests made under the Freedom of Information Act.
What is the reporting unit?
The reporting unit is your company, including all subsidiaries and divisions. Include operations of
subsidiary companies where there is more than 50 percent ownership. Also, include data for
discontinued operations.
NOTE: If your company is owned by a non-U.S. company, do not include data for your foreign
owner or for any other affiliated companies not owned by your company.
How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousand.
$Bil.
Example: If figure is
$179,125,628.00 report:
Mil.
Thou.
1 7 9 1 2 6
Are estimates acceptable?
Yes, estimates are acceptable. Please report all items to the best of your ability.
How should I answer a question that does not apply to my company?
Enter "0" if a question or category does not apply to your company.
What time period should be reported?
Report data for calendar year 2008, if possible, or for your company’s fiscal year ending between
April 2008 and March 2009.
SECTION 6
NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the time period from January 1, 2008 to the
date of purchase or the date your company ceased operations.
To speak with a survey analyst, call 1-800-772-7851, option "5" (8 a.m. – 5 p.m. EST, M-F)
Form BRDI-1
(12-17-08)
§,"v%¤
11018512
51
6•1
Did your company introduce any of the following during the three-year period,
2006 to 2008?
a. New or significantly improved goods (excluding the simple resale
of new goods purchased from others and changes of a solely
aesthetic nature) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. New or significantly improved services. . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
c. New or significantly improved methods of manufacturing or
producing goods or services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
d. New or significantly improved logistics, delivery, or distribution
methods for your inputs, goods, or services . . . . . . . . . . . . . . . . . . . . . .
Yes
No
e. New or significantly improved support activities for your
processes, such as maintenance systems or operations for
purchasing, accounting, or computing . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
Patents
Number
6•2
How many patents did your company apply for in 2008 from the
U.S. Patent and Trademark Office (USPTO)?
6•3
What percentage of the patent applications reported in Question
6•2 has your company applied for or plans to apply for in foreign
jurisdictions?
Percent
What percentage of the patent applications reported in Question
6•2 was for inventions that originated within your company’s
organized R&D activities?
Percent
6•4
%
%
Number
6•5
How many patents were issued to your company in 2008 by the USPTO?
6•6
What percentage of your company’s inventions considered for patenting
in 2008 resulted in patent applications?
Percent
%
$Bil.
6•7
In 2008, what was the amount of your company’s revenue
from patents licensed to others not owned by your company?
6•8
How many new agreements did your company enter into during 2008
to license patents to others not owned by your company?
Form BRDI-1
(12-17-08)
Mil.
Thou.
Number
§,"v-¤
SECTION 6
Patent licensing
11018520
52
Intellectual property transfer activities
6•9
Did your company perform the following activities in 2008?
a. Transferred intellectual property to others not owned by your
company through participation in technical assistance or
"know how" agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
b. Received intellectual property from others not owned by your
company through participation in technical assistance or
"know how" agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
c. Transferred intellectual property to a spin-off or spin-out of
your company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
d. Received intellectual property 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 intellectual property . . . . . . . . . . . .
Yes
No
Yes
No
Yes
No
h. Allowed free use of patents or other intellectual property owned
by your company (for example, allowing free use of software
patents by the open source community) . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
i. Made use of open source patents or other freely available intellectual
property not owned by your company. . . . . . . . . . . . . . . . . . . . . . . . . .
Yes
No
f. Acquired any financial interest in another company in order to
gain access to their intellectual property . . . . . . . . . . . . . . . . . . . . . . . .
g. Participated in cross-licensing agreements–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•10 During 2008, how important to your company were the
following types of intellectual property protection?
Very
important
Somewhat
important
Not
important
a. Utility patents (patents for invention) . . . . . . . . . . . . . . . . . . . .
b. Design patents (patents for appearance) . . . . . . . . . . . . . . . . . .
c. Trademarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
SECTION 6
d. Copyrights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
e. Trade secrets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
f. Mask works (copyright protection for semiconductor products)
Form BRDI-1
(12-17-08)
§,"v5¤
11018538
53
Reporting information
6•11 Is the information in this section reported on a calendar year basis?
Yes ➔ Continue
No ➔ Enter time period covered below:
(MM)
From
(YYYY)
(MM)
(YYYY)
To
Hours
6•12 Approximately how long did it take to complete Section 6?
6•13 Please list the names and titles of the persons who provided data for this section.
Title
SECTION 6
Name
Form BRDI-1
(12-17-08)
§,"vG¤
11018546
54
Please provide your comments in the space for "Remarks" on the back cover.
Form BRDI-1
(12-17-08)
§,"vO¤
11018553
55
Please provide your comments in the space for "Remarks" on the back cover.
Form BRDI-1
(12-17-08)
§,"vV¤
11018561
56
Remarks (Please use the space below for any explanations that may help us understand your reported data.)
We estimate that it will take from .5 to 25 hours to complete this form, with 14.9 hours being the average.
This includes time to read instructions, develop or assemble material, conduct tests, organize and review the
information, and maintain and report the information. Send comments regarding this burden estimate or any
other aspect of this collection of information, including suggestions for reducing this burden, to:
Paperwork Project 0607-0912,
U.S. Census Bureau
4600 Silver Hill Road
AMSD-3K138
Washington, D.C. 20233
You may e-mail comments to Paperwork@census.gov; use "Paperwork Project 0607-0912" as the subject.
∼ Thank you for completing your 2008 Business R&D and Innovation Survey ∼
PLEASE MAKE A COPY OF THIS FORM FOR YOUR RECORDS AND RETURN THE ORIGINAL
Form BRDI-1
(12-17-08)
§,"v^¤
| File Type | application/pdf |
| File Title | BRDI-1_p01.g |
| File Modified | 2009-03-25 |
| File Created | 2008-12-17 |