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Form BRDI-1 Business R&D and Innovation Survey

ICR 200807-0607-005 · OMB 0607-0912 · Object 8021801.

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U.S. DEPARTMENT OF COMMERCE
Economics and Statistics Administration
U.S. CENSUS BUREAU
FORM

BRDI-1

2008 BUSINESS R&D AND INNOVATION
SURVEY

(01-02-2009)

OMB No. 1234-5678: Approval Expires 12/31/2012

DUE DATE
March 31, 2009
Report electronically:
www.census.gov/econhelp/rd
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

DRAFT

For information or assistance:
•
www.census.gov/econhelp/rd
•
Call 1-800-851-2014, option "0" (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, U.S. 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 8-digit number appears in the upper right corner of
this report form.

Your Response is Confidential by Law
Title 13, U.S. 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 this company’s files are immune from legal process.

Thank You – Your Response is Important
The Business Research and Development Survey will provide valuable information for U.S. policy makers as well
as industry and academic data users. Better information about Research and Development in the U.S. business
sector will help leaders make better decisions to strengthen American competiveness.
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 ~

General Instructions
What does this survey ask?
This survey will ask questions about this 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 this company (funded R&D). This survey also requests
data on this company’s R&D employees and intellectual property (IP).

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
or services.
The term Research and Development does not include expenditures for:
• Routine quality control testing
• 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/rd
(2) Click on Electronic Reporting
(3) Enter your Username and Password
(4) Click on “Start Form”
Advantages
• Reduced time and expense to report
• Improved quality through automatic data checks
• Data is 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 web site www.census.gov/econhelp/rd has the following information:
• More detailed general information about the Business Research and Development Survey
• Frequently asked questions
• Sample questionnaires
• Worksheets for each question 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/.

To speak with a survey analyst, call 1-800-851-2014, option "0" (8 a.m. – 5 p.m. EST, M-F)

Survey Coordinator Instructions
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 certifying 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, HR, and legal organizations.
Enter the contact information for your company’s survey coordinator below.
Name

Title
Area
code

Telephone

Number

Area
code

Extension

Fax

Number

Extension

E-mail address

How do I complete this survey?
The Business R&D and Innovation Survey is divided into five 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: R&D Finance
• Asks for information about R&D expenses, sales and operating revenues and capital expenditures
• Best answered by persons with knowledge of your company’s financial records

Section 2: R&D Management and Strategy
• Asks for specialized information about the characteristics of this company’s R&D reported in Section 1
• Best answered by persons with first-hand knowledge of R&D operations, such as a VP of Research

Section 3: R&D Funded or Paid for by Others
• 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 4: R&D Human Resources
• Asks for information about your company’s R&D employees
• Best answered by persons with knowledge of your company’s HR records

Section 5: Intellectual Property and Technology Transfer, and Innovation
• Asks for information about intellectual property such as 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
You can access electronic copies of the questions or the whole survey on our web site:
www.census.gov/econhelp/rd.

NOTE: Questions 2•1, 2•2, and 2•3 in Section 2 require information from Section 1. If the person completing section 2
is not the same person completing section 1, please provide the requested information to him or her.

Company Information
1

Did your company cease operations prior to April 1, 2008?
Yes Æ Stop here and return the survey form to the U.S. Census Bureau.
Alternatively, you may use our telephone or web options:
1-800-851-2014, option “0” (8 a.m. – 5 p.m. EST, M-F)
www.census.gov/econhelp/rd
No

Did another U.S. company own more than 50 percent of your company during 2008?
Yes Æ Please provide the following information:
Name of owner

EIN (9 digits)

Mailing address

City

State

(MM)

(DD)

ZIP

(YYYY)

Date owner purchased your company
Stop here if your company was purchased before April 1, 2008.
Return this survey to the U.S. Census Bureau or use our telephone or web options:
1-800-851-2014, option “0” (8 a.m. – 5 p.m. EST, M-F)
www.census.gov/econhelp/rd
No

Did your company do any of the following during 2008?
• Incur R&D expenses
• Perform R&D that was funded or paid for by others not owned by your company such as:
- Product development performed under contract for another company
- Research funded by a government grant
Yes Æ Complete the rest of this survey beginning with Question 4.
NOTE: If your company was either purchased or ceased operations between Apr. 1 and Dec. 31,
2008, complete the survey for the time period from Jan. 1, 2008 to the date of purchase or
the date your company ceased operations.
No Æ Skip to Section 5, page 44

Business Segments
Printed below are the business segment code(s) and description(s) in which we believe your company operates. The
codes are preprinted based on payroll and receipts information contained in our database for your companies’
establishments and research of your companies’ global operations. These codes and descriptions are based on the
North American Industry Classification System (NAICS).
Your company may have R&D activity in business segments where you have no payroll or receipts. It is also valid for
your company to have payroll or receipts in business segments where your company has no R&D activity.

Business Segment Code

Description

PREPRINT 1
PREPRINT 2
PREPRINT 3
PREPRINT 4
PREPRINT 5
PREPRINT 6

PREPRINTED DESCRIPTION 1
PREPRINTED DESCRIPTION 2
PREPRINTED DESCRIPTION 3
PREPRINTED DESCRIPTION 4
PREPRINTED DESCRIPTION 5
PREPRINTED DESCRIPTION 6

Are the business segment codes above consistent with your company’s R&D
activities, payroll, and receipts?
Yes Æ Continue with Question 5
No Æ Enter the correct codes and corresponding descriptions below.
Refer to the Business Segment Code list on pages xx – xx.
Note that many companies operate in only one business segment.
Code

Description

Did your company have more than one business segment code as defined here?
Yes Æ Use the codes above to report in questions 1•13, 1•14, and 3•8. If someone else will
be answering these questions, provide him or her with a copy of this page.
No Æ You may skip questions 1•13, 1•14, and 3•8. If someone else would be answering
these questions, inform him or her that they may skip these questions.

This page intentionally blank

SECTION 1

SECTION 1
R&D Finance

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.

SECTION 1

SECTION 1 – R&D Finance
What does this section cover?
This section requests financial information about your company’s R&D expenses, sales or revenues, 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 segment.

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.

What is the difference between R&D expense and R&D performance?
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 performance. 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.
Exclude:
• R&D from acquired companies prior to acquisition (in-process R&D)
• Costs for routine product testing, quality control, and technical services
• R&D funded or paid for by others not owned by your company (these costs are reported in
Section 3).
Report R&D performance based on the location where R&D was performed by your company. Exclude 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 thousands.
$Bil.
Example: If figure is
$179,125,628.00 report:

Mil.

Thou.

179

126

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 period from January 1, 2008 to
either the date of purchase or the date your company ceased operations.

SECTION 1

1•1

What was the total worldwide R&D expense for your company (including
all Domestic expenditures) in 2008?
Include:
• R&D expenses for all foreign and domestic subsidiaries and divisions
owned by your company
• Contract R&D services purchased from others, including 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

$ Bil.

Mil.

Thou.

This answer is used in
Questions 1•2, 1•5, 1•8,
1•14, and 2•1

Exclude:
• R&D costs paid for by others not owned by your company (these costs are
reported in Section 3), such as:
- Costs associated with contract services your company provides to others
- Costs for R&D funded by government grants
- Costs reimbursed by business partners
• Capital expenditures for R&D (report domestic capital expenditures in
question 1•15)
• Market and advertising research
• Independent research and development (IR&D) costs for which your
company anticipates reimbursement by the U.S. government through
indirect charges on government contracts (these costs are reported in
Section 3)

1•2

How much of the 2008 worldwide R&D expense reported in Question 1•1
was for gross payroll—wages and salaries of employees excluding the
cost of fringe benefits?

1•3

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.

$ Bil.

Mil.

Thou.

$ Bil.

Mil.

Thou.

Exclude:
• Non-operating income (e.g. dividends, interest)
• Excise, sales, and other revenue based taxes

1•4

How much of the 2008 worldwide net sales and operating revenues
reported in Question 1•3 was from domestic operations?
Include:
• Operating revenues and sales to foreign subsidiaries

SECTION 1

1•5

How much of the 2008 worldwide R&D expense reported in Question 1•1 was (1) R&D
expense and (2) R&D performance for the countries listed below?
R&D expense by country should reflect the R&D costs incurred on behalf of or for the
benefit of the company operations in each country. R&D that is applicable to more than one
country should be allocated to those countries on a reasonable basis. Allocation in
proportion to operating revenues is acceptable unless some alternative allocation basis is
more appropriate.
R&D performance by country should reflect the actual location where your company
performed R&D. Exclude R&D performed for your company by others not owned by your
company such as contract research organizations (CROs), universities, and federal
laboratories.
Example: Company A is headquartered in the United States. In 2008:
• All of Company A’s R&D was for the benefit of its U.S. operations.
• Company A spent $6 million on R&D performed at A’s research facility in Japan.
• Company A paid a contract research organization (CRO) $4 million for R&D services.
Based on these facts, Company A would report the following for this question:
• In column 1, Company A reports a $10 million R&D expense for the United States.
• In column 2, Company A reports a $6 million R&D performance for Japan.
Note: Company A does not report the $4 million it paid to the CRO for R&D services in
column 2 because that R&D was not performed by A.
(1)
R&D expense
$ Bil.

Mil.

Thou.

(2)
R&D performance
$ Bil.

Mil.

a. United States (domestic) ...............................
b. Puerto Rico ....................................................
c. Canada ..........................................................
d. China .............................................................
e. France ............................................................
f. Germany ........................................................
g. India ...............................................................
h. Ireland ............................................................
i. Israel ..............................................................
j. Italy ................................................................
k. Japan .............................................................
l. Russia ............................................................
m. Singapore ......................................................
n. Sweden ..........................................................
Question continues on next page

Thou.

(Continued)
(1)
R&D expense

SECTION 1

1•5

(2)
R&D performance

o. United Kingdom .............................................
p. All other ..........................................................
q. Total (R&D expense equals Question 1•1,
R&D performance may be less) .....................

1•6

Copy the amount reported in Question 1•5, line a, column 2—domestic
R&D performance.

$ Bil.

Mil.

Thou.

This answer is used in
Questions 1•7, 1•9, 1•10,
1•12, 1•14, and 2•2

1•7

1•8

How much of the domestic R&D performance in 2008 reported in Question
1•6 was for the benefit of or on behalf of your company’s foreign
operations or foreign subsidiaries?
Example: Company B owns a subsidiary in Canada. In 2008 Company B
performed $10 million of R&D at its U.S. lab on behalf of its Canadian
subsidiary. Company B reports this $10 million of R&D in this question.

$ Bil.

Mil.

Thou.

$ Bil.

Mil.

Thou.

How much of the worldwide R&D expense for your company reported in
Question 1•1 was performed by others not owned by your company such
as contract research organizations, universities, or government labs?

a. Companies located in the United States ........................................................
b. Companies located outside the United States ................................................
c. U.S. federal 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 primary
investigators located in the United States ......................................................
g. Universities, colleges, and academic researchers, including primary
investigators located outside the United States .............................................
h. All other organizations ....................................................................................
i. Total ...............................................................................................................
This answer is used in
Question 2•3

SECTION 1

1•9

How much of the domestic R&D performance reported in Question 1•6
was for the following types of costs?
$ 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. 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
d. Expensed equipment ......................................................................................
e. Materials and supplies ....................................................................................
f. Lease and rental payments ............................................................................
g. Depreciation and amortization on R&D property and equipment ...................
h. Stock based compensation ............................................................................
i. All other costs .................................................................................................
j. Total (equals Question 1•6) ...........................................................................

1•10

How much of the domestic R&D performance reported in Question 1•6 was performed
in each state (including the District of Columbia) in 2008?
$ Bil.

Mil.

Thou.

$ Bil.

Alabama

Delaware

Alaska

District of Columbia

Arizona

Florida

Arkansas

Georgia

California

Hawaii

Colorado

Idaho

Connecticut

Illinois

Mil.

Question continues on next page

Thou.

1•11

(Continued)

Indiana

North Carolina

Iowa

North Dakota

Kansas

Ohio

Kentucky

Oklahoma

Louisiana

Oregon

Maine

Pennsylvania

Maryland

Rhode Island

Massachusetts

South Carolina

Michigan

South Dakota

Minnesota

Tennessee

Mississippi

Texas

Missouri

Utah

Montana

Vermont

Nebraska

Virginia

Nevada

Washington

New Hampshire

West Virginia

New Jersey

Wisconsin

New Mexico ...............

Wyoming

New York ...................

Total (equals
Question 1•6)

SECTION 1

1•10

At what domestic location did your company perform the largest dollar amount of R&D
in 2008?
Address 1
Address 2
City

State

ZIP

SECTION 1

1•12

What percentage of the domestic R&D performance reported in Question
1•6 was from the location identified in Question 1•11?

1•13

How much of the following two sales and operating revenue amounts were for each
business segment listed or amended on page 4 of this form:
(1) Worldwide net sales and operating revenues reported in Question 1•3
(2) Domestic net sales and operating revenues reported in Question 1•4

If your company had only one business segment then skip to Question 1•15.
Business segment
code (see page 4)

(1)
Worldwide
sales and revenues
$ Bil.

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

Mil.

Thou.

(2)
Domestic
sales and revenues
$ Bil.

Mil.

Thou.

h.
.................................................
i. Less inter-segment eliminations—inter-segment
sales and revenues that are eliminated in order
to consolidate the business reporting segments
j. Total ...................................................................
Total equals Question 1•3 Total equals Question 1•4

How much of the following three R&D amounts were for each business segment listed
or amended on page 4 of this form:
(1) Worldwide R&D expense reported in Question 1•1
(2) Domestic R&D expense reported in Question 1•5, line a, column 1
(3) Domestic R&D performance reported in Question 1•6

SECTION 1

1•14

If your company had only one business segment then skip to Question 1•15.
Allocate R&D that is applicable to more than one segment on a reasonable basis.
Allocation in proportion to operating revenues is acceptable unless some alternative
allocation basis is more appropriate.
Example: Company C is headquartered in the United States. In 2008:
• Company C had a total worldwide R&D expense of $100 million
• Company C had two segments: pharmaceuticals (32541) and medical supplies (33910).
• The pharmaceuticals segment operates only in the U.S. and the medical supplies segment
operates only in Ireland.
• The pharmaceutical segment performed $40 million of R&D at its U.S. facilities to develop
new products
• The pharmaceutical segment paid another company $20 million for pre-clinical research
• The medical supplies segment performed $30 million of R&D at its facilities in Ireland to
develop new products
• Company C performed $10 million of R&D on scientific applications useful to both its
segments at its corporate lab in the U.S.
• 70% of revenues were from pharmaceuticals and 30% were from medical supplies
Based on these facts, Company C would report the following for this question:
• In column 1, $67 million (40+20+10*70%) for the pharmaceutical segment and $33 million
(30+10*30%) for the medical devices segment.
• In column 2, $67 million (40+20+10*70%) for the pharmaceutical segment and $0 for the
medical devices segment.
• In column 3, $47 million (40+10*70%) for the pharmaceutical segment and $3 million
(10*30%) for the medical devices segment.
(1)
Worldwide
R&D expense

Business segment
code (see page 4)
$ Bil.

Mil.

Thou.

(2)
Domestic
R&D expense
$ Bil.

Mil.

Thou.

(3)
Domestic
R&D performance
$ Bil.

Mil.

Thou.

a.
b.
c.
d.
e.
f.
g.
h.
i. Total
Total equals Question 1•1 Total equals Question 1•5, Total equals Question 1•6
line a, column 1

SECTION 1

1•15

For each of the following categories, how much of your company’s
domestic capital expenditures in 2008 are for R&D operations?
$ Bil.

Mil.

Thou.

$ Bil.

Mil.

Thou.

a. Structures .......................................................................................................
b. Equipment .......................................................................................................
c. Capitalized software .......................................................................................
d. All other capital expenditures .........................................................................
e. Total ...............................................................................................................

1•16

What is your company’s projected 2009 worldwide R&D expense for the
following categories?

a. R&D performed at your company’s domestic locations ..................................
b. R&D performed at your company’s foreign locations .....................................
c. R&D performed by others not owned by your company such as contract
research organizations, universities, and government labs ............................
d. Total projected worldwide R&D expense for 2009 ....................................

Reporting information
1•17

Is the information in this section reported on a calendar year basis?
Yes Æ Continue
No Æ Enter time period covered below:
(MM)

(YYYY)

From

1•18

(MM)
To

Approximately how long did it take to complete Section 1?

Names of persons who provided data for this section

Title

End of Section 1

(YYYY)

hours

SECTION 2

SECTION 2
R&D Management and Strategy

Who should answer this section?
Persons familiar with the technical, managerial, and strategic aspects of your company’s R&D should
complete this section.

SECTION 2 – R&D Management And Strategy
What does this section cover?
This section requests information about the characteristics of the R&D expenses your company reported in
Section 1. This section requests information about your company’s worldwide consolidated R&D and R&D
your company performs in the domestic United States.

SECTION 2

What is the difference between R&D expense and R&D performance?
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 performance. 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.
Exclude:
• R&D from acquired companies prior to acquisition (in-process R&D)
• Costs for routine product testing, quality control, and technical services
• R&D funded or paid for by others not owned by your company (these costs are reported in
Section 3).
R&D performance is based on the location where R&D was performed by your company. Exclude costs for
R&D performed by others not owned by your company such as contract research organizations, universities,
and federal laboratories.

How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousands.
$Bil.
Example: If figure is
$179,125,628.00 report:

Mil.

Thou.

179

126

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.

2•1

Copy the amount reported in Question 1•1—your company’s worldwide
R&D expense in 2008.

$ Bil.

Mil.

Thou.

This answer is used in
Questions 2•4–2•16
Copy the amount reported in Question 1•6—your company’s domestic
R&D performance in 2008.

$ Bil.

Mil.

Thou.

This answer is used in
Questions 2•20–2•39

2•3

Copy the amount reported in Question 1•8, line i—R&D performed by
others not owned by your company such as contract research
organizations, universities, or government labs.

$ Bil.

Mil.

Thou.

This answer is used in
Questions 2•40–2•43

Worldwide R&D expense
2•4

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was directed toward business areas 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.

2•5

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•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.

2•6

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was both directed toward business areas 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.

SECTION 2

2•2

Worldwide R&D expense (cont.)

SECTION 2

2•7

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was in the following categories in relation to the market(s) in
which your company operates?
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 heatconducting 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.
Based on these facts, Company D would report the following for this question:
• 10% in line a for its R&D in technology new to the cookware market
• 90% in line b for its R&D in technology currently used in its market
a. R&D in science/technology new to the market(s) in which your company
operates ...........................................................................................................
b. R&D to improve upon, replicate, or adopt science/technology currently in
use in the market(s) in which your company operates
..........................................
c. Total ................................................................................................................

%
%

100 %

R&D projects
2•8

As of January 1, 2008, how many R&D projects funded by your company
(included in the R&D expense figure reported in Question 2•1) were active
worldwide?

2•9

How many new R&D projects funded by your company worldwide were
started in 2008?

2•10

In 2008, how many R&D projects funded by your company worldwide
moved from R&D to production or marketing?

2•11

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was for the single largest R&D project funded by your
company?

R&D agreements
2•12

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was for R&D agreements?
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.

2•13

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was for R&D agreements with for-profit companies?

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was for R&D agreements with U.S. federal agencies or
laboratories?

2•15

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was for R&D agreements with universities, colleges, and
academic researchers, including individual primary investigators?

2•16

What percentage of the worldwide R&D expense in 2008 reported in
Question 2•1 was for R&D agreements with nonprofit organizations other
than universities and colleges?

2•17

In 2008, how many new R&D agreements did your company enter into?

2•18

Did the new R&D agreements reported in Question 2•17 involve
agreements with the following types of organizations?

2•19

a. For-profit companies .......................................................................................

Yes

b. U.S. federal agencies or laboratories .............................................................
c. Universities, colleges, and academic researchers, including individual
primary investigators .......................................................................................

Yes

d. U.S. federal agencies or laboratories .............................................................

Yes

a. Customers ......................................................................................................

Yes

b. Vendors/suppliers ...........................................................................................

Yes

c. Competitors ....................................................................................................

Yes

Did the new R&D agreements reported in Question 2•17 involve
relationships with any of the following?

SECTION 2

2•14

Domestic R&D performed by your company
2•20

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for the following categories?
a. Research—planned, systematic pursuit of new knowledge or understanding

SECTION 2

b. Development of new or significantly improved goods, services, or processes
c. Total ...............................................................................................................

2•21

c. Total ...............................................................................................................

2•24

100 %

%
%

100 %

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was directed toward business areas 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.

2•23

If you reported any research in Question 2•20, what percentage of that
research was for the following categories?
a. Applied research aimed at solving a specific problem or meeting a specific,
recognized need .............................................................................................
b. Basic research aimed at acquiring new knowledge or understanding without
a specific application or use in view ................................................................

2•22

What percentage of the domestic R&D performance in 2008 reported in
Question 2•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.

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was both directed toward business areas 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.

2•25

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was in the following categories in relation to the market(s) in
which your company operates?

Based on these facts, Company H would report the following for this question:
• 10% in line a for its R&D in technology new to the cookware market
• 90% in line b for its R&D in technology currently used in its market
a. R&D in science/technology new to the market(s) in which your company
operates ..........................................................................................................
b. R&D to improve upon, replicate, or adopt science/technology currently in
use in the market(s) in which your company operates
.........................................
c. Total ...............................................................................................................

%
%

100 %

Areas of application for domestic R&D performed by your company
2•26

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 had defense applications including military applications and
general security-related R&D?

2•27

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 had health or medical applications?

2•28

What percentage of the domestic R&D performance in 2008 reported in
Question 2•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
performance is focused on improving the energy efficiency of its products.
Based on these facts, Company I reports “10%” for this question.

2•29

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 had environmental protection applications including
pollution abatement R&D?

2•30

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 had agricultural applications?

SECTION 2

Example: Company H manufactures cookware. In 2008 10% of its domestic
R&D performance is for exploring the potential use in its products of a heatconducting material currently used only by the aerospace industry. The
remainder of H’s domestic R&D performance is focused on improving
products and technology already used in the cookware market.

SECTION 2

Technology focus of domestic R&D performed by your company
2•31

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for software products?

2•32

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for software embedded in other projects or products?

2•33

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for the development of new or significantly improved
processes?

2•34

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for clinical trials of medical products (goods and
services)?

2•35

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for the production of prototypes?

2•36

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for the operation of pilot plants?

2•37

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for biotechnology—the use of cellular and bio-molecular
proceses to solve problems or make useful products—R&D?

2•38

What percentage of the domestic R&D performance in 2008 reported in
Question 2•2 was for nanotechnology—science and technology involving
work at the nanometer scale—R&D?

2•39

What percentage of the domestic R&D performance in 2008 reported in
Question 2•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—R&D?

R&D performed by others
2•40

What percentage of the R&D performed by others reported in Question 2•3
was for the following categories?
a. Research—planned, systematic pursuit of new knowledge or understanding
b. Development of new or significantly improved goods, services, or processes
c. Total ...............................................................................................................

%
%

100 %

If you reported any research in Question 2•40, what percentage of that
research was for the following categories?
a. Applied research aimed at solving a specific problem or meeting a specific,
recognized need .............................................................................................
b. Basic research aimed at acquiring new knowledge or understanding without
a specific application or use in view ................................................................

%
%

100 %

c. Total ...............................................................................................................

2•42

What percentage of the R&D performed by others reported in Question 2•3
was for clinical trials of medical products (goods and services)?

2•43

What percentage of the R&D performed by others reported in Question 2•3
was for the production of prototypes?

Activities with academia
2•44

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 .....................................................................................................
b. Hosted student interns pursuing undergraduate or graduate degrees in
science or engineering for at least one month ................................................

Yes

a. This company has been in business for 5 or fewer years as of Dec. 31, 2008
b. This company’s primary mission is to commercialize science/technology
discovered or developed by academic researchers .......................................

Yes

c. This company had establishments located in science parks in 2008 .............

Yes

d. This company received venture capital funding in 2008 .................................

Yes

c. Hosted post-doctoral fellows in science or engineering for at least one month
d. Scientists or engineers from your company served as visiting scientists or
engineers at a college or university for at least one month ............................
e. Made monetary gifts to universities or colleges that were restricted to
supporting R&D ..............................................................................................

Company characteristics
2•45

Are the following statements true for your company?

SECTION 2

2•41

Reporting information
2•46

Is the information in this section reported on a calendar year basis?
Yes Æ Continue
No Æ Enter time period covered below:

SECTION 2

(MM)

(YYYY)

From

2•47

(MM)
To

Approximately how long did it take to complete Section 2?

Names of persons who provided data for this section

Title

End of Section 2

(YYYY)

hours

SECTION 3

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 grants.

SECTION 3

R&D Funded or Paid for by others

SECTION 3 – 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).

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.

SECTION 3

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.

What is R&D performance?
This section requests information about your company’s performance of funded R&D. Report costs for R&D
performance based on the location where the R&D was carried out.
Exclude:
• Costs for routine product testing, quality control, and technical services
• R&D performed by others not owned by your company such as subcontractors
• Payments in exces of the actual cost of the R&D (such as profits or fees)

How should dollar amounts be reported?
Report all dollar amounts rounded to the nearest thousands.
$Bil.
Example: If figure is
$179,125,628.00 report:

Mil.

Thou.

179

126

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.

Worldwide R&D performance funded by others
3•1

What was the cost of R&D performed by your company worldwide in 2008
that was funded or paid for by others not owned by your company?
$ Bil.
Mil.
Thou.
Include:
• Cost of sales for contract R&D services provided to other parties not owned
by your company
• Costs for R&D supported by grants from government agencies and private
This answer is used in
foundations
Questions 3•2, 3•3, and 3•5
• 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 clinical trials of medical products
• Independent research and development (IR&D) costs for which your
company anticipates reimbursement by the U.S. government through
indirect charges on government contracts

3•2

SECTION 3

Exclude:
• Payments in excess of the actual cost of the R&D (such as profits or fees)
• Costs accounted for as R&D expenses by your company (reported in
Section 1)
• Costs for routine testing of products currently on the market
• Costs for phase IV 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
Was the amount entered in Question 3•1 greater than zero?
Yes Æ Continue to Question 3•3
No Æ Skip to Section 4

3•3

How much of the 2008 worldwide R&D performance funded by others
reported in Question 3•1 was independent research and development
(IR&D) costs for which your company anticipates reimbursement by the
U.S. government through indirect charges on government contracts?

$ Bil.

Mil.

Thou.

Funded R&D projects
3•4

As of January 1, 2008, how many funded R&D projects (included in the
amount reported in Question 3•1) were active worldwide?

3•5

How many new funded R&D projects were started in 2008 worldwide?

3•6

What percentage of the 2008 worldwide R&D performance funded by
others reported in Question 3•1 was for the single largest R&D project
funded by others?

Domestic R&D performance funded by others
3•7

How much of the 2008 worldwide R&D performance funded by others
reported in Question 3•1 was performed in the domestic United States?

$ Bil.

Mil.

Thou.

This answer is used in
Questions 3•8–3•11, 3•15,
and 3•18–3•29

3•8

How much of the domestic R&D performance funded by others reported in Question
3•7 was for each business segment listed or amended on page 4 of this form?
If your company had only one business segment then skip to Question 3•9.
Allocate R&D that is applicable to more than one segment on a reasonable basis.
Allocation in proportion to operating revenues is acceptable unless some alternative
allocation basis is more appropriate.

SECTION 3

Example: Company J is a defense contractor headquartered in the United States. In 2008:
• Company J had two segments: aircraft (33641) and armored vehicles (33692).
• Company J’s domestic R&D performance funded by others was $510 million—$500 million
for costs related to a contract to develop a new helicopter for the Army and $10 million of
Independent research and development (IR&D) costs for R&D useful to both its segments.
• 80% of revenues were from aircraft and 20% were from armored vehicles
Based on these facts, Company J would report the following for this question:
• $508 million (500+10*80%) for the aircraft segment
• $2 million (10*20%) for the armored vehicles segment
Business segment
code (see page 4)
$ Bil.

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

Mil.

Thou.

i. Total ..............................................................................................................
Total equals Question 3•7

3•9

How much of the domestic R&D performance funded by others reported
in Question 3•7 was for the following types of costs?
$ Bil.

Mil.

Thou.

$ Bil.

Mil.

Thou.

SECTION 3

c. 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
d. Expensed equipment .....................................................................................
e. Materials and supplies ...................................................................................
f. Lease and rental payments ...........................................................................
g. Depreciation and amortization on R&D property and equipment ..................
h. Stock based compensation ...........................................................................
i. All other costs ................................................................................................
j. Total (equals Question 3•7) ..........................................................................

3•10

How much of the domestic R&D performance funded by others reported
in Question 3•7 was performed under each of the following types of
agreements?

a. Contracts (include prime contracts and subcontracts) .................................
b. Grants, reimbursements, and all other agreements ......................................
c. Total (equals Question 3•7) ...........................................................................

3•11

How much of the domestic R&D performance funded by others reported
in Question 3•7 was funded by each of the following?
Example: Company K is is a car manufacturer and company L is a glass manufacturer. In
2008 company K is awarded a U.S. 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.

$ Bil.

Mil.

Thou.

a. Other companies located in 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 DC)

SECTION 3

e. Foreign government agencies or laboratories ................................................
f. All other organizations in the United States ...................................................
g. All other organizations located outside the United States .............................
h. Total (equals question 3•7) ...........................................................................

3•12

Add lines a and b of Question 3•11 and enter the total here. This is the
total amount of your company’s domestic R&D performance that was
funded by other companies.

This answer is used in
Question 3•13

3•13

How much of the R&D funded by other companies reported in Question
3•12 was funded by the following types of companies?
$ Bil.

a. Pharmaceuticals ............................................................................................
b. Motor vehicles ...............................................................................................
c. Computer and electronic products ................................................................
d. All other companies .......................................................................................
e. Total (equals question 3•12) .........................................................................

Mil.

Thou.

3•14

How much of the R&D funded by U.S. federal government agencies or
laboratories reported in Question 3•11, line c was funded by the following
agencies?
$ Bil.

Mil.

Thou.

a. Department of Defense .................................................................................
b. Department of Energy ....................................................................................
c. National Institutes of Health ...........................................................................
d. National Aeronautics and Space Administration ...........................................
e. All other .........................................................................................................
f. Total (equals question 3•11, line c) ..............................................................
How much of the following three funded R&D amounts were performed in each state
(including D.C.):
(1) R&D funded by the U.S. federal government reported in Question 3•11, line c
(2) R&D funded by all nonfederal sources
(3) Total domestic R&D performance funded by others reported in Question 3•7
(1)
Federal
$ Bil.

Mil.

(2)
Nonfederal
Thou.

$ Bil.

Mil.

SECTION 3

3•15

(3)
Total
Thou.

$ Bil.

Mil.

Thou.

Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Question continues on next page

3•15

(Continued)
(1)
Federal
$ Bil.

Mil.

(2)
Nonfederal
Thou.

$ Bil.

Mil.

(3)
Total
Thou.

$ Bil.

Mil.

llinois
Indiana
Iowa
Kansas
Kentucky
Louisiana

SECTION 3

Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Question continues on next page

Thou.

3•15

(Continued)
(1)
Federal
$ Bil.

Mil.

(2)
Nonfederal
Thou.

$ Bil.

Mil.

(3)
Total
Thou.

$ Bil.

Mil.

Thou.

Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee

SECTION 3

Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Total
Total equals Question 3•11,
line c

Total equals Question 3•7

3•16

What are your company’s worldwide projected costs in 2009 for R&D
performance funded or paid for by others?

$ Bil.

Mil.

Thou.

3•17

What are your company’s projected costs in 2009 for domestic R&D
performance funded or paid for by others?

$ Bil.

Mil.

Thou.

Characteristics of domestic R&D performance funded by others
3•18

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 was for the following categories?
a. Research—planned, systematic pursuit of new knowledge or understanding
b. Development of new or significantly improved goods, services, or processes
c. Total ...............................................................................................................

3•19

100 %

If you reported any research in Question 3•18, what percentage of that
research was for the following categories?
a. Applied research aimed at solving a specific problem or meeting a specific,
recognized need .............................................................................................
b. Basic research aimed at acquiring new knowledge or understanding without
a specific application or use in view ................................................................

SECTION 3

c. Total ...............................................................................................................

%
%

100 %

3•20

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 was for clinical trials (phases I, II, and III) of
medical products (goods and services)?

3•21

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 was for the production of prototypes?

3•22

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 had defense applications including military
applications and general security-related R&D?

3•23

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 had health or medical applications?

3•24

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 had energy applications, including energy
production, distribution, storage, and efficiency (excluding exploration
and prospecting)?
Example: Company L is a semiconductor manufacturer. In products are not
designed specifically for energy applications, but 10% of its domestic R&D
performance is focused on improving the energy efficiency of its products.
Based on these facts, Company I reports “10%” for this question.

3•25

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 had environmental protection applications
including pollution abatement R&D?

3•26

What percentage of the domestic R&D performance funded by others
reported in Question 3•7 had agricultural applications?

Characteristics of domestic R&D performance funded by the federal government
What percentage of the domestic R&D performance funded by U.S. federal
government agencies or laboratories reported in Question 3•11, line c was
for the following categories?
a. Research—planned, systematic pursuit of new knowledge or understanding
b. Development of new or significantly improved goods, services, or processes
c. Total ..............................................................................................................

3•28

100 %

If you reported any research in Question 3•18, what percentage of that
research was for the following categories?
a. Applied research aimed at solving a specific problem or meeting a specific,
recognized need ............................................................................................
b. Basic research aimed at acquiring new knowledge or understanding without
a specific application or use in view ...............................................................
c. Total ..............................................................................................................

3•29

What percentage of the domestic R&D performance funded by U.S. federal
government agencies or laboratories reported in Question 3•11, line c was
for the production of prototypes?

%
%

100 %
%

SECTION 3

3•27

Reporting information
3•30

Is the information in this section reported on a calendar year basis?
Yes Æ Continue
No Æ Enter time period covered below:
(MM)

(YYYY)

From

3•31

(MM)
To

Approximately how long did it take to complete Section 3?

Title

SECTION 3

Names of persons who provided data for this section

End of Section 3

(YYYY)

hours

SECTION 4
R&D Human Resources

Who should answer this section?

SECTION 4

Persons familiar with human resources concepts and with access to records related to your company’s
employees should complete this section. Refer to page 1 for the definition of R&D.

SECTION 4 – 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- or part-time.

Who are R&D employees?
R&D employees include all employees providing direct support to either R&D projects paid for by your
company or R&D projects 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 projects as well as
R&D managers, administrators, clerical staff, and interns providing direct support to R&D projects.
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)?

SECTION 4

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 (1/2) an FTE employee. Similarly, a full-time employee hired
in June would be counted as one-half (1/2) an FTE employee. The number of FTEs and the headcount may
differ for your company.

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.

4•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 included March 12, 2008
• Employees on paid sick leave, paid holidays, and paid vacations during the pay
period that included March 12, 2008
Exclude:
• Leased or temporary employees and on-site consultants

4•2

How many of the following worldwide employees reported in Question 4•1 worked on
R&D activities:
(1) Worldwide female employees, by occupation
(2) Worldwide male employees, by occupation
(3) Total worldwide employees, by occupation
Include:
• R&D managers, administrators, clerical staff, and interns
Exclude:
• Staff providing indirect support such as security guards and cafeteria workers
(1)
Female employees

(2)
Male employees

(3)
Total employees

SECTION 4

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 ........................
d. R&D support staff (clerical
and other) ............................
e. Total R&D employees ........

4•3

Add lines a and b of Question 4•3 and enter the total here. This is the total
number of R&D scientists and engineers employed by your company.
This answer is used in
Question 4•4

4•4

Of the R&D scientists and engineers reported in Question 4•3, how many had
the following as their highest level of educational attainment?
a. College level degrees below the PhD level .........................................................
b. PhD or equivalent ................................................................................................
c. All other ................................................................................................................
d. Total R&D scientists and engineers (equals question 4•3) ..............................

Domestic employees
4•5

How many of the worldwide employees reported in Question 4•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

4•6

This answer is used in
Question 4•6

How many of the following domestic employees reported in Question 4•5 worked on
R&D activities:
(1) Domestic female employees, by occupation
(2) Domestic male employees, by occupation
(3) Total dorldwide employees, by occupation
Include:
• R&D managers, administrators, clerical staff, and interns
Exclude:
• Staff providing indirect support such as security guards and cafeteria workers
(1)
Female employees

(2)
Male employees

(3)
Total employees

SECTION 4

4•7

4•8

Add lines a and b of Question 4•3 and enter the total here. This is the total
number of domestic R&D scientists and engineers employed by your
company.

Of the domestic R&D scientists and engineers reported in Question 4•7, how
many had the following as their highest level of educational attainment?
a. College level degrees below the PhD level .........................................................
b. PhD or equivalent ................................................................................................
c. All other ................................................................................................................
d. Total R&D scientists and engineers (equals question 4•7) ..............................

This answer is used in
Questions 4•8 and 4•9

4•9

How many of the R&D scientists and engineers reported in Question 4•7 were
non-U.S. citizens employed in the United States under a temporary visa such
as an H-1B or L-1?

Full-time equivalents (FTEs)
4•10

What was the number of domestic full-time equivalents (FTEs) engaged in
R&D activities during 2008?
Full-time equivalents account for R&D employees who do not work full time and
employees who do not work on R&D activities full time. Fore example, an
employee who works half-time would be counted as one employee on a
headcount basis but as one-half (1/2) an FTE employee. Similarly, a full-time
employee hired in June would be counted as one-half (1/2) an FTE employee.
The number of FTEs and the headcount may differ for your company.

4•11

This answer is used in
Question 4•11

How many of the domestic R&D FTEs reported in Question 4•10 were
engaged in R&D activities funded by U.S. federal government grants or
contracts during 2008?

Reporting information
Is the information in this section reported on a calendar year basis?

SECTION 4

4•12

Yes Æ Continue
No Æ Enter time period covered below:
(MM)

(YYYY)

From

4•13

(MM)

(YYYY)

Approximately how long did it take to complete Section 4?

Names of persons who provided data for this section

hours

Title

End of Section 4

This page intentionally blank

SECTION 5
Intellectual Property, Technology Transfer, and Innovation

Who should answer this section?

SECTION 5

Persons with knowledge of your company’s patenting, licensing, and other intellectual property (IP) related
activities as well as an understanding of your company’s general business strategy should complete this
section.

SECTION 5 – Intellectual Property, Technology Transfer, and Innovation
What does this section cover?
This section requests information about intellectual property (IP), technology transfer activities, and actions
taken to improve company performance such as:
• Patents
• Patent licensing
• Protection of IP
• Transfer of IP
• Innovation activity

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 5

NOTE: If your company was either purchased or ceased operations between April 1 and
December 31, 2008, complete the survey for the period from January 1, 2008 to
either the date of purchase or the date your company ceased operations.

5•1

Did your company introduce any of the following activities during the
years 2006 through 2008?
a. New or significantly improved goods (excluding the simple resale of new
goods purchased from others and changes of a solely aesthetic nature) .....
b. New or significantly improved services .........................................................
c. New or significantly improved methods of manufacturing or producing goods
or services .....................................................................................................
d. New or significantly improved logistics, delivery, or distribution methods for
your inputs, goods or services .......................................................................
e. New or significantly improved supporting activities for your processes, such
as maintenance systems or operations for purchasing, accounting, or
computing ......................................................................................................

Yes

Patents
5•2

In 2008, did your company own, apply for, or have pending any utility patents—patents
for invention—from the U.S. Patent and Trademark Office (USPTO)?
Yes Æ Continue to Question 5•3
No Æ Skip to Question 5•10

5•3

How many U.S. utility patents did your company apply for in 2008?

5•4

What percentage of the patent applications reported in Question 5•3 has
your company applied for or plan to apply for patents in foreign
jurisdictions?

5•5

What percentage of the patent applications reported in Question 5•3 were
for inventions that originated outside of your company’s organized R&D
activities?

5•6

How many U.S. utility patents were issued to your company in 2008 by the
USPTO?

5•7

What percentage of your company’s inventions considered for patenting
in 2008 resulted in patent applications?

SECTION 5

This answer is used in
Questions 5•4 and 5•5

Patent licensing
5•8

How many new agreements did your company enter into in 2008 to
license patents to others not owned by your company?

5•9

What is the average royalty rate as a percentage of gross sales—the sum
of the rates for each of the agreements divided by the number of
agreements—of the licensing agreements reported in Question 5•8 that
involved royalty payments?

Intellectual property transfer activities
5•10

Did your company perform the following activities in 2008?

SECTION 5

a. Participated in technical assistance or “know-how” agreements to transfer
intellectual property (IP) to others not owned by your company ...................
b. Participated in technical assistance or “know-how” agreements to receive IP
from others not owned by your company ......................................................

Yes

c. Transferred IP to a spin out or spin off of your company ...............................

Yes

d. Received IP from a parent company as part of a spin out or spin off ............
e. Acquired more than 50% ownership in another company for the primary
purpose of acquiring their IP .........................................................................
f. Acquired any financial interest in another company in order to gain access to
their IP ............................................................................................................
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 .........................
h. Allowed free use of patents or other IP owned by your company (for
example, allowing free use of software patents by the open source
community) ...................................................................................................

Yes

Intellectual property protection
5•11

During 2008, how important to your company were the following types of intellectual
property protection?
Very
important
a. Patents .................................................................................
b. Trademarks ..........................................................................
c. Copyrights ............................................................................
d. Mask works (copyright protection for semiconductor
products) ..............................................................................
e. Trade secrets .......................................................................

Somewhat
important

Not
important

Reporting information
5•12

Is the information in this section reported on a calendar year basis?
Yes Æ Continue
No Æ Enter time period covered below:
(YYYY)

From

5•13

(MM)

(YYYY)

Approximately how long did it take to complete Section 5?

Names of persons who provided data for this section

hours

Title

End of Section 5

SECTION 5

(MM)

Business segment codes
(used in Section 1 and Section 3)
Aerospace & Defense
33641
33642
33643
33644
33692

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
33452 Search, detection, navigation, guidance, aeronautical, and
nautical system and instruments manufacturing
33660 Ship and boat building
Automobiles, Motorcycles & Components
33610
33620
33630
33691
33699

Motor vehicles manufacturing
Motor vehicle body and trailer manufacturing
Motor vehicle parts manufacturing
Motorcycle, bicycle, and parts manufacturing
All other transportation equipment manufacturing

Capital Goods
33430 Audio and video equipment manufacturing
33330 Commercial, service industry, temperature control, and airflow control machinery manufacturing
33312 Construction machinery manufacturing
23600 Construction of buildings
33360 Engine, turbine, and power transmission equipment
manufacturing
33200 Fabricated metal products manufacturing
33311 Farm machinery and equipment manufacturing
23700 Heavy and civil engineering construction
33322 Industrial machinery manufacturing, except semiconductor
machinery
33390 Metalworking and other general purpose machinery
manufacturing
33313 Mining machinery and equipment manufacturing
33651 Railroad rolling stock manufacturing
33660 Ship and boat building
23800 Specialty trade contractors
Commercial and Professional Services (including contract
research)
54120 Accounting, tax preparation, bookkeeping and payroll
services
54180 Advertising and related services
54130 Architectural, engineering, and related services
56140 Business support services
53240 Commercial and industrial machinery and equipment rental
and leasing
54110 Legal services
54160 Management, scientific, and technical consulting services
56190 Office administrative, facilities, employment, and other
support services
54190 Professional, scientific, and technical services (Not listed
elsewhere in this category)
32300 Printing and related support activities
56290 Remediation and other waste management services

54170
54140
56150
56210

Scientific research & development services
Specialized design services
Travel arrangement and reservation services
Waste collection, treatment, and disposal

Consumer Goods & Services
71300
31500
33430
81110
31210
51520
62440
44800
23600
53220
61100
33500
45410
44300
44500
31100
72200
33700
45200
51600
56160
31600
33990
51200
44100
71200
51110
45490
71100
81200
51510
81190
45990
32591
62400
31300
31220
56150
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
Miscellaneous manufacturing (Not elsewhere listed in this
category)
Motion picture and sound recording (except Internet)
Motor vehicle and parts dealers
Museums, historical sites, and similar institutions
Newspaper, periodical, book, and directory
Nonstore retailers, except electronic shopping and mailorder houses
Performing arts, spectator sports, and related industries
Personal care, death care, laundry, and other personal
services
Radio and television broadcasting (except Internet)
Repair and maintenance, except automotive
Retail trade stores, including gasoline stations (Not
elsewhere listed in this category)
Soap, cleaning compound, and toilet preparations
manufacturing
Social assistance (except child day care services)
Textile mill products
Tobacco manufacturing
Travel arrangement and reservation services
Traveler accommodation services

Energy
21210
22110
21100
33313

Coal mining
Electric power generation, transmission, and distribution
Oil and gas extraction
Oil and gas field machinery and equipment manufacturing

32400 Petroleum and coal products manufacturing
48610 Pipeline transportation of crude oil, refined petroleum, and
miscellaneous products, except natural gas
48620 Pipeline transportation of natural gas
21300 Support activities for oil and gas operations
Financials
52230 Activities related to credit intermediation
52420 Agencies, brokerages, and other insurance related
activities
52210 Depository credit intermediation
52500 Funds, trusts, and other financial vehicles
52410 Insurance carriers
52100 Monetary authorities-central bank
52220 Nondepository credit intermediation
53100 Real estate
52300 Securities, commodity contracts, and other financial
investments and related activities
Health Care
33451 Electromedical, electrotherapeutic and irradiation
apparatus manufacturing
62210 General medical and surgical hospitals
62160 Home health care services
32543 In-vitro diagnostic substances manufacturing
62150 Medical and diagnostic laboratories
33910 Medical equipment and supplies manufacturing
62300 Nursing and residential care facilities
62120 Offices of dentists and other health practitioners
62110 Offices of physicans
62190 Outpatient care centers and other ambulatory health care
services
32541 Pharmaceutical, medicinal, botanical, and biological
products (except diagnostic) manufacturing
62220 Psychiatric, substance abuse, and specialty hospitals
54170 Scientific research & development services
Information Technology - Goods and services
33429 Communication equipment manufacturing, except
broadcasting, wireless, and telephone apparatus
54150 Computer systems design and related services
33410 Computers and peripheral equipment manufacturing
51820 Data processing, hosting, and related services
33500 Electrical equipment, appliances, and components
manufacturing
51900 Information services (Not elsewhere listed in this category)
51810 Internet service providers and web search portals
33460 Manufacturing and reproducing magnetic and optical media
manufacturing
33459 Measuring and control instruments manufacturing (Not
listed elsewhere in this category)
33422 Radio and television broadcasting and wireless
communications equipment manufacturing
33452 Search, detection, navigation, guidance, aeronautical, and
nautical system and instruments manufacturing
33440 Semiconductor and other electronic components
manufacturing
33321 Semiconductor machinery manufacturing
51120 Software

33421 Telephone apparatus manufacturing
Materials
32511 Basic chemicals manufacturing
32790 Cement, concrete, lime, gypsum, and other nonmetallic
mineral product manufacturing
32710 Clay and glass products manufacturing
33150 Ferrous and nonferrous foundries
33110 Iron and steel mills, ferroalloy, and steel product from
purchased steel
21220 Metal ore mining
33130 Nonferrous metals production and processing
21230 Nonmetallic mineral mining and quarrying
32592 Paint, adhesive, and other chemical manufacturing
32200 Paper manufacturing
32530 Pesticide, fertilizer, and other agricultural chemical
manufacturing
32600 Plastics and rubber products manufacturing
32512 Resin, synthetic rubber, and artificial synthetic fibers and
filaments manufacturing
32591 Soap, cleaning compound, and toilet preparations
manufacturing
21310 Support activities for solid mineral operations
32100 Wood products manufacturing
Telecommunication Services
51750 Cable and other program distribution
51740 Satellite telecommunications
51790 Telecommunications services (Not listed elsewhere in this
category)
51710 Wired telecommunications carriers
51720 Wireless telecommunications carriers (except satellite)
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

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 xxxx-xxxx,
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 xxxx - xxxx" 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
51

File Type	application/pdf
Author	Brandon Shackelford
File Modified	2008-07-18
File Created	2008-07-18