Published on Braithwaite Technology Consultants Inc. (http://www.braithwaite.ca)
By myles
Created 31 Oct 2007 - 2:34pm

General Topics

Costing Matters

  • SR&ED Expenditures [1]
  • NSERC Industrial Research Chairs [2]
  • Research Chairs [3]
  • Recapture of investment tax credit [4]
  • Government assistance and non-government assistance [5]
  • Prototypes, custom products/commercial assets, pilot plants and experimental production [6]
  • Experimental Production - Allowable SR&ED expenditures [7]
  • Directly undertaking, supervising or supporting directly engaged SR&ED salary and wages [8]
  • Expenditures for administrative salaries or wages “directly related” to the prosecution of SR&ED, under the traditional method of costing [9]
  • Retiring Allowances [10]

Distinguishing Between Routine and Qualifying Testing and Data Collection Activities

As indicated elsewhere in this newsletter, Revenue Canada has circulated a draft copy of their revised information circular (IC86-4R4) which elaborates on, and clarifies, a number of thorny issues respecting SR&ED claims. One of the thorniest has been the correct identification of testing and data gathering activities.

The testing issue was touched on briefly in our Fall 1997 issue of Strategies as it pertained to testing existing products to determine if they meet new regulatory requirements. Here we will attempt to contrast the issue of routine testing and routine data gathering, which are non-eligible activities, with those of testing or data gathering as support activities within an SR&ED project.

Distinguishing qualifying from routine testing
The draft revised IC states “Testing is a qualifying activity for an SR&ED project when commensurate with the needs, and directly in support of SR&ED. However, quality control, or routine testing of materials, devices, products or processes is an excluded activity.” It goes on to state “In the scientific method, a hypothesis is tested to attempt to (either) corroborate or reject it. Testing in this sense qualifies. Thus, testing of the scientific results or technological output, such as a new material, of an SR&ED project is eligible up to the point of the SR&ED project completion.” All other testing is not eligible.

Unfortunately, this description does little to help clarify the confusion. For example, if, in the process of routine development of a new product (Non-SR&ED work) the company performs routine testing of its component parts, such as motors or printed circuit boards, to ensure they meet their published specifications prior to using them, this activity is clearly not eligible. If however, the company has a qualifying SR&ED project and performs the same testing, this testing would be an eligible activity. It’s still routine work, but performed directly in support of the SR&ED project.

Not quite so clear is the following example. If the company performs testing of new materials as part of developing a new ink or paint formulation, does this qualify as eligible testing? The foregoing description would seem to indicate that it would, provided the company had formulated a hypothesis as to the correct ingredients, the component quantities, and their chemical and physical interactions in relation to desired product performance objectives such as drying time or viscosity. The same testing would (presumably) not qualify if performed in the course of simply attempting to test performance of a single ingredient prior to replacing a similar ingredient in an existing formulation. This approach implies the absence of a hypothesis and hence would be denied on that basis.

Another murky example can be found in agribusiness research. If a company decides to investigate various plant varieties by cloning particular ones with different characteristics, and testing them against desired objectives such as frost resistance, would this qualify as eligible or is this routine testing? It would appear this is routine, based on the above definition, because presumably the testing does not involve a hypothesis - or does it? Could it be argued the company put forth a hypothesis that certain characteristics in the plant variety were needed to achieve a specific frost resistance objective and that the testing was performed in support of this theory? To make the issue even murkier, could it be argued that the activities are simply routine data collection, or are they observation of a trial or experiment?

Distinguishing qualifying from routine data collection again the information circular states “data collection is a qualifying activity when commensurate with the needs, and directly in support of, SR&ED. However, routine data collection is excluded….”

The circular goes on to state “The analysis of large quantities of survey data can serve to search for scientific or technological advancement and to resolve scientific or technological uncertainty, even if the data were not specifically collected for the needs of the SR&ED project. In these cases, only activities associated with analysing the data would qualify, not the actual data collection”. It then carries on with four examples of routine data collection activities, including collecting baseline data to support routine development such as may be encountered in collecting physical property data; generally descriptive data and data collected from routine or standard repetitive procedures or processes, all of which are all ineligible.

The Strategy
Data collection and testing form a large part of many R&D projects. Indeed, observation and analysis of results of trials or experiments is considered to be a core SR&ED activity. In order to maximize your claim, make particular note in your documentation that the data being collected or the testing being performed is in direct support of your scientific or technological hypothesis. Be prepared to show why all the data collected or all the testing performed was necessary for your analysis to draw your scientific or technological conclusion.

Links

    IC-86-4R3 - Scientific Research & Experimental Development - Identifying Eligible Activities Associated With Collecting Data - Section 5 [11]

Materials Consumed in SR&ED

Prior to February 24, 1998 proxy based filers (filers claiming the 65% overhead factor) could only claim the cost of material consumed in SR&ED. Traditional based filers could claim all material costs that were incremental to the SR&ED activity.

This was confirmed in the Consoletex case. In this Tax Court case the definition of the word “consumed” was discussed by Judge Bowman. He considered whether experimental production of yarn that was later sold was consumed in SR&ED. He found that “it would put a strained interpretation on the word consumed to say that … yarn which is turned into product that is sold was consumed”. He did however, find that the yarn was an eligible expenditure in that it was an incremental cost. As Consoltex was not a proxy filer, Judge Bowman directed Revenue Canada to allow the claim for material that was sold, as an eligible SR&ED expenditure.

This gave an opening for companies to elected to not use the proxy method, and claim material sold to customers as SR&ED, where it improved their tax credit position. The department of Finance disliked this decision and moved in the February 1998 budget to block it for expenditures made after February 24, 1998. All materials consumed or transformed into another product during the course of an SR&ED project, are eligible for SR&ED tax credits. However, where the product is sold or later converted to commercial use, companies are required to repay the tax credit previously claimed. The amount of the repayment is based on the lesser of, the proceeds of disposition of the property, or the cost of SR&ED materials included in the property.

The Strategy
Companies will want to consider making a claim for experimental production materials, particularly when something goes wrong and the company cannot bill for the product. Also, there will be a cash flow advantage under this formula, in that the credit comes as the material is used, and is paid back after the product is sold. This advantage will occur when those two events take place sequentially, but in two different taxation years.

Links

  • Application paper - Cost of materials for SR&ED [12]
  • Addendum to application paper - Water and energy sources as materials [13]
  • Recapture of investment tax credit [14]

Non-Arm's Length Contract Payments

In the past, companies making payments to non-arm’s length contractors, who performed SR&ED on their behalf, could claim SR&ED tax credits in respect of those expenditures. These rules have been changed. For example, now when a company makes non-arm’s length payments to an individual who is an independent contractor, or to a management company that renders SR&ED services, the rules restrict or eliminate the amount of the credit available. These rules also control whether the contractor, or the payer, may claim the credits.

Companies (payers) who make payments to non-arm’s length parties for SR&ED services rendered under contract no longer earn tax credits. The credit must be calculated by the party that is performing the services. The credit may then be claimed by either the party performing the services, or transferred to the payer.

To transfer the credit, the contractor must file an election form, accompanied by a legally binding director’s or administrator’s resolution. The form must be filed by the filing due date of the payer’s tax return, and before the notice of objection period runs out on the performer’s tax return, and before that same period for the first taxation year that ends at or after the payer’s taxation year.

Although time consuming, this system works well when it applies to the relationship between two larger companies. It does not work so well when one of the parties is unincorporated, or is a management company. Consider the following example. Tom is the son of the sole shareholder of XCO. Tom is not on the payroll of XCO, but bills XCO for his services. As Tom does not deal at arm’s length with XCO, the company cannot claim tax credits on the amount paid to him. Tom can claim credits, but is limited to his own cost in respect of the services. Because Tom is not incorporated, he cannot pay a salary to himself, and thus has no labour cost in respect of these services. Since there are no eligible costs, there is neither a claim for Tom nor any credits for XCO. The credits that could be claimed under the old rules are now unavailable.

The Strategy
Consider putting non-arm’s length subcontractors on the company payroll, to avoid the application of these new rules. Not only would the salary now constitute an eligible expenditure, it would also attract an additional 65% overhead allowance.

Links

  • Definition of “contract payment” [15]

Payments to Non-Residents for SR&ED

In the past, Canadian companies making payments for SR&ED to foreign consultants, who came to Canada to perform their work, could claim SR&ED tax credits in respect of that work. Now, unless the foreign company is required to pay tax in Canada on that payment, by virtue of having a permanent establishment in Canada, the payment is no longer eligible for tax credits.

Payments to Non-Residents for SR&ED

by Bruce Braithwaite

In the past, Canadian companies making payments for SR&ED to foreign consultants, who came to Canada to perform their work, could claim SR&ED tax credits in respect of that work. Now, unless the foreign company is required to pay tax in Canada on that payment, by virtue of having a permanent establishment in Canada, the payment is no longer eligible for tax credits.

In order for a payment to a person or partnership to qualify for SR&ED tax credits, that person or partnership must be a taxable supplier in respect of that payment. Non-residents that do not carry on business in Canada through a permanent establishment are not considered taxable suppliers.

One example of a company that might be caught by these new rules, is a Canadian company that hires foreign-based contract programmers who come to Canada for a short period of time to work on a project. Another example is where a Canadian subsidiary of a US company brings US employees to Canada to work on an SR&ED project, and the US company charges their salaries back to the Canadian company. In both of these examples, these expenditures will not qualify for SR&ED tax credits.

The Strategy
When dealing with non-resident sub-contractors it is important to know their tax status in Canada. To establish SR&ED eligibility, consider putting non-resident contractors on your payroll to avoid the application of these rules.

Links

  • Data Kinetics Corp v Her Majesty The Queen [16]
  • The M.N.R. v Tigney Technology Incorporated [17]
  • LGL Ltd. v Her Majesty the Queen [18]

Revenue Canada Policy on Linked Activities

The Regulation that defines SR&ED allows that SR&ED encompasses basic research, applied research, and experimental development. It also includes in the definition of SR&ED support or linked work with respect to engineering, design, operations research, mathematical analysis, computer programming, data collection, testing and psychological research where the work is commensurate with the needs and directly in support of basic and applied research and experimental development.

Some taxpayers only undertake the support activities involved in an SR&ED project. Except for special rules designed to cover situations where the support activities are performed for a non-arms length party, a taxpayer who only undertakes support activities will not be considered to be doing SR&ED.

This analysis becomes more complicated when only a part of a project is being undertaken inside Canada. Revenue Canada’s position [19] is that a company must be undertaking either basic or applied research or experimental development in Canada before any support or linked activities will be eligible for SR&ED tax credits. Further it is their policy that only those linked activities performed in Canada will be eligible for the tax credits. This policy is based on the wording of Regulation 2900, the definition of SR&ED, as it applies to taxation years ending after December 2, 1992.

On a careful reading of Regulation 2900 as it read prior to the most recent amendments that are applicable to taxation years ending after December 2, 1992 there appears to be some room for interpreting that a taxpayer who performs only support activities may still be able to claim SR&ED incentives. We have been advised informally that Revenue Canada does not agree with our interpretation. Where amounts are significant, a court challenge might provide an interesting result.

The Strategy
Where R&D project tasks are divided up between separate companies, make sure that your company performs more than just linked activities.

Links

  • CRA Application Policy on linked activities [20]

Revenue Canada Policy on Third Party Payments

Third party payments are disbursements made to third parties, where the funds are to be used for financing SR&ED activities, where the recipient defines the work performed, and retains ownership to the technology developed. When a taxpayer makes a payment to a third party for SR&ED the amount of that payment is generally eligible for SR&ED tax credits if:

  • It is to be used for SR&ED carried on in Canada
  • It is related to the business of the payer
  • the payer is entitled to exploit the results of the SR&ED
    the payment is to one of the listed third parties such as an approved association, university or college, research institute, not-for-profit R&D corporation, or organization that makes a payment to one of the aforementioned approved organizations
  • These payments are different from those under which the payer defines the work to be performed, and where the payer retains sole right to the technology. Examples of third party payments are payments by pharmaceutical companies to fund University research where the research is of interest to the payer. A third party payment would not include a donation to a University to do with it what they please, and would not include a payment to a University under a contract where the statement of work was clearly defined by the payer. Revenue Canada [21] has provided its interpretation of the related to the business test in an Application Policy paper. In that paper it indicates that the work must have some interconnection or link between the SR&ED and the general area of a taxpayer’s business. It also confirms that the work also qualifies if the research results may lead to, or facilitate, and extension to, a business. Revenue Canada’s policy as presented in that paper takes a fairly broad interpretation as to when a taxpayer is entitled to exploit the results of the SR&ED. Examples of where a taxpayer is considered to be entitled to exploit the results are as follows:
  • The taxpayer has the right to use a resulting patent, even where they have to pay a royalty to do so
  • The taxpayer has access to unpublished results, or early results

Where a taxpayer has to buy the resulting product to use it, or where others have access to unpublished or early results, the taxpayer would not be considered to be entitled to exploit the results for the purpose of this definition.

It also suggests in that paper that a taxpayer must be capable of backing up their claim with documentation.

There is some misconception as to the type of activities to which the “entitled to exploit the results test” is applied to. It should be noted that the test does not apply to SR&ED work undertaken by or on behalf of the taxpayer.

The Strategy
Companies who make these third party payments should insure that the contractual arrangement is such that they are entitled to exploit the results. In the event of audit a taxpayer should be ready to support this position to Revenue Canada. Proof of early access to results or actual use of results can aid in supporting entitlement.

Links

  • CRA Application Policy - Payments to third parties for SR&ED [22]
  • CRA Third Party Payment Approval Process [23]

What is a Contract Payment?

When a taxpayer contracts with another party to perform SR&ED on its behalf, the taxpayer can generally claim tax credits on the amount of payments made under that contract. The recipient of the payment can also claim tax credits, however, in calculating the amount of tax credit that it can claim, the recipient must first reduce the cost of its SR&ED by the amount of the contract payment received.

The Income Tax Act generally defines a contract payment to mean an amount paid or payable to a taxpayer, by a taxable supplier, a Canadian government, municipality or other Canadian public authority or a tax exempt person, in respect of the amount, for SR&ED, to the extent that it is performed for or on behalf of the payer.

Note that a contract payment must be made by a taxable supplier or a government unit within Canada. With some exceptions, a taxable supplier is defined to be an entity that is subject to taxation in Canada. A payment received from a foreign corporation that does not have a permanent establishment in Canada, or a foreign government, would not be considered a contract payment.

Note that non-arms length payments from taxable suppliers are not contract payments. They are subject to a whole different set of rules. (See Non-Arm’s Length Contract Payments)

Where a payment is received from a taxable supplier, it is often difficult to determine whether that payment is for SR&ED. A contract may be a simple one line purchase order, or even a handshake.

Revenue Canada’s position (Application Policy SR&ED 94-04) is that “the key element for determining an amount as a contract payment is whether the payer requested the contractor to perform SR&ED on behalf of the payer under the terms of the contract.” In looking for this key element, a number of factors are considered.

What are the contractor performance requirements?

Is the contractor required to do specific SR&ED work? Does the contract use terminology like design, integrate, test, verify performance? Were there certain specifications to which the contractor had to comply in performing their tasks?

If the answer is yes to any of those questions, Revenue Canada takes that as an indication that a contract payment was made.

Is there a ceiling price beyond which the contractor would not have been paid?

Or would the contractor have been entitled to payments only if the work had met the requirements of the contract, as to the work that was being performed? If the answer is yes to either of those questions, Revenue Canada takes that as an indication that a contract payment has not been made.

Does the payer own the exclusive right to the intellectual property (IP) at the end of the contract?

If the IP belongs exclusively to the person making the payment, then there is evidence that the payer is making a contract payment. Note that Revenue Canada discounts this test where the payer is the Crown, in that the Crown often does not take title to the intellectual property.

Is the contract a contract for services or a contract for goods?

If the three tests described above do not provide strong evidence for or against a contract payment, Revenue Canada then looks to the nature of the contract. A contract for services provides evidence that a contract payment has been received. A contract for the sale of goods provides evidence to the contrary.

The Strategy

Many taxpayers do not make SR&ED tax credit claims where they have been paid for work that they have done. Other taxpayers do not claim tax credits on work done for them by another party. These two factors are largely irrelevant in determining claim eligibility. Where SR&ED activities are performed, review payments received and made, to determine whether they are contract payments.

When do the cost of materials qualify for SR&ED tax credits?

There are two methods of determining the cost of SR&ED activities, the proxy method and the traditional method. Under either methodology a taxpayer can claim the cost of materials consumed in SR&ED activities. A traditional method filer can also claim the cost of materials transformed in SR&ED activities and the cost of material directly related to SR&ED that would not have been incurred if the SR&ED had not occurred.

Taxpayers and auditors have always had difficulty in determining material costs due to variances in interpretation. CRA recently posted an Application Policy (AP) on their web site which was to provide some clarity. Unfortunately, this policy is somewhat confusing in that it takes issue with itself in important areas.

The AP includes CRA’s position as to the meaning of the words “cost”, “materials”, “consumed” and “transformed”. It should be noted that these interpretations are provided by the CRA to give guidance to auditors and taxpayers. They do not have the force of law.

The word “cost” is defined to mean the laid down cost. For purchased items, this would include the invoice cost plus any duties, transportation, storage and other acquisition costs. If materials are manufactured by the claimant, the cost would also include the cost of direct labour and the applicable share of expenses properly chargeable to production overhead.

In CRA’s opinion the word materials refers to all the raw materials, substances or other items that compose the “body of a thing at a given moment in the SR&ED process”. In other words, the materials have to be incorporated into the subject of the SR&ED claim. CRA takes the position that energy costs and items such as cleaning products, CD’s or diskettes, and test tubes would generally be seen to be “supplies” and not materials that compose the body of a thing.

The word consumed in relation to a material is defined by CRA to refer to something that is absorbed, used up, or broken down into small pieces. As a result, materials such as a motor, which is incorporated into a commercial product or asset is not considered to be consumed. On the other hand, in a lab experiment, such things as enzymes or growth media would be considered to be consumed, because they are part of a thing that is made at some point in the SR&ED process.

As mentioned above, materials transformed in SR&ED activities are eligible costs only where a taxpayer calculates costs under the traditional method. CRA has defined transformed to refer to material that will not be consumed but rather be transformed into another material or thing which has some value either to the taxpayer or to another party. Examples given include nylon thread transformed into a carpet, or resins and dyes transformed into paint.

A recapture (reversal) of tax credits applies if a material has been transformed and then is subsequently sold or converted to commercial use. So if thread transformed into carpet as part of an SR&ED project earns tax credits, those tax credits are reversed in a later year if that carpet is sold.

Interpreting what is mean by “items that compose the body of a thing at a given moment in the SR&ED process” is difficult. In examples that appear at the end of the AP, CRA appears to contradict its own position in that it gives examples of certain situations where materials can include items that are not incorporated into the body of a thing. Now, instead of struggling with what is meant by materials, we will be struggling with what is meant by the phrase “incorporated into the body of a thing”.

The Strategy
Where the cost of materials is significant, some number crunching is required to determine whether the proxy or traditional method provides the greatest benefit. Try to fit into CRA’s definitions for consumed and transformed, but where amounts are significant consider what definitions the courts might apply.

Links

  • Application paper - Cost of materials for SR&ED [24]
  • Addendum to application paper - Water and energy sources as materials [25]
  • Recapture of investment tax credit [26]

General Eligibility Issues

  • Prototypes, custom products/commercial assets, pilot plants and experimental production [27]
  • Claim for ISO 9000 registration [28]
  • Testing activities on new substances required by the Canadian Environmental Protection Act (CEPA) [29]
  • Shop Floor R&D [30]
  •  Documentation [31]

Distinguishing Between Routine and Qualifying Testing and Data Collection Activities

As indicated elsewhere in this newsletter, Revenue Canada has circulated a draft copy of their revised information circular (IC86-4R4) which elaborates on, and clarifies, a number of thorny issues respecting SR&ED claims. One of the thorniest has been the correct identification of testing and data gathering activities.

The testing issue was touched on briefly in our Fall 1997 issue of Strategies as it pertained to testing existing products to determine if they meet new regulatory requirements. Here we will attempt to contrast the issue of routine testing and routine data gathering, which are non-eligible activities, with those of testing or data gathering as support activities within an SR&ED project.

Distinguishing qualifying from routine testing
The draft revised IC states “Testing is a qualifying activity for an SR&ED project when commensurate with the needs, and directly in support of SR&ED. However, quality control, or routine testing of materials, devices, products or processes is an excluded activity.” It goes on to state “In the scientific method, a hypothesis is tested to attempt to (either) corroborate or reject it. Testing in this sense qualifies. Thus, testing of the scientific results or technological output, such as a new material, of an SR&ED project is eligible up to the point of the SR&ED project completion.” All other testing is not eligible.

Unfortunately, this description does little to help clarify the confusion. For example, if, in the process of routine development of a new product (Non-SR&ED work) the company performs routine testing of its component parts, such as motors or printed circuit boards, to ensure they meet their published specifications prior to using them, this activity is clearly not eligible. If however, the company has a qualifying SR&ED project and performs the same testing, this testing would be an eligible activity. It’s still routine work, but performed directly in support of the SR&ED project.

Not quite so clear is the following example. If the company performs testing of new materials as part of developing a new ink or paint formulation, does this qualify as eligible testing? The foregoing description would seem to indicate that it would, provided the company had formulated a hypothesis as to the correct ingredients, the component quantities, and their chemical and physical interactions in relation to desired product performance objectives such as drying time or viscosity. The same testing would (presumably) not qualify if performed in the course of simply attempting to test performance of a single ingredient prior to replacing a similar ingredient in an existing formulation. This approach implies the absence of a hypothesis and hence would be denied on that basis.

Another murky example can be found in agribusiness research. If a company decides to investigate various plant varieties by cloning particular ones with different characteristics, and testing them against desired objectives such as frost resistance, would this qualify as eligible or is this routine testing? It would appear this is routine, based on the above definition, because presumably the testing does not involve a hypothesis - or does it? Could it be argued the company put forth a hypothesis that certain characteristics in the plant variety were needed to achieve a specific frost resistance objective and that the testing was performed in support of this theory? To make the issue even murkier, could it be argued that the activities are simply routine data collection, or are they observation of a trial or experiment?

Distinguishing qualifying from routine data collection
Again the information circular states “data collection is a qualifying activity when commensurate with the needs, and directly in support of, SR&ED. However, routine data collection is excluded….”

The circular goes on to state “The analysis of large quantities of survey data can serve to search for scientific or technological advancement and to resolve scientific or technological uncertainty, even if the data were not specifically collected for the needs of the SR&ED project. In these cases, only activities associated with analysing the data would qualify, not the actual data collection”. It then carries on with four examples of routine data collection activities, including collecting baseline data to support routine development such as may be encountered in collecting physical property data; generally descriptive data and data collected from routine or standard repetitive procedures or processes, all of which are all ineligible.

The Strategy
Data collection and testing form a large part of many R&D projects. Indeed, observation and analysis of results of trials or experiments is considered to be a core SR&ED activity. In order to maximize your claim, make particular note in your documentation that the data being collected or the testing being performed is in direct support of your scientific or technological hypothesis. Be prepared to show why all the data collected or all the testing performed was necessary for your analysis to draw your scientific or technological conclusion.

Links

  • IC-86-4R3 - Scientific Research & Experimental Development - Identifying Eligible Activities Associated With Collecting Data - Section 5 [32]

How is an SR&ED project defined?

When filing an SR&ED tax credit claim with the Canada Revenue Agency (CRA) the work claimed is structured as a “projects”. The claimant defines the projects undertaken, and the activities within a project. An intuitive definition of a project is used, and boundary areas are subject to interpretation.

Project start and end dates are often difficult to determine. Eligibility of routine support activities for a project is frequently questioned. As well, large projects involving teams or multiple teams of researchers can be considered “over aggregated”. CRA has requested work be broken into more easily digestible units, each unit being an SR&ED project. Each of these issues presents considerable difficulties both for tax preparers and CRA auditors as each attempts to fairly assess the overall eligibility of work for tax credits. A fundamental problem is that industrial research projects can encompass a broader set of activities than CRA is able to support.

A steering committee composed of industry sector representatives and CRA have now released a consensus document describing the principles that will assist in the application of IC 86-4 as it relates to the definition of an SR&ED project. The primary reason for issuing this paper is to develop a common level of understanding so work is reviewed at a proper level of aggregation to avoid projects being broken down in such a way that ineligibility is inadvertently lost.

There are three criteria necessary for any project: scientific and/or technological advancement, uncertainty, and content. A project is considered to be a set of “interrelated activities that collectively are necessary for the attempt to achieve the specific advances(s) defined for the project, are required to overcome uncertainty, and are pursued through a systematic investigation by means of experiment or analysis performed by qualified individuals.”

While the above definition provides a clear starting point, the CRA document goes on to provide guiding principles in many difficult areas. Of particular importance to many claimants are the following:

  • Projects should be assessed in their entirety, rather than broken up into their constituent parts.
  • CRA will review the claimants process for preparing their SR&ED claims. How is SR&ED differentiated from non-eligible work? Who makes these decision and what is their experience and credentials for making the decision? What is their level of understanding and experience with the SR&ED claims preparation process?
  • Projects tend to come in two flavours. Those that are distinct and well defined units of work, and those that are long-term multi-year projects that evolve in their goals as time progresses. In these later type of projects CRA recognizes that many activities may be routine, that these activities do not form SR&ED projects by themselves, and that they are eligible due to their contribution to the overall project.
  • A project start point is defined as the point at which the scientific and/or technological objectives could be defined. Where unanticipated difficulties are encountered in otherwise routine work the project would commence when the difficulties are recognized. However, prior work that is integral to the SR&ED process can still qualify.
  • A project end is defined as when activities associated with the resolution of uncertainty is complete, and it has been demonstrated that project objectives have been met.

The Strategy
Work on developing a process for identifying and tracking projects. Be prepared to discuss with CRA how you identify eligible SR&ED work and differentiate it from standard practice. In preparing your claim define projects at the highest level.

Links

  • Application paper - Cost of materials for SR&ED [33]

SR&ED Policy on Regulatory Testing

An area of significant controversy as to whether an activity qualifies as SR&ED, is one where the activity involves meeting a regulatory requirement. Generally, testing to meet regulations only qualify when they are linked in as part of an SR&ED project. With limited exceptions, they do not of themselves meet the definition of SR&ED. Particularly they do not meet the technological advancement and uncertainty criteria that must be met before an activity would qualify as SR&ED. The Canada Revenue Agency (CRA) considered this issue in relation to testing activities undertaken to meet the requirements of the March 1993 New Substances Notification Regulations of CEPA. Their policy is that testing to meet these Regulations is eligible only where the testing is done to generate new knowledge by resolving scientific uncertainty in direct support of an SR&ED project. Further references to CRA policy on Regulatory Testing appear in parts 7.4 and 7.5 of Information Circular IC 86-4R3 (linked below) and in application policy number SR&ED 1996 - 02, dated January 16, 1996, Tests and studies required to meet in regulated industries (linked below).

The Strategy
Testing work, performed up to the point that there are still technological uncertainties to be resolved and where that testing is designed to resolve some or all of those uncertainties, is generally eligible. It is important therefore, during the course of an audit, to establish that testing to resolve technological uncertainties in relation to the new regulations, was performed.. If the taxpayer cannot establish this, the claim will be denied.

Links

  • Tests and studies carried out to meet the requirements for products in regulated industries set out by industry standards associations such as the Canadian Standards Association (CSA) and the Underwriters’ Laboratories (UL) [34]
  • Reference to tests and studies to meet regulatory requirements or standards is made in Parts 7.4 and 7.5 of Information Circular IC 86-4R3 [35]
  • Studies to meet the Canadian Environmental Protection Act (CEPA) and on clinical trials to meet regulatory requirements [36]

Program Administration

  • Guidelines for resolving claimant SR&ED concerns [37]
  • Claimant entitlements and responsibilities [38]
  • Penalties under section 163(2) [39]
  • Conflict of interest with regard to outside consultants [40]
  • CRA account executive service for the SR&ED program [41]
  • SR&ED Program’s Pre-claim Project Review Service [42]
  • Business Consent Form [43]
  • Regional SR&ED office addresses and phone numbers [44]
  • Tax Service Offices and Tax Centres addresses, phone and fax numbers [45]
  • Federal Forms [46]
  • CRA On-Line Help Guide to Completing Form T661 [47]

The AG in Y2K

In April 2000 the Auditor General released a report entitled CRA and Department of Finance - Handling Tax Credit Claims for SR&ED. This audit is a follows on the 1994 audit, and addresses the handling of the 16,000 retroactive (bulge claims) filed by taxpayers in that year. The audit also addressed the administration of the program, audit risk assessment procedures, and the impact of the program on the economy.

The Auditor General reported that:

  • There were significant inconsistencies in the handling of claims that compromised the fairness of the review process.
  • There is a lack of clarity about the eligibility of SR&ED projects resulting in unresolved claims dating back to 1985.
  • There is a lack of clarity as to what constitutes an eligible activity or project, how thoroughly a claim should be reviewed and how much documentation is necessary to support a claim.
  • CRA has no standard methodology for audit risk assessment.

In 1997 Finance and CRA undertook a joint study of the value of the program. The benefits of the program were found to be marginal. Versus over one billion dollars in cost to the fiscal purse, the net increase in Canada’s real income was found to be $20 to $50 million.

Large corporations (8% of claimants) earn about 85% of the assistance under this program. Most large company audits are not current.

The new definition of “project” (available on CRA’s web site) modifies the level of eligible work and could result in additional costs.

When claims are found to be ineligible, taxpayers are being allowed second reviews. This second review process is not publicised.

Financial institutions and telephone companies are challenging the disallowance of hundreds of millions of dollars of tax credit claims dating back to the mid 1980s.

The AG in Y2K

The Auditor General recommended that:

  • CRA should review its procedures so that claims are audited in a fair and consistent manner.
  • The Agency should establish a process to reconcile internal differences of opinion.
  • Clearer eligibility rules are needed to improve the administration of the program.
  • CRA should clarify the rules as to what constitutes eligible work under the program.
  • Finance should review these rules to insure adequately reflection of tax policy.
  • CRA, Finance and Justice should develop a strategy to resolve outstanding claims by financial institutions and telephone companies.
  • CRA should adopt standard criteria to assess the audit risk of claims.
  • Large claims should be audited in a timely and consistent manner.

The Strategy
If you are unhappy with your audit result obtain professional advice as to whether the result was consistent with other audits. Consider asking for a second review.

Links

  • SR&ED Project Definition - Principles and Q and A sheet for Project Definition Paper [48]
  • Procedures For Resolving Claimants Disputes [49]
  • Auditor General’s 2000 Report - Chapter 6 [50]
  • Auditor General’s Report - CRA and Dept of Finance - Handling Claims for SR&ED [51]
  • Government Response to the Recommendations of the First Report of the Standing Committee of Public Accounts Made on Examination of the Auditor General’s Report [52]

When The CRA Reviewer Calls

Not all SR&ED tax credit claims are reviewed. However, most first-time filers are reviewed so that Canada Revenue Agency staff can visit, explain the program, and evaluate the taxpayer’s level of compliance. Filers that have a history of compliance based on previous reviews, are less likely to be reviewed. When the reviewer does call, providing complete and timely information on all claim years under review is important to a successful review, and to reducing the time spent during reviews.

An SR&ED review has two parts, a financial review and a technical review. A Research and Technology Advisor, an individual with a scientific background, performs the technical review. The science report is passed to the Financial Reviewer, who uses it as a guideline in performing the cost review.

Technical Review

The Scientific Advisor has two essential tasks, which must be conducted for each project submitted, for each fiscal year. First, it is necessary to establish the eligibility of the project itself, and then the eligibility of the activities that make up the project. Secondly, working in an advisory capacity to the financial reviewer, conclusions must be made as to whether the labour and other costs claimed for the project are reasonable.

First, to establish eligibility it is necessary to meet three criteria. These criteria are familiar to most readers, but their importance cannot be over-emphasized, and the entire claim hinges on them. The criteria are: 1) technological advancement, 2) technological uncertainty, and 3) scientific content.

In discussing these criteria with the Science Advisor (SA) it is crucial that technical personnel most familiar with the project be available to lead the discussion. The SA is generally familiar with the field of work, and typically has several years of relevant industrial experience. Facility tours are beneficial to place the research in the context of the business, and bring in some perspective on the advancements made (or sought), the problems encountered, and the work done. Records of the tests conducted, prototypes made, and other evidence of the R&D will be reviewed.

The evidence must be sufficient not only to establish that the criteria for SR&ED are met, but also to show that the costs claimed are commensurate with the work being reviewed. Further, it must be demonstrated that the work was necessary for the SR&ED project described.

Science Advisors will generally discuss their opinions on specific projects and tasks within the projects. This is your opportunity to present new information in the event of disagreement. Subsequent meeting dates may be set to review further materials you gather as a result of these discussions, or information can be sent to Revenue Canada offices.

Once the SA is finished with the review, an internal Revenue Canada science report is written, which the Financial Reviewer uses as a guide to their portion of the review to make both financial and science adjustments. This report is available to you through the Financial Reviewer.

Financial Reviewer

The Financial Reviewer reviews your claim for compliance with a number of rules and regulations that are specific to SR&ED claims. The review is generally of the SR&ED aspects of your tax return only, and rarely encompasses a general company review.

The Financial Reviewer wishes to establish several factors which directly effect the value of your tax credit claim or the rate at which credits are earned. These include the ownership of the company, the prior year’s taxable income, correlation of claimed expenditures to eligible activity, that the costs as claimed are valid expenditures, whether the company received a contract payment or government grant, whether the company made or received a non-arm’s-length payment, whether the proxy amount is calculated correctly, whether any suppliers were non-taxable Canadian suppliers, and usage of capital equipment claimed.

Once the Financial Reviewer has completed the review, a letter is normally sent, which details any proposed adjustments, based on both financial and technical issues. You may again respond with further information, if you disagree with any adjustments but this MUST BE DONE within the time window specified in the letter. Otherwise the claim is processed per the letter and your only option at that point is a formal Notice of Objection.

The Strategy
Have the relevant information available to the reviewers when they arrive. Familiarize yourself with the special rules which apply to SR&ED claims. Your staff should be familiar with the claim, and prepared to discuss both costs and scientific eligibility issues. If the reviewers request additional information, provide it within a short time-frame to help expedite the review process. Professional advice is recommended in the organization of the required materials, and the presentation of your information.

Links

  • Guidelines for resolving claimants’ SR&ED concerns [53]
  • Conflict of interest with regard to outside consultants [54]
  • Guide to Conducting a Scientific Research and Experimental Development Review [55]
  • The claim review process [56]

Program Overview

Answers to Your Questions on SR&ED Tax Credits

March 2006

I was asked if I have considered claiming tax credits for “SR&ED”. What is SR&ED?
It stands for “Scientific Research and Experimental Development”. It’s a government incentive program to encourage Canadian businesses to develop new or improved products or processes. The federal government pays out almost two billion dollars annually under this program. It is estimated that for every dollar paid, two dollars go unclaimed because companies are not aware of their eligibility.

Do I need to be some kind of research laboratory to qualify?
Scientific Research (whether Pure or Applied) is one of the activities the program supports: that’s the “SR”. But by far the larger share of the pay-outs of this program go to Experimental Development (the “ED”). If your work includes creating new products, or improving your old ones, you are performing product development. The key question is whether this development is experimental in nature.

I’m not sure I follow. Isn’t any development process “experimental”?
In a sense, yes. But what this program is trying to encourage is development that advances the technology base of Canadian businesses and makes them more competitive in the global marketplace. The work has to meet these criteria: it seeks a technological advance; it attempts to resolve a technological uncertainty; and, it involves systematic investigation by appropriately qualified people.

The last criterion is pretty clear. But what qualifies as a “technological advance”?
It’s more than building a better mousetrap: it’s something that creates knowledge that advances our understanding of some aspect of science or technology that goes beyond the standard practice in the field.

But any development involves uncertainty, and may fail. Doesn’t this make any development project eligible?
The key factor determining eligibility is the nature of the uncertainty, and the reasons for possible failure. Technological uncertainty means that whether the desired result can be achieved, or how to achieve it, is not known or cannot be determined from generally available knowledge or experience in that field of science or technology.

I wouldn’t call my product developers very systematic, but they always seem to come up with improvements anyway. Is that “systematic investigation” criterion important?
The belief is that true scientific and technological advances come about by methodical, planned investigation, not by random trial-and-error or luck. But in fact your developers may not be working quite as haphazardly as you (and even they) may think.

It appears we do indeed carry out what would be considered “experimental development”. Does this mean I can claim a credit on all my expenses?
You can only claim for “eligible SR&ED work”, work done to achieve a technological advance in your field of expertise. Other business activities, such as market research, sales promotion, quality control and other commercial production activities, as well as routine development using standard practice, would not be considered eligible.

We’re a small start-up company: until our development is complete, we have no taxable profits, just expenses. How will a tax-credit scheme help us?
If your business is a Canadian-controlled private corporation with less than $400,000 taxable income in the previous year, you may be eligible to receive a refundable investment tax credit (ITC) of 35% or more of your qualified SR&ED expenditures. You may receive it even if you have no taxable income.

I think I have a general idea of the program, but I’m sure it is more complicated when you get down to specifics. Is it a lot of work to claim these credits?
This was only intended to give you a very general overview of the SR&ED program — just enough to help you decide whether to consider claiming.

The Strategy
If you believe that you are eligible for making a claim, you should pursue the matter further. Visit the CRA website, or contact a knowledgeable consultant for more information.

Links
http://www.cra-arc.gc.ca/taxcredit/sred/menu-e.html [57]

Overview of Scientific Research and Experimental Development Tax Incentives in Canada

March 2006

The federal government and many of the provincial governments provide incentives through the taxation system to individuals and companies that perform scientific research and experimental development (SR&ED) in Canada. These incentives take the form of tax credits, and accelerated or additional tax deductions for expenditures made on SR&ED.

Where SR&ED is conducted by in Canada, the expenditures are deductible as a regular business expense, and also generate substantial tax credits. These tax credits range from 20% of the expenditure, to almost 50%, in favourable circumstances. Often these credits are refundable (even if no taxes have been paid), and thus offer a critical source of funding for many companies.

SR&ED as a term is defined in the Income Tax Act. The term is defined to mean a systematic investigation or search carried out in a field of science or technology by means of experiment or analysis. A systematic search would normally encompass a process by which a hypothesis is formulated or a technological objective is set , a methodology is devised for testing whether the technological objective is met, the tests are performed, the results are observed, and conclusions are drawn. Systematic searches are often performed by skilled individuals who wear the white coats, but also can be performed by individuals in overalls on a shop floor. The qualification of the individuals to do the work, and the systematic search itself is often referred to as the technological content of a project.

SR&ED is defined to include basic research, applied research and experimental development. Experimental development is defined to be work undertaken for the purpose of achieving technological advancement for the purpose of creating new, or improving existing, materials, devices, products or processes. Work need not be revolutionary. Eligible work includes incremental improvements to existing technology.

Activities such as market research, sales promotion, quality control, routine testing, social science or humanities research, prospecting for natural resources, style changes, routine data collection and commercial production activities are not included in the definition of SR&ED.

A key part of assessing whether a project is an SR&ED project is whether it was undertaken for the purpose of achieving technological advance. A technological advance is generally understood to be the discovery by the taxpayer of technical knowledge that advances their understanding of scientific relations or technologies. The requirement for a discovery implies that there is an unknown or uncertainty of a technological nature at the beginning of a project which will be resolved through the systematic investigation process.

SR&ED activities are also defined to include support work or linked activities undertaken by or on behalf of a taxpayer with respect to engineering, design, operations research, mathematical analysis, computer programming, data collection, testing or psychological research, where the work is commensurate with the needs and directly in support of core scientific research and experimental development activities.

In 1994 the Auditor General reviewed the operations of the SR&ED program. Although somewhat dated, the report provides some incite into the type of activities being claimed. Included in the report on the review were lists of some projects that received tax incentives under this program. A few examples are summarized below:

  • developing a new line of fibreglass windows and improving window hardware and locking mechanisms
  • developing processes for the recycling of a wide range of solid waste materials
  • designing and developing a machine that assembles hanging file folders from paperboard blanks and runners
  • developing an automatic guidance system for underground mining vehicles
  • developing software relating to interfaces for weigh scales, bar coding and digitizers
  • developing new software for an on-line, fully functional general ledger system
  • developing an on-line system to validate credit information
  • developing a comprehensive payroll system for personal-type computers
  • designing and developing computer controlled multimedia products using graphics, video, sound and text, and three dimensional images
  • developing an integrated material handling/optics/computer system to inspect fruit after mechanical halving and pitting
  • developing a single component polyurethane foam system that is ozone-friendly
  • designing, developing and testing a landing gear control unit
  • developing unreinforced and fibre-reinforced polymer modified cementitious material systems for products that provide coatings for rust protection and waterproofing of cement surfaces
  • researching and developing human diagnosis and therapeutic health care products
  • developing new drugs based on their effects on leukotriene-mediated diseases such as asthma
  • developing medical diagnostic instruments for heart valve problems
  • developing devices to rapidly detect cardiovascular risk
  • developing more environmentally acceptable muds for drilling to replace oil-based muds without compromising drilling performance
  • developing a process to bleach kraft pulp to a specific brightness without using chlorine

The Strategy
The federal government provides more than one and a half billion dollars in funding towards claims made under the SR&ED tax credit program. It is estimated that there is almost three and a half billion dollars in funding that goes unclaimed, because companies are not aware of the program, or are not aware of the types of activities that are eligible for funding. All companies should review their activities to determine their eligibility under this program.

Links

  • CRA [58]
  • SR&ED Project Definition - Principles and Q and A sheet for Project Definition Paper [59]
  • Refunds for Small Business R&D [60]
  • T4052 - An Introduction to the SR&ED program [61]

Provincial Incentives

  • General Rules Concerning the Treatment of Government and non- Government Assistance [62]

Ontario Innovation Tax Credit Extended to Public and Foreign Controlled Corporations

Updated March 9, 2006

Ontario provides an innovation tax credit (the OITC). The credit is earned at a rate of 10% on current expenditures and 4% on capital expenditures for research and development carried out in Ontario. The credit is fully refundable, and companies can receive a refund even where they have no liability to pay Ontario corporate income tax. An Ontario tax return must be filed to claim the credit.

The rules have gone through a number of changes since their introduction. What appears below are the changes, and thier effective dates.

For Taxation Years Ending Prior to May 4, 1999

To be eligible for an OITC, for taxation years prior to May 4, 1999, the claimant had to be a small to medium-sized Canadian controlled private-corporation (CCPC). The federal taxable income of the claimant corporation and its taxable capital (for federal large corporations tax (LCT) purposes) in the preceding year could not exceed $200,000 and $10,000,000, respectively. Where a corporation exceeded these thresholds, the annual limit on qualifying expenditures was phased out on a graduated scale.

For Taxation Years Ending After May 4, 1999 and before 2003

he Ontario government made a number of changes to these rules that affected taxation years ending after May 4, 1999. Included in these changes was the extension of the availability of the OITC to all public and private companies. Prior to that date, foreign controlled and publicly controlled companies did not earn OITCs.

Prior to the change the phase out of the OITC started when a corporation’s taxable capital for federal LCT purposes exceeded $10,000,000. After the effective date the federal taxable capital for LCT purposes is no longer be a limiting factor. Corporations are eligible to claim the full OITC where they have up to $25,000,000 of taxable paid-up capital for Ontario capital tax purposes. The annual limit on qualifying expenditures is now subject to a phase-out when taxable paid-up capital is $50,000,000 or more.

These measures apply to taxation years ending after May 4, 1999 and the benefits are prorated for taxation years that straddle May 4, 1999.

Effective December 9, 2002

Effective December 9, 2002 associated non-resident corporations with no permanent establishment in Canada were required to be considered part of an associated group.

For Taxation Years Ends After December 31, 2002

Public and private corporations may claim the OITC.

In order to be eligible for the maximum OITC of $200,000 a corporation must have at least $2,000,000 of qualifying expenditures eligible for the OITC. For this purpose current expenditures are counted at 100% and capital expenditures are counted at 40%. Also, the Ontario taxable paid up capital of the corporation must be less than $25 million and federal taxable income in the preceding taxation year of the corporation must be less than $300,000. The maximum OITC is reduced to zero on a straight line basis for prior year federal taxable income levels of between $300,000 and $500,000 and prior year Ontario taxable paid up capital levels of between $25 million and $ 50 million.

Where the corporation is part of an associated group the federal taxable incomes and the Ontario taxable capital levels of all corporations in the group must be considered. Note, associated non-resident corporations with no permanent establishment in Canada must be considered in determining eligibility for the OITC. Special rules apply to credits unions and insurance companies.

For Taxation Years Ended After March 22, 2004

The federal goverment relaxed the associated rules for the purposes of determining the expenditure limit where two corporations are associated solely because they are both controlled by any two persons. Ontario adopted this same approach.

The Strategy
These changes added many foreign corporations and public companies to the list of eligible OITC claimants. All companies performing R&D in Ontario should consider the applicability of these tax credits to research projects that were underway on or after May 4, 1999.

Links

  • OITC Claim Guide and Form after February 27, 1995 and before 2002 [63]
  • OITC Claim Guide and Form for 2003 and subsequent taxation years [64]

Provincial Web Sites and Provincial Forms

Web Sites

BC - http://www.rev.gov.bc.ca/itb/Bulletins/cit_007.pdf [65]

SK - http://www.gov.sk.ca/finance/taxation/rtrbulletin2002.pdf [66]

MB - http://www.gov.mb.ca/iedm/invest/busfacts/redev/research5.html [67]

ON - http://www.2ontario.com/facts/fact11.asp#2 [68]

PQ - http://www.investquebec.com/en/index.aspx?page=339 [69]

NB - http://www.gov.nb.ca/nbfirst/rd/credit.htm [70]

NS - http://www.gov.ns.ca/finance/taxpolicy/taxcredits/rd.aspl [71]

NL - http://www.gov.nf.ca/fin/scientific.html [72]

YK - http://www.economicdevelopment.gov.yk.ca/general/rdtaxcredit.html [73]

Tax Credit Forms

BC - T666 [74]

SK - Schedule 403 [75]
MB - Schedule 380 [76]

ON - Ontario Innovation Tax Credit (OITC) Claim Form [77]

PQ - Deduction Respecting Scientific Research and Experimental Development Expenditures

  • (form RDW-222-V [78])
  • Tax Credit for Salaries and Wages (form RDW-1029.7-V [79])
  • Tax Credit for University Research or Research Carried Out by a Public Research Centre or Research Consortium (form RDW-1029.8.6-V [80])
  • Tax Credit for Fees or Dues Paid to a Research Consortium (form RDW-1029.8.9.03-V [81])
  • Tax Credit for Pre-Competitive Research (form RDW-1029.8.10-V [82])
  • Additional Tax Credit for Scientific Research and Experimental Development
  • (form RDW-1029.8.16.6-V [83])

NB - Schedule 360 [84]

NS - Schedule 340 [85]

NL - Schedule 301 [86]

YK - Corporate form Schedule 442 [87]
Individual form Schedule 1232 [88]

R&D Income Tax Incentive Rates Across Canada

This article has been moved to R&D Tax Incentive Rates Across Canada [89].

Recently Heard Court Cases

Recently Heard Court Cases

Federal Court of Canada

Appeals Division

Documentation
  • R I S Christie Ltd. v Canada [90]
  • C.W. Agencies Inc. [91]
SR&ED Performed in Foreign Jurisdictions
  • LGL Limited v Canada [92]
  • Canada v Tigney Technology Inc. [93]
Five Criteria
  • C.W. Agencies Inc. [94]
  • Partnership Eligible for Enhanced Tax Credit
  • Canadian Solifuels Inc.v. Her Majesty the Queen [95]
No Duty to Reassess Where Taxpayer Files Waiver
  • Chevron Canada Resources Limited v. M.N.R.(Customs, Excise and Taxation) [96]

Trial Division

The Eighteen Month Deadline/Minister Waiver of Requirement to File Prescribed Returns
  • Alex Parallel Computers Research Inc. v. Her Majesty the Queen, The Minister of National Revenue, and Harvey C. Beaulac in his capacity as the Director of the Ottawa Office of Revenue Canada [97]

Tax Court of Canada

Repairs as SR&ED
  • Rainbow Pipe Line Co v Her Majesty the Queen [98]
R&D Costs Incurred in Foreign Jurisdictions
  • Data Kinetics Corp v Her Majesty The Queen [99]
  • The M.N.R. v Tigney Technology Incorporated [100]
  • LGL Ltd. v Her Majesty the Queen [101]
The Five Criteria for SR&ED
  • Northwest Hydraulic Consultants Limited v Her Majesty the Queen [102]
  • Safety Plus Inc. v Her Majesty the Queen [103]
  • C.W. Agencies Inc. [104]
  • Knowledge Systems Incorporated v. Her Majesty the Queen [105]
  • Les Développements de Systèmes Spécialisés M.T.P.C. Inc.v. Her Majesty the Queen [106]
  • Maritime-Ontario Freight Lines Limited v Her Majesty the Queen [107]
Definition of Contract Payment
  • Com Dev Ltd v Her Majesty the Queen [108]
Documentation of a Systematic Approach
  • 113736 Canada Inc. v Her Majesty the Queen [109]
  • C.W. Agencies Inc. [110]
  • Pierre Mailloux (French only) [111]
The Eighteen Month/1994 Deadline
  • Datacalc Research Corporation [112]
CCPC Eligible for Enhanced Tax Credit Rate
  • Mimetix Pharmaceuticals Inc. v. Her Majesty the Queen [113]
  • Silicon Graphics Limited v. Her Majesty the Queen [114]
  • Transport M.L. Courture Inc. v. Her Majesty the Queen [115]
Need for an Expert Witness
  • Ronald James Miller and R.J. Miller & Associates (1986) Limited v. Her Majesty the Queen [116]
Carrying on a Business
  • Synchrosat Limited v. Her Majesty the Queen [117]
  • Sunshine Uniform Supply (1983) Limited v. Her Majesty the Queen [118]
Prescribed Expenditures
  • Quantetics Corporation v. Her Majesty the Queen [119]
Routine Computer Programming
  • Les Éditions Progitech Inc. v. Her Majesty the Queen [120]
Preparing Drug Submissions to Regulatory Authorities
  • Hun-Medipharma Research Inc. v. Her Majesty the Queen [121]
Relating Salaries to SR&ED at the Exclusion of Other Activities
Ergorecherche et Conseils Inc. v. Her Majesty the Queen
  • Synchrosat Limited v. Her Majesty the Queen [122]
Right to appeal where tax assessed as filed
  • Imperial Oil Limited v Her Majesty the Queen [123]

SR&ED Tax Incentive Rates

R&D Tax Incentive Rates Across Canada

Where R&D is conducted in Canada, the expenditures are deductible as a regular business expense, and also generate substantial tax credits. These tax credits can represent from 20% of the expenditure, to almost 50% in favourable circumstances. Often these credits are refundable (even if no taxes have been paid), and thus offer a critical source of funding for many companies.

The large variability in the tax credit rates noted above comes from a number of factors. In essence, these factors all relate to policy decisions by Federal and Provincial tax authorities to increase incentives for smaller, Canadian controlled companies. Provincial incentives generally reward companies for only the work performed within that province. Provincial incentives are available in all provinces except P.E.I., Nunavut and Alberta.

The rate at which a specific company earns tax credits is calculated based primarily on the following factors:

  1. Taxable income (in the prior fiscal year)
  2. Ownership (Canadian vs. Foreign, Public vs. Private)
  3. Location of the R&D within Canada
  4. Size (measured by the amount of capital employed)

Once the expenditures eligible for SR&ED tax credit are determined by Canada Revenue Agency reviewers, Provincial tax authorities generally accept these amounts. The product of the qualifying expenditures and the appropriate tax credit rate, governs the amount of the tax credit/refund. The mechanics of the process are a bit confusing at first, but not difficult to understand. Numerous rules have evolved over the long history of the program, and the various provinces provide credits in different manners. A summary of the credits for expenditures made in a province is given in the table presented below.

Starting first with the federal credits, they are earned at a rate of either 20% or 35% of the expenditures. The rate depends on the company’s prior year’s corporate group’s taxable income, and whether it is a Canadian controlled private corporation (CCPC) or not.

The federal tax credit rates can be summarized as follows:

Company Status Tax Credit Rate
CCPC, taxable income < $500,000 35%Z
Others 20%

A CCPC may earn a 35% tax credit on the first $2 million of expenditures, and 20% beyond this amount. Eligibility for the 35% rate in a given year is determined by the prior year taxable income. If a CCPC earns between $300,000 and $500,000, the $2 million expenditure limit is gradually reduced. Companies or associated company groups with taxable capital in excess of $15 million are not eligible for the 35% rate. Non-CCPC’s include any public companies, foreign owned ones, partnerships, and individual taxpayers.

Based on the detailed breakdown of costs allowed by the Canada Revenue Agency at the federal level, the provinces then apply their tax credits. Some provinces apply a flat credit rate to all expenditures for all companies. Quebec distinguish between CCPC’s and other companies. Quebec provides a generous incentive, but primarily only on the labour component of SR&ED. Further differences between provinces occur in the treatment of capital expenditures, the refundability of credits, and whether the tax credit is considered government assistance (affecting the credit earned at the Federal level), etc.

The Strategy

Be aware of the large variations in SR&ED tax credit and refundability due to company size (net income), and the location of research activities within Canada. In the planning of your research consider possible changes in corporate structure and research locations. Minor changes in your business plans may well result in substantially larger credits.

Alberta 00% No Not available
Table 1: Highlights of Provincial Tax Credit Rates
Province Rate Refundable? Available To?
New Brunswick 15% Yes All Corporations
Newfoundland 15% Yes All Corporations
Nova Scotia 15% Yes All Corporations
Prince Edward Island 00% No Not Available
Ontario[1 [124]] 10% Yes See Note 1 [125]
Quebec [2 [126]] 17.5% or 37.5% Yes See Note 2 [127]
Saskatchewan 15% No All Corporations
Manitoba 20% No All Corporations
British Columbia[3 [128]] 10% Yes Smaller Corporations
Yukon Territory 00% Yes Not available
Nunavut 00% No Not available
Northwest Territories 00% No Not available
  1. Ontario allows a deduction in arriving at taxable income for the amount of the federal investment tax credit included in income. Ontario applies its own limits and criteria in determining qualification for refundable tax credits. The Ontario credit is refundable to smaller corporations.
  2. Quebec credits apply to salaries and certain other expenses. The rate is 37.50% for smaller CCPC’s and 17.5% for non-CCPC’s and larger CCPC’s. Credits also apply to amounts paid to subcontractors performing R&D in Quebec, but at a reduced rate.
  3. BC has a sunset clause on its legislation. The program applies to expenditures made before September 1, 2009.
Table 2: Combined Provincial and Federal Tax Credits for $100 of R&D Expenditure
Province Small CCPC Larger CCPC or non-CCPC
Provincial credit Federal credit [1 [129]] Combined credit Provincial credit Federal credit [1 [130]] Combined credit
AB 0% 35.00% 35.00% 0% 20% 20%
BC 10.00% 35.00% 41.50% 10% 18% 28%
MB 20.00% 28.00% 48.00% 20% 16% 36%
NB 15.00% 29.75% 44.75% 15% 17% 32%
NL 15.00% 29.75% 44.75% 15% 17% 32%
NS 15.00% 29.75% 44.75% 15% 17% 32%
NU 0% 35.00% 35.00% 0% 20.00% 20.00%
ON [2 [131]] 10.00% 31.50% 41.50% 0% 20% 20%
PEI 0% 35.00% 35.00% 0% 20% 20%
PQ 37.50% 21.87% 59.37% 17.50% 16.50% 34%
SK 15.00% 29.75% 44.75% 15% 17% 32%
  1. The eligible Federal expenditures are reduced by the Provincial tax credit receivable.
  2. Ontario extends refundable treatment to non-CCPCs subject to size tests. Smaller non -CCPCs receive 10% refundable provincial tax credits and 18% non-refundable federal tax credits for a combined credit of 28%.

Web Links

  • Federal Web Site and Forms [132]

SR&ED recovery rates not impacted by loss carry backs

January 2001 Updated March 2006

The Income Tax Act allows a company that incurs losses, to apply those losses to retroactively decrease the taxable income that it reported in any of the three prior years. This provision can allow a company to claim a refund of some prior years’ tax payments.

The level of taxable income of a Canadian controlled private corporation (CCPC) that meets a certain size test, affects its tax credit rate. In the past, certain CCPCs were able to retroactively increase their federal SR&ED tax credit rates for a particular year from 20% to 35%, by carrying back subsequent years’ losses. Some of these companies received substantial additional refunds of investment tax credits by doing this. The ability to raise the investment tax credit rate by applying loss carry backs was blocked for taxation years ending after 1996.

Companies that are CCPCs are eligible for an additional 15% credit, over and above the standard 20% rate on some of their SR&ED expenditures, if they meet a certain size test, and if the total of their and all associated companies’ combined taxable incomes in their last taxation year of the preceding calendar year, is not $500,000 or more. When determining taxable income for the purpose of the rules, a taxpayer is to ignore “specified future tax consequences”. The definition of specified future tax consequences includes the effect of loss carry backs.

CCPCs that follow a regular policy of calculating their taxable income within 180 days of year end, and paying wage bonuses to shareholder managers within that same time period, to keep income below $300,000, will generally not be affected by these rules. However, companies that wait beyond 180 days may find that when they calculate taxable income, they are over the threshold amount, and that their rate for the following year will be reduced from 35% to 20%, on all or part of their expenditures.

The Strategy
Calculate taxable income within a short period following your year-end. If you have taxable income over $300,000 consider paying bonuses within 180 days of year-end to reduce it. Consider the amount of anticipated SR&ED expenditures in the following year in making such a decsion.


Source URL: http://www.braithwaite.ca/strategies/general_topics

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