The Comprehensive Guide to R&D Tax Credits

Research can be risky. You don’t always know what you’ll uncover investing in Research and Development. But with that risk comes great reward — both for your company and for society at large. For that reason, tax credits have been introduced to reward risky but potentially valuable research projects. These specific tax credits are called Research and Development (R&D) tax credits, and they aim to support innovation by lowering your overall tax liability.

Does your company spend money developing new products or processes? Then, these credits can greatly reduce your liability.

Or, would your company like to do that kind of research, but you aren’t sure if you’ll be able to afford the risk? R&D tax credits offer an incentive to companies that would like to reinvest more profits into development. These tax credits make it easier to factor this into the budget.

Both small startups and enterprise-level corporations rely on these credits to offset the inherent risks of innovation. It’s a way to encourage ambitious projects, because even if nothing comes of the research, the money isn’t wasted. That makes it more financially viable to pursue research projects.

Regardless of what stage of a research project you are in, you need to understand R&D tax credits. That helps you prepare to have all the paperwork ready to take full advantage of these programs.

 

So, do you qualify for R&D tax credits?

The following comprehensive guide helps you answer that very question.

Key Takeaways

What are R&D tax credits?

How do R&D tax credits work?

  • For spending to qualify as R&D, it has to meet the IRS’s four-part test for tax credit eligibility:
  • The history of R&D tax credits shows evolution and expansion, with significant benefits for businesses through the PATH Act.
  • Distinction between federal and state credits, showing the full spectrum of tax strategies available to your company.

Can I qualify for R&D tax credits?

Calculating Your R&D Tax Credit

Strategic Planning and Optimization

R&D Tax Credits Explained

R&D tax credits reduce your tax liability dollar for dollar — so you are credited for every dollar you spend on creating new products, processes, and software.

These tax credits make research immediately more appetizing, even for the most budget-conscious operations. Knowing that the money will, at the very least, lower your tax bill — you can take the leap into bigger, better R&D. That has lots of positive downstream effects, like hiring more staff, expanding operations, and coming up with solutions that make our lives better.

Many people think that their company doesn’t do R&D because there are no scientists in lab coats working with beakers. But that’s only one way R&D can look. It extends to a wide range of activities that are about overcoming technical challenges, improving existing products, and discovering new ways of doing things.

Understanding R&D Tax Credits

What are R&D tax credits?

R&D tax credits reduce the amount you owe in taxes based on how much money you’ve spent on research and development for the year. They are a way governments, both state and federal, incentivize businesses to take risks in innovation and technological advancement.

If your company spends money on activities that are looking to solve a scientific or technological issue, you probably qualify for at least some tax relief.

Many experiments to create new products or improve existing ones, as well as software development, fall under R&D. Improving current production processes is also a common way companies earn these tax credits.

Basically, the full list of qualifying activities is broader than most people think. 

Activities must meet some basic criteria to qualify, and good spending documentation helps your company get the most possible tax credits.

For additional information on how to apply for R&D tax credits for your business visit Endeavor Advisors.

What is the history and evolution of R&D tax credits?

In 1981, R&D tax credits were introduced to temporarily boost competitiveness and innovation. The program was set to expire on December 31, 1985, but Congress has extended it a staggering 15 times since then.

By 2015, it became apparent that R&D tax credits should become a permanent feature of the US revenue system. The PATH Act enshrined R&D credits as fixed in the tax code. This has allowed businesses to rely on the availability of these benefits in the long term, further expanding the impact this program has made on American companies.

The PATH Act also made it more accessible for small businesses by allowing them to apply the credit against payroll taxes. This has proven a major boon for start-ups that don’t have income to tax yet. This way, they can still realize savings through R&D, helping to spread the reward for innovation to all levels of the economy.

What are the types of R&D tax credits?

  • Federal R&D Tax Credits: The federal level provides substantial credits. Businesses can choose between the Traditional Credit, which offers a higher rate but involves a more complex calculation, and the Alternative Simplified Credit (ASC), which provides a straightforward method of calculation at a slightly lower rate. The federal credit focuses on increasing spending on R&D activities, comparing current-year expenses to a base amount derived from previous years’ expenditures and revenues.
  • State R&D Tax Credits: Today, many states offer their own R&D tax credits that you can earn in addition to the federal credit. But make sure to talk with a qualified expert on the local rules, as eligibility criteria and benefits vary. For instance, California’s credit gives businesses a 15% credit for qualified in-state research expenses. Texas allows companies to choose between a franchise tax credit and a sales tax exemption for R&D-related purchases. States use R&D tax credits to encourage companies to set up shop there to take advantage of the savings.

As you can see, while the federal program offers large savings, its worth getting a grasp of your state’s tax credits. They can both offer big savings for businesses that are wanting to start, maintain, and expand their research endeavors.

Despite the rewards, the broad eligibility criteria mean that many companies are leaving money on the table — simply because they don’t know that their activities already qualify for these credits. 

What is Form 6765?

IRS Form 6765 is the form you’ll use to claim R&D spending on your federal tax return. You include it with different filings, depending on your company structure:

  • C-Corps will find it included in their 1120
  • S-Corps will find it included in the 1120-S filing
  • LLCs will include in whatever form you elect to file (typically the 1120 or 1120-S) 
  • Partnerships will include it in the 1065 

How to Qualify for R&D Tax Credits

Curious if you qualify for R&D tax credits?

This section will help you to understand the eligibility criteria for the federal program.

Later, we’ll cover how to actually document the spending—an essential part of calculating the tax credits you can claim.

Am I Eligible for R&D Tax Credits?: The Four-Part Test

From the very beginning of the program, defining what exactly qualifies as R&D has been crucial. Due to debates within the IRS, a four-part test was established to make sure companies could reliably predict if their activities would fall under the tax credit’s framework. The four-part test elements are:

  1. Permitted Purpose: The activity attempts to create or improve the functionality, performance, reliability, or quality of a product, process, software, technique, invention, or formula. It’s not enough for a project to simply make aesthetic changes—there must be a tangible improvement in the technical aspects. The company must intend to use the outcome of the research for trade purposes, whether to sell, lease, license, or use.
  2. Technological in Nature: The research process must rely on principles of physical or biological science, engineering, or computer science. That includes how experiments are structured and what domain of knowledge the research draws from. Unfortunately, this excludes research in many fields, including the social sciences, arts, and humanities.
  3. Elimination of Uncertainty: At the project’s outset, there must be uncertainty regarding the capability, method, or design of the desired product or process. And the research must seek to discover information to eliminate these uncertainties. This excludes open-ended exploration of knowledge.
  4. Process of Experimentation: The activities must involve evaluating one or more alternatives to achieve a result. This involves testing, modeling, simulating, prototyping, or other methods of experimentation. The key is that the outcome must not be known or guaranteed from the start. The scientific method can be used to stay aligned with this element, but so can A/B testing or trial and error.

Unfortunately, many companies conduct research projects that fall within this four-part test, and they don’t even know it.

Qualified Research Expenses (QREs)

If your activities pass the IRS’s four-part test, the next step is to identify the spending that qualifies. Add this up to discover your total Qualified Research Expenses (QREs) for the year. 

That might sound complicated, but it isn’t. Think about QREs using three categories. These give you an easy way to quickly grasp what sort of spending falls under QRE:

  • Wages: The salaries and wages you pay to your employees for working on R&D activity can all qualify. The work you pay for needs to be directly involved with the research, however. That could be actually doing the research, supervising it, or supporting it in some other way. Think engineer, scientist, technical staff, and managers.
  • Supplies: Any money spent on materials and supplies for the research process falls under supplies. There is one major exception. Those are capital equipment that can be used to generate profit on an ongoing basis.
  • Contractor Costs: Often, research requires hiring outsourcing some of the tasks — especially on bigger projects. The money you spend on contractors qualifies, but you’ll only be able to apply 65% of those expenses against your tax liability.

Documentation and Substantiation

As with so many tax credits, it isn’t enough to say how much you spent on QRE. You need to prove it. That’s because the IRS could request that you provide evidence to support your claim. In that case, having detailed records on hand is essential. That documentation should include:

  • Project Records: Plans and design documents, as well as project reports, detail the full scope of the project. These outline technical objectives and uncertainties (important for the four-part test).
  • Expense Records: This is probably the most obvious of the three. You’ll need to have clear documentation for payroll, supplies, and contractors associated with the research.
  • Activity Logs: Any activity conducted during research should be logged. That’s a best practice in general for research, and it also serves to link staff effort to your R&D.
  • Experimental Documentation: Things like designs, test results, and iterations show that the process used experimentation to eliminate uncertainty.

A hidden benefit of keeping this documentation on hand is that it serves as a little extra motivator to keep pristine records of your R&D. Luckily, once you put policies in place to capture this info, it is easy to maintain.

Calculating Your R&D Tax Credit

As we covered above, the federal R&D tax credit can be calculated through the Regular Research Credit (RRC) and the Alternative Simplified Credit (ASC). Knowing the differences helps your company choose the best path to reducing your tax bill.

How do I calculate RRC and ASC?

Regular Research Credit (RRC)

The RRC method is more complex, and it involves comparing your current R&D research with past years. 

RRC is calculated as 20% of the current year’s qualified research expenses (QREs) over a base amount. This base amount is a fixed percentage (historically set between 1-16%) of the average annual gross receipts for the prior four years, limited to a maximum of 50% of the current year’s QREs.

While it is more convoluted, the RRC gives more credit to companies with a long history of R&D. Over time, this rewards consistent and expanded research operations.

Alternative Simplified Credit (ASC)

This credit is simpler and works better for companies that are new to research.

The ASC is calculated as 14% of the current year’s QREs that exceed 50% of the average QREs for the three preceding tax years. If a company has no QREs in any of the preceding three years, the credit is 6% of the current year’s QREs. 

If you don’t have a long history of calculating QREs, ASC is almost always the preferred option.

What are the limits to R&D tax credits?

A few major limitations come up when calculating R&D tax credits.

  • IRC Section 41(g) limits R&D credits for shareholders and members of pass-through entities — so only the company doing the research qualifies for tax credits
  • Only qualified start-ups can offset up to $250,000 in payroll taxes with R&D tax credits
  • Soft science research does not qualify as R&D
  • Purely aesthetic improvements do not fall under R&D, which includes seasonality, taste, color, and other non-functional factors

Can I carry forward R&D tax credits?

Yes! While most companies choose to use their credits immediately, there are other options.

If you do not use all of the R&D tax credit you are given in a tax year, it is automatically carried back to the previous tax year. If there are still credits available, it is given a 20-year carry forward schedule.

To figure out if you can use credits this way, it’s helpful to have experts to determine if R&D can benefit you.

Plan and Optimize Your R&D Tax Credits

If you choose to work with a firm that specializes in these, you can take full advantage of R&D tax credits. Our experts help you maximize your claim and strategically plan the full size and scope of your research projects.

Below, we’ll go into ways you can maximize your claim, deal with audits, and even take advantage of state R&D tax credits.

How do I maximize my R&D claim?

Maximizing your R&D claim means being proactive.

  • Identify your potential QRE, but also make sure to fully scope out project expenses that do not fall under QRE
  • Frequently overlooked expenses for R&D tax credits include software development, failed projects, and improvements to current processes
  • Adjust current project budgets so that more of the money is invested in QRE
  • Put adequate procedures in place to capture as much documentation as possible
  • Work with R&D tax credit experts to make sure you don’t leave money on the table

What if I get audited for my R&D claim?

Some companies, especially those without a robust accounting division, are hesitant to take advantage of tax credits due to fear of being audited. And yes, an IRS audit can be daunting.

For R&D tax credits, extensive documentation is required to withstand the scrutiny. That’s why many companies find it is well worth it to bring in an expert team to oversee the process.

If you do get audited, you will want to have ready:

  • Documentation of all R&D activities
  • Detailed expense reports
  • Rationale for everything you’ve placed under QRE

With the right paperwork, you can be confident in the event of an audit.

What state R&D credits are available?

39 states currently have their own R&D tax credits, but the qualifications and calculations are different in specific cases. To get the most out of your total tax credit, make sure your company fully understands the rules for any state program you want to take advantage of.

The following states do offer their own unique R&D tax credits:

  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Nebraska
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Dakota
  • Ohio
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • Texas
  • Utah
  • Virginia
  • Vermont
  • Wisconsin

The following states and districts do not currently offer R&D tax credits:

  • Montana
  • Missouri
  • Nevada
  • Oklahoma
  • Oregon
  • South Dakota
  • Tennessee
  • Washington
  • Washington DC
  • West Virginia
  • Wyoming

Getting the Most Out of R&D Tax Credits

R&D tax credits reward activities that society relies on. And though they are fairly generous, many companies don’t know that they are already spending money on projects that fall under the IRS’s definition of research and development.

Knowing the rules for both federal and state R&D tax credits allows you to keep more money come tax time. Those added savings could be the difference in deciding to start, maintain, or expand research.