2021 BE-15 Supporting Statement B_8-9-2021

SUPPORTING STATEMENT
BE-15, Annual Survey of Foreign Direct Investment in the United States
OMB Control Number 0608-0034
B. Collections of Information Employing Statistical Methods
1. Describe (including a numerical estimate) the potential respondent universe and any
sampling or other respondent selection method to be used. Data on the number of entities
(e.g. establishments, State and local governmental units, households, or persons) in the
universe and the corresponding sample are to be provided in tabular form. The tabulation
must also include expected response rates for the collection as a whole. If the collection has
been conducted before, provide the actual response rate achieved.
The potential respondent universe for the BE-15 annual survey is derived from the 2017
Benchmark Survey of Foreign Direct Investment in the United States, BE-12, and from
transactions reported on the Survey of New Foreign Direct Investment in the United States, BE13. The potential universe consists of all U.S. business enterprises in which a foreign person
owns or controls, directly or indirectly, 10 percent or more of the voting securities of an
incorporated U.S. business enterprise, or an equivalent interest of an unincorporated U.S.
business enterprise.
Sample selection for the BE-15 annual survey is based on the size and degree of foreign
ownership of the U.S. affiliate. The size thresholds are stated in terms of total assets, sales or
gross operating revenues, and net income after income taxes, whether positive or negative. If any
of the three items exceeds the size threshold, then a report must be filed. Estimates of the sample
size and response rate below are based on recent BE-15 and BE-12 surveys. These are presented in
terms of assets, representing the proportion of total assets for each of the populations that are
accounted for by reporting entities.
BE-15 Universe, Sample, and Response Rate
Number of companies

Percent of companies

33,200

100%

100%

Sample:
BE-15A filers
BE-15B filers
BE-15C filers
Total sample

3,300
1,600
1,200
6,100

10%
5%
3%
18%

86%
9%
~0%
95%

Total nonsample

27,100

82%

5%

Universe

Expected response rate

Percent of assets

92%

2. Describe the procedures for the collection, including: the statistical methodology for
stratification and sample selection; the estimation procedure; the degree of accuracy
needed for the purpose described in the justification; any unusual problems requiring
specialized sampling procedures; and any use of periodic (less frequent than annual) data
collection cycles to reduce burden.
In this information collection, more detailed data are collected for larger U.S. affiliates than for
smaller ones. BEA estimates data for the smaller U.S. affiliates using statistical methods so that
the level of detail BEA records is the same regardless of firm size. In general, the estimation will
be accomplished by prorating data reported on all forms, such as total assets, among
subcomponents that are not reported by smaller filers, using the distribution observed in the next
higher size class of U.S. affiliates.
Estimates for the nonsample portion of the universe and for missing reports will be derived by
extrapolating forward their reported data from earlier years based on the year-to-year movement
in the data reported by other companies. Thus, the estimates will cover the universe of U.S.
affiliates. For additional information on BEA’s estimation methods please see the “International
Economic Accounts: Concepts and Methods” available on BEA’s web site.
3. Describe the methods used to maximize response rates and to deal with nonresponse.
The accuracy and reliability of the information collected must be shown to be adequate for
the intended uses. For collections based on sampling, a special justification must be
provided if they will not yield "reliable" data that can be generalized to the universe
studied.
Several steps will be taken to maximize response rates. In March of each year, all companies
will receive notification by mail of their obligation to file the BE-15 survey. BEA encourages
respondents to file electronically but will also post PDF forms online that can be downloaded
and filed by mail or fax. Any person specifically contacted by BEA must respond by filing either
a completed survey or a Claim for Exemption. BEA has dedicated staff available to answer
respondent questions via email or phone. Nonrespondents will be sent follow-up notices and
contacted by survey staff to solicit a response; and in the event of continued nonresponse, will be
referred to the Office of the General Counsel for further action, including possible referral to the
Justice Department.
The response rates described in B.1., together with the estimation procedures described in B.2.,
provide information of sufficient accuracy and reliability for the intended purpose.
4. Describe any tests of procedures or methods to be undertaken. Tests are encouraged as
effective means to refine collections, but if ten or more test respondents are involved OMB
must give prior approval.
No tests were conducted (aside from giving respondents the opportunity to comment on
proposed changes, as described in A.8., above).

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5. Provide the name and telephone number of individuals consulted on the statistical
aspects of the design, and the name of the agency unit, contractor(s), grantee(s), or other
person(s) who will actually collect and/or analyze the information for the agency.
The survey is designed and conducted within BEA by the Multinational Operations Branch
(MOB) of the Direct Investment Division (DID). For further information, contact Ricardo Limes,
Chief, MOB, via email at Ricardo.limes@bea.gov or by phone at 301-278-9659. The survey
proposal was reviewed and approved by BEA’s Source Data Improvement and Evaluation
Program (SDIEP). The SDIEP coordinator is Tiffany Burrell, (301) 278-9618.

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