Survey of U.S. Ownership of Foreign Securities

Forms and Documents

Document	Type	Status	Availability
Form TDF-SHCA Survey of U.S. Ownership of Foreign Securities	Form and Instruction	Modified	Repair queued
1505-0146 Part B (9-09).docx	Supporting Statement B	Uploaded 2009-09-30	Repair queued
1505-0146 Supporting Statement (9-09).pdf	Supporting Statement A	Uploaded 2009-09-30	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
43826	Survey of U.S. Ownership of Foreign Securities	Form and Instruction	Modified

ICR Details

OMB Control No: 1505-0146	ICR Reference No: 200909-1505-006
Status: Historical Active	Previous ICR Reference No: 200607-1505-002
Agency/Subagency: TREAS/DO	Agency Tracking No:
Title: Survey of U.S. Ownership of Foreign Securities
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/02/2009
	Date Received in OIRA: 09/30/2009
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2012	36 Months From Approved	11/30/2009
Responses	469	0	449
Time Burden (Hours)	56,080	0	40,740
Cost Burden (Dollars)	0	0	0

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Abstract: The survey will collect information on U.S. holdings of foreign securities. The information will be used in the computation of the U.S. balance of payments accounts and international investments position, as well as in the formulation of U.S. financial and monetary policies. This survey is also part of an international effort coordinated by the IMF to improve worldwide balance of payments statistics. Respondents are primarily the largest banks, securities dealers, and investors.

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Authorizing Statute(s): US Code: 22 USC 3101 Name of Law: International Investment and Trade in Services Survey Act
   EO: EO 11961 Name/Subject of EO: Implementation of the International Investment Survey Act of 1976
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 22633	05/13/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 49438	09/29/2009
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Survey of U.S. Ownership of Foreign Securities	TDF-SHCA, SCHEDULES1-2-3, TDF-SHC, SCHEDULES1-2-3	Form SHCA ,   Form SH ,   Form SHC, Schedules 1,2,3 ,   Form SHCA, Schedules 1,2,3

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	469	449	0	0	20	0
Annual Time Burden (Hours)	56,080	40,740	0	0	15,340	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The program increase of 15,340 hours is the result of an increase in the estimated number of significant respondents in the annual survey (SHCA). The number of large custodians and end-investors reporting annually, with relatively high hours per report, are estimated to increase from 32 to 91. No change in total hours is estimated for the benchmark (SHC) survey. There has been no change in the estimated average hourly burden for each group of respondents.

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Annual Cost to Federal Government: $3,657,962

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 09/30/2009

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