Hart-Scott-Rodino (Premerger notification) Rules and Report Form

Forms and Documents

Document Name	Status
Form C4 Non-index Filings Form	Modified
HSR Form Changes PRA Suppl. SS fin_mtd.pdf Supporting Statement A	2011-06-28

IC Document Collections

IC ID	Document Title	Status
42609	Non-index Filings Form	Modified
192859	Non-index filings incorporating Item 4(a) and Item 4(b) documents by reference to an Internet link	Removed
179430	Non-index Filings Requiring More Precise Valuation	Modified
179429	Index Filings	Unchanged

ICR Details

OMB Control No: 3084-0005	ICR Reference No: 201106-3084-002
Status: Historical Active	Previous ICR Reference No: 201008-3084-001
Agency/Subagency: FTC	Agency Tracking No:
Title: Hart-Scott-Rodino (Premerger notification) Rules and Report Form
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/26/2011
	Date Received in OIRA: 07/07/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2014	36 Months From Approved	06/30/2013
Responses	1,470	0	883
Time Burden (Hours)	53,756	0	33,298
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Trade Commission ("Commission" or "FTC") is amending the Hart-Scott-Rodino Premerger Notification Rules, the Premerger Notification and Report Form ("Form"), and associated Instructions in order to streamline the Form and capture new information that will help the FTC and the Antitrust Division of the Department of Justice conduct their initial review of a proposed transaction's competitive impact.

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Authorizing Statute(s): PL: Pub.L. 94 - 435 90 Stat. 1390 Name of Law: Hart-Scott-Rodino Antitrust Improvements Act of 1976
   US Code: 15 USC 18a Name of Law: Clayton Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3084-AA91	Final or interim final rulemaking	76 FR 42471	07/19/2011

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Non-index filings incorporating Item 4(a) and Item 4(b) documents by reference to an Internet link
Non-index Filings	C4	Notification and Report Form for Certain Mergers and Acquisitions (DRAFT)
Index Filings
Non-index Filings Requiring More Precise Valuation

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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	1,470	883	0	587	0	0
Annual Time Burden (Hours)	53,756	33,298	0	-17,172	37,630	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: Yes

Burden Reduction Due to: Changing Forms

Short Statement: The amendments to the HSR Rules and Notification and Report Form should reduce the time required to prepare responses for non-index filings, with an estimated net reduction of 2 hours per filing. Cumulatively, however, owing to a projected increase in the number of such filings, total burden will increase from the currently cleared estimate of 33,298 hours to 53,756 hours.

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Annual Cost to Federal Government: $5,215,715

Does this IC contain surveys, censuses, or employ statistical methods? No

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]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

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: 07/07/2011

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