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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form C4 Notification and Report Form for Certain Mergers and Acquisitions (DRAFT)	Form	Modified	Available
HSR-IP Licensing Final Rule Supplemental Supptg Stmt fin.pdf	Supporting Statement A	Uploaded 2013-11-19	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
42609	Non-index Filings	Instruction	Modified
42609	Non-index Filings	Form	Modified	Notification and Report Form for Certain Mergers and Acquisitions (DRAFT)
207722	Non-index filing for a withdrawn transaction not employing the two-day resubmission process		Unchanged
179430	Non-index Filings Requiring More Precise Valuation		Modified
179429	Index Filings		Modified

ICR Details

OMB Control No: 3084-0005	ICR Reference No: 201311-3084-002
Status: Historical Active	Previous ICR Reference No: 201307-3084-001
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: 12/18/2013
Retrieve Notice of Action (NOA)	Date Received in OIRA: 11/19/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2016	36 Months From Approved	08/31/2014
Responses	1,543	0	1,471
Time Burden (Hours)	56,423	0	53,759
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Trade Commission (FTC) has issued final changes to the premerger notification rules that require companies in the pharmaceutical industry to report certain proposed acquisitions of exclusive patent rights to the FTC and the Department of Justice for antitrust review. The revised rules clarify when a transfer of exclusive rights to a patent in the pharmaceutical industry results in a potentially reportable asset acquisition under the Hart Scott Rodino Act.

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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	78 FR 68705	11/15/2013

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 68705	11/15/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 68705	11/15/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
Index Filings
Non-index Filings	C4	Notification and Report Form for Certain Mergers and Acquisitions (DRAFT)
Non-index Filings Requiring More Precise Valuation
Non-index filing for a withdrawn transaction not employing the two-day resubmission process

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ICR Summary of Burden

table that charts list 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	1,543	1,471	0	0	72	0
Annual Time Burden (Hours)	56,423	53,759	0	0	2,664	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 FTC assumes that the rule will increase the number of non-index filings from 1,428 to 1,500 per year, which at 37 hours each would yield an incremental burden of 2,664 hours ((1,500 - 1,428) x 37 hours per non-index filing). Thus, added to the existing base of 53,759 hours, cumulative burden under the final amended HSR Rules totals 56,423 hours.

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Annual Cost to Federal Government: $5,341,832

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: 11/19/2013

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