Statement of Material Change, Merger, Acquisition, or Divestiture of a Registered Party

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form DS-7789 Statement of Material Change	Form and Instruction	New	Available
FINAL 1405-XXXX DS-7789 Supporting Statement 4-27-2016.docx	Supporting Statement A	Uploaded 2017-04-28	Available
UTC Comments_Material Change Form DS-7789_August 10, 2016.pdf	Public Comments	Uploaded 2016-08-10	Repair queued
Response to Request for Comment (Form DS 7789).pdf	Public Comments	Uploaded 2016-08-15	Repair queued
Raytheon Comments on DDTC proposed forms (Licensing, Material Change, VD) (submitted to DDTC 8.19.16).pdf	Public Comments	Uploaded 2016-08-19	Repair queued
Miller and Chevalier Chartered Comments on Proposed Information Collecti....pdf	Public Comments	Uploaded 2016-08-16	Repair queued
Flex Comments to DDTC about change of rules for Acquisitions an.pdf	Public Comments	Uploaded 2016-07-12	Repair queued
Comments to DDTC Forms Material change of Registered companies due August 19, 2016.pdf	Public Comments	Uploaded 2016-07-12	Repair queued
AIA_Comments_on_DS_7789.pdf	Public Comments	Uploaded 2016-08-19	Repair queued
7789 PUBLIC COMMENT.pdf	Public Comments	Uploaded 2016-07-12	Repair queued
[FINAL] 1405-XXXX DS-7789 Material Change Legal Authorities.docx	Supplementary Document	Uploaded 2017-04-28	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
226586	Statement of Material Change, Merger, Acquisition, or Divestiture of a Registered Party	Form and Instruction	New	Statement of Material Change

ICR Details

OMB Control No: 1405-0227	ICR Reference No: 201704-1405-006
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: STATE/AFA	Agency Tracking No:
Title: Statement of Material Change, Merger, Acquisition, or Divestiture of a Registered Party
Type of Information Collection: Existing collection in use without an OMB Control Number	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/06/2017
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/28/2017
Terms of Clearance: State will obtain approval from OMB prior to launching a new electronic form.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2020	36 Months From Approved
Responses	1,700	0	0
Time Burden (Hours)	3,400	0	0
Cost Burden (Dollars)	59,500	0	0

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Abstract: The International Traffic in Arms Regulations (ITAR) §§ 122.4 and 129.8 require registrants to notify the Directorate of Defense Trade Controls of the Department of State in the event of a change in registration information, in the event a foreign person or entity acquires a registered entity, or if the registrant is a party to a merger, acquisition, or divestiture (MAD) of an entity producing or marketing ITAR-controlled items. Based on certain conditions enunciated in the ITAR, respondents must notify DDTC of these changes at differing intervals – no less than 60 days prior to the event and/or within 5 days of its culmination. This information is necessary for DDTC to ensure registration records are accurate and to determine whether the transaction is in compliance with the regulations (e.g. with respect to ITAR § 126.1); assess the steps that need to be taken with respect to existing authorizations (e.g. transfers of licenses); and to evaluate the implications for US national security and foreign policy. This information collection is estimated to take an average of 2 hours to execute, and DDTC expects to receive approximately 1,700 responses per year; therefore, the total burden for this collection will be 3,400 hours per year.

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Authorizing Statute(s): None

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:
	81 FR 39992	06/20/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 76992	11/04/2016
Did the Agency receive public comments on this ICR? Yes

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

table that charts list of burden

IC Title	Form No.	Form Name
Statement of Material Change, Merger, Acquisition, or Divestiture of a Registered Party	DS-7789	Statement of Material Change

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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	1,700	0	0	1,700	0	0
Annual Time Burden (Hours)	3,400	0	0	3,400	0	0
Annual Cost Burden (Dollars)	59,500	0	0	59,500	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: This is a new information collection request; however, this collection has been in place without a valid OMB control number.

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Annual Cost to Federal Government: $218,030

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: 04/28/2017

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