View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3084-0005
ICR Reference No:
201611-3084-001
Status:
Historical Active
Previous ICR Reference No:
201311-3084-002
Agency/Subagency:
FTC
Agency Tracking No:
Title:
Hart-Scott-Rodino (Premerger notification) Rules and Report Form
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:
12/16/2016
Retrieve Notice of Action (NOA)
Date Received in OIRA:
11/14/2016
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
12/31/2019
36 Months From Approved
12/31/2016
Responses
4,564
0
1,543
Time Burden (Hours)
168,486
0
56,423
Cost Burden (Dollars)
0
0
0
Abstract:
The Federal Trade Commission seeks OMB clearance for the reporting requirements under its Hart-Scott-Rodino Antitrust Improvements Act Rules and corresponding Premerger Notification and Report Form for Certain Mergers and Acquisitions.
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
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
81 FR 53484
08/12/2016
30-day Notice:
Federal Register Citation:
Citation Date:
81 FR 79487
11/14/2016
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
3
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Non-index filing for a withdrawn transaction not employing the two-day resubmission process
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
4,564
1,543
0
0
3,021
0
Annual Time Burden (Hours)
168,486
56,423
0
0
112,063
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 large increase in estimated burden (an increase from 56,423 hours to 168,486 hours) is attributable to two factors: (1) a projected estimate of non-index filings tied to average annual increases of 27% in recent fiscal years; and (2) filing estimates based on the number of filings received, not the number of transactions reported. The second factor results in roughly a doubling of the estimated number of filings. Per transaction, usually two filings are received, one from the acquiring person and one from the acquired person when a transaction is reported.
Annual Cost to Federal Government:
$3,834,700
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
Agency Contact:
Robert Jones 202 326-3100 RJones@ftc.gov
Common Form ICR:
No
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:
11/14/2016
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