1609004 Informal Interpretation

From: 	Carson, Timothy
To:
Cc: 	Berg, Karen E.; Gillis, Diana L.; Shaffer, Kristin; Storm, Evan; Whitehead, Nora; Walsh, Kathryn E.
Subject: 	RE: DVD Filing Process
Date: 	Thursday, September 08, 2016 12:13:43 PM
1. 	Yes.
2. 	Just include pdfs of the copy signature pages on the DVD, then submit the original
signatures within two business days of filing.
3. 	The letters, certification and affidavit should be searchable PDFs.
4. 	In addition to applying the filename naming conventions, the first page of each PDF should
be labelled as one would label a paper copy. We don’t need each additional page of the PDF
to be labelled. Basically, if printed, it should look like you had submitted the document in
hard copy.
Best regards,
Timothy (Ty) Carson
Bureau of Competition
Federal Trade Commission
400 7th Street, SW
Washington, DC 20024
202.326.2627
tcarson@ftc.gov
From:
Sent: Thursday, September 08, 2016 11:23 AM
To: Walsh, Kathryn E.
Cc: Berg, Karen E.; Carson, Timothy; Gillis, Diana L.; Shaffer, Kristin; Storm, Evan; Whitehead, Nora
Subject: DVD Filing Process
Kate,
We would like to submit a filing today via DVD and have a few questions:
1. 	The Style Sheet says that “if filing by DVD, hard-copy cover letters and original signed
certifications and affidavits are required.” Are we still allowed to submit the original signature
pages within two business days of filing for DVDs like we can do with hard copies?
2. 	If we can submit original signature pages within two business days, should we submit one hard
copy of each the certification and affidavit with copy signatures on the day of filing along with
two cover letters (one for date-stamp)? Then, submit the original signatures within two business
days of filing?
3. 	The HSR Instructions state that the HSR Form must be a searchable PDF and that all other files
must be in searchable PDF or MS Excel spreadsheet format. Do the cover letters, certification,

and affidavit need to be in searchable PDF? (Please note that we plan to include both the FTC
and DOJ cover letters in the DVD.)
4. 	For the documentary attachments (e.g., Item 3(b) and 4(c) documents), is naming the file name
based on item number sufficient (e.g., 3b-1, etc.) or do we also need to include labels within the
documents themselves? The style sheet suggests the former.
Thank you,