See Notifications under the NCRP

    15 USC CHAPTER 69 - COOPERATIVE RESEARCH                    01/03/05

    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH


                     CHAPTER 69 - COOPERATIVE RESEARCH                 


    Sec.                                                     
    4301.       Definitions.                                          
    4302.       Rule of reason standard.                              
    4303.       Limitation on recovery.                               
                  (a)  Amount recoverable.                            
                  (b)  Recovery by States.                            
                  (c)  Conduct similar under State law.               
                  (d)  Interest.                                      
                  (e)  Rule of construction.                          
                  (f)  Applicability.                                 
    4304.       Award of costs, including attorney's fees, to
                 substantially prevailing party; offset.              
    4305.       Disclosure of joint venture.                          
                  (a)  Written notifications; filing.                 
                  (b)  Publication; Federal Register; notice.         
                  (c)  Effect of notice.                              
                  (d)  Exemption; disclosure; information.            
                  (e)  Withdrawal of notification.                    
                  (f)  Judicial review; inapplicable with respect to
                        notifications.                                
                  (g)  Admissibility into evidence; disclosure of
                        conduct; publication of notice; supporting or
                        answering claims under antitrust laws.        
    4306.       Application of section 4303 protections to production
                 of products, processes, and services.                



    15 USC Sec. 4301                                            01/03/05


    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH

    Sec. 4301. Definitions


      (a) For purposes of this chapter:
        (1) The term "antitrust laws" has the meaning given it in
      subsection (a) of section 12 of this title, except that such term
      includes section 45 of this title to the extent that such section
      45 of this title applies to unfair methods of competition.
        (2) The term "Attorney General" means the Attorney General of
      the United States.
        (3) The term "Commission" means the Federal Trade Commission.
        (4) The term "person" has the meaning given it in subsection
      (a) of section 12 of this title.
        (5) The term "State" has the meaning given it in section 15g(2)
      of this title.
        (6) The term "joint venture" means any group of activities,
      including attempting to make, making, or performing a contract,
      by two or more persons for the purpose of - 
          (A) theoretical analysis, experimentation, or systematic
        study of phenomena or observable facts,
          (B) the development or testing of basic engineering
        techniques,
          (C) the extension of investigative findings or theory of a
        scientific or technical nature into practical application for
        experimental and demonstration purposes, including the
        experimental production and testing of models, prototypes,
        equipment, materials, and processes,
          (D) the production of a product, process, or service,
          (E) the testing in connection with the production of a
        product, process, or service by such venture,
          (F) the collection, exchange, and analysis of research or
        production information, or
          (G) any combination of the purposes specified in
        subparagraphs (A), (B), (C), (D), (E), and (F),

      and may include the establishment and operation of facilities for
      the conducting of such venture, the conducting of such venture on
      a protected and proprietary basis, and the prosecuting of
      applications for patents and the granting of licenses for the
      results of such venture, but does not include any activity
      specified in subsection (b) of this section.
        (7) The term "standards development activity" means any action
      taken by a standards development organization for the purpose of
      developing, promulgating, revising, amending, reissuing,
      interpreting, or otherwise maintaining a voluntary consensus
      standard, or using such standard in conformity assessment
      activities, including actions relating to the intellectual
      property policies of the standards development organization.
        (8) The term "standards development organization" means a
      domestic or international organization that plans, develops,
      establishes, or coordinates voluntary consensus standards using
      procedures that incorporate the attributes of openness, balance
      of interests, due process, an appeals process, and consensus in a
      manner consistent with the Office of Management and Budget
      Circular Number A-119, as revised February 10, 1998. The term
      "standards development organization" shall not, for purposes of
      this chapter, include the parties participating in the standards
      development organization.
        (9) The term "technical standard" has the meaning given such
      term in section 12(d)(4) (!1) of the National Technology Transfer
      and Advancement Act of 1995.
        (10) The term "voluntary consensus standard" has the meaning
      given such term in Office of Management and Budget Circular
      Number A-119, as revised February 10, 1998.

      (b) The term "joint venture" excludes the following activities
    involving two or more persons:
        (1) exchanging information among competitors relating to costs,
      sales, profitability, prices, marketing, or distribution of any
      product, process, or service if such information is not
      reasonably required to carry out the purpose of such venture,
        (2) entering into any agreement or engaging in any other
      conduct restricting, requiring, or otherwise involving the
      marketing, distribution, or provision by any person who is a
      party to such venture of any product, process, or service, other
      than - 
          (A) the distribution among the parties to such venture, in
        accordance with such venture, of a product, process, or service
        produced by such venture,
          (B) the marketing of proprietary information, such as patents
        and trade secrets, developed through such venture formed under
        a written agreement entered into before June 10, 1993, or
          (C) the licensing, conveying, or transferring of intellectual
        property, such as patents and trade secrets, developed through
        such venture formed under a written agreement entered into on
        or after June 10, 1993,

        (3) entering into any agreement or engaging in any other
      conduct - 
          (A) to restrict or require the sale, licensing, or sharing of
        inventions, developments, products, processes, or services not
        developed through, or produced by, such venture, or
          (B) to restrict or require participation by any person who is
        a party to such venture in other research and development
        activities,that is not reasonably required to prevent misappropriation of
      proprietary information contributed by any person who is a party
      to such venture or of the results of such venture,
        (4) entering into any agreement or engaging in any other
      conduct allocating a market with a competitor,
        (5) exchanging information among competitors relating to
      production (other than production by such venture) of a product,
      process, or service if such information is not reasonably
      required to carry out the purpose of such venture,
        (6) entering into any agreement or engaging in any other
      conduct restricting, requiring, or otherwise involving the
      production (other than the production by such venture) of a
      product, process, or service,
        (7) using existing facilities for the production of a product,
      process, or service by such venture unless such use involves the
      production of a new product or technology, and
        (8) except as provided in paragraphs (2), (3), and (6),
      entering into any agreement or engaging in any other conduct to
      restrict or require participation by any person who is a party to
      such venture, in any unilateral or joint activity that is not
      reasonably required to carry out the purpose of such venture.

      (c) The term "standards development activity" excludes the
    following activities:
        (1) Exchanging information among competitors relating to cost,
      sales, profitability, prices, marketing, or distribution of any
      product, process, or service that is not reasonably required for
      the purpose of developing or promulgating a voluntary consensus
      standard, or using such standard in conformity assessment
      activities.
        (2) Entering into any agreement or engaging in any other
      conduct that would allocate a market with a competitor.
        (3) Entering into any agreement or conspiracy that would set or
      restrain prices of any good or service.


    (Pub. L. 98-462, Sec. 2, Oct. 11, 1984, 98 Stat. 1815; Pub. L.
    103-42, Sec. 3(b), (c), June 10, 1993, 107 Stat. 117, 118; Pub. L.
    108-237, title I, Sec. 103, June 22, 2004, 118 Stat. 663.)

                REFERENCES IN TEXT                        
      Section 12(d) of the National Technology Transfer and Advancement
    Act of 1995, referred to in subsec. (a)(9), is section 12(d) of
    Pub. L. 104-113, which is set out as a note under section 272 of
    this title.

                                AMENDMENTS                            
      2004 - Subsec. (a)(7) to (10). Pub. L. 108-237, Sec. 103(1),
    added pars. (7) to (10).
      Subsec. (c). Pub. L. 108-237, Sec. 103(2), added subsec. (c).
      1993 - Subsec. (a)(6). Pub. L. 103-42, Sec. 3(b), struck out
    "research and development" after "joint" in introductory
    provisions, inserted subpars. (D) and (E), redesignated former
    subpars. (D) and (E) as (F) and (G), respectively, inserted "or
    production" after "research" in subpar. (F), substituted "(D), (E),
    and (F)" for "and (D)" in subpar. (G), and substituted "such
    venture" for "research" after "facilities for the conducting of" in
    concluding provisions.
      Subsec. (b). Pub. L. 103-42, Sec. 3(c)(1), struck out "research
    and development" before "venture" in introductory provisions.
      Subsec. (b)(1). Pub. L. 103-42, Sec. 3(c)(2), substituted "if
    such information is not reasonably required to carry out" for "that
    is not reasonably required to conduct the research and development
    that is".
      Subsec. (b)(2). Pub. L. 103-42, Sec. 3(c)(3), amended par. (2)
    generally. Prior to amendment, par. (2) read as follows: "entering
    into any agreement or engaging in any other conduct restricting,
    requiring, or otherwise involving the production or marketing by
    any person who is a party to such venture of any product, process,
    or service, other than the production or marketing of proprietary
    information developed through such venture, such as patents and
    trade secrets, and".
      Subsec. (b)(3). Pub. L. 103-42, Sec. 3(c)(4), in subpar. (A)
    substituted ", developments, products, processes, or services not
    developed through, or produced by," for "or developments not
    developed through", in subpar. (B) substituted "any person who is a
    party to such venture" for "such party", and at end of concluding
    provisions substituted comma for period.
      Subsec. (b)(4) to (8). Pub. L. 103-42, Sec. 3(c)(5), added pars.
    (4) to (8).

                       SHORT TITLE OF 2004 AMENDMENT                   
      Pub. L. 108-237, title I, Sec. 101, June 22, 2004, 118 Stat. 661,
    provided that: "This title [amending this section and sections 4302
    to 4305 of this title and enacting provisions set out as notes
    under this section] may be cited as the 'Standards Development
    Organization Advancement Act of 2004'."

                       SHORT TITLE OF 1993 AMENDMENT                   
      Section 1 of Pub. L. 103-42 provided that: "This Act [enacting
    section 4306 of this title, amending this section and sections 4302
    to 4305 of this title, enacting provisions set out as notes under
    this section and section 4305 of this title, and amending a
    provision set out as a note under this section] may be cited as the
    'National Cooperative Production Amendments of 1993'."

                                SHORT TITLE                            
      Section 1 of Pub. L. 98-462, as amended by Pub. L. 103-42, Sec.
    3(a), June 10, 1993, 107 Stat. 117, provided that: "This Act
    [enacting this chapter] may be cited as the 'National Cooperative
    Research and Production Act of 1993'."

                      CONSTRUCTION OF 2004 AMENDMENT                  
      Pub. L. 108-237, title I, Sec. 108, June 22, 2004, 118 Stat. 665,
    provided that: "Nothing in this title [amending this section and
    sections 4302 to 4305 of this title and enacting provisions set out
    as notes under this section] shall be construed to alter or modify
    the antitrust treatment under existing law of - 
        "(1) parties participating in standards development activity of
      standards development organizations within the scope of this
      title, including the existing standard under which the conduct of
      the parties is reviewed, regardless of the standard under which
      the conduct of the standards development organizations in which
      they participate are reviewed, or
        "(2) other organizations and parties engaged in
      standard-setting processes not within the scope of this amendment
      to the title."

                           FINDINGS AND PURPOSE 

                      
      Pub. L. 108-237, title I, Sec. 102, June 22, 2004, 118 Stat. 661,
    provided that: "The Congress finds the following:
        "(1) In 1993, the Congress amended and renamed the National
      Cooperative Research Act of 1984 (now known as the National
      Cooperative Research and Production Act of 1993 (15 U.S.C. 4301
      et seq.)) by enacting the National Cooperative Production
      Amendments of 1993 (Public Law 103-42 [see Short Title of 1993
      Amendment note set out above]) to encourage the use of
      collaborative, procompetitive activity in the form of research
      and production joint ventures that provide adequate disclosure to
      the antitrust enforcement agencies about the nature and scope of
      the activity involved.
        "(2) Subsequently, in 1995, the Congress in enacting the
      National Technology Transfer and Advancement Act of 1995 (15
      U.S.C. 272 note) [Pub. L. 104-113; see Short Title of 1996
      Amendment note set out under section 3701 of this title]
      recognized the importance of technical standards developed by
      voluntary consensus standards bodies to our national economy by
      requiring the use of such standards to the extent practicable by
      Federal agencies and by encouraging Federal agency
      representatives to participate in ongoing standards development
      activities. The Office of Management and Budget on February 18,
      1998, revised Circular A-119 to reflect these changes made in
      law.
        "(3) Following enactment of the National Technology Transfer
      and Advancement Act of 1995, technical standards developed or
      adopted by voluntary consensus standards bodies have replaced
      thousands of unique Government standards and specifications
      allowing the national economy to operate in a more unified
      fashion.
        "(4) Having the same technical standards used by Federal
      agencies and by the private sector permits the Government to
      avoid the cost of developing duplicative Government standards and
      to more readily use products and components designed for the
      commercial marketplace, thereby enhancing quality and safety and
      reducing costs.
        "(5) Technical standards are written by hundreds of nonprofit
      voluntary consensus standards bodies in a nonexclusionary
      fashion, using thousands of volunteers from the private and
      public sectors, and are developed under the standards development
      principles set out in Circular Number A-119, as revised February
      18, 1998, of the Office of Management and Budget, including
      principles that require openness, balance, transparency,
      consensus, and due process. Such principles provide for - 
          "(A) notice to all parties known to be affected by the
        particular standards development activity,
          "(B) the opportunity to participate in standards development
        or modification,
          "(C) balancing interests so that standards development
        activities are not dominated by any single group of interested
        persons,
          "(D) readily available access to essential information
        regarding proposed and final standards,
          "(E) the requirement that substantial agreement be reached on
        all material points after the consideration of all views and
        objections, and
          "(F) the right to express a position, to have it considered,
        and to appeal an adverse decision.
        "(6) There are tens of thousands of voluntary consensus
      standards available for government use. Most of these standards
      are kept current through interim amendments and interpretations,
      issuance of addenda, and periodic reaffirmation, revision, or
      reissuance every 3 to 5 years.
        "(7) Standards developed by government entities generally are
      not subject to challenge under the antitrust laws.
        "(8) Private developers of the technical standards that are
      used as Government standards are often not similarly protected,
      leaving such developers vulnerable to being named as codefendants
      in lawsuits even though the likelihood of their being held liable
      is remote in most cases, and they generally have limited
      resources to defend themselves in such lawsuits.
        "(9) Standards development organizations do not stand to
      benefit from any antitrust violations that might occur in the
      voluntary consensus standards development process.
        "(10) As was the case with respect to research and production
      joint ventures before the passage of the National Cooperative
      Research and Production Act of 1993, if relief from the threat of
      liability under the antitrust laws is not granted to voluntary
      consensus standards bodies, both regarding the development of new
      standards and efforts to keep existing standards current, such
      bodies could be forced to cut back on standards development
      activities at great financial cost both to the Government and to
      the national economy."
      Section 2 of Pub. L. 103-42 provided that:
      "(a) Findings. - The Congress finds that - 
        "(1) technological innovation and its profitable
      commercialization are critical components of the ability of the
      United States to raise the living standards of Americans and to
      compete in world markets;
        "(2) cooperative arrangements among nonaffiliated businesses in
      the private sector are often essential for successful
      technological innovation; and
        "(3) the antitrust laws may have been mistakenly perceived to
      inhibit procompetitive cooperative innovation arrangements, and
      so clarification serves a useful purpose in helping to promote
      such arrangements.
      "(b) Purpose. - It is the purpose of this Act [see Short Title of
    1993 Amendment note above] to promote innovation, facilitate trade,
    and strengthen the competitiveness of the United States in world
    markets by clarifying the applicability of the rule of reason
    standard and establishing a procedure under which businesses may
    notify the Department of Justice and Federal Trade Commission of
    their cooperative ventures and thereby qualify for a single-damages
    limitation on civil antitrust liability."

-FOOTNOTE-
    (!1) So in original. Probably should be section "12(d)(5)".


-End-




 15 USC Sec. 4302                                            01/03/05


    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH


    Sec. 4302. Rule of reason standard


      In any action under the antitrust laws, or under any State law
    similar to the antitrust laws, the conduct of - 
        (1) any person in making or performing a contract to carry out
      a joint venture, or
        (2) a standards development organization while engaged in a
      standards development activity,

    shall not be deemed illegal per se; such conduct shall be judged on
    the basis of its reasonableness, taking into account all relevant
    factors affecting competition, including, but not limited to,
    effects on competition in properly defined, relevant research,
    development, product, process, and service markets. For the purpose
    of determining a properly defined, relevant market, worldwide
    capacity shall be considered to the extent that it may be
    appropriate in the circumstances.


    (Pub. L. 98-462, Sec. 3, Oct. 11, 1984, 98 Stat. 1816; Pub. L.
    103-42, Sec. 3(d), June 10, 1993, 107 Stat. 119; Pub. L. 108-237,
    title I, Sec. 104, June 22, 2004, 118 Stat. 663.)



                                AMENDMENTS                            
      2004 - Pub. L. 108-237 substituted "of - 
        "(1) any person in making or performing a contract to carry out
      a joint venture, or
        "(2) a standards development organization while engaged in a
      standards development activity,
    shall" for "of any person in making or performing a contract to
    carry out a joint venture shall".
      1993 - Pub. L. 103-42 substituted "joint venture" for "joint
    research and development venture" and ", development, product,
    process, and service" for "and development" and inserted at end
    "For the purpose of determining a properly defined, relevant
    market, worldwide capacity shall be considered to the extent that
    it may be appropriate in the circumstances."

-End-




    15 USC Sec. 4303                                            01/03/05

    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH


    Sec. 4303. Limitation on recovery

-STATUTE-
    (a) Amount recoverable
      Notwithstanding section 15 of this title and in lieu of the
    relief specified in such section, any person who is entitled to
    recovery on a claim under such section shall recover the actual
    damages sustained by such person, interest calculated at the rate
    specified in section 1961 of title 28 on such actual damages as
    specified in subsection (d) of this section, and the cost of suit
    attributable to such claim, including a reasonable attorney's fee
    pursuant to section 4304 of this title if such claim - 
        (1) results from conduct that is within the scope of a
      notification that has been filed under section 4305(a) of this
      title for a joint venture, or for a standards development
      activity engaged in by a standards development organization
      against which such claim is made, and
        (2) is filed after such notification becomes effective pursuant
      to section 4305(c) of this title.
    (b) Recovery by States
      Notwithstanding section 15c of this title, and in lieu of the
    relief specified in such section, any State that is entitled to
    monetary relief on a claim under such section shall recover the
    total damage sustained as described in subsection (a)(1) of such
    section, interest calculated at the rate specified in section 1961
    of title 28 on such total damage as specified in subsection (d) of
    this section, and the cost of suit attributable to such claim,
    including a reasonable attorney's fee pursuant to section 15c of
    this title if such claim - 
        (1) results from conduct that is within the scope of a
      notification that has been filed under section 4305(a) of this
      title for a joint venture, or for a standards development
      activity engaged in by a standards development organization
      against which such claim is made, and
        (2) is filed after such notification becomes effective pursuant
      to section 4305(c) of this title.
    (c) Conduct similar under State law
      Notwithstanding any provision of any State law providing damages
    for conduct similar to that forbidden by the antitrust laws, any
    person who is entitled to recovery on a claim under such provision
    shall not recover in excess of the actual damages sustained by such
    person, interest calculated at the rate specified in section 1961
    of title 28 on such actual damages as specified in subsection (d)
    of this section, and the cost of suit attributable to such claim,
    including a reasonable attorney's fee pursuant to section 4304 of
    this title if such claim - 
        (1) results from conduct that is within the scope of a
      notification that has been filed under section 4305(a) of this
      title for a joint venture, or for a standards development
      activity engaged in by a standards development organization
      against which such claim is made, and
        (2) is filed after notification has become effective pursuant
      to section 4305(c) of this title.
    (d) Interest
      Interest shall be awarded on the damages involved for the period
    beginning on the earliest date for which injury can be established
    and ending on the date of judgment, unless the court finds that the
    award of all or part of such interest is unjust in the
    circumstances.
    (e) Rule of construction
      Subsections (a), (b), and (c) of this section shall not be
    construed to modify the liability under the antitrust laws of any
    person (other than a standards development organization) who - 
        (1) directly (or through an employee or agent) participates in
      a standards development activity with respect to which a
      violation of any of the antitrust laws is found,
        (2) is not a fulltime employee of the standards development
      organization that engaged in such activity, and
        (3) is, or is an employee or agent of a person who is, engaged
      in a line of commerce that is likely to benefit directly from the
      operation of the standards development activity with respect to
      which such violation is found.
    (f) Applicability
      This section shall be applicable only if the challenged conduct
    of a person defending against a claim is not in violation of any
    decree or order, entered or issued after October 11, 1984, in any
    case or proceeding under the antitrust laws or any State law
    similar to the antitrust laws challenging such conduct as part of a
    joint venture, or of a standards development activity engaged in by
    a standards development organization.

-SOURCE-
    (Pub. L. 98-462, Sec. 4, Oct. 11, 1984, 98 Stat. 1816; Pub. L.
    103-42, Sec. 3(e)(1), June 10, 1993, 107 Stat. 119; Pub. L.
    108-237, title I, Sec. 105, June 22, 2004, 118 Stat. 663.)



                                AMENDMENTS                            
      2004 - Subsecs. (a)(1), (b)(1), (c)(1). Pub. L. 108-237, Sec.
    105(1), inserted ", or for a standards development activity engaged
    in by a standards development organization against which such claim
    is made" after "joint venture".
      Subsec. (e). Pub. L. 108-237, Sec. 105(3), added subsec. (e).
    Former subsec. (e) redesignated (f).
      Pub. L. 108-237, Sec. 105(2)(A), inserted ", or of a standards
    development activity engaged in by a standards development
    organization" before period at end.
      Subsec. (f). Pub. L. 108-237, Sec. 105(2)(B), redesignated
    subsec. (e) as (f).
      1993 - Subsecs. (a) to (c). Pub. L. 103-42, Sec. 3(e)(1)(A), (B),
    in introductory provisions inserted "of this section" after
    "subsection (d)" and in par. (1) substituted "joint venture" for
    "joint research and development venture".
      Subsec. (e). Pub. L. 103-42, Sec. 3(e)(1)(A), (C), substituted
    "October 11, 1984," for "the effective date of this Act" and
    substituted "joint venture" for "joint research and development
    venture".

-End-




    15 USC Sec. 4304                                            01/03/05


    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH


    Sec. 4304. Award of costs, including attorney's fees, to
      substantially prevailing party; offset

-STATUTE-
      (a) Notwithstanding sections 15 and 26 of this title, in any
    claim under the antitrust laws, or any State law similar to the
    antitrust laws, based on the conducting of a joint venture, or of a
    standards development activity engaged in by a standards
    development organization, the court shall, at the conclusion of the
    action - 
        (1) award to a substantially prevailing claimant the cost of
      suit attributable to such claim, including a reasonable
      attorney's fee, or
        (2) award to a substantially prevailing party defending against
      any such claim the cost of suit attributable to such claim,
      including a reasonable attorney's fee, if the claim, or the
      claimant's conduct during the litigation of the claim, was
      frivolous, unreasonable, without foundation, or in bad faith.

      (b) The award made under subsection (a) of this section may be
    offset in whole or in part by an award in favor of any other party
    for any part of the cost of suit, including a reasonable attorney's
    fee, attributable to conduct during the litigation by any
    prevailing party that the court finds to be frivolous,
    unreasonable, without foundation, or in bad faith.
      (c) Subsections (a) and (b) of this section shall not apply with
    respect to any person who - 
        (1) directly participates in a standards development activity
      with respect to which a violation of any of the antitrust laws is
      found,
        (2) is not a fulltime employee of a standards development
      organization that engaged in such activity, and
        (3) is, or is an employee or agent of a person who is, engaged
      in a line of commerce that is likely to benefit directly from the
      operation of the standards development activity with respect to
      which such violation is found.

-SOURCE-
    (Pub. L. 98-462, Sec. 5, Oct. 11, 1984, 98 Stat. 1817; Pub. L.
    103-42, Sec. 3(e)(2), June 10, 1993, 107 Stat. 119; Pub. L.
    108-237, title I, Sec. 106, June 22, 2004, 118 Stat. 664.)



                                AMENDMENTS                            
      2004 - Subsec. (a). Pub. L. 108-237, Sec. 106(1), inserted ", or
    of a standards development activity engaged in by a standards
    development organization" after "joint venture" in introductory
    provisions.
      Subsec. (c). Pub. L. 108-237, Sec. 106(2), added subsec. (c).
      1993 - Subsec. (a). Pub. L. 103-42 substituted "joint venture"
    for "joint research and development venture" in introductory
    provisions.

-End-




    15 USC Sec. 4305                                            01/03/05


    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH


    Sec. 4305. Disclosure of joint venture

-STATUTE-
    (a) Written notifications; filing
      (1) Any party to a joint venture, acting on such venture's
    behalf, may, not later than 90 days after entering into a written
    agreement to form such venture or not later than 90 days after
    October 11, 1984, whichever is later, file simultaneously with the
    Attorney General and the Commission a written notification
    disclosing - 
        (A) the identities of the parties to such venture,
        (B) the nature and objectives of such venture, and
        (C) if a purpose of such venture is the production of a
      product, process, or service, as referred to in section
      4301(a)(6)(D) of this title, the identity and nationality of any
      person who is a party to such venture, or who controls any party
      to such venture whether separately or with one or more other
      persons acting as a group for the purpose of controlling such
      party.

    Any party to such venture, acting on such venture's behalf, may
    file additional disclosure notifications pursuant to this section
    as are appropriate to extend the protections of section 4303 of
    this title. In order to maintain the protections of section 4303 of
    this title, such venture shall, not later than 90 days after a
    change in its membership, file simultaneously with the Attorney
    General and the Commission a written notification disclosing such
    change.
      (2) A standards development organization may, not later than 90
    days after commencing a standards development activity engaged in
    for the purpose of developing or promulgating a (!1) voluntary
    consensus standards or not later than 90 days after June 22, 2004,
    whichever is later, file simultaneously with the Attorney General
    and the Commission, a written notification disclosing - 

        (A) the name and principal place of business of the standards
      development organization, and
        (B) documents showing the nature and scope of such activity.

    Any standards development organization may file additional
    disclosure notifications pursuant to this section as are
    appropriate to extend the protections of section 4303 of this title
    to standards development activities that are not covered by the
    initial filing or that have changed significantly since the initial
    filing.
    (b) Publication; Federal Register; notice
      Except as provided in subsection (e) of this section, not later
    than 30 days after receiving a notification filed under subsection
    (a) of this section, the Attorney General or the Commission shall
    publish in the Federal Register a notice with respect to such
    venture that identifies the parties to such venture and that
    describes in general terms the area of planned activity of such
    venture, or a notice with respect to such standards development
    activity that identifies the standards development organization
    engaged in such activity and that describes such activity in
    general terms. Prior to its publication, the contents of such
    notice shall be made available to the parties to such venture or
    available to such organization, as the case may be.
    (c) Effect of notice
      If with respect to a notification filed under subsection (a) of
    this section, notice is published in the Federal Register, then
    such notification shall operate to convey the protections of
    section 4303 of this title as of the earlier of - 
        (1) the date of publication of notice under subsection (b) of
      this section, or
        (2) if such notice is not so published within the time required
      by subsection (b) of this section, after the expiration of the
      30-day period beginning on the date the Attorney General or the
      Commission receives the applicable information described in
      subsection (a) of this section.
    (d) Exemption; disclosure; information
      Except with respect to the information published pursuant to
    subsection (b) of this section - 
        (1) all information and documentary material submitted as part
      of a notification filed pursuant to this section, and
        (2) all other information obtained by the Attorney General or
      the Commission in the course of any investigation, administrative
      proceeding, or case, with respect to a potential violation of the
      antitrust laws by the joint venture, or the standards development
      activity, with respect to which such notification was filed,

    shall be exempt from disclosure under section 552 of title 5, and
    shall not be made publicly available by any agency of the United
    States to which such section applies except in a judicial or
    administrative proceeding in which such information and material is
    subject to any protective order.
    (e) Withdrawal of notification
      Any person or standards development organization that files a
    notification pursuant to this section may withdraw such
    notification before notice of the joint venture involved is
    published under subsection (b) of this section. Any notification so
    withdrawn shall not be subject to subsection (b) of this section
    and shall not confer the protections of section 4303 of this title
    on any person or any standards development organization with
    respect to whom such notification was filed.
    (f) Judicial review; inapplicable with respect to notifications
      Any action taken or not taken by the Attorney General or the
    Commission with respect to notifications filed pursuant to this
    section shall not be subject to judicial review.
    (g) Admissibility into evidence; disclosure of conduct; publication
      of notice; supporting or answering claims under antitrust laws
      (1) Except as provided in paragraph (2), for the sole purpose of
    establishing that a person or standards development organization is
    entitled to the protections of section 4303 of this title, the fact
    of disclosure of conduct under subsection (a) of this section and
    the fact of publication of a notice under subsection (b) of this
    section shall be admissible into evidence in any judicial or
    administrative proceeding.
      (2) No action by the Attorney General or the Commission taken
    pursuant to this section shall be admissible into evidence in any
    such proceeding for the purpose of supporting or answering any
    claim under the antitrust laws or under any State law similar to
    the antitrust laws.


    (Pub. L. 98-462, Sec. 6, Oct. 11, 1984, 98 Stat. 1818; Pub. L.
    103-42, Sec. 3(f), June 10, 1993, 107 Stat. 119; Pub. L. 108-237,
    title I, Sec. 107, June 22, 2004, 118 Stat. 664.)



                                AMENDMENTS                            
      2004 - Subsec. (a). Pub. L. 108-237, Sec. 107(1), designated
    existing provisions as par. (1), redesignated former pars. (1) to
    (3) as subpars. (A) to (C), respectively, of par. (1), and added
    par. (2).
      Subsec. (b). Pub. L. 108-237, Sec. 107(2), inserted ", or a
    notice with respect to such standards development activity that
    identifies the standards development organization engaged in such
    activity and that describes such activity in general terms" before
    period at end of first sentence and "or available to such
    organization, as the case may be" before period at end of last
    sentence.
      Subsec. (d)(2). Pub. L. 108-237, Sec. 107(3), inserted ", or the
    standards development activity," after "venture".
      Subsec. (e). Pub. L. 108-237, Sec. 107(4), substituted "person or
    standards development organization that" for "person who" and
    inserted "or any standards development organization" after "on any
    person".
      Subsec. (g)(1). Pub. L. 108-237, Sec. 107(5), inserted "or
    standards development organization" after "person".
      1993 - Pub. L. 103-42, Sec. 3(f)(1), substituted "joint venture"
    for "joint research and development venture" in section catchline.
      Subsec. (a). Pub. L. 103-42, Sec. 3(f)(2), (3), substituted
    "joint venture" for "joint research and development venture" and
    "October 11, 1984" for "the date of the enactment of this Act" and
    added par. (3).
      Subsecs. (d)(2), (e). Pub. L. 103-42, Sec. 3(f)(3), substituted
    "joint venture" for "joint research and development venture".

        REPORTS ON JOINT VENTURES AND UNITED STATES COMPETITIVENESS    
      Section 4 of Pub. L. 103-42 provided that:
      "(a) Purpose. - The purpose of the reports required by this
    section is to inform Congress and the American people of the effect
    of the National Cooperative Research and Production Act of 1993 [15
    U.S.C. 4301 et seq.] on the competitiveness of the United States in
    key technological areas of research, development, and production.
      "(b) Annual Report by the Attorney General. - In the 30-day
    period beginning at each 1-year interval in the 6-year period
    beginning on the date of the enactment of this Act [June 10, 1993],
    the Attorney General shall submit to the Committee on the Judiciary
    of the House of Representatives and the Committee on the Judiciary
    of the Senate - 
        "(1) a list of joint ventures for which notice was filed under
      section 6(a) of the National Cooperative Research and Production
      Act of 1993 [15 U.S.C. 4305(a)] during the 12-month period for
      which such report is made, including - 
          "(A) the purpose of each joint venture;
          "(B) the identity of each party described in section 6(a)(1)
        of such Act; and
          "(C) the identity and nationality of each person described in
        section 6(a)(3) of such Act; and
        "(2) a list of cases and proceedings, if any, brought during
      such period under the antitrust laws by the Department of
      Justice, and by the Federal Trade Commission, with respect to
      joint ventures for which notice was filed under such section at
      any time.
      "(c) Triennial Report by the Attorney General. - In the 30-day
    period beginning at each 3-year interval in the 6-year period
    beginning on the date of the enactment of this Act [June 10, 1993],
    the Attorney General, after consultation with such other agencies
    as the Attorney General considers to be appropriate, shall submit
    to the Committee on the Judiciary of the House of Representatives
    and the Committee on the Judiciary of the Senate a description of
    the technological areas most commonly pursued by joint ventures for
    production for which notice was filed under section 6(a) of the
    National Cooperative Research and Production Act of 1993 [15 U.S.C.
    4305(a)] during the 3-year period for which such report is made,
    and an analysis of the trends in the competitiveness of United
    States industry in such areas.
      "(d) Review of Antitrust Treatment Under Foreign Laws. - In the
    three 30-day periods beginning 1 year, 3 years, and 6 years after
    the date of the enactment of this Act [June 10, 1993], the Attorney
    General, after consultation with such other agencies as the
    Attorney General considers to be appropriate, shall submit to the
    Committee on the Judiciary of the House of Representatives and the
    Committee on the Judiciary of the Senate a report on the antitrust
    treatment of United States businesses with respect to participation
    in joint ventures for production, under the law of each foreign
    nation any of whose domestic businesses disclosed its nationality
    under section 6(a)(3) of the National Cooperative Research and
    Production Act of 1993 [15 U.S.C. 4305(a)(3)] at any time."

-FOOTNOTE-
    (!1) So in original.


-End-




    15 USC Sec. 4306                                            01/03/05


    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 69 - COOPERATIVE RESEARCH


    Sec. 4306. Application of section 4303 protections to production of
      products, processes, and services

-STATUTE-
      Notwithstanding sections 4303 and 4305 of this title, the
    protections of section 4303 of this title shall not apply with
    respect to a joint venture's production of a product, process, or
    service, as referred to in section 4301(a)(6)(D) of this title,
    unless - 
        (1) the principal facilities for such production are located in
      the United States or its territories, and
        (2) each person who controls any party to such venture
      (including such party itself) is a United States person, or a
      foreign person from a country whose law accords antitrust
      treatment no less favorable to United States persons than to such
      country's domestic persons with respect to participation in joint
      ventures for production.


    (Pub. L. 98-462, Sec. 7, as added Pub. L. 103-42, Sec. 3(g), June
    10, 1993, 107 Stat. 119.)

-End-