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Title 15 — Commerce and Trade

Chapter 69 — Cooperative Research

§ 4305. Disclosure of joint venture

Statutory text

(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 , 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 , 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), not later than 30 days after receiving a notification filed under subsection (a), 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), 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), or

(2)

if such notice is not so published within the time required by subsection (b), 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).

(d)

Exemption; disclosure; information

Except with respect to the information published pursuant to subsection (b)—

(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). Any notification so withdrawn shall not be subject to subsection (b) 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) and the fact of publication of a notice under subsection (b) 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.

Footnotes

  1. 1 So in original.

Legislative history

Reconstructed from this section’s Code source credit and amendment notes, resolved against the local Statutes at Large. Editorial notes are evidence, not the law that made the change.

  1. National Cooperative Research Act of 1984

    Pub. L. 98–462 § 6 · 98 Stat. 1815

    Enacted · 15 U.S.C. § 4305

    Pub. L. 98–462, § 6, Oct. 11, 1984, 98 Stat. 1818

    Source evidence

    Code source credit
    Pub. L. 98–462, § 6, Oct. 11, 1984, 98 Stat. 1818

    Enacted provision · exact public law section
    Sec. 6. disclosure of joint research and development venture (a) Any party to a joint research and development 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 the date of the enactment of this Act, whichever is later, file simultaneously with the Attorney General and the Commission a written notification disclosing— (1) the identities of the parties to such venture, and (2) the nature and objectives of such venture. 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 4. In order to maintain the protections of section 4, 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. (b) Except as provided in subsection (e), not later than 30 days after receiving a notification filed under subsection (a), 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. Prior to its publication, the contents of such notice shall be made available to the parties to such venture. (c) If with respect to a notification filed under subsection (a), notice is published in the Federal Register, then such notification shall operate to convey the protections of section 4 as of the earlier of— (1) the date of publication of notice under subsection (b), or (2) if such notice is not so published within the time required by subsection (b), 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). (d) Except with respect to the information published pursuant to subsection (b)— (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 research and development venture with respect to which such notification was filed, shall be exempt from disclosure under section 552 of title 5, United States Code, 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) Any person who files a notification pursuant to this section may withdraw such notification before notice of the joint research and development venture involved is published under subsection (b). Any notification so withdrawn shall not be subject to subsection (b) and shall not confer the protections of section 4 on any person with respect to whom such notification was filed. (f) 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) (1) Except as provided in paragraph (2), for the sole purpose of establishing that a person is entitled to the protections of section 4, the fact of disclosure of conduct under section 6(a) and the fact of publication of a notice under section 6(b) 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.

  2. National Cooperative Production Amendments of 1993

    Pub. L. 103–42 § 3(f)(1) · 107 Stat. 117

    Substituted · 15 U.S.C. § 4305

    Pub. L. 103–42, § 3(f)(1), substituted “joint venture” for “joint research and development venture” in section catchline

    Source evidence

    Code amendment note
    Pub. L. 103–42, § 3(f)(1), substituted “joint venture” for “joint research and development venture” in section catchline.

    Enacted provision · exact public law section
    (1) in the heading by striking “research and development”;

  3. National Cooperative Production Amendments of 1993

    Pub. L. 103–42 § 3(f)(2) · 107 Stat. 117

    1. Substituted · 15 U.S.C. § 4305(a)

      Pub. L. 103–42, § 3(f)(2), (3), substituted “joint venture” for “joint research and development venture”

    2. Substituted · 15 U.S.C. § 4305(a)

      Pub. L. 103–42, § 3(f)(2), (3), substituted “October 11, 1984” for “the date of the enactment of this Act”

    3. Added · 15 U.S.C. § 4305(a)

      Pub. L. 103–42, § 3(f)(2), (3), added par. (3)

    Source evidence

    Code amendment note
    Subsec. (a). Pub. L. 103–42, § 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).

    Enacted provision · exact public law section
    (2) in subsection (a)— (A) by striking “the date of the enactment of this Act” and inserting “October 11, 1984”; (B) in paragraph (1) by striking “and” at the end; (C) in paragraph (2) by striking the period at the end and inserting “, and”; and (D) by inserting the following after paragraph (2): “(3) if a purpose of such venture is the production of a product, process, or service, as referred to in section 2(a)(6)(D), 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.”; and

  4. National Cooperative Production Amendments of 1993

    Pub. L. 103–42 § 3(f)(3) · 107 Stat. 117

    Substituted · 15 U.S.C. § 4305(d)(2); 15 U.S.C. § 4305(d)(e)

    Pub. L. 103–42, § 3(f)(3), substituted “joint venture” for “joint research and development venture”

    Source evidence

    Code amendment note
    Subsecs. (d)(2), (e). Pub. L. 103–42, § 3(f)(3), substituted “joint venture” for “joint research and development venture”.

    Enacted provision · exact public law section
    (3) in subsections (a), (d)(2), and (e) by striking “research and development” each place it appears.

  5. Standards Development Organization Advancement Act of 2004

    Pub. L. 108–237 § 107(1) · 118 Stat. 661

    1. Amended · 15 U.S.C. § 4305(a)

      Pub. L. 108–237, § 107(1), designated existing provisions as par. (1)

    2. Redesignated · 15 U.S.C. § 4305(a)

      Pub. L. 108–237, § 107(1), redesignated former pars. (1) to (3) as subpars. (A) to (C), respectively, of par. (1)

    3. Added · 15 U.S.C. § 4305(a)

      Pub. L. 108–237, § 107(1), added par. (2)

    Source evidence

    Code amendment note
    Subsec. (a). Pub. L. 108–237, § 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).

    Enacted provision · exact public law section
    (1) in subsection (a)— (A) by redesignating paragraphs (1), (2), and (3) as subparagraphs (A), (B), and (C), respectively, (B) by inserting “(1)” after “(a)”, and (C) by adding at the end the following: “(2) A Deadline. 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 voluntary consensus standards or not later than 90 days after the date of the enactment of the Standards Development Organization Advancement Act of 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 4 to standards development activities that are not covered by the initial filing or that have changed significantly since the initial filing.”,

  6. Standards Development Organization Advancement Act of 2004

    Pub. L. 108–237 § 107(2) · 118 Stat. 661

    Inserted · 15 U.S.C. § 4305(b)

    Pub. L. 108–237, § 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

    Source evidence

    Code amendment note
    Subsec. (b). Pub. L. 108–237, § 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.

    Enacted provision · exact public law section
    (2) in subsection (b)— (A) in the 1st sentence by inserting “, 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 the period at the end, and (B) in the last sentence by inserting “or available to such organization, as the case may be” before the period,

  7. Standards Development Organization Advancement Act of 2004

    Pub. L. 108–237 § 107(3) · 118 Stat. 661

    Inserted · 15 U.S.C. § 4305(d)(2)

    Pub. L. 108–237, § 107(3), inserted “, or the standards development activity,” after “venture”

    Source evidence

    Code amendment note
    Subsec. (d)(2). Pub. L. 108–237, § 107(3), inserted “, or the standards development activity,” after “venture”.

    Enacted provision · exact public law section
    (3) in subsection (d)(2) by inserting “, or the standards development activity,” after “venture”,

  8. Standards Development Organization Advancement Act of 2004

    Pub. L. 108–237 § 107(4) · 118 Stat. 661

    1. Substituted · 15 U.S.C. § 4305(e)

      Pub. L. 108–237, § 107(4), substituted “person or standards development organization that” for “person who”

    2. Inserted · 15 U.S.C. § 4305(e)

      Pub. L. 108–237, § 107(4), inserted “or any standards development organization” after “on any person”

    Source evidence

    Code amendment note
    Subsec. (e). Pub. L. 108–237, § 107(4), substituted “person or standards development organization that” for “person who” and inserted “or any standards development organization” after “on any person”.

    Enacted provision · exact public law section
    (4) in subsection (e)— (A) by striking “person who” and inserting “person or standards development organization that”, and (B) by inserting “or any standards development organization” after “person” the last place it appears, and

  9. Standards Development Organization Advancement Act of 2004

    Pub. L. 108–237 § 107(5) · 118 Stat. 661

    Inserted · 15 U.S.C. § 4305(g)(1)

    Pub. L. 108–237, § 107(5), inserted “or standards development organization” after “person”

    Source evidence

    Code amendment note
    Subsec. (g)(1). Pub. L. 108–237, § 107(5), inserted “or standards development organization” after “person”.

    Enacted provision · exact public law section
    (5) in subsection (g)(1) by inserting “or standards development organization” after “person”.

14 of 14 references resolved to an enrolled provision

Editorial Notes

Amendments1993–2004 · 2 rounds

2004

Subsec. (a). Pub. L. 108–237, § 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, § 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, § 107(3), inserted “, or the standards development activity,” after “venture”.

Subsec. (e). Pub. L. 108–237, § 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, § 107(5), inserted “or standards development organization” after “person”.

1993

Pub. L. 103–42, § 3(f)(1), substituted “joint venture” for “joint research and development venture” in section catchline.

Subsec. (a). Pub. L. 103–42, § 3(f)(2), (3), substituted “joint venture” for “joint research and development venture” and “” for “the date of the enactment of this Act” and added par. (3).

Subsecs. (d)(2), (e). Pub. L. 103–42, § 3(f)(3), substituted “joint venture” for “joint research and development venture”.

Statutory Notes and Related Subsidiaries

Reports on Joint Ventures and United States Competitiveness

Pub. L. 103–42, § 4, , 107 Stat. 120, 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 [], 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 [], 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 [], 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.”

Credits

1984–2004 · 3 acts
  1. 1984Pub. L. 98–462, § 6, , 98 Stat. 1818
  2. 1993Pub. L. 103–42, § 3(f), , 107 Stat. 119
  3. 2004Pub. L. 108–237, title I, § 107, , 118 Stat. 664.
Show as published

(Pub. L. 98–462, § 6, , 98 Stat. 1818; Pub. L. 103–42, § 3(f), , 107 Stat. 119; Pub. L. 108–237, title I, § 107, , 118 Stat. 664.)

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