§ 16. — Judgments.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC16]
TITLE 15--COMMERCE AND TRADE
CHAPTER 1--MONOPOLIES AND COMBINATIONS IN RESTRAINT OF TRADE
Sec. 16. Judgments
(a) Prima facie evidence; collateral estoppel
A final judgment or decree heretofore or hereafter rendered in any
civil or criminal proceeding brought by or on behalf of the United
States under the antitrust laws to the effect that a defendant has
violated said laws shall be prima facie evidence against such defendant
in any action or proceeding brought by any other party against such
defendant under said laws as to all matters respecting which said
judgment or decree would be an estoppel as between the parties thereto:
Provided, That this section shall not apply to consent judgments or
decrees entered before any testimony has been taken. Nothing contained
in this section shall be construed to impose any limitation on the
application of collateral estoppel, except that, in any action or
proceeding brought under the antitrust laws, collateral estoppel effect
shall not be given to any finding made by the Federal Trade Commission
under the antitrust laws or under section 45 of this title which could
give rise to a claim for relief under the antitrust laws.
(b) Consent judgments and competitive impact statements; publication in
Federal Register; availability of copies to the public
Any proposal for a consent judgment submitted by the United States
for entry in any civil proceeding brought by or on behalf of the United
States under the antitrust laws shall be filed with the district court
before which such proceeding is pending and published by the United
States in the Federal Register at least 60 days prior to the effective
date of such judgment. Any written comments relating to such proposal
and any responses by the United States thereto, shall also be filed with
such district court and published by the United States in the Federal
Register within such sixty-day period. Copies of such proposal and any
other materials and documents which the United States considered
determinative in formulating such proposal, shall also be made available
to the public at the district court and in such other districts as the
court may subsequently direct. Simultaneously with the filing of such
proposal, unless otherwise instructed by the court, the United States
shall file with the district court, publish in the Federal Register, and
thereafter furnish to any person upon request, a competitive impact
statement which shall recite--
(1) the nature and purpose of the proceeding;
(2) a description of the practices or events giving rise to the
alleged violation of the antitrust laws;
(3) an explanation of the proposal for a consent judgment,
including an explanation of any unusual circumstances giving rise to
such proposal or any provision contained therein, relief to be
obtained thereby, and the anticipated effects on competition of such
relief;
(4) the remedies available to potential private plaintiffs
damaged by the alleged violation in the event that such proposal for
the consent judgment is entered in such proceeding;
(5) a description of the procedures available for modification
of such proposal; and
(6) a description and evaluation of alternatives to such
proposal actually considered by the United States.
(c) Publication of summaries in newspapers
The United States shall also cause to be published, commencing at
least 60 days prior to the effective date of the judgment described in
subsection (b) of this section, for 7 days over a period of 2 weeks in
newspapers of general circulation of the district in which the case has
been filed, in the District of Columbia, and in such other districts as
the court may direct--
(i) a summary of the terms of the proposal for consent judgment,
(ii) a summary of the competitive impact statement filed under
subsection (b) of this section,
(iii) and a list of the materials and documents under subsection
(b) of this section which the United States shall make available for
purposes of meaningful public comment, and the place where such
materials and documents are available for public inspection.
(d) Consideration of public comments by Attorney General and publication
of response
During the 60-day period as specified in subsection (b) of this
section, and such additional time as the United States may request and
the court may grant, the United States shall receive and consider any
written comments relating to the proposal for the consent judgment
submitted under subsection (b) of this section. The Attorney General or
his designee shall establish procedures to carry out the provisions of
this subsection, but such 60-day time period shall not be shortened
except by order of the district court upon a showing that (1)
extraordinary circumstances require such shortening and (2) such
shortening is not adverse to the public interest. At the close of the
period during which such comments may be received, the United States
shall file with the district court and cause to be published in the
Federal Register a response to such comments.
(e) Public interest determination
Before entering any consent judgment proposed by the United States
under this section, the court shall determine that the entry of such
judgment is in the public interest. For the purpose of such
determination, the court may consider--
(1) the competitive impact of such judgment, including
termination of alleged violations, provisions for enforcement and
modification, duration or relief sought, anticipated effects of
alternative remedies actually considered, and any other
considerations bearing upon the adequacy of such judgment;
(2) the impact of entry of such judgment upon the public
generally and individuals alleging specific injury from the
violations set forth in the complaint including consideration of the
public benefit, if any, to be derived from a determination of the
issues at trial.
(f) Procedure for public interest determination
In making its determination under subsection (e) of this section,
the court may--
(1) take testimony of Government officials or experts or such
other expert witnesses, upon motion of any party or participant or
upon its own motion, as the court may deem appropriate;
(2) appoint a special master and such outside consultants or
expert witnesses as the court may deem appropriate; and request and
obtain the views, evaluations, or advice of any individual, group or
agency of government with respect to any aspects of the proposed
judgment or the effect of such judgment, in such manner as the court
deems appropriate;
(3) authorize full or limited participation in proceedings
before the court by interested persons or agencies, including
appearance amicus curiae, intervention as a party pursuant to the
Federal Rules of Civil Procedure, examination of witnesses or
documentary materials, or participation in any other manner and
extent which serves the public interest as the court may deem
appropriate;
(4) review any comments including any objections filed with the
United States under subsection (d) of this section concerning the
proposed judgment and the responses of the United States to such
comments and objections; and
(5) take such other action in the public interest as the court
may deem appropriate.
(g) Filing of written or oral communications with the district court
Not later than 10 days following the date of the filing of any
proposal for a consent judgment under subsection (b) of this section,
each defendant shall file with the district court a description of any
and all written or oral communications by or on behalf of such
defendant, including any and all written or oral communications on
behalf of such defendant, or other person, with any officer or employee
of the United States concerning or relevant to such proposal, except
that any such communications made by counsel of record alone with the
Attorney General or the employees of the Department of Justice alone
shall be excluded from the requirements of this subsection. Prior to the
entry of any consent judgment pursuant to the antitrust laws, each
defendant shall certify to the district court that the requirements of
this subsection have been complied with and that such filing is a true
and complete description of such communications known to the defendant
or which the defendant reasonably should have known.
(h) Inadmissibility as evidence of proceedings before the district court
and the competitive impact statement
Proceedings before the district court under subsections (e) and (f)
of this section, and the competitive impact statement filed under
subsection (b) of this section, shall not be admissible against any
defendant in any action or proceeding brought by any other party against
such defendant under the antitrust laws or by the United States under
section 15a of this title nor constitute a basis for the introduction of
the consent judgment as prima facie evidence against such defendant in
any such action or proceeding.
(i) Suspension of limitations
Whenever any civil or criminal proceeding is instituted by the
United States to prevent, restrain, or punish violations of any of the
antitrust laws, but not including an action under section 15a of this
title, the running of the statute of limitations in respect to every
private or State right of action arising under said laws and based in
whole or in part on any matter complained of in said proceeding shall be
suspended during the pendency thereof and for one year thereafter:
Provided, however, That whenever the running of the statute of
limitations in respect of a cause of action arising under section 15 or
15c of this title is suspended hereunder, any action to enforce such
cause of action shall be forever barred unless commenced either within
the period of suspension or within four years after the cause of action
accrued.
(Oct. 15, 1914, ch. 323, Sec. 5, 38 Stat. 731; July 7, 1955, ch. 283,
Sec. 2, 69 Stat. 283; Pub. L. 93-528, Sec. 2, Dec. 21, 1974, 88 Stat.
1706; Pub. L. 94-435, title III, Sec. 302(2), Sept. 30, 1976, 90 Stat.
1396; Pub. L. 96-349, Sec. 5(a), Sept. 12, 1980, 94 Stat. 1157.)
References in Text
The antitrust laws, referred to in subsecs. (a), (b), and (g) to
(i), are defined in section 12 of this title.
Amendments
1980--Subsec. (a). Pub. L. 96-349 made collateral estoppel
inapplicable in any action or proceeding brought under the antitrust
laws to any finding made by the Commission under the antitrust laws or
under section 45 of this title which could give rise to a claim for
relief under the antitrust laws; struck out ``or by the United States
under section 15a of this title,'' after ``under said laws''; and
deleted from proviso ``or to judgments or decrees entered in actions
under section 15a of this title'' after ``testimony has been taken''.
1976--Pub. L. 94-435 substituted ``private or State right of
action'' for ``private right of action'' and ``section 15 or 15c'' for
``section 15''.
1974--Subsecs. (b) to (i). Pub. L. 93-528 added subsecs. (b) to (h)
and redesignated former subsec. (b) as (i).
1955--Act July 7, 1955, substituted subsec. (a) for first paragraph,
to provide that final judgments in actions under the antitrust laws by
the United States shall be prima facie evidence in damage suits by the
United States as well as in private damage suits, and substituted
subsec. (b) for second paragraph, to provide for a one-year suspension
of limitations.
Effective Date of 1980 Amendment
Section 5(b) of Pub. L. 96-349 provided that: ``The amendments made
by this section [amending this section] shall apply only with respect to
actions commenced after the date of the enactment of this Act [Sept. 12,
1980].''
Suspension of Limitation
Act Oct. 10, 1942, ch. 589, 56 Stat. 781, as amended June 30, 1945,
ch. 213, 59 Stat. 306, provided for the suspension of any existing
statutes of limitations relating to violations of antitrust laws now
indictable or subject to civil proceedings under any existing statutes,
until June 30, 1946.
