§ 4301. — Definitions.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC4301]
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.
(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.
(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.)
Amendments
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 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'.''
Cooperative Research and Production; Congressional Statement of Findings
and Purpose
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.''
Section Referred to in Other Sections
This section is referred to in sections 4305, 4306 of this title;
title 42 section 13541.
