Portfolio 53-2nd: U.S. International Antitrust Enforcement: A Practical Guide to the Agencies' 1995 Guidelines

I. Introduction
A. Overview
B. Scope of the Guidelines

II. Threshold International Enforcement Issues
A. Jurisdiction over Import and Non-Import Commerce
1. Import commerce
2. Commerce other than imports
a. The ‘import' parenthetical
b. Two prongs of FTAIA test
i. The ‘direct, substantial, and reasonably foreseeable effect' requirement
ii. The ‘gives rise to' requirement
c. Jurisdiction over foreign market foreclosure
d. Jurisdictional vs. elemental element
3. Conduct outside the United States financed by the U.S. government
4. Jurisdiction in merger cases
B. The Development of ‘Positive Comity'
C. International Comity

III. Foreign Governmental Involvement
A. Foreign Sovereign Immunity
B. Foreign Sovereign Compulsion
1. Limitations on defense
a. Imposition of severe sanctions
b. Conduct within territory of foreign government
c. Government acting in governmental capacity
2. State action doctrine distinguished
C. Act of State Doctrine
D. Petitioning Foreign Sovereigns
E. Cooperation with Foreign Governments
1. Investigations by the agencies
2. Extraterritorial remedies
3. Antitrust cooperation agreements
4. International Antitrust Enforcement Assistance Act

IV. International Trade Issues
A. Antitrust as a Weapon of U.S. Trade Policy
B. Settlement of Unfair Trade Cases

V. Personal Jurisdiction
A. Introduction
B. Constitutional Requirements
C. Service of Process
D. Venue
E. Forum non conveniens

VI. Discovery of Evidence
A. Introduction
B. Overview
1. The Restatement approach
2. The Hague Convention
3. ‘Blocking' and secrecy statutes
4. Letters Rogatory
C. The Aerospatiale Decision
1. Litigants vs. nonparties
2. Blocking statutes
3. Statements by foreign governments
4. Special problems of foreign litigants
a. Nationality
b. Location of operations
c. Speedy and inexpensive resolution of litigation
d. Degree of ‘intrusion’ on foreign sovereignty
e. Fear of insulting foreign tribunal
5. Determining whether evidence is subject to convention procedures
D. Foreign Discovery Requests in the U.S. Under 28 U.S.C. §1782(a)

VII. Mergers
. Introductory Material
A. Relevant Market
1. Product market
2. Geographic market
B. Market Shares and Concentration
C. Barriers to Entry
D. Classification of Mergers
1. Horizontal mergers
2. Vertical mergers
3. Conglomerate mergers
E. Defenses
1. Failing company or division
2. Efficiencies
F. International Competition Offset

VIII. Joint Ventures
. Introductory Material
A. The Formation of a Joint Venture May Be a ‘Merger'
B. Joint Ventures Under Section 1 of the Sherman Act
C. Antitrust Safety Zones Under the Collaborations Guidelines

IX. Licensing of Intellectual Property

X. Vertical Restraints

XI. Monopolization
. Introductory Material
A. Cartels and Criminal Conduct

XII. Topics Omitted from the Guidelines
A. Department Participation in Private Cases
B. International Transportation
1. International aviation
2. International ocean shipping
C. Miscellaneous Antitrust Exemptions

XIII. The Changing View from Abroad
A. Introduction
B. In Search of International Antitrust Standards
C. A Sea Change in the View from Abroad
1. Preliminary efforts at multilateral agreement
2. International Competition Policy Advisory Committee (ICPAC)
3. International Competition Network
4. UNCTAD competition law and policy initiatives
D. The Future

XIV. International Approaches to Subject-Matter Jurisdiction
A. Jurisdiction Based on Territory
B. Jurisdiction Based on Nationality
C. Differences in Legal Systems