15 U.S.C. § 1312 — Civil investigative demands

(a) Issuance and service. If the Attorney General or the Assistant Attorney General in charge of DOJ’s Antitrust Division has reason to believe a person^* has relevant documents or information, that official may, before the United States starts a civil or criminal proceeding, issue and serve a written civil investigative demand. The demand may require the person to produce documents for inspection and copying, answer written questions, give oral testimony about documents or information, or provide any combination of these. This also applies to an investigation authorized by section 3 of the International Antitrust Enforcement Assistance Act of 1994. If the demand expressly seeks a “product of discovery^*,” the issuing official must serve a copy on the person from whom the discovery was obtained and tell the recipient when that copy was served.
(b) Contents. Each demand must state the nature of (1)(A) the conduct alleged to violate antitrust law^*, or (B) activities preparing for a merger, acquisition, joint venture, or similar transaction that could cause an antitrust violation^* if completed, and must state the applicable law. A document demand must (2)(A) describe the document class clearly enough for fair identification, (B) set a return date or dates allowing reasonable time to assemble the documents, and (C) identify the custodian^*. A written-question demand must (3)(A) state the questions clearly, (B) set the answer date or dates, and (C) identify the custodian. An oral-testimony demand must (4)(A) set the date, time, and place to begin, and (B) identify the antitrust investigator^* and custodian for the transcript. An express demand for a product of discovery may not be returnable until 20 days after the discovery provider was served.
(c) Protected material and discovery products.
(1) A demand may not require documents, written answers, or testimony that would be protected from disclosure under the standards for subpoenas or subpoena duces tecum issued by a United States court to aid a grand-jury investigation, or under Federal Rules of Civil Procedure discovery standards, when applying those standards is appropriate and consistent with this chapter’s provisions and purposes.
(2) An express demand for a product of discovery overrides an inconsistent order, rule, or law other than this chapter that prevents or limits disclosure to anyone. Disclosure under that demand does not waive any right or privilege of the person disclosing it, including a right or privilege that may be used to resist discovery of trial-preparation materials.
(d) Service and jurisdiction.
(1) An antitrust investigator, United States marshal, or deputy marshal may serve a demand anywhere within a United States court’s territorial jurisdiction.
(2) A demand or a section 1314 petition may be served on a person outside every United States court’s territorial jurisdiction as the Federal Rules of Civil Procedure provide for service in a foreign country. If United States courts can exercise jurisdiction consistently with due process, the District Court for the District of Columbia has the same power over that person’s compliance with this chapter as it would have if the person were physically within its jurisdiction.
(e) Service.
(1) A partnership, corporation, association, or other legal entity may be served by delivering an executed copy to a partner, executive, managing, or general agent^*, or an agent authorized by appointment or law to receive process; by delivering it to the entity’s principal office or business place; or by registered or certified mail, return receipt requested, addressed there.
(2) A natural person may be served by delivering an executed copy to that person or by registered or certified mail, return receipt requested, addressed to the person’s residence, principal office, or business place.
(f) Proof. A verified return by the server describing how service was made proves service. For registered or certified mail, it must include the post-office delivery receipt.
(g) Sworn certificates. Document production must have the sworn certificate required by the demand, signed by the natural person receiving it or, for an entity, by people who know the facts about the production. The certificate must state that all demanded documents in the recipient’s possession, custody, or control were produced and made available to the custodian.
(h) Written questions. Each question must be answered separately and fully in writing under oath. If objected to, the answer may be replaced by the reasons for objection. A sworn certificate, in the demand’s form, must state that all demanded information in the recipient’s possession, custody, control, or knowledge was submitted. A natural person signs; an entity has the responsible person or people sign.
(i) Oral examinations.
(1) Testimony must be taken before an officer authorized under United States or local law to administer oaths. The officer must swear or affirm the witness and personally, or through someone under the officer’s direction and presence, record the testimony. It must be stenographically recorded and transcribed. When complete, the officer must promptly send the transcript to the custodian.
(2) Investigators must exclude everyone except the witness, the witness’s counsel, the administering officer, and a stenographer. Section 302 does not apply.
(3) The examination must occur in the United States judicial district where the witness resides, is found, or does business, unless the investigator and witness agree to another place.
(4) After transcription, the investigator or officer must give the witness, who may have counsel, a reasonable chance to inspect it. It must be read to or by the witness unless waived. Requested changes in form or substance must be entered and identified with the witness’s reasons. The witness must sign unless the witness waives signing in writing, is ill, cannot be found, or refuses. If not signed within 30 days after a reasonable inspection opportunity, the officer or investigator signs and records the applicable fact and any stated reason.
(5) The officer must certify that the witness was sworn and that the transcript is accurate. The officer or investigator must promptly deliver the transcript to the custodian or send it to the custodian by registered or certified mail.
(6) For reasonable charges, the investigator must give a transcript copy only to the witness. For good cause, the Antitrust Division Assistant Attorney General may limit the witness to inspecting the official transcript.
(7)(A) A compelled witness may have, be represented by, and receive advice from counsel. Counsel may confidentially advise the witness about any question, at the witness’s request or counsel’s initiative. The witness or counsel may object on the record and briefly state the reason when claiming a constitutional or other legal right or privilege, including against self-incrimination. No other objection or refusal is allowed, and neither witness nor counsel may otherwise interrupt. If the witness refuses to answer, the investigator may petition under section 1314 for an order compelling an answer.
(7)(B) If refusal is based on self-incrimination, the testimony may be compelled under Part V of title 18.
(8) A person appearing for oral examination receives the same fees and mileage paid to witnesses in United States district courts.