As the economy becomes more global, there arises more need for companies doing cross-border business to pay careful attention to foreign regulations and enforcement. Among such foreign regulations and enforcement activities, US antitrust laws have significant importance in terms of their potential coverage and impact in case of violation. In particular, given the current climate in the global economy, we cannot emphasize the importance of US antitrust laws enough in doing business relating to the US. In this regard, we have prepared a series of articles introducing the basics of US antitrust laws to Chinese companies to help their understanding and compliance.
随着经济的全球化进程，那些从事跨境交易的公司就更加需要特别注意外国的法规和执法。在所有外国的法规和执法过程中，由于潜在覆盖范围和违规的影响，美国反垄断法具有十分重要的地位。值得注意的是，在目前的全球经济环境下，我们更需要对与美国相关的业务中美国反垄断法的重要性给予特别的关注。因此，本所律师准备了一系列的文章向中国公司介绍美国反垄断法的基本知识，以帮助他们深刻地理解和做好合规。
Individual cases are filed – often immediately following announcement of a DOJ criminal or civil investigation, plaintiffs' lawyers file class action lawsuits around the country. Often there are dozens of cases.
个人案件的起诉 – 常见于美国司法部刑事或民事调查公告后，原告律师在全国范围内提起集体诉讼。通常会有几十个案件。
Timeline: Most cases are filed within 2-3 months of first case filed.
时间线：大多数案件会在第一宗案件提起诉讼后的2-3个月内提起诉讼。
a. Since 2005, almost all cases are filed in federal courts.
自2005年，几乎所有的这类案件都在联邦法院提起诉讼。
b. Direct purchasers file claims under federal antitrust laws. Direct purchasers are plaintiffs who bought products directly from defendants, without any intermediaries.
直接购买人根据联邦反托拉斯法提起诉讼。直接购买人指直接向被告购买产品的原告，且无任何中间环节。
c. Indirect purchasers file claims under federal and state antitrust and unfair competition laws. Indirect purchasers are plaintiffs who bought products from entities other than defendants, such as distributors or OEMs.
非直接购买人会根据联邦和各州的反托拉斯法和不正当竞争法提起诉讼。非直接购买人是指，向除被告之外实体（例如经销商或代工商）购买产品的原告。
Cases are consolidated - individual class actions are consolidated for pretrial purposes, and transferred to a single judge into a Multi-District Litigation ("MDL") proceeding.
案件将被合并 - 个人案件将因审判程序目的被合并，并由独任法官转为跨地区诉讼（MDL）程序。
Timeline: MDL is usually created 6 months after the first case is filed. Consolidated complaints usually are filed 3-4 months after that.
a. Lead counsel for the direct and indirect plaintiffs are selected.
b. A single consolidated complaint is filed on behalf of direct purchasers, and another consolidated complaint is filed on behalf of indirect purchasers.
Motions to dismiss – defendants file motions challenging the sufficiency of the consolidated complaints.
驳回起诉动议 – 被告提交质疑合并起诉必要性的动议。
Timeline: Motions to dismiss usually are resolved 6-9 months after consolidated complaints are filed.
时间线：通常在合并诉状呈交后6-9个月后对驳回起诉动议做出裁决。
a. Motions often contend that (1) not enough facts are alleged to state a conspiracy; (2) plaintiffs do not have "standing"; (3) there are jurisdictional issues; or (4) plaintiffs have not plead all the elements of their claims.
动议一般主张(1)没有足够的事实证明共谋；(2)原告不“适格”；(3)有管辖问题；或(4)原告并不能对其主张中的每一事项陈述案情。
b. There may be multiple rounds of motions to dismiss and consolidated amended complaints, especially with indirect complaints. Defendants file answers to complaints that the Court allows to go forward. Some or all claims may be dismissed.
可能会有多轮驳回动议和对合并起诉的修改，尤其是对非直接购买人的诉状。被告对法庭准许继续进行的诉状进行答辩。部分或所有诉请可能被驳回。
Discovery – the parties are required to exchange certain initial documents and information, and then general discovery begins, which includes written discovery and depositions.
证据开示 – 各方被要求交换特定的初步文件和信息，并在此之后开始一般证据开示程序，包括书面证据开示和做作证。
Timeline: The timing and sequence of discovery varies by case, especially based on any DOJ discovery stay. Very roughly, class discovery may proceed 6-12 months after motions to dismiss are resolved; general discovery for another 12-18 months after that; and expert discovery for 3-6 months leading up to trial.
时间线：证据开示的时间和顺序依个案而异，尤其要根据司法部证据开示的暂缓指令。粗略估计，集体证据开示将在驳回动议裁决后进行6-12个月；一般证据开示将在上述集体证据开示之后再进行12-18个月；及专家证据开示将在庭审前3-6个月进行。
a. In cases with DOJ investigations, DOJ may intervene (join the action) and request a stay of some discovery while their investigation proceeds. This may delay discovery considerably.
若有司法部调查，司法部将干涉（参与诉讼）并在其调查进行时要求暂缓部分证据开示。这将很大程度推迟证据开示。
b. Usually document productions are made first, followed by depositions of the parties.
通常首先进行文件提取，在此之后才是各方证人作证。
c. Discovery often is phased. Different segments can include (1) class certification discovery; (2) general merits discovery; and (3) expert discovery.
证据开示通常是分阶段的。不同的阶段包括(1)集体确认证据开示；(2) 一般实质依据证据开示；和(3)专家证人证据开示。
Class Certification – direct and indirect plaintiffs file separate motions to certify plaintiff classes, i.e., the often very large groups of people and businesses who will be able to recover damages if the classes are certified and the named plaintiffs win at trial.
集体确认 – 直接和非直接原告呈交不同的动议以确认原告集体，即通常大部分为个人和企业；如果整个集体得到确认且指定的原告赢得诉讼，那么这些个人和企业将能够获得损害赔偿。
Timeline: Class certification briefing and decision takes 6-12 months usually.
时间线：集体确认的简报和裁定通常需要花费6-12个月。
a. Motions must show that there are common issues among class members and that the named plaintiffs claims are typical and they will represent the class fairly.
动议必须要体现该集体成员之间有共同争议点，指定原告的诉讼请求具有典型性，且其将公正地代表该集体。
b. If defendants win completely, cases are largely over. If plaintiffs win, the parties will know exactly what people and products are at issue, and over what time period. Sometimes multiple class motions are made to fix problems.
如果被告完全胜利，案件基本就结束了，如果原告胜利，各方将知晓那些个人和产品存在争议，以及所处时间段。有时，多集体动议是旨在解决问题的。
c. The direct class motion usually goes first, and is less complicated than the indirect class motion.
一般首先处理直接集体动议，且相较于非直接集体动议，直接集体动议相对不那么复杂。
d. In large antitrust cases, experts (usually economists) are always used by both sides on the class certification motions.
在大型反托拉斯案件中，专家证人（通常是经济学家）在集体确认动议中经常被原被告双方所采用。
e. If a class is certified, notice will be provided to potential class members, giving them a chance to "opt-out" and bring their own case. Large purchasers are most likely to opt-out and retain their own counsel.
如果集体被确认，潜在的集体成员将收到通知，给予其机会选择是否退出并自己提起诉讼。大型购买商通常会选择退出并自己聘用律师。
Motions for summary judgment – motions by defendants to eliminate all or part of plaintiffs' claims.
即决判决动议 – 被告撤销全部或部分原告诉讼请求的动议。
Timeline: Motions are made by defendants after or near the end of general discovery. Usually take 3-4 months for briefing and resolution.
时间线：该动议在一般证据开示结束后或将要结束时由被告提出。通常需要花费3-4个月对此做出陈述和裁决。
a. Motions argue that there is some legal defect with all or part of plaintiffs' claims.
动议主张全部或部分原告主张有法律漏洞。
b. Motions are based on facts presented to the Court through declarations and other written evidence. Motions are usually denied if there are important facts in dispute.
该动议基于通过声明和其他书面证据提供给法院的事实。若有存在争议的重要事实，该动议一般会被驳回。
Expert discovery and motions – parties always use experts at trial to help present their cases on economic and market analysis issues.
专家证人证据开示和动议 – 各方通常会在庭审中使用专家证人对有关经济和市场分析的给予支持。
Timeline: 3-6 months leading up to trial
时间线：庭审前3-6个月
a. Non-class expert discovery usually completes shortly before trial, after experts have presented detailed reports of their findings.
非集体专家证人证据开示通常在专家证人提出调查结果的详细报告后，在庭审前不久即完成。
b. The parties may challenge the qualifications and methodologies of each others' experts. These are called "Daubert" motions.
各方可对对方专家证人的资格和计算方法提出质疑。其被称为“道伯特(Daubert)”动议。
Trial – defendants must go to trial if they do not settle and/or cannot eliminate plaintiffs' claims through motions to dismiss or motions for summary judgment.
庭审 – 若被告未能和解和/或不能通过驳回动议或即决判决动议撤销原告的诉讼请求，被告则必须参与庭审。
Timeline: Scheduling of trial depends on Court's calendar and speed at which case progresses. Generally, 3-5 years after the first case is filed. Length of trial depends on which parties and claims are still involved.
时间线：庭审的时间表取决于法院对于案件进程把握的日程表和速度。一般来说，通常是第一个案件提起诉讼后的3-5年内。庭审时长取决于最终尚存的各方与诉讼请求。
a. Cases may or may not be transferred back to the original districts where they were filed for trial.
案件可能会也可能不会被移送回其最初提起诉讼或进行庭审的地区。
b. Trials may be split between direct purchaser cases; indirect purchaser cases; and opt-out cases.
直接购买人案件、非直接购买人案件和选择退出的案件的庭审可被分割进行。
c. If they lose at trial, non-settling defendants may be jointly and severally liable for all damages to plaintiffs, multiplied by three, including for sales made by other defendants
如果集体诉讼中的被告输了庭审，不和解的被告可能对原告损失承担三倍连带赔偿责任，包括由其他被告做出的销售额。
DISCLAIMER: This article is designed only to provide a general summary of US price-fixing civil class actions. It is not intended to be legal advice and should not be used as legal advice. Every legal matter depends on the facts relevant to the issue, and a general summary of US legal proceedings such as this article must not be used to answer specific legal questions. Sheppard Mullin Richter & Hampton LLP’s lawyers and employees disclaim lability for any inaccuracies or errors that may appear in this article.
免责声明：本文仅旨在提供美国价格操纵民事集体诉讼的简要概述。本文中任何内容均不意在作为法律意见，也不得被作为法律意见使用。所有法律事项均基于与之相关的事实，而类似本文的关于美国法律程序的简述不得用作对特定的法律问题的回答。美国盛智律师事务所的律师和雇员就本文中可能存在的任何不准确或错漏特此声明免责。