China: NDRC Soliciting Comments On The Guidelines For Business Operators' Commitments In Anti-Monopoly Cases (Draft For Comments) (In Chinese)

Last Updated: 21 March 2016
Article by AnJie Law Firm

根据国务院反垄断委员会的工作计划,我们起草了《反垄断案件经营者承诺指南》(征求意见稿)(以下称《指南》),现面向社会公开征求意见。

此次公开征求意见时间为2016年2月3日至2016年2月22日。有关单位和社会各界人士可以登陆国家发展改革委门户网站(http://www.ndrc.gov.cn)价监局子站(http://jjs.ndrc.gov.cn/)"反垄断"栏目,点击"《反垄断案件经营者承诺指南(征求意见稿)》公开征求意见",对《指南》提出意见建议,并将意见发送到国家发展改革委(价监局)。

感谢您的参与和支持!

地址:北京市西城区月坛南街38号,国家发展改革委价监局,邮编:100824。

电子邮箱:wanjiang@ndrc.gov.cn

国家发展改革委价监局

反垄断案件经营者承诺指南

(征求意见稿)

第一条 本指南的依据和意义

为了指导在反垄断案件调查过程中适用经营者承诺及中止调查、终止调查程序(以下统称"经营者承诺制度"),提高反垄断执法机构(下称执法机构)执法工作的透明度,维护经营者和消费者的合法权益,根据《中华人民共和国反垄断法》(下称《反垄断法》),制定本指南。

在反垄断案件调查中,依据《反垄断法》第四十五条的规定,被调查的经营者可以提出承诺,采取具体措施消除其行为后果,执法机构可以接受经营者的承诺,决定中止调查和终止调查。这有助于提高反垄断执法效率,节约行政执法资源,同时也能够尽快实现保护市场公平竞争,维护消费者利益和社会公共利益的目标。

第二条 经营者承诺制度的适用范围

执法机构对涉嫌垄断行为调查核实后,认为构成垄断行为的,应当依法作出处理决定,不再接受经营者提出的承诺。对于固定或者变更商品价格、限制商品生产或者销售数量、分割销售市场或者原材料采购市场的横向垄断协议案件,执法机构不应接受经营者提出的承诺,实施中止调查。

对于其他反垄断案件,经营者主动提出承诺,执法机构可以决定适用中止调查及终止调查程序。

第三条 中止调查及终止调查决定的法律后果

执法机构的中止调查及终止调查决定,不是对经营者的行为是否构成垄断行为作出认定。执法机构仍然可以依法对其他类似行为实施调查并作出行政处罚。此外,执法机构的中止调查及终止调查决定也不影响其他经营者或者消费者就该涉嫌垄断行为向人民法院提起民事诉讼,中止调查及终止调查决定也不应作为认定该行为构成垄断行为的相关证据。

第四条 经营者提出与撤回承诺

在执法机构开始调查经营者的涉嫌垄断行为后、作出行政处罚事先告知前的任何阶段,经营者都可以提出承诺,申请中止调查。

执法机构作出中止调查决定前,经营者也可以撤回承诺。经营者决定撤回的,执法机构将及时终止对经营者承诺的审查程序,继续对该涉嫌垄断行为进行调查,并不再接受经营者提出的承诺。

第五条 经营者提出承诺前与执法机构的沟通

执法机构鼓励经营者在尽可能早的阶段提出承诺。经营者提出承诺前,可以与执法机构进行必要的沟通。

执法机构认为相关案件适宜适用中止调查程序的,可以告知经营者涉嫌垄断行为的基本事实以及可能造成的影响,并可以与经营者进行沟通。在沟通基础上,由经营者自愿提出申请。

第六条 经营者承诺的初步审查

经营者应当以书面形式提出承诺、申请中止调查。书面申请应当载明下列事项:

(一)被调查的涉嫌垄断行为及可能造成的影响;

(二)承诺采取消除行为后果的具体措施;

(三)履行承诺的期限及方式;

(四)需要承诺的其他内容。

执法机构一般应当在收到申请后的一个月内,就案件是否适宜中止调查、经营者申请的时间、方式等进行初步审查,并将审查结果书面告知经营者。

第七条 经营者的承诺措施

经营者提出的承诺措施可以是行为性、结构性或者是二者相结合的措施。承诺措施应当是明确、可行且可以自主实施的。如果承诺措施未经第三方同意而无法实施,经营者应当提交第三方同意的书面意见。

前款所指的行为性措施包括开放网络或者平台等基础设施,许可专利、技术秘密或者其他知识产权,终止排他性协议等;结构性措施包括剥离有形资产、知识产权等无形资产或者相关权益等。

第八条 经营者与执法机构的协商

执法机构受理经营者提出的承诺后,经营者与执法机构可以就承诺内容进行协商,包括案件事实的具体表述、承诺措施能否有效消除涉嫌垄断行为的后果以及是否限于解决执法机构所关注的竞争问题等。

在协商过程中,经执法机构和经营者一致同意,可以邀请第三方经营者、行业协会、专家学者等共同参加讨论。

第九条 承诺措施公开征求意见与修改

执法机构认为经营者的涉嫌垄断行为已经影响到其他经营者、消费者的合法权益或者社会公共利益,在保障经营者商业秘密的前提下,可以就经营者提出的承诺措施向社会公开征求意见。征求意见的时间一般不少于一个月。

社会公众在规定的时间内提出意见,执法机构认为应当采纳的,可以建议经营者对承诺措施进行修改或者重新提出承诺措施。经营者不愿意对承诺措施进行修改,执法机构可以终止经营者承诺的审查与协商程序,继续对涉嫌垄断行为进行调查。

如果修改后的承诺措施在性质或者范围上发生了改变,执法机构可以再次向社会公开征求意见。

第十条 经营者承诺的期限

经营者承诺的履行期限,由执法机构根据具体案情决定。一般最短不少于六个月,最长不超过三年。案情重大复杂,经营者在三年内无法完全履行承诺消除涉嫌垄断行为后果的,可以申请适当延长,但经营者承诺的履行期限最长不应超过五年。

第十一条 对承诺措施的分析审查

执法机构与经营者进行充分协商并对经营者提出的承诺措施完成分析审查后,认为案件基本事实清楚、承诺措施能够消除涉嫌垄断行为后果的,可以决定中止调查。

第十二条 中止调查决定

执法机构决定中止调查的,应当制作中止调查决定书,载明下列内容:

(一)涉嫌垄断行为的事实及对竞争产生或可能产生的影响;

(二)经营者承诺的具体内容、消除行为后果的措施;

(三)经营者履行承诺的期限及方式;

(四)经营者定期报告的义务;

(五)对经营者履行承诺的监督措施;

(六)不履行或者不完全履行承诺的法律后果等。

第十三条 经营者承诺履行情况的报告与监督

经营者应当按照中止调查决定书的要求向执法机构书面报告承诺履行情况。

执法机构应当对经营者履行承诺的情况进行监督,必要时可以委托独立的第三方专业机构进行监督。

第十四条 终止调查决定

经营者履行承诺,已经消除行为后果的,执法机构应当终止调查,并制作终止调查决定书。

终止调查决定书应当载明下列内容:

(一)执法机构调查的经营者涉嫌垄断行为;

(二)经营者承诺的具体内容、消除行为后果的措施;

(三)经营者履行承诺情况;

(四)对经营者履行承诺的监督情况;

(五)终止涉嫌垄断行为的调查。

第十五条 中止调查、终止调查决定的报告备案及公布

省级执法机构作出中止调查、终止调查决定前,应当依据相关规定履行报告备案程序。

在保障经营者商业秘密的前提下,执法机构应当在作出中止调查、终止调查决定后的20个工作日内,依法将中止调查决定书、终止调查决定书向社会公布。

第十六条 恢复调查决定

如果出现《反垄断法》第四十五条第三款所规定的情形,执法机构应当恢复对涉嫌垄断行为的调查。

消费者或者其他经营者认为符合上述情形的,可以向执法机构提出恢复调查申请,由执法机构审查后决定是否恢复调查。

第十七条 恢复调查后的中止调查和处罚

执法机构恢复调查后,不再接受经营者的承诺申请。但是,依据《反垄断法》第四十五条第三款第(二)项恢复调查的,执法机构可以基于新的事实接受经营者的申请。执法机构依据《反垄断法》第四十五条第三款第(一)、(三)项情形恢复调查并认定为垄断行为的,可以对经营者依法从重处罚。

第十八条 实施日期

本指南于 年 月 日起实施。

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers…
“The articles are extremely timely and highly applicable”
“I often find critical information not available elsewhere”
“As in-house counsel, Mondaq’s service is of great value”

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you’ve read our Disclaimer).
 
Email Address
Company Name
Password
Confirm Password
Position
Mondaq Topics -- Select your Interests
 Accounting
 Anti-trust
 Commercial
 Compliance
 Consumer
 Criminal
 Employment
 Energy
 Environment
 Family
 Finance
 Government
 Healthcare
 Immigration
 Insolvency
 Insurance
 International
 IP
 Law Performance
 Law Practice
 Litigation
 Media & IT
 Privacy
 Real Estate
 Strategy
 Tax
 Technology
 Transport
 Wealth Mgt
Regions
Africa
Asia
Asia Pacific
Australasia
Canada
Caribbean
Europe
European Union
Latin America
Middle East
U.K.
United States
Worldwide Updates
Registration (you must scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions