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。

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