課徴金の減免に係る事実の報告及び資料の提出に関する規則(令和二年公正取引委員会規則第三号)
Rules on Reporting the Facts and the Submitting the Materials Regarding Immunity from or Reduction of Surcharges(Fair Trade Commission Rule No. 3 of 2020)
最終更新:令和二年公正取引委員会規則第七号
Last Version: Fair Trade Commission Rule No. 7 of 2020
目次
履歴
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▶本則
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令和7年1月24日
- 最終更新:令和二年公正取引委員会規則第七号
- 翻訳日:令和3年6月25日
- 辞書バージョン:17.0
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令和6年8月21日
- 最終更新:令和二年公正取引委員会規則第七号
- 翻訳日:令和3年6月25日
- 辞書バージョン:17.0
課徴金の減免に係る事実の報告及び資料の提出に関する規則(暫定版)
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Rules on Reporting the Facts and the Submitting the Materials Regarding Immunity from or Reduction of Surcharges (Tentative translation)
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令和二年九月二日公正取引委員会規則第三号
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Fair Trade Commission Rule No. 3 of September 2, 2020
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私的独占の禁止及び公正取引の確保に関する法律(昭和二十二年法律第五十四号)第七条の四第一項から第四項まで、第七条の五第一項、第二項及び第八項、第七十条の六並びに第七十六条第一項並びに私的独占の禁止及び公正取引の確保に関する法律施行令(昭和五十二年政令第三百十七号)第十一条第三項の規定に基づき、課徴金の減免に係る報告及び資料の提出に関する規則(平成十七年公正取引委員会規則第七号)の全部を改正する規則を次のように定める。
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Pursuant to the provisions of Article 7-4 paragraph (1) through (4), Article 5 paragraph (1), (2) and (8), Article 70-6, Article 76 paragraph (1) of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 54 of 1947); and to the provisions of Article 11 paragraph (3) of the Order for Enforcement of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Cabinet Order No. 317 of 1977); rules that fully revise the Rules on Reporting and the Submitting the Materials Regarding Immunity from or Reduction of Surcharges (Fair Trade Commission Rule No. 7 of 2005) are stipulated as follows.
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(定義)
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(Definitions)
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第一条この規則において使用する用語であって、私的独占の禁止及び公正取引の確保に関する法律(昭和二十二年法律第五十四号。以下「法」という。)において使用する用語と同一のものは、これと同一の意義において用いるものとする。
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Article 1The terms used in these Rules that are the same as those used in the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 54 of 1947, hereinafter referred to as "the Act") shall have the same meanings as those in the Act.
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(期間の計算)
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(Calculation of Period of Time)
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第二条期間の計算については、民法(明治二十九年法律第八十九号)の期間に関する規定に従う。
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Article 2(1)The calculation of any period of time shall be governed by the provisions related to periods of time in the Civil Code (Act No. 89 of 1896).
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2前項の規定にかかわらず、期間の計算においては、行政機関の休日(行政機関の休日に関する法律(昭和六十三年法律第九十一号)第一条第一項各号に掲げる日をいう。次項において同じ。)に当たる日数は算入しない。
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(2)Notwithstanding the provisions of the preceding paragraph, regarding the calculation of period of time, Holidays of Administrative Organs (meaning the days listed in any item of Article 1 (1) of the Act on Holidays of Administrative Organs (Act No. 91 of 1988); the same applies in the following paragraph) shall not be included in that period of time.
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(3)Notwithstanding the provisions of paragraph 1, if the last day of a period of time falls on Holidays of Administrative Organs, Article 2 of the Act on Holidays of Administrative Organs shall apply.
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(用語)
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(Terminology)
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第三条課徴金の減免に係る事実の報告及び資料の提出の手続(法第七条の四及び第七条の五(これらの規定を法第八条の三において読み替えて準用する場合を含む。)の手続をいう。次項において同じ。)においては、日本語を用いる。
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Article 3(1)Regarding the procedures for reporting the facts and submitting the materials regarding reduction of or immunity from surcharges (meaning the procedures stipulated in Article 7-4 and Article 7-5 of the Act (including when these articles are applied mutatis mutandis pursuant to Article 8-3 of the Act following the deemed replacement of terms); the same shall apply to the following paragraph), the Japanese language shall be used.
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(2)Notwithstanding the provisions of the preceding paragraph, regarding the procedures for reporting the facts and submitting the materials regarding reduction of or immunity from surcharges, if supporting materials to be submitted to the Fair Trade Commission (hereinafter referred to as "the Commission") have not been prepared in Japanese, a Japanese translation shall be attached thereto.
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(調査開始日前の違反行為の概要についての報告)
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(Reporting a Summary of a Violation Prior to the Investigation Start Date)
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第四条法第七条の四第一項第一号又は第二項第一号から第四号まで(これらの規定を法第八条の三において読み替えて準用する場合を含む。以下同じ。)に規定する事実の報告及び資料の提出を行おうとする者(当該違反行為に係る事件についての調査開始日(法第七条の四第一項第一号に規定する調査開始日をいう。)前に同条第四項(法第八条の三において読み替えて準用する場合を含む。以下同じ。)の規定により共同して事実の報告及び資料の提出を行おうとする者を含む。第六条第一項において同じ。)は、様式第一号による報告書を電子メールを利用して委員会があらかじめ指定した電子メールアドレス(電子メールの利用者を識別するための文字、番号、記号その他の符号をいう。第七条第二項及び第九条第一項第四号において同じ。)宛てに送信することにより委員会に提出しなければならない。
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Article 4(1)A person who intends to report the facts and submit the materials stipulated in Article 7-4 (1) (i) or (2) (i) through (iv) (including cases where these articles shall apply mutatis mutandis pursuant to Article 8-3 of the Act following the deemed replacement of terms; hereinafter the same) (including a person who intends to jointly report the facts and submit the materials pursuant to the provisions of Article 7-4 (4) of the Act (including when this article is applied mutatis mutandis pursuant to Article 8-3 of the Act following the deemed replacement of terms; hereinafter the same) prior to the investigation start date (meaning the investigation start date as stipulated in Article 7-4 (1) (i) of the Act) in relation to the case pertaining to the said violation; the same applies in Article 6 (1)) shall submit a written report in accordance with Form No.1 to the Commission by sending an email to the email address designated in advance by the Commission (meaning character, number, mark and other symbols to identify users of email; the same applies in Article 7 (2) and 9 (1) (iv))
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(提出の順位及び提出期限の通知)
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(Notification of the Order Relative to Other Submissions and the Deadline for Submission)
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第五条委員会は、前条第一項に規定する報告書を受理したときは、当該報告書を提出した者に対し、当該報告書の提出の順位並びに様式第二号による報告書による当該違反行為に係る事実の報告及び資料の提出を行うべき期限(次条第一項及び第二項並びに第十二条第一項において「提出期限」という。)を通知するものとする。
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Article 5Whenever the commission receives a written report provided for in paragraph 1 of the preceding Article, it shall notify the person who submits said written report of the order of submission of written reports and the deadline by which the reporting the facts and submitting the materials in relation to the relevant violation must be completed via the submission of a written report in accordance with Form No. 2 (in paragraphs (1) and (2) of following article and article 12(1), referred to as "the submission deadline").
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(調査開始日前の事実の報告及び資料の提出)
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(Reporting the facts and Submitting the Materials Prior to the Investigation Start Date)
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第六条法第七条の四第一項第一号又は第二項第一号から第四号までに規定する事実の報告及び資料の提出を行おうとする者は、提出期限までに、様式第二号による報告書及び資料を委員会に提出しなければならない。
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Article 6(1)A person who intends to report the facts and submit the materials pursuant to the provisions of Article 7-4 (1) (i) or (2) (i) through (iv) of the Act shall submit a written report and supporting materials in accordance with Form No. 2 to the Commission by the submission deadline.
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2前項の場合において、様式第二号の記載事項のうち同様式の「備考」に掲げる事項について口頭による報告をもって当該事項に係る記載に代え、又は、同項の資料のうち口頭による陳述をもって代えることができるものについて口頭による陳述をもって当該資料の提出に代えることにつき、それを必要とする特段の事情があると委員会が認めるときは、当該口頭による報告又は陳述をもって当該事項に係る記載又は当該資料の提出に代えることができる。ただし、口頭による報告又は陳述を行おうとする者が提出期限までに事務総局審査局管理企画課課徴金減免管理官(以下「課徴金減免管理官」という。)に出頭して当該口頭による報告又は陳述をした場合に限る。
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(2)In the case set forth in the preceding paragraph, where the Commission finds that, from among the matters entered in Form No. 2, there are exceptional circumstances which necessitate the substitution of an oral report with regard to supporting matters set forth under "Notes" in that Form, or that, from among the supporting materials stipulated in the same paragraph, there are exceptional circumstances that necessitate the substitution of an oral statement with regard to the submission of supporting materials for which such a substitution is possible, an oral report or oral statement may be submitted as a substitute for the entries on such matters or the submission of such supporting materials; provided, however, that this is limited to where the person who wishes to make the oral report or oral statement appears before the Senior Officer for Immunity from or Reduction of Surcharges (hereinafter referred to as "the Senior Officer for Leniency Program") at the Management and Planning Division of the Investigation Bureau at the Commission's General Secretariat and makes the oral report or oral statement by the submission deadline.
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(4)If two or more business operators intend to jointly report the facts and submit the materials pursuant to the Article 7-4 (4) of the Act, the oral report pursuant to the preceding two paragraphs shall be made by an agent who has been jointly appointed by said two or more business operators or by a business operator from among said two or more business operators who will be the contract person pursuant to the provisions of the last paragraph of Article 10.
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(調査開始日以後の事実の報告及び資料の提出)
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(Report the Facts and Submitting the Materials on or after the Investigation Start Date)
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第七条法第七条の四第三項第一号又は第二号(これらの規定を法第八条の三において読み替えて準用する場合を含む。以下同じ。)に規定する事実の報告及び資料の提出を行おうとする者(当該違反行為に係る事件についての調査開始日(法第七条の四第三項の調査開始日をいう。次条において同じ。)以後に法第七条の四第四項の規定により共同して事実の報告及び資料の提出を行おうとする者を含む。)は、次条に規定する期日までに、様式第三号による報告書及び資料を委員会に提出しなければならない。
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Article 7(1)A person who intends to report the facts and submit the materials pursuant to the provisions of Article 7-4 (3) (i) or (ii) (including where these apply mutatis mutandis pursuant to Article 8-3 of the Act following the deemed replacement of terms ; hereinafter the same) (including a person who intends to jointly report the facts and submit the materials pursuant to the Article 7-4 (4) of the Act prior to the investigation start date (meaning the investigation start date as stipulated in Article 7-4 (3) of the Act; the same applies in the following Article) in regard to the case related to the violation) shall submit a written report and supporting materials in accordance with Form No. 3 to the Commission by the deadline stipulated in the following Article.
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(3)The provisions of paragraph (2) through (4) in the preceding Article shall apply to cases set forth in paragraph (1), and the provisions of Article 4 (2) shall apply to cases wherein a written report has been submitted by the method stipulated in the preceding paragraph.In this case, the term "by the submission deadline" in the paragraph (2) of the preceding Article shall be read as "by the deadline provided for in Article 8".
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(調査開始日以後の事実の報告及び資料の提出を行うべき期限)
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(Deadline for Reporting the Facts and for Submitting the Materials on or after the Investigation Start Date)
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第八条法第七条の四第三項第一号又は第二号に規定する公正取引委員会規則で定める期日は、当該違反行為に係る事件についての調査開始日から起算して二十日を経過した日とする。
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Article 8The deadline to be stipulated in the Rules of the Fair Trade Commission, as provided for in Article 7-4 (3) (i) or (ii) of the Act, shall be the day on which twenty days have elapsed counting from the Investigation start date in regard to the case related to the violation.
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(報告書及び資料の提出の方法)
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(Submission Methods for Written Reports and Supporting Materials)
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第九条第六条第一項に規定する報告書及び資料並びに第七条第一項に規定する資料を提出する場合には、次の各号に掲げるいずれかの方法により、又はそれらの方法の併用により提出しなければならない。
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Article 9(1)Written reports and supporting materials provided for in Article 6 (1) and supporting materials provided for in Article 7 (1) shall be submitted using by any of the methods described as follows :
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一課徴金減免管理官に直接持参する方法
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(i)By bringing them directly to the Senior Officer for Leniency Program;
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二課徴金減免管理官に書留郵便、民間事業者による信書の送達に関する法律(平成十四年法律第九十九号)第二条第六項に規定する一般信書便事業者若しくは同条第九項に規定する特定信書便事業者による同条第二項に規定する信書便の役務であって当該一般信書便事業者若しくは当該特定信書便事業者において引受け及び配達の記録を行うもの又はこれらに準ずる方法により送付する方法
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(ii)By a delivery to the Senior Officer for Leniency Program through registered mail, correspondence which includes correspondence delivery service provided in Article 2 (2) of the Act on Correspondence Delivery by Private Sector Operators (Act No. 99 of 2002) by a general correspondence delivery person as provided in Article 2 (6) of that Act or by a special correspondence delivery person as provided in Article 2 (9) of that Act whose acceptance and delivery are recorded, or other methods similar thereto;
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三ファクシミリを利用して委員会があらかじめ指定したファクシミリの番号宛てに送信する方法
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(iii)By transmission using a facsimile to the number designated in advance by the Commission; or
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四電子メールを利用して委員会があらかじめ指定した電子メールアドレス宛てに送信する方法
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(iv)By sending an email to the email address designated in advance by the Commission.
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(共同による事実の報告及び資料の提出)
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(Joint Reporting the Facts and Submitting the Materials)
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第十条法第七条の四第四項の規定により共同して事実の報告及び資料の提出を行おうとする二以上の事業者は、様式第一号、様式第二号又は様式第三号による報告書を、いずれも連名で提出しなければならない。この場合においては、当該二以上の事業者は、当該事実の報告及び資料の提出に関して共同して代理人を選任している場合を除き、連絡先となる一の事業者を定めなければならない。
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Article 10Two or more business operators who intend to report the facts and submit the materials jointly pursuant to the Article 7-4 (4) of the Act shall submit a written report in accordance with Form No. 1, Form No. 2, or Form No. 3 in both of their names.In this case, said two or more business operators shall designate one of themselves to be the contact person, except where an agent is appointed jointly by said two or more business operators for reporting the facts and submitting the materials.
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(事実の報告又は資料の提出の追加を求める書面の送達)
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(Service of Documents Requesting Additional Reporting the Facts or Submitting the Materials)
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第十一条委員会は、法第七条の四第六項の規定により当該違反行為に係る事実の報告又は資料の提出を追加して求めるときは、その旨を記載した書面を、第六条に規定する報告書及び資料を提出した者又は第七条に規定する報告書及び資料を提出した者に送達しなければならない。
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Article 11If the Commission requests the additional reporting the facts or submitting the materials in relation to the relevant violation, pursuant to the Article 7-4 (6) of the Act, it shall serve the person who submits the written report and supporting materials provided for in Article 6 or the person who submits the written report and supporting materials provided for in Article 8 with a document stating said request.
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(報告書及び資料の提出の順位等)
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(Order of Written Reports and Supporting Materials, etc. in Relation to Other Submissions)
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第十二条提出期限までに第六条に規定する報告書及び資料を提出した者が二以上あるときは、これらの者が行った当該報告書及び資料の提出が法第七条の四第一項第一号又は第二項第一号から第三号までに規定する事実の報告及び資料の提出のいずれに該当するかは、第四条第一項に規定する報告書の提出の先後により、これを定める。
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Article 12(1)Whenever two or more persons submit written reports and supporting materials as provided for in Article 6 by the submission deadline, whether the written reports and the reports submitted by these persons fall under the category of reporting the facts and submitting the materials set forth in Article 7-4 (1) (i) or (2) (i) through (iii) of the Act shall be determined based on the order in which the written reports provided for in Article 4 (1) are submitted.
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(2)Whenever two or more persons submit written reports and supporting materials as provided for in Article 7 by the deadline provided for in Article 8, the order in which the Article 7-4 (3) (i) of the Act apply to such persons is determined based on the order in which the written reports are provided for in Article 7 (1).
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(法第七条の四第五項の通知の送達)
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(Order of Written Reports and Supporting Materials, etc. in Relation to Other Submissions)
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第十三条委員会は、法第七条の四第五項(法第八条の三において読み替えて準用する場合を含む。以下同じ。)の規定に基づき通知する場合は、文書を送達して行わなければならない。
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Article 13Whenever the Commission makes a notification in accordance with the Article 7-4 (5) (including cases when these articles are applied mutatis mutandis pursuant to Article 8-3 of the Act following the deemed replacement of terms; hereinafter the same), it shall do so by serving a document.
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(協議の申出)
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(Application for Consultation)
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第十四条報告等事業者であって、法第七条の五第一項(法第八条の三において読み替えて準用する場合を含む。以下同じ。)の協議の申出を行おうとする者は、法第七条の四第五項の規定による通知を受けた日(当該通知を受けた事業者が法人である場合において、当該事業者が法第七条の八第三項又は第四項に規定する事由により消滅したときは、当該事業者が当該通知を受けた日)から、同日から起算して十日を経過する日までの間に、次の各号に掲げるいずれかの方法により、様式第四号による申出書を委員会に提出しなければならない。
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Article 14(1)When Reporting (etc.) Enterprise intends to apply for a consultation pursuant to Article 7-5 (1) of the Act (including when these articles are applied mutatis mutandis pursuant to Article 8-3 of the Act following the deemed replacement of terms; hereinafter the same), the Reporting (etc.) Enterprise shall submit a written application in accordance with Form No. 4 within ten days from the day when the Reporting (etc.) Enterprise receives a notice pursuant to Article 7-4 (5) (if the enterprise who receives that notice is a legal person and it ceases to exist for reasons provided in for Article 7-8 (3) or (4) of the Act, within ten days from the day when the enterprise receives that notice) by using any of the methods described as follows:
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一直接持参する方法
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(i)By bringing them directly;
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二書留郵便、民間事業者による信書の送達に関する法律第二条第六項に規定する一般信書便事業者若しくは同条第九項に規定する特定信書便事業者による同条第二項に規定する信書便の役務であって当該一般信書便事業者若しくは当該特定信書便事業者において引受け及び配達の記録を行うもの又はこれらに準ずる方法により送付する方法
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(ii)By a delivery through registered mail, correspondence which includes correspondence delivery service provided in Article 2 (2) of the Act on Correspondence Delivery by Private Sector Operators by a general correspondence delivery person as provided in Article 2 (6) of that Act or by a special correspondence delivery person as provided in Article 2 (9) of that Act whose acceptance and delivery are recorded, or other methods similar thereto;
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三ファクシミリを利用して送信する方法
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(iii)By transmission using a facsimile; or
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四電子メールを利用して送信する方法
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(iv)By sending an email.
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(特定代理人の資格の証明等)
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(Proof of Specified Agent's Status and others)
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第十五条特定代理人の資格は、書面でこれを証明しなければならない。
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Article 15(1)The status of Specified Agent shall be proved by a written document.
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(協議における報告等事業者の説明の内容の記録)
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(Recording of Contents of Explanation by Reporting (etc.) Enterprise during Consultation)
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第十六条委員会は、協議における報告等事業者の説明の内容を記録する場合にあっては、その内容について、当該報告等事業者に確認を求めるものとする。
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Article 16When the Commission records the contents of explanation by a Reporting (etc.) Enterprise during consultation, it shall obtain consent from the Reporting (etc.) Enterprise.
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(事件の真相の解明に資する事項)
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(Recording of Contents of Explanation by Reporting (etc.) Enterprise during Consultation)
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第十七条法第七条の五第一項に規定する事件の真相の解明に資するものとして公正取引委員会規則で定める事項は、次に掲げる事項とする。
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Article 17The matters to be stipulated in the Rules of the Fair Trade Commission that contribute to revealing the truth of a case, as stipulated in Article 7-5 (1) of the Act shall be the following matters:
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一違反行為の対象となった商品又は役務
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(i)Goods or services subject to violation;
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二違反行為の態様
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(ii)Nature of violation;
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三違反行為の参加者
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(iii)Participants in violation;
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四違反行為の時期
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(iv)The time of violation;
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五違反行為の実施状況
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(v)How the violation was implemented;
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六前各号に掲げるもののほか違反行為に係る事項
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(vi)In addition to what is set forth in the preceding items, anything related to the violation;
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七課徴金額の算定の基礎となる額
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(vii)The basic amount that can be used for calculating surcharges; and
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八課徴金額の算定率
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(viii)The calculation rate of surcharges.
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(法第七条の五第一項の合意等)
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(Agreement stipulated in Article 7-5 (1) and others)
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第十八条法第七条の五第一項の合意(同条第二項各号に掲げる行為をすることを内容とするものを含む。次条において「合意」という。)は、委員会が作成した正本及び副本のそれぞれに委員会及び報告等事業者(特定代理人を選任した場合にあっては、委員会並びに報告等事業者及び特定代理人)が署名又は記名押印をすることにより行うものとする。
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Article 18(1)An agreement stipulated in Article 7-5 (1) (including the agreement which contains the engagement in the acts listed in each of the items in Article 7-5 (2); referred to as "agreement " in the following Article) shall be made with the original and a duplicated copy prepared by the Commission, which the Commission and a Reporting (etc.) Enterprise (if a Specified Agent is appointed, then, the Commission, a Reporting (etc.) Enterprise and a Specified Agent) and shall be affixed with a signature or a name and seal on the original and duplicated copy.
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(評価後割合の上限の割合の決定方法)
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(Method for Stipulating the Rate of Upper Limitation of After Assessment Rate)
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第十九条委員会は、評価後割合の上限の割合を合意において定める場合は、百分の五を単位として、特定割合に加算して得た割合が上限割合以下の割合となる割合を、報告等事業者に対し示すものとする。
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Article 19When stipulating the rate of the upper limit of After Assessment Rate in an agreement, the Commission shall present to a Reporting (etc.) Enterprise the rate obtained by adding it to the Specified Rate that shall be lower than the Upper Limit with five hundredth as unit.
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(二以上の子会社等の共同による行為)
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(Joint Action by Two or More Subsidiaries)
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第二十条私的独占の禁止及び公正取引の確保に関する法律施行令(昭和五十二年政令第三百十七号)第十一条第三項の規定により共同して同令第十条第一項第一号及び第四号から第七号までに掲げる行為を行おうとする二以上の子会社等は、次に掲げる場合の区分に応じ、それぞれ次に定める方法により行わなければならない。
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Article 20(1)Two or more subsidiaries who intend to jointly conduct the acts set forth in Article 10 (1) (i) and (iv) through (vii) of the Order for Enforcement of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Cabinet Order No. 317 of 1977, hereinafter referred to as "the Order") pursuant to the Article 11 (3) of the Order shall do so by the methods prescribed in the following items in accordance with the category of cases listed in each of those items:
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一文書により行う場合連名で作成した文書による方法
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(i)By a document:By a document written in both of their names.
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二口頭により行う場合当該子会社等のうち一の子会社等が代表して行うことを証明する文書を示して行う方法
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(ii)By oral communication:By indicating a document certifying that one of said subsidiaries do by representing said subsidiaries.
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附 則
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Supplementary Provisions
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附 則〔令和二年十二月二十五日公正取引委員会規則第七号〕
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Supplementary Provisions[Fair Trade Commission Rule No. 7 of December 25, 2020]
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