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Rules on Reporting and the Submission of Supporting Materials in Relation to Immunity from or Reduction of Surcharges


Published: 2009

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Rules on Reporting and the Submission of Supporting Materials in Relation to Immunity from or Reduction of Surcharges
Pursuant to the provisions of Article 7-2 of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 54 of 1947), the following Rules on Reporting and the Submission of Supporting Materials in Relation to Immunity from or Reduction of Surcharges are hereby established.
(Reporting a Summary of a Violation Prior to the Investigation's Start Date)
Article 1 (1) An person who wishes to report and submit supporting materials pursuant to the provisions of Article 7-2 (10) (i) or 7-2 (11) (i) through (iii) of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (hereinafter referred to as "the Act") (including cases where these articles shall apply mutatis mutandis to Article 8-3 of the Act; hereinafter the same), shall submit a written report in accordance with Form No. 1 to the Fair Trade Commission (hereinafter referred to as "the Commission") by transmission of a facsimile thereof.
(2) The fax number for the submission of a written report as provided for in the preceding paragraph is 03-3581-5599. (Note: The fax number from outside Japan is +81-3-3581-5599.)
(3) Where a written report as provided for in paragraph (1) has been submitted by transmission of a facsimile, it shall be deemed to have been submitted to the Commission at the time that the Commission received it.
(4) A person who has submitted a written report as provided in paragraph (1) shall submit the original written report to the Commission without delay.
(Notification of the Order Relative to Other Submissions and the Deadline for Submission)
Article 2 The Commission shall, when the commission has received a written report as provided in paragraph (1) of the preceding Article, notify the person who submitted said written report of the written report's order of submissions and the deadline by which the reporting of facts and submission of supporting materials in relation to the relevant violation must be completed via the submission of a written report in accordance with Form No. 2 (hereinafter referred to as "the submission deadline").
(Reporting and Submission of Supporting Materials Prior to the Investigation's Start Date)
Article 3 (1) A person who wishes to report and submit supporting materials pursuant to the provisions of Article 7-2 (10) (i) or 7-2 (11) (i) through (iii) of the Act shall submit a written report and supporting materials in accordance with Form No. 2 to the Commission by the submission deadline.
(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.
(3) In the case set forth in the preceding paragraph, the Senior Officer for Leniency Program shall record the details of the oral report or oral statement.
(4) If two or more business operators wish to make a joint report pursuant to the provisions of Article 7-2 (13) 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 contact person pursuant to the provisions of the last paragraph of Article 6-2.
(Reporting and Submission of Supporting Materials on or after the Investigation's Start Date)
Article 4 (1) A person who wishes to report and submit supporting materials pursuant to the provisions of Article 7-2 (12) (i) of the Act (including where these apply mutatis mutandis pursuant to Article 8-3 of the Act; hereinafter the same), 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.
(2) The written report provided for in the preceding paragraph shall be submitted by transmission of a facsimile.
(3) The provisions of paragraph (2) through (4) of the preceding Article shall apply to cases set forth in paragraph (1), and the provisions of Article 1 (2) through (4) 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 paragraph (2) of the preceding Article shall be read as "by the deadline provided for in Article 5".
(Deadline for Reporting and for the Submission of Supporting Materials on or after the Investigation's Start Date)
Article 5 The deadline to be stipulated in the Rules of the Fair Trade Commission, as provided in Article 7-2 (12) (i) of the Act, shall be the day on which twenty days (the number of days listed in the items of Article 1 (1) of the Act on the Holidays of Administrative Organizations (Act No. 91 of 1988) shall not be included in the calculation) have elapsed counting from the day when either the measures indicated in Article 47 (1) (iv) of the Act or the measures provided for in Article 102 (1) of the Act were first implemented in regard to the case related to the violation.
(Submission Methods for Written Reports and Supporting Materials)
Article 6 (1) Written reports and supporting materials as provided in Article 3 (1) and supporting materials as provided in Article 4 (1) shall be submitted using any of the methods in the following items;
(i) By bringing them directly to the Senior Officer for Leniency Program;
(ii) By delivery to the Senior Officer for Leniency Program through registered mail, correspondence which includes correspondence delivery services provided for 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 for in Article 2 (6) of that Act or by a special correspondence delivery person as provided for in Article 2 (9) of that Act whose acceptance and delivery is recorded, or other methods similar thereto; or
(iii) By transmission as a facsimile.
(2) The written report and supporting materials provided for in the preceding paragraph may, notwithstanding the provisions of that paragraph, be submitted using an electronic information processing system in accordance with the Ordinance for Enforcement of the Act on the Use of Information and Telecommunication Technologies in Administrative Procedures Related to Legislation under the Jurisdiction of the Fair Trade Commission (Fair Trade Commission Rule No. 1 of 2003).
(3) The provisions of Article 1 (2) and (3) shall apply where a written report and supporting materials are submitted via the methods stipulated in paragraph (1) (iii).
(Joint Reporting and Submission of Supporting Materials)
Article 6-2 Two or more business operators who wish to make a report and submit supporting materials jointly pursuant to the provisions of Article 7-2 (13) 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 has been appointed jointly by said two or more business operators for the reporting and submission of supporting materials.
(Service of Documents Requesting Additional Reports or Submission of Supporting Materials)
Article 6-3 When the Commission requests the additional reporting of facts or submission of supporting materials in relation to the relevant violation, pursuant to the provisions of Article 7-2 (16), it shall serve the person who submitted the written report and supporting materials provided for in Article 3 or the person who submitted the written report and supporting materials as provided for in Article 4 with a document stating said request.
(Order of Written Reports and Supporting Materials, etc. in Relation to Other Submissions)
Article 7 (1) When two or more persons have submitted written reports and supporting materials as provided in Article 3 by the submission deadline, whether these fall under the category of reports and supporting materials set forth in the provisions of Article 7-2 (10) (i) or 7-2 (11) (i) through (iii) of the Act shall be determined based on the order in which the written reports provided for in Article 1 (1) were submitted.
(2) If two or more persons have submitted written reports and supporting materials as provided in Article 4 by the deadline provided for in Article 5, the order in which the provisions of Article 7-2 (12) of the Act apply to such persons shall be determined based on the order in which the written reports provided for in Article 4 (1) were submitted.
(Duty of Concealment from Third Parties)
Article 8 A person who has submitted a written report provided for in Article 1 (1), Article 3, or Article 4 shall not disclose that the person has done so to a third party without justifiable grounds.
(Terminology)
Article 9 (1) The written report provided for in Article 1 (1), 3, and 4 shall be prepared in Japanese.
(2) If supporting materials that will be submitted to the Commission in accordance with the provisions of Article 3 and 4 have not been prepared in Japanese, a Japanese translation shall be attached thereto.
Supplementary Provisions
These Rules shall come into effect as of the day when the enforcement of the Act for the Partial Revision of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 35 of 2005) comes into effect (January 4, 2006).
Supplementary Provisions [Fair Trade Commission Rule No. 12 of October 28, 2009]
These Rules shall come into effect as of the day when the enforcement of the Act for the Partial Revision of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 51 of 2009) comes into effect (January 1, 2010).
Form No.1 (The size of this form shall be Japanese Industrial Standard A4.)
Form No.2 (The size of this form shall be Japanese Industrial Standard A4.)
Form No.3 (The size of this form shall be Japanese Industrial Standard A4.)