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Order of the State Administration for Industry and Commerce
(No. 42)
The Provisions on the Procedures for the Administrative Departments for Industry and Commerce to Investigate and Handle Cases of Monopolization Agreements and Abuse of Dominant Market Position, which have been deliberated and adopted at the executive meeting of the State Administration for Industry and Commerce, are hereby promulgated and shall come into force on July 1, 2009.
Director General Zhou Bohua
May 26, 2009
Provisions on the Procedures for the Administrative Departments for Industry and Commerce to Investigate and Handle Cases of Monopolization Agreements and Abuse of Dominant Market Position
| | 国家工商行政管理总局令
(第42号)
《工商行政管理机关查处垄断协议、滥用市场支配地位案件程序规定》已经国家工商行政管理总局局务会议审议通过，现予公布，自2009年7月1日起施行。
局长 周伯华
二〇〇九年五月二十六日
工商行政管理机关查处垄断协议、滥用市场支配地位案件程序规定
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Article 1 These Provisions are formulated in accordance with the Anti-Monopoly Law of the People's Republic of China for the purpose of regulating and safeguarding the administrative departments for industry and commerce in the investigation and punishment of monopolistic behaviors according to law.
| | 第一条 为规范和保障工商行政管理机关依法查处垄断行为，依据《中华人民共和国反垄断法》制定本规定。
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Article 2 The State Administration for Industry and Commerce (SAIC) shall undertake the overall responsibility for the anti-monopoly law enforcement with respect to monopolization agreements and abuse of dominant market position.
The SAIC may, where necessary, authorize the relevant administrations for industry and commerce of the provinces, autonomous regions and municipalities directly under the Central Government (hereinafter referred to as “provincial administrations for industry and commerce”) to be responsible for the anti-monopoly law enforcement with respect to monopolization agreements and abuse of dominant market position.
| | 第二条 国家工商行政管理总局统一负责垄断协议、滥用市场支配地位方面的反垄断执法工作。
国家工商行政管理总局根据工作需要，可以授权有关省、自治区、直辖市工商行政管理局（以下简称省级工商行政管理局）负责垄断协议、滥用市场支配地位方面的反垄断执法工作。
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Article 3 The SAIC shall be responsible for investigating and punishing the monopolistic behaviors if:
| | 第三条 下列垄断行为应当由国家工商行政管理总局负责查处：
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(1) they have significant impacts across the country; or
| | （一）全国范围内有重大影响的；
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(2) they are believed by the SAIC as falling with its jurisdiction.
A provincial administration for industry and commerce may be authorized to be responsible for investigating and punishing the monopolistic behaviors if:
| | （二）国家工商行政管理总局认为应当由其管辖的。
下列垄断行为可以授权省级工商行政管理局负责查处：
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(1) they occur within its administrative region;
| | （一）该行政区域内发生的；
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(2) they occur across two or more provinces, autonomous regions, or municipalities directly under the Central Government, but the main place where the behavior occurs is within its administrative region; or
| | （二）跨省、自治区、直辖市发生，但主要行为地在该行政区域内的；
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(3) the SAIC believes that it may delegate jurisdiction to the provincial administration for industry and commerce.
The delegation shall be made on a case-by-case basis. No delegated provincial administration for industry and commerce shall re-delegate any administration for industry and commerce at a lower level.
| | （三）国家工商行政管理总局认为可以授权省级工商行政管理局管辖的。
授权以个案的形式进行。被授权的省级工商行政管理局不得再次向下级工商行政管理局授权。
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Article 4 The administrative department for industry and commerce shall legally investigate and punish the monopolistic behaviors it has found in the process of law enforcement or through such channels as tip-offs, transfer from another authority and assignment by a superior authority.
| | 第四条 工商行政管理机关依据职权，或者通过举报、其他机关移送、上级机关交办等途径，发现垄断行为并依法查处。
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Article 5 Any entity or individual has the right to report suspected monopolistic behaviors to the administrative department for industry and commerce, which shall keep the informant confidential.
Where a tip-off is made in written form, it shall cover the following:
| | 第五条 任何单位和个人有权向工商行政管理机关举报涉嫌垄断行为，工商行政管理机关应当为举报人保密。
举报采取书面形式的，应当包括以下内容：
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(1) Basic information about the informant. Where the informant is an individual, he shall provide his name, address, contact information, etc. Where the informant is a business operator, it shall provide its name, address, contact information, primary industry engaged in, products produced or services provided, etc.;
| | （一）举报人的基本情况。举报人为个人的，应当提供姓名、住址、联系方式等。举报人为经营者的，应当提供名称、地址、联系方式、主要从事的行业、生产的产品或者提供的服务等；
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(2) Basic information about the person tipped off, including the business operator's name, address, primary industry engaged in, products produced or services provided, etc.;
| | （二）被举报人的基本情况。包括经营者名称、地址、主要从事的行业、生产的产品或者提供的服务等；
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(3) Relevant facts of suspected monopolization, including the facts stating that the person tipped off conducting monopolistic behaviors in violation of laws, regulations, or rules and the time and place of the relevant behavior;
| | （三）涉嫌垄断的相关事实。包括被举报人违反法律、法规和规章实施垄断行为的事实以及有关行为的时间、地点等；
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(4) Relevant evidence, including documentary evidence, material evidence, testimony of witnesses, audio-visual materials, computer data, authentication conclusions, etc. The signatures of the evidence providers shall be affixed to the relevant evidence and the sources of evidence shall be indicated; and
| | （四）相关证据。包括书证、物证、证人证言、视听资料、计算机数据、鉴定结论等，有关证据应当有证据提供人的签名并注明获得证据的来源；
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(5) Whether the same fact has been reported to any other administrative body or has been brought before the peoples' court.
| | （五）是否就同一事实已向其他行政机关举报或者向人民法院提起诉讼。
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Article 6 The SAIC and the provincial administrations for industry and commerce shall be responsible for the acceptance of reporting materials. If the administrative department for industry and commerce below the provincial level receives reporting materials, it shall, within five working days, submit the relevant reporting materials to the provincial administration for industry and commerce.
The acceptance authority shall, upon receipt of reporting materials, conduct registration and check the content of the report.
Where the reporting materials are incomplete, the acceptance authority shall notify the informant of the materials to be supplemented.
For any anonymous written report, if there are specific facts of violation of laws and relevant evidence is provided, the acceptance authority shall conduct registration and check the content of the report.
| | 第六条 国家工商行政管理总局和省级工商行政管理局负责举报材料的受理。省级以下工商行政管理机关收到举报材料的，应当在5个工作日内将有关举报材料报送省级工商行政管理局。
受理机关收到举报材料后，应当进行登记并对举报内容进行核查。
举报材料不齐全的，应当通知举报人及时补齐。
对于匿名的书面举报，如果有具体的违法事实并提供相关证据的，受理机关应当进行登记并对举报内容进行核查。
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Article 7 The provincial administrations for industry and commerce shall check the reports on suspected monopolistic behaviors which mainly occur within their respective administrative regions, and shall report the relevant information about check and their opinions on whether to place the cases on file to the SAIC.
For any report which has complete reporting materials and the suspected monopolistic behavior involves two or more provincial administrative regions, the provincial administration for industry and commerce shall timely submit the reporting materials to the SAIC.
| | 第七条 省级工商行政管理局应当对主要发生在本行政区域内涉嫌垄断行为的举报进行核查，并将核查的情况以及是否立案的意见报国家工商行政管理总局。
省级工商行政管理局对举报材料齐全、涉及两个以上省级行政区域的涉嫌垄断行为的举报，应当及时将举报材料报送国家工商行政管理总局。
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Article 8 The SAIC shall, on the basis of checking against the reports, decide to place the cases on file for investigation and punishment or not. The SAIC may place the cases on file for investigation and punishment by itself or authorize the relevant provincial administrations for industry and commerce to place the cases on file for investigation and punishment in accordance with Article 3 herein.
| | 第八条 国家工商行政管理总局根据对举报内容核查的情况，决定立案查处工作。国家工商行政管理总局可以自己立案查处，也可以根据本规定第三条的规定授权有关省级工商行政管理局立案查处。
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Article 9 For cases placed on file for investigation and punishment by itself, the SAIC may conduct investigation on its own, or authorize the relevant administrations for industry and commerce at provincial, cities under separate state planning, and sub-provincial levels to carry out investigation of the cases.
For the cases which are placed on file for investigation and punishment by a provincial administration for industry and commerce upon authorization, the provincial administration for industry and commerce shall organize the case investigation and other relevant work in accordance with these Provisions.
| | 第九条 国家工商行政管理总局对自己立案查处的案件，可以自行开展调查，也可以委托有关省级、计划单列市、副省级市工商行政管理局开展案件调查工作。
省级工商行政管理局对经授权由其立案查处的案件，应当依据本规定组织案件调查等相关工作。
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Article 10 When investigating a suspected monopolistic behavior, the administrative department for industry and commerce may, after reporting in writing to the chief person in charge of the authority which has the right to investigate the monopolization case and obtaining the approval thereof, take the following investigation measures:
．．．．．． | | 第十条 工商行政管理机关调查涉嫌垄断行为，经向有权查处垄断案件机关的主要负责人书面报告并经批准，可以采取下列调查措施：
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