Regulations on Anti-Price-Monopoly

反价格垄断规定

(Draft for Comments Before 6 September 2009)

(征求意见稿)

第一条

为预防和制止价格垄断行为，保护公平竞争,维护消费者利益和社会公共利益，根据《中华人民共和国反垄断法》（以下简称《反垄断法》），制定本规定。

Article 1

These Regulations are formulated pursuant to the Anti-Monopoly Law of the People’s Republic of China (AML) for the purpose of preventing and prohibiting price monopolistic acts, protecting fair competition, and safeguarding consumers’ interests and social benefits.

第二条

中华人民共和国境内经济活动中的价格垄断行为，适用本规定；中华人民共和国境外的价格垄断行为，对境内市场竞争产生排除、限制影响的，适用本规定。

Article 2

These Regulations are applicable to price monopolistic acts in economic activities within the territory of the People’s Republic of China; these Regulations are also applicable to price monopolistic acts outside the territory of the People’s Republic of China that result in eliminating or restricting competition in the domestic market of the People’s Republic of China.

第三条

本规定所称价格垄断行为包括：　　

• 价格垄断协议；　　
• 滥用市场支配地位的价格垄断行为。

行政机关和法律、法规授权的具有管理公共事务职能的组织，滥用行政权力，在价格方面排除、限制竞争的行为，适用本规定。

Article 3

The price monopolistic act as defined herein includes:

• A price monopolistic agreement
• A price monopolistic act that abuses dominant market position

These Regulations are applicable to acts of any administrative agency or any organisation as authorised by laws and regulations to perform the function of managing public affairs that misuses administrative power to eliminate and restrict competition in relation to price.

第四条

本规定所称价格垄断协议，是指两个以上经营者以书面或者口头形式达成的，在价格方面排除、限制竞争的协议、决定，或者其他协同行为。

Article 4

The price monopolistic agreement as defined herein refers to an agreement, a decision or other concerted acts reached in an oral or written form by two or more business operators to eliminate or restrict competition in relation to price. 

第五条

认定协同行为，可以依据下列因素：

• 经营者的价格行为是否具有一致性。经营者在同一或相近时间内，以相同或相近的标准和幅度，固定或者变更同种商品价格的，可以认定经营者的价格行为具有一致性。　　
• 经营者之间是否进行过沟通。

认定协同行为，还应当结合市场结构情况和市场变化情况，考虑价格行为的一致性是否存在合理的理由。

Article 5

The following factors may be taken into account when defining a concerted act:

• Whether there is consistency among business operators’ pricing acts.  Where business operators fix or change the price of the same kind of commodities by the same or similar standards and volume, at the same time or close to the same time, it may be determined that there is consistency among such pricing acts of business operators.
• Whether there is action in concert among business operators.

In the identification of concerted acts, market structure and market changes shall also be taken into account to consider whether there  are justifiable reasons for the consistency of pricing acts.

第六条

禁止具有竞争关系的经营者达成下列价格垄断协议：

• 固定或者变更商品的各类价格的；
• 固定或者变更价格变动幅度的；
• 固定或者变更对价格有影响的手续费、折扣的；
• 使用统一的价格作为与第三方谈判的基础的；
• 约定采用据以计算价格的标准公式的；
• 约定未经其他经营者同意不得变更价格的；
• 通过限制生产销售数量或者分割销售采购市场等方式，固定或者变更商品价格的；
• 国务院价格主管部门认定的其他价格垄断协议。

Article 6

The following price monopolistic agreements among competing business operators shall be prohibited:

• Fixing or changing various prices of commodities
• Fixing or changing price-change volume
• Fixing or changing a commission or discount that has an influence on prices
• Applying a uniform price as the basis for negotiating with a third party
• Agreeing to apply a standard formula as a basis to calculate prices
• Agreeing that a price shall not be changed without other business operators’ consent
• Fixing or changing a commodity price by limiting production and sales quantities or dividing sales and procurement markets
• Any other price monopolistic agreements as identified by the competent authority of prices under the State Council

第七条

禁止经营者与交易相对人达成下列价格垄断协议：                                   

（一）固定向第三人转售商品的价格；

（二）限定向第三人转售商品的最低价格；

（三） 国务院价格主管部门认定的其他价格垄断协议。

Article 7

A business operator is prohibited from entering into the following price monopolistic agreements with its transaction parties:

• Fixing the price of a commodity to be resold to a third party
• Limiting the minimum price of a commodity to be resold to a third party
• Any other price monopolistic agreements as identified by the competent authority of prices under the State Council

第八条

经营者在招投标和拍卖活动中达成价格垄断协议的，适用本规定。

Article 8

These Regulations are applicable to price monopolistic agreements reached by business operators in bidding and auction activities.

第九条

禁止行业协会从事下列行为 ：

• 制定发布行业协会规则、决定、通知等，固定或者变更价格；
• 召集本行业的经营者讨论并形成协议、决议、纪要、备忘录等，固定或者变更价格；
• 为经营者达成价格垄断协议提供便利条件；
• 国务院价格主管部门认定的应当依法禁止的其他价格垄断协议行为。

Article 9

Trade associations are prohibited from carrying out the following activities:

• Formulating trade association rules, decisions, notices, etc., to fix or change prices
• Assembling the business operators in the trade for discussion and forming agreements, resolutions, summaries or memorandums regarding fixing or changing prices
• Aiding business operators in reaching price monopolistic agreements
• Any other price monopolistic agreements, as identified by the competent authority of prices under the State Council, that shall be prohibited according to law

第十条

经营者或者行业协会能够证明所达成的协议符合《反垄断法》第十五条规定的，不适用本规定第六条、第七条、第八条和第九条的规定。

Article 10

Articles 6, 7, 8 and 9 hereof shall not be applicable if business operators or trade associations are able to prove that the agreements reached are in compliance with Article 15 of the AML.

第十一条

本规定所称滥用市场支配地位的价格垄断行为包括：

• 以不公平的高价销售商品或者以不公平的低价购买商品；
• 没有正当理由，以低于成本的价格销售商品；
• 没有正当理由，以过高或者过低的价格，变相拒绝与交易相对人进行交易；
• 没有正当理由，对条件相同的交易相对人在交易价格上实行差别待遇；
• 国务院价格主管部门认定的其他滥用市场支配地位的价格垄断行为。

Article 11

Price monopolistic acts that abuse dominant market position as defined herein include:

• Selling a commodity at an unfairly high price or purchasing a commodity at an unfairly low price
• Selling a commodity at a price lower than its cost without a justifiable reason
• Refusing in disguised form to enter into a transaction with transacting parties by adopting an excessively high price or an excessively low price without a justifiable reason
• Applying discriminatory treatment regarding a transaction price to transacting parties with same status without a justifiable reason

Any other price monopolistic acts, as identified by the competent authority of prices under the State Council, that abuse dominant market position

第十二条

具有市场支配地位的经营者不得以不公平的高价销售商品或者以不公平的低价购买商品。

认定“不公平的高价”和“不公平的低价”，应当综合考虑下列因素：

• 销售价格是否明显高于该产品的成本，或者购买价格是否明显过低，甚至低于该产品的成本；
• 在成本基本稳定的情况下，是否超过正常幅度提高销售价格或者降低购买价格；
• 销售商品的提价幅度是否明显高于成本增长幅度，或者购买商品的降价幅度是否明显高于交易相对人成本降低幅度；
• 是否明显高于或者低于其他经营者销售或者购买的同种商品的价格。

交易相对人能够以合理的价格从其他经营者获得同种商品或者替代商品的，不适用本条规定。

Article 12

Business operators that have a dominant market position shall not sell a commodity at an unfairly high price or purchase a commodity at an unfairly low price.

The following factors shall be taken into account in the identification of “unfairly high price” and “unfairly low price”:

• Whether the selling price is apparently higher than the product’s cost, or whether the purchasing price is apparently too low or even lower than the product’s cost
• Whether the selling price increase or purchasing price reduction is beyond a normal volume when the cost is basically stable
• Whether the price increase of a commodity sold is apparently larger than the increase in the cost of such product, or whether the price reduction of a commodity purchased is apparently larger than the decrease in the cost of such commodity
• Whether apparently higher or lower than the price of the same kind of commodities sold or purchased by other business operators

This article is not applicable if transacting parties are able to acquire the same kind of commodities or substitutes from other business operators at a reasonable price.

第十三条

具有市场支配地位的经营者没有正当理由，不得以低于成本的价格销售商品。

前款所称“以低于成本的价格销售”，是指经营者持续以承担损失的方式销售商品，旨在排除竞争者或者潜在竞争者的行为。

第一款所称“正当理由”包括：

• 依法降价处理鲜活商品、季节性商品、有效期即将到期的商品和积压商品；
• 因清偿债务、转产、歇业降价销售商品；
• 为招徕顾客采取的短期或者小批量的促销行为；
• 应对其他经营者低于成本销售的策略而被迫采取的降价行为；
• 可以形成规模效应从而降低成本，并能够使消费者分享由此产生的利益；
• 国务院价格主管部门认定的其他正当理由。

Article 13

Business operators that have a dominant market position shall not sell a commodity at a price lower than its cost without a justifiable reason.

For the purpose of this provision, “sell a commodity at a price lower than its cost” refers to the act of business operators who continue to bear losses to sell a commodity so as to eliminate competitors or potential competitors.

For the purpose of this provision, the foregoing “justifiable reason” includes:

• Reducing the price of fresh or live commodities, seasonal commodities, expiring commodities or overstocks
• Reducing the price of commodities for sale due to debt repayment, property transfer or business discontinuation
• Adopting short-term or small-quantity sales promotions so as to solicit customers
• Being forced to reduce a price in response to a below-cost sales strategy adopted by other business operators
• Being able to achieve scale effects to lower costs, which may benefit consumers
• Any other justifiable reasons as identified by the competent authority of price under the State Council

第十四条

具有市场支配地位的经营者没有正当理由，不得通过设定过高或者过低的价格，变相拒绝与相对人进行交易。

前款所称“过高或者过低的价格”是指，若交易相对人以此价格交易，在正常生产和销售后将不能获得正常利润。

Article 14

A business operator that has a dominant market position shall not refuse in a disguised form to trade with transacting parties without a justifiable reason by setting an excessively high or low price.

For the purpose of this provision, “excessively high or low price” means that if the transacting party enters into the transaction at such price, it cannot obtain ordinary profits subsequent to ordinary production and sales.

第十五条

具有市场支配地位的经营者没有正当理由，不得对条件相同的交易相对人在交易价格上实行差别待遇。　　

前款所称“正当理由”包括：

• 价格差异对交易相对人的市场竞争不产生实质性不利影响；
• 交易相对人能够以合理的价格从其他经营者获得同种商品或者替代商品；
• 国务院价格主管部门认定的其他正当理由。

第一款所称“条件相同”是指，经营者与有关相对人交易等级和质量相同的同种商品时，在交易方式、交易环节、交易数量、货款结算、售后服务等方面相近或相同。

对条件不同的交易相对人实行相同的价格，视为差别待遇。

Article 15

A business operator that has a dominant market position shall not apply discriminatory treatment on a transaction price to transacting parties with the same status without a justifiable reason.

For the purpose of this provision, “a justifiable reason” includes:

• A price difference exerting no substantial negative influence on market competition of transaction parties
• Transacting parties being able to acquire the same kind of commodities or substitutes from other business operators at a reasonable price
• Any other justifiable reasons as identified by the competent authority of price under the State Council

“With the same status”, in the first paragraph of this article, means that business operators and relevant counterparties are identical or similar in terms of transaction method, transaction sector, transaction quantity, payment settlement and after-sale services when trading commodities of the same grade and quality.

It shall be deemed as discriminatory treatment if the same price is applied on transacting parties with different status.

第十六条

认定和推定市场支配地位，应当在依照有关规定界定相关市场的基础上进行。　

Article 16       

The identification and presumption of dominant market position shall be based on the definition of relevant market pursuant to relevant regulations.

第十七条

本规定所称市场支配地位，是指经营者在相关市场内具有能够控制商品价格、数量或者其他交易条件，或者能够阻碍、影响其他经营者进入相关市场的能力的市场地位。

其他交易条件，是指除商品价格、数量之外能够对市场交易产生实质影响的其他因素，包括商品等级、付款条件、交付方式、售后服务等。　　

能够阻碍、影响其他经营者进入相关市场，是指排除、延缓其他经营者在合理时间内进入相关市场，或者其他经营者虽能够进入该相关市场但进入成本大幅度提高，无法与现有企业开展有效竞争等。

Article 17       

For the purpose of these Regulations, “dominant market position” means a market position held by business operators that have the ability to control the prices or quantities of commodities or other trading conditions in the relevant market, or to block or affect the entry of other business operators into the relevant market.

“Other trading conditions” means factors, other than commodity price and quantity, which can substantially affect market transactions, including commodity grade, terms of payment, method of delivery, after-sale services, etc.

“To block or affect the entry of other business operators into the relevant market” means excluding or delaying the entry of other business operators into the relevant market within a reasonable time period, or significantly increasing their cost of entry if they can enter the relevant market, so that they cannot effectively compete with existing enterprises, etc.

第十八条

认定经营者是否具有市场支配地位，应当依据下列因素： 　　

• 该经营者在相关市场的市场份额，以及相关市场的竞争状况。市场份额是指经营者的特定商品销售额或者销售量在相关市场的比重。相关市场竞争状况包括相关市场的发展状况、现有竞争者的数量、是否存在潜在的竞争者和进入障碍、相关市场其他经营者的市场份额、商品差异程度、市场透明度等。
• 该经营者控制销售市场或者原材料采购市场的能力。控制销售市场或者原材料采购市场的能力，包括控制采购或销售市场渠道的能力，影响或者决定价格、数量、合同期限或者其它交易条件的能力或者优先获得原材料的能力等。原材料包括企业生产经营所必需的原料、半成品、零部件及相关设备等。
• 该经营者的财力和技术条件。财力和技术条件，包括经营者的资产规模、财务能力、盈利能力、融资能力、研发能力、技术装备、技术创新和应用能力、拥有的知识产权等因素。对于经营者的财力和技术条件的分析，应当同时考虑其关联企业的财力和技术条件及其对相关市场进入、扩大产能等的影响。
• 其他经营者对该经营者在交易上的依赖程度。影响依赖程度的因素包括与该经营者之间的交易量、交易关系的持续时间、交易相对人转向其他经营者的难易程度等。　　
• 其他经营者进入相关市场的难易程度。影响经营者进入相关市场的因素包括市场准入制度、拥有管网等必需设施、销售渠道、资金和技术等规模经济要求、成本优势等。
• 与认定该经营者市场支配地位有关的其他因素。

Article 18       

Identifying whether a business operator has a dominant market position shall be based on the following factors:

• The market share of such business operator in the relevant market, and the competition conditions of the relevant market.  “Market share” means the percentage of the sales amount or volume of a specific commodity of the business operator in the relevant market.  The competition conditions of the relevant market include the development of the relevant market, number of existing competitors, whether there is any potential competitor and entry obstruction, the market shares of other business operators in the relevant market, commodity diversity, market transparency, etc.
• The ability of the business operator to control the sales market or the raw material procurement market.  The ability to control the sales market or the raw material procurement market includes the ability to control the procurement or sales-market channels, the ability to affect or decide the price, quantity, term of contract or other trading conditions, or the ability to obtain raw materials with priority, etc.  Raw material includes materials, semi-finished products, parts and components, relevant equipment and the like which are necessary for the production and operation of the enterprises.
• The financial strength and technical conditions of the business operator.  The financial strength and technical conditions include assets scale, financial capability, profitability, financing capability, R&D capability, technical equipment, technical renovation and application capability, intellectual property owned, etc.  When analysing the financial strength and technical conditions of the business operator, the financial strength and technical conditions of its affiliates and its influence on the entry into the relevant market, expansion of production capability, etc., shall also be taken into account.
• The market share of such business operator in the relevant market, and the competition conditions of the relevant market.  “Market share” means the percentage of the sales amount or volume of a specific commodity of the business operator in the relevant market.  The competition conditions of the relevant market include the development of the relevant market, number of existing competitors, whether there is any potential competitor and entry obstruction, the market shares of other business operators in the relevant market, commodity diversity, market transparency, etc.
• Difficulty of other business operators in entering the relevant market.  Factors affecting the entry of business operators into the relevant market include the market access system, possession of necessary facilities such as facilities and networks, sales channels, capital, technologies and other conditions for economies of scale, cost advantages, etc.
• Other factors relevant to the identification of the dominant market position of the said relevant business operator.

第十九条

对市场支配地位的推定，依照《反垄断法》第十九条的规定执行。

Article 19       

The presumption of dominant market position shall be made in accordance with Article 19 of the AML.

第二十条

被推定具有市场支配地位的经营者，如果能够提出下列证据证明不具有市场支配地位，则不应当认定其具有市场支配地位：

• 其他经营者进入该相关市场比较容易的；
• 相关市场的竞争比较充分的；
• 根据本规定第十八条所列因素，经营者不具有在相关市场内控制商品价格、数量或者其他交易条件，或者能够阻碍、影响其他经营者进入相关市场的能力。

依照《反垄断法》第十九条第一款（二）、（三）项规定，两个以上经营者被推定具有市场支配地位的，推翻相关推定还需要证明其相互之间存在实质竞争，且单个经营者与其它经营者相比没有突出的市场地位。

Article 20       

A business operator that has been presumed to have a dominant market position shall not be considered as having a dominant market position if it can provide the following evidence to prove that it has no dominant market position:

• It is relatively easy for other business operators to enter the relevant market.
• The competition in the relevant market is relatively sufficient.
• According to the factors as listed in Article 18, the said business operator has no ability to control commodity price,  quantity or other trading conditions in the relevant market, or to obstruct or affect the entry of other business operators into the relevant market.

Pursuant to the provisions of Items 2 and 3 of Paragraph 1 of Article 19 of the AML, if two or more business operators are presumed to have a dominant market position, in order to rebut the relevant presumption, it shall be proved that there is substantive competition between or among them, and a single competitor has no outstanding market position as compared to the other business operators.

第二十一条

行政机关和法律、法规授权的具有管理公共事务职能的组织不得滥用行政权力，实施下列行为，妨碍商品在地区之间的自由流通：

（一）对外地商品设定歧视性收费项目；

（二）对外地商品实行歧视性收费标准；

（三）对外地商品规定歧视性价格；

（四）国务院价格主管部门认定的，妨碍商品在地区之间自由流通的其他规定价格或者收费的行为。

Article 21       

No administrative agency or organisation, as authorised by laws and regulations to perform the function of administering public affairs, may misuse its administrative power to conduct the following activities, thereby obstructing the free circulation of commodities among regions:

• Creating discriminatory charging items on the commodities from other places
• Applying discriminatory charging rates on the commodities from other places
• Specifying discriminatory prices for the commodities from other places
• Any other price-fixing or fee-charging activities, as identified by the competent authority of prices under the State Council, which obstruct the free circulation of commodities among regions

第二十二条

行政机关和法律、法规授权的具有管理公共事务职能的组织不得滥用行政权力，强制经营者从事本规定禁止的各类价格垄断行为。

Article 22       

No administrative agency or organisation, as authorised by laws and regulations to perform the function of managing public affairs, may misuse its administrative power to force a business operator to conduct various kinds of price monopolistic acts as prohibited by these Regulations.

第二十三条

行政机关应当依法保护经营者的自主定价权，不得滥用行政权力，制定含有排除、限制价格竞争内容的规定。

Article 23       

Administrative agencies shall protect the right of business operators in determining the prices in their sole discretion, and may not misuse their administrative powers to formulate any regulation containing content excluding or restricting price competition.

第二十四条

经营者有本规定所列价格垄断行为的，由国务院价格主管部门和经授权的省、自治区、直辖市人民政府价格主管部门依据《反垄断法》第四十六条、第四十七条、第四十九条实施处罚。

行业协会违反本规定，组织本行业的经营者达成价格垄断协议的，依照《反垄断法》第四十六条和第四十九条实施处罚。

经营者或者行业协会实施串通，但尚未达成价格垄断协议的，价格主管部门应当及时制止，予以提醒、告诫。

Article 24       

For business operators conducting any price monopolistic act as listed herein, the competent authority of prices under the State Council and the authorised competent authorities of prices of the people’s governments of the provinces, autonomous regions and municipalities directly under the Central Government shall impose penalties pursuant to Article 46, Article 47 and Article 49 of the AML.

If a trade association violates these Regulations by organising the business operators in the trade to reach a price monopolistic agreement, it shall be punished pursuant to Article 46 and Article 49 of the AML.

If business operators or trade associations conspire but have not reached any price monopolistic agreement, the price competent authority shall stop it in time and give them reminders and warnings.

第二十五条

行政机关和法律、法规授权的具有管理公共事务职能的组织有本规定所列滥用行政权力的行为的，依照《反垄断法》第五十一条规定执行。

Article 25       

If any administrative agency or any organisation, as authorised by laws and regulations to perform the function of managing public affairs, has conducted any activities of misusing its administrative power as listed herein, it shall be punished pursuant to Article 51 of the AML.

第二十六条

经营者依照有关知识产权的法律、行政法规规定行使知识产权的行为，不适用本规定；但是，经营者滥用知识产权，排除、限制竞争的价格行为，适用本规定。

Article 26       

These Regulations are not applicable to acts in exercising intellectual property rights of/by a business operator pursuant to laws and administrative regulations relating to intellectual property; however, these Regulations shall be applicable to any misuse by a business operator of its intellectual property rights to eliminate or restrict competition.

第二十七条

农业生产者及农村经济组织在农产品生产、加工、销售、运输、储存等经营活动中实施的联合或者协同行为，不适用本规定。

Article 27       

These Regulations shall not be applicable to any joint or concerted acts conducted by agricultural producers and rural economic organisations in the production, processing, sales, transportation and storage of farm products, and other business activities.

第二十八条

本规定所称商品包括服务。　　

Article 28       

For the purpose of these Regulations, “commodities” shall include services.

第二十九条

 本规定自 年 月 日起施行。

Article 29       

These Regulations shall become effective as of ________.