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Page 1: ①-2 ABA SAL-SIL JFTC Surcharge Comments Final …...1 Section of International Law 1050 Connecticut Avenue, NW Washington, DC 20036 Sara P. Sandford, Chair Section of Antitrust Law

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Page 16: ①-2 ABA SAL-SIL JFTC Surcharge Comments Final …...1 Section of International Law 1050 Connecticut Avenue, NW Washington, DC 20036 Sara P. Sandford, Chair Section of Antitrust Law

1

Section of International Law1050 Connecticut Avenue, NW

Washington, DC 20036Sara P. Sandford, Chair

Section of Antitrust Law321 North Clark Street Chicago, Illinois 60654-7598William C. MacLeod, Chair

ABA 2016 8 31

ABA

1 2016 7 13http://www.jftc.go.jp/en/pressreleases/yearly-2016/July/160713_2.html

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2

2 3

4

5

(1)(2) (3)

(4)(5)

(1)

SAL 5

ICN 6

2 2008 3 ABA2008

http://www.americanbar.org/content/dam/aba/administrative/antitrust_law/comments_japan.authcheckdam.pdf3 2005 2 ABA

http://meetings.abanet.org/webupload/commupload/IC722000/relatedresources/commentsJFTC.pdf4 2004 1 30 ABA

http://www.abanet.org/antitrust/at-comments/2004/02-04/abajftcessentialfacilitiesfinal.pdf5 Abbott B. Lipsky Jr. and Randolph Tritell “Best Practices for Antitrust Procedure: The Section of Antitrust Law Offers Its Model ” Antitrust Source (December 2015) (“Lipsky & Tritell”) 4-10 ;http://www.americanbar.org/content/dam/aba/publishing/antitrust_source/dec15_lipsky_tritell_12_11f.authcheckdam.pdf.6 ICN Guidance on Investigative Processhttp://www.internationalcompetitionnetwork.org/uploads/library/doc1028.pdf.

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14 ABA

http://www.americanbar.org/content/dam/aba/administrative/antitrust_law/at_comments_20140711.authcheckdam.pdf.15 13 1716 ICN 6.217 18

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6

II.

18

19

20

false positive (false negative)21

22

1 2

23

18 Organisation for Economic Cooperation and Development Remedies and Sanctions in Abuse of Dominance Cases (2006) (OECD ) 22-23 http://www.oecd.org/competition/abuse/38623413.pdf.

19 Gary S. Becker Crime and Punishment: An Economic Approach 76 J. POL. ECON. 169 (1968)(“Becker”); William M. Landes Optimal Sanctions for Antitrust Violations 50 U. CHI. L. REV. 652 (1983)(“Landes”); Douglas H. Ginsburg & Joshua D. Wright Antitrust Sanctions 6 COMPETITION POL’Y INT’L 3 3 (2010) (“Ginsburg & Wright”); Bruce H. Kobayashi Antitrust Agency and Amnesty: An Economic Analysis of the Antitrust Laws Against Corporations 69 GEO. WASH. L. REV. 715 (2001).20 Frank H. Easterbrook The Limits of Antitrust 63 TEX. L. REV. 1 15 (1984); James C. Cooper et al.Vertical Antitrust Policy as a Problem of Inference 23 INT’L J. INDUS. ORG. 639 658 (2005); Joshua D. Wright Abandoning Antitrust’s Chicago Obsession: The Case for Evidence-Based Antitrust 78 ANTITRUST L.J 241 (2012)21

C. Frederick Beckner III & Steven C. Salop Decision Theory and Antitrust Rules 67 ANTITRUST L.J. 41 (1999); James C. Cooper et al. 20; David S. Evans & A. Jorge Padilla Designing Antitrust Rules for Assessing Unilateral Practices: A Neo-Chicago Approach72 U. CHI L. REV. 73 98 (2005); Keith N. Hylton & Michael Salinger Tying Law and Policy: A Decision-Theoretic Approach 69 ANTITRUST L.J. 469 (2001); Geoffrey A. Manne & Joshua D. Wright Innovation and the Limits of Antitrust 6 J. COMPETITION L. & ECON. 153 (2010)22 Becker; Landes; George J. Stigler, “The Optimum Enforcement of Laws”, 78 Journal of Political Economy526 (1970) John M. Connor and Robert H. Lande, “Cartel Overcharges and Optimal Cartel Fines” in 3 Issues in Competition Law and Policy (ABA Section of Antitrust Law 2008)23

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7

24

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OECD

24 Ginsburg & Wright25 Comment of the Global Antitrust Institute, George Mason University School of Law, on the Japan Fair Trade Commission’s Consultation on the Administrative Surcharge System http://gai.gmu.edu/wp-content/uploads/2016/07/GAI_Comment-on-the-Administrative-Surcharge-System_Summary-of-Issues_8-6-16_FINAL-1.pdf26

James C. Cooper et al. 20; Francine Lafontaine & Margaret Slade Exclusive Contracts and Vertical Restraints: Empirical Evidence and Public Policy in HANDBOOK OF ANTITRUST ECONOMICS 391409 (Paolo Buccirossi ed. 2008); Daniel O’Brien The Antitrust Treatment of Vertical Restraint: Beyond the Possibility Theorems in THE PROS AND CONS OF VERTICAL RESTRAINTS 40 76 (2008).

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8

27

III.

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OECDICN 29

OECD

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27 OECD 4128 §2R1.1 (Background) (2015) http://www.ussc.gov/guidelines/2015-guidelines-manual/2015-chapter-2-l-x#NaN.29 OECD Recommendation of the Council Concerning Effective Action Against Hard Core Cartels OECD Document No. C(98)35/Final (May 14 1998) (OECD ) 2(a)http://www.oecd.org/daf/competition/2350130.pdf ; ICN Building Blocks for Effective Anti-Cartel Regimes Defining Hard Core Cartel Conduct Effective Institutions Effective Penalties (June 2005) (ICN ) 12http://www.internationalcompetitionnetwork.org/uploads/library/doc346.pdf.30 OECD 23

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9

31

disgorgement

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31 Gregory J. Werden, “Sanctioning Cartel Activity: Let the Punishment Fit the Crime”, European Competition Law Journal (March 2009)32 2008

2008 2-3

533 3.234

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100 2 50 3-5 303 30 JFTC ICN Anti-cartel

Enforcement Template Section Ghttp://www.jftc.go.jp/en/policy_enforcement/cartels_bidriggings/anti_cartel.html.

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39 OECD Policy Roundtables - Plea Bargaining (2006) 236https://www.oecd.org/competition/cartels/40080239.pdf (

); ICN Cartel Settlements (Apr. 2008) (“ICN ”) 23http://www.internationalcompetitionnetwork.org/uploads/library/doc347.pdf (

)40 Commission Notice on Immunity from Fines and Reduction of Fines in Cartel Cases 2006 O.J. E.U. C 298/11 http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52006XC1208(04)&from=EN.

41 Scott D. Hammond Deputy Ass’t Att’y Gen. Antitrust Div. Presented at American Bar Association Section of Antitrust Law Spring Meeting Measuring the Value of Second-in Cooperation in Corporate Plea Negotiations (March 2006) www.justice.gov/atr/public/speeches/215514.html.

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United States v. SKW Metals & Alloys Inc. 195 F.3d 83 91 (2d Cir. 1999)

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14

51

52

53

54

55

56

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one-size-fits-all

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United States v. Andreas 216 F.3d 645 678 (7th Cir. 2000)

51 SAL Comments to the United States Sentencing Commission on Proposed Priorities for Amendment Cycle Ending May 1 2016 (July 27 2015) (SAL ) 5-6http://www.americanbar.org/content/dam/aba/administrative/antitrust_law/at_comments_sal_20150727.authcheckdam.pdf.52

53 3.1(2)54 3.1(2)55 3.1(2)56 §8C2.4(a)(c).57 2058 SAL 3-5

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A-1

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63 Department of Justice Corporate Leniency Policy 1 (Aug. 10 1993) https://www.justice.gov/atr/file/810281/download.

64

Department of Justice Individual Leniency Policy (Aug. 10 1994)https://www.justice.gov/sites/default/files/atr/legacy/2006/04/27/0092.pdf.

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75 “Measuring the Value of Second-In Cooperation in Corporate Plea Negotiations ” Scott D. HammondDeputy Assistant Attorney General for Criminal Enforcement Antitrust DOJ Department of Justice March 29 2006.76 II.177 §8C4.1.

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A-4

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78 United States v. Booker 543 U.S. 20 (2005).79 1 15 U.S.C. §1 Sentencing Reform Act

2 18 U.S.C. §3571(d)

1

80 §2R1.1(b)(2)81 Julia Schiller et al Toward Convergence: The Volume of “Affected” Commerce Under the U.S. Sentencing Guidelines and “Impact” Analysis Under the Clayton Act 18 GEO. MASON L. REV. 987 991(2011)

James M. Mutchnik et al The Volume of Commerce Enigma ANTITRUST SOURCE June 2008

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1 http://www8.cao.go.jp/chosei/dokkin/pubcomm/m-03.pdfJavier Canosa,

Wayne J. Carroll, Jennifer M. Driscoll-Chippendale, Michael Inouye Fabian MartensJavier Canosa

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162 1883

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2 Edna Selan Epstein Work Product( 2001 ) Hon. Dick Thornburgh ,

(2006 Wash., D.C.)3 Hunt Blackburn, 128 U.S. 464, 470 (1888 ) (

)4 Chinachem Financial Services Limited Century Venture Holdings Limited, [2014] 2 HKLRD557 at ¶¶ 132-135 ( 2014 3 25 ).5 8 John Henry Wigmore § 2292, 554(McNaughton 1961 & Supp. 1991)6 502 (a)(1), (c)7 U.S. . Zolin, 491 U.S. 554, 562-63 (1989 )8 ABA 1997 120 (1997 8 ),http://www.americanbar.org/content/dam/aba/directories/policy/1997_am_120.authcheckdam.pdf

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9 19832008 ABA EC

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2005 ABA

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9 ABA 1983_ 301 (1983 2 2008)

http://www.americanbar.org/content/dam/aba/directories/policy/2008_my_301.authcheckdam.pdf10

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14 ABA

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14 16 n. 5.15 15~1616 1617 Upjohn Co. United States, 449 U.S. 383, 395-96 (1981)18 389

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Work Product 21

122 2

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21 5 (1)(2) (3)

(4) (5)

” Société Industrielle Aérospatiale v. U.S. District Ct. for So. District of Iowa,482 U.S. 522, 544 n.28 (1987) (citation omitted).

502(c)22

Golden Trade S.r.L. v. Lee Apparel Co., 143 F.R.D. 514, 520(S.D.N.Y. 1992).

Astra Aktiebolag v. AndrxPharmaceuticals, Inc., 208 F.R.D. 92 (S.D.N.Y 2002).23

Wolpin v. Phillip Morris, Inc., 189 F.R.D. 418, 423-4 (C.D. Cal. 1999).(1)

(2) (3)(4)

139 cmt. d

1

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24

25

26

Work Product

27

28

29

EC(open discovery)

30

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24

In re Milk Prods. , 84 F. Supp. 2d1016 (D. Minn. 1997) (

)25

In re Methionine, M.D.L. No. 00-1311 CRB (N.D. Cal. June 17, 2002)

26 Misc. No. 99-197 (TFH), MDL No. 1285, (2002) U.S. Dist. LEXIS 26490 (D.D.C.Jan. 23, 2002);(2002) U.S. Dist. LEXIS 25815 (D.D.C. Dec. 18, 2002).27 (2002) U.S. Dist. LEXIS 26490 at *105.28

29

30 (2002) U.S. Dist. LEXIS 25815 at *22-23

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31

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31 27,2832 In re Payment Card Interchange Fee & Merchant Discount , 05-MD-01720 (JG) (JO) Mem. & Order (E.D.N.Y. Aug. 27, 2010) (

) In re Static Random AccessMemory (“SRAM”) , 07-CV-01819CW, Mem. & Order (N.D. Cal. Jan. 5.2009) (denying motion to compel); In re Rubber Chems. Antitrust Litig.,486 F. Supp. 2d 1078,1083 (N.D. Cal. 2007) (

)33 In re Flat Glass , 08-MC-00180-DWA,

Proposed Order (W.D. Pa. July 2, 2009) () .

34 Upjohn Co. . United States, 449 U.S. 39335