Executive Summary:
This document outlines amendments to the Competition Commission of India Lesser Penalty Regulations, 2009. These amendments, titled "The Competition Commission of India Lesser Penalty Amendment Regulations, 2017," were published in the Official Gazette on August 22, 2017, and came into force on the date of their publication. The regulations are made by the Competition Commission of India in exercise of the powers conferred by section 64, read with section 46 and clause b of section 27 of the Competition Act, 2002.
Key Points / Main Content:
Definitions and Scope:
* The definition of "applicant" is revised to include individuals involved in a cartel on behalf of an enterprise.
* A new definition for "Party" is inserted, including enterprises or persons against whom inquiry or proceeding is instituted, including the Central Government, any State Government or any statutory authority and shall also include any person permitted to join the proceedings.
* References to "The Companies Act, 1956" are replaced with "The Companies Act, 2013."
Lesser Penalty Provisions:
* If the applicant is an enterprise, it shall also provide the names of individuals who have been involved in the cartel on its behalf and for whom lesser penalty is sought by such an enterprise.
* Regulation 4 is substituted: The benefit of lesser penalty, than leviable under clause b of section 27 and section 48 of the Act, as the Commission may decide, shall also be granted to the individual mentioned in subregulation 1A of regulation 3.
* The first applicant making a vital disclosure may receive up to 100% reduction in penalty.
* Subsequent applicants may receive reduced penalties based on the "added value" of their evidence.
* The second applicant may receive up to a 50% reduction, and the third or subsequent applicants may receive up to a 30% reduction in monetary penalties.
Procedural Changes:
* The deadline to submit relevant information has been extended from three to five working days.
* The period to communicate direction under subregulation 2 has been revised to within fifteen days from the date of communication of direction under subregulation 2.
Confidentiality and Inspection:
* The identity of the applicant and the information they provide will be treated as confidential.
* Exceptions to confidentiality include disclosures required by law, agreed to in writing by the applicant, or resulting from a public disclosure by the applicant.
* The Director General may disclose information, documents and evidence furnished under Regulation 5 to any party for the purposes of investigation and the applicant has not agreed to such disclosure, the Director General may disclose such information, documents and evidence to such party for reasons to be recorded in writing and after taking prior approval of the Commission
* After the Commission forwards a copy of the report containing the findings of the Director General to the party concerned, the nonconfidential version of the information, documents and evidence furnished by the applicant under regulation 5, after the Commission forwards a copy of the report containing the findings of the Director General to the party concerned becomes applicable to inspection.
* Such party shall not disclose the information, documents and evidence so obtained other than for the proceedings under the Act
Schedule Amendment:
* The schedule is amended to clarify that "affected" parties refer to those "affected in India by the alleged cartel."
Impact Analysis:
Competition Commission of India (CCI):
* Impact: The CCI is responsible for enforcing these amended regulations, assessing the value of evidence provided by applicants, and determining the extent of penalty reductions.
* Action Required: Update internal procedures to reflect these changes and ensure compliance.
Enterprises and Individuals Involved in Cartels:
* Impact: These entities are directly affected by the regulations, which provide a framework for reduced penalties in exchange for disclosing cartel activity. Individuals involved in cartels on behalf of an enterprise are now explicitly included in the definition of "applicant".
* Action Required: Review internal compliance programs, assess potential eligibility for leniency, and prepare to provide relevant information to the CCI.
Director General:
* Impact: In the context of confidentiality, the director general may disclose information, documents and evidence furnished under Regulation 5 to any party for the purposes of investigation and the applicant has not agreed to such disclosure, the Director General may disclose such information, documents and evidence to such party for reasons to be recorded in writing and after taking prior approval of the Commission
* Action Required: Follow regulations pertaining to confidentialy as well as the right to disclose as appropriate.
Parties Involved in Proceedings:
* Impact: Parties involved in proceedings gain right to inspection under specified conditions
* Action Required: Ensure that information, documents and evidence so obtained are not disclosed other than for the proceedings under the Act
Key Entities Referenced
Competition Commission of India: An organization that is making regulations to amend the Competition Commission of India Lesser Penalty Regulations.
Competition Act, 2002: The Act under which the Competition Commission of India is exercising its powers to make regulations.
Competition Commission of India Lesser Penalty Regulations, 2009: The regulations being amended by the current notification.
Competition Commission of India Lesser Penalty Amendment Regulations, 2017: The name of the new regulations being introduced.
Director General: An entity involved in investigation, mentioned in the context of evidence and confidentiality.
Companies Act, 1956: An act being replaced by the Companies Act, 2013.
Companies Act, 2013: An act that shall be substituted for the Companies Act, 1956.
New Delhi, Delhi: Place of publication of notification.
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EXTRAORDINARY
Hkkx III—[k.M 4
PART III—Section 4
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PUBLISHED BY AUTHORITY
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No. 326] NEW DELHI, TUESDAY, AUGUST 22, 2017/ SRAVANA 31, 1939
भभभभााााररररतततत ककककाााा (cid:7079)(cid:7079)(cid:7079)(cid:7079)िििितततत(cid:7021)(cid:7021)(cid:7021)(cid:7021)पपपपधधधधाााा (cid:6981)(cid:6981) (cid:6981)(cid:6981)आआआआययययोोोोगगगग
अअअअििििधधधधससससचचूूचचूू ननननाााा
भभभभााााररररतततत ककककाााा (cid:7079)(cid:7079)(cid:7079)(cid:7079)िििितततत(cid:7021)(cid:7021)(cid:7021)(cid:7021)पप पप धधधधाााा (cid:6981)(cid:6981) (cid:6981)(cid:6981)आआआआययययोोोोगगगग ((((ििििनननन(cid:7013)(cid:7013)(cid:7013)(cid:7013)नन नन ततततरररर शशशशाााािििि(cid:7021)(cid:7021)(cid:7021)(cid:7021)तत तत )))) ससससशशंंशशंं ोोोोधधधधनननन ििििववववििििननननययययमममम,,,, 2222000011117777
((((2222000011117777 ककककाााा सससस..ंं..ंं 1111))))
नई (cid:7408)द(cid:7016)ली, 8 अग(cid:7021)त, 2017
सससस..ंं..ंं एएएएलललल----3333((((4444))))////(cid:7407)(cid:7407)(cid:7407)(cid:7407)रररर----एएएएलललल....पपपपीीीी....////2222000011117777----11118888////ससससीीीीससससीीीीआआआआईईईई.—भारत का (cid:7079)ित(cid:7021)पधा (cid:6981) आयोग, (cid:7079)ित(cid:7021)पधा (cid:6981) अिधिनयम, 2002
(2003 का 12) क(cid:7409) धारा 27 के खंड (ख) और धारा 46 के साथ प(cid:7407)ठत धारा 64 (cid:7367)ारा (cid:7079)द(cid:7275) शि(cid:7334)य(cid:7298) का (cid:7079)योग करते (cid:7263)ए,
भारत का (cid:7079)ित(cid:7021) पधा(cid:6981) आयोग (िन(cid:7013) नतर शाि(cid:7021) त) िविनयम, 2009 का संशोधन करने के िलए िन(cid:7388)िलिखत िविनयम बनाता ह,ै
अथा(cid:6981)त ् :—
1. ससससंिंिंिंि(cid:6979)(cid:6979)(cid:6979)(cid:6979)(cid:7009)(cid:7009)(cid:7009)(cid:7009)तत तत ननननाााामममम औऔऔऔरररर (cid:7079)(cid:7079)(cid:7079)(cid:7079)ााााररररंंंंभभभभ.—(1) इन िविनयम(cid:7298) का संि(cid:6979)(cid:7385) नाम भारत का (cid:7079)ित(cid:7021) पधा(cid:6981) आयोग (िन(cid:7013) नतर शाि(cid:7021) त) संशोधन
िविनयम, 2017 ह ै।
(2) ये राजप(cid:7074) म(cid:7286) उनके (cid:7079)काशन क(cid:7409) तारीख को (cid:7079)वृ(cid:7275) ह(cid:7298)ग े ।
2. भारत का (cid:7079)ित(cid:7021)पधा (cid:6981) आयोग (िन(cid:7013) नतर शाि(cid:7021) त) िविनयम, 2009 म(cid:7286),—
(1) िविनयम 2 म(cid:7286),—
(क) उपिविनयम (1) म(cid:7286),—
(i) खडं (ख) के (cid:7021)थ ान पर िन(cid:7013)न िलिखत खडं रखा जाएगा, अथात(cid:6981) ् :—
'(ख) "आवेदक" से अिधिनयम क(cid:7409) धारा 2 के खंड (ज) म(cid:7286) यथा प(cid:7407)रभािषत ऐसा कोई उ(cid:7378)म अिभ(cid:7079)ेत ह,ै जो
(cid:7408)कसी उ(cid:7004) पादक संघ का सद(cid:7021) य ह ै या था और इसके अंतग(cid:6981)त ऐसा कोई (cid:7018) यि(cid:7020) ट भी ह,ै जो उ(cid:7004) पादक संघ म (cid:7286)
5215 GI/2017 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4]
(cid:7408)कसी उ(cid:7378)म क(cid:7409) ओर से संिल(cid:7009)त रहा ह ै और जो आयोग को िन(cid:7013) नतर शाि(cid:7021) त के िलए कोई आवेदन (cid:7079)(cid:7021)तुत
करता ह ै;';
(ii) खंड (छ) के प(cid:7019) चात् िन(cid:7013)न िलिखत खडं अंत:(cid:7021) थािपत (cid:7408)कया जाएगा, अथा(cid:6981)त ् :—
'(छक) "प(cid:6979)कार" के अतं गत(cid:6981) अिधिनयम क(cid:7409) धारा 2 के (cid:7059)मश: खंड (ज) और खंड (झ) म (cid:7286) प(cid:7407)रभािषत उ(cid:7378)म
या (cid:7018) यि(cid:6989) त भी ह,ै िजसके िव(cid:7271)(cid:7373) जांच या काय(cid:6981)वाही संि(cid:7021) थत क(cid:7409) गई ह ै और इसके अंतग(cid:6981)त क(cid:7286)(cid:7076)ीय सरकार,
कोई रा(cid:6996) य सरकार या कोई कानूनी (cid:7079)ािधकारी भी होगा और साथ ही काय(cid:6981)वािहय(cid:7298) म(cid:7286) भाग लेने के िलए
अनुमित (cid:7079)ा(cid:7009) त कोई (cid:7018) यि(cid:6989)त भी होगा;';
(ख) उपिविनयम (2) म,(cid:7286) "कंपनी अिधिनयम, 1956 (1956 का 1)" श(cid:7011) द(cid:7298), अंक(cid:7298) और को(cid:7020) ठक(cid:7298) के (cid:7021)थ ान पर,
"कंपनी अिधिनयम, 2013 (2013 का 18)" श(cid:7011) द, अंक और को(cid:7020) ठक रखे जाएंग े;
(2) िविनयम 3 म,(cid:7286) —
(क) उपिविनयम (1) के खडं (ख) म,(cid:7286) "क(cid:7409) उपधारा (3) के अधीन उ(cid:7016) लघं न" श(cid:7011) द(cid:7298), को(cid:7020) ठक(cid:7298) और अंक के (cid:7021) थान पर,
"के उपबंध(cid:7298) का अितलंघन" श(cid:7011)द रख े जाएंगे ;
(ख) उपिविनयम (1) के प(cid:7019) चात् िन(cid:7013) निलिखत उपिविनयम अतं (cid:7021) थािपत (cid:7408)कया जाएगा, अथा(cid:6981)त् :—
"(1क) जहां आवेदक कोई उ(cid:7378)म ह,ै वहां वह ऐसे (cid:7018) यि(cid:7020) टय(cid:7298) के नाम उपलब ध् कराएगा, जो उसक(cid:7409) ओर से
उ(cid:7004) पादक संगम म (cid:7286) संिल(cid:7009) त ह (cid:7289)और िजनके िलए ऐस े उ(cid:7378)म (cid:7367)ारा िन(cid:7013) नतर शाि(cid:7021) त क(cid:7409) ई(cid:7009) सा क(cid:7409) गई ह ै ।";
(3) िविनयम 4 के (cid:7021) थान पर िन(cid:7013) निलिखत िविनयम रखा जाएगा, अथात(cid:6981) ् :—
"(4) ििििनननन(cid:7013)(cid:7013)(cid:7013)(cid:7013)नन नन ततततरररर शशशशाााािििि(cid:7021)(cid:7021)(cid:7021)(cid:7021)तत तत ककककाााा ममममजजंंजजंं ररूूररूू (cid:7408)(cid:7408)(cid:7408)(cid:7408)ककककययययाााा जजजजााााननननाााा....—िविनयम 2 म(cid:7286) अिधकिथत शत(cid:7300) के अधीन रहते (cid:7263)ए, िविनयम 3 के
उपिविनयम (1क) म(cid:7286) उि(cid:7016) लिखत आवेदक और (cid:7018) यि(cid:7020) ट को, िन(cid:7013) निलिखत रीित म(cid:7286) अिधिनयम क(cid:7409) धारा 27 के खडं (ख)
और धारा 48 के अधीन उ(cid:7365)हणीय शाि(cid:7021) त से िन(cid:7013) नतर शाि(cid:7021)त मंजूर क(cid:7409) जाएगी, जैसा (cid:7408)क आयोग (cid:7367)ारा िविन(cid:7019) चय
(cid:7408)कया जाए, अथा(cid:6981)त् :—
(क) िविनयम 3 के उपिविनयम (1क) म (cid:7286) उि(cid:7016)ल िखत आवेदक और (cid:7018) यि(cid:7020) ट को शाि(cid:7021) त म (cid:7286) एक सौ (cid:7079)ितशत तक या
उसके बराबर क(cid:7409) कमी के फायदे को मंजरू (cid:7408)कया जा सकेगा, य(cid:7408)द आवेदक, पहला ऐसा (cid:7018)य ि(cid:6989) त ह ै जो (cid:7408)कसी
उ(cid:7004) पादक संघ के सा(cid:7023) य(cid:7298) को (cid:7079)(cid:7021)त ुत करके ऐसा मह(cid:7004) वपूण(cid:6981) (cid:7079)कटन करता ह,ै िजससे आयोग (cid:7408)कसी ऐसे उ(cid:7004) पादक
संघ क(cid:7409) िव(cid:7378)मानता के संबंध म (cid:7286) (cid:7079)थम द(cid:7020)ृ (cid:7351) ा राय बनान े म (cid:7286) समथ (cid:6981) होता ह,ै िजसने अिभकिथत (cid:7272)प स े
अिधिनयम क(cid:7409) धारा 3 के उपबंध(cid:7298) का उ(cid:7016) लघं न (cid:7408)कया ह ै और आयोग के पास आवेदन (cid:7408)कए जाने के समय ऐसी
राय बनाने के िलए पया(cid:6981)(cid:7009) त सा(cid:7023)य नह(cid:7277) था :
परंत ु आयोग िविनयम 3 के उपिविनयम (1क) म (cid:7286) उि(cid:7016)ल िखत आवेदक और (cid:7018) यि(cid:7020) ट को शाि(cid:7021) त म(cid:7286) एक सौ (cid:7079)ितशत
तक या उसके बराबर क(cid:7409) कमी के फायदे को मंजूर कर सकेगा, य(cid:7408)द आवेदक ऐसा सा(cid:7023) य (cid:7079)(cid:7021)त तु करके, जो ऐस े
(cid:7408)कसी मामले म,(cid:7286) जो अ(cid:7008) वेषणाधीन ह,ै (cid:7408)कसी उ(cid:7004) पादक संघ (cid:7367)ारा अिधिनयम क(cid:7409) धारा 3 के उपबंध(cid:7298) के उ(cid:7016)ल ंघन
को (cid:7021) थािपत करता ह,ै मह(cid:7004) वपणू (cid:6981) (cid:7079)कटन करन े वाला पहला (cid:7018) यि(cid:6989) त ह ै और आयोग या महािनदेशक के पास
आवेदन (cid:7408)कए जाने के समय ऐसे उ(cid:7016)ल ंघन को (cid:7021)थ ािपत करन े के िलए पया(cid:6981)(cid:7009) त सा(cid:7023) य नह(cid:7277) था ।
(ख) ऐसे आवेदक(cid:7298) को भी, जो (cid:7079)थम आवेदक के प(cid:7019) चातवत(cid:7278) ह,(cid:7289) ऐसे सा(cid:7023) य (cid:7079)(cid:7021) तुत करके, जो आयोग क(cid:7409) राय म,(cid:7286)
ऐसे उ(cid:7004) पादक संघ क(cid:7409) िव(cid:7378)मानता को (cid:7021) थािपत करन े के िलए, िजसने अिभकिथत (cid:7272)प स े अिधिनयम क(cid:7409) धारा 3
के उपबंध(cid:7298) का उ(cid:7016)ल ंधन (cid:7408)कया ह,ै यथाि(cid:7021) थित, आयोग या महािनदेशक के क(cid:7011) ज े म (cid:7286) पहल े स े मौजूद सा(cid:7023) य म (cid:7286)
सारवान मू(cid:7016) य वृि(cid:7373) उपल(cid:7011) ध कराते ह,(cid:7289) (cid:7079)कटन (cid:7408)कए जान े पर शाि(cid:7021) त म (cid:7286) कमी करन े का फायदा मंजूर (cid:7408)कया जा
सकेगा ।¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 3
(cid:7021)(cid:7021)(cid:7021)(cid:7021)पप पप (cid:7020)(cid:7020)(cid:7020)(cid:7020)टट टट ीीीीककककररररणणणण....—इन िविनयम(cid:7298) के (cid:7079)योजन(cid:7298) के िलए "मू(cid:7016) य वृि(cid:7373)" से वह िव(cid:7021) तार अिभ(cid:7079)ेत ह,ै िजस तक उपल(cid:7011) ध
कराया गया सा(cid:7023) य, यथाि(cid:7021) थित, आयोग या महािनदेशक के ऐसे उ(cid:7004) पादक संघ क(cid:7409), िजसने अिभकिथत (cid:7272)प स े
अिधिनयम क(cid:7409) धारा 3 के उपबंध(cid:7298) का उ(cid:7016) लघं न (cid:7408)कया ह,ै िव(cid:7378)मानता को (cid:7021) थािपत करन े के साम(cid:7005) य(cid:6981) म(cid:7286) वृि(cid:7373)
करता ह ै ।
(ग) खडं (ख) म (cid:7286) िन(cid:7416)द(cid:7020) ट धनीय शास् ित म(cid:7286) कमी िन(cid:7013) निलिखत अनु(cid:7059)म म(cid:7286) होगी,—
(i) िविनयम 3 के उपिविनयम (1क) म(cid:7286) उि(cid:7016)ल िखत आवेदक और (cid:7018) यि(cid:7020) ट को, िजसे पू(cid:7414)वकता (cid:7079)ाि(cid:7021) थित म (cid:7286)
ि(cid:7367)तीय के (cid:7272)प म(cid:7286) fpfßr (cid:7408)कया गया ह,ै उ(cid:7365)हणीय पणू (cid:6981) शाि(cid:7021)त के पचास (cid:7079)ितशत तक या उसके बराबर
धनीय शाि(cid:7021) त म(cid:7286) कमी मंजरू क(cid:7409) जा सकेगी, और
(ii) िविनयम 3 के उपिविनयम (1क) म(cid:7286) उि(cid:7016)ल िखत आवेदक और (cid:7018) यि(cid:7020) ट को, िजसे पू(cid:7414)वकता (cid:7079)ाि(cid:7021) थित म (cid:7286)
तृतीय या प(cid:7019) चातवत(cid:7278) के (cid:7272)प म (cid:7286) fpfßr (cid:7408)कया गया ह,ै उ(cid:7365)हणीय पूण(cid:6981) शाि(cid:7021) त के तीस (cid:7079)ितशत तक या उसके
बराबर धनीय शाि(cid:7021) त म (cid:7286) कमी मंजूर क(cid:7409) जा सकेगी ।";
(4) िविनयम 5 म,(cid:7286) —
(क) उपिविनयम (1) म,(cid:7286) "तीन काय(cid:6981) (cid:7408)दवस(cid:7298) के भीतर" श(cid:7011) द(cid:7298) के (cid:7021) थान पर, "पांच काय(cid:6981) (cid:7408)दवस(cid:7298) के भीतर" श(cid:7011) द रख े
जाएंगे ;
(ख) उपिविनयम (4) म,(cid:7286) "(cid:7079)थम संपक(cid:6981) के प(cid:7008) (cid:7076)ह (cid:7408)दन क(cid:7409) अविध के भीतर" श(cid:7011) द(cid:7298) के (cid:7021) थान पर, "उपिविनयम (2) के
अधीन िनदेश क(cid:7409) संसूचना क(cid:7409) तारीख से प(cid:7008)(cid:7076) ह (cid:7408)दन क(cid:7409) अविध के भीतर" श(cid:7011) द, को(cid:7020) ठक और अंक रख े जाएंग े;
(5) िविनयम 6 के (cid:7021) थान पर िन(cid:7013) निलिखत िविनयम रखा जाएगा, अथात(cid:6981) ् :—
"6. गगगगोोोोपपपपननननीीीीययययतततताााा.—भारत का (cid:7079)ित(cid:7021) पधा(cid:6981) आयोग (साधारण) िविनयम, 2009 म (cid:7286) अंत(cid:7414)व(cid:7020) ट (cid:7408)कसी बात के होत े (cid:7263)ए भी,
आयोग या महािनदेशक िन(cid:7013) निलिखत को गोपनीय समझगे ा,—
(क)(cid:32) आवेदक क(cid:7409) पहचान ; और
(ख)(cid:32) िविनयम 5 के अधीन आवेदक (cid:7367)ारा (cid:7079)(cid:7021) ततु सूचना, द(cid:7021) तावेज और सा(cid:7023) य :
परंत ु आवेदक क(cid:7409) पहचान या ऐसी सूचना, द(cid:7021)त ावेज(cid:7298) या सा(cid:7023) य को (cid:7079)कट (cid:7408)कया जा सकेगा, य(cid:7408)द,—
(i)(cid:32) (cid:7079)कटन िविध (cid:7367)ारा अपेि(cid:6979)त हो ; या
(ii)(cid:32) आवेदक न े िलिखत म(cid:7286) ऐसे (cid:7079)कटन के (cid:7079)ित सहमित दी हो ; या
(iii)(cid:32) आवेदक (cid:7367)ारा कोई लोक (cid:7079)कटन (cid:7408)कया गया हो :
परंतु यह और (cid:7408)क जहा ं महािनदेशक, अ(cid:7008) वेषण के (cid:7079)योजन(cid:7298) के िलए (cid:7408)कसी प(cid:6979)कार को िविनयम 5 के
अधीन (cid:7079)(cid:7021) ततु सूचना, दस त् ावेज और सा(cid:7023) य (cid:7079)कट करना आव(cid:7019) यक समझता ह ै और आवेदक ने ऐस े
(cid:7079)कटन के िलए सहमित नह(cid:7277) दी ह,ै वहां महािनदेशक, िलिखत म(cid:7286) कारण(cid:7298) को लेखब(cid:7373) करके और
आयोग का पूव(cid:6981) अनुमोदन (cid:7079)ा(cid:7009) त करने के प(cid:7019) चात् ऐसे प(cid:6979)कार को ऐसी सूचना, द(cid:7021) तावेज और सा(cid:7023) य
(cid:7079)कट कर सकेगा ।";
(6) िविनयम 6 के प(cid:7019) चात,् िन(cid:7013) निलिखत िविनयम अंत:(cid:7021) थािपत (cid:7408)कया जाएगा, अथा(cid:6981)त् :—
"6क. दददद(cid:7021)(cid:7021)(cid:7021)(cid:7021)तत तत ााााववववजजेेजजेे (cid:7298)(cid:7298)(cid:7298)(cid:7298) ककककाााा ििििननननररररीीीी(cid:6979)(cid:6979)(cid:6979)(cid:6979)णणणण....————िविनयम 6 के अधीन गोपनीयता के होते (cid:7263)ए भी, भारत का (cid:7079)ित(cid:7021) पधा(cid:6981) आयोग
(साधारण) िविनयम, 2009 के िविनयम 50 के उपबंध, जहां तक उनका िव(cid:7021) तार िनरी(cid:6979)ण से संबंिधत ह,ै4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4]
महािनदेशक के िन(cid:7020) कष(cid:7300) को अतं (cid:7414)व(cid:7020) ट करन े वाली (cid:7407)रपोट(cid:6981) क(cid:7409) (cid:7079)ित को आयोग (cid:7367)ारा संब(cid:7373) प(cid:6979)कार को अ(cid:7061)ेिषत करन े
के प(cid:7019) चात् िविनयम 5 के अधीन आवेदक (आवेदक(cid:7298)) (cid:7367)ारा (cid:7079)(cid:7021)त ुत सूचना, द(cid:7021) तावेज और सा(cid:7023) य के गरै -गोपनीय पाठ
को लाग ू हो जाएंग:े
परंत ु ऐसा प(cid:6979)कार इस (cid:7079)कार (cid:7079)ा(cid:7009) त सूचना, द(cid:7021) तावेज(cid:7298) और सा(cid:7023) य को अिधिनयम के अधीन काय(cid:6981)वािहय(cid:7298) के िलए के
िसवाय (cid:7079)कट नह(cid:7277) करेगा ।";
(7) अनुसूची के खंड (छ) म,(cid:7286) "उ(cid:7004) पादक संघ से (cid:7079)भािवत कारबार" श(cid:7011) द(cid:7298) के (cid:7021)थ ान पर, "उ(cid:7004) पादक संघ से भारत म (cid:7286)
(cid:7079)भािवत कारबार" श(cid:7011) द रखे जाएंगे ।
ि(cid:7021)मता (cid:7410)झगरन, सिचव
[िव(cid:6980)ापन-III/4/असा./193/17]
(cid:7407)(cid:7407)(cid:7407)(cid:7407)टटटट(cid:7009)(cid:7009)(cid:7009)(cid:7009)पप पप णणणण :::: मूल िविनयम भारत के राजप(cid:7074), असाधारण, भाग III, खंड 4 म (cid:7286) अिधसूचना सं. एल-3(4)/(cid:7407)र-एल.पी./2009-
10/सीसीआई, तारीख 13 अग(cid:7021)त , 2009 म(cid:7286) (cid:7079)कािशत (cid:7408)कए गए थ े ।
THE COMPETITION COMMISSION OF INDIA
NOTIFICATION
The Competition Commission of India (Lesser Penalty) Amendment Regulations, 2017
(No. 1 of 2017)
New Delhi, the 8th August, 2017
No. L-3(4)/Reg-L.P./2017-18/CCI.—In exercise of the powers conferred by section 64, read with section 46
and clause (b) of section 27 of the Competition Act, 2002 (12 of 2003), the Competition Commission of India
hereby makes the following regulations to amend the Competition Commission of India (Lesser Penalty)
Regulations, 2009, namely:—
1. Short title and commencement.—(1) These regulations may be called the Competition Commission of India
(Lesser Penalty) Amendment Regulations, 2017.
(2) They shall come into force on the date of their publication in the Official Gazette.
2. In the Competition Commission of India (Lesser Penalty) Regulations, 2009,—
(1) in regulation 2,—
(a) in sub-regulation (1),—
(i) for clause (b), the following clause shall be substituted, namely:—
‘(b) “applicant” means an enterprise, as defined in clause (h) of section 2 of the Act, who
is or was a member of a cartel and includes an individual who has been involved in the
cartel on behalf of an enterprise, and submits an application for lesser penalty to the
Commission; ’;
(ii) after clause (g), the following clause shall be inserted, namely:—
‘(ga) “Party” includes an enterprise or person defined in clauses (h) and (l) of section 2
of the Act, respectively, against whom inquiry or proceeding is instituted and shall
include the Central Government, any State Government or any statutory authority and
shall also include any person permitted to join the proceedings;’;
(b) in sub-regulation (2), for the words, figures and brackets, “the Companies Act, 1956 (1 of 1956)”,
the words, figures and brackets “the Companies Act, 2013 (18 of 2013)” shall be substituted;¹Hkkx IIIµ[k.M 4º Hkkjr dk jkti=k % vlk/kj.k 5
(2) in regulation 3,—
(a) in sub-regulation (1), in clause (b), for the words, brackets and figures, “violation under
sub-section (3)”, the words “contravention of the provisions” shall be substituted;
(b) after sub-regulation (1), the following sub-regulation shall be inserted, namely:—
“ (1A) Where the applicant is an enterprise, it shall also provide the names of individuals
who have been involved in the cartel on its behalf and for whom lesser penalty is sought by such an
enterprise.”;
(3) for regulation 4, the following regulation shall be substituted, namely:—
“4. Grant of lesser penalty.—Subject to the conditions laid down in regulation 3, the applicant and
individual mentioned in sub-regulation (1A) of regulation 3 shall be granted benefit of lesser penalty
than leviable under clause (b) of section 27 and section 48 of the Act, as the Commission may decide,
in the following manner, namely;—
(a) The applicant and individual mentioned in sub-regulation (1A) of regulation 3 may be
granted benefit of reduction in penalty upto or equal to one hundred percent, if the applicant is the first
to make a vital disclosure by submitting evidence of a cartel, enabling the Commission to form a
prima-facie opinion regarding the existence of a cartel which is alleged to have contravened the
provisions of section 3 of the Act and the Commission did not, at the time of application, have
sufficient evidence to form such an opinion:
Provided that the Commission may also grant benefit of reduction in penalty up to or equal to
one hundred per cent, to the applicant and individual mentioned in sub-regulation (1A) of regulation 3,
if the applicant is the first to make a vital disclosure by submitting such evidence which establishes the
contravention of the provisions of section 3 of the Act, by a cartel, in a matter under investigation and
the Commission, or the Director General did not, at the time of application, have sufficient evidence to
establish such a contravention.
(b) The applicants who are subsequent to the first applicant may also be granted benefit of
reduction in penalty on making a disclosure by submitting evidence, which in the opinion of the
Commission, may provide significant added value to the evidence already in possession of the
Commission or the Director General, as the case may be, to establish the existence of the cartel, which
is alleged to have contravened the provisions of section 3 of the Act.
(cid:111)(cid:110)(cid:105)(cid:97)(cid:116)(cid:97)(cid:110)(cid:69)(cid:120)(cid:112)(cid:108) .—For the purposes of these regulations, “added value” means the extent to which the
evidence provided enhances the ability of the Commission or the Director General, as the case may be,
to establish the existence of a cartel, which is alleged to have contravened the provisions of section 3
of the Act.
(c) The reduction in monetary penalty referred to in clause (b) shall be in the following order—
(i) the applicant and individual mentioned in sub-regulation (1A) of regulation 3 marked
as second in the priority status may be granted reduction of monetary penalty upto or equal
to fifty percent of the full penalty leviable; and
(ii) the applicant and individual mentioned in sub-regulation (1A) of regulation 3 marked
as third or subsequent in the priority status may be granted reduction of penalty up to or
equal to thirty percent of the full penalty leviable. ”;
(4) in regulation 5,—
(a) in sub-regulation (1), for the words, “within three working days”, the words “within five
working days” shall be substituted;
(b) in sub-regulation (4), for the words, “within a period of fifteen days of the first contact”,
the words, brackets and figures “within a period of fifteen days from the date of communication of
direction under sub-regulation (2)” shall be substituted;
(5) for regulation 6, the following regulation shall be substituted, namely:—6 THE GAZETTE OF INDIA : EXTRAORDINARY [PART III—SEC. 4]
“6. Confidentiality.—Notwithstanding anything contained in the Competition Commission of
India (General) Regulations, 2009, the Commission or the Director General shall treat as
confidential,—
(a)(cid:32) the identity of the applicant; and
(b)(cid:32) the information, documents and evidence furnished by the applicant under regulation 5:
Provided that the identity of the applicant or such information or documents or evidence may
be disclosed if,—
(i)(cid:32) the disclosure is required by Law; or
(ii)(cid:32) the applicant has agreed to such disclosure in writing; or
(iii)(cid:32) there has been a public disclosure by the applicant:
Provided further that where the Director General deems it necessary to disclose the
information, documents and evidence furnished under Regulation 5 to any party for the purposes
of investigation and the applicant has not agreed to such disclosure, the Director General may
disclose such information, documents and evidence to such party for reasons to be recorded in
writing and after taking prior approval of the Commission.”;
(6) after regulation 6, the following regulation shall be inserted, namely:—
“6A. Inspection of documents.—Notwithstanding the confidentiality under regulation 6, the
provisions of sub-regulations (1), (3) and (4) of regulation 37 and the provisions of regulation 50 of
the Competition Commission of India (General) Regulations, 2009, to the extent they relate to
inspection, shall become applicable to the non-confidential version of the information, documents
and evidence furnished by the applicant under regulation 5, after the Commission forwards a copy of
the report containing the findings of the Director General to the party concerned:
Provided that such party shall not disclose the information, documents and evidence so obtained
other than for the proceedings under the Act.”;
(7) in the Schedule, in clause (g), for the words, “affected by the alleged cartel”, the words “affected in
India by the alleged cartel” shall be substituted.
SMITA JHINGRAN, Secy.
[ADVT.-III/4/Exty./193/17]
Note : The principal regulations were published in the Gazette of India, Extraordinary, Part III, Section 4 vide
Notification No. L-3(4)/Reg-L.P./2009-10/CCI, dated the 13th day of August, 2009.
Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064
and Published by the Controller of Publications, Delhi-110054.