1

2

3

4

5

6

7

8

9

10

11

12

13

14

38

In re Grand Jury Investigation, 974 F.2 d 1068, 1071 9 th Cir.1992

In re Imperial Corp. of America, 174 F.R.D. 475, 477 (S.D. Cal. 1997)

S.D.N.Y. Civ. R. 26.2(c)

FED. R. CIV. PRO. 26(b)(5) advisory committee’s note to 1993 amendment

15

16

Upjohn Co. v. United States, 449 U.S. 383, 391 (1981)

MODEL CODE OF PROF’L RESPONSIBILITY EC. 4-1 (AM. BAR ASS’N 1969) , https://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/mrpc_migrated/mcpr.pdf

Upjohn, 449 U.S. at 392-93 (United States v. U. S. Gypsum Co., 438 U.S. 422, 440-441 (1978) ) King Drug Co. of Florence v. Cephalon, Inc., 2013 WL 4836752, at *8 (E.D. Pa. Sept. 11, 2013)

Upjohn Co. v. United States, 449 U.S. 383, 395-396 (1981)

17

18

19

20

21

22

23

24

25

26

27

28

29

6 29

I.

2017 4 25

1

2

1 2017 6

2 2016

20162016

20142014

2016 2014

II.

III.

3

:i ii

4

12 3

a ; b 3 3 – 4 1

5

12

6

7

… volume of commerce 20 8

5 11-12 6 6

7 2 8

20%

10006 1200

1000 2400 1000 2016 13-14

9

10

11

3 10

3

55

9 (Background) 2015 - - -

- -l-x#NaN

-

12

10 9 2008 3 20082-3

11 3

12

13

14

515

12 14 13 14 3 15 4

5016

17

18

19

20

16

29

17 12 18 15 §§

“ ”

19 23-25 20 4

21

22

23

2008

ab

c 100

21 10

22 11 23

24

25 26

27

28

29

24

36

25 2016 12 9

38

26 5 27 8-9 2008 5

…

5 41

28 9 29 2008

30 31

32

33

34

35

30 5 31 32 -cv-

33 12-13

94 95

34 6 35 “

” (“”)

36

37

38

49

4-10 36 4 (

) 53-54 37

38 3-5

39

40

41

42

39

7

197 1 220 105 149

40 5 2014 3 17

- 41

53-54

53

7 53-55 42 - 2014 2-4

43

44

45

46

47

48

49

43 44 5 45 6-7 46

47 5

48

49 24

4-10

50

51

52

53

50

51 7 52 7 53 2-3 2016 11

-

- -

-

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

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.

3

(2)

(3)

(4)

(5)

1.

4

SAL ICN ICNSAL

SAL

7

SAL ICN

SAL (1)

8 (2)9 10

(3)11 (4)

12

13

7 Lipsky & Tritell 38 SAL Part I.E I.G II.A IV.B.9 Part I.G II.A III.D.10 Part III.E.11 Part I.D II.A.12 Part VI. C.13 3.5

5

A.

(i) (ii) (iii) (iv) (v)

14 ABA

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

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

7

24

10025

26

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).

8

27

III.

28

OECDICN 29

OECD

30

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

9

31

disgorgement

32

overcharge

33

34

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

10

IV.

35

36

37

35 3.1(4)36

EUEU

1

37

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.

11

38

39

100

EU2

30-50 2 20-30 2040

2

30-3541

38

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.

12

40 -50

/

42 ICN

43

5010 60

42

3.1(4) ( )43 ICN 23

13

44

V.

45

20 46

47

- 48 10006 1.2 2.4

1200 1000 1.2 2400 1000 2.4

49

50

44 4.445

2

46 §2R1.147 §8C2.548 §8C2.649 3.1(1)50 United States v. Hayter Oil Co. 51 F.3d 1265 1273 (6th Cir. 1995)

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

14

51

52

53

54

55

56

20 57

one-size-fits-all

2058

20 20

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

15

59

60

61

62

59

60 3.1(3)61 ICN 64

62 63

A-1

(1)(2) (3)

I.

(1)

63

64

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.

A-2

65

66

67

68

69

70

(2)

71

72

65 166 267

68 369 2-370

71 8-972

A-3

(1)(2)

(3)

73

74

(3)2

2 (second-in)75 2

2 76

22

22

77

22

2

73

74

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.

A-4

II.

78

(1)(2) 20

(3)(4)

79

(1) Volume of Commerce

80

81

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

A-5

(A)(B)

82

(2)

(1)

(2)

(3)20

83

20(1)-

(3)

(3)

A.

5 84

85

1

2

82 §2R1.1(d)(3)83 §2R1.1(d)(1).84 §8C2.5(a).85 §8C2.5(b)-(g).

A-6

3 101-2

1

4

3

5

51

63

2

86

87 0.05-4 88

0.75 89

III.

(1)

86 Barclays PLC 2015 5 Kayaba Industry Co. Ltd. () 2015 10

87 §8C2.688 §2R1.1(d)(2).89 §8C2.8(b)

A-7

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8) 10 0

(9)

(10) 90

90 18 U.S.C. § 3572(a) (Factors to be Considered in determining whether to impose a fine and the amounttime for payment and method of payment of a fine).

A-8

(11)

91

92

93

(2)

(1) (2)(3)

91 §8C2.8(a).92 GEO Specialty Chemicals Inc.

93 20§2R1.1

A-9

15 (4)94

(3)

95

96

97

98

99

(4)

100

101

94 U.S. v. Hitachi Chemical Co. Ltd. Case 4:16-cr-00180-JD (N.D. Cal.)95 §8C4.1 (

). §5K1.1 ( )96 §8C4.197 §8C4.198 18 U.S.C. §355399 “Antitrust Sentencing in the Post-Booker Era: Risks Remain High for Non-Cooperating Defendants ” Scott D. Hammond Deputy Assistant Attorney General for Criminal Enforcement Antitrust DOJ Department of Justice March 30 2005 page 10 https://www.justice.gov/atr/speech/antitrust-sentencing-post-booker-era-risks-remain-high-non-cooperating-defendants.100 United States Department of Justice and Federal Trade Commission Antitrust Enforcement Guidelines for International Operations (April 1995) https://www.justice.gov/atr/antitrust-enforcement-guidelines-international-operations.101 §3.2

1

ABA

2014 7 10

ABA

15~16JFTC

1

JFTC

JFTC

12~15 17~25

3

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

2

162 1883

3

4

1 23

4 56

7 85

6

7

ABA 40

ABA1997 ABA

8 ABA

EC EU

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

3

9 19832008 ABA EC

10

2005 ABA

11

(i)(ii) (iii) (iv)

(v)12

2005 ABAWork Product 1

23 4

13

9 ABA 1983_ 301 (1983 2 2008)

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

11 ABA, 2005 111 (3-4)_ (2005 8 )http://www.americanbar.org/content/dam/aba/directories/policy/2005_am_111.authcheckdam.pdf12 8~1213 1

4

14 ABA

-

JFTCJFTC

JFTC JFTC

15

JFTC

16

17

18

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

5

JFTC

19

JFTC -

JFTC

JFTC

JFTC

JFTC

20

19 JFTC

20 16

6

Work Product 21

122 2

23

Work Product

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

7

24

25

26

Work Product

27

28

29

EC(open discovery)

30

Work Product

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

8

31

32

33

34

JFTC35

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