Commission Notice on Immunity from fines and reduction of fines in cartel cases.docx
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Commission Notice on Immunity from fines and reduction of fines in cartel cases.docx
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CommissionNoticeonImmunityfromfinesandreductionoffinesincartelcases
CommissionNoticeonImmunityfromfinesandreductionoffinesincartelcases
(TextwithEEArelevance)
(2006/C298/11)
I. INTRODUCTION
(1)
ThisnoticesetsouttheframeworkforrewardingcooperationintheCommissioninvestigationbyundertakingswhichareorhavebeenpartytosecretcartelsaffectingtheCommunity.Cartelsareagreementsand/orconcertedpracticesbetweentwoormorecompetitorsaimedatcoordinatingtheircompetitivebehaviouronthemarketand/orinfluencingtherelevantparametersofcompetitionthroughpracticessuchasthefixingofpurchaseorsellingpricesorothertradingconditions,theallocationofproductionorsalesquotas,thesharingofmarketsincludingbid-rigging,restrictionsofimportsorexportsand/oranti-competitiveactionsagainstothercompetitors.SuchpracticesareamongthemostseriousviolationsofArticle81EC
(1).
(2)
Byartificiallylimitingthecompetitionthatwouldnormallyprevailbetweenthem,undertakingsavoidexactlythosepressuresthatleadthemtoinnovate,bothintermsofproductdevelopmentandtheintroductionofmoreefficientproductionmethods.SuchpracticesalsoleadtomoreexpensiverawmaterialsandcomponentsfortheCommunitycompaniesthatpurchasefromsuchproducers.Theyultimatelyresultinartificialpricesandreducedchoicefortheconsumer.Inthelongterm,theyleadtoalossofcompetitivenessandreducedemploymentopportunities.
(3)
Bytheirverynature,secretcartelsareoftendifficulttodetectandinvestigatewithoutthecooperationofundertakingsorindividualsimplicatedinthem.Therefore,theCommissionconsidersthatitisintheCommunityinteresttorewardundertakingsinvolvedinthistypeofillegalpracticeswhicharewillingtoputanendtotheirparticipationandco-operateintheCommission'sinvestigation,independentlyoftherestoftheundertakingsinvolvedinthecartel.TheinterestsofconsumersandcitizensinensuringthatsecretcartelsaredetectedandpunishedoutweightheinterestinfiningthoseundertakingsthatenabletheCommissiontodetectandprohibitsuchpractices.
(4)
TheCommissionconsidersthatthecollaborationofanundertakinginthedetectionoftheexistenceofacartelhasanintrinsicvalue.Adecisivecontributiontotheopeningofaninvestigationortothefindingofaninfringementmayjustifythegrantingofimmunityfromanyfinetotheundertakinginquestion,onconditionthatcertainadditionalrequirementsarefulfilled.
(5)
Moreover,co-operationbyoneormoreundertakingsmayjustifyareductionofafinebytheCommission.Anyreductionofafinemustreflectanundertaking'sactualcontribution,intermsofqualityandtiming,totheCommission'sestablishmentoftheinfringement.ReductionsaretobelimitedtothoseundertakingsthatprovidetheCommissionwithevidencethataddssignificantvaluetothatalreadyintheCommission'spossession.
(6)
Inadditiontosubmittingpre-existingdocuments,undertakingsmayprovidetheCommissionwithvoluntarypresentationsoftheirknowledgeofacartelandtheirrolethereinpreparedspeciallytobesubmittedunderthisleniencyprogramme.Theseinitiativeshaveprovedtobeusefulfortheeffectiveinvestigationandterminationofcartelinfringementsandtheyshouldnotbediscouragedbydiscoveryordersissuedincivillitigation.PotentialleniencyapplicantsmightbedissuadedfromcooperatingwiththeCommissionunderthisNoticeifthiscouldimpairtheirpositionincivilproceedings,ascomparedtocompanieswhodonotcooperate.SuchundesirableeffectwouldsignificantlyharmthepublicinterestinensuringeffectivepublicenforcementofArticle81ECincartelcasesandthusitssubsequentorparalleleffectiveprivateenforcement.
(7)
ThesupervisorytaskconferredontheCommissionbytheTreatyincompetitionmattersdoesnotonlyincludethedutytoinvestigateandpunishindividualinfringements,butalsoencompassesthedutytopursueageneralpolicy.TheprotectionofcorporatestatementsinthepublicinterestisnotabartotheirdisclosuretootheraddresseesofthestatementofobjectionsinordertosafeguardtheirrightsofdefenceintheprocedurebeforetheCommission,totheextentthatitistechnicallypossibletocombinebothinterestsbyrenderingcorporatestatementsaccessibleonlyattheCommissionpremisesandnormallyonasingleoccasionfollowingtheformalnotificationoftheobjections.Moreover,theCommissionwillprocesspersonaldatainthecontextofthisnoticeinconformitywithitsobligationsunderRegulation(EC)No45/2001.
(2)
II. IMMUNITYFROMFINES
A. Requirementstoqualifyforimmunityfromfines
(8)
TheCommissionwillgrantimmunityfromanyfinewhichwouldotherwisehavebeenimposedtoanundertakingdisclosingitsparticipationinanallegedcartelaffectingtheCommunityifthatundertakingisthefirsttosubmitinformationandevidencewhichintheCommission'sviewwillenableitto:
(a)
carryoutatargetedinspectioninconnectionwiththeallegedcartel (3);or
(b)
findaninfringementofArticle81ECinconnectionwiththeallegedcartel.
(9)
FortheCommissiontobeabletocarryoutatargetedinspectionwithinthemeaningofpoint(8)(a),theundertakingmustprovidetheCommissionwiththeinformationandevidencelistedbelow,totheextentthatthis,intheCommission'sview,wouldnotjeopardizetheinspections:
(a)
Acorporatestatement (4)whichincludes,insofarasitisknowntotheapplicantatthetimeofthesubmission:
—
Adetaileddescriptionoftheallegedcartelarrangement,includingforinstanceitsaims,activitiesandfunctioning;theproductorserviceconcerned,thegeographicscope,thedurationofandtheestimatedmarketvolumesaffectedbytheallegedcartel;thespecificdates,locations,contentofandparticipantsinallegedcartelcontacts,andallrelevantexplanationsinconnectionwiththepiecesofevidenceprovidedinsupportoftheapplication.
—
Thenameandaddressofthelegalentitysubmittingtheimmunityapplicationaswellasthenamesandaddressesofalltheotherundertakingsthatparticipate(d)intheallegedcartel;
—
Thenames,positions,officelocationsand,wherenecessary,homeaddressesofallindividualswho,totheapplicant'sknowledge,areorhavebeeninvolvedintheallegedcartel,includingthoseindividualswhichhavebeeninvolvedontheapplicant'sbehalf;
—
Informationonwhichothercompetitionauthorities,insideoroutsidetheEU,havebeenapproachedorareintendedtobeapproachedinrelationtotheallegedcartel;and
(b)
Otherevidencerelatingtotheallegedcartelinpossessionoftheapplicantoravailabletoitatthetimeofthesubmission,includinginparticularanyevidencecontemporaneoustotheinfringement.
(10)
Immunitypursuanttopoint(8)(a)willnotbegrantedif,atthetimeofthesubmission,theCommissionhadalreadysufficientevidencetoadoptadecisiontocarryoutaninspectioninconnectionwiththeallegedcartelorhadalreadycarriedoutsuchaninspection.
(11)
Immunitypursuanttopoint(8)(b)willonlybegrantedonthecumulativeconditionsthattheCommissiondidnothave,atthetimeofthesubmission,sufficientevidencetofindaninfringementofArticle81ECinconnectionwiththeallegedcartelandthatnoundertakinghadbeengrantedconditionalimmunityfromfinesunderpoint(8)(a)inconnectionwiththeallegedcartel.Inordertoqualify,anundertakingmustbethefirsttoprovidecontemporaneous,incriminatingevidenceoftheallegedcartelaswellasacorporatestatementcontainingthekindofinformationspecifiedinpoint(9)(a),whichwouldenabletheCommissiontofindaninfringementofArticle81EC,.
(12)
Inadditiontotheconditionssetoutinpoints(8)(a),(9)and(10)orinpoints(8)(b)and11,allthefollowingconditionsmustbemetinanycasetoqualifyforanyimmunityfromafine:
(a)
Theundertakingcooperatesgenuinely (5),fully,onacontinuousbasisandexpeditiouslyfromthetimeitsubmitsitsapplicationthroughouttheCommission'sadministrativeprocedure.Thisincludes:
—
providingtheCommissionpromptlywithallrelevantinformationandevidencerelatingtotheallegedcartelthatcomesintoitspossessionorisavailabletoit;
—
remainingattheCommission'sdisposaltoanswerpromptlytoanyrequestthatmaycontributetotheestablishmentofthefacts;
—
makingcurrent(and,ifpossible,former)employeesanddirectorsavailableforinterviewswiththeCommission;
—
notdestroying,falsifyingorconcealingrelevantinformationorevidencerelatingtotheallegedcartel;and
—
notdisclosingthefactoranyofthecontentofitsapplicationbeforetheCommissionhasissuedastatementofobjectionsinthecase,unlessotherwiseagreed;
(b)
Theundertakingendeditsinvolvementintheallegedcartelimmediatelyfollowingitsapplication,exceptforwhatwould,intheCommission'sview,bereasonablynecessarytopreservetheintegrityoftheinspections;
(c)
WhencontemplatingmakingitsapplicationtotheCommission,theundertakingmustnothavedestroyed,falsifiedorconcealedevidenceoftheallegedcartelnordisclosedthefactoranyofthecontentofitscontemplatedapplication,excepttoothercompetitionauthorities.
(13)
Anundertakingwhichtookstepstocoerceotherundertakingstojointhecartelortoremaininitisnoteligibleforimmunityfromfines.Itmaystillqualifyforareductionoffinesifitfulfilstherelevantrequirementsandmeetsalltheco
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