prop · GF03170 · 1991-12-31 00:00:00 — Upon applicafion by the undertakings or associations ofundertakings concerned, the EFTA Surveillance Authority may certify fhaf, onfhe basis of fhe facts in ifs possession, there are no grounds under Article53(1) or Article 54 of fhe EEA Agreement for acfion on its part in respect ofan agreement, decision or pracfice. 1991/92:170 Bilaga 16 /Court Agreement Protocol4 2Where fhe EFTASurveillance Authorify, upon applicafion or upon its own initiative, finds fhafthere is infringement of Arficle 53 or Arficle 54 of the EEA Agreement, if mayby decision require fhe undertakings or associations of undertakings concernedfo bring such infringement fo an end. 3Those entifledfo make applicafion are: 3natural orlegal persons who claim a legifimate interest. Withoutprejudice fo the other provisions of fhis Protocol, fhe EFTA Sur veillance Authorify may, before taking a decision under paragraph 1, ad dress fo fhe undertakings or associations of undertakings concerned recom mendations for terminafion of fhe infringement. Notification of new agreements, decisions and practices 2Agreements,decisions and concerted practices of fhe kind described in Article 53(1) of theEEA Agreement which come into existence after the entry into force of fhe EEAAgreement and in respect of which fhe parfies seek applicafion of Arficle 53(3)of fhe EEA Agreement shall be notified fo the EFTA Surveillance Authoritypursuant to Article 56 of the EEA Agreement, the rules referred fo in Arficles1 fo 3 of Protocol 21 and fhe rules referred to in Protocol 23 fo fhe EEA Agreement,as well as in Chapfers III, VI, VII,IX, X, XI, XII and XV. Until they have been notified, no dedsion inapplicafion of Arficle 53(3) may be taken. 3Paragraph 1shall not apply fo agreements, decisions and concerted practices where: 2fhe only partiesthereto are undertakings from one EC or from one andthe agreements, decisions or concerted practices do not reläte eifher foimports or fo exports between Confracting Parfies fo fhe EEA Agreement; 3not more thantwo undertakings are party thereto, and fhe agreements only: (i) resfrict the freedom of one party to the contract indefermining 13 1991/92. the prices or conditions of business upon which the goodswhich he has obtained from the other party to the contract may be resold; or(ii) impose resfricfions on the exercise of fhe righfs of the assignee or userof industrial property righfs - in parficular patents, utility models, designsor t rademarks - or of the person entifled under a contract fo fhe assignment,or grant, of fhe right fo use a method of manufacture or knowledge relafing tofhe use and to the applicafion of industrial processes; (c) they have asfheir sole object: (i) fhe development or uniform applicafion of standards ortypes; or (ii) joinf research ordevelopment; or (iii) specialization in fhemanufacture of products including agreements necessaty for achieving fhis; -where fhe products which are fhe subject ofspecialization do not, in a subsfanfial part of fhe territory covered by thisAgreement, represent more fhan of fhe volume of business done in identicalproducts or those considered by consumers fo be similar by reason of fheircharacferistics, price and use; and - where fhe total annual turnover of fheparfidpafing undertakings does not exceed 200 million ECU. These agreements, decisions and concerted practices may benotified fo fhe EFTA Surveillance Authority pursuant to Article 56 of fhe EEAAgreement, fhe rules referred fo in Arficles 1 fo 3 of Protocol 21 and fherules referred to in Protocol 23 to fhe EEA Agreement, as well as in ChaptersIII, VI, VII, IX, X, XI, XII and XV. Notification of exisfing agreements, decisions andpractices (See Arficle 1 of Chapfer XVI) 1991/92:170 Bilaga 16 /Court Agreement Protocol4 Decisions pursuant to Arficle 53(3) of fhe EEA Agreement 21Whenever theEFTA Surveillance Authority fakes a decision pursuant to Arficle 53(3) of fheEEA Agreement, it shall specify therein fhe dafe from which fhe decision shalltake effect. Such dafe shall not be earlier fhan the date of notification. 22The secondsentence of paragraph 1 shall not apply fo agreements, decisions or concertedpractices falling within Article 4(2) of fhis Chapfer and Article 1(2) ofChapfer XVI, nor fo those falling within Arficle 1(1) of Chapfer XVI which havebeen notified within the time-limif specified in Arfide 1(1) of Chapfer XVI. Special provisions for exisfing agreements, decisions andpractices (See Arficle 3 of Chapter XVI) Durafion and revocation of decisions under Article 53(3) 2A decision inapplication of Arficle 53(3) of fhe EEA Agreement shall be issued for aspecified period and condifions and obligafions may be aftached thereto. 3A decision mayon applicafion be renewed if fhe requirements of Article 53(3) of the EEAAgreement continue fo be satisfied. 4The EFTASurveillance Authorify may revoke or amend ifs decision or prohibif specifiedacts by the parfies: 38where there hasbeen a change in any of the facts which were basic fo fhe making of fhedecision; 39where fheparfies commif a breach of any obligation aftached to fhe decision; 40where fhedecision is based on incorrect informafion or was induced by deceif; (d) where fhe parfies abuse fheexempfion from fhe provisions of Arficle 53(1) of fhe EEA Agreement granted fo them by fhe de cision. Fn cases fo which subparagraphs (b), (c) or (d) apply, fhedecision may be revoked with refroactive effect. 1991/92:170 Bilaga 16 /Court Agreement Protocol4 176 Subject fo review of ifs decisionby fhe EFTA Court in accordance wifh Arficle 108(2) of fhe EEA Agreement andwifh the relevant provisions of this Agreement, fhe EFTA Surveillance Authorifyshall have sole power fo dedare Arfide53(1) inapplicable pursuant toArticle53(3) of the EEA Agreement on fhe condifions set out in Article56 of theEEA Agreement. 177 The EFTA Surveillance Authorifyshall have power fo apply Arficle 53(1) and Arficle 54 of fhe EEA Agreement;fhis power may be exercised notwithstanding fhaf the fime-limits specified inArficles 1(1) and 3(2) of Chapter XVI relating fo nofificafion have notexpired. 178As long as theEFTA Surveillance Authority has not initiated any procedure under Arficles 2, 3or 6, fhe authorities of fhe EFTA Sfates shall remain competent fo applyArticle 53(1) and Arficle 54; they shall remain competent in fhis respectnotwithsfanding fhaf the fime-limits specified in Artides 1(1) and 3(2) ofChapfer XVI relafing fo notification have nof expired. Liaison with fhe authorities of the EFTA States The EiFTASurveillance Authorify shall forthwithtransmit fo fhe compet ent authorities of fhe EFTA Sfates a copy of the applications and notifica tions together wifh copies of the most important documents lodged wifh fhe EFTA Surveillance Authorify for fhe purpose of establishing fhe existence of infringements of Arficles 53 or 54 of fhe EEA Agreement or of obfaining negative dearance or a decision in application of Arficle 53(3). The EFTA Surveillance Authorifyshall forthwith transmit fo the competent authorities of fhe EFTA Sfates acopy of notifications, complaints and information on opening of ex officioprocedures received from the EC Commission pursuant fo Artides 2 and 10 ofProtocol 23 to fhe EEA Agreement. The EFTA Surveillance Authorifyshall forthwith transmit fo fhe competent authorifies of fhe EFTA States acopy of documents received from fhe EC Commission pursuant fo Article 7 ofProtocol 23 to the EEA Agreement. 2The EFTASurveillance Authorify shall carry ouf fhe procedure set out in fhe firsfsubparagraph of paragraph 1 in close and liaison with the competentauthorifies of the EFTA States; such authorifies shall have the right toexpress fheir views upon fhaf procedure. 3An AdvisoryCommittee on Competition shall be consulted prior fo fhe taking of any decisionfollowing upon a procedure under the first subparagraph of paragraph 1, and ofany decision conceming the rcncwal, amendment or revocation of a decisionpursuant fo Arficle 53(3) of fhe EEA Agreement. shall beconsulted prior fo a proposal referred to in Article 22. shall be composed of officialscompetent in the maffer of resfricfive practices and monopolies. Each EFTA Sfate shall ap point an official fo represent it who, if prcvenfed from aftcnding, may be replaced by another official. The EC Commission and the EC MemberStates shall be entifled fo be present in and to expressfheir views therein. However, fheir representatives shall nof have fhe rightto vote. The consultation shall take place at a joint meefingconvened by fhe EFTA Surveillance Authority; such meeting shall be held nof earlier fhan fourfeen days after dispatch of the notice convening it. The nofice shall, in respect of each case fo be examined, be accompanied by a summary of fhe case together wifh an indicafion of fhe most important documents, and a pre liminaty draft decision. In view of fhe partieipationprovided for in fhe second subparagraph of paragraph 4, fhe EC Commission shallreceive an invifation fo fhe meeting and the relevant information as providedfor in Artide 6 of Protocol 23 fo fhe EEA Agreement. may deliver an opinionnotwithstanding fhaf 1991/92:170 Bilaga16 /Court Agreement Protocol4 some of ifs members or their alfernafes are not present. Areport of fhe outcome of the consultative proceedings shall be annexed fo thedraff decision. It shall not be made public. 3In carrying ouffhe dufies assigned fo it by Articles55 and 58 of fhe EEA Agreement, by fheprovisions set ouf in Protocol 23 and in fo fhe EEA Agreement or byfhe provisions of fhis Chapfer, fhe EFTA Surveillance Authority may obtain allnecessaty informafion from fhe Governments and competent authorifies of fheEFTA Stafes and from undertakings and associations of undertakings. 4When sending arequest for informafion fo an undertaking or association of undertakings, fheEFTA Surveillance Authority shall af fhe same time forward a copy of fherequest fo fhe competent authority of the in whose territoty fheseat of fhe undertaking or association of undertakings is situated. 5In ifs requestfhe EFTA Surveillance Authority shall sfate fhe legal basis and the purpose ofthe request and also fhe penalfies provided for in Article 15(l)(b) forsupplying incorrect information. 6The owners offhe undertakings or their representatives and, in the case of legal persons,companies or firms, or of associations having no legal per-sonalify, fhepersons authorized fo represent them by law or by their consfifution, shallsupply the informafion requested. 7Where anundertaking or association of undertakings does nof supply the informafionrequested within fhe time-limif fixed by fhe EFTA Surveillance Authority, orsupplies incomplete information, fhe EFTA Surveillance Authority shall bydecision require fhe informafion to be supplied. The decision shall specifywhat informafion is required, fix an appropriate time-limif within which it isto be supplied and indicate fhe penalfies provided for in Arficle 15(l)(b) andArticle 16(l)(c) and fhe right fo have fhe decision reviewed by fhe EFTA Courfin accordance with Arficle 108(2) of the EEA Agreement and wifh fhe relevantprovisions of fhis Agreement, in parficular Artide 35. 8The EFTASurveillance Authorify shall af fhe same time forward a copy of its decision fofhe competent authorify of the in whose territoty the seat of theundertaking or association of undertakings is situated. 1991/92:170 Bilaga 16 /Court Agreement Protocol 4 Inquity into sectors of fhe economy If in any sector of fhe economy fhe trend of trade,price movements, in-flexibility of prices or other circumsfances suggest thatin the economic secfor concerned compefition is being restricted or disfortedwithin fhe territoty covered by fhe EEA Agreement, the EFTA SurveillanceAuthority may decide, in accordance with the provisions of Protocol 23 to theEEA Agreement, fo conducf a general inquiry into that economic secfor and infhe course thereof may request undertakings in the sector concerned to supplythe informafion necessaty for giving effect fo fhe principles formulafed inArficles 53 and 54 of the EEA Agreement and for cartying ouf fhe dufiesentrusted to the EFTA Surveillance Authority. 74The EFTASurveillance Authority may in particular request evety undertaking orassociation of undertakings in fhe economic secfor concerned fo communicate toit all agreements, decisions and concerted practices which are exempt fromnotification by virfue of Arficle 4(2) of this Chapter and Artide 1(2) ofChapfer XVI. 75When makinginquiries pursuant fo paragraph 2, fhe EFTA Surveillance Authority shall alsorequest undertakings or groups of undertakings whose size suggests fhaf theyoccupy a dominant posifion within fhe territory covered by fhe EEA Agreementor a subsfanfial parf thereof fo supply fo fhe EFTA Surveillance Authorify suchparticulars of fhe sfructure of fhe undertakings and of their behaviour as arerequisite fo an appraisal of fheir posifion in the light of Arficle 54 of fheEEA Agreement. 76Arficle 10(3)fo (6) and Arficles 11,13 and 14 shall apply correspondingly. Investigations by fhe authorifies of fhe EFTA Sfates 3Af fhe requestof fhe EFTA Surveillance Authority, the competent authorifies of fhe EFTASfates shall undertake fhe investigations which the EFTA Surveillance Authorityconsiders fo be necessary under Arficle 14(1), or which if has ordered bydecision pursuant to Arficle 14(3). The officials of fhe competent authorifiesof fhe EFTA States responsible for conducting these investigations shallexercise their powers upon production of an authorizafion in writing issued bythe competent authority of the in whose territoty fhe investigafionis fo be made. Such authorizarion shall specify the subject matter and purposeof the investigation. 4If so requestedby the EFTA Surveillance Authorify or by the competent authorify of fhe EFTASfate in whose territoty fhe investigafion is fo be made, fhe officials of fheEFTA Surveillance Authority may assist fhe officials of such authority incartying ouf fheir duties. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 Investigafing powers of the EFTA Surveillance Authority In cartying ouf fhe dufies assigned fo if by Arficles55 and 58 of the EEA Agreement, by the provisions set out in Protocol 23 and inAnnex XIV to the EEA Agreement or by fhe provisions of this Chapter, fhe EFTASurveillance Authority may undertake all necessaty investigations intounderfak- ings and associations of undertakings in the territory ofan . To this end fhe officials authorized by fhe EFTA SurveillanceAuthority are em-powered: 2to examine fhebooks and other business records; 3fo take copiesof or extracts from the books and business records; 4fo ask for oralexplanafions on fhe spof; (d) fo enfer any premises, land and means of transport ofundertakings. 3The officialsof the EFTA Surveillance Authorify authorized for fhe purpose of theseinvestigations shall exercise their powers upon production of an authorizafionin writing specifying fhe subject maffer and purpose of fhe investigafion andfhe penalfies provided for in Arficle 15(l)(c) in cases where production of fherequired books or other business records is incomplete. In good time before fheinvestigafion, fhe EFTA Surveillance Authority shall inform fhe competentauthority of fhe EFTA Sfate in whose territoty fhe same is fo be made of fheinvestigafion and of fhe idenfity of fhe authorized officials. The EFTASurveillance Authority shall also provide such an authorizafion forepresentatives of the EC Commission who shall take parf in fhe investigafionin accordance wifh Arficle 8(4) of Protocol 23 fo fhe EEA Agreement. 4Undertakingsand associations of undertakings shall submit fo investigations ordered bydecision of the EFTA Surveillance Authorify. The decision shall specify thesubject matter and purpose of the investigafion, appoint fhe dafe on which itis fo begin and indicate fhe penalfies provided for in Arfide 15(l)(c) andArficle 16(l)(d) and the right to have fhe decision reviewed by fhe EFTA Courtin accordance wifh Article 108(2) of fhe EEA Agreement and wifh fhe relevantprovisions of this Agreement, in particular Artide 35. 5The EFTASurveillance Authorify shall take decisions referred to in paragraph 3 afterconsultation wifh fhe competent authority of fhe in whose territorythe investigation is to be made. 6Officials ofthe competent authority of fhe EFTA Sfate in whose territory fhe investigationis t o be made may, af the request of such authority or of fhe EFTASurveillance Authority, assist the officials of fhe EFTA Surveillance Authorityin carrying out their duties. 7Where an undertakingopposes an investigation ordered pursuant fo this Arficle, the EFTA Stateconcerned shall afford fhe necessary assisfance fo the officials authorized byfhe EFTA Surveillance Authority to enable them to make their investigation. 8EFTA States shall,after consultation with the EFTA Surveillance Authority, take fhe necessatymeasures to this end within six months of fhe enfty into force of the EEAAgreement. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 The EFTA Surveillance Authority may by decision imposeon undertak ings or associations of undertakings fines of from 100 to 5 000 ECU where, intentionally or negligently: 3they supply incorrector misleading informafion in an applicafion pursuant to Arficle 2 or in anofificafion pursuant to Arficle 4 of fhis Chapfer or Artide 1 of Chapter XVI;or 4they supplyincorrect information in response fo a request made pursuant to Article 11(3)or (5) or fo Arficle 12, or do not supply informafion within the time-limiffixed by a decision taken under Article 11(5); or 5they producefhe required books or other business records in incomplete form duringinvestigations under Arficle 13 or 14, or refuse to submit fo an investigafionordered by decision issued in implemenfafion of Arficle 14(3). The EFTA Surveillance Authorify may by dedsion imposeon undertak ings or associations of undertakings fines of from 1 000 fo 1000 000 ECU, or a sum in excess thereof but nof exceeding of the turnover in fhe preced ing business year of each of the undertakings participating in the infringe ment where, either intentionally or negligently: 2they infringeArficle 53(1) or Arficle 54 of fhe EEA Agreement; or 3they commif abreach of any obligafion imposed pursuant fo Arfide 8(1). In fixing the amount of the fine, regard shall be had bothfo fhe gravify and to the duration of the infringement. 2Artide 10(3) fo(6) shall apply. 3Decisions takenpursuant to paragraphs 1 and 2 shall nof be of a criminal law nature. 4The finesprovided for in paragraph 2(a) shall nof be imposed in respect of acts takingplace: 30afternotification fo fhe EFTA Surveillance Authorify and before ifs decision inapplication of Arficle 53(3) of the EEA Agreement, provided they fall withinthe limits of the activity described in the nofificafion; 31beforenofificafion and in fhe course of agreements, decisions or concerted practices inexistence af fhe dafe of enfty into force of the EEA Agreement, provided thatnotification was effected within fhe fime-limits specified in Arficles 1(1) and3(2) of Chapter XVI. Paragraph 5 shall not have effect where the EFTASurveillance Authority has informed fhe undertakings concerned fhaf after preliminaty examination it is of the opinion that Article 53(1) of the EEA Agreement applies and fhaf applicafion of Arficle 53(3) is nof justified. 1991/92:170 Bilaga 16 /Court Agreement Protocol 4 The EFTA Surveillance Authorify may by decision imposeon undertakings or associations of undertakings periodic penaity payments offrom 50 fo 1 000 ECU per day, calculated from fhe date appointed by fhedecision, in order to compel them; Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol 4 (b) (c) to put an end fo an infringement of Arficles 53 or 54 ofthe EEA Agreement, in accordance wifh a decision taken pursuant fo Article 3of fhis Chapter; fo refrain from any act prohibited under Article 8(3); fo supply complefe and correct information which it hasrequested by dedsion taken pursuant to Article 11(5); fo submit fo an investigafion which it has ordered bydecision taken pursuant fo Arficle 14(3). 5Where fheundertakings or associations of undertakings have satisfied the obligationwhich it was the purpose of the periodic penaity payment to enforce, fhe EFTASurveillance Authority may fbc the total amount of the periodic penaitypayment af a lower figure fhan fhaf which would arise under the originaldecision. 6Artide 10(3) to(6) shall apply. Review by fhe EFTA Court The EFTA Court, in accordance wifh Arficle 108(2) of fheEEA Agreement and with fhe relevant provisions of this Agreement, shall haveuniimifed jurisdicfion within fhe meaning of Arficle 35 of fhis Agreement toreview decisions whereby fhe EFTA Surveillance Authority has fbced a fine orperiodic penaity payment; if may cancel, reduce or increase the fine orperiodic penaity payment imposed. Forthe purposes of applying Artides 15 to 17, 'ECU' means the ECU as defined byfhe competent authorifies of Communifies. Hearing of fhe parties and of third persons Before taking decisions as provided for in Arficles 2,3, 6, 8,15 and 16 of fhis Chapfer and in Arficle 3 of Chapter XVI, fhe EFTASurveillance Authorify shall give fhe undertakings or associations ofundertakings concerned fhe opporfunify of being heard on fhe matters fo whichfhe EFTA Surveillance Authority has taken objection. 2If the EFTA Surveillance Authority orthe competent authorities of the EFTA States consider if necessaty, they mayalso hear other natural or legal persons. Applications fo be heard on fhe parfof such persons shall, where they show a sufficient interest, be granted. 3Where the EFTA Surveillance Authorityinfends fo give negative dearance pursuant to Arficle 2 or take a decision inapplication of Article 53(3) of the EEA Agreement, it shall publish a summatyof the relevant application or notification and invite all inferesfed thirdparties to submit fheir observations within a time-limif which if shall fbcbeing nof less fhan one month. Publicafion shall have regard fo fhe legifimateinterest of undertakings in fhe protection of their business secrets. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 2Without prejudice fo Article 9(3) ofProtocol 23 fo fhe EEA Agreement, informafion acquired as a result of theapplicafion of Arficles 11, 12, 13 and 14 of this Chapfer or of Article 58 ofthe EEA Agreement and Protocol 23 thereto shall be used only for the purpose ofthe relevant request or investigafion. 3Without prejudice fo the provisions ofArtides 19 and 21, fhe EFTA Surveillance Authorify and fhe competentauthorifies of fhe EFTA States, their officials and other servants shall notdisclose informafion acquired by them as a result of fhe application of thisProtocol or Arficle 58 of fhe EEA Agreement and Protocol 23 thereto and of fhekind covered by the obligation of professional secrecy. This obligation shallalso apply to the representatives of fhe EC Commission and of fhe EC MemberStafes who parficipate in pursuant fo Arficle 10(4) andin the hearing pursuant fo Arfide8(2) of ChapferIV. 4The provisions of paragraphs 1 and 2shall nof prevent publicafion of general informafion or surveys which do nofconfain informafion relafing to parficular undertakings or associations ofundertakings. 3The EFTA Surveillance Authority shallpublish fhe decisions which it fakes pursuant to Arficles 2, 3, 6 and 8 of fhisChapfer and to Arficle 3 of Chapfer XVI. 4The publicafion shall sfate fhe namesof fhe parfies and fhe main content of the decision; it shall have regard tothe legifimate interest of undertakings in fhe protection of fheir businesssecrets.