prop · GF03170 · 1991-12-31 00:00:00 — 1The EFTA Surveillance Authorify shallcarry ouf fhe procedures provided for in this Chapfer in close and constantliaison wifh the competent authoriries of the EFTA Stafes; these authorifiesshall have fhe right to express fheir views on such procedures. 2The EFTA Surveillance Authorify shallimmediately forward to the competent authorifies of fhe EFTA States copies ofthe complaints and applications, and of fhe most important documents sent foif or which if sends out in fhe course of such procedures. The EFTA Surveillance Authorify shall forthwithtransmit fo fhe competent authorifies of the EFTA States a copy ofnotifications, complaints and informafion on opening of ex officio proceduresreceived from fhe EC Commission pursuant to Arficles 2 and 10 of Protocol 23fo fhe EEA Agreement. The EFTA Surveillance Authorify shall forthwithtransmit fo fhe competent authoriries of the EFTA States a copy of documentsreceived from the EC Commission pursuant to Article 7 of Protocol 23 to the EEAAgreement. 1An the Transport Industty shall be consulted prior to the taking of anydecision following upon a procedure under Artide 10 or of any decision underthe second subparagraph of Arfide 12(3), or under fhe second subparagraph ofparagraph 4 of fhe same Article, or under paragraph 2 or paragraph 3 of Article14. shall also be consulted prior to a proposal referredfo in Arficle 29. 2The shall becomposed of officials competent in the maffer of resfricfive practices andmonopolies in transport. Each appoint two officials forepresent if, each of whom, if prcvenfed from affending, may be replaced bysome other official. The EC Commission and fhe EC MemberStafes shall be enfitled fo be present in fhe and fo expressfheir views therein. However, fheir representatives shall nof have the rightto vote. Consultation shall take place at a joint meetingconvened by the EFTA Surveillance Authority; such meeting shall be held not earlier than 14 days affer dispatch of fhe nofice convening if. This notice shall, in respect ofeach case to be examined, be accompanied by a summaty of the case together with an indication of the most important documents, and a preliminaty draft decision. In view of the partieipationprovided for in the second subparagraph of paragraph 4, fhe EC Commission shallreceive an invitafion fo the meeting and fhe relevant information as providedfor in Article 6 of Protocol 23 to the EEA Agreement. may deliver an opinionnotwithsfanding fhaf some of ifs members or their alfernafes are nof present. A report of fhe out come of the consultative proceedings shall be annexed fo fhe draff decision. If shall not be made public. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 Consideration by fhe ofprinciple conceming fhe provisions on transport as contained in fhe EEAAgreement raised in connection with specific cases. 1The EFTA SurveillanceAuthorify shall nof give a decision in respect of which consultation as laiddown in Arficle 16 is compulsoty until affer fhe expiry of 20 days from thedafe on which fhe has delivered ifs opinion. 2Before theexpity of fhe period specified in paragraph I, any may request thatfhe be convened to examine with fhe EFTA SurveillanceAuthority any quesfion of principle conceming the provisions on fransport ascontained in fhe EEA Agreement which such considers to be involvedin the parficular case for decision. shall meetwithin 30 days from the request by fhe concerned for fhe solepurpose of considering such questions of principle. The EFTA Surveillance Authorityshall not give ifs decision until after the meeting of fhe . 2Further, theStanding Committee may at any finie, af the request of an or of fheEFTA Surveillance Authority, consider general quesfions raised by the implemenfafionof the compefition policy in fhe fransport sector. 3In all caseswhere is asked fo meet to consider under paragraph 2questions of principle or under paragraph 3 general questions, fhe EFTASurveillance Authority shall, for fhe purposes of this Chapfer, take Infoaccount fhe policy guidelines which emerge from the meefing. 3Ff trends in transport, flucfuafionsin or inflexibility of transport rafes, or other circumstances, suggest thatcompetirion in transport is being restricted or disforted within the territotycovered by the EEA Agreement in a specific geographical area, or över one ormore transport links, or in respect of the carriage of passengers or goodsbelonging to one or more specific cafegories, fhe EFTA Surveillance Authoritymay decide, in accordance wifh the provisions of Protocol 23 to the EEAAgreement, to conducf a general inquity into the secfor concerned, in fhecourse of which if may request transport undertakings in that sector to supplyfhe information and documentation necessaty for giving effect to fhe principlesformulafed in Arficles 2 fo 5, 7 and 8 of the acf referred to in point 10 ofAnnex XIV to fhe EEA Agreement (Regulation (EEC) No 1017/68) and to Artide 6 ofthis Chapter. 4When making inquiries pursuant toparagraph 1, the EFTA Surveillance Authority shall also request undertakings orgroups of undertakings whose size suggests that they occupy a dominant posifionwithin fhe territoty covered by the EEA Agreement or a subsfanfial partthereof to supply such particulars of fhe sfructure of fhe undertakings and offheir behaviour as are requisite to an appraisal of fheir posifion in fhe lighfof the provisions of Arfide 8 of fhe said act. 5Artide 16(2) to (6) and Artides 17,19, 20 and 21 shall apply. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol 4 1In cartying out the dufies assigned foif by Arficles 55 and 58 of fhe EEA Agreement, by provisions set ouf inProtocol 23 and in to the EEA Agreement or by provisions of thisChapfer, fhe EFTA Surveillance Authority may obtain all necessaty informafionfrom fhe governments and competent authorifies of the EFTA States and fromundertakings and associations of undertakings. 2When sending a request for informafionto an undertaking or association of undertakings, the EFTA SurveillanceAuthority shall at fhe same time forward a copy of fhe request to thecompetent authority of fhe EFTA Sfate in whose territoty the seat of fheundertakings is situated. 3Fn its request, the EFTA SurveillanceAuthority shall sfate fhe legal basis and the purpose of fhe request, and alsofhe penalfies provided for in Article22(l)(b) for supplying incorrectinformation. 4The owners of the undertakings orfheir representatives and, in the case of legal persons, companies or firms, orof associations having no legal per-sonality, the person authorized torepresent them by law or by their constitu-fion, shall be bound fo supply theinformafion requested. 5Where an undertaking or assodafion ofundertakings does nof supply fhe informafionrequested within the time-limit fixed by the EFTA Surveillance Authority, orsupplies incomplete information, fhe EFTA Surveillance Authority shall bydecision require the informafion fo 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 22(l)(b) andArticle 23(l)(c), and the right fo have fhe decision reviewed by the EFTA Courtin accordance wifh Arficle 108(2) of fhe EEA Agreement and with the relevantprovisions of this Agreement, in parficular Arficle 35. 6.The EFTA Surveillance Authority shall at fhe same time forward a copy of itsdecision to the competent authority of the in whose territoty fheseat of fhe undertaking or association of undertakings is situated. Investigationsby fhe authorifies of fhe EFTA Sfates 1At the request of fhe EFTASurveillance Authority, the competent authorifies of the EFTA States shallundertake the investigations which fhe EFTA Surveillance Authority considers fobe necessaty under Arficle 21(1), or which if has ordered by decision pursuantfo Arficle 21(3). The officials of the competent authorifies of fhe EFTA Sfatesresponsible for conducting these investigations shall exercise fheir powersupon producfion of an au-thorization in writing issued by fhe competentauthority of the in whose territoty the investigafion is fo be made.Such authorizafion shall specify fhe subject maffer and purpose of fheinvestigafion. 2If so requested by the EFTASurveillance Authority or by fhe competent authority of fhe in whoseterritoty the investigation is to be made, fhe officials of fhe EFTASurveillance Authority may assist fhe officials of such authority in cartyingouf their dufies. 1991/92:170 Bilaga16 /Court Agreement Protocol4 Investigafingpowers of fhe EFTA Surveillance Authority Incartying ouf fhe dufies assigned to if by Arficles 55 and 58 of fhe EEA Agreement, by provisions set ouf in Protocol 23 and in to the EEA Agreement or by provisions of fhis Chapfer, fhe EFTA Surveillance Authority may undertake all necessaty investigations into undertakings and associations of undertakings in the territoty of an EFTA Sfate. To this end the officials authorized by fhe EFTA Surveillance Authority are em- powered: 3fo examine the books and otherbusiness records; 4to take copies of or extracfs from fhebooks and business records; 5fo ask for oral explanafions on fhespof; (d) foenfer any premises, land and vehicles of undertakings. Theofficials of fhe EFTA Surveillance Authority authorized for fhe pur- poseof these investigations shall exercise fheir powers upon producfion of anauthorizafion in writing specifying fhe subject maffer and purpose of fheinvestigation and the penalfies provided for in Article 22(l)(c) in cases whereproducfion of the required books or other business records is incomplete. Fn good time before the investigafion, fhe EFTASurveillance Authority shall inform the competent authority of the EFTA Statein whose territoty the same is to be made of fhe investigafion and of fheidenfity of fhe authorized officials. The EFTA Surveillance Authority shallalso provide such an authorizafion fo representatives of fhe EC Commission whoshall take parf in fhe investigafion in accordance with Arficle 8(4) ofProtocol 23 fo fhe EEA Agreement. 2Undertakings and associations ofundertakings shall submit to investigations ordered by decision of fhe EFTASurveillance Authority. The decision shall specify fhe subject maffer andpurpose of fhe investigafion, appoint the dafe on which if is fo begin andindicate fhe penalfies provided for in Arfide 22(l)(c) and Article 23(l)(d) andthe right to have the decision reviewed by fhe EFTA Courf. 3The EFTA Surveillance Authority shalltake decisions referred to in paragraph 3 after consultation with thecompetent authority of fhe EFTA Sfate in whose territoty fhe investigation isto be made. 4Officials of fhe competent authorityof fhe in whose territoty fhe investigafion is fo be made, may atthe request of such authority or of fhe EFTA Surveillance Authority, assist theofficials of the EFTA Surveillance Authority in cartying ouf fheir dufies. 5Where an undertaking opposes aninvestigafion ordered pursuant fo fhis Arficle, fhe EFTA Sfate concerned shallafford fhe necessary assistance fo the officials authorized by the EFTASurveillance Authority fo enable them to make their investigation. EFTA Sfatesshall, after consultation with the EFTA Surveillance Authority, take thenecessary measures fo this end within six months of fhe enfty into force of theEEA Agreement. 1991/92:170 Bilaga16 /Court Agreement Protocol4 1.The EFTA Surveillance Authority may by decision impose on undertakings orassociations of undertakings fines of from 100 to 5 000 ECU where,intentionally or negligently: 2they supply incorrect or misleadinginformation in an application pursuant to Article 12 or in a nofificafionpursuant to Arficle 14; or 3they supply incorrect information inresponse to a request made pursuant fo Arficle 18 or fo Arficle 19(3) or (5),or do nof supply informafion within the time-limif fbced by a decision takenunder Artide 19(5); or 4they produce the required books orother business records in incomplete form during investigations under Arficle20 or Arficle 21, or re- fuseto submit to an investigafion ordered by decision issued in implemenfafion ofArficle 21(3). TheEFTA Surveillance Authorify may by decision impose on undertak ings or associations of undertakings fines of from 1 000 to 1000 000 ECU, or a sum in excess thereof but not exceeding of fhe turnover in the preced ing business year of each of fhe undertakings parfidpafing in fhe infringe ment, where either intentionally or negligently: 2they infringe Article 2 or Article 8of fhe acf referred fo in poinf 10 of to the EEA Agreement(Regulafion (EEC) No 1017/68); or 3they commif a breach of any obligafionimposed pursuant fo Artide 13(1) or Arficle 14(4). Infixing fhe amount of the fine, regard shall be had both fo the gravify and fothe duration of the infringement. 2Article 16(3) to (6) and Arficle 17shall apply. 3Decisions taken pursuant fo paragraphs1 and 2 shall nof be of a criminal law nature. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 TheEFTA Surveillance Authority may by decision impose on undertak ings or associations of undertakings periodic penaity payments of from 50 to 1 000 ECU per day, calculated from the dafe appointed by fhe decision, in order to compel them: 2to put an end fo an infringement ofArficle 2 or Article 8 of the act referred fo in poinf 10 of fo fheEEA Agreement (Regulafion (EEC) No 1017/68) of this Chapter, the terminafionof which if has ordered pursuant fo Arficle 11 or fo comply wifh an obligarionimposed pursuant fo Article 4(2) of the said act; 3fo refrain from any acf prohibitedunder Arficle 13(3); 4fo supply complete and correctinformafion which it has requested by decision taken pursuant to Article 19(5); (d) to submit fo an investigafion which it hasordered by decision taken pursuant fo Article 21(3). 4Where the undertakings or associationsof undertakings have satisfied fhe obligation which if was the purpose of fheperiodic penaity payment to enforce, the EFTA Surveillance Authorify may fbcfhe total amount of the periodic penaity payment af a lower figure fhan fhafwhich would arise under fhe original decision. 5Arficle 16(3) to (6) and Arficle 17shall apply. Reviewby the EFTA Courf TheEFTA Court shall, in accordance wifh Arficle 108(2) of fhe EEA Agreement andwith the relevant provisions of this Agreement, have uniimifed jurisdicfionwithin fhe meaning of Arficle 35 of this Agreement to review decisions wherebythe EFTA Surveillance Authorify has fixed a fine or periodic penalfy payment;if may cancel, reduce or increase fhe fine or periodic penalfy paymentimposed. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 Forfhe purpose of applying Arficles 22 fo 24, 'ECU' means fhe ECU as defined byfhe competent authorifies of fhe European Communifies. Hearingof the parties and of third persons 8Before taking decisions as providedfor in Arficles 11, 12(3), second subparagraph, and 12(4), 13(3), 14(2) and(3), 22 and 23, fhe EFTA Surveillance Authorify shall give fhe undertakings orassociations of undertakings concerned the opporfunify of being heard on thematters fo which fhe EFTA Surveillance Authority has taken objection. 9Ff fhe EFTA Surveillance Authority orthe competent authorifies of fhe EFTA Stafes consider if necessaty, they mayalso hear other natural or legal persons. Applications fo be heard on fhe parfof such persons where they show a sufficient interest shall be granted. 10Where fhe EFTA Surveillance Authorityintends to give negative dearance pursuant fo Arficle 5 of fhe act referred foin poinf 10 of fo fhe EEA Agreement (Regulafion (EEC) No 1017/68) orArficle 6 of fhis Chapter, if shall publish a summaty of fhe relevantagreement, decision or concerted practice and invite all inferesfed thirdparfies to submit fheir observations within a time-limif which it shall fbcbeing nof less fhan one month. Publication shall have regard fo fhe legifimateinterest of undertakings in fhe protection of fheir business secrets. 2Without prejudice fo Article 9 ofProtocol 23 fo fhe EEAAgreement, information acquired as a result of fheapplicafion of Arficles 18,19, 20 and 21 of fhis Chapfer or Arfide 58 of theEEA Agreement and Protocol 23 thereto shall be used only for fhe purpose of therelevant request or investigafion. 3Without prejudice fo the provisions ofArficles 26 and 28, fhe EFTA Surveillance Authority and fhe competent authoritiesof the EFTA Stafes, fheir officialsand other servants shall not disclose informafion acquired by them as a resultof the applicafion of fhis Protocol or Arficle 58 of fhe EEA Agreement and Protocol23 thereto and of the kind covered by fhe obligafion of professional secrecy.This obligation shall also apply to fhe representatives of fhe EC Commissionand of fhe EC Member Sfates who participate in fhe pursuantto Article 16(4) and in fhe hearing pursuant fo Arficle 8(2) of Chapfer VIII. 3.The provisions of paragraphs 1 and 2 shall nof prevent publication of generalinformation or surveys which do nof confain informafion relating fo particularundertakings or associations of undertakings. 0The EFTA Surveillance Authority shallpublish the decisions which it fakes pursuant to Artides 11, 12(3), secondsubparagraph, 12(4), 13(3) and 14(2) and (3). 1The publication shall state the namesof the parfies and fhe main content of the decision; if shall have regard fofhe legifimate interest of undertakings in fhe protection of fheir businesssecrets. TheEFTA Surveillance Authority may submit to the Governments of the EFTA States,in accordance wifh fhe provisions of Article 49 of fhis Agreement, proposalsfor forms fo be used for complaints pursuant fo Article 10, applicationspursuant fo Arficle 12 and notifications pursuant to Arficle 14(1), as well asproposals for complementaty notes fo fhe forms. 1991/92:170 Bilaga16 /Court Agreement Protocol4 CHAPTER VII FORM, CONTENT AND OTHER DETAILS OFCOMPLAINTS PURSUANT TO ARTICLE 10, APPLICATIONS PURSUANT TO ARTICLE 12 ANDNOTIFICATIONS PURSUANT TO ARTICLE 14(1) OF CHAPTER VI 2Complaints pursuant fo Arficle 10 ofChapfer VI shall be submifted in writing in an officiallanguage of an or fhe European Community; they may be submitted onforms issued for fhis purpose by fhe Governments of the EFTA Sfates, by commonaccord, as shown in Appendix 3, or by fhe EC Commission. 3When representatives of undertakings,of associations of undertakings, or of natural or legal persons sign suchcomplaints, they shall produce written proof fhaf they are authorized fo act. Personsenfitled to submit applications and notifications 2Any undertaking which is party foagreements, decisions or practices of the kind described in Arficle 2 of fheact referred to in point 10 of fo fhe EEA Agreement (Regulafion (EEC)No 1017/68) may submit an application under Article 12 or a notificafion underArticle 14(1) of Chapter VI.Where the applicafion or nofificafionis submifted by some, but not all, of the undertakings concerned, they shallgive notice to the others. 3Where applications or notificationsunder Arficles 12 and 14(1) of Chapfer VI aresigned by representatives of undertakings, of associations of undertakings, orof natural or legal persons, such representatives shall produce written proofthat they are authorized to act. 4Where a joinf applicafion ornotificafion is submitted, a joint representative shall be appointed. Submissionof applications and notifications 2Applications pursuant fo Arficle 12 ofChapfer VI shall be submifted on forms issued for fhis purposeby fhe Governments of fhe EFTA Sfates, by common accord, as shown in Appendbc4, or by the EC Commission. 3Notificarions pursuant to Article14(1) of Chapter VI shall be submitted on forms issued for fhis purposeby fhe Governments of the EFTA Sfates, by common accord, as shown in Appendix5, or by fhe EC Commission. 4Several parfidpafing undertakings maysubmit an applicafion or nofificafion on a singie form. 5Applications and notifications shallconfain the informafion requested in fhe forms. 6Nine copies of each applicafion ornofificafion and of fhe supporting documents shall be submifted fo fhe EFTASurveillance Authority. 7The supporting documents shall beeither originals or copies. Copies must be certified as fme copies of fheoriginal. 8Applications and notifications shallbe in an official language of an or Community.Supporting documents shall be submifted in fheir original language. Where theoriginal language is not one of fhe official languages, a franslafion in one ofthese languages shall be aftached. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 TheEFTA Surveillance Authority may submit to the Governments of the EFTA States,in accordance wifh the provisions of Article 49 of this Agreement, proposalsfor forms and complementaty notes. CHAPTER VIII HEARINGS PROVIDED FOR IN ARTICLE 26(1) OFCHAPTER VI Before consulfing fhe infhe Transport Industty, the EFTA Surveillance Authority shall hold a hearingpursuant to Arfide 26(1) of Chapfer VI. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 2The EFTASurveillance Authority shall inform undertakings and associations ofundertakings in writing of fhe objections raised against them. TheCommunications shall be addressed to each of them or fo a joinf agent appointedby them. 3The EFTASurveillance Authority may inform the parfies by giving nofice in fhe EEASection of fhe European Communifies, if from fhecircumstances of fhe case this appears appropriate, in parficular where noficeis fo be given fo a number of undertakings but no joinf agent has beenappointed. The notice shall have regard to the legifimate interest of fheundertakings in the protection of fheir business secrets. 4A fine or aperiodic penaity payment may be imposed on an undertaking or association ofundertakings only if fhe obligafions were notified in fhe provided forin paragraph 1. 5The EFTASurveillance Authority shall, when giving nofice of objections, fix atime-limif up fo which fhe undertakings and associations of undertakings mayinform the EFTA Surveillance Authority of their views. 3Undertakingsand associations of undertakings shall, within fhe appointed time-limit, makeknown in writing their views conceming the objections raised against them. 4They may intheir written comments set out all matters relevant fo their defence. 5They may atfachany relevant documents in proof of the facts set out. They may also proposefhaf fhe EFTA Surveillance Authority hear persons who may corroborafe thosefacts. The EFTA Surveillance Authority shall in ifs decision dealonly wifh those objections raised against undertakings and associations ofundertakings in respect of which they have been afforded fhe opporfunify ofmaking known fheir views. Ffnatural or legal persons showing a sufficient interest apply fo be heard pursuantto Arficle 26(2) of Chapter VI,fhe EFTA Surveillance Authorify shallafford them fhe opporfunify of making known fheir views in writing within suchtime limits as if shall fix. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 Wherethe EFTA Surveillance Authorify, having received an applicafion pursuant toArficle 10(2) of Chapfer VI,considers fhaf on fhe basis of theinformafion in ifs possession there are insufficienf grounds for granting theapplication, if shall inform fhe applicanfs of ifs reasons and fbc a time-limiffor them fo submit any further comments in writing. 3The EFTA Surveillance Authority shall affordto persons who have so requested in fheir written comments the opportunity foput forward their arguments orally, if those persons show a sufficientinterest or if fhe EFTA Surveillance Authority proposes fo impose on them afine or periodic penaity payment. 4The EFTA Surveillance Authority maylikewise afford fo any other person fhe opportunity of orally expressing hisviews. 3The EFTA Surveillance Authority shallsummon fhe persons to be heard to affend on such date as it shall appoint.