prop · GF03170 · 1991-12-31 00:00:00 — 4If shall forthwith transmit a copy ofthe summons fo the competent authorifies of the EFTA Sfates, who may appointan official to take parf in fhe hearing. Likewise, the EFTA SurveillanceAuthority shall invite the EC Commission to be represented af fhe hearing. Theinvitafion shall also extend fo the EC Member Sfates. 13 Hearings shall be conducted by fhe personsappointed by the EFTA Surveillance Authority for fhaf purpose. 14 Persons summoned fo affend shall appear eifher inperson or be represented by legal representatives or by representativesauthorized by fheir consfifution. Undertakings and associations of undertakingsmay moreover be represented by a duly authorized agent appointed from amongtheir permanent staff. Persons heard by fhe EFTA Surveillance Authorifymay be assisted by lawyers or advisers who are enfitled fo plead before theEFTA Courf, or by other qualified persons. 0Hearings shall nof be public. Personsshall be heard separately or in fhe presence of other persons summoned foaffend. In fhe latfer case, regard shall be had fo fhe legifimate interest offhe undertakings in the protection of fheir business secrets. 1The essential confent of thestafements made by each person heard shall be recorded in minutes which shallbe read and approved by him. 1991/92:170 Bilaga16 /Court Agreement Protocol4 Withoutprejudice fo Arficle 2(2), informafion and summonses from the EFTA SurveillanceAuthorify shall be sent fo fhe addressees by registered letter wifhacknowledgement of receipt, or shall be delivered by hand against receipt. 3In fixing fhe time limits provided forin Artides 2,5 and 6, the EFTA Surveillance Authority shall have regard bothfo fhe time required for preparafion of comments and fo fhe urgency of fhecase. The time-limif shall be nof less fhan two weeks; if may be extended. 4Time limits shall run from the dayfollowing receipt of a communication or delivety thereof by hand. 5Written comments must reach the EFTASurveillance Authority or be dispatched by registered letter before expity offhe time-limif. Where fhe time-limif would expire on a Sunday or publicholiday, if shall be extended up fo the end of fhe next following working day.For fhe purpose of calculating fhe extension, public holidays shall, in caseswhere fhe relevant date is the dafe of receipt of written comments, be thoseset ouf in Appendix 2 fo fhis Protocol, and in cases where the relevant date isthe dafe of dispatch, those appointed by law in fhe country of dispatch. CHAPTER IX RULES FOR THE APPLICATION OF ARTICLES 53 AND 54 OF THE EEA AGREEMENTTO TRANSPORT Dueto the division of the text of Regulation (EEC) No 4056/86 between tothe (substantive rules) and the present Chapter (proceduralrules), the text, as adapted, of Section 1, Artides 1 to 9, is to be found inthe act referred to in point 11 of to the EEA Agreement (Regulation(EEC) No 4056/86). The EFTA Surveillance Authority shall decide on these casesin accordance with the provisions of Article 56 of the EEA Agreement, inparticular paragraph (1) (a) and (b) and paragraph (3). 15 1991/92. Artides 1 to 9 (No text) Procedures on complainf or on the EFTA SurveillanceAufhority's own initiative Acting on receipt of a complainf or on ifs own initiative,fhe EFTA Surveillance Authorify shall initiafe procedures to ferminate anyinfringement of fhe provisions of Articles53(l) or 54 of fhe EEA Agreement orfo enforce Arficle 7 of the acf referred fo in poinf 11 of fo fhe EEAAgreement (Regulation (EEC) No 4056/86). Complaints may be submifted by: 3natural orlegal persons who claim a legifimate interest. 1991/92:170 Bilaga 16 /Court Agreement Protocol4 Resulf of procedures on complainf or on the EFTASurveillance Authority's own initiative Where the EFTA Surveillance Authority finds that therehas been an in fringement of Arficles 53(1) or 54 of fhe EEA Agreement, it may by decision require the undertakings or associations of undertakings concerned fo bring such infringement fo an end. Without prejudice fo fhe otherprovisions of fhis Chapter or to fhe provisions of the acf referred to inpoint 11 of fo fhe EEA Agreement (Regulation (EEC) No4056/86), fheEFTA Surveillance Authorify may, before taking a decision under fhe precedingsubparagraph, address fo fhe undertakings or associations of undertakingsconcerned recommendations for terminafion of fhe infringement. 13Paragraph 1shall apply also to cases falling within Arficle 7 of fhe said acf. 14If the EFTASurveillance Authorify, acting on a complainf received, concludes fhaf on fheevidence before if there are no grounds for intervention under Arficles 53(1)or 54 of fhe EEA Agreement or Article 7 of the said acf, in respect of anyagreement, decision or practice, if shall issue a decision rejecting fhecomplainf as unfounded. 15If the EFTASurveillance Authorify, whether acting on a complainf received or on ifs owninitiative, concludes that an agreement, decision or concerted practicesafisfies the provisions both of Article 53(1) and of Article 53(3) of fhe EEAAgreement, if shall issue a decision applying Arficle53(3). Such decision shall indicate the date fromwhich if is fo take effect. This date may be prior to that of fhe dedsion. Applicafion of Article 53(3) of fhe EEA Agreement -objections 9Undertakingsand associations of undertakings which seek applicafion of Arficle 53(3) of fheEEA Agreement in respect of agreements, decisions and concerted practicesfalling within fhe provisions of Article 53(1) to which they are parties shall,without prejudice fo Arfide 11 of Protocol 23 to the EEA Agreement, submitapplications fo fhe EFTA Surveillance Authorify. 10If fhe EFTASurveillance Authorify judges an applicafion admissible and is in possession ofall fhe available evidence, and no acfion under Arficle 10 has been takenagainst fhe agreement, decision or concerted pracfice in quesfion, then ifshall publish as soon as possible in fhe EEA Section of fhe offhe European Communities a summaty of the application and invite all inferesfedthird parties and the EFTA States to submit fheir comments fo fhe EFTASurveillance Authority within 30 days. Such publicafions shall have regard fothe legifimate interest of undertakings in the protection of fheir businesssecrets. 11Unless fhe EFTASurveillance Authority notifies applicanfs, within 90 days from the dafe ofsuch publication in fhe EEA Section of fhe EuropeanCommunifies, that there are serious doubfs as fo the applicability of Article53(3), the agreement, decision or concerted pracfice shall be deemed exempt,in so far as if conforms wifh fhe descripfion given in fhe applicafion, fromthe prohibition for fhe time already elapsed and for a maximum of sbc yearsfrom the dafe of publicafion in fhe EEA Section of fhe Communifies. If the EFTA Surveillance Authorityfinds, after expity of fhe 90-day time-limif, but before expiry of the sbc-yearperiod, that fhe conditions for applying Arficle 53(3) are not satisfied, itshall issue a decision dedaring that fhe prohibition in Arficle 53(1) isapplicable. Such decision may be refroactive where the parfies concerned havegiven inaccurate information or where they abuse fhe exempfion from theprovisions of Arfide 53(1). The EFTA Surveillance Authority maynotify applicanfs as referred fo in fhe firsf subparagraph of paragraph 3 and shall do so if requested by an within 45 days of fhe forwarding fo the of fhe ap plication in accordance wifh Article 15(2). This request must be justified on the basis of considerafions relating to fhe compefition rules of fhe EEA Agreement. If it finds fhaf the conditions ofArficle 53(1) and of Arficle 53(3) are satisfied, fhe EFTA SurveillanceAuthorify shall issue a decision applying Article53(3). The decision shallindicate the date from which it is to take effect. This dafe may be prior fofhaf of the applicafion. 1991/92:170 Bilaga 16 /Court Agreement Protocol 4 Duration and revocation of decisions applying Arficle53(3) of fhe EEA Agreement 2Any decisionapplying Arficle 53(3) taken under Arficle 11(4) or under fhe secondsubparagraph of Arficle 12(4) shall indicate fhe period for which if is fo bevalid; normally such period shall not be less than six years. Condifions andobligafions may be aftached fo fhe decision. 3The decisionmay be renewed if fhe condifions for applying Arficle 53(3) continue fo besatisfied. 4The EFTA SurveillanceAuthority may revoke or amend ifs decision or prohibif specified acts by fheparties: 2where there hasbeen a change in any of fhe facts which were basic fo fhe making of thedecision; 3where fheparfies commif a breach of any obligafion atfached fo fhe decision; 4where fhedecision is based on incorrect informafion or was induced by deceif, or (d) where fhe parfies abuse theexempfion from fhe provisions of Article 53(1) granted to them by the decision. In cases falling within (b), (c) or (d), the decision maybe revoked wifh refroactive effect. Subject to review of its decision by fhe EFTA Courf inaccordance wifh Article 108(2) of fhe EEA Agreement and with fhe relevantprovisions of fhis Agreement, fhe EFTA Surveillance Authority shall have solepower, on fhe condifions set out in Article 56 of the EEA Agreement: - fo impose obligafionspursuant fo Arficle 7 of fhe acf referred to in poinf 11 of fo fheEEA Agreement (Regulation (EEC) No 4056/86); fo issue decisions pursuant toArficle 53(3) of fhe EEA Agreement. The authorities of the EFTA Stafes shall refain fhe powerfo decide whether any case falls within the provisions of Article 53(1) orArficle 54, until such time as fhe EFTA Surveillance Authority has initiated aprocedure wifh a view fo formulating a decision in the case in quesfion or hassent nofificafion as provided for in fhe first subparagraph of Arficle 12(3). 1991/92:170 Bilaga 16 /Court Agreement Protocol4 Liaison wifh the authorities of the EFTA States The EFTA Surveillance Authority shall carry out fhe proceduresprovided for in this Chapter in close and liaison wifh the competent authorifies of the EFTA Sfates; these authorities shallhave the right fo express fheir views on such procedures. The EFTA Surveillance Authority shall immediatelyforward to the com petent authorities of the EFTA States copies of the complaints and applica tions, and of fhe most important documents sent to if or which if sends out in fhe course of such procedures. The EFTA Surveillance Authorityshall forthwith transmit to fhe competent authorifies of fhe EFTA Sfates acopy of notifications, complaints and information on opening of ex officioprocedures received from fhe EC Commission pursuant to Artides 2 and 10 ofProtocol 23 fo fhe EEA Agreement. The EFTA Surveillance Authorityshall forthwith transmit fo fhe competent authorifies of fhe EFTA Stafes acopy of documents received from fhe EC Commission pursuant fo Arficle 7 ofProtocol 23 fo fhe EEA Agreement. 2An AdvisoryCommittee on Compefition in Transport shall be consulted prior to thetaking of any decision following upon a procedure under Article 10 or of anydecision issued under fhe second subparagraph of Arficle 12(3), or under fhesecond subparagraph of paragraph 4 of the same Article. The Advisory Committeeshall also be consulted prior to a proposal referred fo in Arficle 26. 3The AdvisotyCommittee shall be composed of officials competent in fhe sphere of maritimetransport and agreements and dominant positions. Each nominafetwo officials to represent it, each of whom may be replaced, in the event ofhis being prcvenfed from affending, by another offidal. The EC Commission and fhe EC MemberStafes shall be enfitled fo be present in and fo expressfheir views therein. However, fheir representatives shall not have the rightto vote. Consultation shall take place af a joint meefingconvened by fhe EFTA Surveillance Authority; such meefing shall be held nof earlier fhan fourfeen days after dispatch of the notice convening if. This nofice shall, in respectof each case to be examined, be accompanied by a summary of the case to gether wifh an indicafion of fhe most important documents, and a prelimin ary draff decision. In view of the parficipafionprovided for in fhe second subparagraph of paragraph 4, fhe EC Commission shallreceive an invitafion fo fhe meeting and fhe relevant information as providedfor in Arficle 6 of Protocol 23 to fhe EEA Agreement. may deliver an opinionnotwithsfanding fhaf some of ifs members or fheir alternatcs are not present. A report of the out come of fhe consultative proceedings shall be annexed fo fhe draft decision. It shall nof be made public. 1991/92:170 Bilaga 16 /Court Agreement Protocol4 2In cartying oufthe dufies assigned fo if by Artides 55 and 58 of the EEA Agreement, byprovisions set ouf in Protocol 23 and in fo fhe EEA Agreement or byprovisions of this Chapfer, fhe EFTA Surveillance Authority may obfain allnecessaty informafion from fhe Governments and competent authorities of theEFTA Sfates and from undertakings and associations of undertakings. 3When sending arequest for informafion fo an undertaking or association of undertakings, theEFTA Surveillance Authority shall at fhe same time forward a copy of therequest to the competent authority of the EFTA Sfate in whose territoty theseat of fhe undertaking or association of undertakings is situated. 4In ifs request,fhe EFTA Surveillance Authority shall state fhe legal basis and fhe purpose offhe request, and also fhe penalfies provided for in Arficle 19(l)(b) forsupplying incorrect information. 5The owners ofthe undertakings or fheir representatives and, in fhe case of legal persons,companies or firms, or of associations having no legal per-sonalify, the personauthorized to represent them by law or by fheir constitu-tion, shall be boundfo supply fhe informafion requested. 6Where anundertaking or association of undertakings does not supply fhe informafionrequested within fhe time-limif fixed by fhe EFTA Surveillance Authority, orsupplies incomplete informafion, fhe EFTA Surveillance Authority shall bydecision require the information to be supplied. The decision shall specifywhat informafion is required, fix an appropriate time-limif within which if isfo be supplied and indicate the penalries provided for in Arficle 19(l)(b) andArfide 20(l)(c) and fhe right fo have the decision reviewed by the EFTA Courtin accordance with Article 108(2) of the EEA Agreement and wifh the relevantprovisions of this Agreement, in parficular Arfide 35. 7The EFTASurveillance Authority shall af fhe same time forward a copy of ifs decision fofhe competent authority of the in whose territoty fhe seat of fheundertaking or association of undertakings is situated. 1991/92:170 Bilaga 16 /Court Agreement Protocol 4 Investigations by fhe authorities of fhe EFTA States At the request of fhe EFTA Surveillance Authority, thecompetent authorifies of the EFTA States shall undertake the investigationswhich fhe EFTA Surveillance Authority considers to be necessary under Arficle18(1), or which it has ordered by decision pursuant fo Arficle 18(3). Theofficials of fhe competent authorifies of fhe EFTA Sfates responsible forconducting these investigations shall exercise their powers upon producfion ofan authorizafion in writing issued by fhe competent authority of the EFTAState in whoseterritory fhe investigafion is fo be made. Such authorizafion shall specify thesubject matter and purpose of fhe investigafion. If so requested by the EFTA Surveillance Authority orby fhe competent authority of fhe EFTA Sfate in whose territoty fheinvestigafion is to be made, EFTA Surveillance Authority officials may assistfhe officials of such authorify in carrying ouf fheir dufies. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol4 Investigafing powers of fhe EFTA Surveillance Authority In carrying out fhe dufies assigned fo it by Arficles55 and 58 of fhe EEA Agreement, by provisions set out 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 fhe territoty of an EFTA Sfate. To fhis end fhe officialsauthorized by fhe EFTA Surveillance Authority are empowered: 2fo examine fhebooks and other business records; 3to take copiesof or extracts from the books and business records; 4fo ask for oralexplanafions on fhe spof; (d) fo enfer any premises, land and vehicles ofundertakings. 2The officialsof the EFTA Surveillance Authority authorized for the purpose of theseinvestigations shall exercise fheir powers upon producfion of an authorizationin writing specifying fhe subject maffer and purpose of the investigafion andfhe penalfies provided for in Arficle 19(l)(c) in cases where production of fherequired books or other business records is incomplete. In good time before theinvestigafion, fhe EFTA Surveillance Authority shall inform the competentauthority of fhe in whose territory fhe same is to be made of fheinvestigafion and of the idenfity of fhe authorized officials. The EFTASurveillance Authority shall also provide such an authorizafion forepresentatives of fhe EC Commission who shall take parf in fhe investigafionin accordance wifh Arficle 8(4) of Protocol 23 to the EEA Agreement. 3Undertakingsand associations of undertakings shall submit fo investigations ordered bydecision of the EFTA Surveillance Authority. The decision shall specify thesubject maffer and purpose of fhe investigafion, appoint fhe dafe on which ifis fo begin and indicate fhe penalfies provided for in Arficle 19(l)(c) andArticle 20(l)(d) and fhe right fo have fhe decision reviewed by the EFTA Courtin accordance with Arficle 108(2) of fhe EEA Agreement and wifh fhe relevantprovisions of fhis Agreement, in parficular Artide 35. 4The EFTASurveillance Authorify shall take decisions referred fo in paragraphs afferconsultation wifh fhe competent authorify of fhe in whose territotyfhe investigafion is fo be made. 5Officials offhe competent authority of fhe in whose territoty theinvestigafion is fo be made, may at the request of such authority or of fheEFTA Surveillance Authority, assist the officials of the EFTA SurveillanceAuthorify in carrying ouf fheir dufies. 6.Where an undertaking opposes an investigation ordered pursuant fo fhis Arficle,fhe concerned shall afford fhe necessaty assisfance to fhe officialsauthorized by fhe EFTA Surveillance Authority to enable them to make theirinvestigafion. To this end, EFTA Stafes shall take the necessary measures,after consulfing the EFTA Surveillance Authority, within six months of fheentty into force of fhe EEA Agreement. Prop.1991/92:170 Bilaga 16 /Court Agreement Protocol 4 TheEFTA Surveillance Authority may by decision impose on undertak ings or associations of undertakings fines of from 100 fo 5 000 ECU where, intentionally or negligently: 2they supply incorrect or misleadinginformafion, eifher in a communication pursuant fo Arficle 5(5) of fhe acfreferred fo in point 11 of fo fhe EEA Agreement (Regulation (EEC) No4056/86) or in an applicafion pursuant fo Arficle 12 of fhis Chapter; or 3they supply incorrect informafion inresponse to a request made pursuant to Article 16(3) or (5), or do not supplyinformafion within fhe time-limif fbced by a decision taken under Arficle16(5); or 4they produce fhe required books orother business records in incomplete form during investigations under Arficle17 or Arficle 18, or refuse fo submit fo an investigafion ordered by decisionissued in implemenfafion of Arficle 18(3). TheEFTA Surveillance Authorify may by decision impose on undertak ings or associations of undertakings fines of from 1000 fo 1000 000 ECU, or a sum in excess thereof but nof 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 Arficle 53(1) or Arficle54 of fhe EEA Agreement, or do nof comply wifh an obligafion imposed underArficle 7 of fhe said acf; 3they commif a breach of any obligafionimposed pursuant fo Article5 of the said acf or fo Arficle 13(1). Infixing the amount of the fine, regard shall be had both to fhe gravity and fofhe durafion of the infringement. 68 Arfide 15(3) and (4) shall apply. 69 Decisions taken pursuant to paragraphs 1 and 2shall not be of a criminal law nature. Thefines provided for in paragraph 2(a) shall not be imposed in respect of actstaking place affer nofificafion fo the EFTA Surveillance Authorify and beforeifs decision in applicafion of Article 53(3) of the EEA Agreement, providedthey fall within the limits of the activify described in fhe nofificafion. However,this provision shall nof have effect where fhe EFTA Surveillance Authorify hasinformed fhe undertakings concerned that affer preliminaty examination it isof the opinion fhaf Arficle 53(1) of the EEA Agreement applies and fhafapplicafion of Article 53(3) is nof justified. 1991/92:170 Bilaga16 /Court Agreement Protocol4 TheEFTA Surveillance Authority may by decision impose on undertak ings or associations of undertakings periodic penaity payments of from 50 fo 1000 ECU per day, calculated from the date appointed by fhe decision, in order fo compel them: 3fo put an end fo an infringement ofArticle 53(1) or Arficle 54 of fhe EEA Agreement the terminafion of which ithas ordered pursuant fo Article 11, or fo comply wifh an obligafion imposedpursuant to Artide 7 of the act referred to in point 11 of to the EEAAgreement (Regulafion (EEC) No 4056/86); 4fo refrain from any acf prohibitedunder Arficle 13(3); 5fo supply complete and correctinformafion which if has requested by decision taken pursuant to Arficle 16(5); (d) fo submit to an investigafion which it hasordered by decision taken pursuant to Arficle 18(3). 2Where fhe undertakings or associationsof undertakings have satisfied fhe obligation which if was the purpose of theperiodic penaity payment fo enforce, fhe EFTA Surveillance Authority may fbcfhe total amount of fhe periodic penaity payment af a lower figure fhan fhafwhich would arise under fhe original decision. 3Article 15(3) and (4) shall apply. Reviewby fhe EFTA Court TheEFTA Courf, in accordance wifh Arficle 108(2) of the EEA Agreement and wifh therelevant provisions of this Agreement, shall have uniimifed jur-isdictionwithin fhe meaning of Arficle 35 of fhis Agreement to review decisions wherebythe EFTA Surveillance Authorify has fbced a fine or periodic penalfy payment;if may cancel, reduce or increase fhe fine or periodic penalfy paymentimposed. For fhe purpose of applying Arficles 19 fo 21, 'ECU' meansfhe ECU as defined by the competent authorities of Communities. 1991/92:170 Bilaga 16 /Court Agreement Protocol 4 Hearing of the parfies and of third persons 2Before takingdecisions as provided for in Artides 11,12(3), second subparagraph, 12(4),13(3), 19 and 20, the EFTA Surveillance Authorify shall give the undertakingsor associations of undertakings concerned the opporfunify of being heard onfhe matters to which fhe EFTA Surveillance Authority has taken objection. 3If the EFTASurveillance Authority or fhe competent authorities of the EFTA Sfates considerif necessaty, they may also hear other natural or legal persons. Applicationsfo be heard on fhe parf of such persons where they show a sufficient interestshall be granted. 4Where the EFTASurveillance Authority intends fo give negative dearance pursuant fo Arficle53(3) of fhe EEA Agreement, if shall publish a summaty of fhe relevantagreement, decision or concerted pracfice and invite all inferesfed thirdparfies fo submit fheir observations within a time-limif which if shall fixbeing not less fhan one month. Publicafion shall have regard to fhe legifimateinterest of undertakings in fhe protection of fheir business secrets. Article 24 Professional secrecy