Commission Notice on Immunity from fines and reduction of fines in cartel cases

Obvestilo Komisije o imuniteti pred globami in znižanju glob v kartelnih zadevah

(Text with EEA relevance)

(Besedilo velja za EGP)

(2006/C 298/11)

(2006/C 298/11)

I. INTRODUCTION

I. UVOD

(1) This notice sets out the framework for rewarding cooperation in the Commission investigation by undertakings which are or have been party to secret cartels affecting the Community. Cartels are agreements and/or concerted practices between two or more competitors aimed at coordinating their competitive behaviour on the market and/or influencing the relevant parameters of competition through practices such as the fixing of purchase or selling prices or other trading conditions, the allocation of production or sales quotas, the sharing of markets including bid-rigging, restrictions of imports or exports and/or anti-competitive actions against other competitors. Such practices are among the most serious violations of Article 81 EC [1].

(1) To obvestilo določa okvir za nagrajevanje sodelovanja podjetij, ki so ali so bila vključena v skrivne kartele z vplivom na trgovino v Skupnosti, pri preiskavah Komisije. Karteli so dogovori in/ali usklajena ravnanja med dvema ali več konkurenti, katerih cilj je usklajevanje njihovega konkurenčnega vedenja na trgu in/ali vplivanje na ustrezne parametre konkurence z ravnanji, kot so določanje nakupnih in prodajnih cen ali drugih tržnih pogojev, dodeljevanje proizvodnih ali prodajnih kvot, delitev trgov, vključno z manipulacijami razpisov za zbiranje ponudb, omejitev uvoza ali izvoza in/ali protikonkurenčni ukrepi zoper druge konkurente. Taka ravnanja sodijo k najresnejšim kršitvam člena 81 Pogodbe ES [1].

(2) By artificially limiting the competition that would normally prevail between them, undertakings avoid exactly those pressures that lead them to innovate, both in terms of product development and the introduction of more efficient production methods. Such practices also lead to more expensive raw materials and components for the Community companies that purchase from such producers. They ultimately result in artificial prices and reduced choice for the consumer. In the long term, they lead to a loss of competitiveness and reduced employment opportunities.

(2) Podjetja se s tem, ko umetno omejijo konkurenco, ki bi običajno potekala med njimi, izognejo ravno tistim pritiskom, ki jih vodijo k inovativnosti v smislu razvoja proizvodov in uvedbe učinkovitejših proizvodnih metod. Zaradi tovrstnih ravnanj so za gospodarske družbe v Skupnosti, ki kupujejo od takšnih proizvajalcev, dražje tudi surovine in sestavni deli. Taka ravnanja v končni meri vodijo k umetnim cenam in omejeni izbiri za potrošnike. Dolgoročno povzročajo izgubo konkurenčnosti in zmanjšujejo zaposlitvene možnosti.

(3) By their very nature, secret cartels are often difficult to detect and investigate without the cooperation of undertakings or individuals implicated in them. Therefore, the Commission considers that it is in the Community interest to reward undertakings involved in this type of illegal practices which are willing to put an end to their participation and co-operate in the Commission's investigation, independently of the rest of the undertakings involved in the cartel. The interests of consumers and citizens in ensuring that secret cartels are detected and punished outweigh the interest in fining those undertakings that enable the Commission to detect and prohibit such practices.

(3) Zaradi njihove narave je kartele pogosto težko razkriti in preiskati brez sodelovanja podjetij ali posameznikov, ki so vanje vključeni. Zato Komisija meni, da je nagrajevanje podjetij, ki so vključena v tovrstna nezakonita ravnanja, vendar jih želijo opustiti in sodelovati s Komisijo neodvisno od preostalih podjetij, udeleženih v kartelu, v interesu Skupnosti. Koristi potrošnikov in državljanov pri zagotavljanju razkritja in kaznovanja skrivnih kartelov prevladajo nad koristmi nalaganja glob tistim podjetjem, ki Komisiji omogočajo odkritje in prepoved takih ravnanj.

(4) The Commission considers that the collaboration of an undertaking in the detection of the existence of a cartel has an intrinsic value. A decisive contribution to the opening of an investigation or to the finding of an infringement may justify the granting of immunity from any fine to the undertaking in question, on condition that certain additional requirements are fulfilled.

(4) Komisija meni, da ima sodelovanje podjetja pri razkritju obstoja kartela resnično vrednost. Odločilen prispevek podjetja k uvedbi preiskave ali ugotovitvi kršitve lahko upraviči priznanje imunitete zadevnemu podjetju pred globami pod pogojem, da so izpolnjene nekatere dodatne zahteve.

(5) Moreover, co-operation by one or more undertakings may justify a reduction of a fine by the Commission. Any reduction of a fine must reflect an undertaking's actual contribution, in terms of quality and timing, to the Commission's establishment of the infringement. Reductions are to be limited to those undertakings that provide the Commission with evidence that adds significant value to that already in the Commission's possession.

(5) Poleg tega sodelovanje enega ali več podjetij lahko upraviči znižanje globe, ki ga odredi Komisija. Vsako znižanje globe mora odražati kakovost in časovni okvir dejanskega prispevka podjetja k ugotovitvi kršitve s strani Komisije. Znižanja se omejijo na tista podjetja, ki Komisiji zagotovijo dokazna sredstva, ki dodajo pomembno vrednost dokaznim sredstvom, s katerimi Komisija že razpolaga.

(6) In addition to submitting pre-existing documents, undertakings may provide the Commission with voluntary presentations of their knowledge of a cartel and their role therein prepared specially to be submitted under this leniency programme. These initiatives have proved to be useful for the effective investigation and termination of cartel infringements and they should not be discouraged by discovery orders issued in civil litigation. Potential leniency applicants might be dissuaded from cooperating with the Commission under this Notice if this could impair their position in civil proceedings, as compared to companies who do not cooperate. Such undesirable effect would significantly harm the public interest in ensuring effective public enforcement of Article 81 EC in cartel cases and thus its subsequent or parallel effective private enforcement.

(6) Poleg predložitve že obstoječih dokumentov lahko podjetje prostovoljno predstavi Komisiji opis svojega poznavanja kartela in svoje vloge v njem, ki je pripravljen posebej za predložitev v skladu s tem programom prizanesljivosti. Izkazalo se je, da te pobude koristijo učinkoviti preiskavi in prenehanju kartelnih kršitev in da jih odredbe za predložitev dokaznih sredstev v pravdnih postopkih ne smejo odvračati. Če bi njihovo sodelovanje poslabšalo njihov položaj v pravdnih postopkih v primerjavi z družbami, ki ne sodelujejo, bi lahko to morebitne prosilce za prizanesljivost odvrnilo od sodelovanja s Komisijo. Tak nezaželen učinek bi znatno škodoval javnemu interesu za zagotavljanje učinkovitega javnega izvrševanja člena 81 Pogodbe ES v kartelnih zadevah in torej njegovemu učinkovitemu posledičnemu ali vzporednemu zasebnemu uveljavljanju.

(7) The supervisory task conferred on the Commission by the Treaty in competition matters does not only include the duty to investigate and punish individual infringements, but also encompasses the duty to pursue a general policy. The protection of corporate statements in the public interest is not a bar to their disclosure to other addressees of the statement of objections in order to safeguard their rights of defence in the procedure before the Commission, to the extent that it is technically possible to combine both interests by rendering corporate statements accessible only at the Commission premises and normally on a single occasion following the formal notification of the objections. Moreover, the Commission will process personal data in the context of this notice in conformity with its obligations under Regulation (EC) No 45/2001. [2]

(7) Nadzorna vloga, ki je v skladu s Pogodbo dodeljena Komisiji v zadevah v zvezi s konkurenco, ne zajema samo obveznosti preiskovanja in kaznovanja posameznih kršitev, marveč vključuje tudi obveznost uresničevanja splošne politike. Varstvo izjav podjetij iz razlogov javnega interesa ni ovira za njihovo razkritje drugim naslovljencem obvestila o nasprotovanju zaradi varovanja njihovih pravic do obrambe v postopku pred Komisijo v obsegu, v katerem je združevanje obeh interesov tehnično izvedljivo, s tem da se omogoči dostop do izjav podjetij samo v prostorih Komisije in običajno samo enkrat po uradni vročitvi obvestila o nasprotovanju. Poleg tega Komisija obdeluje osebne podatke v zvezi s tem obvestilom v skladu s svojimi obveznostmi iz Uredbe (ES) št. 45/2001. [2]

II. IMMUNITY FROM FINES

II. IMUNITETA PRED GLOBAMI

A. Requirements to qualify for immunity from fines

A. Izpolnjevanje Zahtev za imuniteto pred globami

(8) The Commission will grant immunity from any fine which would otherwise have been imposed to an undertaking disclosing its participation in an alleged cartel affecting the Community if that undertaking is the first to submit information and evidence which in the Commission's view will enable it to:

(8) Komisija bo priznala imuniteto pred globo, ki bi bila sicer naložena podjetju, ki je razkrilo svoje sodelovanje v domnevnem kartelu z vplivom na trgovino v Skupnosti, če je to podjetje kot prvo predložilo podatke in dokazna sredstva, ki bodo po mnenju Komisije omogočili:

(a) carry out a targeted inspection in connection with the alleged cartel [3]; or

(a) izvedbo usmerjenega pregleda v zvezi z domnevnim kartelom [3]; ali

(b) find an infringement of Article 81 EC in connection with the alleged cartel.

(b) ugotovitev kršitve člena 81 Pogodbe ES v zvezi z domnevnim kartelom.

(9) For the Commission to be able to carry out a targeted inspection within the meaning of point (8)(a), the undertaking must provide the Commission with the information and evidence listed below, to the extent that this, in the Commission's view, would not jeopardize the inspections:

(9) Da bi bil Komisiji omogočen usmerjen pregled v smislu točke (8)(a), mora podjetje Komisiji zagotoviti spodaj naštete podatke in dokazna sredstva, v kolikor le-to po mnenju Komisije ne bi ogrožalo pregledov:

(a) A corporate statement [4] which includes, in so far as it is known to the applicant at the time of the submission:

(a) izjavo podjetja [4], ki vključuje, kolikor je v času predložitve znano prosilcu:

- A detailed description of the alleged cartel arrangement, including for instance its aims, activities and functioning; the product or service concerned, the geographic scope, the duration of and the estimated market volumes affected by the alleged cartel; the specific dates, locations, content of and participants in alleged cartel contacts, and all relevant explanations in connection with the pieces of evidence provided in support of the application.

- podroben opis domnevne ureditve kartela, vključno na primer z njegovimi cilji, dejavnostmi in delovanjem; z zadevnim proizvodom ali storitvijo, geografskim obsegom, trajanjem kartela in oceno obsega trgovanja, na katerega je vplival kartel; z navedbo zadevnih datumov, lokacij, vsebine in sodelujočih pri domnevnih kartelskih stikih ter z vsemi ustreznimi pojasnili v zvezi z dokaznimi sredstvi, s katerimi je podprta prošnja;

- The name and address of the legal entity submitting the immunity application as well as the names and addresses of all the other undertakings that participate(d) in the alleged cartel;

- ime in naslov pravne osebe, ki vlaga prošnjo za imuniteto, ter imena in naslove vseh podjetij, ki sodelujejo ali so sodelovala v domnevnem kartelu;

- The names, positions, office locations and, where necessary, home addresses of all individuals who, to the applicant's knowledge, are or have been involved in the alleged cartel, including those individuals which have been involved on the applicant's behalf;

- imena, položaje, lokacije pisarn in po potrebi domače naslove vseh posameznikov, ki so, kolikor je prosilcu znano, vključeni ali bili vključeni v domnevni kartel, vključno s tistimi posamezniki, ki so bili vanj vključeni v imenu prosilca;

- Information on which other competition authorities, inside or outside the EU, have been approached or are intended to be approached in relation to the alleged cartel; and

- informacije o tem, s katerimi drugimi organi za konkurenco v EU ali zunaj nje je bil že vzpostavljen ali se namerava vzpostaviti stik v zvezi z domnevnim kartelom; in

(b) Other evidence relating to the alleged cartel in possession of the applicant or available to it at the time of the submission, including in particular any evidence contemporaneous to the infringement.

(b) druga dokazna sredstva v zvezi z domnevnim kartelom, ki so v posesti prosilca ali so mu na razpolago v času predložitve prošnje, vključno zlasti z vsemi dokaznimi sredstvi, ki se nanašajo na obdobje kršitve.

(10) Immunity pursuant to point (8)(a) will not be granted if, at the time of the submission, the Commission had already sufficient evidence to adopt a decision to carry out an inspection in connection with the alleged cartel or had already carried out such an inspection.

(10) Imuniteta po točki (8)(a) ne bo priznana, če je v času predložitve Komisija že razpolagala z zadostnimi dokaznimi sredstvi za sprejetje odločbe za izvedbo pregleda v zvezi z domnevnim kartelom oziroma je že izvedla tak pregled.

(11) Immunity pursuant to point (8)(b) will only be granted on the cumulative conditions that the Commission did not have, at the time of the submission, sufficient evidence to find an infringement of Article 81 EC in connection with the alleged cartel and that no undertaking had been granted conditional immunity from fines under point (8)(a) in connection with the alleged cartel. In order to qualify, an undertaking must be the first to provide contemporaneous, incriminating evidence of the alleged cartel as well as a corporate statement containing the kind of information specified in point (9)(a), which would enable the Commission to find an infringement of Article 81 EC,.

(11) Imuniteta po točki (8)(b) se prizna samo na podlagi kumulativnih pogojev, da Komisija v času predložitve ni imela zadostnih dokaznih sredstev za ugotovitev kršitve člena 81 Pogodbe ES v zvezi z domnevnim kartelom in da nobenemu podjetju ni bila priznana pogojna imuniteta pred globami v skladu s točko (8)(a) v zvezi z domnevnim kartelom. Da bi izpolnjevalo pogoje, mora podjetje kot prvo predložiti sočasne obremenilne dokaze o domnevnem kartelu kakor tudi izjavo podjetja z informacijami iz točke (9)(a), ki bi Komisiji omogočili ugotovitev kršitve člena 81 Pogodbe ES.

(12) In addition to the conditions set out in points (8)(a), (9) and (10) or in points (8)(b) and 11, all the following conditions must be met in any case to qualify for any immunity from a fine:

(12) Poleg pogojev, ki so določeni v točkah (8)(a), (9) in (10) ali v točkah (8)(b) in (11), morajo biti v vsakem primeru izpolnjeni naslednji kumulativni pogoji, da se lahko prizna imuniteta pred globo:

(a) The undertaking cooperates genuinely [5], fully, on a continuous basis and expeditiously from the time it submits its application throughout the Commission's administrative procedure. This includes:

(a) Podjetje sodeluje v vsem upravnem postopku Komisije resnično [5], v celoti, neprenehoma in brez odlašanja od časa predložitve prošnje. To vključuje obveznost:

- providing the Commission promptly with all relevant information and evidence relating to the alleged cartel that comes into its possession or is available to it;

- nemudoma zagotoviti Komisiji vse pomembne informacije in dokazna sredstva v zvezi z domnevnim kartelom, ki preidejo v posest podjetja ali so mu na razpolago;

- remaining at the Commission's disposal to answer promptly to any request that may contribute to the establishment of the facts;

- biti na voljo Komisiji za hitro izpolnjevanje vseh zahtev, ki bi lahko prispevale k ugotavljanju dejstev;

- making current (and, if possible, former) employees and directors available for interviews with the Commission;

- dati na razpolago trenutne (in po možnosti nekdanje) uslužbence in direktorje za razgovor pri Komisiji;

- not destroying, falsifying or concealing relevant information or evidence relating to the alleged cartel; and

- ne uničiti, poneverjati ali prikrivati zadevnih informacij ali dokaznih sredstev, povezanih z domnevnim kartelom; in

- not disclosing the fact or any of the content of its application before the Commission has issued a statement of objections in the case, unless otherwise agreed;

- ne razkriti dejstva vložitve ali katere koli vsebine njegove prošnje, preden Komisija izda obvestilo o nasprotovanju v zadevi, razen če ni dogovorjeno drugače;

(b) The undertaking ended its involvement in the alleged cartel immediately following its application, except for what would, in the Commission's view, be reasonably necessary to preserve the integrity of the inspections;

(b) Podjetje je svojo udeležbo v domnevnem kartelu končalo takoj po vložitvi svoje prošnje, z izjemo tistih dejavnosti, ki bi bile po mnenju Komisije razumno potrebne za zaščito interesa pregledov;

(c) When contemplating making its application to the Commission, the undertaking must not have destroyed, falsified or concealed evidence of the alleged cartel nor disclosed the fact or any of the content of its contemplated application, except to other competition authorities.

(c) Pred načrtovano vložitvijo prošnje Komisiji podjetje ne sme uničiti, poneveriti ali skriti dokaznih sredstev o domnevnem kartelu niti ne razkriti dejstva ali katere koli vsebine svoje načrtovane prošnje, razen drugim organom za konkurenco.

(13) An undertaking which took steps to coerce other undertakings to join the cartel or to remain in it is not eligible for immunity from fines. It may still qualify for a reduction of fines if it fulfils the relevant requirements and meets all the conditions therefor.

(13) Podjetje, ki je s svojim delovanjem prisililo druga podjetja k pristopu h kartelu ali, da so ostala v njem, ni upravičeno do imunitete pred globami. Lahko je še vedno upravičeno do zmanjšanja glob, če izpolnjuje vse zadevne zahteve in pogoje za to.

B. Procedure

B. Postopek

(14) An undertaking wishing to apply for immunity from fines should contact the Commission's Directorate General for Competition. The undertaking may either initially apply for a marker or immediately proceed to make a formal application to the Commission for immunity from fines in order to meet the conditions in points (8)(a) or (8)(b), as appropriate. The Commission may disregard any application for immunity from fines on the ground that it has been submitted after the statement of objections has been issued.

(14) Podjetje, ki želi zaprositi za imuniteto pred globami, mora stopiti v stik z Generalnim direktoratom za konkurenco pri Komisiji. Da bi izpolnjevalo pogoje iz točk (8)(a) ali (8)(b), odvisno od primera, mora podjetje bodisi zaprositi za zaznamek ("marker") bodisi neposredno vložiti uradno prošnjo za imuniteto pred globami pri Komisiji. Komisija lahko prošnje za imuniteto pred globami ne upošteva na podlagi tega, da je bila vložena po izdaji obvestila o nasprotovanju.

(15) The Commission services may grant a marker protecting an immunity applicant's place in the queue for a period to be specified on a case-by-case basis in order to allow for the gathering of the necessary information and evidence. To be eligible to secure a marker, the applicant must provide the Commission with information concerning its name and address, the parties to the alleged cartel, the affected product(s) and territory(-ies), the estimated duration of the alleged cartel and the nature of the alleged cartel conduct. The applicant should also inform the Commission on other past or possible future leniency applications to other authorities in relation to the alleged cartel and justify its request for a marker. Where a marker is granted, the Commission services determine the period within which the applicant has to perfect the marker by submitting the information and evidence required to meet the relevant threshold for immunity. Undertakings which have been granted a marker cannot perfect it by making a formal application in hypothetical terms. If the applicant perfects the marker within the period set by the Commission services, the information and evidence provided will be deemed to have been submitted on the date when the marker was granted.

(15) Da bi bilo omogočeno zbiranje vseh potrebnih informacij in dokaznih sredstev, lahko službe Komisije priznajo zaznamek za zaščito mesta prosilca za imuniteto v vrstnem redu za obdobje, ki se določi od primera do primera. Da bi bil upravičen do dodelitve zaznamka, mora prosilec zagotoviti Komisiji informacije o svojem imenu in naslovu, udeležencih v domnevnem kartelu, zadevnem(-ih) proizvodu(-ih) in ozemlju(-ih), oceni trajanja domnevnega kartela in naravi domnevnega kartelnega ravnanja. Prosilec mora seznaniti Komisijo tudi z drugimi preteklimi ali možnimi prihodnjimi prošnjami za prizanesljivost pri drugih organih v zvezi z domnevnim kartelom, in utemeljiti svoj zahtevek za zaznamek. V primerih, ko je dodeljen zaznamek, službe Komisije določijo obdobje, v katerem mora prosilec zaznamek dopolniti s predložitvijo informacij in dokaznih sredstev, ki se zahtevajo za doseganje praga za imuniteto. Podjetja, ki jim je bil dodeljen zaznamek, ga ne morejo dopolniti s hipotetično vložitvijo uradne prošnje. Če prosilec dopolni zaznamek v obdobju, ki so ga določile službe Komisije, se šteje, da so bile zagotovljene informacije in dokazna sredstva predloženi na datum, ko je bil dodeljen zaznamek.

(16) An undertaking making a formal immunity application to the Commission must:

(16) Podjetje, ki pri Komisiji vloži uradno prošnjo za priznanje imunitete, mora:

(a) provide the Commission with all information and evidence relating to the alleged cartel available to it, as specified in points (8) and (9), including corporate statements; or

(a) zagotoviti Komisiji vse informacije in dokazna sredstva v zvezi z domnevnim kartelom, ki so mu na razpolago, kakor je določeno v točkah (8) in (9), vključno z izjavami podjetja; ali

(b) initially present this information and evidence in hypothetical terms, in which case the undertaking must present a detailed descriptive list of the evidence it proposes to disclose at a later agreed date. This list should accurately reflect the nature and content of the evidence, whilst safeguarding the hypothetical nature of its disclosure. Copies of documents, from which sensitive parts have been removed, may be used to illustrate the nature and content of the evidence. The name of the applying undertaking and of other undertakings involved in the alleged cartel need not be disclosed until the evidence described in its application is submitted. However, the product or service concerned by the alleged cartel, the geographic scope of the alleged cartel and the estimated duration must be clearly identified.

(b) sprva predstaviti te informacije in dokazna sredstva kot hipotetične, pri čemer mora podjetje predložiti podroben seznam z opisom dokaznih sredstev, ki jih je pripravljeno razkriti pozneje ob dogovorjenem času. Ta seznam mora natančno prikazati naravo in vsebino dokaznih sredstev ob hkratnem varovanju hipotetične narave njihovega razkritja. Za ponazoritev narave in vsebine dokaznih sredstev se lahko uporabijo kopije dokumentov, iz katerih so bili odstranjeni vsi občutljivi podatki. Imena podjetja prosilca in imen drugih podjetij, udeleženih v domnevnem kartelu, ni potrebno razkriti, dokler niso predložena dokazna sredstva, opisana v prošnji. Vendar morajo biti proizvod ali storitev, na katero vpliva domnevni kartel, geografski obseg domnevnega kartela in ocenjeno trajanje jasno določeni.

(17) If requested, the Directorate General for Competition will provide an acknowledgement of receipt of the undertaking's application for immunity from fines, confirming the date and, where appropriate, time of the application.

(17) Na zahtevo bo Generalni direktorat za konkurenco izdal potrdilo o prejemu prošnje podjetja za imuniteto pred globami z navedbo datuma in, kjer je to potrebno, ure vložitve prošnje.

(18) Once the Commission has received the information and evidence submitted by the undertaking under point (16)(a) and has verified that it meets the conditions set out in points (8)(a) or (8)(b), as appropriate, it will grant the undertaking conditional immunity from fines in writing.

(18) Po tem, ko Komisija prejme informacije in dokazna sredstva, ki jih je predložilo podjetje v skladu s točko (16)(a), in preveri, ali izpolnjuje pogoje, določene v točkah (8)(a) ali (8)(b), odvisno od primera, podjetju pisno odobri pogojno imuniteto pred globami.

(19) If the undertaking has presented information and evidence in hypothetical terms, the Commission will verify that the nature and content of the evidence described in the detailed list referred to in point (16)(b) will meet the conditions set out in points (8)(a) or (8)(b), as appropriate, and inform the undertaking accordingly. Following the disclosure of the evidence no later than on the date agreed and having verified that it corresponds to the description made in the list, the Commission will grant the undertaking conditional immunity from fines in writing.

(19) Če je podjetje predložilo informacije in dokazna sredstva kot hipotetične, bo Komisija preverila, ali narava in vsebina dokaznih sredstev, opisanih v podrobnem seznamu iz točke (16)(b), izpolnjujeta pogoje, določene v točkah (8)(a) ali (8)(b), odvisno od primera, in podjetje o tem ustrezno obvesti. Po razkritju dokaznih sredstev najpozneje na dogovorjeni datum in po tem, ko Komisija preveri, ali so skladna z opisom iz seznama, Komisija podjetju pisno odobri pogojno imuniteto pred globami.

(20) If it becomes apparent that immunity is not available or that the undertaking failed to meet the conditions set out in points (8)(a) or (8)(b), as appropriate, the Commission will inform the undertaking in writing. In such case, the undertaking may withdraw the evidence disclosed for the purposes of its immunity application or request the Commission to consider it under section III of this notice. This does not prevent the Commission from using its normal powers of investigation in order to obtain the information.

(20) Če se izkaže, da imuniteta ni na voljo ali da podjetje ne izpolnjuje pogojev iz točk (8)(a) ali (8)(b), odvisno od primera, Komisija pisno obvesti podjetje. V tem primeru lahko podjetje umakne dokazna sredstva, ki jih je razkrilo za namene svoje prošnje za imuniteto, ali Komisijo zaprosi, da jih upošteva v skladu z delom III tega obvestila. To Komisiji ne preprečuje uporabe njenih običajnih pooblastil za preiskovanje z namenom pridobitve informacij.

(21) The Commission will not consider other applications for immunity from fines before it has taken a position on an existing application in relation to the same alleged infringement, irrespective of whether the immunity application is presented formally or by requesting a marker.

(21) Komisija ne bo obravnavala drugih prošenj za imuniteto pred globami, dokler ne sprejme stališča glede obstoječe prošnje, ki se že obravnava v zvezi z isto domnevno kršitvijo, ne glede na to, ali je prošnja za imuniteto pred globami vložena formalno ali z zahtevo za zaznamek.

(22) If at the end of the administrative procedure, the undertaking has met the conditions set out in point (12), the Commission will grant it immunity from fines in the relevant decision. If at the end of the administrative procedure, the undertaking has not met the conditions set out in point (12), the undertaking will not benefit from any favorable treatment under this Notice. If the Commission, after having granted conditional immunity ultimately finds that the immunity applicant has acted as a coercer, it will withhold immunity.

(22) Če podjetje ob koncu upravnega postopka izpolnjuje vse pogoje, določene v točki (12), mu Komisija v zadevni odločbi odobri imuniteto pred globami. Če podjetje ob koncu upravnega postopka ne izpolnjuje vseh pogojev, določenih v točki (12), ne bo upravičeno do kakršnekoli ugodne obravnave v skladu s tem obvestilom. Če Komisija po dodelitvi pogojne imunitete končno ugotovi, da je prosilec za imuniteto uporabljal prisilna ravnanja v kartelu, bo imuniteto umaknila.

III. REDUCTION OF A FINE

III. ZNIŽANJE GLOBE

A. Requirements to qualify for reduction of a fine

A. Izpolnjevanje zahtev za znižanje globe

(23) Undertakings disclosing their participation in an alleged cartel affecting the Community that do not meet the conditions under section II above may be eligible to benefit from a reduction of any fine that would otherwise have been imposed.

(23) Podjetja, ki razkrijejo svojo udeležbo v domnevnem kartelu z vplivom na trgovino Skupnosti, vendar ne izpolnjujejo pogojev iz dela II zgoraj, so lahko upravičena do znižanja globe, ki bi jim sicer bila naložena.

(24) In order to qualify, an undertaking must provide the Commission with evidence of the alleged infringement which represents significant added value with respect to the evidence already in the Commission's possession and must meet the cumulative conditions set out in points (12)(a) to (12)(c) above.

(24) Da bi bilo do tega upravičeno, mora podjetje zagotoviti Komisiji dokazna sredstva o domnevni kršitvi, ki pomenijo znatno dodano vrednost v primerjavi z dokaznimi sredstvi, s katerimi Komisija že razpolaga, ter mora izpolnjevati kumulativne pogoje iz točk (12)(a) do (12)(c) zgoraj.

(25) The concept of "added value" refers to the extent to which the evidence provided strengthens, by its very nature and/or its level of detail, the Commission's ability to prove the alleged cartel. In this assessment, the Commission will generally consider written evidence originating from the period of time to which the facts pertain to have a greater value than evidence subsequently established. Incriminating evidence directly relevant to the facts in question will generally be considered to have a greater value than that with only indirect relevance. Similarly, the degree of corroboration from other sources required for the evidence submitted to be relied upon against other undertakings involved in the case will have an impact on the value of that evidence, so that compelling evidence will be attributed a greater value than evidence such as statements which require corroboration if contested.

(25) Pojem "dodane vrednosti" se nanaša na obseg, v katerem predložena dokazna sredstva po svoji naravi in/ali stopnji podrobnosti povečajo zmožnost Komisije, da dokaže obstoj domnevnega kartela. Komisija pri tej presoji na splošno šteje, da imajo pisna dokazna sredstva, ki izhajajo iz obdobja, na katerega se nanašajo dejstva, večjo vrednost kot dokazna sredstva, ki so ugotovljena naknadno. Za obremenilne dokaze, ki se neposredno nanašajo na zadevna dejstva, bo na splošno veljalo, da imajo večjo vrednost kot dokazna sredstva, ki so zgolj posredno povezana z dejstvi. Na podoben način na vrednost dokaznih sredstev vpliva tudi stopnja potrebe po dopolnitvi dokaznih sredstev z drugimi viri, da bi se zadevna dokazna sredstva lahko uporabila zoper druga podjetja v zadevi, tako da bo samostojnim dokaznim sredstvom priznana večja vrednost kot pa dokaznim sredstvom, kot so izjave, ki v primeru ugovora potrebujejo dopolnilno gradivo v podporo.

(26) The Commission will determine in any final decision adopted at the end of the administrative procedure the level of reduction an undertaking will benefit from, relative to the fine which would otherwise be imposed. For the:

(26) Komisija bo v vsaki končni odločbi, sprejeti na koncu upravnega postopka, določila stopnjo znižanja, dodeljeno podjetju, glede na globo, ki bi bila sicer naložena. Za:

- first undertaking to provide significant added value: a reduction of 30-50 %,

- prvo podjetje, ki predloži dokazna sredstva, ki pomenijo znatno dodano vrednost: znižanje od 30 do 50 %;

- second undertaking to provide significant added value: a reduction of 20-30 %,

- drugo podjetje, ki predloži dokazna sredstva, ki pomenijo znatno dodano vrednost: znižanje od 20 do 30 %;

- subsequent undertakings that provide significant added value: a reduction of up to 20 %.

- vsa naslednja podjetja, ki predložijo dokazna sredstva, ki pomenijo znatno dodano vrednost: znižanje do 20 %.

In order to determine the level of reduction within each of these bands, the Commission will take into account the time at which the evidence fulfilling the condition in point (24) was submitted and the extent to which it represents added value.

Komisija bo z namenom določitve ravni znižanja znotraj vsakega od teh razponov upoštevala čas predložitve dokaznih sredstev, ki izpolnjujejo pogoj iz točke (24), in obseg, v katerem pomenijo dodano vrednost.

If the applicant for a reduction of a fine is the first to submit compelling evidence in the sense of point (25) which the Commission uses to establish additional facts increasing the gravity or the duration of the infringement, the Commission will not take such additional facts into account when setting any fine to be imposed on the undertaking which provided this evidence.

Če prosilec za znižanje globe kot prvi predloži samostojna dokazna sredstva v smislu točke (25), ki jih Komisija uporabi za ugotovitev dodatnih dejstev, ki povečujejo resnost ali trajanje kršitve, Komisija ne bo upoštevala teh dodatnih dejstev pri določanju globe, ki bo naložena podjetju, ki je predložilo ta dokazna sredstva.

B. Procedure

B. Postopek

(27) An undertaking wishing to benefit from a reduction of a fine must make a formal application to the Commission and it must present it with sufficient evidence of the alleged cartel to qualify for a reduction of a fine in accordance with point (24) of this Notice. Any voluntary submission of evidence to the Commission which the undertaking that submits it wishes to be considered for the beneficial treatment of section III of this Notice must be clearly identified at the time of its submission as being part of a formal application for a reduction of a fine.

(27) Podjetje, ki želi biti upravičeno do znižanja globe, mora vložiti uradno prošnjo Komisiji in predložiti zadostna dokazna sredstva o domnevnem kartelu, za izpolnjevanje pogojev za znižanje globe v skladu s točko (24) tega obvestila. Podjetje mora pri kateri koli prostovoljni predložitvi dokaznih sredstev Komisiji, za katera želi, da se upoštevajo za ugodno obravnavo iz dela III tega obvestila, v času predložitve jasno navesti, da so del uradne prošnje za znižanje globe.

(28) If requested, the Directorate General for Competition will provide an acknowledgement of receipt of the undertaking's application for a reduction of a fine and of any subsequent submissions of evidence, confirming the date and, where appropriate, time of each submission. The Commission will not take any position on an application for a reduction of a fine before it has taken a position on any existing applications for conditional immunity from fines in relation to the same alleged cartel.

(28) Na zahtevo bo Generalni direktorat za konkurenco izdal potrdilo o prejemu prošnje podjetja za znižanje globe in vseh nadaljnjih predložitev dokaznih sredstev z navedbo datuma in po potrebi ure vsake vloge. Komisija ne bo sprejela nobenega stališča glede prošnje za znižanje globe, dokler ne sprejme stališča glede morebitnih že vloženih prošenj za pogojno imuniteto pred globami v zvezi z istim domnevnim kartelom.

(29) If the Commission comes to the preliminary conclusion that the evidence submitted by the undertaking constitutes significant added value within the meaning of points (24) and (25), and that the undertaking has met the conditions of points (12) and (27), it will inform the undertaking in writing, no later than the date on which a statement of objections is notified, of its intention to apply a reduction of a fine within a specified band as provided in point (26). The Commission will also, within the same time frame, inform the undertaking in writing if it comes to the preliminary conclusion that the undertaking does not qualify for a reduction of a fine. The Commission may disregard any application for a reduction of fines on the grounds that it has been submitted after the statement of objections has been issued.

(29) Če Komisija predhodno sklene, da dokazno sredstvo, ki ga je predložilo podjetje, pomeni znatno dodano vrednost v smislu točk (24) in (25) in da podjetje izpolnjuje pogoje iz točk (12) in (27), bo najpozneje na datum, ko je vročeno obvestilo o nasprotovanju, podjetje pisno obvestila o svojem namenu, da uporabi znižanje globe znotraj določenega razpona, predvidenega v točki (26). Če Komisija predhodno zaključi, da podjetje ni upravičeno do znižanja globe, bo v istem časovnem okviru o tem pisno obvestila podjetje. Komisija lahko prošnje za znižanje globe ne upošteva na podlagi tega, da je bila vložena po izdaji obvestila o nasprotovanju.

(30) The Commission will evaluate the final position of each undertaking which filed an application for a reduction of a fine at the end of the administrative procedure in any decision adopted. The Commission will determine in any such final decision:

(30) Komisija v odločbi, ki jo sprejme ob koncu upravnega postopka, oceni končni položaj vsakega podjetja, ki je vložilo prošnjo za znižanje globe. Komisija bo v taki končni odločbi določila:

(a) whether the evidence provided by an undertaking represented significant added value with respect to the evidence in the Commission's possession at that same time;

(a) ali je dokazno sredstvo, ki ga je zagotovilo podjetje, pomenilo znatno dodano vrednost v primerjavi z dokaznimi sredstvi, s katerimi je ob tem času razpolagala Komisija,

(b) whether the conditions set out in points (12)(a) to (12)(c) above have been met;

(b) ali so izpolnjeni pogoji iz točk (12)(a) do (12)(c) zgoraj;

(c) the exact level of reduction an undertaking will benefit from within the bands specified in point (26).

(c) natančno stopnjo znižanja, do katerega je upravičeno podjetje v razponih, določenih v točki (26).

If the Commission finds that the undertaking has not met the conditions set out in point (12), the undertaking will not benefit from any favourable treatment under this Notice.

Če Komisija ugotovi, da podjetje ne izpolnjuje pogojev, določenih v točki (12), podjetje ne bo upravičeno do ugodne obravnave v skladu s tem obvestilom.

IV. CORPORATE STATEMENTS MADE TO QUALIFY UNDER THIS NOTICE

IV. IZJAVE PODJETIJ ZA IZPOLNJEVANJE POGOJEV PO TEM OBVESTILU

(31) A corporate statement is a voluntary presentation by or on behalf of an undertaking to the Commission of the undertaking's knowledge of a cartel and its role therein prepared specially to be submitted under this Notice. Any statement made vis-à-vis the Commission in relation to this notice, forms part of the Commission's file and can thus be used in evidence.

(31) Izjava podjetja je prostovoljna predstavitev Komisiji, s strani ali v imenu podjetja, informacij o kartelu in vlogi podjetja v njem, ki je bila posebej pripravljena za predložitev v skladu s tem obvestilom. Vsaka izjava, dana Komisiji v zvezi s tem obvestilom, tvori del spisa Komisije in je lahko uporabljena kot dokazno sredstvo.

(32) Upon the applicant's request, the Commission may accept that corporate statements be provided orally unless the applicant has already disclosed the content of the corporate statement to third parties. Oral corporate statements will be recorded and transcribed at the Commission's premises. In accordance with Article 19 of Council Regulation (EC) No 1/2003 [6] and Articles 3 and 17 of Commission Regulation (EC) No 773/2004 [7], undertakings making oral corporate statements will be granted the opportunity to check the technical accuracy of the recording, which will be available at the Commission's premises and to correct the substance of their oral statements within a given time limit. Undertakings may waive these rights within the said time-limit, in which case the recording will from that moment on be deemed to have been approved. Following the explicit or implicit approval of the oral statement or the submission of any corrections to it, the undertaking shall listen to the recordings at the Commission's premises and check the accuracy of the transcript within a given time limit. Non-compliance with the last requirement may lead to the loss of any beneficial treatment under this Notice.

(32) Na zahtevo prosilca lahko Komisija sprejme, da so izjave podjetja podane v ustni obliki, razen če je prosilec že razkril vsebino izjave podjetja tretjim stranem. Ustne izjave bodo posnete in prepisane v prostorih Komisije. V skladu s členom 19 Uredbe Sveta (ES) št. 1/2003 [6] in členoma 3 in 17 Uredbe Komisije (ES) št. 773/2004 [7] bo podjetjem, ki podajo ustno izjavo, zagotovljena možnost, da preverijo tehnično natančnost posnetka, ki bo na voljo v prostorih Komisije, in da popravijo vsebino svojih ustnih izjav v določenem roku. Podjetja se v navedenem roku lahko odpovedo tem pravicam, pri čemer se bo od tega trenutka naprej štelo, da je posnetek bil potrjen. Po eksplicitnem ali implicitnem potrditvi ustne izjave ali predložitvi popravkov podjetje posluša posnetke v prostorih Komisije in v danem roku preveri natančnost prepisa posnetkov. Neizpolnjevanje te zadnje zahteve lahko pomeni izgubo kakršne koli ugodne obravnave v skladu s tem obvestilom.

(33) Access to corporate statements is only granted to the addressees of a statement of objections, provided that they commit, — together with the legal counsels getting access on their behalf -, not to make any copy by mechanical or electronic means of any information in the corporate statement to which access is being granted and to ensure that the information to be obtained from the corporate statement will solely be used for the purposes mentioned below. Other parties such as complainants will not be granted access to corporate statements. The Commission considers that this specific protection of a corporate statement is not justified as from the moment when the applicant discloses to third parties the content thereof.

(33) Dostop do izjav podjetij je dovoljen samo naslovljencem obvestila o nasprotovanju, če se, skupaj s pravnimi predstavniki, ki so pridobili dostop v njihovem imenu, zavežejo, da ne bodo z mehaničnimi ali elektronskimi sredstvi naredili kopije informacij iz izjave podjetja, do katere je bil dovoljen dostop, ter da bodo zagotovili, da se bodo informacije, pridobljene na podlagi izjave podjetja, uporabljale samo v spodaj navedene namene. Drugim strankam, kot so pritožniki, ne bo dovoljen dostop do izjav podjetij. Komisija meni, da ta posebna zaščita izjave podjetja ni upravičena od trenutka, ko prosilec razkrije njeno vsebino tretjim stranem.

(34) In accordance with the Commission Notice on rules for access to the Commission file [8], access to the file is only granted to the addressees of a statement of objections on the condition that the information thereby obtained may only be used for the purposes of judicial or administrative proceedings for the application of the Community competition rules at issue in the related administrative proceedings. The use of such information for a different purpose during the proceeding may be regarded as lack of cooperation within the meaning of points (12) and (27) of this Notice. Moreover, if any such use is made after the Commission has already adopted a prohibition decision in the proceeding, the Commission may, in any legal proceedings before the Community Courts, ask the Court to increase the fine in respect of the responsible undertaking. Should the information be used for a different purpose, at any point in time, with the involvement of an outside counsel, the Commission may report the incident to the bar of that counsel, with a view to disciplinary action.

(34) V skladu z Obvestilom Komisije o pravilih za dostop do spisa Komisije [8], se dostop do spisa odobri samo naslovljencem obvestila o nasprotovanju pod pogojem, da se s tem pridobljene informacije smejo uporabljati samo za namene sodnih in upravnih postopkov za uporabo pravil konkurence Skupnosti, na katere se nanašajo zadevni upravni postopki. Uporaba takih informacij v druge namene med postopkom se lahko šteje kot nesodelovanje v smislu člena (12) in (27) tega obvestila. Poleg tega, če pride do take uporabe po tem, ko je v postopku Komisija že sprejela odločbo o prepovedi, lahko Komisija pri pravnih postopkih pred sodišči Skupnosti zahteva povišanje globe za podjetje, ki je odgovorno za tako dejanje. Če se bodo informacije kdaj koli uporabljale v drugačen namen z vključitvijo zunanjega pravnega zastopnika, bo lahko za ustrezen disciplinski ukrep Komisija prijavila dogodek zbornici tega zastopnika.

(35) Corporate statements made under the present Notice will only be transmitted to the competition authorities of the Member States pursuant to Article 12 of Regulation No 1/2003, provided that the conditions set out in the Network Notice [9] are met and provided that the level of protection against disclosure awarded by the receiving competition authority is equivalent to the one conferred by the Commission.

(35) Izjave podjetij, dane v skladu s tem obvestilom, bodo v skladu s členom 12 Uredbe št. 1/2003 predložene samo organom za konkurenco držav članic, če so izpolnjeni pogoji iz Obvestila o mreži za konkurenco [9] in če je stopnja varnosti pred razkritjem s strani organa za konkurenco, ki je izjavo prejel, enaka stopnji varnosti, ki jo zagotavlja Komisija.

V. GENERAL CONSIDERATIONS

V. SPLOŠNI PREUDARKI

(36) The Commission will not take a position on whether or not to grant conditional immunity, or otherwise on whether or not to reward any application, if it becomes apparent that the application concerns infringements covered by the five years limitation period for the imposition of penalties stipulated in Article 25(1)(b) of Regulation 1/2003, as such applications would be devoid of purpose.

(36) Komisija ne bo sprejela stališča o dodelitvi ali ne pogojne imunitete ali o nagraditvi ali ne katere koli prošnje, če postane jasno, da prošnja zadeva prekrške, storjene v zastaralnem roku petih let za naložitev kazni, določenem v členu 25(1)(b) Uredbe št. 1/2003, saj take prošnje ne služijo več svojemu namenu.

(37) From the date of its publication in the Official Journal, this notice replaces the 2002 Commission notice on immunity from fines and reduction of fines in cartel cases for all cases in which no undertaking has contacted the Commission in order to take advantage of the favourable treatment set out in that notice. However, points (31) to (35) of the current notice will be applied from the moment of its publication to all pending and new applications for immunity from fines or reduction of fines.

(37) Z dnem objave v Uradnem listu to obvestilo nadomesti Obvestilo Komisije o imuniteti pred globami in znižanju glob v zadevah o kartelih iz leta 2002 za vse zadeve, v katerih ni nobeno podjetje vzpostavilo stika s Komisijo, da bi izkoristilo ugodno obravnavo, določeno v navedenem obvestilu. Ne glede na to se bodo točke (31) do (35) tega obvestila uporabljale od trenutka objave za vse prošnje v obravnavi ali nove prošnje za imuniteto pred globami in za znižanje glob.

(38) The Commission is aware that this notice will create legitimate expectations on which undertakings may rely when disclosing the existence of a cartel to the Commission.

(38) Komisija se zaveda, da bo to obvestilo ustvarilo upravičena pričakovanja, na katera se lahko zanašajo podjetja, ko Komisiji razkrijejo obstoj kartela.

(39) In line with the Commission's practice, the fact that an undertaking cooperated with the Commission during its administrative procedure will be indicated in any decision, so as to explain the reason for the immunity or reduction of the fine. The fact that immunity or reduction in respect of fines is granted cannot protect an undertaking from the civil law consequences of its participation in an infringement of Article 81 EC.

(39) V skladu s prakso Komisije bo dejstvo, da podjetje sodeluje s Komisijo med upravnim postopkom, navedeno v odločbah z namenom obrazložiti imuniteto ali znižanje globe. Dejstvo, da se prizna imuniteta ali znižanje v zvezi z globami, ne more varovati podjetja pred civilnopravnimi posledicami njegovega sodelovanja pri kršitvi člena 81 Pogodbe ES.

(40) The Commission considers that normally public disclosure of documents and written or recorded statements received in the context of this notice would undermine certain public or private interests, for example the protection of the purpose of inspections and investigations, within the meaning of Article 4 of Regulation (EC) No 1049/2001 [10], even after the decision has been taken.

(40) Komisija meni, da bi javno razkritje dokumentov ter pisnih ali posnetih izjav, prejetih v okviru tega obvestila, v običajnih razmerah spodkopalo določene javne in zasebne interese, na primer zaščito namena inšpekcij in preiskav v smislu člena 4 Uredbe (ES) št. 1049/2001 [10], celo v času po sprejetju odločbe.

[1] Reference in this text to Article 81 EC also covers Article 53 EEA when applied by the Commission according to the rules laid down in Article 56 of the EEA Agreement.

[1] V tem besedilu sklicevanje na člen 81 ES zajema tudi člen 53 EGP, če ga Komisija uporablja v skladu s pravili, določenimi v členu 56 Sporazuma EGP.

[2] OJ L 8, 12.1.2001, p. 1.

[2] UL L 8, 12.1.2001, str. 1.

[3] The assessment of the threshold will have to be carried out ex ante, i.e. without taking into account whether a given inspection has or has not been successful or whether or not an inspection has or has not been carried out. The assessment will be made exclusively on the basis of the type and the quality of the information submitted by the applicant.

[3] Oceno izpolnjevanja je potrebno izvesti v naprej, t.j. brez upoštevanja, ali je bil zadevni pregled uspešen oziroma ali je bil izveden ali ne. Ocena se izvede izključno na podlagi narave in kakovosti podatkov, ki jih predloži prosilec.

[4] Corporate statements may take the form of written documents signed by or on behalf of the undertaking or be made orally.

[4] Izjave podjetij so lahko podane v obliki pisnih dokumentov, ki jih podpiše podjetje ali so podpisani v imenu podjetja, ali ustno.

[5] This requires in particular that the applicant provides accurate, not misleading, and complete information. Cfr judgement of the European Court of Justice of 29 June 2006 in case C-301/04 P, Commission v SGL Carbon AG a.o., at paragraphs 68-70, and judgement of the European Court of Justice of 28 June 2005 in cases C-189/02 P, C-202/02 P, C-205/02 P, C-208/02 P and C-213/02 P, Dansk Rørindustri A/S a.o. v. Commission, at paragraphs 395-399.

[5] To obsega zlasti zahtevo, da mora prosilec predložiti točne, nezavajajoče in popolne informacije. Glej sodbo Sodišča Evropskih skupnosti z dne 29. junija 2006 v zadevi C-301/04 P, Komisija proti SGL Carbon AG in drugi, odstavki 60-70, in sodbo Sodišča Evropskih skupnosti z dne 28. junija 2005 v zadevah C-189/02 P, C-202/02 P, C-208/02 P in C-213/02 P, Dansk Rørindustri A7S in drugi proti Komisiji, odstavki 395-399.

[6] OJ L 1, 4.1.2003, p. 1.

[6] UL L 1, 4.1.2003, str. 1.

[7] OJ L 123, 27.4.2004, p. 18.

[7] UL L 123, 27.4.2004, str. 18.

[8] OJ C 325, 22.12.2005, p. 7.

[8] UL C 325, 22.12.2005, str. 7.

[9] Commission Notice on cooperation within the Network of Competition Authorities, OJ C 101, 27.4.2004, p. 43.

[9] Obvestila Komisije o sodelovanju v okviru mreže organov, pristojnih za konkurenco, UL C 101, 27.4.2004, str. 43.

[10] OJ L 145, 31.5.2001, p. 43.

[10] UL L 145, 31.5.2001, str. 43.

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