Article 11(2) of Regulation 1/2003

Article 11(2) of Regulation 1/2003

Certain information and documents are sent to the competition authorities of the Member State without prior request. This rule applies to the “most important documents the Commission has collected with a view to applying Articles 7 to 10 and 29(1) of Regulation 1/2003”. The legal basis is Article 11(2) of Regulation 1/2003. This transmission is done, systematically and upon instruction of the case team or the responsible unit.

More about Article 11(2) of Regulation 1/2003

The documents which should systematically be transmitted to the Member States are: a. all admissible complaints upon their registration as cases, subject to any redaction needed to respect request for anonymity; b. formal fact-finding measures: – requests for information by decision pursuant to Article 18(3) are sent for information to the competition authority of the Member State on whose territory the undertaking is located and whose territory is affected (see Article 18(5)). If this undertaking has a mother company in another Member State, a copy can also be sent the latter Member State; – inspections based on a simple mandate (Article 20(3)): in good time before the inspection, the Commission must give notice of the inspection to the NCA of the Member State in whose territory it is to be conducted; – inspections ordered by decision (Article 20(4)): Advance consultation of the Member State in whose territory the inspection is to be conducted; in case the officials of the Member State in question did not assist the Commission, also information after the inspection; – sector inquiry decisions (Article 17): draft decision sent for Advisory Committee consultation; c. decisions imposing provisional periodic penalty payments : copy is sent to all Member States; d. preparatory acts: – initiation of proceedings (Article 11(6)) : information is sent to all Member States; – statement of objections: copy is sent to all Member States; – preliminary assessment in Article 9 proceedings; – invitation to hearings: sent to all Member States; – Article 27(4) market test publication for the Official Journal : copy of draft to all Member States after approval of the Commissioner and before publication; – the tape recordings on hearings are sent to the Member States on case by case basis, but only if they make an explicit request; – the final report of the Hearing Officer 1 ; e. undertakings' replies to Statements of Objections and to Article 27(4) publications: copy to all Member States; f. information about closure of a case where proceedings had been opened: – rejections of complaints pursuant to Article 13 of Regulation 1/2003 or Article 7 of Regulation 773/2004, subject to any redaction needed to respect request for anonymity; – decisions which must be published (in summary format) (Art. 30 Reg. 1/2004): first, SG sends the operative part by fax to all NCAs; then, the case-team instruct the Antitrust Register to send the full text of the decision (i.e. including confidential information and indication of figures on fines) to all NCAs in the languages available via the encrypted mail promptly (within two weeks) after the adoption of the decision; – every three months a list of all closed cases is drawn up for the Member States by the Antitrust Registry.

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On the basis of Article 11(2), second sentence, the national authorities are also entitled to receive, upon request, copies of other existing documents necessary for the assessment of the case.

Resources

See Also

References

• Information about Article 11(2) of Regulation 1/2003 in the Antitrust Manual of Procedures for the application of Articles 101 and 102 TFEU (Internal DG Competition)

Further Reading

• Information about Article 11(2) of Regulation 1/2003 in EU Competition Procedure, 3rd. Edition, Edited by Luis Ortiz Blanco (Oxford University Press)