Activities of Joachim STARBATTY related to 2017/0063(COD)
Shadow reports (1)
REPORT on the proposal for a directive of the European Parliament and of the Council to empower the competition authorities of the Member States to be more effective enforcers and to ensure the proper functioning of the internal market PDF (820 KB) DOC (122 KB)
Amendments (12)
Amendment 71 #
Proposal for a directive
Recital 14 a (new)
Recital 14 a (new)
(14a) State-owned undertakings are subject to the competition rules of the Treaties to the extent that they engage in an economic activity. Member States should refrain from taking any measures that could undermine the independent assessment of matters coming before the NCAs when they concern such undertakings.
Amendment 79 #
Proposal for a directive
Recital 18
Recital 18
(18) NCAs should have the necessary resources, in terms of staff, expertise, financial means and technical equipment, to ensure they can effectively perform their tasks when applying Articles 101 and 102 TFEU. In case their duties and powers under national law are extended, the resources that are necessary to perform those tasks should still be sufficient. The independence of NCAs will be enhanced if they have autonomy in the implementation of the budgets allocated to them. Autonomy in the implementation of allocated budgets should be implemented within the framework of national budgetary rules and procedures.
Amendment 90 #
Proposal for a directive
Recital 28
Recital 28
(28) Where in the course of proceedings which may lead to an agreement or a practice being prohibited, undertakings or associations of undertakings offer NCAs commitments which meet their concerns, these authorities should be able to adopt decisions which make these commitments binding on, and enforceable against, the undertakings concerned. Such cIn principle, such commitment decisions are not appropriate in cases of secret cartels, in respect of which NCAs should impose a fine. Commitment decisions should find that there are no longer grounds for action by the NCAs without concluding as to whether or not there has been an infringement of Article 101 TFEU or Article 102 TFEU. Commitment decisions are without prejudice to the powers of competition authorities and courts of the Member States to make such a finding of an infringement and decide upon a case.
Amendment 95 #
Proposal for a directive
Recital 32
Recital 32
(32) To ensure that the fines imposed for infringements of Articles 101 and 102 TFEU reflect the economic significance of the infringement, NCAs should take into account the gravity of the infringement. NCAs should also be able to set fines that are proportionate to the duration of the infringement. These factors should be assessed in accordance with the case law of the Court of Justice of the European Union. In particular, as regards the assessment of the gravity of an infringement, the Court of Justice of the European Union has established that consideration must be given to the circumstances of the case, the context in which the infringement occurred and the deterrent effect of the fines. Factors that may form part of this assessment are the turnover for the goods and services in respect of which the infringement was committed and the size and economic power of the undertaking - e.g. when it is a small or medium-sized enterprise with limited market power -, as they reflect the influence the undertaking was able to exert on the market. Moreover, the existence of repeated infringements by the same perpetrator shows its propensity to commit such infringements and is therefore a very significant indication of the gravity of the conduct in question and accordingly of the need to increase the level of the penalty to achieve effective deterrence. When determining the fine to be imposed, NCAs should consider the value of the undertaking’s sales of goods and services to which the infringement directly or indirectly relates. Similarly, NCAs should be entitled to increase the fine to be imposed on an undertaking or association of undertakings that continues the same, or commits a similar, infringement after the Commission or a national competition authority has taken a decision finding that the same undertaking or association of undertakings has infringed Articles 101 or 102 TFEU. In addition, NCAs may take account of any compensation paid as a result of a consensual settlement, in accordance with Article 18(3) of Directive 2014/104/EU of the European Parliament and of the Council.
Amendment 104 #
Proposal for a directive
Recital 34
Recital 34
(34) The deterrent effect of fines differs widely across Europe and in some Member States the maximum amount of the fine that can be set is very low. To ensure NCAs can set deterrent fines, the maximum amount of the fine should be set at least at a level of not less than 10% of the total worldwide turnover of the undertaking concerned. This should not prevent Member States from maintaining or introducing a higher maximum amount of the fine.
Amendment 144 #
Proposal for a directive
Article 5 – paragraph 1
Article 5 – paragraph 1
1. Member States shall ensure that national competition authorities have the human, financial and technical resources that are necessary for the effective performance of their duties and exercise of their powers when applying Articles 101 and 102 TFEU as defined in paragraph 2. Member States shall ensure that NCAs are able to administer the budgets allocated to it independently. Such freedom of management of their budgets should be implemented within the framework of national budgetary rules and procedures.
Amendment 169 #
Proposal for a directive
Article 8 – paragraph 1
Article 8 – paragraph 1
Member States shall ensure that national administrative competition authorities may by decision require undertakings and associations of undertakings to provide all necessary information for the application of Articles 101 and 102 TFEU within a specifiedreasonable time limit. This obligation shall cover information which is accessible to the undertaking and association of undertakings.
Amendment 182 #
Proposal for a directive
Article 11 – paragraph 1
Article 11 – paragraph 1
Member States shall ensure that in proceedings initiated with a view to a decision requiring that an infringement of Article 101 or Article 102 TFEU be brought to an end, national competition authorities may, after seeking the views of market participants, by decision make binding commitments offered by undertakings to meet the concerns expressed by these authorities. Such a decision may be adopted for a specified period and shall conclude that there are no longer grounds for action by the national competition authority concerned.
Amendment 195 #
Proposal for a directive
Article 13 – paragraph 1 a (new)
Article 13 – paragraph 1 a (new)
1a. When determining the amount of the fine for an infringement, national competition authorities may take into account any compensation paid as a result of a consensual settlement in accordance with Article 18(3) of Directive 2014/104/EU.
Amendment 203 #
Proposal for a directive
Article 14 – paragraph 1
Article 14 – paragraph 1
1. Member States shall ensure that the maximum amount of the fine a national competition authority may impose on each undertaking or association of undertakings participating in an infringement of Articles 101 or 102 TFEU should not be seis set at least at a level belowof 10% of its total worldwide turnover in the business year preceding the decision. This should not prevent Member States from maintaining or introducing a higher maximum level for the fine.
Amendment 211 #
Proposal for a directive
Article 14 – paragraph 2
Article 14 – paragraph 2
2. Where an infringement by an association of undertakings relates to the activities of its members, the maximum amount of the fine shall not be set at least at a level belowof 10 % of the sum of the total worldwide turnover of each member active on the market affected by the infringement of the association. This should not prevent Member States from maintaining or introducing a higher maximum amount of the fine. However, the financial liability of each undertaking in respect of the payment of the fine shall not exceed the maximum amount set in accordance with paragraph 1.
Amendment 241 #
Proposal for a directive
Article 22 – paragraph 1
Article 22 – paragraph 1
Member States shall ensure that current and former employees and directors of applicants for immunity from fines to competition authorities are protected from any criminal and administrative sanctions and from sanctions imposed in non- criminal judicial proceedings for their involvement in the secret cartel covered by the application, if these employees and directors actively cooperate with the competition authorities concerned and the immunity application predates the starttime when the employees and directors were made aware by the competent authorities of the Member States of the criminal proceedings.