Agreement between the EFTA States on the Establishment of a Surveillance Authority and a Court of Justice ^[*]

Where the acts referred to in the Annexes to the EEA Agreement contain provisions on procedures under which the EC Commission:

those and comparable functions shall for the EFTA States be carried out by the EFTA Surveillance Authority in accordance with the procedures laid down in the acts referred to.

If the EC Commission is entrusted with other comparable functions, the corresponding functions shall also be carried out by the EFTA Surveillance Authority.

The EFTA Surveillance Authority shall receive information which an EFTA State or a competent authority according to the EEA rules shall submit to it and pass on that information to the EC Commission.

The EFTA Surveillance Authority shall further receive corresponding information from the EC Commission for distribution to the EFTA States or their competent authorities.

Without prejudice to Article 31 and 32{2} of this Agreement, the EFTA Surveillance Authority may invoke the procedure for which the present Article provides when, prior to a contract being concluded, it considers that a clear and manifest infringement of the provisions of the EEA Agreement in the field of procurement has been committed during a contract award procedure falling within the scope of the acts referred to in points 2 and 3 of Annex XVI to the EEA Agreement.

The EFTA Surveillance Authority shall notify the EFTA State and the contracting authority concerned of the reasons which have led it to conclude that a clear and manifest infringement has been committed and request its correction.

Within 21 days of receipt of the notification referred to in paragraph 2, the EFTA State concerned shall communicate to the EFTA Surveillance Authority:

A reasoned submission in accordance with paragraph 3(b) of this Article may rely among other matters on the fact that the alleged infringement is already the subject of judicial or other review proceedings or of a review as referred to in Article 2(8) of the act referred to in point 5 of Annex XVI to the EEA Agreement. In such a case, the EFTA State shall inform the EFTA Surveillance Authority of the result of those proceedings as soon as it becomes known.

Where notice has been given that a contract award procedure has been suspended in accordance with paragraph 3(c) of this Article, the EFTA State shall notify the EFTA Surveillance Authority when the suspension is lifted or another contract procedure relating in whole or in part to the same subject matter is begun. That notification shall confirm that the alleged infringement has been corrected or include a reasoned submission as to why no correction has been made.

Not later than 1 January 1996, the EFTA Surveillance Authority shall, together with an advisory committee composed of representatives of the EFTA States, review the manner in which the provisions of this Section{3} and the provisions of the act referred to in point 5 of Annex XVI of the EEA Agreement have been implemented and, if necessary, make proposals for amendments. The committee shall have as Chairman a representative of the EFTA Surveillance Authority. The committee shall be convened by its Chairman either on his own initiative or at the request of one of its members.

By 1 March each year the EFTA States shall communicate to the EFTA Surveillance Authority information on the operation of their national review procedures during the preceding calendar year. The nature of the information shall be determined by the EFTA Surveillance Authority in consultation with the advisory committee.

Without prejudice to Articles 31and 32 of this Agreement the EFTA Surveillance Authority may invoke the procedures for which this Article provides when, prior to a contract being concluded, it considers that a clear and manifest infringement of the provisions of the EEA Agreement in the field of procurement has been committed during a contract award procedure falling within the scope of the act referred to in point 4 of Annex XVI to the EEA Agreement or in relation to Article 3(2)(a) of that act in the case of the contracting entities to which that provision applies.

The EFTA Surveillance Authority shall notify the EFTA States and the contracting entity concerned of the reasons which have led it to conclude that a clear and manifest infringement has been committed and request its correction by appropriate means.

Within 30 days of receipt of the notification referred to in paragraph 2, the EFTA States concerned shall communicate to the EFTA Surveillance Authority:

A reasoned submission in accordance with paragraph 3(b) of this Article may rely among other matters on the fact that the alleged infringement is already the subject of judicial review proceedings of a review as referred to in Article 2(9) of the act referred to in point 5a of Annex XVI to the EEA Agreement. In such a case, the EFTA State shall inform the EFTA Surveillance Authority of the result of those proceedings as soon as it becomes known.

Where notice has been given that a contract award procedure has been suspended in accordance with paragraph 3(c) of this Article, the EFTA State concerned shall notify the EFTA Surveillance Authority when the suspension is lifted or another contract procedure relating in whole or in part to the same subject matter is begun. That new notification shall confirm that the alleged infringement has been corrected or include a reasoned submission as to why no correction has been made.

Any person having or having had an interest in obtaining a particular contract falling within the scope of the act referred to in point 4 of Annex XVI to the EEA Agreement and who, in relation to the procedure for the award of that contract, considers that he has been or risks being harmed by an alleged infringement of the provisions of the EEA Agreement in the field of procurement or national rules implementing those provisions may request the application of the conciliation procedure provided for in Article 5 and 6 of the present Protocol.

The request referred to in paragraph 1 shall be addressed in writing to the EFTA Surveillance Authority or to the national authorities listed in the Appendix to the present Protocol. These authorities shall forward requests to the EFTA Surveillance Authority as quickly as possible.

Where the EFTA Surveillance Authority considers, on the basis of the request referred to in Article 4, that the dispute concerns the correct application of the provisions of the EEA Agreement, it shall ask the contracting entity to state whether it is willing to take part in the conciliation procedure. If the contracting entity declines to take part, the EFTA Surveillance Authority shall inform the person who made the request that the procedure cannot be initiated. If the contracting entity agrees, paragraphs 2 to 7 shall apply.

The EFTA Surveillance Authority shall propose, as quickly as possible, a conciliator drawn from a list of independent persons accredited for this purpose. This list shall be drawn up by the EFTA Surveillance Authority, following consultation of an advisory committee composed of representatives of the EFTA States or, in the case of contracting entities the activities of which are defined in Article 2(2)(d) of the act referred to in point 4 of Annex XVI to the EEA Agreement, following consultation of such an advisory committee enforced with expertise on telecommunications procurement. Each party to the conciliation procedure shall declare whether it accepts the conciliator, and shall designate an additional conciliator. The conciliators may invite not more than two other persons as experts to advise them in their work. The parties to the conciliation procedure and the EFTA Surveillance Authority may reject any expert invited by the conciliators.

The conciliators shall give the person requesting the application of he conciliation procedure, the contracting entity and any other candidate or tenderer participating in the relevant contract award procedure the opportunity to make representations on the matter either orally or in writing.

The conciliators shall endeavour as quickly as possible to reach an agreement between the parties which is in accordance with the provisions of the EEA Agreement.

The conciliators shall report to the EFTA Surveillance Authority on their findings and on any result achieved.

The person requesting the application of the conciliation procedure and the contracting entity shall have the right to terminate the procedure at any time.

Unless the parties decide otherwise, the person requesting the application of the conciliation procedure and the contracting entity shall be responsible for their own costs. In addition, they shall each bear half of the costs of the procedure, excluding the costs of intervening parties.

Where, in relation to a particular contract award procedure, an interested person within the meaning of Article 4, other than the person requesting the conciliation procedure, is pursuing judicial review proceedings or other proceedings for review within the meaning of the act referred to in point 5a of Annex XVI to the EEA Agreement, the contracting entity shall inform the conciliators. These shall inform that person that a request has been made to apply the conciliation procedure and shall invite that person to indicate within a given time limit whether he agrees to participate in that procedure. If that person refuses to participate, the conciliators may decide, acting if necessary by a majority, to terminate the conciliation procedure if they consider that the participation of this person is necessary to resolve the dispute. They shall notify their decision to the EFTA Surveillance Authority and give their reasons for it.

Action taken pursuant to Article 4 to 6 shall be without prejudice to:

Not later than 1 January 1996, the EFTA Surveillance Authority, in consultation with the advisory committee composed of representatives of the EFTA States, shall review the manner in which the provisions of this Section and the provisions of the act referred to in point 5a of Annex XVI to the EEA Agreement have been implemented and, in particular, the use of the European Standards and, if necessary, make proposals for amendments.

Before 1 March each year the EFTA States shall communicate to the EFTA Surveillance Authority information on the operation of their national review procedures during the preceding calendar year. The nature of the information shall be determined by the EFTA Surveillance Authority in consultation with the advisory committee.

In the case of matters relating to contracting entities the activities of which are defined in Article 2(2)(d) of the act referred to in point 4 of Annex XVI to the EEA Agreement, the EFTA Surveillance Authority shall also consult such an advisory committee enforced with expertise on telecommunications procurement.

The EFTA Surveillance Authority shall, in cooperation with the EFTA States, keep under constant review all systems of aid existing in those States. It shall propose to the latter any appropriate measures required by the progressive development or by the functioning of the EEA Agreement.

If, after giving notice to the parties concerned to submit their comments, the EFTA Surveillance Authority finds that aid granted by an EFTA State or through EFTA State resources is not compatible with the functioning of the EEA Agreement having regard to Article 61 of the EEA Agreement, or that such aid is being misused, it shall decide that the EFTA State concerned shall abolish or alter such aid within a period of time to be determined by the Authority.

If the EFTA State concerned does not comply with this decision within the prescribed time, the EFTA Surveillance Authority or any other interested EFTA State may, in derogation from Articles 31 and 32 of this Agreement, refer the matter to the EFTA Court directly.

On application by an EFTA State, the EFTA States may, by common accord, decide that aid which that State is granting or intends to grant shall be considered to be compatible with the functioning of the EEA Agreement, in derogation from the provisions of Article 61 of the EEA Agreement, if such a decision is justified by exceptional circumstances. If, as regards the aid in question, the EFTA Surveillance Authority has already initiated the procedure provided for in the first subparagraph of this paragraph, the fact that the State concerned has made its application to the EFTA States shall have the effect of suspending that procedure until the EFTA States, by common accord, have made their attitude known.

If, however, the EFTA States have not made their attitude known within three months of the said application being made, the EFTA Surveillance Authority shall give its decision on the case.

The EFTA Surveillance Authority shall be informed, in sufficient time to enable it to submit its comments, of any plans to grant or alter aid. If it considers that any such plan is not compatible with the functioning of the EEA Agreement having regard to Article 61 of the EEA Agreement, it shall without delay initiate the procedure provided for in paragraph 2. The State concerned shall not put its proposed measures into effect until this procedure has resulted in a final decision.

'aid' shall mean any measure fulfilling all the criteria laid down in Article 61(1) of the EEA Agreement;

'existing aid' shall mean:

'new aid' shall mean all aid, that is to say, aid schemes and individual aid, which is not existing aid, including alterations to existing aid;

'aid scheme' shall mean any act on the basis of which, without further implementing measures being required, individual aid awards may be made to undertakings defined within the act in a general and abstract manner and any act on the basis of which aid which is not linked to a specific project may be awarded to one or several undertakings for an indefinite period of time and/or for an indefinite amount;

'individual aid' shall mean aid that is not awarded on the basis of an aid scheme and notifiable awards of aid on the basis of an aid scheme;

'unlawful aid' shall mean new aid put into effect in contravention of Article 1(3) in Part I;

'misuse of aid' shall mean aid used by the beneficiary in contravention of a decision taken pursuant to Article 4(3) or Article 7(3) or (4) of this Chapter;

'interested party' shall mean any State being a Contracting Party to the EEA Agreement and any person, undertaking or association of undertakings whose interests might be affected by the granting of aid, in particular the beneficiary of the aid, competing undertakings and trade associations.

Save as otherwise provided in this Protocol or relevant provisions of the EEA Agreement, any plans to grant new aid shall be notified to the EFTA Surveillance Authority in sufficient time by the EFTA State concerned. The EFTA Surveillance Authority shall inform the EFTA State concerned without delay of the receipt of a notification.

In a notification, the EFTA State concerned shall provide all necessary information in order to enable the EFTA Surveillance Authority to take a decision pursuant to Articles 4 and 7 of this Chapter (hereinafter referred to as 'complete notification').

The EFTA Surveillance Authority shall examine the notification as soon as it is received. Without prejudice to Article 8 of this Chapter, the EFTA Surveillance Authority shall take a decision pursuant to paragraphs 2, 3 or 4.

Where the EFTA Surveillance Authority, after a preliminary examination, finds that the notified measure does not constitute aid, it shall record that finding by way of a decision.

Where the EFTA Surveillance Authority, after a preliminary examination, finds that no doubts are raised as to the compatibility with the functioning of the EEA Agreement of a notified measure, in so far as it falls within the scope of Article 61(1) of the EEA Agreement, it shall decide that the measure is compatible with the functioning of the EEA Agreement (hereinafter referred to as a 'decision not to raise objections'). The decision shall specify which exception under the EEA Agreement has been applied.

Where the EFTA Surveillance Authority, after a preliminary examination, finds that doubts are raised as to the compatibility with the functioning of the EEA Agreement of a notified measure, it shall decide to initiate proceedings pursuant to Article 1(2) in Part I (hereinafter referred to as a 'decision to initiate the formal investigation procedure').

The decisions referred to in paragraphs 2, 3 and 4 shall be taken within two months. That period shall begin on the day following the receipt of a complete notification. The notification will be considered as complete if, within two months from its receipt, or from the receipt of any additional information requested, the EFTA Surveillance Authority does not request any further information. The period can be extended with the consent of both the EFTA Surveillance Authority and the EFTA State concerned. Where appropriate, the EFTA Surveillance Authority may fix shorter time limits.

Where the EFTA Surveillance Authority has not taken a decision in accordance with paragraphs 2, 3 or 4 within the period laid down in paragraph 5, the aid shall be deemed to have been authorised by the EFTA Surveillance Authority. The EFTA State concerned may thereupon implement the measures in question after giving the EFTA Surveillance Authority prior notice thereof, unless the EFTA Surveillance Authority takes a decision pursuant to this Article within a period of 15 working days following receipt of the notice.

Where the EFTA Surveillance Authority considers that information provided by the EFTA State concerned with regard to a measure notified pursuant to Article 2 of this Chapter is incomplete, it shall request all necessary additional information. Where an EFTA State responds to such a request, the EFTA Surveillance Authority shall inform the EFTA State of the receipt of the response.

Where the EFTA State concerned does not provide the information requested within the period prescribed by the EFTA Surveillance Authority or provides incomplete information, the EFTA Surveillance Authority shall send a reminder, allowing an appropriate additional period within which the information shall be provided.

The notification shall be deemed to be withdrawn if the requested information is not provided within the prescribed period, unless before the expiry of that period, either the period has been extended with the consent of both the EFTA Surveillance Authority and the EFTA State concerned, or the EFTA State concerned, in a duly reasoned statement, informs the EFTA Surveillance Authority that it considers the notification to be complete because the additional information requested is not available or has already been provided. In that case, the period referred to in Article 4(5) of this Chapter shall begin on the day following receipt of the statement. If the notification is deemed to be withdrawn, the EFTA Surveillance Authority shall inform the EFTA State thereof.

The decision to initiate the formal investigation procedure shall summarise the relevant issues of fact and law, shall include a preliminary assessment of the EFTA Surveillance Authority as to the aid character of the proposed measure and shall set out the doubts as to its compatibility with the functioning of the EEA Agreement. The decision shall call upon the EFTA State concerned and upon other interested parties to submit comments within a prescribed period which shall normally not exceed one month. In duly justified cases, the EFTA Surveillance Authority may extend the prescribed period.

The comments received shall be submitted to the EFTA State concerned. If an interested party so requests, on grounds of potential damage, its identity shall be withheld from the EFTA State concerned. The EFTA State concerned may reply to the comments submitted within a prescribed period which shall normally not exceed one month. In duly justified cases, the EFTA Surveillance Authority may extend the prescribed period.

Without prejudice to Article 8 of this Chapter, the formal investigation procedure shall be closed by means of a decision as provided for in paragraphs 2 to 5 of this Article.

Where the EFTA Surveillance Authority finds that, where appropriate following modification by the EFTA State concerned, the notified measure does not constitute aid, it shall record that finding by way of a decision.

Where the EFTA Surveillance Authority finds that, where appropriate following modification by the EFTA State concerned, the doubts as to the compatibility of the notified measure with the functioning of the EEA Agreement have been removed, it shall decide that the aid is compatible with the functioning of the EEA Agreement (hereinafter referred to as a 'positive decision'). That decision shall specify which exception under the EEA Agreement has been applied.

The EFTA Surveillance Authority may attach to a positive decision conditions subject to which an aid may be considered compatible with the functioning of the EEA Agreement and may lay down obligations to enable compliance with the decision to be monitored (hereinafter referred to as a 'conditional decision').

Where the EFTA Surveillance Authority finds that the notified aid is not compatible with the functioning of the EEA Agreement, it shall decide that the aid shall not be put into effect (hereinafter referred to as a ‘negative decision’).

Decisions taken pursuant to paragraphs 2, 3, 4 and 5 shall be taken as soon as the doubts referred to in Article 4(4) of this Chapter have been removed. The EFTA Surveillance Authority shall as far as possible endeavour to adopt a decision within a period of 18 months from the opening of the procedure. This time limit may be extended by common agreement between the EFTA Surveillance Authority and the EFTA State concerned.

Once the time limit referred to in paragraph 6 has expired, and should the EFTA State concerned so request, the EFTA Surveillance Authority shall, within two months, take a decision on the basis of the information available to it. If appropriate, where the information provided is not sufficient to establish compatibility, the EFTA Surveillance Authority shall take a negative decision.

The EFTA State concerned may withdraw the notification within the meaning of Article 2 of this Chapter in due time before the EFTA Surveillance Authority has taken a decision pursuant to Article 4 or 7 of this Chapter.

In cases where the EFTA Surveillance Authority initiated the formal investigation procedure, the EFTA Surveillance Authority shall close that procedure.

Where the EFTA Surveillance Authority has in its possession information from whatever source regarding alleged unlawful aid, it shall examine that information without delay.

If necessary, it shall request information from the EFTA State concerned. Article 2(2) and Article 5(1) and (2) of this Chapter shall apply mutatis mutandis.

Where, despite a reminder pursuant to Article 5(2) of this Chapter, the EFTA State concerned does not provide the information requested within the period prescribed by the EFTA Surveillance Authority, or where it provides incomplete information, the EFTA Surveillance Authority shall by decision require the information to be provided (hereinafter referred to as an 'information injunction'). The decision shall specify what information is required and prescribe an appropriate period within which it is to be supplied.

The EFTA Surveillance Authority may, after giving the EFTA State concerned the opportunity to submit its comments, adopt a decision requiring the EFTA State to suspend any unlawful aid until the EFTA Surveillance Authority has taken a decision on the compatibility of the aid with the functioning of the EEA Agreement (hereinafter referred to as a 'suspension injunction').

The EFTA Surveillance Authority may, after giving the EFTA State concerned the opportunity to submit its comments, adopt a decision requiring the EFTA State provisionally to recover any unlawful aid until the EFTA Surveillance Authority has taken a decision on the compatibility of the aid with the functioning of the EEA Agreement (hereinafter referred to as a 'recovery injunction'), if the following criteria are fulfilled:

The examination of possible unlawful aid shall result in a decision pursuant to Article 4(2), (3) or (4) of this Chapter. In the case of decisions to initiate the formal investigation procedure, proceedings shall be closed by means of a decision pursuant to Article 7 of this Chapter. If an EFTA State fails to comply with an information injunction, that decision shall be taken on the basis of the information available.

In cases of possible unlawful aid and without prejudice to Article 11(2), the EFTA Surveillance Authority shall not be bound by the time-limit set out in Articles 4(5), 7(6) and 7(7) of this Chapter.

Article 9 of this Chapter shall apply mutatis mutandis.

Where negative decisions are taken in cases of unlawful aid, the EFTA Surveillance Authority shall decide that the EFTA State concerned shall take all necessary measures to recover the aid from the beneficiary (hereinafter referred to as a 'recovery decision'). The EFTA Surveillance Authority shall not require recovery of the aid if this would be contrary to a general principle of EEA law.

The aid to be recovered pursuant to a recovery decision shall include interest at an appropriate rate fixed by the EFTA Surveillance Authority. Interest shall be payable from the date on which the unlawful aid was at the disposal of the beneficiary until the date of its recovery.

Without prejudice to any order of the EFTA Court pursuant to Article 40 of the Agreement between the EFTA States on the establishment of a Surveillance Authority and a Court of Justice, recovery shall be effected without delay and in accordance with the procedures under the national law of the EFTA State concerned, provided that they allow the immediate and effective execution of the EFTA Surveillance Authority's decision. To this effect and in the event of a procedure before national courts, the EFTA States concerned shall take all necessary steps which are available in their respective legal systems, including provisional measures, without prejudice to EEA law.

The powers of the EFTA Surveillance Authority to recover aid shall be subject to a limitation period of ten years.

The limitation period shall begin on the day on which the unlawful aid is awarded to the beneficiary either as individual aid or as aid under an aid scheme. Any action taken by the EFTA Surveillance Authority or by an EFTA State, acting at the request of the EFTA Surveillance Authority, with regard to the unlawful aid shall interrupt the limitation period. Each interruption shall start time running afresh. The limitation period shall be suspended for as long as the decision of the EFTA Surveillance Authority is the subject of proceedings pending before the EFTA Court.

Any aid with regard to which the limitation period has expired, shall be deemed to be existing aid.

The EFTA Surveillance Authority shall obtain from the EFTA State concerned all necessary information for the review, in cooperation with the EFTA State, of existing aid schemes pursuant to Article 1(1) in Part I.

Where the EFTA Surveillance Authority considers that an existing aid scheme is not, or is no longer, compatible with the functioning of the EEA Agreement, it shall inform the EFTA State concerned of its preliminary view and give the EFTA State concerned the opportunity to submit its comments within a period of one month. In duly justified cases, the EFTA Surveillance Authority may extend this period.

substantive amendment of the aid scheme, or

introduction of procedural requirements, or

abolition of the aid scheme.

Where the EFTA State concerned accepts the proposed measures and informs the EFTA Surveillance Authority thereof, the EFTA Surveillance Authority shall record that finding and inform the EFTA State thereof. The EFTA State shall be bound by its acceptance to implement the appropriate measures.

Where the EFTA State concerned does not accept the proposed measures and the EFTA Surveillance Authority, having taken into account the arguments of the EFTA State concerned, still considers that those measures are necessary, it shall initiate proceedings pursuant to Article 4(4) of this Chapter. Articles 6, 7 and 9 of this Chapter shall apply mutatis mutandis.

Any interested party may submit comments pursuant to Article 6 of this Chapter following an EFTA Surveillance Authority decision to initiate the formal investigation procedure. Any interested party which has submitted such comments and any beneficiary of individual aid shall be sent a copy of the decision taken by the EFTA Surveillance Authority pursuant to Article 7 of this Chapter.

Any interested party may inform the EFTA Surveillance Authority of any alleged unlawful aid and any alleged misuse of aid. Where the EFTA Surveillance Authority considers that on the basis of the information in its possession there are insufficient grounds for taking a view on the case, it shall inform the interested party thereof. Where the EFTA Surveillance Authority takes a decision on a case concerning the subject matter of the information supplied, it shall send a copy of that decision to the interested party.

At its request, any interested party shall obtain a copy of any decision pursuant to Articles 4 and 7, Article 10(3) and Article 11 of this Chapter.

EFTA States shall submit to the EFTA Surveillance Authority annual reports on all existing aid schemes with regard to which no specific reporting obligations have been imposed in a conditional decision pursuant to Article 7(4) of this Chapter.

Where, despite a reminder, the EFTA State concerned fails to submit an annual report, the EFTA Surveillance Authority may proceed in accordance with Article 18 of this Chapter with regard to the aid scheme concerned.

Where the EFTA Surveillance Authority has serious doubts as to whether decisions not to raise objections, positive decisions or conditional decisions with regard to individual aid are being complied with, the EFTA State concerned, after having been given the opportunity to submit its comments, shall allow the EFTA Surveillance Authority to undertake on-site monitoring visits.

The officials authorised by the EFTA Surveillance Authority shall be empowered, in order to verify compliance with the decision concerned:

The EFTA Surveillance Authority may be assisted if necessary by independent experts.

The EFTA Surveillance Authority shall inform the EFTA State concerned, in good time and in writing, of the on-site monitoring visit and of the identities of the authorised officials and experts. If the EFTA State has duly justified objections to the EFTA Surveillance Authority's choice of experts, the experts shall be appointed in common agreement with the EFTA State. The officials of the EFTA Surveillance Authority and the experts authorised to carry out the on-site monitoring shall produce an authorisation in writing specifying the subject-matter and purpose of the visit.

Officials authorised by the EFTA State in whose territory the monitoring visit is to be made may be present at the monitoring visit.

The EFTA Surveillance Authority shall provide the EFTA State with a copy of any report produced as a result of the monitoring visit.

Where an undertaking opposes a monitoring visit ordered by an EFTA Surveillance Authority decision pursuant to this Article, the EFTA State concerned shall afford the necessary assistance to the officials and experts authorised by the EFTA Surveillance Authority to enable them to carry out the monitoring visit. To this end the EFTA States shall, after consulting the EFTA Surveillance Authority, take the necessary measures within eighteen months after the entry into force of this Chapter.

Where the EFTA State concerned does not comply with conditional or negative decisions, in particular in cases referred to in Article 14, the EFTA Surveillance Authority may refer the matter to the EFTA Court direct in accordance with Article 1(2) in Part I.

If the EFTA Surveillance Authority considers that the EFTA State concerned has not complied with a judgment of the EFTA Court, the EFTA Surveillance Authority may refer the matter to the EFTA Court direct in accordance with Article 1(2) in Part I.

The EFTA Surveillance Authority shall publish in the EEA Section of and the EEA Supplement to the Official Journal of the European Communities a summary notice of the decisions which it takes pursuant to Article 4(2) and (3) and Article 18 in conjunction with Article 19(1) of this Chapter. The summary notice shall state that a copy of the decision may be obtained in the authentic language version or versions.

The EFTA Surveillance Authority shall publish in the EEA Section of and the EEA Supplement to the Official Journal of the European Communities the decisions which it takes pursuant to Article 4(4) of this Chapter in their authentic language version. In the Official Journal published in languages other than the authentic language version, the authentic language version will be accompanied by a meaningful summary in the language of that Official Journal.

The EFTA Surveillance Authority shall publish in the EEA Section of and the EEA Supplement to the Official Journal of the European Communities the decisions which it takes pursuant to Article 7 of this Chapter.

In cases where Article 4(6) or Article 8(2) of this Chapter applies, a short notice shall be published in the EEA Section of and the EEA Supplement to the Official Journal of the European Communities.

The EFTA States, acting unanimously, may decide to publish decisions pursuant to the third subparagraph of Article 1(2) in Part I in the EEA Section of and the EEA Supplement to the Official Journal of the European Communities.’

The EFTA Surveillance Authority shall consult the Committee before adopting any implementing provision pursuant to Article 27 of this Chapter.

Consultation of the Committee shall take place at a meeting called by the EFTA Surveillance Authority. The drafts and documents to be examined shall be annexed to the notification. The meeting shall take place no earlier than two months after notification has been sent. This period may be reduced in the case of urgency.

The EFTA Surveillance Authority shall submit to the Committee a draft of the measures to be taken. The Committee may examine, and give an opinion on, all questions concerning the draft, within a time-limit which the chairman may lay down according to the urgency of the matter.

An advisory committee shall assist the EFTA Surveillance Authority in its examination of aid granted for transport by rail, road and inland waterway. The committee shall have as Chairman a representative of the EFTA Surveillance Authority and shall consist of representatives appointed by each EFTA State. Not less than ten days’ notice of meetings of the committee shall be given and such notice shall include details of the agenda. This period may be reduced for urgent cases.

The committee may examine, and give an opinion on, all questions concerning the operation of the provisions of the EEA Agreement on the granting of aid in the transport sector.

The committee shall be kept informed of the nature and amount of aid granted to transport undertakings and, generally, of all relevant details concerning such aid, as soon as the latter is notified to the EFTA Surveillance Authority in accordance with the provisions laid down in Annex XIII, section I (iv), to the EEA Agreement governing the granting of aid in the transport sector.

In order to assess the compatibility with the functioning of the EEA Agreement of state aid measures falling under the act referred to in point 1a of Annex XV to the EEA Agreement, the rules laid down in Article 1 in Part I of this Protocol shall be further specified, as follows:

The notification of plans to grant aid under Article 4 of the act referred to in paragraph 1, in which the EFTA State paying the aid is not identical to that in whose territory the closure would take place, shall be submitted to the EFTA Surveillance Authority jointly by both EFTA States.

The notification of aid plans falling under the act referred to in paragraph 1, must be lodged with the EFTA Surveillance Authority at the latest by 31 December 2001.

The EFTA Surveillance Authority shall be informed, in sufficient time for it to submit its comments, and by 31 December 2001 at the latest, of any plans for transfers of State resources by EFTA States, regional or local authorities or other bodies to steel undertakings in the form of acquisition of shareholdings, provisions of capital, loan guaranties, indemnities or similar financing.

The EFTA Surveillance Authority shall determine whether the financial transfers involve aid elements within the meaning of Article 1(2) of the act referred to in paragraph 1 and, if so, shall examine whether they are compatible with the functioning of the EEA Agreement under the provisions of Articles 2 to 5 of the aforementioned act.

The EFTA Surveillance Authority shall seek the views of the EFTA States on plans for closure aid and on other major aid proposals notified to it before adopting a position on them. It shall inform the EFTA States of the decisions it has adopted on aid proposals, specifying the form and volume of the aid.

The planned measures falling within paragraph 2 or 3 may be put into effect only with the approval of and subject to any conditions laid down by the EFTA Surveillance Authority.

The EFTA Surveillance Authority may, after giving the EFTA State concerned the opportunity to submit its comments, adopt a decision under Article 1(2), subparagraph 1 in Part I{10} of this Protocol requiring the EFTA State to suspend the disbursement of any financial means until approval is given by the EFTA Surveillance Authority. Article 1(2) in Part I{11} of this Protocol shall continue to apply in the event of an EFTA State’s failing to comply with that decision.

The EFTA Surveillance Authority may, after giving the EFTA State concerned the opportunity to submit its comments, adopt a decision under Article 1(2), subparagraph 1 in Part I{12} of this Protocol requiring the EFTA State to recover provisionally any financial means disbursed in breach of the first subparagraph of this paragraph and Article 61(1) of the EEA Agreement. Repayment shall be made in accordance with the procedures and provisions of domestic law of the EFTA State concerned, together with interest at the rate used as reference rate in the assessment of regional aid schemes running from the date of disbursement. Article 1(2) in Part I{13}of this Protocol shall continue to apply in the event of an EFTA State’s failing to comply with that decision.

If the EFTA Surveillance Authority considers that a certain financial measure may represent State aid within the meaning of Article 1 of the act referred to in paragraph 1 or doubts whether a certain aid is compatible with the provisions of the act referred to in paragraph 1, it shall inform the EFTA State concerned and give notice to the interested parties and other EFTA States to submit their comments. If, after having received the comments and after having given the EFTA State concerned the opportunity to respond, the EFTA Surveillance Authority finds that the measure in question is an aid incompatible with the provisions of the act referred to in paragraph 1, it shall take a decision not later than three months after receiving the information needed to assess the proposed measure. Article 1(2) in Part I{14}of this Protocol shall apply in the event of an EFTA State’s failing to comply with that decision.

If the EFTA Surveillance Authority fails to initiate the procedure provided for in paragraph 6, or otherwise to make its position known within two months of receiving full notification of a proposal, the planned measures may be put into effect provided that the EFTA State first informs the EFTA Surveillance Authority of its intention to do so. Where the EFTA Surveillance Authority seeks the views of EFTA States under paragraph 4, the abovementioned period shall be three months.

Chapters II to V apply to all sectors covered by the EEA Agreement unless otherwise provided.

Chapters II to V shall not apply to cases covered by Chapter VI on the conditions set out therein.

Agreements, decisions and concerted practices caught by Article 53(1) of the EEA Agreement which do not satisfy the conditions of Article 53(3) of the EEA Agreement shall be prohibited, no prior decision to that effect being required.

Agreements, decisions and concerted practices caught by Article 53(1) of the EEA Agreement which satisfy the conditions of Article 53(3) of the EEA Agreement shall not be prohibited, no prior decision to that effect being required.

The abuse of a dominant position referred to in Article 54 of the EEA Agreement shall be prohibited, no prior decision to that effect being required.

Where the competition authorities of the EFTA States or national courts apply national competition law to agreements, decisions by associations of undertakings or concerted practices within the meaning of Article 53(1) of the EEA Agreement which may affect trade between the Contracting Parties to the EEA Agreement within the meaning of that provision, they shall also apply Article 53 of the EEA Agreement to such agreements, decisions or concerted practices. Where the competition authorities of the EFTA States or national courts apply national competition law to any abuse prohibited by Article 54 of the EEA Agreement, they shall also apply Article 54 of the EEA Agreement.

The application of national competition law may not lead to the prohibition of agreements, decisions by associations of undertakings or concerted practices which may affect trade between the Contracting Parties to the EEA Agreement but which do not restrict competition within the meaning of Article 53(1) of the EEA Agreement, or which fulfil the conditions of Article 53(3) of the EEA Agreement or which are covered by an act for the application of Article 53(3) of the EEA Agreement. EFTA States shall not under this act be precluded from adopting and applying on their territory stricter national laws which prohibit or sanction unilateral conduct engaged in by undertakings.

Without prejudice to general principles and other provisions of EEA law, paragraphs 1 and 2 do not apply when the competition authorities and the courts of the EFTA States apply national merger control laws nor do they preclude the application of provisions of national law that predominantly pursue an objective different from that pursued by Articles 53 and 54 of the EEA Agreement.

requiring that an infringement be brought to an end,

ordering interim measures,

accepting commitments,

imposing fines, periodic penalty payments or any other penalty provided for in their national law.

Where the EFTA Surveillance Authority, acting on a complaint or on its own initiative, finds that there is an infringement of Article 53 or of Article 54 of the EEA Agreement, it may by decision require the undertakings and associations of undertakings concerned to bring such infringement to an end. For this purpose, it may impose on them any behavioural or structural remedies which are proportionate to the infringement committed and necessary to bring the infringement effectively to an end. Structural remedies can only be imposed either where there is no equally effective behavioural remedy or where any equally effective behavioural remedy would be more burdensome for the undertaking concerned than the structural remedy. If the EFTA Surveillance Authority has a legitimate interest in doing so, it may also find that an infringement has been committed in the past.

Those entitled to lodge a complaint for the purposes of paragraph 1 are natural or legal persons who can show a legitimate interest and EFTA States.

In cases of urgency due to the risk of serious and irreparable damage to competition, the EFTA Surveillance Authority, acting on its own initiative may by decision, on the basis of a prima facie finding of infringement, order interim measures.

A decision under paragraph 1 shall apply for a specified period of time and may be renewed in so far this is necessary and appropriate.

Where the EFTA Surveillance Authority intends to adopt a decision requiring that an infringement be brought to an end and the undertakings concerned offer commitments to meet the concerns expressed to them by the EFTA Surveillance Authority in its preliminary assessment, the EFTA Surveillance Authority may by decision make those commitments binding on the undertakings. Such a decision may be adopted for a specified period and shall conclude that there are no longer grounds for action by the EFTA Surveillance Authority.

The EFTA Surveillance Authority may, upon request or on its own initiative, reopen the proceedings:

The EFTA Surveillance Authority and the competition authorities of the EFTA States shall apply the EEA competition rules in close cooperation.

The EFTA Surveillance Authority shall transmit to the competition authorities of the EFTA States copies of the most important documents it has collected with a view to applying Articles 7, 8, 9, 10 and Article 29(1). At the request of the competition authority of an EFTA State, the EFTA Surveillance Authority shall provide it with a copy of other existing documents necessary for the assessment of the case.

The competition authorities of the EFTA States shall, when acting under Article 53 or Article 54 of the EEA Agreement, inform the EFTA Surveillance Authority in writing before or without delay after commencing the first formal investigative measure. This information may also be made available to the competition authorities of the other EFTA States.

No later than 30 days before the adoption of a decision requiring that an infringement be brought to an end, accepting commitments or withdrawing the benefit of a block exemption act, the competition authorities of the EFTA States shall inform the EFTA Surveillance Authority. To that effect, they shall provide the EFTA Surveillance Authority with a summary of the case, the envisaged decision or, in the absence thereof, any other document indicating the proposed course of action. This information may also be made available to the competition authorities of the other EFTA States. At the request of the EFTA Surveillance Authority, the acting competition authority shall make available to the EFTA Surveillance Authority other documents it holds which are necessary for the assessment of the case. The information supplied to the EFTA Surveillance Authority may be made available to the competition authorities of the other EFTA States. National competition authorities may also exchange between themselves information necessary for the assessment of a case that they are dealing with under Article 53 or Article 54 of the EEA Agreement.

The competition authorities of the EFTA States may consult the EFTA Surveillance Authority on any case involving the application of EEA law.

The initiation by the EFTA Surveillance Authority of proceedings for the adoption of a decision under Section III should relieve the competition authorities of the EFTA States of their competence to apply Articles 53 and 54 of the EEA Agreement. If a competition authority of an EFTA State is already acting on a case, the EFTA Surveillance Authority shall only initiate proceedings after consulting with that national competition authority.

The EFTA Surveillance Authority shall forthwith transmit to the competent authorities of the EFTA States information received from the EC Commission pursuant to Articles 2, 3(1) first indent, 4, 7, 8(1) and 11 of Protocol 23 to the EEA Agreement. The EFTA Surveillance Authority may also transmit other information pursuant to Protocol 23 of the EEA Agreement.

The competition authorities of the EFTA States cannot use information referred to in Article 11(7) as the basis for starting an investigation on their own behalf in cases where the EFTA Surveillance Authority received that information from the EC Commission in accordance with Article 2(1) or (2) of Protocol 23 to the EEA Agreement, and that information concerns a case which has been initiated as a result of an application for leniency. This is without prejudice to any power of the competition authorities of the EFTA States to open an investigation on the basis of information received from other sources.

The limitations and conditions stated in Article 9(4) and 9(5) of Protocol 23 to the EEA Agreement shall apply mutatis mutandis between the EFTA Surveillance Authority and the competition authorities of the EFTA States to the forwarding of information according to Article 11(7).

Where the EFTA Surveillance Authority or a competition authority of an EFTA State deals with a case which has been initiated as a result of a leniency application, information submitted to the other authorities pursuant to Article 11 (1) to (6) in such cases will not be used by these authorities as the basis for starting an investigation on their own behalf whether under the competition rules of the EEA Agreement or, in the case of competition authorities of the EFTA States, under their national competition law or other laws. This is without prejudice to any power of the authority to open an investigation on the basis of information received from other sources or, subject to paragraphs (2) and (3) below, to request, be provided with and use information pursuant to Article 12 from any of the other authorities, including the authority to whom the leniency application was submitted.

Save as provided under paragraph 3, information voluntarily submitted by a leniency applicant will only be transmitted to another authority pursuant to Article 12 with the consent of the applicant. Similarly other information that has been obtained during or following an inspection or by means of or following any other fact-finding measures which, in each case, could not have been carried out except as a result of the leniency application will only be transmitted to another authority pursuant to Article 12 if the applicant has consented to the transmission to that authority of information it has voluntarily submitted in its application for leniency. Once the leniency applicant has given consent to the transmission of information to another authority, that consent may not be withdrawn. This paragraph is without prejudice, however, to the responsibility of each applicant to file leniency applications to whichever authorities it may consider appropriate.

Notwithstanding the above, the consent of the applicant for the transmission of information to another authority pursuant to Article 12 is not required in any of the following circumstances:

For the purpose of applying Articles 53 and 54 of the EEA Agreement the EFTA Surveillance Authority and the competition authorities of the EFTA States shall have the power to provide one another with and use in evidence any matter of fact or of law, including confidential information.

Information exchanged shall only be used in evidence for the purpose of applying Article 53 or Article 54 of the EEA Agreement and in respect of the subject-matter for which it was collected by the transmitting authority. However, where national competition law is applied in the same case and in parallel to EEA competition law and does not lead to a different outcome, information exchanged under this Article may also be used for the application of national competition law.

Information exchanged pursuant to paragraph 1 can only be used in evidence to impose sanctions on natural persons where:

Where competition authorities of two or more EFTA States have received a complaint or are acting on their own initiative under Article 53 or Article 54 of the EEA Agreement against the same agreement, decision of an association or practice, the fact that one authority is dealing with the case shall be sufficient grounds for the others to suspend the proceedings before them or to reject the complaint. The EFTA Surveillance Authority may likewise reject a complaint on the ground that a competition authority of an EFTA State is dealing with the case.

Where a competition authority of an EFTA State or the EFTA Surveillance Authority has received a complaint against an agreement, decision of an association or practice which has already been dealt with by another competition authority, it may reject it.

The content of Chapter VIII has not been revised since the original adoption of Protocol 4 and it refers therefore to the Chapters of the Protocol as they were published in OJ L 344, 31.1.1994, p. 3

For the discussion of individual cases, the Advisory Committee shall be composed of representatives of the competition authorities of the EFTA States. For meetings in which issues other than individual cases are being discussed, an additional EFTA State representative competent in competition matters may be appointed. Representatives may, if unable to attend, be replaced by other representatives.

The EC Commission and the EC Member States shall be entitled to be present in the Advisory Committee and to express their views therein, as provided for in Protocol 23 to the EEA Agreement. However, their representatives shall not have the right to vote.

The consultation may take place at a meeting convened and chaired by the EFTA Surveillance Authority, held not earlier than 14 days after dispatch of the notice convening it, together with a summary of the case, an indication of the most important documents and a preliminary draft decision. In respect of decisions pursuant to Article 8, the meeting may be held seven days after the dispatch of the operative part of a draft decision. Where the EFTA Surveillance Authority dispatches a notice convening the meeting which gives a shorter period of notice than those specified above, the meeting may take place on the proposed date in the absence of an objection by any EFTA State. The Advisory Committee shall deliver a written opinion on the EFTA Surveillance Authority's preliminary draft decision. It may deliver an opinion even if some members are absent and are not represented. At the request of one or several members, the positions stated in the opinion shall be reasoned.

Consultation may also take place by written procedure. However, if any EFTA State or the EC Commission so requests, the EFTA Surveillance Authority shall convene a meeting. In case of written procedure, the EFTA Surveillance Authority shall determine a time limit of not less than 14 days within which the EFTA States are to put forward their observations for circulation to all other EFTA States. In case of decisions to be taken pursuant to Article 8, the time limit of 14 days is replaced by seven days. Where the EFTA Surveillance Authority determines a time limit for the written procedure which is shorter than those specified above, the proposed time limit shall be applicable in the absence of an objection by any EFTA State.

The EFTA Surveillance Authority shall take the utmost account of the opinion delivered by the Advisory Committee. It shall inform the Committee of the manner in which its opinion has been taken into account.

Where the Advisory Committee delivers a written opinion, this opinion shall be appended to the draft decision. If the Advisory Committee recommends publication of the opinion, the EFTA Surveillance Authority shall carry out such publication taking into account the legitimate interest of undertakings in the protection of their business secrets.

At the request of a competition authority of an EFTA State, the EFTA Surveillance Authority shall include on the agenda of the Advisory Committee cases that are being dealt with by a competition authority of an EFTA State under Article 53 or Article 54 of the EEA Agreement. The EFTA Surveillance Authority may also do so on its own initiative. In either case, the EFTA Surveillance Authority shall inform the competition authority concerned.

A request may in particular be made by a competition authority of an EFTA State in respect of a case where the EFTA Surveillance Authority intends to initiate proceedings with the effect of Article 11(6).

The Advisory Committee shall not issue opinions on cases dealt with by competition authorities of the EFTA States. The Advisory Committee may also discuss general issues of EEA competition law.

In view of the participation provided for in the second subparagraph of paragraph 2, the EC Commission shall receive an invitation to participate in consultations in accordance with paragraphs 3 and 4, and the relevant information as provided for in Article 6 of Protocol 23 to the EEA Agreement.

In proceedings for the application of Article 53 or Article 54 of the EEA Agreement, courts of the EFTA States may ask the EFTA Surveillance Authority to transmit to them information in its possession or its opinion on questions concerning the application of the EEA competition rules.

EFTA States shall forward to the EFTA Surveillance Authority a copy of any written judgment of national courts deciding on the application of Article 53 or Article 54 of the EEA Agreement. Such copy shall be forwarded without delay after the full written judgment is notified to the parties.

Competition authorities of the EFTA States, acting on their own initiative, may submit written observations to the national courts of their EFTA State on issues relating to the application of Article 53 or Article 54 of the EEA Agreement. With the permission of the court in question, they may also submit oral observations to the national courts of their EFTA State. Where the coherent application of Article 53 or Article 54 of the EEA Agreement so requires, the EFTA Surveillance Authority, acting on its own initiative, may submit written observations to courts of the EFTA States. With the permission of the court in question, it may also make oral observations.

For the purpose of the preparation of their observations only, the competition authorities of the EFTA States and the EFTA Surveillance Authority may request the relevant court of the EFTA State to transmit or ensure the transmission to them of any documents necessary for the assessment of the case.

This Article is without prejudice to wider powers to make observations before courts conferred on competition authorities of the EFTA States under the law of the EFTA State.

When national courts rule on agreements, decisions or practices under Article 53 or Article 54 of the EEA Agreement which are already the subject of a decision by the EFTA Surveillance Authority, they cannot take decisions running counter to the decision adopted by the EFTA Surveillance Authority. They must also avoid giving decisions which would conflict with a decision contemplated by the EFTA Surveillance Authority in proceedings it has initiated. To that effect, the national court may assess whether it is necessary to stay its proceedings. This obligation is without prejudice to the rights and obligations under Article 34 of the Surveillance and Court Agreement.

When competition authorities of the EFTA States rule on agreements, decisions or practices under Article 53 or Article 54 of the EEA Agreement which are already the subject of a decision by the EFTA Surveillance Authority, they cannot take decisions which would run counter to the decision adopted by the EFTA Surveillance Authority.

Where the trend of trade between the Contracting Parties to the EEA Agreement, the rigidity of prices or other circumstances suggest that competition may be restricted or distorted within the territory covered by the EEA Agreement, the EFTA Surveillance Authority may conduct its inquiry into a particular sector of the economy or into a particular type of agreements across various sectors. In the course of that inquiry, the EFTA Surveillance Authority may request the undertakings or associations of undertakings concerned to supply the information necessary for giving effect to Articles 53 and 54 of the EEA Agreement and may carry out any inspections necessary for that purpose.

The EFTA Surveillance Authority may in particular request the undertakings or associations of undertakings concerned to communicate to it all agreements, decisions and concerted practices.

The EFTA Surveillance Authority may publish a report on the results of its inquiry into particular sectors of the economy or particular types of agreements across various sectors and invite comments from interested parties.

Articles 14, 18, 19, 20, 22, 23 and 24 shall apply mutatis mutandis.

In order to carry out the duties assigned to it by Articles 55 and 58 of the EEA Agreement, by the provisions set out in Protocol 23 and in Annex XIV to the EEA Agreement or by this Chapter, the EFTA Surveillance Authority may, by simple request or by decision, require undertakings and associations of undertakings to provide all necessary information.

When sending a simple request for information to an undertaking or association of undertakings, the EFTA Surveillance Authority shall state the legal basis and the purpose of the request, specify what information is required and fix the time limit within which the information is to be provided, and the penalties provided for in Article 23 for supplying incorrect or misleading information.

Where the EFTA Surveillance Authority requires undertakings and associations of undertakings to supply information by decision, it shall state the legal basis and the purpose of the request, specify what information is required and fix the time limit within which it is to be provided. It shall also indicate the penalties provided for in Article 23 and indicate or impose the penalties provided for in Article 24. It shall further indicate the right to have the decision reviewed by the EFTA Court.

The owners of the undertakings or their representatives and, in the case of legal persons, companies or firms, or associations having no legal personality, the persons authorised to represent them by law or by their constitution shall supply the information requested on behalf of the undertaking or the association of undertakings concerned. Lawyers duly authorised to act may supply the information on behalf of their clients. The latter shall remain fully responsible if the information supplied is incomplete, incorrect or misleading.

The EFTA Surveillance Authority shall without delay forward a copy of the simple request or of the decision to the competition authority of the EFTA State in whose territory the seat of the undertaking or association of undertakings is situated and the competition authority of the EFTA State whose territory is affected.

At the request of the EFTA Surveillance Authority the governments and competition authorities of the EFTA States shall provide the EFTA Surveillance Authority with all necessary information to carry out the duties assigned to it by this Chapter.

In order to carry out the duties assigned to it by this Chapter, the EFTA Surveillance Authority may interview any natural or legal person who consents to be interviewed for the purpose of collecting information relating to the subject-matter of an investigation.

Where an interview pursuant to paragraph 1 is conducted in the premises of an undertaking, the EFTA Surveillance Authority shall inform the competition authority of the EFTA State in whose territory the interview takes place. If so requested by the competition authority of that EFTA State, its officials may assist the officials and other accompanying persons authorised by the EFTA Surveillance Authority to conduct the interview.

In order to carry out the duties assigned to it by this Chapter, the EFTA Surveillance Authority may conduct all necessary inspections of undertakings and associations of undertakings.

The officials and other accompanying persons authorised by the EFTA Surveillance Authority to conduct an inspection are empowered:

The officials and other accompanying persons authorised by the EFTA Surveillance Authority to conduct an inspection shall exercise their powers upon production of a written authorisation specifying the subject matter and purpose of the inspection and the penalties provided for in Article 23 in case the production of the required books or other records related to the business is incomplete or where the answers to questions asked under paragraph 2 of the present Article are incorrect or misleading. In good time before the inspection, the EFTA Surveillance Authority shall give notice of the inspection to the competition authority of the EFTA State in whose territory it is to be conducted.

The EFTA Surveillance Authority shall provide an authorisation as referred to in the first subparagraph to representatives of the EC Commission who shall take part in the investigation in accordance with Article 8(3) of Protocol 23 to the EEA Agreement.

Undertakings and associations of undertakings are required to submit to inspections ordered by decision of the EFTA Surveillance Authority. The decision shall specify the subject matter and purpose of the inspection, appoint the date on which it is to begin and indicate the penalties provided for in Articles 23 and 24 and the right to have the decision reviewed by the EFTA Court. The EFTA Surveillance Authority shall take such decisions after consulting the competition authority of the EFTA State in whose territory the inspection is to be conducted.

Officials of as well as those authorised or appointed by the competition authority of the EFTA State in whose territory the inspection is to be conducted shall, at the request of that authority or of the EFTA Surveillance Authority, actively assist the officials and other accompanying persons authorised by the EFTA Surveillance Authority. To this end, they shall enjoy the powers specified in paragraph 2.

Where the officials and other accompanying persons authorised by the EFTA Surveillance Authority find that an undertaking opposes an inspection ordered pursuant to this Article, the EFTA State concerned shall afford them the necessary assistance, requesting where appropriate the assistance of the police or of an equivalent enforcement authority, so as to enable them to conduct their inspection.

If the assistance provided for in paragraph 6 requires authorisation from a judicial authority according to national rules, such authorisation shall be applied for. Such authorisation may also be applied for as a precautionary measure.

Where authorisation as referred to in paragraph 7 is applied for, the national judicial authority shall control that the decision by the EFTA Surveillance Authority is authentic and that the coercive measures envisaged are neither arbitrary nor excessive having regard to the subject matter of the inspection. In its control of the proportionality of the coercive measures, the national judicial authority may ask the EFTA Surveillance Authority, directly or through the EFTA State competition authority, for detailed explanations in particular on the grounds the EFTA Surveillance Authority has for suspecting infringement of Articles 53 and 54 of the EEA Agreement, as well as on the seriousness of the suspected infringement and on the nature of the involvement of the undertaking concerned. However, the national judicial authority may not call into question the necessity for the inspection nor demand that it be provided with the information in the EFTA Surveillance Authority's file. The lawfulness of the decision by the EFTA Surveillance Authority shall be subject to review only by the EFTA Court.

If a reasonable suspicion exists that books or other records related to the business and to the subject-matter of the inspection, which may be relevant to prove a serious violation of Article 53 or Article 54 of the EEA Agreement, are being kept in any other premises, land and means of transport, including the homes of directors, managers and other members of staff of the undertakings and associations of undertakings concerned, the EFTA Surveillance Authority can by decision order an inspection to be conducted in such other premises, land and means of transport.

The decision shall specify the subject matter and purpose of the inspection, appoint the date on which it is to begin and indicate the right to have the decision reviewed by the EFTA Court. It shall in particular state the reasons that have led the EFTA Surveillance Authority to conclude that a suspicion in the sense of paragraph 1 exists. The EFTA Surveillance Authority shall take such decisions after consulting the competition authority of the EFTA State in whose territory the inspection is to be conducted.

A decision adopted pursuant to paragraph 1 cannot be executed without prior authorisation from the national judicial authority of the EFTA State concerned. The national judicial authority shall control that the decision by the EFTA Surveillance Authority is authentic and that the coercive measures envisaged are neither arbitrary nor excessive having regard in particular to the seriousness of the suspected infringement, to the importance of the evidence sought, to the involvement of the undertaking concerned and to the reasonable likelihood that business books and records relating to the subject matter of the inspection are kept in the premises for which the authorisation is requested. The national judicial authority may ask the EFTA Surveillance Authority, directly or through the EFTA State competition authority, for detailed explanations on those elements which are necessary to allow its control of the proportionality of the coercive measures envisaged.

However, the national judicial authority may not call into question the necessity for the inspection nor demand that it be provided with information in the EFTA Surveillance Authority's file. The lawfulness of the decision by the EFTA Surveillance Authority shall be subject to review only by the EFTA Court.

The officials and other accompanying persons authorised by the EFTA Surveillance Authority to conduct an inspection ordered in accordance with paragraph 1 of this Article shall have the powers set out in Article 20(2)(a), (b) and (c). Article 20(5) and (6) shall apply mutatis mutandis.

The competition authority of an EFTA State may in its own territory carry out any inspection or other fact-finding measure under its national law on behalf and for the account of the competition authority of another EFTA State in order to establish whether there has been an infringement of Article 53 or Article 54 of the EEA Agreement. Any exchange and use of the information collected shall be carried out in accordance with Article 12.

At the request of the EFTA Surveillance Authority, the competition authorities of the EFTA States shall undertake the inspections which the EFTA Surveillance Authority considers to be necessary under Article 20(1) or which it has ordered by decision pursuant to Article 20(4). The officials of the competition authorities of the EFTA States who are responsible for conducting these inspections as well as those authorised or appointed by them shall exercise their powers in accordance with their national law.

If so requested by the EFTA Surveillance Authority or by the competition authority of the EFTA State in whose territory the inspection is to be conducted, officials and other accompanying persons authorised by the EFTA Surveillance Authority may assist the officials of the authority concerned.

The EFTA Surveillance Authority may by decision impose on undertakings and associations of undertakings fines not exceeding 1 % of the total turnover in the preceding business year where, intentionally or negligently:

The EFTA Surveillance Authority may by decision impose fines on undertakings and associations of undertakings where, either intentionally or negligently:

In fixing the amount of the fine, regard shall be had both to the gravity and to the duration of the infringement.

When a fine is imposed on an association of undertakings taking account of the turnover of its members and the association is not solvent, the association is obliged to call for contributions from its members to cover the amount of the fine.

Where such contributions have not been made to the association within a time limit fixed by the EFTA Surveillance Authority, the EFTA Surveillance Authority may require payment of the fine directly by any of the undertakings whose representatives were members of the decision-making bodies concerned of the association.

After the EFTA Surveillance Authority has required payment under the second subparagraph, where necessary to ensure full payment of the fine, the EFTA Surveillance Authority may require payment of the balance by any of the members of the association which were active on the market on which the infringement occurred.

However, the EFTA Surveillance Authority shall not require payment under the second or the third subparagraph from undertakings which show that they have not implemented the infringing decision of the association and either were not aware of its existence or have actively distanced themselves from it before the EFTA Surveillance Authority started investigating the case.

The financial liability of each undertaking in respect of the payment of the fine shall not exceed 10 % of its total turnover in the preceding business year.

Decisions taken pursuant to paragraphs 1 and 2 shall not be of a criminal law nature.

The EFTA Surveillance Authority may, by decision, impose on undertakings or associations of undertakings periodic penalty payments not exceeding 5 % of the average daily turnover in the preceding business year per day and calculated from the date appointed by the decision, in order to compel them:

Where the undertakings or associations of undertakings have satisfied the obligation which the periodic penalty payment was intended to enforce, the EFTA Surveillance Authority may fix the definitive amount of the periodic penalty payment at a figure lower than that which would arise under the original decision. Article 23(4) shall apply correspondingly.

The powers conferred on the EFTA Surveillance Authority by Articles 23 and 24 shall be subject to the following limitation periods:

Time shall begin to run on the day on which the infringement is committed. However, in the case of continuing or repeated infringements, time shall begin to run on the day on which the infringement ceases.

Any action taken by the EFTA Surveillance Authority or by the competition authority of an EFTA State for the purpose of the investigation or proceedings in respect of an infringement shall interrupt the limitation period for the imposition of fines or periodic penalty payments. The limitation period shall be interrupted with effect from the date on which the action is notified to at least one undertaking or association of undertakings which has participated in the infringement. Actions which interrupt the running of the period shall include in particular the following:

The interruption of the limitation period shall apply for all the undertakings or associations of undertakings which have participated in the infringement.

Each interruption shall start time running afresh. However, the limitation period shall expire at the latest on the day on which a period equal to twice the limitation period has elapsed without the EFTA Surveillance Authority having imposed a fine or a periodic penalty payment. That period shall be extended by the time during which limitation is suspended pursuant to paragraph 6.

The limitation period for the imposition of fines or periodic penalty payments shall be suspended for as long as the decision of the EFTA Surveillance Authority is the subject of proceedings pending before the EFTA Court.

The power of the EFTA Surveillance Authority to enforce decisions taken pursuant to Articles 23 and 24 shall be subject to a limitation period of five years.

Time shall begin to run on the day on which the decision becomes final.

The limitation period for the enforcement of penalties shall be interrupted:

Each interruption shall start time running afresh.

The limitation period for the enforcement of penalties shall be suspended for so long as:

Before taking decisions as provided for in Articles 7, 8, 23 and Article 24(2), the EFTA Surveillance Authority shall give the undertakings or associations of undertakings which are the subject of the proceedings conducted by the EFTA Surveillance Authority the opportunity of being heard on the matters to which the EFTA Surveillance Authority has taken objection. The EFTA Surveillance Authority shall base its decisions only on objections on which the parties concerned have been able to comment. Complainants shall be associated closely with the proceedings.

The rights of defence of the parties concerned shall be fully respected in the proceedings. They shall be entitled to have access to the EFTA Surveillance Authority's file, subject to the legitimate interest of undertakings in the protection of their business secrets. The right of access to the file shall not extend to confidential information and internal documents of the EFTA Surveillance Authority and the EC Commission or the competition authorities of the EFTA States or the EC Member States. In particular, the right of access shall not extend to correspondence between the surveillance authorities, between a surveillance authority and the competition authorities of the EC Member States or EFTA States, or between the competition authorities of the EC Member States or EFTA States, including documents drawn up pursuant to Articles 11 and 14. Nothing in this paragraph shall prevent the EFTA Surveillance Authority from disclosing and using information necessary to prove an infringement.

If the EFTA Surveillance Authority considers it necessary, it may also hear other natural or legal persons. Applications to be heard on the part of such persons shall, where they show a sufficient interest, be granted. The competition authorities of the EFTA States may also ask the EFTA Surveillance Authority to hear other natural or legal persons.

Where the EFTA Surveillance Authority intends to adopt a decision pursuant to Article 9 or Article 10, it shall publish a concise summary of the case and the main content of the commitments or of the proposed course of action. Interested third parties may submit their observations within a time limit which is fixed by the EFTA Surveillance Authority in its publication and which may not be less than one month. Publication shall have regard to the legitimate interest of undertakings in the protection of their business secrets.

Without prejudice to Article 9 of Protocol 23 to the EEA Agreement and Articles 12 and 15 of this Chapter, information collected pursuant to Articles 17 to 22 or of Article 58 of the EEA Agreement and Protocol 23 thereto, shall be used only for the purpose for which it was acquired.

Without prejudice to the exchange and to the use of information foreseen in Articles 11, 12, 14, 15 and 27, the EFTA Surveillance Authority and the competition authorities of the EFTA States, their officials, servants and other persons working under the supervision of these authorities as well as officials and civil servants of other authorities of the EFTA States shall not disclose information acquired or exchanged by them pursuant to this Chapter or Article 58 of the EEA Agreement and Protocol 23 thereto and of the kind covered by the obligation of professional secrecy. This obligation also applies to all representatives and experts of EFTA States attending meetings of the Advisory Committee pursuant to Article 14.

This obligation shall also apply to the representatives of the EC Commission and of the EC Member States who participate in the Advisory Committee pursuant to Article 14(2) of this Chapter and in the hearing pursuant to Article 14(3) of Chapter III.

Where it follows from acts incorporated into Annex XIV of the EEA Agreement that Article 53(1) of the EEA Agreement is inapplicable to certain categories of agreements, decisions by associations of undertakings or concerted practices, the EFTA Surveillance Authority may, acting on its own initiative or on a complaint, withdraw the benefit of such an exemption act when it finds that in any particular case an agreement, decision or concerted practice to which the exemption act applies has certain effects which are incompatible with Article 53(3) of the EEA Agreement.

Where, in any particular case, agreements, decisions by associations of undertakings or concerted practices to which an act referred to in paragraph 1 applies have effects which are incompatible with Article 53(3) of the EEA Agreement in the territory of an EFTA State, or in a part thereof, which has all the characteristics of a distinct geographic market, the competition authority of that EFTA State may withdraw the benefit of the act in question in respect of that territory.

The EFTA Surveillance Authority shall publish the decisions, which it takes pursuant to Articles 7 to 10, 23 and 24.

The publication shall state the names of the parties and the main content of the decision, including any penalties imposed. It shall have regard to the legitimate interest of undertakings in the protection of their business secrets.

The EFTA Surveillance Authority shall be authorised to take such measures as may be appropriate in order to apply this Chapter. The measures may concern, inter alia:

Before the adoption of any measures pursuant to paragraph 1, the EFTA Surveillance Authority shall publish a draft thereof and invite all interested parties to submit their comments within the time limit it lays down, which may not be less than one month. Before publishing a draft measure and before adopting it, the EFTA Surveillance Authority shall consult the Advisory Committee on Restrictive Practices and Dominant Positions.

Applications made to the EFTA Surveillance Authority under former Article 2 of Chapter II of Part I, notifications made under former Articles 4 and 5 of that Chapter and the corresponding applications and notifications made under former Chapter VI of Part II, Chapter IX of Part II and Chapter XI of Part II shall lapse.

Procedural steps taken under former Chapter II of Part I and Chapters VI, IX and XI of Part II shall continue to have effect for the purposes of applying this Chapter.

where there has been a change in any of the facts which were basic to the making of the decision;

where the parties commit a breach of any obligation attached to the decision;

where the decision is based on incorrect information or was induced by deceit;

where the parties abuse the exemption from the provisions of Article 2 of the said act granted to them by the decision.

where there has been a change in any of the facts which were basic to the making of the decision;

where the parties commit a breach of any obligation attached to the decision;

where the decision is based on incorrect information or was induced by deceit; or

where the parties abuse the exemption from the provisions of Article 53(1) granted to them by the decision.

where there has been a change in any of the facts which were basic to the making of the decision;

where the parties commit a breach of any obligation attached to the decision;

where the decision is based on incorrect information or was induced by deceit; or

where the parties abuse the exemption from the provisions of Article 53(1) granted to them by the decision.

where there has been a change in any of the facts which were basic to the making of the decision;

where the parties commit a breach of any obligation attached to the decision;

where the decision is based on incorrect information or was induced by deceit; or

where the parties abuse the exemption from the provisions of Article 53(1) granted to them by the decision.

The EFTA States shall designate the competition authority or authorities responsible for the application of Articles 53 and 54 of the EEA Agreement in such a way that the provisions of this Chapter are effectively complied with. The authorities designated may include courts.

When enforcement of EEA competition law is entrusted to national administrative and judicial authorities, the EFTA States may allocate different powers and functions to those different national authorities, whether administrative or judicial.

The effects of Article 11(6) apply to the authorities designated by the EFTA States including courts that exercise functions regarding the preparation and the adoption of the types of decisions foreseen in Article 5. The effects of Article 11(6) do not extend to courts insofar as they act as review courts in respect of the types of decisions foreseen in Article 5.

Notwithstanding paragraph 3, in the EFTA States where, for the adoption of certain types of decisions foreseen in Article 5, an authority brings an action before a judicial authority that is separate and different from the prosecuting authority and provided that the terms of this paragraph are complied with, the effects of Article 11(6) shall be limited to the authority prosecuting the case which should withdraw its claim before the judicial authority when the EFTA Surveillance Authority opens proceedings and this withdrawal shall facilitate that national proceedings be brought effectively to an end

The EFTA Surveillance Authority may decide to initiate proceedings with a view to adopting a decision pursuant to Section III of Chapter II at any point in time, but no later than the date on which it issues a preliminary assessment as referred to in Article 9(1) of that Chapter, a statement of objections or a request for the parties to express their interest in engaging in settlement discussions, or the date on which a notice pursuant to Article 27(4) of that Chapter is published, whichever is the earlier.

The EFTA Surveillance Authority may make public the initiation of proceedings, in any appropriate way. Before doing so, it shall inform the parties concerned.

The EFTA Surveillance Authority may exercise its powers of investigation pursuant to Section V of Chapter II before initiating proceedings.

The EFTA Surveillance Authority may reject a complaint pursuant to Article 7 of Chapter II without initiating proceedings.

Where the EFTA Surveillance Authority interviews a person with his consent in accordance with Article 19 of Chapter II, it shall, at the beginning of the interview, state the legal basis and the purpose of the interview, and recall its voluntary nature. It shall also inform the person interviewed of its intention to make a record of the interview.

The interview may be conducted by any means including by telephone or electronic means.

The EFTA Surveillance Authority may record the statements made by the persons interviewed in any form. A copy of any recording shall be made available to the person interviewed for approval. Where necessary, the EFTA Surveillance Authority shall set a time limit within which the person interviewed may communicate to it any correction to be made to the statement.

When, pursuant to Article 20(2)(e) of Chapter II, officials or other accompanying persons authorised by the EFTA Surveillance Authority ask representatives or members of staff of an undertaking or of an association of undertakings for explanations, the explanations given may be recorded in any form.

A copy of any recording made pursuant to paragraph 1 shall be made available to the undertaking or association of undertakings concerned after the inspection.

In cases where a member of staff of an undertaking or of an association of undertakings who is not or was not authorised by the undertaking or by the association of undertakings to provide explanations on behalf of the undertaking or association of undertakings has been asked for explanations, the EFTA Surveillance Authority shall set a time limit within which the undertaking or the association of undertakings may communicate to the EFTA Surveillance Authority any rectification, amendment or supplement to the explanations given by such member of staff. The rectification, amendment or supplement shall be added to the explanations as recorded pursuant to paragraph

Natural and legal persons shall show a legitimate interest in order to be entitled to lodge a complaint for the purposes of Article 7 of Chapter II.

Such complaints shall contain the information required by Form C, issued for this purpose by the Governments of the EFTA States, by common accord, as set out in Appendix 1, or by the Commission. The EFTA Surveillance Authority may dispense with this obligation as regards part of the information, including documents, required by Form C.

Three paper copies as well as, if possible, an electronic copy of the complaint shall be submitted to the EFTA Surveillance Authority. The complainant shall also submit a non-confidential version of the complaint, if confidentiality is claimed for any part of the complaint.

Complaints shall be submitted in one of the official languages of an EFTA State or the Community.

Where the EFTA Surveillance Authority issues a statement of objections relating to a matter in respect of which it has received a complaint, it shall provide the complainant with a copy of the non-confidential version of the statement of objections, except in cases where the settlement procedure applies, where it shall inform the complainant in writing of the nature and subject matter of the procedure. The EFTA Surveillance Authority shall also set a time limit within which the complainant may make known its views in writing.

The EFTA Surveillance Authority may, where appropriate, afford complainants the opportunity of expressing their views at the oral hearing of the parties to which a statement of objections has been issued, if complainants so request in their written comments.

Where the EFTA Surveillance Authority considers that on the basis of the information in its possession there are insufficient grounds for acting on a complaint, it shall inform the complainant of its reasons and set a time limit within which the complainant may make known its views in writing. The EFTA Surveillance Authority shall not be obliged to take into account any further written submission received after the expiry of that time limit.

If the complainant makes known its views within the time limit set by the EFTA Surveillance Authority and the written submissions made by the complainant do not lead to a different assessment of the complaint, the EFTA Surveillance Authority shall reject the complaint by decision.

If the complainant fails to make known its views within the time limit set by the EFTA Surveillance Authority, the complaint shall be deemed to have been withdrawn.

Where the EFTA Surveillance Authority has informed the complainant of its intention to reject a complaint pursuant to Article 7(1) the complainant may request access to the documents on which the EFTA Surveillance Authority bases its provisional assessment. For this purpose, the complainant may however not have access to business secrets and other confidential information belonging to other parties involved in the proceedings.

The documents to which the complainant has had access in the context of proceedings conducted by the EFTA Surveillance Authority under Articles 53 and 54 of the EEA Agreement may only be used by the complainant for the purposes of judicial or administrative proceedings for the application of those provisions of the EEA Agreement.

The EFTA Surveillance Authority shall inform the parties concerned of the objections raised against them. The statement of objections shall be notified in writing to each of the parties against whom objections are raised.

The EFTA Surveillance Authority shall, when notifying the statement of objections to the parties concerned, set a time limit within which these parties may inform it in writing of their views. The EFTA Surveillance Authority shall not be obliged to take into account written submissions received after the expiry of that time limit.

The parties may, in their written submissions, set out all facts known to them which are relevant to their defence against the objections raised by the EFTA Surveillance Authority. They shall attach any relevant documents as proof of the facts set out. They shall provide a paper original as well as an electronic copy or, where they do not provide an electronic copy, six paper copies of their submission and of the documents attached to it. They may propose that the EFTA Surveillance Authority hear persons who may corroborate the facts set out in their submission.

After the initiation of proceedings pursuant to Article 11(6) of Chapter II, the EFTA Surveillance Authority may set a time limit within which the parties may indicate in writing that they are prepared to engage in settlement discussions with a view to possibly introducing settlement submissions. The EFTA Surveillance Authority shall not be obliged to take into account replies received after the expiry of that time limit.

If two or more parties within the same undertaking indicate their willingness to engage in settlement discussions pursuant to the first subparagraph, they shall appoint a joint representation to engage in discussions with the EFTA Surveillance Authority on their behalf. When setting the time limit referred to in the first subparagraph, the EFTA Surveillance Authority shall indicate to the relevant parties that they are identified within the same undertaking, for the sole purpose of enabling them to comply with this provision.

Parties taking part in settlement discussions may be informed by the EFTA Surveillance Authority of:

This information shall be confidential vis-à-vis third parties, save where the EFTA Surveillance Authority has given a prior explicit authorisation for disclosure.

Should settlement discussions progress, the EFTA Surveillance Authority may set a time limit within which the parties may commit to follow the settlement procedure by introducing settlement submissions reflecting the results of the settlement discussions and acknowledging their participation in an infringement of Article 53 of the EEA Agreement as well as their liability. Before the EFTA Surveillance Authority sets a time limit to introduce their settlement submissions, the parties concerned shall be entitled to have the information specified in Article 10a(2), first subparagraph disclosed to them, upon request, in a timely manner. The EFTA Surveillance Authority shall not be obliged to take into account settlement submissions received after the expiry of that time limit.

When the statement of objections notified to the parties reflects the contents of their settlement submissions, the written reply to the statement of objections by the parties concerned shall, within a time limit set by the EFTA Surveillance Authority, confirm that the statement of objections addressed to them reflects the contents of their settlement submissions. The EFTA Surveillance Authority may then proceed to the adoption of a Decision pursuant to Article 7 and Article 23 of Chapter II after consultation of the Advisory Committee on Restrictive Practices and Dominant Positions pursuant to Article 14 of Chapter II.

The EFTA Surveillance Authority may decide at any time during the procedure to discontinue settlement discussions altogether in a specific case or with respect to one or more of the parties involved, if it considers that procedural efficiencies are not likely to be achieved.

The EFTA Surveillance Authority shall give the parties to whom it addresses a statement of objections the opportunity to be heard before consulting the Advisory Committee referred to in Article 14(1) of Chapter II.

The EFTA Surveillance Authority shall, in its decisions, deal only with objections in respect of which the parties referred to in paragraph 1 have been able to comment.

The EFTA Surveillance Authority shall give the parties to whom it addresses a statement of objections the opportunity to develop their arguments at an oral hearing, if they so request in their written submissions.

However, when introducing their settlement submissions the parties shall confirm to the EFTA Surveillance Authority that they would only require having the opportunity to develop their arguments at an oral hearing, if the statement of objections does not reflect the contents of their settlement submissions.

If natural or legal persons other than those referred to in Articles 5 and 11 apply to be heard and show a sufficient interest, the EFTA Surveillance Authority shall inform them in writing of the nature and subject matter of the procedure and shall set a time limit within which they may make known their views in writing.

The EFTA Surveillance Authority may, where appropriate, invite persons referred to in paragraph 1 to develop their arguments at the oral hearing of the parties to whom a statement of objections has been addressed, if the persons referred to in paragraph 1 so request in their written comments.

The EFTA Surveillance Authority may invite any other person to express its views in writing and to attend the oral hearing of the parties to whom a statement of objections has been addressed. The EFTA Surveillance Authority may also invite such persons to express their views at that oral hearing.

Hearings shall be conducted by a Hearing Officer in full independence.

The EFTA Surveillance Authority shall invite the persons to be heard to attend the oral hearing on such date as it shall determine.

The EFTA Surveillance Authority shall invite the competition authorities of the EFTA States to take part in the oral hearing. It may likewise invite officials and civil servants of other authorities of the EFTA States. It shall invite the EC Commission and the EC Member States to be represented at hearings as provided for in Protocol 23 to the EEA Agreement.

Persons invited to attend shall either appear in person or be represented by legal representatives or by representatives authorised by their constitution as appropriate. Undertakings and associations of undertakings may also be represented by a duly authorised agent appointed from among their permanent staff.

Persons heard by the EFTA Surveillance Authority may be assisted by their lawyers or other qualified persons admitted by the Hearing Officer.

Oral hearings shall not be public. Each person may be heard separately or in the presence of other persons invited to attend, having regard to the legitimate interest of the undertakings in the protection of their business secrets and other confidential information.

The Hearing Officer may allow the parties to whom a statement of objections has been addressed, the complainants, other persons invited to the hearing, the EFTA Surveillance Authority services and the authorities of the EFTA States to ask questions during the hearing.

The statements made by each person heard shall be recorded. Upon request, the recording of the hearing shall be made available to the persons who attended the hearing. Regard shall be had to the legitimate interest of the parties in the protection of their business secrets and other confidential information.

If so requested, the EFTA Surveillance Authority shall grant access to the file to the parties to whom it has addressed a statement of objections. Access shall be granted after the notification of the statement of objections.

After the initiation of proceedings pursuant to Article 11(6) of Chapter II and in order to enable the parties willing to introduce settlement submissions to do so, the EFTA Surveillance Authority shall disclose to them the evidence and documents described in Article 10a(2) upon request and subject to the conditions established in the relevant subparagraphs. In view thereof, when introducing their settlement submissions, the parties shall confirm to the EFTA Surveillance Authority that they will only require access to the file after the receipt of the statement of objections, if the statement of objections does not reflect the contents of their settlement submissions.

The right of access to the file shall not extend to business secrets, other confidential information and internal documents of the EFTA Surveillance Authority and the EC Commission or of the competition authorities of the EFTA States or the EC Member States. The right of access to the file shall also not extend to correspondence between the surveillance authorities, between a surveillance authority and EC Member States and EFTA States or between competition authorities of the EC Member States or EFTA States, where such correspondence is contained in the file of the EFTA Surveillance Authority.

Nothing in this Chapter prevents the EFTA Surveillance Authority from disclosing and using information necessary to prove an infringement of Articles 53 or 54 of the EEA Agreement.

Documents obtained through access to the file pursuant to this Article shall only be used for the purposes of judicial or administrative proceedings for the application of Articles 53 and 54 of the EEA Agreement.

Information, including documents, shall not be communicated or made accessible by the EFTA Surveillance Authority in so far as it contains business secrets or other confidential information of any person.

Any person which makes known its views pursuant to Article 6(1), Article 7(1), Article 10(2) and Article 13(1) and (3) of this Chapter or subsequently submits further information to the EFTA Surveillance Authority in the course of the same procedure, shall clearly identify any material which it considers to be confidential, giving reasons, and provide a separate non-confidential version by the date set by the EFTA Surveillance Authority for making its views known.

Without prejudice to paragraph 2 of this Article, the EFTA Surveillance Authority may require undertakings and associations of undertakings which produce documents or statements pursuant to Chapter II to identify the documents or parts of documents which they consider to contain business secrets or other confidential information belonging to them and to identify the undertakings with regard to which such documents are to be considered confidential. The EFTA Surveillance Authority may likewise require undertakings or associations of undertakings to identify any part of a statement of objections, a case summary drawn up pursuant to Article 27(4) of Chapter II or a decision adopted by the EFTA Surveillance Authority which in their view contains business secrets.

If undertakings or associations of undertakings fail to comply with paragraphs 2 and 3, the EFTA Surveillance Authority may assume that the documents or statements concerned do not contain confidential information.

In setting the time limits provided for in Article 3(3), Article 4(3), Article 6(1), Article 7(1), Article 10(2), Article 10a(1), Article 10a(2), Article 10a(3) and Article 16(3), the EFTA Surveillance Authority shall have regard both to the time required for preparation of the submission and to the urgency of the case.

The time limits referred to in Article 6(1), Article 7(1) and Article 10(2) shall be at least four weeks. However, for proceedings initiated with a view to adopting interim measures pursuant to Article 8 of Chapter II, the time limit may be shortened to one week.

The time limits referred to in Article 4(3), Article 10a(1), Article 10a(2) and Article 16(3) shall be at least two weeks. The time limit referred to in Article 3(3) shall be at least two weeks, except for settlement submissions, for which corrections shall be made within one week. The time limit referred to in Article 10a(3) shall be at least two weeks.

Where appropriate and upon reasoned request made before the expiry of the original time limit, time limits may be extended.

(No text)

(No text)

(No text)

Prior to the notification of a concentration within the meaning of Article 4(1) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), the persons or undertakings referred to in paragraph 2 of the same Article may inform the EFTA Surveillance Authority, by means of a reasoned submission, that the concentration may significantly affect competition in a market within an EFTA State which presents all the characteristics of a distinct market and should therefore be examined, in whole or in part, by that EFTA State.

The EFTA Surveillance Authority shall transmit this submission to all EFTA States without delay. The EFTA State referred to in the reasoned submission shall, within 15 working days of receiving the submission, express its agreement or disagreement as regards the request to refer the case. Where that EFTA State takes no such decision within this period, it shall be deemed to have agreed.

Unless that EFTA State disagrees, the EFTA Surveillance Authority, where it considers that such a distinct market exists, and that competition in that market may be significantly affected by the concentration, may decide to refer the whole or part of the case to the competent authorities of that EFTA State with a view to the application of that State's national competition law.

The decision whether or not to refer the case in accordance with the third subparagraph shall be taken within 25 working days starting from the receipt of the reasoned submission by the EFTA Surveillance Authority. The EFTA Surveillance Authority shall inform the other EFTA States and the persons or undertakings concerned of its decision. If the EFTA Surveillance Authority does not take a decision within this period, it shall be deemed to have adopted a decision to refer the case in accordance with the submission made by the persons or undertakings concerned.

If the EFTA Surveillance Authority decides, or is deemed to have decided, pursuant to the third and fourth subparagraphs, to refer the whole of the case, no notification shall be made pursuant to Article 4(1) of the said act and national competition law shall apply. Article 9(6) to (9) of this Chapter shall apply mutatis mutandis.

With regard to a concentration as defined in Article 3 of the said act which does not have an EFTA dimension within the meaning of Article 1 of the said act and which is capable of being reviewed under the national competition laws of at least three EFTA States, the persons or undertakings referred to in Article 4(2) of the said act may, before any notification to the competent authorities, inform the EFTA Surveillance Authority by means of a reasoned submission that the concentration should be examined by the EFTA Surveillance Authority.

The EFTA Surveillance Authority shall transmit this submission to all EFTA States without delay.

Any EFTA State competent to examine the concentration under its national competition law may, within 15 working days of receiving the reasoned submission, express its disagreement as regards the request to refer the case.

Where at least one such EFTA State has expressed its disagreement in accordance with the third subparagraph within the period of 15 working days, the case shall not be referred. The EFTA Surveillance Authority shall, without delay, inform all EFTA States and the persons or undertakings concerned of any such expression of disagreement.

Where no EFTA State has expressed its disagreement in accordance with the third subparagraph within the period of 15 working days, the concentration shall be deemed to have an EFTA dimension and shall be notified to the EFTA Surveillance Authority in accordance with Article 4(1) and (2) of the said act. In such situations, no EFTA State shall apply its national competition law to the concentration.

(No text)

The EFTA Surveillance Authority shall examine the notification as soon as it is received.

Where the EFTA Surveillance Authority finds that, following modification by the undertakings concerned, a notified concentration no longer raises serious doubts within the meaning of paragraph 1(c), it shall declare the concentration compatible with the functioning of the EEA Agreement pursuant to paragraph 1(b).

The EFTA Surveillance Authority may attach to its decision under paragraph 1(b) conditions and obligations intended to ensure that the undertakings concerned comply with the commitments they have entered into vis-à-vis the EFTA Surveillance Authority with a view to rendering the concentration compatible with the functioning of the EEA Agreement.

The EFTA Surveillance Authority may revoke the decision it took pursuant to paragraph 1(a) or (b) where:

In the cases referred to in paragraph 3, the EFTA Surveillance Authority may take a decision under paragraph 1, without being bound by the time limits referred to in Article 10(1).

The EFTA Surveillance Authority shall notify its decision to the undertakings concerned and the competent authorities of the EFTA States without delay.

A concentration with an EFTA dimension as defined in Article 1 of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), or which is to be examined by the EFTA Surveillance Authority pursuant to Article 4(5) of this Chapter, shall not be implemented either before its notification or until it has been declared compatible with the functioning of the EEA Agreement pursuant to a decision under Articles 6(1)(b), 8(1) or 8(2), or on the basis of a presumption according to Article 10(6).

Paragraph 1 shall not prevent the implementation of a public bid or of a series of transactions in securities including those convertible into other securities admitted to trading on a market such as a stock exchange, by which control within the meaning of Article 3 of the said act is acquired from various sellers, provided that:

The EFTA Surveillance Authority may, on request, grant a derogation from the obligations imposed in paragraphs 1 or 2. The request to grant a derogation must be reasoned. In deciding on the request, the EFTA Surveillance Authority shall take into account inter alia the effects of the suspension on one or more undertakings concerned by the concentration or on a third party and the threat to competition posed by the concentration. Such a derogation may be made subject to conditions and obligations in order to ensure conditions of effective competition. A derogation may be applied for and granted at any time, be it before notification or after the transaction.

The validity of any transaction carried out in contravention of paragraph 1 shall be dependent on a decision pursuant to Article 6(1)(b) or Article 8(1), (2) or (3) or on a presumption pursuant to Article 10(6).

This Article shall, however, have no effect on the validity of transactions in securities including those convertible into other securities admitted to trading on a market such as a stock exchange, unless the buyer and seller knew or ought to have known that the transaction was carried out in contravention of paragraph 1.

Where the EFTA Surveillance Authority finds that a notified concentration fulfils the criterion laid down in Article 2(2) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) and, in the cases referred to in Article 2(4) of the said act, the criteria laid down in Article 53(3) of the EEA Agreement, it shall issue a decision declaring the concentration compatible with the functioning of the EEA Agreement.

A decision declaring a concentration compatible shall be deemed to cover restrictions directly related and necessary to the implementation of the concentration.

Where the EFTA Surveillance Authority finds that, following modification by the undertakings concerned, a notified concentration fulfils the criterion laid down in Article 2(2) of the said act and, in the cases referred to in Article 2(4) of the said act, the criteria laid down in Article 53(3) of the EEA Agreement, it shall issue a decision declaring the concentration compatible with the functioning of the EEA Agreement.

The EFTA Surveillance Authority may attach to its decision conditions and obligations intended to ensure that the undertakings concerned comply with the commitments they have entered into vis-à-vis the EFTA Surveillance Authority with a view to rendering the concentration compatible with the functioning of the EEA Agreement.

A decision declaring a concentration compatible shall be deemed to cover restrictions directly related and necessary to the implementation of the concentration.

Where the EFTA Surveillance Authority finds that a concentration fulfils the criterion defined in Article 2(3) of the said act or, in the cases referred to in Article 2(4) of the said act, does not fulfil the criteria laid down in Article 53(3) of the EEA Agreement, it shall issue a decision declaring that the concentration is incompatible with the functioning of the EEA Agreement.

Where the EFTA Surveillance Authority finds that a concentration:

the EFTA Surveillance Authority may:

In cases falling within point (a) of the first subparagraph, the measures referred to in that subparagraph may be imposed either in a decision pursuant to paragraph 3 or by separate decision.

The EFTA Surveillance Authority may take interim measures appropriate to restore or maintain conditions of effective competition where a concentration:

The EFTA Surveillance Authority may revoke the decision it has taken pursuant to paragraphs 1 or 2 where:

The EFTA Surveillance Authority may take a decision pursuant to paragraphs 1 to 3 without being bound by the time limits referred to in Article 10(3), in cases where:

The EFTA Surveillance Authority shall notify its decision to the undertakings concerned and the competent authorities of the EFTA States without delay.

The EFTA Surveillance Authority may, by means of a decision notified without delay to the undertakings concerned and the competent authorities of the other EFTA States, refer a notified concentration to the competent authorities of the EFTA State concerned in the following circumstances.

Within 15 working days of the date of receipt of the copy of the notification, an EFTA State, on its own initiative or upon the invitation of the EFTA Surveillance Authority, may inform the EFTA Surveillance Authority, which shall inform the undertakings concerned, that:

If the EFTA Surveillance Authority considers that, having regard to the market for the products or services in question and the geographical reference market within the meaning of paragraph 7, there is such a distinct market and that such a threat exists, either:

If, however, the EFTA Surveillance Authority considers that such a distinct market or threat does not exist, it shall adopt a decision to that effect which it shall address to the EFTA State concerned, and shall itself deal with the case in accordance with the Articles 57 and 58 of the EEA Agreement, by provisions set out in Protocol 24 and in Annex XIV to the EEA Agreement and by the provisions of this Chapter.

In cases where an EFTA State informs the EFTA Surveillance Authority pursuant to paragraph 2(b) that a concentration affects competition in a distinct market within its territory that does not form a substantial part of the territory of the EFTA States, the EFTA Surveillance Authority shall refer the whole or part of the case relating to the distinct market concerned, if it considers that such a distinct market is affected.

A decision to refer or not to refer pursuant to paragraph 3 shall be taken:

If within the 65 working days referred to in paragraph 4(b) the EFTA Surveillance Authority, despite a reminder from the EFTA State concerned, has not taken a decision on referral in accordance with paragraph 3 nor has taken the preparatory steps referred to in paragraph 4(b), it shall be deemed to have taken a decision to refer the case to the EFTA State concerned in accordance with paragraph 3(b).

The competent authority of the EFTA State concerned shall decide upon the case without undue delay.

Within 45 working days after the EFTA Surveillance Authority's referral, the competent authority of the EFTA State concerned shall inform the undertakings concerned of the result of the preliminary competition assessment and what further action, if any, it proposes to take. The EFTA State concerned may exceptionally suspend this time limit where necessary information has not been provided to it by the undertakings concerned as provided for by its national competition law.

Where a notification is requested under national law, the period of 45 working days shall begin on the working day following that of the receipt of a complete notification by the competent authority of that EFTA State.

The geographical reference market shall consist of the area in which the undertakings concerned are involved in the supply and demand of products or services, in which the conditions of competition are sufficiently homogeneous and which can be distinguished from neighbouring areas because, in particular, conditions of competition are appreciably different in those areas. This assessment should take account in particular of the nature and characteristics of the products or services concerned, of the existence of entry barriers or of consumer preferences, of appreciable differences of the undertakings' market shares between the area concerned and neighbouring areas or of substantial price differences.

In applying the provisions of this Article, the EFTA State concerned may take only the measures strictly necessary to safeguard or restore effective competition on the market concerned.

In accordance with the relevant provisions of the EEA Agreement, any EFTA State may appeal to the EFTA Court in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement, and in particular request the application of Article 41 of this Agreement, for the purpose of applying its national competition law.

Without prejudice to Article 6(4), the decisions referred to in Article 6(1) shall be taken within 25 working days at most. That period shall begin on the working day following that of the receipt of a notification or, if the information to be supplied with the notification is incomplete, on the working day following that of the receipt of the complete information.

That period shall be increased to 35 working days where the EFTA Surveillance Authority receives a request from an EFTA State in accordance with Article 9(2) or where the undertakings concerned offer commitments pursuant to Article 6(2), with a view to rendering the concentration compatible with the functioning of the EEA Agreement.

Decisions pursuant to Article 8(1) or (2) concerning notified concentrations shall be taken as soon as it appears that the serious doubts referred to in Article 6(1)(c) have been removed, particularly as a result of modifications made by the undertakings concerned, and at the latest by the time limit laid down in paragraph 3.

Without prejudice to Article 8(7), decisions pursuant to Article 8(1) to (3) concerning notified concentrations shall be taken within not more than 90 working days of the date on which proceedings are initiated. That period shall be increased to 105 working days where the undertakings concerned offer commitments pursuant to Article 8(2), second subparagraph, with a view to rendering the concentration compatible with the functioning of the EEA Agreement, unless these commitments have been offered less than 55 working days after the initiation of proceedings.

The periods set by the first subparagraph shall likewise be extended if the notifying parties make a request to that effect not later than 15 working days after the initiation of proceedings pursuant to Article 6(1)(c). The notifying parties may make only one such request. Likewise, at any time following the initiation of proceedings, the periods set by the first subparagraph may be extended by the EFTA Surveillance Authority with the agreement of the notifying parties. The total duration of any extension or extensions effected pursuant to this subparagraph shall not exceed 20 working days.

The periods set by paragraphs 1 and 3 shall exceptionally be suspended where, owing to circumstances for which one of the undertakings involved in the concentration is responsible, the EFTA Surveillance Authority has had to request information by decision pursuant to Article 11 or to order an inspection by decision pursuant to Article 13.

The first subparagraph shall also apply to the period referred to in Article 9(4)(b).

Where the EFTA Court gives a judgement which annuls the whole or part of an EFTA Surveillance Authority decision, which is subject to a time limit set by this Article, the concentration shall be re-examined by the EFTA Surveillance Authority with a view to adopting a decision pursuant to Article 6(1).

The concentration shall be re-examined in the light of current market conditions.

The notifying parties shall submit a new notification or supplement the original notification, without delay, where the original notification becomes incomplete by reason of intervening changes in market conditions or in the information provided. Where there are no such changes, the parties shall certify this fact without delay.

The periods laid down in paragraph 1 shall start on the working day following that of the receipt of complete information in a new notification, a supplemented notification, or a certification within the meaning of the third subparagraph.

The second and third subparagraphs shall also apply in the cases referred to in Article 6(4) and Article 8(7).

Where the EFTA Surveillance Authority has not taken a decision in accordance with Articles 6(1)(b),(c), 8(1), (2) or (3) within the time limits set in paragraphs 1 and 3 respectively, the concentration shall be deemed to have been declared compatible with the functioning of the EEA Agreement, without prejudice to Article 9.

In order to carry out the duties assigned to it by Articles 57 or 58 of the EEA Agreement, by provisions set out in Protocol 24 and in Annex XIV to the EEA Agreement and by the provisions of this Chapter, the EFTA Surveillance Authority may, by simple request or by decision, require the persons referred to in Article 3(1)(b) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), as well as undertakings and associations of undertakings, to provide all necessary information.

When sending a simple request for information to a person, an undertaking or an association of undertakings, the EFTA Surveillance Authority shall state the legal basis and the purpose of the request, specify what information is required and fix the time limit within which the information is to be provided, as well as the penalties provided for in Article 14 for supplying incorrect or misleading information.

Where the EFTA Surveillance Authority requires a person, an undertaking or an association of undertakings to supply information by decision, it shall state the legal basis and the purpose of the request, specify what information is required and fix the time limit within which it is to be provided. It shall also indicate the penalties provided for in Article 14 and indicate or impose the penalties provided for in Article 15. It shall further indicate the right to have the decision reviewed by the EFTA Court.

The owners of the undertakings or their representatives and, in the case of legal persons, companies or firms, or associations having no legal personality, the persons authorised to represent them by law or by their constitution, shall supply the information requested on behalf of the undertaking concerned. Persons duly authorised to act may supply the information on behalf of their clients. The latter shall remain fully responsible if the information supplied is incomplete, incorrect or misleading.

The EFTA Surveillance Authority shall without delay forward a copy of any decision taken pursuant to paragraph 3 to the competent authorities of the EFTA State in whose territory the residence of the person or the seat of the undertaking or association of undertakings is situated, and to the competent authority of the EFTA State whose territory is affected. At the specific request of the competent authority of an EFTA State, the EFTA Surveillance Authority shall also forward to that authority copies of simple requests for information relating to a notified concentration.

At the request of the EFTA Surveillance Authority, the governments and competent authorities of the EFTA States shall provide the EFTA Surveillance Authority with all necessary information to carry out the duties assigned to it by Articles 57 or 58 of the EEA Agreement, by provisions set out in Protocol 24 and in Annex XIV to the EEA Agreement and by the provisions of this Chapter.

In order to carry out the duties assigned to it by Articles 57 or 58 of the EEA Agreement, by provisions set out in Protocol 24 and in Annex XIV to the EEA Agreement and by the provisions of this Chapter, the EFTA Surveillance Authority may interview any natural or legal person who consents to be interviewed for the purpose of collecting information relating to the subject-matter of an investigation. At the beginning of the interview, which may be conducted by telephone or other electronic means, the EFTA Surveillance Authority shall state the legal basis and the purpose of the interview.

Where an interview is not conducted on the premises of the EFTA Surveillance Authority or by telephone or other electronic means, the EFTA Surveillance Authority shall inform in advance the competent authority of the EFTA State in whose territory the interview takes place. If the competent authority of that EFTA State so requests, officials of that authority may assist the officials and other persons authorised by the EFTA Surveillance Authority to conduct the interview.

At the request of the EFTA Surveillance Authority, the competent authorities of the EFTA States shall undertake the inspections which the EFTA Surveillance Authority considers to be necessary under Article 13(1), or which it has ordered by decision pursuant to Article 13(4). The officials of the competent authorities of the EFTA States who are responsible for conducting these inspections as well as those authorised or appointed by them shall exercise their powers in accordance with their national law.

If so requested by the EFTA Surveillance Authority or by the competent authority of the EFTA State within whose territory the inspection is to be conducted, officials and other accompanying persons authorised by the EFTA Surveillance Authority may assist the officials of the authority concerned.

In order to carry out the duties assigned to it by Articles 57 and 58 of the EEA Agreement, by provisions set out in Protocol 24 and in Annex XIV to the EEA Agreement and by the provisions of this Chapter, the EFTA Surveillance Authority may conduct all necessary inspections of undertakings and associations of undertakings.

The officials and other accompanying persons authorised by the EFTA Surveillance Authority to conduct an inspection shall have the power:

Officials and other accompanying persons authorised by the EFTA Surveillance Authority to conduct an inspection shall exercise their powers upon production of a written authorisation specifying the subject matter and purpose of the inspection and the penalties provided for in Article 14, in the production of the required books or other records related to the business which is incomplete or where answers to questions asked under paragraph 2 of this Article are incorrect or misleading. In good time before the inspection, the EFTA Surveillance Authority shall give notice of the inspection to the competent authority of the EFTA State in whose territory the inspection is to be conducted. The EFTA Surveillance Authority shall also provide such an authorisation to representatives of the EC Commission who shall take part in the inspection in accordance with Article 8(5) of Protocol 24 to the EEA Agreement

Undertakings and associations of undertakings are required to submit to inspections ordered by decision of the EFTA Surveillance Authority. The decision shall specify the subject matter and purpose of the inspection, appoint the date on which it is to begin and indicate the penalties provided for in Articles 14 and 15 and the right to have the decision reviewed by the EFTA Court in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement, in particular Article 36. The EFTA Surveillance Authority shall take such decisions after consulting the competent authority of the EFTA State in whose territory the inspection is to be conducted.

Officials of, and those authorised or appointed by, the competent authority of the EFTA State in whose territory the inspection is to be conducted shall, at the request of that authority or of the EFTA Surveillance Authority, actively assist the officials and other accompanying persons authorised by the EFTA Surveillance Authority. To this end, they shall enjoy the powers specified in paragraph 2.

Where the officials and other accompanying persons authorised by the EFTA Surveillance Authority find that an undertaking opposes an inspection, including the sealing of business premises, books or records, ordered pursuant to this Article, the EFTA State concerned shall afford them the necessary assistance, requesting where appropriate the assistance of the police or of an equivalent enforcement authority, so as to enable them to conduct their inspection.

If the assistance provided for in paragraph 6 requires authorisation from a judicial authority according to national rules, such authorisation shall be applied for. Such authorisation may also be applied for as a precautionary measure.

Where authorisation as referred to in paragraph 7 is applied for, the national judicial authority shall ensure that the EFTA Surveillance Authority decision is authentic and that the coercive measures envisaged are neither arbitrary nor excessive having regard to the subject matter of the inspection. In its control of proportionality of the coercive measures, the national judicial authority may ask the EFTA Surveillance Authority, directly or through the competent authority of that EFTA State, for detailed explanations relating to the subject matter of the inspection. However, the national judicial authority may not call into question the necessity for the inspection nor demand that it be provided with the information in the EFTA Surveillance Authority's file. The lawfulness of the EFTA Surveillance Authority's decision shall be subject to review only by the EFTA Court.

The EFTA Surveillance Authority may by decision impose on the persons referred to in Article 3(1)(b) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), undertakings or associations of undertakings fines not exceeding 1% of the aggregate turnover of the undertaking or association of undertakings concerned within the meaning of Article 5 of the said act where, intentionally or negligently:

The EFTA Surveillance Authority may by decision impose fines not exceeding 10% of the aggregate turnover of the undertakings concerned within the meaning of Article 5 of the said act on the persons referred to in Article 3(1)b of the said act or the undertakings concerned where, either intentionally or negligently, they:

In fixing the amount of the fine, regard shall be had to the nature, gravity and duration of the infringement.

Decisions taken pursuant to paragraphs 1, 2 and 3 shall not be of a criminal law nature.

The EFTA Surveillance Authority may by decision impose on the persons referred to in Article 3(1)(b) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), undertakings or associations of undertakings periodic penalty payments not exceeding 5% of the average daily aggregate turnover of the undertaking or association of undertakings concerned within the meaning of Article 5 of the said act for each working day of delay, calculated from the date set in the decision, in order to compel them:

Where the persons referred to in Article 3(1)(b) of the said act, undertakings or associations of undertakings have satisfied the obligation which the periodic penalty payment was intended to enforce, the EFTA Surveillance Authority may fix the definite amount of the periodic penalty payments at a figure lower than that which would arise under the original decision.

Without prejudice to Article 9 of Protocol 24 to the EEA Agreement, information acquired as a result of the application of Articles 57 and 58 of the EEA Agreement, of Protocol 24 to the EEA Agreement and of this Chapter shall be used only for the purposes of the relevant request, investigation or hearing.

Without prejudice to Article 4(3) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) and of Articles 18 and 20 of this Chapter, the EFTA Surveillance Authority and the competent authorities of the EFTA States, their officials and other servants and other persons working under the supervision of these authorities as well as officials and civil servants of other authorities of the EFTA States shall not disclose information they have acquired through the application of Protocol 24 to the EEA Agreement, of the said act or of this Chapter of the kind covered by the obligation of professional secrecy.

Paragraphs 1 and 2 shall not prevent publication of general information or of surveys which do not contain information relating to particular undertakings or associations of undertakings.

Before taking any decision provided for in Article 6(3), Article 7 (3), Article 8 (2) to (6), and Articles 14 and 15, the EFTA Surveillance Authority shall give the persons, undertakings and associations of undertakings concerned the opportunity, at every stage of the procedure up to the consultation of the Advisory Committee, of making known their views on the objections against them.

By way of derogation from paragraph 1, a decision pursuant to Articles 7 (3) and 8(5) may be taken provisionally, without the persons, undertakings or associations of undertakings concerned being given the opportunity to make known their views beforehand, provided that the EFTA Surveillance Authority gives them that opportunity as soon as possible after having taken its decision.

The EFTA Surveillance Authority shall base its decision only on objections on which the parties have been able to submit their observations. The rights of the defence shall be fully respected in the proceedings. Access to the file shall be open at least to the parties directly involved, subject to the legitimate interest of undertakings in the protection of their business secrets.

In so far as the EFTA Surveillance Authority or the competent authorities of the EFTA States deem it necessary, they may also hear other natural or legal persons. Natural or legal persons showing a sufficient interest and especially members of the administrative or management bodies of the undertakings concerned or the recognized representatives of their employees shall be entitled, upon application, to be heard.

The EFTA Surveillance Authority shall transmit to the competent authorities of the EFTA States copies of notifications within 3 working days and, as soon as possible, copies of the most important documents lodged with or issued by the EFTA Surveillance Authority pursuant to the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) and this Chapter. Such documents shall include commitments offered by the undertakings concerned vis-à-vis the EFTA Surveillance Authority with a view to rendering the concentration compatible with the functioning of the EEA Agreement pursuant to Articles 6 (2) or 8 (2), second subparagraph.

The EFTA Surveillance Authority shall carry out the procedures set out in the said act and in this Chapter in close and constant liaison with the competent authorities of the EFTA States, which may express their views upon those procedures. For the purposes of Article 9 it shall obtain information from the competent authority of the EFTA State as referred to in paragraph 2 of that Article and give it the opportunity to make known its views at every stage of the procedure up to the adoption of a decision pursuant to paragraph 3 of that Article; to that end it shall give it access to the file.

The EFTA Surveillance Authority shall forthwith transmit to the competent authorities of the EFTA States all information received from the EC Commission pursuant to Articles 3, 6, 8 and 10 of Protocol 24 to the EEA Agreement.

An Advisory Committee on Concentrations shall be consulted before any decision is taken pursuant to Articles 8(1) to (6), 14 or 15 with the exception of provisional decisions taken in accordance with Article 18(2).

The Advisory Committee shall consist of representatives of the competent authorities of the EFTA States. Each EFTA State shall appoint one or two representatives; if unable to attend, they may be replaced by other representatives. At least one of the representatives of an EFTA State shall be competent in matters of restrictive practices and dominant positions.

Consultation shall take place at a joint meeting convened at the invitation of and chaired by the EFTA Surveillance Authority. A summary of the case, together with an indication of the most important documents and a preliminary draft of the decision to be taken for each case considered, shall be sent with the invitation. The meeting shall take place not less than 10 working days after the invitation has been sent. The EFTA Surveillance Authority may in exceptional cases shorten that period as appropriate in order to avoid serious harm to one or more of the undertakings concerned by a concentration.

The Advisory Committee shall deliver an opinion on the EFTA Surveillance Authority's draft decision, if necessary by taking a vote. The Advisory Committee may deliver an opinion even if some members are absent and unrepresented. The opinion shall be delivered in writing and appended to the draft decision. The EFTA Surveillance Authority shall take the utmost account of the opinion delivered by the Committee. It shall inform the Committee of the manner in which its opinion has been taken into account.

The EFTA Surveillance Authority shall communicate the opinion of the Advisory Committee, together with the decision, to the addressees of the decision. It shall make the opinion public together with the decision, having regard to the legitimate interest of undertakings in the protection of their business secrets.

The EFTA Surveillance Authority shall publish the decisions which it takes pursuant to Article 8(1) to (6), 14 and 15 with the exception of provisional decisions taken in accordance with Article 18(2) together with the opinion of the Advisory Committee in the EEA Section of the Official Journal of the European Union.

The publication shall state the names of the parties and the main content of the decision; it shall have regard to the legitimate interest of undertakings in the protection of their business secrets.

The act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) and this Chapter alone shall apply to concentrations as defined in Article 3 of the said act. Chapter II and the act referred to in point 10 of Annex XIV to the EEA Agreement (Regulation (EC) No 169/2009) shall not apply, except in relation to joint ventures that do not have an EFTA dimension and which have as their object or effect the coordination of the competitive behaviour of undertakings that remain independent.

Subject to review by the EFTA Court in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement, the EFTA Surveillance Authority shall have sole jurisdiction, on the conditions set out in Article 58 of the EEA Agreement, to take the decisions provided for in the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation No 139/2004) and this Chapter.

No EFTA State shall apply its national legislation on competition to any concentration that has an EFTA dimension.

The first subparagraph shall be without prejudice to any EFTA State's power to carry out any enquiries necessary for the application of Articles 4(4), 9(2) or after referral, pursuant to Article 9(3), first subparagraph, indent (b), or Article 9(5), to take the measures strictly necessary for the application of Article 9(8).

Notwithstanding paragraphs 2 and 3, the EFTA States may take appropriate measures to protect legitimate interests other than those taken into consideration by the said act and this Chapter and compatible with the general principles and other provisions as provided for, directly or indirectly, under the EEA Agreement. Public security, plurality of the media and prudential rules shall be regarded as legitimate interests within the meaning of the first subparagraph.

Any other public interest must be communicated to the EFTA Surveillance Authority by the EFTA State concerned and shall be recognised by the EFTA Surveillance Authority after an assessment of its compatibility with the general principles and other provisions as provided for, directly or indirectly, under the EEA Agreement before the measures referred to above may be taken. The EFTA Surveillance Authority shall inform the EFTA State concerned of its decision within 25 working days of that communication.

One or more EFTA States may request the EFTA Surveillance Authority to examine any concentration as defined in Article 3 of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EEC) No 139/2004) that does not have an EFTA dimension within the meaning of Article 1 of the said act but affects trade between EFTA States and threatens to significantly affect competition within the territory of the EFTA State or States making the request.

Such a request shall be made at most within 15 working days of the date on which the concentration was notified, or if no notification is required, otherwise made known to the EFTA State concerned.

The EFTA Surveillance Authority shall inform the competent authorities of the EFTA States and the undertakings concerned of any request received pursuant to paragraph 1 without delay.

Any other EFTA State shall have the right to join the initial request within a period of 15 working days of being informed by the EFTA Surveillance Authority of the initial request.

All national time limits relating to the concentration shall be suspended until, in accordance with the procedure set out in this Article, it has been decided where the concentration shall be examined. As soon as an EFTA State has informed the EFTA Surveillance Authority and the undertakings concerned that it does not wish to join the request, the suspension of its national time limits shall end.

The EFTA Surveillance Authority may, at the latest 10 working days after the expiry of the period set in paragraph 2, decide to examine, the concentration where it considers that it affects trade between EFTA States and threatens to significantly affect competition within the territory of the EFTA State or States making the request. If the EFTA Surveillance Authority does not take a decision within this period, it shall be deemed to have adopted a decision to examine the concentration in accordance with the request. The EFTA Surveillance Authority shall inform all EFTA States and the undertakings concerned of its decision. It may request the submission of a notification pursuant to Article 4(1), (2) and (3) of the said act and Article 4(4) and (5) of this Chapter.

The EFTA State or States having made the request shall no longer apply their national legislation on competition to the concentration.

Articles 2, Article 4(2) to (3) and Article 5 of the said act and Articles 6 and 8 to 21 of this Chapter shall apply where the EFTA Surveillance Authority examines a concentration pursuant to paragraph 3. Article 7 shall apply to the extent that the concentration has not been implemented on the date on which the EFTA Surveillance Authority informs the undertakings concerned that a request has been made.

Where a notification pursuant to Article 4(1), (2) and (3) of the said act and Article 4(4) and (5) of this Chapter is not required, the period set in Article 10(1) within which proceedings may be initiated shall begin on the working day following that on which the EFTA Surveillance Authority informs the undertakings concerned that it has decided to examine the concentration pursuant to paragraph 3.

The EFTA Surveillance Authority may inform one or several EFTA States that it considers a concentration fulfils the criteria in paragraph 1. In such cases, the EFTA Surveillance Authority may invite that EFTA State or those EFTA States to make a request pursuant to paragraph 1.

The EFTA States shall inform the EFTA Surveillance Authority of any general difficulties encountered by their undertakings with concentrations as defined in Article 3 of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) in a country not Party to the EEA Agreement.

Initially not more than one year after the entry into force of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) and this Chapter, and thereafter periodically the EFTA Surveillance Authority shall draw up a report examining the treatment accorded to EFTA undertakings having their seat or their principal fields of activity in the EFTA territory, in the terms referred to in paragraphs 3 and 4, as regards concentrations in countries not party to the EEA Agreement. The EFTA Surveillance Authority shall submit those reports to the Standing Committee, together with any recommendations.

Whenever it appears to the EFTA Surveillance Authority, either on the basis of the reports referred to in paragraph 2 or on the basis of other information, that a country not party to the EEA Agreement does not grant EFTA undertakings having their seat or their principal fields of activity in the EFTA territory, treatment comparable to that granted by EFTA States to undertakings from that country, the EFTA Surveillance Authority may submit proposals to each of the Governments of the EFTA States with a view to obtaining comparable treatment for EFTA undertakings having their seat or their principal fields of activity in the EFTA territory.

Measures taken under this Article shall comply with the obligations of the EFTA States under international agreements, whether bilateral or multilateral.

Notifications shall be submitted by the persons or undertakings referred to in Article 4(2) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004).

Where notifications are signed by authorised external representatives of persons or of undertakings, such representatives shall produce written proof that they are authorised to act.

Joint notifications shall be submitted by a joint representative who is authorised to transmit and to receive documents on behalf of all notifying parties.

Notifications shall be submitted in the manner prescribed by Form CO as set out in Appendix 2 to this Protocol. Under the conditions set out in Appendix 3, notifications may be submitted in Short Form as defined therein. Joint notifications shall be submitted on a single form.

The Form CO and the supporting documents shall be submitted to the EFTA Surveillance Authority in the format and with the number of copies specified by EFTA Surveillance Authority on its website. The notification shall be delivered to the address referred to in Article 23(1).

The supporting documents shall be either originals or copies of the originals; in the latter case the notifying parties shall confirm that they are true and complete.

Notifications shall be in an official language of an EFTA State or of the Community. If undertakings choose to notify the EFTA Surveillance Authority in a language which is not one of the official languages of the States falling within the competence of that Authority, or a working language of that Authority, they shall simultaneously supplement all documentation with a translation into an official language or a working language of that Authority. The language which is chosen for the translation shall determine the language in which the undertakings may be addressed by the EFTA Surveillance Authority. Supporting documents shall be submitted in their original language. Where the original language is not one of the official languages as referred to above, a translation into the language of the proceedings shall be attached.

(No text)

Notifications shall contain the information, including documents, requested in the applicable forms set out in Appendices II and III. The information shall be correct and complete.

The EFTA Surveillance Authority may dispense with the obligation to provide any particular information in the notification, including documents, or with any other requirement specified in Appendices 2 and 3 where the EFTA Surveillance Authority considers that compliance with those obligations or requirements is not necessary for the examination of the case.

The EFTA Surveillance Authority shall without delay acknowledge in writing to the notifying parties or their representatives receipt of the notification and of any reply to a letter sent by the EFTA Surveillance Authority pursuant to Article 5(2) and 5(3).

Subject to paragraphs 2, 3 and 4, notifications shall become effective on the date on which they are received by the EFTA Surveillance Authority.

Where the information, including documents, contained in the notification is incomplete in any material respect, the EFTA Surveillance Authority shall inform the notifying parties or their representatives in writing without delay. In such cases, the notification shall become effective on the date on which the complete information is received by the EFTA Surveillance Authority.

Material changes in the facts contained in the notification coming to light subsequent to the notification which the notifying parties know or ought to know, or any new information coming to light subsequent to the notification which the parties know or ought to know and which would have had to be notified if known at the time of notification, shall be communicated to the EFTA Surveillance Authority without delay. In such cases, when these material changes or new information could have a significant effect on the appraisal of the concentration, the notification may be considered by the EFTA Surveillance Authority as becoming effective on the date on which the relevant information is received by the EFTA Surveillance Authority; the EFTA Surveillance Authority shall inform the notifying parties or their representatives of this in writing and without delay.

Incorrect or misleading information shall be considered to be incomplete information.

When the EFTA Surveillance Authority publishes the fact of the notification pursuant to Article 4(3) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), it shall specify the date upon which the notification has been received. Where, further to the application of paragraphs 2, 3 and 4 of this Article, the effective date of notification is later than the date specified in that publication, the EFTA Surveillance Authority shall issue a further publication in which it shall state the later date.

Reasoned submissions within the meaning of Article 4(4) and 4(5) of Chapter IV shall contain the information, including documents, requested in accordance with Appendix 4 to this Protocol.

Article 2, Article 3(1), third sentence, Article 3(2) to (5), Article 4, Article 5(1) to (4), Article 21 and Article 23 of this Chapter shall apply mutatis mutandis to reasoned submissions within the meaning of Article 4(4) 4(5) of Chapter IV.

Article 2, Article 3(1), third sentence, 3(2) to (5), Article 4, Article 5(1) to (4), Article 21 and Article 23 of this Chapter shall apply mutatis mutandis to supplements to notifications and certifications within the meaning of Article 10(5) of Chapter IV.

The time limits referred to in Articles 9(4), Article 10(1) and 10(3) of Chapter IV shall be suspended where the EFTA Surveillance Authority has to take a decision pursuant to Article 11(3) or Article 13(4) of that Chapter, on any of the following grounds:

The time limits referred to in Articles 9(4), Article 10(1) and 10(3) of Chapter IV shall be suspended where the EFTA Surveillance Authority has to take a decision pursuant to Article 11(3) of that Chapter, without proceeding first by way of simple request for information, owing to circumstances for which one of the undertakings involved in the concentration is responsible.

The time limits referred to in Articles 9(4), Article 10(1) and (3) of Chapter IV shall be suspended:

The suspension of the time limit shall begin on the working day following the date on which the event causing the suspension occurred. It shall expire with the end of the day on which the reason for suspension is removed. Where such a day is not a working day, the suspension of the time limit shall expire with the end of the following working day.

The time limits referred to in Article 4(4), fourth subparagraph, Article 9(4), Article 10(1) and (3), and Article 22(3) of Chapter IV shall be met where the EFTA Surveillance Authority has taken the relevant decision before the end of the period.

The time limits referred to in Article 4(4), second subparagraph, Article 4(5), third subparagraph, Article 9(2), Article 22(1), second subparagraph, and 22(2), second subparagraph, of Chapter IV shall be met by an EFTA State concerned where that EFTA State, before the end of the period, informs the EFTA Surveillance Authority in writing or makes or joins the request in writing, as the case may be.

The time limit referred to in Article 9(6) of Chapter IV shall be met where the competent authority of an EFTA State concerned informs the undertakings concerned in the manner set out in that provision before the end of the period.

notifying parties, that is, persons or undertakings submitting a notification pursuant to Article 4(2) of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004);

other involved parties, that is, parties to the proposed concentration other than the notifying parties, such as the seller and the undertaking which is the target of the concentration;

third persons, that is natural or legal persons, including customers, suppliers and competitors, provided they demonstrate a sufficient interest within the meaning of Article 18(4), second sentence, of Chapter IV, which is the case in particular

parties regarding whom the EFTA Surveillance Authority intends to take a decision pursuant to Article 14 or Article 15 of Chapter IV.

Where the EFTA Surveillance Authority intends to take a decision pursuant to Article 7(3) of Chapter IV which adversely affects one or more of the parties, it shall, pursuant to Article 18(1) of that Chapter, inform the notifying parties and other involved parties in writing of its objections and shall set a time limit within which they may make known their views in writing.

Where the EFTA Surveillance Authority, pursuant to Article 18(2) of Chapter IV, has taken a decision referred to in paragraph 1 of this Article provisionally without having given the notifying parties and other involved parties the opportunity to make known their views, it shall without delay send them the text of the provisional decision and shall set a time limit within which they may make known their views in writing.

Once the notifying parties and other involved parties have made known their views, the EFTA Surveillance Authority shall take a final decision repealing, amending or confirming the provisional decision. Where they have not made known their views in writing within the time limit set, the EFTA Surveillance Authority's provisional decision shall become final with the expiry of that period.

Where the EFTA Surveillance Authority intends to take a decision pursuant to Article 6(3) or Article 8(2) to (6) of Chapter IV, it shall, before consulting the Advisory Committee on Concentrations, hear the parties pursuant to Article 18(1) and (3) of that Chapter.

Article 12(2) of this Chapter shall apply mutatis mutandis where, in application of Article 18(2) of Chapter IV, the EFTA Surveillance Authority has taken a decision pursuant to Article 8(5) of that Chapter provisionally.

The EFTA Surveillance Authority shall address its objections in writing to the notifying parties.

The EFTA Surveillance Authority shall, when giving notice of objections, set a time limit within which the notifying parties may inform the EFTA Surveillance Authority of their comments in writing.

The EFTA Surveillance Authority shall inform other involved parties in writing of these objections.

The EFTA Surveillance Authority shall also set a time limit within which those other involved parties may inform the EFTA Surveillance Authority of their comments in writing.

The EFTA Surveillance Authority shall not be obliged to take into account comments received after the expiry of a time limit which it has set.

The parties to whom the EFTA Surveillance Authority's objections have been addressed or who have been informed of those objections may submit their comments on the objections. Any comments shall be submitted in writing within the time limit set. In their written comments, they may set out all facts and matters known to them which are relevant to their defense, and shall attach any relevant documents as proof of the facts set out. They may also propose that the EFTA Surveillance Authority hear persons who may corroborate those facts. They shall submit their comments to the EFTA Surveillance Authority at the address referred to in Article 23(1). The format in which the comments are to be submitted and the number of copies required shall be specified by the EFTA Surveillance Authority on its website. The EFTA Surveillance Authority shall forward copies of such written comments without delay to the competent authorities of the EFTA States.

Where the EFTA Surveillance Authority intends to take a decision pursuant to Article 14 or Article 15 of Chapter IV, it shall, before consulting the Advisory Committee on Concentrations, hear pursuant to Article 18(1) and (3) of that Chapter the parties regarding whom the EFTA Surveillance Authority intends to take such a decision.

Where the EFTA Surveillance Authority intends to take a decision pursuant to Article 6(3) or Article 8(2) to (6) of Chapter IV, it shall afford the notifying parties who have so requested in their written comments the opportunity to develop their arguments in a formal oral hearing. It may also, at other stages in the proceedings, afford the notifying parties the opportunity of expressing their views orally.

Where the EFTA Surveillance Authority intends to take a decision pursuant to Article 6(3) or Article 8(2) to (6) of Chapter IV, it shall also afford other involved parties who have so requested in their written comments the opportunity to develop their arguments in a formal oral hearing. It may also, at other stages in the proceedings, afford other involved parties the opportunity of expressing their views orally.

Where the EFTA Surveillance Authority intends to take a decision pursuant to Article 14 or Article 15 of Chapter IV, it shall afford parties on whom it proposes to impose a fine or periodic penalty payment the opportunity to develop their arguments in a formal oral hearing, if so requested in their written comments. It may also, at other stages in the proceedings, afford such parties the opportunity of expressing their views orally.

Formal oral hearings shall be conducted by the Hearing Officer in full independence.

The EFTA Surveillance Authority shall invite the persons to be heard to attend the formal oral hearing on such date as it shall determine.

The EFTA Surveillance Authority shall invite the competent authorities of the EFTA States to take part in any formal oral hearing.

Persons invited to attend shall either appear in person or be represented by legal representatives or by representatives authorised by their constitution as appropriate. Undertakings and associations of undertakings may also be represented by a duly authorised agent appointed from among their permanent staff.

Persons heard by the EFTA Surveillance Authority may be assisted by their lawyers or other qualified and duly authorised persons admitted by the Hearing Officer.

Formal oral hearings shall not be public. Each person may be heard separately or in the presence of other persons invited to attend, having regard to the legitimate interest of the undertakings in the protection of their business secrets and other confidential information.

The Hearing Officer may allow all parties within the meaning of Article 11, the EFTA Surveillance Authority and the competent authorities of the EFTA States to ask questions during the formal oral hearing.

The Hearing Officer may hold a preparatory meeting with the parties and the EFTA Surveillance Authority services, so as to facilitate the efficient organisation of the formal oral hearing.

The statements made by each person heard shall be recorded. Upon request, the recording of the formal oral hearing shall be made available to the persons who attended that hearing. Regard shall be had to the legitimate interest of the undertakings in the protection of their business secrets and other confidential information.

If third persons apply in writing to be heard pursuant to Article 18 (4), second sentence, of Chapter IV, the EFTA Surveillance Authority shall inform them in writing of the nature and subject matter of the procedure and shall set a time limit within which they may make known their views.

The third persons referred to in paragraph 1 shall make known their views in writing within the time limit set. The EFTA Surveillance Authority may, where appropriate, afford such third parties who have so requested in their written comments the opportunity to participate in a formal hearing. It may also in other cases afford such third parties the opportunity of expressing their views orally.

The EFTA Surveillance Authority may likewise invite any other natural or legal person to express its views, in writing as well as orally, including at a formal oral hearing.

If so requested, the EFTA Surveillance Authority shall grant access to the file to the parties to whom it has addressed a statement of objections, for the purpose of enabling them to exercise their rights of defence. Access shall be granted after the notification of the statement of objections.

The EFTA Surveillance Authority shall, upon request, also give the other involved parties who have been informed of the objections access to the file in so far as this is necessary for the purposes of preparing their comments.

The right of access to the file shall not extend to confidential information, or to internal documents of the EFTA Surveillance Authority, the Commission, the competent authorities of the EFTA States or of the EU Member States. The right of access to the file shall equally not extend to correspondence between the EFTA Surveillance Authority and the competent authorities of the EFTA States, between the EFTA Surveillance Authority and the competent authorities of the EU States, between the competent authorities of the EFTA States and/or of the EU Member States and between the EFTA Surveillance Authority and other competition authorities.

Documents obtained through access to the file pursuant to this Article may only be used for the purposes of the relevant proceeding pursuant to the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004) and Chapter IV.

Information, including documents, shall not be communicated or made accessible by the EFTA Surveillance Authority in so far as it contains business secrets or other confidential information the disclosure of which is not considered necessary by the EFTA Surveillance Authority for the purpose of the procedure.

Any person which makes known its views or comments pursuant to Articles 12, Article 13 and Article 16 of this Chapter, or supplies information pursuant to Article 11 of Chapter IV, or subsequently submits further information to the EFTA Surveillance Authority in the course of the same procedure, shall clearly identify any material which it considers to be confidential, giving reasons, and provide a separate non-confidential version by the date set by the EFTA Surveillance Authority.

Without prejudice to paragraph 2, the EFTA Surveillance Authority may require persons referred to in Article 3 of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), undertakings and associations of undertakings in all cases where they produce or have produced documents or statements pursuant to the said act or Chapter IV to identify the documents or parts of documents which they consider to contain business secrets or other confidential information belonging to them and to identify the undertakings with regard to which such documents are to be considered confidential.

The EFTA Surveillance Authority may also require persons referred to in Article 3 of the act referred to in point 1 of Annex XIV to the EEA Agreement (Regulation (EC) No 139/2004), undertakings or associations of undertakings to identify any part of a statement of objections, case summary or a decision adopted by the EFTA Surveillance Authority which in their view contains business secrets.

Where business secrets or other confidential information are identified, the persons, undertakings and associations of undertakings shall give reasons and provide a separate non-confidential version by the date set by the EFTA Surveillance Authority.

If persons, undertakings or associations of undertakings fail to comply with paragraphs 2 or 3, the EFTA Surveillance Authority may assume that the documents or statements concerned do not contain confidential information.

Commitments offered by the undertakings concerned pursuant to Article 6(2) of Chapter IV shall be submitted to the EFTA Surveillance Authority within not more than 20 working days from the date of receipt of the notification.

Commitments offered by the undertakings concerned pursuant to Article 8(2) of Chapter IV shall be submitted to the EFTA Surveillance Authority within not more than 65 working days from the date on which proceedings were initiated.

Where the undertakings concerned first offer commitments within less than 55 working days from the date on which proceedings were initiated but submit a modified version of the commitments 55 or more working days from that date, the modified commitments shall be deemed to be new commitments for the purpose of applying the second sentence of Article 10(3) of Chapter IV.

Where pursuant to Article 10(3), second subparagraph, of Chapter IV the period for the adoption of a decision pursuant to Article 8(1), (2) and (3) is extended, the period of 65 working days for the submission of commitments shall automatically be extended by the same number of working days.

In exceptional circumstances, the EFTA Surveillance Authority may accept commitments offered after the expiry of the time limit for their submission within the meaning of this paragraph provided that the procedure provided for in Article 19(5) of Chapter IV is complied with.

Articles 7, 8 and 9 shall apply mutatis mutandis.

The commitments offered by the undertakings concerned pursuant to Article 6(2) or Article 8(2) of Chapter IV shall be submitted to the EFTA Surveillance Authority at the address referred to in Article 23(1) in the format and with the number of copies specified by the EFTA Surveillance Authority on its website. The EFTA Surveillance Authority shall forward copies of such commitments without delay to the competent authorities of the EFTA States.

In addition to the requirements set out in paragraph 1, the undertakings concerned shall, at the same time as offering commitments pursuant to Article 6(2) or Article 8(2) of Chapter IV, submit one original of the information and documents prescribed by the Form RM relating to remedies (Form RM) as set out in Appendix V to this Protocol as well as the number of copies specified by the EFTA Surveillance Authority on its website. The information submitted shall be correct and complete.

When offering commitments pursuant to Articles 6(2) or Article 8 (2) of Chapter IV, the undertakings concerned shall at the same time clearly identify any information which they consider to be confidential, giving reasons, and shall provide a separate non- confidential version.

The commitments offered by the undertakings concerned pursuant to Article 6(2) or Article 8(2) of Chapter IV may include, at the own expense of the undertakings concerned, the appointment of an independent trustee (or trustees) assisting the EFTA Surveillance Authority in overseeing the parties' compliance with the commitments or having a mandate to implement the commitments. The trustee may be appointed by the parties, after the EFTA Surveillance Authority has approved its identity, or by the EFTA Surveillance Authority. The trustee shall carry out its tasks under the supervision of the EFTA Surveillance Authority.

The EFTA Surveillance Authority may attach such trustee-related provisions of the commitments as conditions and obligations pursuant to Article 6(2) or Article 8(2) of Chapter IV.

The EFTA Surveillance Authority may transmit documents and invitations to the addressees in any of the following ways:

Unless otherwise provided in this Chapter, paragraph 1 also applies to the transmission of documents from the notifying parties, from other involved parties or from third parties to the EFTA Surveillance Authority.

Where a document is sent by fax or by electronic mail, it shall be presumed that it has been received by the addressee on the day on which it was sent.

In accordance with the provisions of Article 5(1) of this Chapter, notifications shall be delivered to the EFTA Surveillance Authority.17

Additional information requested to complete notifications must reach the EFTA Surveillance Authority at the address referred to in paragraph 1.

Written comments on EFTA Surveillance Authority communications pursuant to Article 12(1) and (2), Article 13(2) and Article 16(1) of this Chapter must have reached the EFTA Surveillance Authority at the address referred to in paragraph 1 before the expiry of the time limit set in each case.

Where the EFTA Surveillance Authority specifies that documents submitted to it or any additional copies thereof are to be submitted electronically, the same format shall be used as specified from time to time by EFTA Surveillance Authority on its website. Submissions sent by electronic mail shall be sent to the electronic mail address of the EFTA Surveillance Authority’s Competition and State Aid Directorate.

Authorizations pursuant to Article 1(2) of Protocol 25 to the EEA Agreement may be granted subject to specified conditions and for limited periods. In such cases the EFTA Surveillance Authority shall renew an authorization once or several times if it finds that the requirements of subparagraphs (a) to (c) of Article 1(2) of Protocol 25 to the EEA Agreement are still met at the time of renewal.

The EFTA Surveillance Authority shall revoke or amend an authorization if it finds that as a result of a change in circumstances the agreement no longer meets these requirements, or that the actual results of the agreement or of the application thereof are contrary to the requirements for its authorization.

Decisions granting, renewing, amending, refusing or revoking an authorization shall be published together with the reasons therefor; the restrictions imposed by Article 3(2) shall not apply thereto.

The EFTA Surveillance Authority may, as provided in Article 3, obtain any information needed for the application of Article 1 of Protocol 25 to the EEA Agreement and of this Article, either by making a special request to the parties concerned or by means of decisions stating the kinds of agreement, decision or practice which must be communicated to it.

The EFTA Surveillance Authority shall have sole jurisdiction, subject to the right to bring actions before the EFTA Court in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement and, on the conditions set out in Article 55 of the EEA Agreement and Protocols 22 and 25 thereto, to rule whether any such agreement or decision is compatible with Article 1 of Protocol 25 to the EEA Agreement.

On any undertaking which has entered into an agreement which is automatically void pursuant to Article 1(3) of Protocol 25 to the EEA Agreement, or has enforced or attempted to enforce, by arbitration, penalty, boycott or any other means, an agreement or decision which is automatically void or an agreement for which authorization has been refused or revoked, or has obtained an authorization by means of information which it knew to be false or misleading, or has engaged in practices prohibited by Article 1(1) of Protocol 25 to the EEA Agreement, the EFTA Surveillance Authority may impose fines or periodic penalty payments not exceeding twice the turnover on the products which were the subject of the agreement, decision or practice prohibited by Article 1(1) of Protocol 25 to the EEA Agreement; if, however, the purpose of the agreement, decision or practice is to restrict production, technical development or investment, this maximum may be raised to 10% of the annual turnover of the undertakings in question in the case of fines, and 20% of the daily turnover in the case of periodic penalty payments.

In assessing whether the requirements of Article 2(2) of Protocol 25 to the EEA Agreement are met, the EFTA Surveillance Authority shall, in accordance with the principle of non-discrimination, take account of the size of like undertakings in the territory covered by the EEA Agreement, to the extent it considers justified in order to avoid or correct disadvantages resulting from unequal competitive conditions.

The EFTA Surveillance Authority may make its authorization subject to any conditions which it considers appropriate for the purposes of Article 2(2) of Protocol 25 to the EEA Agreement.

Before ruling on a transaction concerning undertakings at least one of which is not subject to Article 3 of Protocol 25 to the EEA Agreement, the EFTA Surveillance Authority shall obtain the comments of the Governments concerned.

Without prejudice to the application of Article 3 to undertakings within its jurisdiction, the EFTA Surveillance Authority may obtain from the natural or legal persons who have acquired or regrouped or are intending to acquire or regroup the rights or assets in question any information needed for the application of Article 2 of Protocol 25 to the EEA Agreement and of the present Article concerning transactions liable to produce the effect referred to in Article 2(1) of Protocol 25 to the EEA Agreement.

If a concentration should occur which the EFTA Surveillance Authority finds has been effected contrary to the provisions of Article 2(1) of Protocol 25 to the EEA Agreement but which nevertheless meets the requirements of Article 2(2) of Protocol 25 to the EEA Agreement, the EFTA Surveillance Authority shall make its approval of that concentration subject to payment by the persons who have acquired or regrouped the rights or assets in question of the fine provided for in paragraph 12(b); the amount of the fine shall not be less than half of the maximum determined in that subparagraph (b) should it be clear that authorization ought to have been applied for. If the fine is not paid, the EFTA Surveillance Authority shall take the steps hereinafter provided for in respect of concentrations found to be unlawful.

If a concentration should occur which the EFTA Surveillance Authority finds cannot fulfil the general or specific conditions to which an authorization under Article 2(2) of Protocol 25 to the EEA Agreement would be subject, the EFTA Surveillance Authority shall, by means of a reasoned decision, declare the concentration unlawful and, after giving the parties concerned the opportunity to submit their comments, shall order separation of the undertakings or assets improperly concentrated or cessation of joint control, and any other measures which it considers appropriate to return the undertakings or assets in question into independent operation and restore normal conditions of competition. Any person directly concerned may institute proceedings against such decisions, as provided in Articles 108(2)(b) of the EEA Agreement and 18 of the present Agreement. The EFTA Court, in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement, shall have unlimited jurisdiction to assess whether the transaction effected is a concentration within the meaning of Article 2(1) of Protocol 25 to the EEA Agreement and of the acts concerning coal and steel as contained in Annex XIV to the EEA Agreement. The institution of proceedings shall have suspensory effect. Proceedings may not be instituted until the measures provided for above have been ordered, unless the EFTA Surveillance Authority agrees to the institution of separate proceedings against the decision declaring the transaction unlawful.

The EFTA Surveillance Authority may at any time, unless Article 41 of this Agreement is applied, take or cause to be taken such interim measures of protection as it may consider necessary to safeguard the interests of competing undertakings and of third parties, and to forestall any step which might hinder the implementation of its decisions. Unless the EFTA Court decides otherwise, proceedings shall not have suspensory effect in respect of such interim measures.

The EFTA Surveillance Authority shall allow the parties concerned a reasonable period in which to comply with its decisions, on expiration of which it may impose daily penalty payments not exceeding one-tenth of 1% of the value of the rights or assets in question.

Furthermore, if the parties concerned do not fulfil their obligations, the EFTA Surveillance Authority shall itself take steps to implement its decision.

The EFTA Surveillance Authority is also empowered to make such recommendations to the EFTA States concerned as may be necessary to ensure that the measures provided for in the preceding paragraphs are implemented under their own law.

In the exercise of its powers, the EFTA Surveillance Authority shall take account of the rights of third parties which have been acquired in good faith.

The EFTA Surveillance Authority may impose fines not exceeding:

Persons fined under paragraph 12 may appeal to the EFTA Court as provided in Article 35 of this Agreement.

The EFTA Surveillance Authority may obtain the information it requires to carry out its tasks. It may have any necessary checks made.

Without prejudice to Articles 9(2) and 10(2) and (3) of Protocol 23 to the EEA Agreement, the EFTA Surveillance Authority must not disclose information acquired as a result of the application of Articles 55 and 58 of the EEA Agreement, of Protocol 25 thereto and of the provisions of this Chapter and which is of the kind covered by the obligation of professional secrecy, in particular information about undertakings, their business relations or their cost components. This obligation shall also apply to the representatives of the EC Commission and of the EC Member States who participate in the Advisory Committee pursuant to Article 14(2) of Chapter II and in the hearing pursuant to Article 14(3) of Chapter III.

Subject to this reservation, it shall publish such data as could be useful to governments or to any other parties concerned.

The EFTA Surveillance Authority may impose fines or periodic penalty payments on undertakings which evade their obligations under decisions taken pursuance of this Article or which knowingly furnish false information. The maximum amount of such fines shall be 1% of the annual turnover, and the maximum amount of such penalty payments shall be 5% of the average daily turnover for each day's delay.

Any breach of professional secrecy by the EFTA Surveillance Authority which has caused damage to an undertaking may be the subject of an action for compensation before the EFTA Court in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement, in particular Article 39.

Banks and their agents shall be exempt from the obligation to notify the transactions mentioned in Articles 2 and 3 where exercise of voting rights attaches:

Paragraph 1 shall not affect:

The EFTA Surveillance Authority may, by special request, obtain from the persons mentioned in Article 1 all information necessary for the implementation of Article 2 of Section I regarding:

The persons subject to the obligation to furnish information must likewise declare to the EFTA Surveillance Authority at the latter's request the name and address of the actual owner of the rights concerned, where they are empowered:

The power of the EFTA Surveillance Authority to impose fines for infringements of the provisions of Articles 53 and 54 of the EEA Agreement and Protocol 25 thereto or of the provisions contained in this Chapter shall be subject to a limitation period:

Time shall begin to run upon the day on which the infringement is committed. However, in the case of continuing or repeated infringements, time shall begin to run upon the day on which the infringement ceases.

Any action taken by the EFTA Surveillance Authority for the purpose of the preliminary investigation or proceedings in respect of an infringement shall interrupt the limitation period in proceedings. The limitation period shall be interrupted with effect from the date on which the action is notified to at least one party which has participated in the infringement.

Actions which interrupt the running of the period shall include in particular the following:

The interruption of the limitation period shall apply for all parties which have participated in the infringement.

Each interruption shall start time running afresh. However, the limitation period shall expire at the latest on the day on which a period equal to twice the limitation period has elapsed without the EFTA Surveillance Authority having imposed a fine or a penalty; that period shall be extended by the time during which limitation is suspended pursuant to Article 3.

The power of the EFTA Surveillance Authority to enforce decisions imposing fines or periodic payments for infringements of the provisions of the EEA Agreement or of provisions made for its implementation shall be subject to a limitation period of five years.

Time shall begin to run upon the day on which the decision becomes final.

The limitation period for the enforcement of sanctions shall be interrupted:

Each interruption shall start time running afresh.

time to pay is allowed; or

enforcement of payment is suspended pursuant to a decision of the EFTA Court.

Officials and agents of the EFTA Surveillance Authority instructed to carry out the checks on undertakings provided for in Protocol 25 and Annex XIV to the EEA Agreement and in the provisions of this Chapter, in particular Article 3(1) of Section I, are hereby empowered:

Forthcoming visits of inspection and the status of the officials shall be duly notified to the State concerned. Officials of that State may, at its request or at that of the EFTA Surveillance Authority, assist the officials of the EFTA Surveillance Authority in the performance of their tasks.

Undertakings shall assist officials and agents of the EFTA Surveillance Authority in carrying out their duties.

The power of the EFTA Surveillance Authority to impose fines or penalties for infringements of the rules of the EEA Agreement relating to transport or competition shall be subject to the following limitation periods:

Time shall begin to run upon the day on which the infringement is committed. However, in the case of continuing or repeated infringements, time shall begin to run on the day on which the infringement ceases.

Any action taken by the EFTA Surveillance Authority, by the EC Commission at the request of the EFTA Surveillance Authority pursuant to Article 8 of Protocol 23 to the EEA Agreement, or by any EFTA State, acting at the request of the EFTA Surveillance Authority, for the purpose of the preliminary investigation or proceedings in respect of an infringement shall interrupt the limitation period in proceedings. The limitation period shall be interrupted with effect from the date on which the action is notified to at least one undertaking or association of undertakings which have participated in the infringement.

Actions which interrupt the running of the period shall include in particular the following:

The interruption of the limitation period shall apply for all the undertakings or associations of undertakings which have participated in the infringement.

Each interruption shall start time running afresh. However, the limitation period shall expire at the latest on the day on which a period equal to twice the limitation period has elapsed without the EFTA Surveillance Authority having imposed a fine or a penalty; that period shall be extended by the time during which limitation is suspended pursuant to Article 3.

The power of the EFTA Surveillance Authority to enforce decisions imposing fines, penalties, or periodic payments for infringements of the rules of the EEA Agreement relating to transport or competition shall be subject to a limitation period of five years.

Time shall begin to run on the day on which the decision becomes final.

The limitation period for the enforcement of sanctions shall be interrupted:

Each interruption shall start time running afresh.

time to pay is allowed; or

enforcement of payment is suspended pursuant to a decision of the EFTA Court in accordance with Article 108(2) of the EEA Agreement and with the relevant provisions of this Agreement.

Agreements, decisions and concerted practices of the kind described in Article 53(1) of the EEA Agreement which are in existence at the date of entry into force of the EEA Agreement and in respect of which the parties seek application of Article 53(3) of the EEA Agreement shall be notified to the EFTA Surveillance Authority pursuant to the provisions in Article 56 of the EEA Agreement, the rules referred to in Articles 1 to 3 of Protocol 21 and Protocol 23 to the EEA Agreement, as well as Chapters III, VI, VII, IX, X, XI, XII and XV, within six months of the date of entry into force of the EEA Agreement.

Paragraph 1 shall not apply to agreements, decisions or concerted practices of the kind described in Article 53(1) of the EEA Agreement and falling under Article 4(2) of Chapter II; these may be notified to the EFTA Surveillance Authority pursuant to Article 56 of the EEA Agreement, the rules referred to in Articles 1 to 3 of Protocol 21 and Protocol 23 to the EEA Agreement, as well as Chapters III, VI, VII, IX, X, XI, XII and XV.

Whenever the EFTA Surveillance Authority takes a decision pursuant to Article 53(3) of the EEA Agreement, it shall specify therein the date from which the decision shall take effect. Such date shall not be earlier than the date of notification.

The second sentence of paragraph 1 shall not apply to agreements, decisions or concerted practices falling within Article 4(2) of Chapter II and Article 1(2) of this Chapter, nor to those falling within Article 1(1) which have been notified within the time limit specified in Article 1(1).

Where agreements, decisions or concerted practices of the kind described in Article 53(1) of the EEA Agreement which are in existence at the date of entry into force of the EEA Agreement and notified within the time limits specified in Article 1(1) of this Chapter do not satisfy the requirements of Article 53(3) of the EEA Agreement and the undertakings or associations of undertakings concerned cease to give effect to them or modify them in such a manner that they no longer fall under the prohibition contained in Article 53(1) or that they satisfy the requirements of Article 53(3), the prohibition contained in Article 53(1) shall apply only for a period fixed by the EFTA Surveillance Authority. A decision by the EFTA Surveillance Authority pursuant to the foregoing sentence shall not apply as against undertakings and associations of undertakings which did not expressly consent to the notification.

Paragraph 1 shall apply to agreements, decisions or concerted practices falling under Article 4(2) of Chapter II which are in existence at the date of entry into force of the EEA Agreement if they are notified within six months after that date.

Within the scope of its official activities, the EFTA Surveillance Authority shall have immunity from jurisdiction and execution, except:

The property of the EFTA Surveillance Authority, wherever located, shall be immune:

Without being restricted by financial controls, regulations or moratoria of any kind the EFTA Surveillance Authority may:

In exercising its rights under paragraph 1 of this Article the EFTA Surveillance Authority shall pay due regard to any representations made by any State Party to this Protocol and shall give effect to such representations in so far as it is considered possible to do so without detriment to the interests of the EFTA Surveillance Authority.

The EFTA Surveillance Authority, its assets, income and other property shall be exempt:

When purchases or services of substantial value and necessary for the exercise of the official activities of the EFTA Surveillance Authority are made or used by the EFTA Surveillance Authority and when the price of such purchases and services includes taxes or duties, the State Party to this Protocol that has levied the taxes or duties shall take appropriate measures to grant exemption from such taxes or duties or to provide for their reimbursement, if they are identifiable.

The EFTA Surveillance Authority shall enjoy in the territory of each State Party to this Protocol, for its official communications, treatment not less favourable than that accorded by the Government of that State to any other comparable international organization, in the matter of priorities, rates and taxes for posts and telecommunications and press rates for information to the press and radio.

No censorship shall be applied to the official correspondence and other official communications of the EFTA Surveillance Authority.

The EFTA Surveillance Authority shall have the right to use codes and to dispatch and receive correspondence by courier or in sealed bags, which shall have the same immunities and privileges as diplomatic couriers and bags.

The Members of the EFTA Surveillance Authority, the officials and other servants thereof shall enjoy the following privileges and immunities:

The EFTA Surveillance Authority shall specify the classes of officials and other servants to whom paragraph 1 applies and shall inform the EFTA States of its decision. The names of the officials and other servants included in these classes shall regularly be made known to the EFTA States.

immunity from arrest and detention, except when found committing, attempting to commit or just having committed an offence;

immunity from civil and administrative jurisdiction and execution enjoyed by diplomatic agents, except in the case of damage caused by a vehicle or other means of transport belonging to or driven by him;

full immunity from criminal jurisdiction, except in a case of a traffic offence caused by a vehicle or other means of transport belonging to or driven by him, subject to subparagraph (a);

the same customs facilities as regards his personal luggage as are accorded to diplomatic agents.

Members of advisory bodies assisting the EFTA Surveillance Authority in its work shall enjoy the following privileges and immunities while performing their duties for the EFTA Surveillance Authority or carrying out missions on its behalf:

Paragraph 1 shall also apply to experts on missions while performing their duties on behalf of the EFTA Surveillance Authority as well as to representatives of the Commission of the European Communities and the EC Member States who participate in the work of the advisory bodies referred to in paragraph 1.

The EFTA Surveillance Authority has a duty to waive its immunity in all cases where reliance upon it would impede the course of justice and it can be waived without prejudicing the interests of the Authority.

Privileges and immunities are granted to the Members, officials and other servants in the interests of the EFTA Surveillance Authority and not for the personal benefit of the individuals themselves. The EFTA Surveillance Authority shall have the right, and is under a duty, to waive the immunity of a Member, official or other servant in any case where, in its opinion, the immunity would impede the course of justice and could be waived without prejudice to the interests of the Authority.

Within the scope of its official activities, the Court shall have immunity from jurisdiction and execution, except:

The property of the Court, wherever located, shall be immune:

Without being restricted by financial controls, regulations or moratoria of any kind the Court may:

In exercising its rights under paragraph 1 of this Article the Court shall pay due regard to any representations made by any State Party to this Protocol and shall give effect to such representations in so far as it is considered possible to do so without detriment to the interests of the Court.

The Court, its assets, income and other property shall be exempt:

When purchases or services of substantial value and necessary for the exercise of the official activities of the Court are made or used by the Court and when the price of such purchases and services includes taxes or duties, the State Party to this Protocol that has levied the taxes or duties shall take appropriate measures to grant exemption from such taxes or duties or to provide for their reimbursement, if they are identifiable.

The Court shall enjoy in the territory of each State Party to this Protocol, for its official communications, treatment not less favourable than that accorded by the Government of that State to any other comparable international organization, in the matter of priorities, rates and taxes for posts and telecommunications and press rates for information to the press and radio.

No censorship shall be applied to the official correspondence and other official communications of the Court.

The Court shall have the right to use codes and to dispatch and receive correspondence by courier or in sealed bags, which shall have the same immunities and privileges as diplomatic couriers and bags.

The Judges shall be immune from legal proceedings. After they have ceased to hold office, they shall continue to enjoy immunity in respect of acts performed by them in their official capacity, including words spoken or written.

The Court, sitting in plenary session, may waive the immunity.

Where immunity has been waived and criminal proceedings are instituted against a Judge, he shall be tried, in any of the EFTA States, only by the Court competent to judge the members of the highest national judiciary.

The Judges, the Registrar, the officials and other servants of the Court shall enjoy the following privileges and immunities:

In addition to the privileges and immunities provided for above, the Registrar, the officials and other servants shall enjoy immunity from jurisdiction, even after they have left the service of the Court, in respect of acts, including words written or spoken, done by them in the exercise of their function. This immunity shall, however, not apply in the case of a traffic offence committed by the Registrar, an official or other servant, nor in the case of damage caused by a vehicle or other means of transport belonging to or driven by him.

The Court shall specify the classes of officials and other servants to whom paragraphs 1 and 2 applies and shall inform the EFTA States of its decision. The names of the officials and other servants included in these classes shall regularly be made known to the EFTA States.

immunity from civil and administrative jurisdiction and execution enjoyed by diplomatic agents, except in the case of damage caused by a vehicle or other means of transport belonging to or driven by him;

the same customs facilities as regards his personal luggage as are accorded to diplomatic agents.

The Court has a duty to waive its immunity in all cases where reliance upon it would impede the course of justice and it can be waived without prejudicing the interests of the Court.

Privileges and immunities are granted to the Registrar, the officials and other servants of the Court in the interests of the Court and not for the personal benefit of the individuals themselves. The Court shall have the right, and is under a duty, to waive the immunity of the Registrar, an official or other servant in any case where, in its opinion, the immunity would impede the course of justice and could be waived without prejudice to the interests of the Court.