欧盟卡特尔和解制度研究及启示

Research on the Settlement Procedure in EU Cartel Cases

因欧盟成功实施反垄断法宽大制度,导致卡特尔案件呈井喷式增长,为应对此情况,欧盟引入卡特尔和解制度。此制度经过两年之后功效日渐显现并取得良好实施效果。欧盟适用和解程序主要包括实施评估、和解商谈、提交和解承诺、作出反对声明和处罚决定。为促使和解制度有效实施并避免对其他制度形成负面效果,欧盟注意协调与宽大制度和继后损害赔偿关系。为节约反垄断执法资源,我国非常有必要引入和解制度。具体而言,我国的卡特尔和解制度应定位为节约程序效率的、普通程序的代替程序;同意和解的违法者可以获得10%或15%固定比例罚款折扣;此制度可以适用混合卡特尔案件并累加适用减轻宽大的待遇。此外,在程序方面,同意和解者必须提交承认违法的承诺书,同时建立对和解者提交材料给予保密的规则。

Due to the successful implementation of the leniency system of the antitrust law in EU,the cartel cases have witnessed a spurt of growth.To counter this situation,the EU introduced the settlement procedure.After two years,the system has become increasingly effective and has achieved good results.The EU cartel settlement procedure mainly includes assessing for the implementation,discussing about the settlement,introducing a settlement submission,issuing a Statement of Objections and making apenalty decision.To promote the effective implementation of the settlement procedure and to avoid negative effects on other systems,the EU paid attention to the relationship between the settlement procedure and the leniency system and the private damages.To save the resources of law enforcement,it is very necessary for our country to introduce the the settlement procedure.In particular,the settlement procedure in China should be a replacement program for ordinary programs to pursue efficienc.who agree to reconcile can obtain a 10% or 15%fixed proportion of fines.This system can be applied to the mixed cartel case.The offenders in the settlement procedure can be added to the treatment of the leniency.In addition,The offenders in the settlement procedure must settle to produce formal written settlement submissions in which the party will need to acknowledge its liability for the alleged facts and in the antitrust law.The rules for the confidentiality of the submission of the settlement material should be established.