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Comparison of the EU and Chinese System of Procedural Rights

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Procedural Rights in Competition Law in the EU and China

Part of the book series: China-EU Law Series ((CELS,volume 3))

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Abstract

Based on the preceding research reports and some additional sources, this concluding chapter will horizontally compare the EU and Chinese rules on procedural rights in competition law. In line with the sequence of the previous chapters, we will deal, principally, with merger proceedings and, subsequently, with infringement procedures.

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Notes

  1. 1.

    http://ec.europa.eu/competition/international/bilateral/practical_guidance_mofcom_en.pdf.

  2. 2.

    Art. 21 AML Provisions of the State Council on Thresholds for Prior Notification of Concentrations of Undertakings, [2008] State Council Decree No. 529, 3 August 2008. http://fldj.mofcom.gov.cn/article/c/200903/20090306071501.shtml.

  3. 3.

    MOFCOM, Mission Statement, http://english.mofcom.gov.cn/column/mission2010.shtml; see also Hao (2013c), p. 24.

  4. 4.

    See statistics released by DG Comp at http://ec.europa.eu/competition/index_en.html.

  5. 5.

    See speech made on 11 September 2014, by Shang Ming, Director General of the Anti-Monopoly Bureau of MOFCOM, available at http://www.scio.gov.cn/ztk/xwfb/2014/31540/31545/Document/1380830/1380830.htm.

  6. 6.

    See statistics released by MOFCOM, available at http://www.mofcom.gov.cn/article/ae/ai/201501/20150100882509.shtml.

  7. 7.

    However, in practice, the time which parties take to respond to questions raised by MOFCOM is excluded from the phases specified by the AML.

  8. 8.

    Council Regulation (EC) 139/2004 of 20 January 2004 on the control of concentrations between undertakings (the EC Merger Regulation). O.J. L 24, 29 January 2004, pp. 1–22.

  9. 9.

    Commission Regulation (EC) 802/2004 of 21 April 2004 implementing Council Regulation (EC)139/2004 on the control of concentrations between undertakings (the “Implementing Regulation”) and its annexes (Form CO, Short Form CO, Form RS and Form RM) (O.J. L 133, 30 April 2004, pp. 1–39), as amended by Commission Regulation (EC) 1033/2008 (O.J. L 279, 22 October 2008, pp. 3–12) and by Commission Implementing Regulation (EU) 1269/2013 of 5 December 2013 (O.J. L 336, 14 December 2013, pp. 1–36).

  10. 10.

    Best Practices on the conduct of EC merger control proceedings; see Compilation of EU law applicable to merger control, http://ec.europa.eu/competition/mergers/legislation/merger_compilation.pdf.

  11. 11.

    Commission Notice on the rules for access to the Commission file in cases pursuant to Arts. 81 and 82 of the EC Treaty, Arts. 53, 54 and 57 of the EEA Agreement and Council Regulation (EC) No. 139/2004, O.J. C 325, 22 December 2005, pp. 7–15.

  12. 12.

    Regulation 1049/2001 of the European Parliament and of the Council of 30 May 2001, regarding public access to European Parliament, Council and Commission documents, O.J. L 145, 31 May 2001, pp. 43–48.

  13. 13.

    On this topic, see Grear (2007), p. 511; Emberland (2006).

  14. 14.

    See van den Muijsenbergh and Rezai (2012), pp. 43–68.

  15. 15.

    Ibid., p. 49; Emberland (2006), p. 35.

  16. 16.

    Arts. 21, 23, 24, 25, 26 and 30 AML.

  17. 17.

    As of December 2014, MOFCOM has adopted 11 departmental regulations or rules, including one that has been repealed.

  18. 18.

    Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6, available at http://www.gov.cn/gongbao/content/2012/content_2231694.htm.

  19. 19.

    See http://fldj.mofcom.gov.cn/article/xgxz/200902/20090206034057.shtml.

  20. 20.

    Recital 38 Merger Regulation.

  21. 21.

    Art. 13(3) Merger Regulation.

  22. 22.

    Art. 13(3) Merger Regulation.

  23. 23.

    Art. 13(4) Merger Regulation.

  24. 24.

    Art. 13(7) Merger Regulation.

  25. 25.

    Art. 13(8) Merger Regulation.

  26. 26.

    Art. 34 Administrative Licensing Law.

  27. 27.

    Art. 31 Administrative Licensing Law.

  28. 28.

    Art. 69 Administrative Licensing Law.

  29. 29.

    Art. 23 AML.

  30. 30.

    Art. 39 AML.

  31. 31.

    Art. 9 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, Dec. 30, 2011.

  32. 32.

    EC, Directorate-General for Competition, 20 January 2004, Best Practices on the conduct of EC merger control proceedings, para 8.

  33. 33.

    Art. 339: “The members of the institutions of the Union, the members of committees, and the officials and other servants of the Union shall be required, even after their duties have ceased, not to disclose information of the kind covered by the obligation of professional secrecy, in particular information about undertakings, their business relations or their cost components.”

  34. 34.

    See Notice on Access to file, para 21.

  35. 35.

    See ibid.

  36. 36.

    Art. 15 Implementing Regulation.

  37. 37.

    Art. 10 Implementing Regulation.

  38. 38.

    See Recital 42 and Art. 20 Merger Regulation.

  39. 39.

    Regulation on Mergers with and Acquisition of Domestic Enterprises by Foreign Investors [2006] Ministry of Commerce, State-Owned Assets Supervision and Administration Commission, State Administration of Taxation, State Administration for Industry and Commerce, China Securities Regulatory Commission, State Administration of Foreign Exchange, Order No. 10, 8 August 2006, Chapter V, Arts. 51–54.

  40. 40.

    Para 6 Guidelines on Anti-Monopoly Notifications for Mergers with and Acquisition of Domestic Enterprises by Foreign Investors, adopted on 8 March 2007.

  41. 41.

    Arts. 41 and 54.

  42. 42.

    See, e.g., Arts. 12, 17, Measures on the Notification of Concentrations between Business Operators, [2009] MOFCOM Order No. 11, 24 November 2009.

  43. 43.

    Art. 16 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  44. 44.

    Art. 6 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  45. 45.

    Art. 7 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  46. 46.

    Art. 13 Regulation on Disclosure of Government Information, [2007] State Council Order No. 492, 5 April 2007.

  47. 47.

    Art. 14 Regulation on Disclosure of Government Information, [2007] State Council Order No. 492, 5 April 2007.

  48. 48.

    Art. 18 Merger Regulation.

  49. 49.

    Art. 13 Implementing Regulation.

  50. 50.

    Art. 14 Implementing Regulation.

  51. 51.

    Art. 16 Implementing Regulation.

  52. 52.

    Art. 15 Implementing Regulation.

  53. 53.

    Art. 7 Administrative Licensing Law.

  54. 54.

    Art. 38 Administrative Licensing Law.

  55. 55.

    Art. 36 Administrative Licensing Law.

  56. 56.

    Art. 47 Administrative Licensing Law.

  57. 57.

    Art. 36 Administrative Licensing Law.

  58. 58.

    Art. 46 Administrative Licensing Law.

  59. 59.

    Art. 48 Administrative Licensing Law.

  60. 60.

    Art. 5 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  61. 61.

    Art. 10 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  62. 62.

    Art. 10 Guiding Opinion on the Notification of Simple Cases concerning Concentration between Undertakings, available at http://fldj.mofcom.gov.cn/article/i/201404/20140400555353.shtml.

  63. 63.

    Art. 7 Guiding Opinion on the Notification of Simple Cases concerning Concentration between Undertakings, available at http://fldj.mofcom.gov.cn/article/i/201404/20140400555353.shtml.

  64. 64.

    Arts. 12 and 13 Implementing Regulation.

  65. 65.

    Arts. 17 and 18 Implementing Regulation.

  66. 66.

    Arts. 5, 29 and 30 Administrative Licensing Law.

  67. 67.

    Art. 30 Administrative Licensing Law.

  68. 68.

    Art. 32 Administrative Licensing Law.

  69. 69.

    Art. 38 Administrative Licensing Law.

  70. 70.

    Art. 40 Administrative Licensing Law.

  71. 71.

    Art. 38(2) Administrative Licensing Law.

  72. 72.

    Art. 25 AML.

  73. 73.

    Art. 26 AML.

  74. 74.

    Art. 26 AML.

  75. 75.

    Art. 14 Measures on the Notification of Concentrations between Business Operators, [2009] MOFCOM Order No. 11, 24 November 2009.

  76. 76.

    Art. 10 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  77. 77.

    Art. 5 Provisional Regulations on the Imposition of Restrictive Conditions on Concentrations between Undertakings, [2014] MOFCOM Order No. 6, 4 December 2014.

  78. 78.

    Art. 7 Provisional Regulations on the Imposition of Restrictive Conditions on Concentrations between Undertakings, [2014] MOFCOM Order No. 6, 4 December 2014.

  79. 79.

    Art. 2 Supreme People’s Court’s Interpretation on Several Issues in the Handling of Administrative Cases concerning Open Government Information, [2011] Fa Shi No. 17, 27 July 2011.

  80. 80.

    Art. 10 Merger Regulation.

  81. 81.

    Ibid.

  82. 82.

    Art. 10(6) Merger Regulation.

  83. 83.

    Art. 9 Implementing Regulation.

  84. 84.

    Art. 1 Administrative Licensing Law.

  85. 85.

    Art. 6.

  86. 86.

    Art. 25.

  87. 87.

    Art. 26.

  88. 88.

    Art. 13 Measures on the Notification of Concentrations between Business Operators, [2009] MOFCOM Order No. 11, 24 November 2009.

  89. 89.

    Provision Regulations on Standards Applicable to Simple Cases concerning Concentrations between Undertakings, announced by MOFCOM on 11 February 2014.

  90. 90.

    Art. 2 Guiding Opinion on the Notification of Simple Cases concerning Concentration between Undertakings, available at http://fldj.mofcom.gov.cn/article/i/201404/20140400555353.shtml.

  91. 91.

    Arts. 8 and 9 Guiding Opinion on the Notification of Simple Cases concerning Concentration between Undertakings, available at http://fldj.mofcom.gov.cn/article/i/201404/20140400555353.shtml.

  92. 92.

    Art. 20 Merger Regulation.

  93. 93.

    Art 30 AML.

  94. 94.

    For example, see the announcement of Huiyuan/Coco Cola decision at http://www.gov.cn/zwgk/2009-03/18/content_1262233.htm.

  95. 95.

    Art. 40 AML.

  96. 96.

    See Art. 296(2) TFEU: “Legal acts shall state the reasons on which they are based and shall refer to any proposals, initiatives, recommendations, requests or opinions required by the Treaties.”

  97. 97.

    See Art. 296 TFEU.

  98. 98.

    See Case T-150/89, GB Martinelly v Commission, [1995] ECR II-1165, para 65.

  99. 99.

    See Joined Cases 8 to 11–66, Société anonyme Cimenteries C.B.R. v Commission, [1967] ECR 93; Case T-62/98, Volkswagen AG v Commission, [2000] ECR II-2707, para 299.

  100. 100.

    Art. 38 Administrative Licensing Law.

  101. 101.

    Art. 26 AML.

  102. 102.

    Art. 70 Administrative Litigation Law.

  103. 103.

    See Case T-65/98, Van den Bergh Foods v Commission, [2003] ECR II-4653, para 192.

  104. 104.

    See Case 148-73, Louwage v Commission, [1974] ECR, 00081, para 12; Case C-189/02 P, Dansk Rørindustri and Others v Commission, [2005] ECR I-05425, paras 453 and ff.

  105. 105.

    Art. 70 Administrative Litigation Law.

  106. 106.

    Art. 6(1)–(2) Merger Regulation; Notice on Remedies.

  107. 107.

    Notice on Remedies, para 6.

  108. 108.

    Art. 10 Merger Regulation; Art. 19 Implementing Regulation.

  109. 109.

    Art. 29 AML.

  110. 110.

    Art. 11 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  111. 111.

    Art. 13 Measures on the Review of Concentrations between Business Operators, [2009] MOFCOM Order No. 12, 24 November 2009.

  112. 112.

    Art. 6(3) Provisional Regulations on the Imposition of Restrictive Conditions on Concentrations between Undertakings, [2014] MOFCOM Order No. 6, 4 December 2014.

  113. 113.

    Art. 5 Provisional Regulations on the Imposition of Restrictive Conditions on Concentrations between Undertakings, [2014] MOFCOM Order No. 6, 4 December 2014.

  114. 114.

    Art. 6(1) Provisional Regulations on the Imposition of Restrictive Conditions on Concentrations between Undertakings, [2014] MOFCOM Order No. 6, 4 December 2014.

  115. 115.

    Art. 21(2) Merger Regulation.

  116. 116.

    Art. 10(5) Merger Regulation.

  117. 117.

    Art. 53(1) AML.

  118. 118.

    Arts. 2 and 6 Administrative Reconsideration Law; Arts. 2 and 12 Administrative Litigation Law.

  119. 119.

    Art. 14 Administrative Reconsideration Law of the People’s Republic of China, [1999] Presidential Order No. 16, 1 October 1999.

  120. 120.

    Art. 2 Implementation Measures for Administrative Reconsideration, [2004] MOFCOM Order No. 7, 1 June 2004.

  121. 121.

    Art. 14 Administrative Reconsideration Law of the People’s Republic of China, [1999] Presidential Order No. 16, 1 October 1999.

  122. 122.

    Art. 13 Supreme People’s Court’s Interpretation on Several Issues in the implementation of the Administrative Litigation Law of the People’s Republic of China, [2008] Fa Shi No. 8, 8 March 2000.

  123. 123.

    Art. 40, Administrative Licensing Law.

  124. 124.

    Art. 53(2) AML.

  125. 125.

    State Compensation Law, [1994] Presidential Order No. 23, 1 January 1995, as amended in 2010 and 2012.

  126. 126.

    Art. 9 State Compensation Law, [1994] Presidential Order No. 23, 1 January 1995, as amended in 2010 and 2012.

  127. 127.

    In the case of non-contractual liability, the Union shall, in accordance with the general principles common to the laws of the Member States, make good any damage caused by its institutions or by its servants in the performance of their duties.

  128. 128.

    Every person has the right to have the Union make good any damage caused by its institutions or by its servants in the performance of their duties, in accordance with the general principles common to the laws of the Member States.

  129. 129.

    See Arts (2010), pp. 27–30.

  130. 130.

    Art. 7(1) Merger Regulation.

  131. 131.

    Art. 6(3) Merger Regulation.

  132. 132.

    Art. 8(4) Merger Regulation.

  133. 133.

    Art. 6(3) Merger Regulation.

  134. 134.

    Art. 8(5) Merger Regulation.

  135. 135.

    Art. 14(2) Merger Regulation.

  136. 136.

    Art. 4 Provisions of the State Council on Thresholds for Prior Notification of Concentrations of Undertakings, [2008] State Council Order No. 529, 3 August 2008.

  137. 137.

    Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  138. 138.

    See news analysis at http://companies.caixin.com/2014-12-11/100761838.html.

  139. 139.

    http://biz.xinmin.cn/2014/04/09/23996445.html.

  140. 140.

    Art. 3 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  141. 141.

    Art. 5 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  142. 142.

    Arts. 6–7 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  143. 143.

    Arts. 7–8 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  144. 144.

    Art. 13 and Art. 48 AML.

  145. 145.

    Art. 11(1)–(3) Merger Regulation.

  146. 146.

    Art. 13(1) and (2) Merger Regulation.

  147. 147.

    Art. 13(3) Merger Regulation.

  148. 148.

    Art. 13(4) Merger Regulation.

  149. 149.

    Art. 12 Merger Regulation.

  150. 150.

    Art. 12(3) Merger Regulation.

  151. 151.

    Supra Chirita, Sect. 2.3.

  152. 152.

    Art. 9 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  153. 153.

    Art. 14 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  154. 154.

    Art. 16 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  155. 155.

    Art. 16 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  156. 156.

    Art. 18 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  157. 157.

    Art. 19 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  158. 158.

    Art. 25 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  159. 159.

    Art. 22 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  160. 160.

    Art. 2 Code of good administrative behaviour http://ec.europa.eu/transparency/code/_docs/code_en.pdf.

  161. 161.

    http://ec.europa.eu/civil_service/admin/ethic/index_en.htm.

  162. 162.

    Arts. 4(3) and 20(2) Merger Regulation.

  163. 163.

    Art. 19 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  164. 164.

    Arts. 16 and 53 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  165. 165.

    Arts. 13 Implementing Regulation.

  166. 166.

    Arts. 17 and 18 Implementing Regulation.

  167. 167.

    Art. 5 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  168. 168.

    Art. 7 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  169. 169.

    Art. 14 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  170. 170.

    Art. 40 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  171. 171.

    Art. 15 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  172. 172.

    Art. 18 Merger Regulation; Art. 13 of Implementing Regulation.

  173. 173.

    Art. 13 Implementing Regulation.

  174. 174.

    Arts. 6 and 32 Administrative Penalty Law.

  175. 175.

    Art. 11 Provisional Measures on the Investigation and Handling of Concentrations between Business Operators Not Notified in Accordance with the Law, [2011] MOFCOM Order No. 6, 30 December 2011.

  176. 176.

    Art. 35 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  177. 177.

    Art. 41 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  178. 178.

    Arts. 42 and 44 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  179. 179.

    Art. 45 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  180. 180.

    Art. 21(2) Merger Regulation.

  181. 181.

    Art. 16 Merger Regulation.

  182. 182.

    Art. 17 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  183. 183.

    Art. 18 Commerce Administrative Penalty Procedure Regulation, MOFCOM [2012] Order No. 6.

  184. 184.

    See Council Regulation (EC) No. 1/2003 of 16 December 2002 on the implementation of the rules on competition laid down in Arts. 81 and 82 of the Treaty [2003] O.J. L 1/1 (hereafter “Regulation 1/2003”), in particular the Preamble at Recital 37.

  185. 185.

    See Commission Implementing Regulation (EC) 773/2004 of 7 April 2004 relating to the conduct of proceedings by the Commission pursuant to Arts. 81 and 82 of the EC Treaty (O.J. L 123, 27 April 2004, p. 18).

  186. 186.

    We use CJEU and GC to refer also to cases dealt by the former ECJ and CFI. We use EU Courts to refer to both CJEU/ECJ and GC/CFI rulings.

  187. 187.

    Supra Muheme et al., Sect. 1.

  188. 188.

    See further supra Dong, Sect. 1.

  189. 189.

    See Case C-199/92 P, Huls v Commission, [1999] ECR I-4287, para 150; Case T-62/98, Volkswagen v Commission, [2000] ECR II-2707, para 281; supra Muheme et al., Sect. 7.1.

  190. 190.

    See Case T-474/04, Pergan Hilfsstoffe für industrielle Prozesse v Commission, [2007] ECR II-04225, para 76; supra Muheme et al., Sect. 7.1.

  191. 191.

    See Case T-62/98, Volkswagen v Commission, [2000] ECR II-2707, para 281; Joined Cases T-67/00, T-68/00, T-71/00 and T-78/00, JFE Engineering Corp. v Commission, [2004] ECR II-2501, para 177; Joined Cases 40/73 to 48/73, 50/73, 54/73 to 56/73, 111/73, 113/73 and 114/73 Suiker Unie and Others v Commission, [1975] ECR 1663, paras 203, 304, 359 and 363 and Case 27/76, United Brands v Commission, [1978] ECR 207, para 265, Opinion of Judge Vesterdorf, acting as Advocate General, in Case T-1/89, Rhône-Poulenc v Commission, [1991] ECR II-867, II-954; supra Muheme et al., Sect. 7.1.

  192. 192.

    As mentioned in Muheme et al., para 7.2, this question is still to be clarified in EU case law since the rules governing the standard of proof are not legally codified.

  193. 193.

    See Petit and Rato (2008); supra Muheme et al., Sect. 7.1.

  194. 194.

    See Muheme et al., Sect. 8.1 and infra.

  195. 195.

    Art. 12 Criminal Procedural Law of China.

  196. 196.

    See Hao (2013a, b).

  197. 197.

    Art. 18 Regulation 1/2003.

  198. 198.

    Art. 19 Regulation 1/2003.

  199. 199.

    Art. 20 Regulation 1/2003.

  200. 200.

    See Art. 21(1) Regulation 1/2003.

  201. 201.

    See Art. 21(3) Regulation 1/2003. This requirement was included in order to bring the investigation into accordance with the principle of inviolability of the home: see Joined Cases 46/87 and 227/88, Hoechst AG v Commission, [1989] ECR 2859; supra Muheme et al., Sect. 6.2.

  202. 202.

    Cf. supra Dong, Sect. 3.1.

  203. 203.

    Arts. 18(1) and 20 Regulation 1/2003.

  204. 204.

    Arts. 18(2) and 20(3) Regulation 1/2003.

  205. 205.

    Art. 18(3) Regulation 1/2003.

  206. 206.

    Art. 20(4) Regulation 1/2003.

  207. 207.

    Case 374/87, Orkem v Commission, [1989] ECR 3283, para 34–35; supra Muheme et al., Sect. 8.2.

  208. 208.

    See Chalmers et al. (2010), pp. 925–926; supra Muheme et al., Sect. 8.2.

  209. 209.

    Manual of Procedure, para 77.

  210. 210.

    Art. 52 AML; see also Art. 14 Procedural Requirements for Industry and Commerce Administrations on Investigation and Handling of Cases involving Monopoly Agreements and Abuses of Dominant Market Positions. The concealment of information may also constitute a crime giving rise to criminal prosecution.

  211. 211.

    Art. 50 Criminal Procedural Law (as revised 14 March 2012, effective 1 January 2013) provides that “… Nobody shall be forced to give evidence which may incriminate himself….”. For example, Art. 223 Criminal Law on bid rigging may apply to monopolistic activities.

  212. 212.

    Case Niemetz v Germany (Application No. 13710/88) 16 December 1992, 1992 ECHR A-251-B; supra Muheme et al., Sect. 6.2.

  213. 213.

    See Case C-94/00, Roquette Frères, [2002] ECR I-9011; supra Muheme et al., Sect. 6.2.

  214. 214.

    Ibid, No. 26-29; supra Muheme et al., Sect. 6.2.

  215. 215.

    Art. 20(7) and (8) and Art. 21 Regulation 1/2003.

  216. 216.

    Art. 21 Regulation 1/2003.

  217. 217.

    Supra Muheme et al., Sect. 6.3.

  218. 218.

    See Case C-155/79, AM & S v Commission, [1982] ECR 1575, para 21. See also Order of the General Court, T-30/89, Hilti Aktiengesselschaft v Commission, [1990] ECR II-163; Joined Cases T-125/03 and 253/03, Akzo Nobel Chemicals Ltd et Ackros Chemicals Ltd v Commission, [2007] ECR II-3523, para 117. The Court of Justice has confirmed the GC ruling. See Case C-550/07 P, Akzo Nobel Chemicals Ltd and Akcros Chemicals Ltd v Commission, [2010] ECR I-8301; supra Muheme et al., Sect. 2.3.

  219. 219.

    Joined Cases T-125/03 and 253/03, Akzo Nobel Chemicals Ltd and Akcros Chemicals Ltd v Commission, 2007, ECR II-3532, para 124; supra Muheme et al., Sect. 2.3.

  220. 220.

    See Joined Cases T-125/03 and 253/03, Akzo Nobel Chemicals Ltd and Akcros Chemicals Ltd v Commission, [2007] ECR II-3532, para 124; supra Muheme et al., Sect. 2.3.

  221. 221.

    See ibid., para 44; supra Muheme et al., Sect. 2.3.

  222. 222.

    See Joined Cases T-125/03 and 253/03, Akzo Nobel Chemicals Ltd and Ackros Chemicals Ltd v Commission, [2007] ECR II-3523, para 134; supra Muheme et al., Sect. 2.3.

  223. 223.

    Art. 20 Regulation 1/2003.

  224. 224.

    Art. 18 Law on Administrative Coercion.

  225. 225.

    Supra Dong, Sect. 3.2.

  226. 226.

    Explanatory note to an authorisation to conduct an inspection in execution of a Commission decision under Art. 20(4) of Council Regulation No. 1/2003, http://ec.europa.eu/competition/antitrust/legislation/explanatory_note.pdf, para 1.

  227. 227.

    Supra Dong, Sect. 3.2.

  228. 228.

    Art. 4 Regulation 773/2004.

  229. 229.

    See Art. 7 Procedural Requirements on Anti-Monopoly Pricing Administrative Enforcement; Art. 24 Administrative Penalty Procedural Requirements for Industry and Commerce Administrations; supra Dong, Sect. 3.2.

  230. 230.

    Art. 3 Regulation 773/2004.

  231. 231.

    Explanatory note to an authorisation to conduct an inspection in execution of a Commission decision under Art. 20(4) of Council Regulation 1/2003, http://ec.europa.eu/competition/antitrust/legislation/explanatory_note.pdf, para 17.

  232. 232.

    Art. 20 Administrative Penalty Procedural Requirements for Industry and Commerce Administrations.

  233. 233.

    Art. 28(1) Regulation 1/2003. But see Art. 12(2) and (3) Regulation 1/2003: information exchanged within the ECN shall only be used in evidence for the purpose of applying Art. 101 or Art. 102 TFEU 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 Community 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. Specific limitations exist where sanctions can be imposed on natural persons under national law.

  234. 234.

    Joined cases T-305/94, T-306/94, T-307/94, T-313/94 to T-316/94, T-318/94, T-325/94, T-328/94, T-329/94 and T-335/94, Limburgse Vinyl Maatschappij NV and others v Commission, [1999] ECR II-931, para 472–477 (under Regulation No. 17).

  235. 235.

    Supra Dong, Sect. 4.1.

  236. 236.

    See Case C-136/79, National Panasonic v Commission, [1980] ECR 2033, para 19.

  237. 237.

    Supra Muheme et al., Sect. 2.2.

  238. 238.

    See Case C-36/92, SEP v Commission, [1994] ECR I-1911, para 36.

  239. 239.

    See Notice on Access to file, para 18, further mentions supply sources, quantities produced and sold, market shares, customer and distributor lists, marketing plans, cost and price structure and sales strategy. See also Case T-353/94, Postbank NV v Commission, [1996] ECR II-921, para 87.

  240. 240.

    See Notice on Access to file, para 23.

  241. 241.

    See Case T-198/03, Bank Austria Creditanstalt v Commission, [2006] ECR II-1429, para 71.

  242. 242.

    See Ortiz Blanco (2013), p. 31.

  243. 243.

    See Case T-198/03, Bank Austria Creditanstalt v Commission, [2006] ECR II-1429, para 71; Case T-474/04, Pergan Hilfstoffe fur industrielle Prozesse v Commission, [2007] ECR II-4225, para 65.

  244. 244.

    In addition to the business-secret-protection obligations mentioned in Art. 41 AML, there are also similar rules or considerations for protecting the confidentiality of undertakings’ business secrets in the course of review, conclusion, as well as administrative reconsideration or legal proceedings.

  245. 245.

    See Art. 47(2) ECHR.

  246. 246.

    See Case T-161/05, Hoechst GmbH v Commission [2009] ECR II-3555, para 160.

  247. 247.

    See Art. 41 ECHR.

  248. 248.

    See Art. 27(1) Regulation 1/2003 and Art. 15 and 16 of Commission Regulation 773/2004 relating to the conduct of proceedings by the Commission pursuant to Arts. 81 and 82 of the EC Treaty.

  249. 249.

    See C-62/86, AKZO Chemie BV v Commission, [1991] ECR I-3359; Joined Cases T-25, 26, 30–32, 34–39, 42–46, 48, 50–56, 68–71, 87, 88, 103 & 104/95, Cimenteries CBR and Others, [2000] ECR II-491.

  250. 250.

    See Notice on Access to file; see also Commission Notice on best practices for the conduct of proceedings concerning Arts. 101 and 102 TFEU, O.J. C 308/6-32 (hereafter “Best Practices Guidelines”), paras 92 and ff.

  251. 251.

    See Case C-51/92 P, Hercules Chemicals NV v Commission, [1999] ECR I-4235, para 75; Joined Cases T-191/98, T-212/98 to 214/98, Atlantic Container Line and Others v Commission, [2003] ECR II-3275, para 334; Case T-161/05, Hoechst GmbH v Commission, [2009] ECR II-3555, para 160.

  252. 252.

    See Commission Regulation 773/2004 relating to the conduct of proceedings by the Commission pursuant to Arts. 81 and 82 of the EC Treaty.

  253. 253.

    Art. 27(2) Regulation 1/2003. See also Notice on Access to file, para 17–25.

  254. 254.

    Art. 339 TFEU and Art. 28 Regulation 1/2003.

  255. 255.

    See Notice on Access to file, para 21.

  256. 256.

    See Notice on Access to file, para 17.

  257. 257.

    See Manual of procedure, Module 12, para 34.

  258. 258.

    See Van Bael (1993), p. 742.

  259. 259.

    Wang (2011), p. 345.

  260. 260.

    See Best Practices Guidelines, para 81, 99–103, 106–108.

  261. 261.

    See Best Practices Guidelines, para 78.

  262. 262.

    See Art. 27(1) Regulation 1/2003.

  263. 263.

    See Best Practices Guidelines, para 99–103 and para 106 et seq.

  264. 264.

    See Art. 41 ECHR.

  265. 265.

    Supra Muheme et al., Sect. 4.2.

  266. 266.

    See Case 17–74, Transocean Marine Paint Association v Commission of the European Communities, [1974] II-1063, paras 15 and 21.

  267. 267.

    Supra Dong, Sect. 4.2.

  268. 268.

    Supra Dong, Sect. 4.2.

  269. 269.

    See Case C-432/05, Unibet, [2007] ECR I-2271, para 37; Joined Cases C-402/05 P and C-415/05, Kadi and Al Barakaat international Foundation v Council and Commission, [2008] ECR I-06351, para 355; Case C-47/07 P, Masdar (UK) v Commission, [2008] ECR I-09761, para 50; supra Muheme et al., Sect. 51.

  270. 270.

    See Case C-185/95 P, Baustahlgewebe GmbH v Commission, [1998] ECR I-8417, para 29; see further Muheme et al., 5.1.

  271. 271.

    The right to obtain a decision within a reasonable time has also been invoked when the Commission makes a decision public prior to notifying it to its recipients; see further Muheme et al., Sect. 5.1.

  272. 272.

    See Joined Cases T-5/00 and T-6/00, Nederlandse Federatieve Vereniging voor de Groothandel op Elektrotechnisch Gebied and Technische Unie BV v Commission, [2003] ECR II-05761, paras 77–80; supra Muheme et al., Sect. 5.2.

  273. 273.

    See Case C-105/04 P, Nederlandse Federatieve Vereniging voor de Groothandel op Elektrotechnisch Gebied and Technische Unie BV v Commission, [2006] ECR I-8725, paras 49–51; supra Muheme et al., Sect. 5.2.

  274. 274.

    See Joined Cases T-305–307/94, T-313–316/94, T-318/94, T-325/94, T-328/94, T-329/94 and T-335/94, Limburgse Vinyl Maatschappij NV and others v Commission, [1999] ECR II-931; supra Muheme et al., Sect. 5.3.

  275. 275.

    See Case T-62/98, Volkswagen v Commission, [2000] ECR II-2707, para 270. See further Muheme et al., Sect. 5.3.

  276. 276.

    See supra Dong, Sect. 7.

  277. 277.

    See Art. 30 Regulation 1/2003.

  278. 278.

    See “SAIC Initiated Investigation into 16 Cases Involving Monopolizations”, Legal Daily, 13 August 2012, available at http://www.legaldaily.com.cn/index/content/2012-08/13/content_3767568.htm?node=20908.

  279. 279.

    Art. 36 Administrative Penalty Procedural Requirements for Industry and Commerce Administrations.

  280. 280.

    Supra Dong, para 5.3.

  281. 281.

    See Case C-350/88, Delacre and Others v Commission, [1990] ECR I-395, para 15; Case T-504/93, Tiercé Ladbroke v Commission, [1997] ECR II-923, para 149.

  282. 282.

    See supra Muheme et al., Sect. 10.1.

  283. 283.

    See Case T-150/89, GB Martinelly v Commission, [1995] ECR II-1165, para 65; Case C-367/95 P, Commission v Sytraval and Brink’s France, [1998] ECR I-1179, para 63; supra Muheme et al., Sect. 10.1.

  284. 284.

    See Case T-150/89, GB Martinelly v Commission, [1995] ECR II-1165, para 65; supra Muheme et al., Sect. 10.2.

  285. 285.

    See Joined Cases 8 to 11–66, Société anonyme Cimenteries C.B.R. v Commission, [1967] ECR 93; Case T-62/98, Volkswagen AG v Commission, [2000] ECR II-2707, para 299; supra Muheme et al., Sect. 10.2.

  286. 286.

    See further supra Muheme et al., Sect. 10.2.

  287. 287.

    See Case 73-74, Groupement des fabricants de papiers peints de Belgique and Others v Commission, [1975], ECR, 1491, paras 30 and ff; supra Muheme et al., Sect. 10.5.

  288. 288.

    Art. 31 Administrative Penalty Law of China.

  289. 289.

    Art. 32 Administrative Penalty Law of China.

  290. 290.

    Art. 41 Administrative Penalty Law of China.

  291. 291.

    Art. 39 Administrative Penalty Law of China.

  292. 292.

    Art. 18(5) the Law on Administrative Coercive Measures of China.

  293. 293.

    Arts. 24(2) and 31(2) Law on Administrative Coercive Measures of China.

  294. 294.

    Art. 29 Procedural Rules on Price-Related Administrative Penalties, [2013] NDRC Order No. 22, 6 March 2013.

  295. 295.

    Art. 13 Procedural Regulation of the Administration for Industry and Commerce on Investigation and Prosecution of Cases Involving Monopoly Agreements and Abuse of Market Dominance, [2009] SAIC Order No. 42, 26 May 2009.

  296. 296.

    Supra Dong, Sect. 5.3.

  297. 297.

    See Case T-115/94, Opel Austria GmbH v Council, [1997] ECR II-39, para 93; supra Muheme et al., Sect. 11.1.

  298. 298.

    See Case T-190/95 and T-45/96, Sodima v Commission, [1999] ECR II-3617, para 25; Case T-195/95 P, Guérin Automobiles v Commission, [1996] ECR II-679, para 20; Joined cases T-213/95 and T-18/96, SCK FNK v Commission, [1997] ECR II-1739, para 83; supra Muheme et al., Sect. 11.1.

  299. 299.

    See Joined Cases C-181/86 to 184/86, Del Plato and Others v Commission, [1987] ECR 4991, para 10; Joined Cases C-189/02 P, 202/02 P, 205/02 P–208/02 P and C-213/02 P, Dansk Rorindustri A/S v Commission, [2005] ECR I-5425, paras 209–211; Case C-397/03 P, Archer Daniels Midland and Archer Daniels Midlands Ingredients v Commission, [2006] ECR I-4429, para 91; supra Muheme et al., Sect. 11.2.

  300. 300.

    See Case T-65/98, Van den Bergh Foods v Commission, [2003] ECR II-4653, para 192; supra Muheme et al., Sect. 11.1.

  301. 301.

    See Case 148-73, Louwage v Commission, [1974] ECR 00081, para 12; Case C-189/02 P, Dansk Rørindustri and Others v Commission, [2005] ECR I-05425, paras 453 and ff.; supra Muheme et al., Sect. 11.3.

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  1. Maastricht University, Maastricht, The Netherlands

    Caroline Cauffman

  2. China University of Political Science and Law, Beijing, China

    Qian Hao

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  2. China University of Political Science an, School of Rule of Law and Government, BEIJING, China

    Qian Hao

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Cauffman, C., Hao, Q. (2016). Comparison of the EU and Chinese System of Procedural Rights. In: Cauffman, C., Hao, Q. (eds) Procedural Rights in Competition Law in the EU and China. China-EU Law Series, vol 3. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-662-48735-8_9

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