Article 5
This Decision is addressed to: (a) Archer Daniels Midland Company Inc., 4666 Faries Pkwy Decatur IL - 62525 United States of America. (b) Cerestar Bioproducts BV Nijverheidstraat, 1 4550 LA Sas van Gent Netherlands. (c) F. Hoffmann-La Roche AG Grenzacherstrasse 124 CH - 4070 Basel. (d) Haarmann & Reimer Corporation 300 North Street Terterboro NJ - 07608-1204 United States of America. (e) Jungbunzlauer AG St Alban - Vorstadt 90, Postfach CH - 4002 Basel. This Decision shall be enforceable pursuant to Article 256 of the Treaty. Done at Brussels, 5 December 2001. For the Commission Mario Monti Member of the Commission (1) OJ 13, 21.2.1962, p. 204/62. (2) OJ L 148, 15.6.1999, p. 5. (3) OJ L 354, 30.12.1998, p. 18. (4) mt= metric tonnes. (5) [374]. (6) All quantities quoted are expressed in Monhydate Equivalent Units. (7) [49]. An average (non-weighted) worldwide price in USD has been calculated for 1995, on the basis of the four average regional prices provided by Haarman & Reimer. It should be noted that this "worldwide" average price for 1995 is certainly pitched too low vis-à-vis the real weighted price, in view of the relative weight of US and European sales. (8) Source: replies to the requests for information of 6 and 12 August 1997 by ADM [81-82], Haarmann & Reimer (Bayer AG) [51-52], Citrique Belge (Hoffmann-La Roche) [63-64] and Jungbunzlauer [29-30]. (9) It is assumed here that EEA-wide market shares are similar to EU-wide market shares. (10) It is assumed that the market shares held by the addressees of the present Decision in 1995 were similar to those of 1996. (11) OJ 13, 21.2.1962, p. 204/62. (12) OJ C 207, 18.7.1996, p. 4. (13) See ADM's document [3321]. (14) SRI International - Chemical Economics Handbook: Market Research Report on Citric Acid, January 1996 [833]; Jungbunzlauer's statement [6471]. (15) Bayer's Article 11 reply of 14 September 1998 [426-427]; Cerestar Bioproducts' Statement [3979-3980]; ADM's Statement [3841-3842]. (16) ADM's Statement [3840-3841]; Exhibit 3 of Bayer's Statement: Federal Bureau of Investigation (FBI) transcripts [4098-4099]. (17) Jungbunzlauer's Statement [6474]. (18) ADM's Statement [3842-3843]; Jungbunzlauer's Statement [6474-6475]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5610-5611]; Bayer's Statement [4042]; Exhibit 3 of Bayer's Statement: FBI transcripts [4099-4101]; Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]. (19) Jungbunzlauer's Article 11 reply of 29 April 1999 [5610]; ADM Statement [3842]; Bayer's Statement [4038]. (20) Bayer's Statement [4040]; Exhibit 3 of Bayer's Statement: FBI transcripts [4100]; ADM Statement [3843]; Jungbunzlauer's Statement [6482]. (21) Jungbunzlauer's Statement [6476]; Exhibit 3 of Bayer's Statement: FBI transcripts [4096]; Cerestar Bioproducts' Statement [3980]. (22) ADM's statement [3843]; see also Bayer's Statement [4038]. (23) Exhibit 3 of Bayer's Statement: FBI transcripts [4101]. (24) See ADM's document [3321]. (25) Jungbunzlauer's Statement, Annex 2 [6490]. (26) ADM's Statement [3845]. (27) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM and Haarman & Reimer - See ADM's Statement [3844]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5611]; Bayer's Statement [4040]; Exhibit 3 of Bayer's Statement: FBI transcripts [4101]; Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]. (28) Jungbunzlauer's Statement [6474] - "erkannten darin eine Situation, die für eine koordinierte Preishöhung genutzt werden konnte". (29) Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]. (30) ADM's Statement [3847]. (31) ADM's Statement [3844-3849]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5610-5611, 5613]; ADM price instructions, doc. 2352-54, 2280-82, 2300-01. (32) Jungbunzlauer's Statement [6475]. (33) Jungbunzlauer's Statement [6475]; Bayer's Statement [4041]. (34) ADM's Statement [3845, 3851]; Jungbunzlauer's Statement [6475]; Bayer's Statement [4040]. (35) Jungbunzlauer's Statement [6475]. (36) Tables under Jungbunzlauer's Article 11 reply of 29 April 1999, Annex 3.1 (contain data for 1991 onwards) [5637-5644]. (37) ADM's Statement [3843]; Bayer Statement [4039, 4045]; Tables under Jungbunzlauer's Article 11 reply of 29 April 1999, Annex 3.1 [5637-5644]. (38) Jungbunzlauer's Statement [6477] - "meldeten die beteiligten Unternehmen jeweils bis zum 7. eines jeden Monats ihre verkauften Tonnagen pro Region beim Sekretariat des ECAMA-Präsidenten. Im Sekretriat wurden die Verkäufe konsolidiert und dann den Teilnehmern - aufgeteilt nach Firma und Region (Europa, Nordamerika, Rest der Welt) - telefonisch zurückgemeldet. Dadurch konnten die relativen Marktanteile laufend verfolgt werden. Diese Informationen waren dann auch die Grundlage der Marktanalyse in den Sitzungen." (39) Jungbunzlauer's Article 11 reply of 29 April 1999, Annex 3.1 [5637-5644]. (40) Jungbunzlauer's Statement [6477-6478] - "In dieser Liste sind in fünf untereinander angeordneten Zeilen unter den Ziff. 1 bis 5 die Unternehmen Haarmann & Reimer, ADM, Jungbunzlauer, Hoffmann La Roche und Cerestar aufgelistet. In den zwölf nebeneinander angeordneten Spalten sind die monatlich gemeldeten Verkaufsmengen dieser Unternehmen aufgelistet. Für jedes einzelne Unternehmen ist in vier einzelnen Zeilen jeweils die verkaufte Menge Zitronensäure für die Regionen Europa, Nordamerika und Rest der Welt sowie die Gesamtsumme der drei Regionen angegeben. In der Zeile 'Total' ist die Zusammenrechnung aller Verkäufe der einzelnen Regionen und deren Gesamtsumme aufgelistet. In der letzten Zeile ist die Abweichung, bezogen auf Gesamteuropa, wiedergegeben." (41) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM and Haarman & Reimer - See ADM's Statement [3846-3847]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5611]; Bayer's Statement [4040-4041, 4043]; Exhibit 3 of Bayer's Statement: FBI transcripts [4102]; Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]. (42) Exhibit 3 of Bayer's Statement: FBI transcripts [4103] - note that this figure corresponds to that shown in Table 5. (43) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM and Haarman & Reimer - See ADM's Statement [3848]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5611]. (44) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3849]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5612]; Bayer's Statement [4043]; Exhibit 3 of Bayer's Statement: FBI transcripts [4104]; Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]; Cerestar Bioproducts'Statement [3979,3983]. (45) Jungbunzlauer's statement [6478] - "dass zwischen Unternehmen, zwischen denen die grössten Abweichungen von den Mengenvorgaben vorliegen würden, individuelle Ausgleichsmassnahmen zu suchen wären". (46) ADM's Statement [3847]; see also Bayer's Statement [4043]. (47) ADM's Statement [3850-3851,3854, 3859], ADM doc. ADMZ0037264, 0037107, 0037097 & 0000111. (48) Cerestar Bioproducts'Statement [3982]; Jungbunzlauer's Statement [6478]. (49) At paragraph (70) of the Statement of Objections. (50) Jungbunzlauer's reply to the Statement of Objections [7669]. (51) Cerestar Bioproducts' Statement [3980]. (52) Hoffmann-La Roche's Article 11 reply of 28 April 1999 [4792]. (53) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3851]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5612]; Bayer's Statement [4043]; Exhibit 3 of Bayer's Statement: FBI transcripts [4104]; Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]; Cerestar Bioproducts' Statement [3983]. (54) Jungbunzlauer's Article 11 reply of 29 April 1999 [5613]; ADM's Statement [3851]. (55) Cerestar Bioproducts' Statement [3979, 3983]. (56) Cerestar Bioproducts' Statement [3982]. (57) ADM's Statement [3851]. (58) See Cerestar Bioproducts' Statement [3986] and Jungbunzlauer's Statement [6480-6481]. (59) Hoffmann-La Roche's Article 11 reply of 28 April 1999 [4793]. (60) Exhibit 3 of Bayer's Statement: FBI transcripts [4104]; Jungbunzlauer's Statement [6474]. (61) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3849]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5613]; Bayer's Statement [4043]; Exhibit 3 of Bayer's Statement: FBI transcripts [4105]; Hoffmann-La Roche's Article 11 reply of 28 April 1999 Annex 1 [4795]; Cerestar Bioproducts' Statement [3984]. (62) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer, and Cerestar Bioproducts - See ADM's Statement [3853]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5613]; Bayer's Statement [4043]; Cerestar Bioproducts' Statement [3984]. (63) ADM's Statement [3853]. (64) See Table 2 above. (65) See ADM's Statement [3854-3855]. (66) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts -See ADM Statement [3854-3855]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5614]. (67) Jungbunzlauer's Article 11 reply of 29 April 1999 [5614] - "Es wurde erkannt, dass gegen die Konkurrenz aus China ein Preiskampf aufgenommen werden musste." (68) ADM's Statement [3858]. (69) Jungbunzlauer's Article 11 reply of 29 April 1999 [5614] - "Diese Kunden wurden namentlich identifiziert und den einzelnen Teilnehmern für die Abgabe der entsprechenden Angebote zugeteilt." (70) Participants: ADM met Haarman & Reimer and Cerestar Bioproducts in London on 23-24 March 1994 and Hoffmann-La Roche on 25 March 1994 in London. - ADM's Statement [3855]. (71) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer, Cerestar Bioproducts - See ADM's Statement [3856]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5614]; Bayer's Statement [4043]; Cerestar Bioproducts' Statement [3985]; Hoffmann-La Roche's Article 11 reply of 28 April 1999, Annex 1 [4795]. (72) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3856-3857]. (73) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3857]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5615]; Cerestar Bioproducts' Statement [3985]. (74) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3858]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5615]; Bayer's Statement [4043]; Exhibit 3 of Bayer's Statement: FBI transcripts [4106]. Cerestar Bioproducts' Statement [3985]. (75) ADM's Statement [3858]. (76) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM and Haarman & Reimer - See ADM's Statement [3858-3859]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5615]. (77) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer, Cerestar Bioproducts - See ADM's Statement [3859]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5616]; Cerestar Bioproducts' Statement [3985]. (78) ADM document 1965 and ADM's Statement [3859]. (79) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM and Haarman & Reimer - See ADM's Statement [3860]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5616]; Cerestar Bioproducts' Statement [3985]. (80) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer, Cerestar Bioproducts - See ADM's Statement [3860]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5616]; Cerestar Bioproducts' Statement [3985]. (81) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3860-3861]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5617]. (82) ADM's Statement [3860]. (83) ADM's Statement [3861]. (84) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM's Statement [3861]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5617]. (85) Participants: Hoffmann-La Roche, Jungbunzlauer, ADM, Haarman & Reimer and Cerestar Bioproducts - See ADM Statement [3861]; Jungbunzlauer's Article 11 reply of 29 April 1999 [5617]; Bayer's Statement [4043]; Cerestar Bioproducts' Statement [3985]. (86) ADM's Statement [3861]. (87) See Final Act of the Agreement on the European Economic Area, OJ L 1, 3.1.1994, p. 3. (88) Pursuant to Article 56(1)b) of the EEA Agreement, and without prejudice to the competence of the EC Commission where trade between EC Member States is affected, the ESA is also competent in cases where the turnover of the undertakings concerned in the territory of the EFTA States equals 33 % or more of their turnover in the territory of the EEA. (89) See Chapter 5 Effect upon trade between EU Member States and between EEA Contracting Parties. (90) Joined Cases T-305/94 etc. Limburgse Vinyl Maatschappij and Others v Commission (PVC II) [1999] ECR II-931, paragraph 715. (91) The case-law of the Court of Justice and Court of First Instance in relation to the interpretation of the terms "agreements" and "concerted practices" in Article 81 of the Treaty expresses principles well established before the signature of the EEA Agreement. It therefore applies equally to these terms in so far as they are used in Article 53 of the EEA Agreement. References to Article 81 therefore apply also to Article 53. (92) Case 48/69 Imperial Chemical Industries v Commission [1972] ECR 619, paragraph 64. (93) Joined Cases 40-48/73 etc. Suiker Unie and Others v Commission [1975] ECR 1663. (94) See also Case T-7/89 Hercules Chemicals v Commission [1991] ECR II-1711, paragraph (256). (95) See Case C-199/92 P Hüls v Commission [1999] ECR I-4287, paragraphs 158-166. (96) Case T-7/89 Hercules Chemicals v Commission, paragraph 264. (97) Paragraph 696. (98) Case T-7/89 Hercules Chemicals v Commission, paragraphs 262-263. (99) Case C-49/92 P Commission v Anic [1999] ECR I-4125, paragraph 83. (100) See recitals 78 to 84. (101) Case T-13/89 Imperial Chemical Industries v Commission [1992] ECR II-1021, paragraph 304. (102) Joined Cases 209 to 215 and 218/78 Van Landewyck and Others v Commission [1980] ECR 3125, paragraph 170). (103) Case 48/69 Imperial Chemical Industries v Commission [1972] ECR 619, paragraphs 132-133. (104) See Commission Decision of 23 April 1986 (IV/31.149-Polypropylene), OJ L 230, 18.8.1986, p. 1, para. 96; Commission Decision of 21 December 1988 (IV/31.865-PVC), OJ L 74, 17.3.1989, p. 1, para. 43; and Commission Decision of 13 July 1994 (IV/C/33.833-Cartonboard), OJ L 243, 19.9.1994, p. 1, para. 156. See also Case T-6/89 Enichem Anic SpA v. Commission (Polypropylene) [1991] ECR II-1623. Judgment upheld by the Court of Justice in Case C-49/92 P Commission v. Anic Partecipazioni SpA [1999] ECR I-4125. See also Case T-327/94 SCA Holdings v. Commission [1998] ECR II- 1373. Judgment upheld by the Court of Justice in Case C-297/98 P SCA Holdings Ltd. (not yet reported). (105) Jungbunzlauer's reply to the Statement of Objections [7669]. (106) ADM's Statement [3847]; Exhibit 3 of Bayer's Statement: FBI transcripts [4101-4102]. (107) Under Article 5 of Council Regulation (EC) No 2894/94 of 28 November 1994 concerning arrangements of implementing the Agreement on the European Economic Area "the Community rules giving effect to the principles set out in Articles 85 and 86 [now Articles 81 and 82] of the EC Treaty [...] shall apply mutatis mutandis". (OJ L 305, 30.11.1994, p. 6). (108) Haarman & Reimer's reply to the Statement of Objections [7585]. (109) OJ C 207, 18.7.1996, p. 4. (110) See recital 70. (111) See FBI Transcript, p. 8. [4100]. (112) ADM's Statement [3844-3849]; Jungbunzlauer's reply to Article 11 of 29 April 1999 [5610-5611,5613]; ADM price instructions, [3578-3580, 3740-3742, 3760-3761]. (113) Cerestar Bioproducts's reply to the Statement of Objections, p. 8. [7557]. (114) Jungbunzlauer's reply to the Statement of Objections [7675]. (115) ADM's Statement, p. 22. [3861]. (116) Idem. (117) T-308/94 [1998] ECR II-925, paragraph 230. (118) Haarman & Reimer's reply to the Statement of Objections [7585]. (119) ADM's reply to the Statement of Objections (Economist's report) [7867]. (120) Case T-77/92 Parker Pen v Commission [1994] ECR II-549. (121) Para (59) of the Statement of Objections. (122) ADM's reply to the Statement of Objections [7622]. (123) Interview of a representative of ADM by the FBI, Appendix 4, p. 11. [4103]. (124) Appendix 8, p. 2. [3980]. (125) FBI transcript [4113-4114]. (126) Statement made by Cerestar Bioproducts [3980]. (127) Exhibit 3 of Bayer's Statement: FBI transcripts [4101]. (128) Cerestar Bioproducts' Statement [3980]. (129) See paragraph and Cerestar Bioproducts' Statement, p. 2. [3980]. (130) Jungbunzlauer's Statement [6474] and Jungbunzlauer's reply to the Statement of Objections [7704]. (131) Jungbunzlauer's reply to Statement of Objections [7705]: die Absprachen [darstellen] auch eine Gegenmassnahme gegen die Billigimporte aus China, die ihrerseits eine erhebliche Wettbewerbsverzerrung bewirkten. (132) ADM's reply to the Statement of Objections [7614]. (133) Idem. (134) Cerestar's reply to the Statement of Objections [7551]. (135) Jungbunzlauer's reply to the Statement of Objections [7706].