Evaluation Support Study on the EU Competition Rules Applicable to Horizontal Cooperation Agreements in the Hbers and the Guidelines
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Evaluation support study on the EU competition rules applicable to horizontal cooperation agreements in the HBERs and the Guidelines Final Report Prepared by Competition EUROPEAN COMMISSION Directorate-General for Competition E-mail: [email protected] European Commission B-1049 Brussels [Cataloguenumber] Evaluation support study on the EU competition rules applicable to horizontal cooperation agreements in the HBERs and the Guidelines Final report Europe Direct is a service to help you find answers to your questions about the European Union. Freephone number (*): 00 800 6 7 8 9 10 11 (*) The information given is free, as are most calls (though some operators, phone boxes or hotels may charge you). LEGAL NOTICE The information and views set out in this report are those of the author(s) and do not necessarily reflect the official opinion of the Commission. The Commission does not guarantee the accuracy of the data included in this study. Neither the Commission nor any person acting on the Commission’s behalf may be held responsible for the use which may be made of the information contained therein. More information on the European Union is available on the Internet (http://www.europa.eu). Luxembourg: Publications Office of the European Union, 2021 Catalogue number: KD-02-21-603-EN-N ISBN: 978-92-76-37534-0 DOI: 10.2763/414394 © European Union, 2021 Reproduction is authorised provided the source is acknowledged. The reproduction of the artistic material contained therein is prohibited. Authors: • Dr. Pierre Hausemer • Angelo Di Legge • Katarína Kubovicová • Davide Fina • Roberto Sigismondo • Frithjof Michaelsen • Norman Rohner • Luca Bisaschi • Aneta Sadlik • Dr. Paula Ramada • Rhys Williams • Andrew Pritchard With contributions from: Dr. Marco Botta and Michael Boeheim Evaluation support study on the EU competition rules applicable to horizontal cooperation agreements in the HBERs and the Horizontal Guidelines TABLE OF CONTENTS 1. EXECUTIVE SUMMARY ........................................................................................... 11 2. RÉSUMÉ ANALYTIQUE ........................................................................................... 18 3. ZUSAMMENFASSUNG ............................................................................................ 26 PART 1: INTRODUCTION AND STUDY ACTIVITIES ............................................................ 34 4. INTRODUCTION AND OBJECTIVES .......................................................................... 35 4.1. Structure of this report ................................................................................ 35 4.2. Objectives of the study ................................................................................ 37 4.3. Intervention logic ........................................................................................ 39 4.4. Evaluation matrix ........................................................................................ 40 5. SUMMARY OF THE ACTIVITIES PERFORMED FOR THIS STUDY .................................... 44 5.1. Analysis of NCA decisions, national court judgments and NCA guidelines ............ 44 5.1.1. Description of the activities........................................................................... 44 5.1.2. Processing of the NCAs’ replies to the European Commission’s questionnaire and identification of national courts’ rulings .................................................... 45 5.1.3. Selection of the relevant NCAs and national courts cases.................................. 45 5.1.4. Categorising the relevant NCAs and national courts cases ................................ 46 5.1.5. Analysis of the NCAs and national court cases ................................................. 47 5.2. Incidence and specific types of horizontal cooperation agreements .................... 48 5.2.1. Description of the activities........................................................................... 48 5.2.2. Literature review and desk research .............................................................. 49 5.2.3. Primary data collection ................................................................................. 49 5.3. Cost savings generated by the HBERs and the Horizontal Guidelines .................. 54 5.3.1. Description of the activities........................................................................... 54 5.4. Consumer organisations ............................................................................... 56 5.4.1. Description of the activities........................................................................... 56 PART 2: EVALUATION QUESTIONS ................................................................................. 58 6. EFFECTIVENESS AND RELEVANCE EVALUATION QUESTIONS ..................................... 59 6.1. What types of horizontal cooperation agreements have been identified by national competition authorities (“NCAs”) and national courts since 1 January 2011, and how were they assessed? .................................................. 59 6.1.1. Summary and overall answer to the evaluation question .................................. 59 6.1.2. Research & Development Agreements ............................................................ 62 6.1.3. Specialisation Agreements ............................................................................ 64 6.1.4. Information Exchange .................................................................................. 67 6.1.5. Joint Purchasing Agreements ........................................................................ 71 6.1.6. Commercialisation Agreements ..................................................................... 76 6.1.7. Standardisation Agreements ......................................................................... 83 6.1.8. Other agreements not explicitly mentioned in the Horizontal Guidelines: Agreements pursuing sustainability goals ....................................................... 86 6.1.9. NCA decisions reviewed by national courts ..................................................... 89 6.1.10. National guidelines on horizontal cooperation agreements ................... 90 6.1.11. Conclusions ................................................................................... 92 6.2. What is the level of legal certainty that the HBERs and the Horizontal Guidelines provide for the purpose of assessing whether horizontal cooperation agreements are compliant with Article 101 of the Treaty (i.e. are the rules clear and comprehensible, and do they allow undertaking to understand and predict the legal consequences)? ............................................ 93 1 Evaluation support study on the EU competition rules applicable to horizontal cooperation agreements in the HBERs and the Horizontal Guidelines 6.2.1. Summary and overall answer to the evaluation question .................................. 93 6.2.2. Research & Development Agreements ............................................................ 94 6.2.3. Specialisation Agreements .......................................................................... 100 6.2.4. Information Exchange Agreements .............................................................. 103 6.2.5. Joint Purchasing Agreements ...................................................................... 110 6.2.6. Commercialisation Agreements ................................................................... 113 6.2.7. Standardisation Agreements ....................................................................... 116 6.3. How has the prevalence of different types of horizontal cooperation agreements evolved since 1 January 2011? .................................................. 121 6.3.1. Summary and overall answer to the evaluation question ................................ 121 6.3.2. Research & Development Agreements .......................................................... 122 6.3.3. Specialisation Agreements .......................................................................... 124 6.3.4. Information Exchange Agreements .............................................................. 126 6.3.5. Joint Purchasing Agreements ...................................................................... 128 6.3.6. Commercialisation Agreements ................................................................... 135 6.3.7. Standardisation Agreements ....................................................................... 137 6.4. Are there specific types of horizontal cooperation agreements that are not explicitly covered by the Horizontal Guidelines, but where more legal certainty would be required? ....................................................................... 139 6.4.1. Summary and overall answer to the evaluation question ................................ 139 6.4.2. Sustainability Agreements .......................................................................... 139 6.4.3. Other Non-covered Agreements .................................................................. 146 7. EFFICIENCY EVALUATION QUESTIONS .................................................................. 151 7.1. Does the assessment of whether the HBERs, together with the Horizontal Guidelines, is applicable to certain horizontal cooperation agreements, generate costs proportionate to the benefits they bring? ................................ 151 7.1.1. Summary and overall answer to the evaluation question ................................ 151 7.1.2. Research & Development Agreements