Guidelines “Parameters for submitting evidence in leniency applications”

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Based on a jurisprudential research on the decisions of CADE’s Tribunal in administrative proceedings sanctioning cartel, issued from 1993 to 2020, CADE presents a set of evidentiary recommendations that leniency applicants should take into account.

Besides assisting leniency applicants in their internal investigations, the Guidelines provide references for structuring more effective compliance programs. Furthermore, it aims at orienting CADE’s public servants on the evidentiary parameters to be observed in the negotiation of antitrust leniency agreements, in order to assist in the assessment of the existence of the reported violations.

The recommendations are structured as follows: (i) examples of pieces of evidence of cartel in the decisions of CADE’s Tribunal; (ii) direct evidence of the existence of an agreement; (iii) indirect evidence of the existence of an agreement; (iv) evidence of the effects of the conduct in Brazil; (v) sufficiency of the evidentiary set; (vi) evidence considered insufficient when presented solely; (vii) validity of the evidence presented; and (viii) evidence of the level of institutionality of the conduct.