Journée d´étude du Conseil de la Concurrence
de la République Algérienne Démocratique et
Populaire
Les programmes de conformités – les expériences
autrichiennes
Rainer Kaltenbrunner
Autorité Fédérale de la Concurrence de l´ Autriche
(*Les points de vue exposés sont les personnels)
Alger, 17 Avril 2017
OUTLINE of the presentation:
The Austrian Competition Authority
Transparency and legal security
Experiences with soft law instruments
The role of effective Enforcement
Brochure: Competition Law and Compliance
Résumé
Slide
3
4
5
7
8
10
2
The Austrian Competition Authority
Established in 2002
Director General since 2007:
Dr. Theodor Thanner
28
case handlers
36
End of 2017
2,97 Mio €
Budget (2016)
Additional funding
for 2017 ff
secured
Over 100
dawn raids
(2011 – 2017)
196 Mio €
fines 2002 -2016
2015: 34,8 Mio €
Austria:
GDP: 351 Billion € (2016)
Inhabitants: 8,7 Mio
3
Transparency and Legal Security
 Austria applies a Judicial Model
Clear division of competences between investigative and decision making
powers (Federal Competition Authority versus Cartel Court)
 Handbook on leniency applications
Over 70 leniency applications so far, over 110 Mio € in fines based on
leniency
 Guidelines i.a. on
•
•
•
•
•
•
Settlement procedure
Handling of anonymous complaints
Resale Price Maintenance
Funeral services
Assessment of media cooperations
Market definitions in different sectors
4
Experiences with Soft Law Instruments I
 Consultation is an important instrument for
publicity/advocacy of rules (business fora/media)
 Prior consultations allow early review and prevent
later criticisms
 Important to use clear language and include
examples; readable by non lawyers
 Draw the line between leaving scope and providing
legal security
 Can step in where legislation can‘t
 Self binding instrument
5
Experiences with Soft Law Instruments II
30 Competition Lunch Talks
since 2012
 Different topics with relevance for the competition
community
 Different stakeholders (Lawyers, business, public institutions)
 Different presenters with different views
 „Neutral“ environment
 Low administrative/cost burden
6
Effective Enforcement is a
corner stone of compliance
 Compliance is about risks
 utmost importance of raising the risks of detection and
punishment
 effective enforcement is a prerequisite
 Ex officio cases (informants, anonymous complaints, market
observation….proactive investigations!)
 Electronic anonymous Whistleblowing tool will be
implemented 2017
 Deterrent fines (eg elevators and escalators case 75 Mio €;
SPAR food retail RPM case 40 €; freight forwarding case 17
Mio €)
 Dawnraids
 Provide incentives for cooperation (leniency, cooperation
outside leniency, settlements)
7
Brochure: Competition Law and Compliance
 Brochure published in October 2016
 Drafted in cooperation with the Austrian Chamber of
Commerce
 No handbook or guidline
 Aim: Raising awareness and touch basic issues
 Provides core recommendations on compliance
systems
 Useful: Very detailed „Antitrust Compliance Toolkit“
of the International Chamber of Commerce
8
Brochure: Competition Law and Compliance II
The “compliance circle”
Step I: Convincing management
Step II: Identifying enterprise/market-specific
risks.
Step III: Assessment of risks
Step IV: How to reduce risks ? decision
concerning adequate compliance
instruments
Step V: Development of a compliance culture
Step VI: Continuous monitoring and adaption
9
Résumé
1. There exists no one-size-fits-all-system
• Markets are different
• Entrepreneurial cultures differ widely
2. Compliance is a top management responsibility
3. Has to be implemented on each management level
4. Effective risk-assessment is a prerequisite
5. Instructions and recommendations have to be


task- specific and
market/industry-specific.
10
Résumé II
5. Effective control of implementation
6. Clear sanctioning in case of non-compliance
• Adaption of incentive systems (remuneration)
7. Preparation for the worst case
• Pose mock dawn raids a problem for competition
agencies
• No, if they raise professional attitude
8. Might clear the path to leniency application
11
Thank you very much for your
attention!
Your remarks/questions are welcome:
[email protected]
[email protected]
+43 1 24508 318
+43 664 8131734
12