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: Slide The Austrian Competition Authority 3 Transparency and legal security 4 Experiences with soft law instruments 5 The role of effective Enforcement 7 Brochure: Competition Law and Compliance 8 Résumé 10

The Austrian Competition Authority 2,97 Mio € Budget (2016) Additional funding for 2017 ff secured 196 Mio € fines 2002 -2016 2015: 34,8 Mio € Over 100 dawn raids (2011 – 2017) 28 case handlers 36 End of 2017 Established in 2002 Director General since 2007: Dr. Theodor Thanner Austria: GDP: 351 Billion € (2016) Inhabitants: 8,7 Mio

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

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

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

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)

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

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

Résumé There exists no one-size-fits-all-system Markets are different Entrepreneurial cultures differ widely Compliance is a top management responsibility Has to be implemented on each management level Effective risk-assessment is a prerequisite Instructions and recommendations have to be task- specific and market/industry-specific.

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

Thank you very much for your attention! Your remarks/questions are welcome: Rainer.kaltenbrunner@bwb.gv.at Kaltenbrunner.rainer@gmail.com +43 1 24508 318 +43 664 8131734