1. 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

2. 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

3. The Austrian Competition Authority
2,97 Mio € Budget (2016)
Additional funding for 2017 ff secured
196 Mio € fines
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

4. 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

5. 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

6. 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

7. 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)

8. 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

9. 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

10. 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.

11. 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

12. Thank you very much for your attention!
Your remarks/questions are welcome: