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Book cover Liability for Antitrust Law Infringements & Protection of IP Rights in Distribution

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Abstract

The enforcement of competition law in Austria is multifaceted. Depending on the individual case, an infringement of competition law may lead to administrative and criminal sanctions, as well as civil liability. In order to show the interconnections between the different levels of competition law enforcement, the authors of this report decided to explore the possibilities of competition law enforcement individually for each entity—the company infringing competition law, the parent company and the representatives/employees.

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Notes

  1. 1.

    OLG Wien 8 October 2015, 16 Ok 2/15b, Spar; OGH 25 March 2009, 16 Ok 4/09, Industriechemikalien.

  2. 2.

    See Regulation Article 23 of the Regulation 1/2003.

  3. 3.

    OGH 8 October 2015, 16 Ok 2/15b, Spar.

  4. 4.

    H. Brettel and S. Thomas, Unternehmensbußgeld, Bestimmtheitsgrundsatz und Schuldprinzip im novellierten deutschen Kartellrecht, ZWeR 2009(1), pp. 25–64 (at p. 27 et seq).

  5. 5.

    N. Harsdorf and T. Hölzl, Die Bedeutung kartellrechtlicher Compliance-Programme aus Behörden- und Unternehmenssicht, ÖZK 2016, pp. 222–228.

  6. 6.

    OGH 16 November 2010, 16 Ok 5/10.

  7. 7.

    See Federal Competition Authority, Handbook on Leniency Programme, available at www.bwb.gv.at/fileadmin/user_upload/Englische_PDFs/Standpoints and Handbooks/Leniency Handbook_final version.pdf. Accessed 6 May 2019.

  8. 8.

    A. Traugott, section 31 KartG, In: A. Petsche, F. Urlesberger and C. Vartian (eds), KartG, 2nd ed, Manz 2016, at recital 5.

  9. 9.

    This analysis includes only judgements in which the Cartel Court explicitly mentions this ratio.

  10. 10.

    OGH 8 October 2015, 16 Ok 2/15b, Spar.

  11. 11.

    KG 13 May 2013, 25 Kt 29/13, REWE.

  12. 12.

    KG 24 March 2015, 24 Kt 7,8/10-266, Speditionssammelladungskonferenz.

  13. 13.

    KG 30 June 2016, 26 Kt 4/16, Spar-Österreich Gruppe II.

  14. 14.

    KG 13 May 2013, 25 Kt 29/13.

  15. 15.

    K. Kirchbacher, section 168b StGB, In: F. Höpfel and E. Ratz (eds), WK StGB, 2nd ed, Manz 2013, at recital 6.

  16. 16.

    J. Sagmeister, Strafbarkeit von Preisabsprachen im Vergabeverfahren, ZWF 2017(4), pp. 144–150.

  17. 17.

    OGH 28 June 2000, 14 Os 107/99.

  18. 18.

    See W. Brugger, Kartellstrafrecht: Keine Ausdehnung des section 168b StGB über das Bundesvergabegesetz hinaus, wbl 2015(7), pp. 366–370 (at p. 366).

  19. 19.

    However, this cannot be verified in the criminal statistics, since it is not designated how many convictions of fraud could be attributed to collusive tendering.

  20. 20.

    CJEU, case C-557/12, Kone, ECLI:EU:C:2014:1317.

  21. 21.

    CJEU, case C-536/11, Donau Chemie, ECLI:EU:C:2013:366.

  22. 22.

    Directive 2014/104.

  23. 23.

    Schacherreiter, section 1311 ABGB, In: A. Kletečka and M. Schauer (eds), ABGB-ON1.05, Manz 2018, at recital 27.

  24. 24.

    CJEU, case C-453/99, Courage, ECLI:EU:C:2001:465.

  25. 25.

    CJEU, case C-295/04, Manfredi, ECLI:EU:C:2006:461.

  26. 26.

    H. Wollmann, section 29 KartG, In: A. Petsche, F. Urlesberger and C. Vartian (eds), KartG, 2nd ed, Manz 2016, at recital 18.

  27. 27.

    In Kone, the Austrian Courts were of the opinion that damages originating from umbrella prices could not be recouped, however, the CJEU did not follow this approach.

  28. 28.

    See CJEU, case C-295/04, Manfredi, ECLI:EU:C:2006:461, pts 54 ff.

  29. 29.

    B. Elsner, M. Kos and D. Zandler, Austria, In: I. Gotts (ed), The Private Competition Enforcement Review, 11th ed, Law Business Research 2018, pp. 41–50 (at p. 46).

  30. 30.

    R. Reischauer, section 1311 ABGB, In: P. Rummel (ed), ABGB, 3rd ed, Manz 2007, at recital 4a.

  31. 31.

    OGH 17 December 2008, 16 Ok 12/08.

  32. 32.

    For instance Merger or Demerger.

  33. 33.

    See section 2 Abs 2 Z 1 UmwG; section 5 UmwG; section 15 SpaltG; section 219 AktG.

  34. 34.

    Such as, e.g., section 38 UGB.

  35. 35.

    W. Thöni, section 1409 ABGB, In: A. Fenyves, F. Kerschner and A. Vonkilch (eds), Großkommentar zum ABGB - Klang, 3rd ed, Verlag Österreich 2011, at recital 90.

  36. 36.

    Which has been the case under the German legal framework. This gap was famously called ‘Sausage-Lacuna’ (Wurstlücke), since the case in which a company could avoid paying cartel fines through legal succession occurred in the Sausage-industry.

  37. 37.

    W. Thöni, section 1409 ABGB, In: A. Fenyves, F. Kerschner and A. Vonkilch (eds), Großkommentar zum ABGB - Klang, 3rd ed, Verlag Österreich 2011, at recital 96.

  38. 38.

    OGH 8 October 2008, 16 Ok 5/08, at recital 2.3.

  39. 39.

    OLG Wien 2 January 2017, 26 Kt 4/16.

  40. 40.

    OLG Wien 6 July 2016, 26 Kt 2/16.

  41. 41.

    OLG Wien 2 January 2017, 26 Kt 4/16.

  42. 42.

    See Sec 29 of the Austrian Cartel Act.

  43. 43.

    N. Gugerbauer, section 29 KartG, In: N. Gugerbauer (ed), KartG und WettbG, 3rd ed, Verlag Österreich 2017, at recital 16.

  44. 44.

    OGH 17 December 2008, 16 Ok 12/08, at recital 4.4.

  45. 45.

    A. Traugott, section 29 KartG, In: A. Petsche, F. Urlesberger and C. Vartian (eds), KartG, 2nd ed, Manz 2016, at recital 16.

  46. 46.

    OGH 17 November 2015, 14 Os 96/15x.

  47. 47.

    M. Hilf and F. Zeder, section 3 VbVG, In: F. Höpfel and E. Ratz (eds), WK VbVG, 2nd ed, Manz 2010, at recital 8.

  48. 48.

    M. Hilf and F. Zeder, section 3 VbVG, In: F. Höpfel and E. Ratz (eds), WK VbVG, 2nd ed, Manz 2010, at recital 30.

  49. 49.

    OGH 17 November 2015, 14 Os 96/15x.

  50. 50.

    P. Lewisch, Criminal Liability of Companies, Lex Mundi Publication 2008, at p. 5, available at http://www.lexmundi.com/images/lexmundi/PDF/Business_Crimes/Crim_Liability_Colombia.pdf. Accessed 27 August 2018.

  51. 51.

    Legislative records EBRV 994 BlgNR 22. GP 23.

  52. 52.

    Legislative records EBRV 994 BlgNR 22. GP 23.

  53. 53.

    C. Rosbaud, Das Kartellstrafrecht ist tot! Lang lebe das ‘Kartellstrafrecht!’ JBl 2003(12), pp. 907 et seq.

  54. 54.

    OGH 12 September 2007, 16 Ok 4/07; OGH 26 June 2006, 16 Ok 3/06; OGH 27 February 2006, 16 Ok 52/05.

  55. 55.

    VfGH 2 July 2009, B559/08, at recital 6. In the Literature, this case was criticised for being in conflict with the European Court of Human Rights in ECHR 10 February 2009, 14939/03, Zolotukhin; see B. Müller/E. Müller, Ne bis in idem: Geldbußen und Kriminalstrafen für Submissionskartelle, wbl 2014(2), pp. 61–70 (at p. 62).

  56. 56.

    B. Müller/E. Müller, Ne bis in idem: Geldbußen und Kriminalstrafen für Submissionskartelle, wbl 2014(2), pp. 61–70 (at p. 63); S. Glaser, Unzulässige Bieterabsprachen in exekutiven Versteigerungsverfahren – ein neuer Kartellstraftatbestand im StGB, ecolex 2015(11), pp. 959–962 (at p. 962).

  57. 57.

    As it is defined in the Commission Recommendation 2003/361.

  58. 58.

    OGH 8 October 2008, 16 Ok 5/08.

  59. 59.

    OLG Wien 24 October 2008, 29 Kt 132, 133/07; OLG Wien 26 March 2010, 29 Kt 5/09; OGH 8 October 2015, 16 Ok 2/15b.

  60. 60.

    N. Gugerbauer, section 29 KartG, In: N. Gugerbauer (ed), KartG und WettbG, 3rd ed, Verlag Österreich 2017, at recital 23.

  61. 61.

    OGH 8 October 2015, 16 Ok 2/15b, at recital 5.11.1; see for the cases before the CJEU e.g., CJEU, case 6/72, Europemballage & Continental Can, ECLI:EU:C:1973:22, at recital 15.

  62. 62.

    CJEU, case C-97/08P, Akzo Nobel, pt 60.

  63. 63.

    CJEU, case C-97/08P, Akzo Nobel, pt 61.

  64. 64.

    CJEU, case C-508/11P, Eni, pt 47.

  65. 65.

    R. Whish and D. Bailey, Competition Law, 8th ed., Oxford University Press 2015, at p. 97.

  66. 66.

    EGC, case T-132/07, Fuji Electric, ECLI:EU:T:2011:344, pt 182.

  67. 67.

    ECFI, case T-141/89, Tréfileurope, ECLI:EU:T:1995:62.

  68. 68.

    EGC, case T-132/07, Fuji Electric, ECLI:EU:T:2011:344, pt 183.

  69. 69.

    EGC, case T-132/07, Fuji Electric, ECLI:EU:T:2011:344, pt 184.

  70. 70.

    See for instance OGH 17 December 2008, 16 Ok 12/08.

  71. 71.

    See for further details R. Kert, Verbandsverantwortlichkeit im Konzern, In: N. Vavrovsky (ed), Handbuch Konzernhaftung, Linde Verlag 2008, at p. 141 et seq.

  72. 72.

    OGH 2 August 2012, 4 Ob 46/12m.

  73. 73.

    OGH 2 August 2012, 4 Ob 46/12m, at recital 7.6.

  74. 74.

    OGH 2 August 2012, 4 Ob 46/12m, at recital 7.3.

  75. 75.

    See OGH 2 August 2012, 4 Ob 46/12m, at recital 7.4.

  76. 76.

    A. Traugott, section 29 KartG, In: A. Petsche, F. Urlesberger and C. Vartian (eds), KartG, 2nd ed, Manz 2016, at recital 4.

  77. 77.

    A. Traugott, section 29 KartG, In: A. Petsche, F. Urlesberger and C. Vartian (eds), KartG, 2nd ed, Manz 2016, at recital 2.

  78. 78.

    F. Zeder, section 168b StGB, In: O. Triffterer, C. Rosbaud and H. Hinterhofer (eds), Salzburger Kommentar zum Strafgesetzbuch, Lexis Nexis 2003, at recital 105.

  79. 79.

    F. Zeder, section 168b StGB, In: O. Triffterer, C. Rosbaud and H. Hinterhofer (eds), Salzburger Kommentar zum Strafgesetzbuch, Lexis Nexis 2003, at recital 107.

  80. 80.

    E. Fabrizy, section 168b StGB, In: F. Höpfel and E. Ratz (eds), WK StGB, 2nd ed, Manz 2013, at recital 117.

  81. 81.

    Legislative records EBRV 994 BlgNR 22. GP 30.

  82. 82.

    Landesarbeitsgericht Düsseldorf 20 January 2015, 16 Sa 459/14.

  83. 83.

    P. Strasser, Die Deckung von Schäden aus Kartellgeldbußen in der D&O Versicherung, VersR 2017(2), pp. 65–72 (at p. 66); F. Kusznier, Vorteilsanrechnung bei Vorstandshaftung, GesRZ 2017(3), pp. 156–161 (at p. 159); P. Leupold and M. Ramharter, Nützliche Gesetzesverletzungen – Innenhaftung der Geschäftsleiter wegen Verletzung der Legalitätspflicht? GesRZ 2009(5), pp. 253–267 (at p. 261).

  84. 84.

    See P. Leupold and M. Ramharter, Nützliche Gesetzesverletzungen – Innenhaftung der Geschäftsleiter wegen Verletzung der Legalitätspflicht? GesRZ 2009(5), pp. 253–267 (at p. 261).

  85. 85.

    F. Kusznier, Vorteilsanrechnung bei Vorstandshaftung, GesRZ 2017(3), pp. 156–161 (at p. 159).

  86. 86.

    See J. Reich-Rohrwig, section 25 GmbHG, In: M. Straube, T. Ratka and A. Rauter (eds), WK GmbHG, Manz 2015, at recital 47 for further details.

  87. 87.

    See E. Engin-Deniz and P. Kaindl, Haftung von GmbH-Geschäftsführern und AG-Vorstandsmitgliedern bei Wettbewerbs- und Immaterialgüterrechtsverletzungen, ecolex 2012(11), pp. 947–951.

  88. 88.

    F. Kusznier, Vorteilsanrechnung bei Vorstandshaftung, GesRZ 2017(3), pp. 156–161 (at p. 159).

  89. 89.

    See for instance U. Torggler, Von Schnellschüssen, nützlichen Gesetzesverletzungen und spendablen Aktiengesellschaften, wbl 2009(4), pp. 168–176.

  90. 90.

    P. Leupold and M. Ramharter, Nützliche Gesetzesverletzungen – Innenhaftung der Geschäftsleiter wegen Verletzung der Legalitätspflicht? GesRZ 2009(5), pp. 253–267.

  91. 91.

    P. Leupold and M. Ramharter, Nützliche Gesetzesverletzungen – Innenhaftung der Geschäftsleiter wegen Verletzung der Legalitätspflicht? GesRZ 2009(5), pp. 253–267 (at p. 265).

  92. 92.

    E. Engin-Deniz and P. Kaindl, Haftung von GmbH-Geschäftsführern und AG-Vorstandsmitgliedern bei Wettbewerbs- und Immaterialgüterrechtsverletzungen, ecolex 2012(11), pp. 947–951.

  93. 93.

    OGH 30 August 2016, 8 Ob 62/16z.

  94. 94.

    See OGH 14 February 2012, 5 Ob 39/11p.

  95. 95.

    S. Kalss, Außenhaftung der Leitungsorgane gegenüber Gesellschaftern und Dritten, In: E. Artmann, F. Rüffler and U. Torggler (eds), Die Organhaftung zwischen Ermessensentscheidung und Haftungsgefälle, Manz 2013, pp. 73–98; see also H. Koppensteiner, Zur Außenhaftung von Geschäftsführern und Vorständen, GES 2015(8), pp. 379–391, who generally questions the concept of civil liability of directors for competition law infringements.

Acknowledgements

The authors would like to thank Patrick Nutz, LL.M., and Mag. Arno Scharf for their valuable assistance.

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  1. University of Vienna, Vienna, Austria

    Florian Schuhmacher & Stefan Holzweber

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  1. Florian Schuhmacher
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  2. Stefan Holzweber
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Correspondence to Florian Schuhmacher .

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  1. Këllezi Legal, Geneva, Switzerland

    Pranvera Këllezi

  2. Addleshaw Goddard LLP, London, UK

    Bruce Kilpatrick

  3. Kobel Avocat Attorney-at-law, Geneva, Switzerland

    Pierre Kobel

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Schuhmacher, F., Holzweber, S. (2019). Austria. In: Këllezi, P., Kilpatrick, B., Kobel, P. (eds) Liability for Antitrust Law Infringements & Protection of IP Rights in Distribution. LIDC Contributions on Antitrust Law, Intellectual Property and Unfair Competition. Springer, Cham. https://doi.org/10.1007/978-3-030-17550-4_2

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