European Antitrust Policy 1957-2004 An Analysis of Commission
Decisions
EC Competition Enforcement Data, AmsterdamApril 10, 2008
Martin Carree
Andrea Guenster
Maarten Pieter Schinkel
2
Agenda• European Antitrust Policy
• Commission Decisions over Time by Type and Origin
• Commission Decisions by Type of Economic Conduct
• Commission Decisions by Economic Sector
• Enforcement of the Competition Rules
• Findings of an Infringement
• Remedies and Sanctions
• Appeals before the CFI and the ECJ
3
European Antitrust Policy• Literature Review
Posner (1970, 2001)
Gallo et al. (1985, 1986, 2000, 2001)
Davies et al. (1999) and Lauk (2002)
Gual et al., Harding et al. (2005)
• Article 81, 82, 86 and Procedural Issues Reg. 17/62
• Data (538, 1964-04)• Reports of the Commission Decisions Relating to
Competition, 1964-98• Report on Competition Policy (1971) - XXXIV Report on
Competition Policy (2004) • Harding et al. (2005), Ritter et al. (2005), Jones and et al.
(2006), Geraldine et al. (2005)
4
0.0
5.0
10.0
15.0
20.0
25.0
30.0
1964 1968 1972 1976 1980 1984 1988 1992 1996 2000 2004
Decisions
5
0.0
5.0
10.0
15.0
20.0
25.0
30.0
1964 1968 1972 1976 1980 1984 1988 1992 1996 2000 2004
Interim Measure
Infringement
Exemption
Negative Clearance
6
1964-77
Negative Clearance
24%
Exemption28%
Infringement48%
1978-90
Negative Clearance
15%
Exemption31%
Infringement54%
1991-04
Negative Clearance
7%
Exemption29%
Infringement64%
7
0.0
5.0
10.0
15.0
20.0
25.0
30.0
1964 1968 1972 1976 1980 1984 1988 1992 1996 2000 2004
Leniency
Commission
Complaint
Notification
8
1964-77
Notification70%
Complaint9%
Commission21%
1978-90
Notification58%
Complaint18%
Commission24%
1991-04
Notification38%
Complaint24%
Commission24%
Leniency14%
9
Negative Clearance Exemption InfringementInterim
MeasureTotal
Notification 73.25 150.75 62 0 286
Complaint 1.25 1.75 92 4 99
Commission 1 3 119 1 124
Leniency 0 0 29 0 29
Total 75.5 155.5 302 5 538
10
Horizontal41%
Dominance9%
Licensing6%
Vertical23%
Joint Venture11%
Procedural6%
Article 864%
11
Negative Clearance Exemption Infringement Interim Measure Total
Horizontal 29 59 131.83 0 219.8
Dominance 1 0 45.33 3.5 49.83
Licensing 10.5 10.5 9.83 0.5 31.33
Vertical 24 32.5 66.5 1 124
Joint Venture 11 48.5 2 0 61.5
Article 86 0 5 16 0 21
Procedural 0 0 30.5 0 30.5
Total 75.5 155.5 302 5 538
12
1964-77
Horizontal48%
Dominance6%
Licensing9%
Vertical22%
Joint Venture7%
Procedural8%
1978-90
Horizontal37%
Dominance8%Licensing
6%
Vertical28%
Joint Venture12%
Procedural7%
Article 862%
1991-04
Horizontal41%
Dominance12%
Licensing4%
Vertical19%
Joint Venture13%
Procedural3%
Article 868%
13
Negative Clearance Exemption Infringement Total
Agriculture 1 1 11 13
Mining 2.5 0 3.5 6
Manufacturing 91.5 38.5 177 307
Food & Drinks 6 3 31 40
Textile, Leather & Paper 5 3 8 16
Chemicals 24.5 11 49.5 85
Plastics, Rubber & Glass 8 7 34 49
Metal Products & Engineering 48 14.5 54.5 117
Electricity & Gas 5 1 3 9
Construction 0 4 5 9
Trade & Hotels 6.5 14.5 9 30
Transport 9 2 30.5 41.5
Banking & Insurance 13.5 5.5 7 26
Communication 25.5 9 22.5 57
Public Service 1 0 3 4
Total 155.5 75.5 271.5 502.5
14
Horizontal Dominance Licensing Vertical JV Article 86 Total
Agriculture 7 1 2 3 0 0 13
Mining 6 0 0 0 0 0 6
Manufacturing 136.83 23.83 19.83 89.5 37 0 307
Food & Drinks 17 3 5.5 14.5 0 0 40
Textile, Leather & Paper 8 0 3 3 2 0 16
Chemicals 51 8 1 13.5 11.5 0 85
Plastics, Rubber & Glass 27 4 3 11 4 0 49
Metal products & engineering 33.83 8.83 7.33 47.5 19.5 0 117
Electricity & Gas 2 1 2 2 2 0 9
Construction 8 0 0 1 0 0 9
Trade & Hotels 10 0 1.5 18.5 0 0 30
Transport 18.5 10 0 2 4 7 41.5
Banking & Insurance
21 1 0 2 1 1 26
Communication 8.5 8.5 5.5 4 17.5 13 57
Public Service 2 1 0 1 0 0 4
Total 219.83 46.33 30.83 123 61.5 21 502.5
15
1964-77
Food & Drinks9%
Chemicals23%
Plastics, Rubber & Glass
14%
Metal products & Engineering
43%
Trade & Hotels9%
Communication2%
1978-90
Food & Drinks11%
Chemicals20%
Plastics, Rubber & Glass
12%Metal products & Engineering
28%
Trade & Hotels10%
Communication8%
Banking & Insurance
8%
Transport3%
1991-04
Food & Drinks8%
Chemicals16%
Plastics, Rubber & Glass
9%
Metal products & Engineering
13%
Trade & Hotels3%
Communication22%
Banking & Insurance
7%
Transport22%
16
0
20
40
60
80
100
120
1964 1968 1972 1976 1980 1984 1988 1992 1996 2000 2004
Duration
17
0
50
100
150
200
250
300
350
1964 1968 1972 1976 1980 1984 1988 1992 1996 2000 2004
Recitals
18
Commissioner Period Months Decisions Infringements Diligence
Walter Hallstein (acting)
01/58-06/67 113 9 1 0.08
Jean Rey (acting) 06/67-06/70 36 22 3 0.67
Franco M. Malfatti (acting)
06/70-03/72 21 25 11 1.19
Sicco Mansholt (acting)
03/72-01/73 10 13 10 1.30
Francois-Xavier Ortoli (acting)
01/73-07/76 43 25 15 0.58
Raymond Vouel 07/76-01/81 54 56 40 1.04
Frans Andriessen 01/81-01/85 48 63 42 1.31
Peter Sutherland 01/85-01/89 48 77 32 1.60
Leon Brittan 01/89-01/93 48 66 38 1.38
Karel van Miert 01/93-09/99 81 88 41 0.92
Mario Monti 09/99-11/04 50 57 57 0.74
19
Director General Period Months Decisions Infringements Diligence
Meter VerLoren van Themaat
04/58-09/67 113 9 1 0.08
Ernst Albrecht 10/67-12/70 38 25 5 0.66
Willy Schleider 01/71-04/81 124 126 82 1.01
Manfred Caspari 05/81–12/89 107 155 78 1.45
Claus Dieter Ehlermann
03/90–04/95 61 88 49 1.44
Alexander Schlaub
05/1995-08/02
88 97 60 1.10
Philip Lowe 09/02-12/04 27 38 27 1.41
20
1964-77
Horizontal53%
Dominance16%
Licensing6%
Vertical25%
1978-90
Horizontal49%
Dominance15%
Licensing7%
Vertical29%
1991-04
Horizontal55%
Dominance21%
Licensing0%
Vertical24%
21
0
5000
10000
15000
20000
25000
30000
35000
40000
1964 1968 1972 1976 1980 1984 1988 1992 1996 2000 2004
Total Fine
22
Horizontal Dominance Licensing Vertical
Sum of Fines 1964-77 10,591 1,650 0 506
1978-90 194,975 53,280 145 15,384
1991-04 4,456,228 850,611 795 478,898
Average Fine per Case per Firm 1964-77 45.2 108.9 0 12.7
1978-90 2,223.5 3,977.3 2.8 528.2
1991-04 48,800.2 50,474.3 11.4 21,337.2
23
Marginal Coefficient Coefficient Standard Error
Food & Drinks -0.038 -0.096 0.370
Textile, Leather & Paper -0.125 -0.321 0.567
Chemicals 0.059 0.148 0.348
Plastics, Rubber & Glass
-0.086 -0.216 0.396
Metal products & engineering
-0.121 -0.303 0.347
Trade & Hotels -0.308 -0.774 0.591
Transport -0.218 -0.546 0.386
Banking & Insurance 0.280 0.755 0.614
Communication 0.079 0.197 0.409
Average Party Fine 0.031*** 0.077 0.016
Number of Parties 0.008 0.020 0.011
Duration 0.001 0.002 0.002
Recitals 0.002*** 0.005 0.001
Horizontal 0.041 0.102 0.215
Dominance 0.321*** 0.804 0.281
Vouel -0.026 -0.066 0.323
Andriessen -0.066 -0.167 0.328
Sutherland -0.019 -0.049 0.345
Brittan 0.063 0.157 0.337
van Miert 0.047 0.119 0.380
Monti -0.216 -0.560 0.431
Mean dependent variable 0.46, R²=0.31
24
Conclusion
• Shows tendencies and changes in composition
• Historical changes in legal or procedural settings can be seen
• Case reduction and faster processing achieved
• Efficiency versus effectiveness?
• Network Analysis
• Success of Appeal
• Handbook DGComp
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