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Discovery in Brazil : the antitrust administrative proceedings

Gain insights into the legal framework, discovery process, recent experiences, and possible outcomes of antitrust administrative proceedings in Brazil. Learn about confidentiality, cooperation, and key developments shaping the landscape.

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Discovery in Brazil : the antitrust administrative proceedings

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  1. Discovery in Brazil: theantitrustadministrativeproceedings ICN Webinar, September 14th, 2016 Amanda Athayde Linhares Martins Chief of Staff of the General Superintendence (Leniency Office)

  2. Agenda 1. Legal Framework on Cartels in Brazil 2. General discovery in the administrative proceedings 3. Discovery in the antitrust administrative proceedings 4. Recent administrative and judicial experience 5. Possible outcomes in the short run

  3. 1. Legal Framework on Cartels in Brazil Cartel as a administrative violation: Law 12.529/2011 (“Antitrust Law”) General Superintendence of CADE Prosecution: Companies and individuals Judgment: CADE’s Tribunal Cartel as a criminal violation: Law 8.137/1990 (“Economic Crimes Law”) Public prosecutors (Federal and/or State) Prosecution: Only individuals Judgment: Criminal judge Cooperation inside Brazil : General Controller

  4. 2. General discovery in the administrative proceedings As a general rule, the administrative proceedingsare publicin Brazil (Federal Constitution, art. 5o) – “broad discovery” However, there are legal exceptions (“strict discovery”): Intimacy and public interest (General Law of Administrative Proceedings) Information that might provide competitive advantage to other economic agents or compromise intelligence activities, investigation or ongoing inspections related to the prevention or punishment of infractions(Information Access Law – “FOIA”)

  5. 3. Discovery in the antitrust administrative proceedings Before opening the antitrust administrative proceeding (“strict confidentiality”) Leniency The marker and the entire negotiation are confidential Possibilities: (i) waiver and (ii) applicant request to make it public with Cade’s authorization Cease-and-Desist Agreements The marker and the entire negotiation are confidential Possibilities: (i) waiver and (ii) applicant request to make it public with Cade’s authorization Dawn Raids Maximum level of secrecy requested to the judge, maintained after the conclusion of the dawn raid

  6. 3. Discovery in the antitrust administrative proceedings During the investigation in the antitrust administrative proceeding ‘public’ ‘restricted access’ (whenever the access is restricted to some of the parts involved in the case) ‘confidential’ (whenever the access is restricted to public authorities) ‘investigation secrecy’ (whenever the access to information is limited by a judicial decision) Only for defensepurposes!

  7. 3. Discovery in the antitrust administrative proceedings After the judgement of the antitrust administrative proceeding by CADE’s Tribunal Commissioner(s)’s vote(s) Includes all the necessary information to prove the cartel, which may include documents and information originated from Leniency, Cease-and-Desist and dawn-raids All the other documents should be classified: ‘public’ ‘restricted access’ (whenever the access is restricted to some of the parts involved in the case) ‘confidential’ (whenever the access is restricted to public authorities) ‘investigation secrecy’ (whenever the access to information is limited by a judicial decision) Third parties may have access to ‘restricted access’ documents only upon final ruling of a Brazilian judge of due to legal obligation

  8. 4. Recent administrative and judicial experience Administrative Experience: Some leniency applicants are actively asking for their identity to become public “Car Wash Operation - Petrobras”: public documents during the antitrust administrative investigation Judicial Experience: The “metro case”: after a dawn raid, a federal judge in São Paulo decided to open the information and documents of the leniency applicant, justifying it by the “public interest”. Afterwards, it was overruled. The “compressors case”: private damages lawsuit in which the Superior Court of Justice ruled that in special circumstances, during the investigation in the Administrative Proceeding, CADE may have to provide the documents and information (similar to the Pfleiderer case in EU?) (pending final judgment)

  9. 5. Possible outcomes in the short run Benchmarking USA, EU, UK, Germany, the Netherlands, Australia, Canada, etc. New Regulation: Public and Private Enforcement Foster the private damage lawsuits in Brazil Maintain the incentives for the Leniency and Cease-and-Desist Programs Clarify the discovery rules in the antitrust administrative proceedings Propose some legal modifications in the Competition Law, focused on the following issues: Extent of the civil liability Limitation Periods

  10. Thankyou! Obrigada! Amanda Athayde amanda.martins@cade.gov.br

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