Competition Law Compliance Programmes: An Interdisciplinary Approach PDF
Preview Competition Law Compliance Programmes: An Interdisciplinary Approach
Johannes Paha Editor Competition Law Compliance Programmes An Interdisciplinary Approach Competition Law Compliance Programmes Johannes Paha Editor Competition Law Compliance Programmes An Interdisciplinary Approach Editor JohannesPaha DepartmentofEconomicsandBusiness Justus-Liebig-University Gießen,Germany ISBN978-3-319-44632-5 ISBN978-3-319-44633-2 (eBook) DOI10.1007/978-3-319-44633-2 LibraryofCongressControlNumber:2016955412 ©SpringerInternationalPublishingSwitzerland2016 Thisworkissubjecttocopyright.AllrightsarereservedbythePublisher,whetherthewholeorpartof the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilarmethodologynowknownorhereafterdeveloped. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publicationdoesnotimply,evenintheabsenceofaspecificstatement,thatsuchnamesareexempt fromtherelevantprotectivelawsandregulationsandthereforefreeforgeneraluse. Thepublisher,theauthorsandtheeditorsaresafetoassumethattheadviceandinformationinthis book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained hereinorforanyerrorsoromissionsthatmayhavebeenmade. Printedonacid-freepaper ThisSpringerimprintispublishedbySpringerNature TheregisteredcompanyisSpringerInternationalPublishingAGSwitzerland Preface Thisanthologyreviewsandpresentsmultidisciplinaryresearchoncompetitionlaw compliance programmes. The chapters are based on presentations held during a workshop at the Center for Interdisciplinary Research (Zentrum f€ur interdisziplina¨reForschung,ZiF)inBielefeld,Germany, inNovember2015.Iam very grateful for the funds and assistance provided by ZiF and the opportunity to conductthisworkshopaspartofmy5-yearfellowshipthere.Inparticular,Iwould liketothankDr. Britta Padberg who sosuccessfullymanages thisresearchcentre andTrixiValentinwhotookcareofalltheorganisationaldetailsoftheworkshop.I would also like to thank all other employees of ZiF who, just to name a few examples, operated the equipment, prepared the rooms and the meals, did the accounting, and announced the workshop to the press. Your work is outstanding, andZiFdoesagreatservicetothescientificcommunity. Iwouldalsoliketothanktherenownedresearcherswhoreviewedthechapters ofthisbookandgavetheauthorshelpfulrecommendations:Prof.FlorianBaumann (Bonn), Prof. Roger Blair (Florida), Dr. Peter Cserne (Hull), Prof. Georg G€otz (Giessen),Prof.TheresiaTheurl(Muenster),andProf.FrankWalter(Giessen).Itis your dedication and voluntary service that made this publication possible and furtherimprovedthequalityofthefinalproduct. IwouldliketothankthenumerousSpringeremployeesinvolvedinthepublish- ingprocess.Youreffortshelpedusasresearcherstoconcentrateonresearchwhile you took care of the production and distribution of this book both online and in print. Further dedicated editing services were provided by my student assistant Daniel L€ukewhoseemploymentwasmadepossiblebyagrantprovidedtomeby Justus-Liebig-UniversityGiessen. Aboveall,Iwouldliketothanktheauthors ofthechaptersofthisvolume and threefurtherpresentersattheworkshopinBielefeld(Prof.AnjaJacobi,Prof.Bernd Marcus, and Prof. D. Daniel Sokol). Some of you may have considered it an v vi Preface experimentwhenIinvitedyoutothismultidisciplinaryworkshopinlate2014/early 2015.Crossingthedisciplinaryboundariesisnotalwayseasy,butitisoftenfruitful. Hopefully,yourtaskwasmadesomewhateasierwhenIaskedyoutoonlypresent the state-of-the-art research and ideas on an inherently interdisciplinary topic (i.e. competition law compliance programmes) from the viewpoint of your disci- pline andsimply makeitaccessibleforamultidisciplinaryaudience.Ifound your presentationsveryinsightfulandenjoyedourdiscussions.Thankyousomuchfor the great efforts you undertook when writing the chapters of this volume that conveyourideastoaninterestedaudiencebothinacademiaandpractice. Giessen,Germany JohannesPaha 10June2016 Contents PartI Introduction 1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 JohannesPaha 2 CompetitionLawComplianceProgrammes:ALawand EconomicsPerspective. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 StefanFr€ubingandKaiH€uschelrath PartII ComplianceinBusinessandEconomics 3 ResultsofaSurveyinGermany,Austria,andSwitzerland onHowtoPreventViolationsofCompetitionLaws. . . . . . . . . . . . 37 GeorgG€otz,DanielHerold,andJohannesPaha 4 ReducingAntitrustViolations:DoCodesofConduct andComplianceTrainingMakeaDifference?. . . . . . . . . . . . . . . . 59 PeterKotzian,ThomasSt€ober,andBarbaraE.Weißenberger 5 ComplianceandIncentiveContracts. . . . . . . . . . . . . . . . . . . . . . . 87 DanielHerold 6 AntitrustComplianceandAbusiveBehaviour. . . . . . . . . . . . . . . . 103 UlrichSchwalbe PartIII CriminalSanctions 7 CriminalSanctionsAgainstCorporations. . . . . . . . . . . . . . . . . . . . 123 AndreasRansiek 8 ComplianceandIndividualSanctionsintheEnforcementof CompetitionLaw. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 FlorianWagner-vonPapp vii viii Contents PartIV FineReductions 9 CanComplianceProgrammesContributetoEffectiveAntitrust Enforcement?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 FlorenceThe´pot 10 LegalIncentivesforComplianceProgrammes:StickorCarrot?. . . 203 PerRummel PartV ThePsychologyofCompliance 11 PsychologicalContributionstoCompetitionLawCompliance. . . . 215 AgnieszkaParuzel,BarbaraSteinmann,AnnikaN€ubold, SonjaK.O¨tting,andG€unterW.Maier Part I Introduction Chapter 1 Introduction JohannesPaha Improved detection, rising fines, a greater relevance of private damages claims (especially in Europe), and longer prison sentences (for example in USA) have raised the necessity for firms to implement measures that prevent their managers and other employees from violating competition laws (e.g., by engaging in price fixing or the abuse of a dominant position).1 Competition law compliance programmes have increasingly been implemented by European firms since about the year 2005while having been inuse by,e.g., US-Americanfirmsalready for a somewhat longer period. Yet, research on this topic is often relatively new and sparse.Suchworkhasmainlybeendonebylegalscholarsbutincreasinglyalsoby researchersinbusinessadministrationandeconomics.However,conceptsrelevant forcompetitionlawcompliancehavebeenexaminedbypsychologistsandpolitical scientists,too.Thisposestwochallenges.First,researcherssometimesworkonthis topic within the confines of their disciplines without necessarily knowing all the relevantconceptsandresultsestablishedinotherfields.Second,practitionershadto implementanddesigncompetitionlawcomplianceprogrammestothebestoftheir knowledge without necessarily getting the scientific advice they may have wishedfor. This volume addresses both challenges and may ideally be a step towards overcomingthem.Thisisdonebyreviewingandpresentingstateoftheartresearch from legal studies, economics, business administration, and psychology that addresses aspects relevant for competition law compliance programmes. Ideally, this will not only be interesting for researchers who learn how other disciplines approach the topic of antitrust law compliance. The chapters of this volume may 1Thetermscompetitionlawandantitrustlawareusedsynonymouslyinthisvolume. J.Paha(*) DepartmentofEconomicsandBusiness,Justus-Liebig-University,LicherStraße62, 35394Gießen,Germany e-mail:[email protected] ©SpringerInternationalPublishingSwitzerland2016 3 J.Paha(ed.),CompetitionLawComplianceProgrammes, DOI10.1007/978-3-319-44633-2_1
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