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Dr. Christina Hummer

Screening Devices for Detecting Collusion Screens in Private Practice Vienna, Austria 18 October 2010. Dr. Christina Hummer. Areas of application. Audits Compliance. Limits for detection of cartels or their full extent. Most managers are aware of their illegal conduct

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Dr. Christina Hummer

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  1. Screening Devices for Detecting CollusionScreens in Private Practice Vienna, Austria18 October 2010 Dr. Christina Hummer

  2. Areas of application • Audits • Compliance

  3. Limits for detection of cartels or their full extent • Most managers are aware of their illegal conduct • Interviews alone might not provide full disclosure • fear of repercussions • „Code of honour“/“Gentlemen‘s agreement“ • don‘t think they will be caught • e.g. infringement has ended, no notes are kept, etc • unaware of infringements or of full extent • current infringements carried out by other party • past infringements carried out under predecessor • Efforts to avoid any documentary evidence -> no guarantee that such exists at other parties

  4. Classical audits • Interviews • extensive reviews of records • potentially not focused • intrusive • more difficult to „find the needle in the hay“ • very resource intensive • very costly („$1 per document“)

  5. Advantages of the use of screens during audits • targeted • tailored to the market conditions • supportive tool to prevent employees from hiding facts in the first place • very cost effective • collusion is an economic activity – economic analysis goes beyond statements provided and written records

  6. Use of screens during audits • Motive for an audit: • ongoing investigation in one product area of a company • change of management • audit during the course of a transaction (seller/buyer) • Launch vs completion • depends on the occasion for the audit • structure of the company (e.g. specific antitrust in-house counsel) • market involved • always in combination with interviews of employees

  7. Compliance • Compliance manuals are not sufficient • In-person and online trainings are good, but in order to be effective they should be in combination with • Monitoring (eg. random classical audits vs random screening) • internal whistleblower line

  8. Thank you very much for your attention!

  9. Contact Dr. Christina Hummer LL.M. (NYU) Solicitor (England & Wales) Attorney at Law (New York) Saxinger Chalupsky & Partner Rechtsanwälte GmbH Linke Wienzeile 4/II/2 Rue de Pascale 22 A-1060 Wien B-1040 Brüssel Tel. + 43 / 1 / 9050100 Tel. +32/2/2307800 Fax + 43 / 1 / 9050100-100 Fax +32/2/2307810 c.hummer@scwp.com

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