Konferencja Narodów Zjednoczonych ds. Handlu i Rozwoju (UNCTAD)
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Item Assessment of the application and implementation of the set(United Nations, 2010)This note, prepared by the UNCTAD secretariat, reviews major developments which have taken place at the national, regional and multilateral levels in the field of competition law and policy, particularly since November 2005, when the Fifth United Nations Conference to Review All Aspects of the Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices was held. At the multilateral level, mention is made of UNCTAD’s cooperation with international organizations and the International Competition Network (ICN), as well as the outcome of UNCTAD XII (April 2008). The note then reviews in chapter I the operation of the Set in the field of competition, looking at its main provisions, drawing attention to their actuality and evaluating the extent to which they have been implemented to date. In chapter II, an evaluation is made of progress in implementation by States members of UNCTAD and by the Intergovernmental Group of Experts (IGE) on Competition Law and Policy of the resolution adopted by the Fifth Review Conference, drawing attention to technical cooperation, informal consultations and specific studies undertaken by the IGE. Finally, in chapter III, the note looks at possible activities in the field of competition law and policy which the Sixth Review Conference might wish to launch in the light of the decisions taken by UNCTAD XII.Item BEST PRACTICES FOR DEFINING RESPECTIVE COMPETENCES AND SETTLING OF CASES, WHICH INVOLVE JOINT ACTION BY COMPETITION AUTHORITIES AND REGULATORY BODIES(United Nations, 2006)Despite potentially playing complementary roles in fostering competitive markets and safeguarding consumer welfare, the different approaches employed and different perspectives held by competition policy and sector regulation can be a source of friction. Moreover, the distinction between economic and technical regulation and competition enforcement can often be blurred. This paper examines the various frameworks under which competition authorities and sector regulators are coexisting in order to glean best practices from various countries' experiences. It concludes that although there is no ideal type of division of labour between competition authorities and other regulatory bodies, it is possible to specify guidelines and principles that can be generally applied to most industries and countries.Item BEST PRACTICES FOR DEFINING RESPECTIVE COMPETENCES AND SETTLING OF CASES, WHICH INVOLVE JOINT ACTION BY COMPETITION AUTHORITIES AND REGULATORY BODIES(United Nations, 2006)Despite potentially playing complementary roles in fostering competitive markets and safeguarding consumer welfare, the different approaches employed and different perspectives held by competition policy and sector regulation can be a source of friction. Moreover, the distinction between economic and technical regulation and competition enforcement can often be blurred. This paper examines the various frameworks under which competition authorities and sector regulators are coexisting in order to glean best practices from various countries' experiences. It concludes that although there is no ideal type of division of labour between competition authorities and other regulatory bodies, it is possible to specify guidelines and principles that can be generally applied to most industries and countries.Item Communication strategies of competition authorities as a tool for agency effectiveness(2014)Comprehensive communication strategies are one of the most powerful tools competition authorities possess to establish, maintain and promote competition culture. When used effectively, communication strategies can educate and engage the general public, increase compliance with competition laws, shape policy debates and empower competition authorities. The use of media to carry out advocacy activities is a fundamental aspect of any communication strategy. This note discusses the importance of general and media advocacy and explores media advocacy activities in detail. Advocacy strategies across key sectors of the media are outlined, and methods of evaluating media advocacy strategies are described. Case studies and descriptive and comparative statistics are presented, based on authorities’ responses to a survey distributed by the UNCTAD secretariat.Item Communication strategies of competition authorities as a tool for agency effectiveness(United Nations, 2014)Comprehensive communication strategies are one of the most powerful tools competition authorities possess to establish, maintain and promote competition culture. When used effectively, communication strategies can educate and engage the general public, increase compliance with competition laws, shape policy debates and empower competition authorities. The use of media to carry out advocacy activities is a fundamental aspect of any communication strategy. This note discusses the importance of general and media advocacy and explores media advocacy activities in detail. Advocacy strategies across key sectors of the media are outlined, and methods of evaluating media advocacy strategies are described. Case studies and descriptive and comparative statistics are presented, based on authorities’ responses to a survey distributed by the UNCTAD secretariat.Item Item Consumer protection and competition policy(2012)Both competition and consumer policies act to protect consumers’ well-being and are usually mutually reinforcing. Competition policy seeks to spur suppliers to offer better deals to consumers. Consumer policy aims to suppress deception and other conduct and market conditions that impede effective consumer comparison- and decision-making, while providing consumers with tools to make more informed choices. However, remedies for one policy can inadvertently impede the attainment of the other policy’s objectives. New products, new pricing and marketing practices and new understanding of their effects on consumer decision-making can suggest a re-evaluation of policy interventions.Item Criteria for Evaluating the Effectiveness of Competition Authorities(2007)This report considers some of the recent initiatives undertaken by authorities in terms of criteria for the evaluation of competition law enforcement and competition advocacy. It is based on the responses to a questionnaire, sent by member States to UNCTAD. This report concurs with earlier studies on this topic suggesting that effectiveness should be viewed in terms of good outcomes and processes leading to those outcomes. For example, evaluating competition policy activities ex post is important for improving the efficiency of intervention, developing a competition culture and providing an impetus for updating and amending laws, guidelines and procedure. Evaluation activities might be purely internal, might be within Government but outside the authority or responsible ministry, or might be conducted by outside academic experts, consultants, international organizations or peers. The focus of these studies might be to examine various measures of the effectiveness of internal agency processes or the outcomes of agency interventions. Surveying changes in stakeholder perceptions can also be an indicator of the progress the authority is making towards the introduction of a competition culture. The evaluation of outcomes can be parsed into studies that examine the impact of sector studies and sector inquiries, reviews of advocacy initiatives and case selection, merger enforcement reviews (including a review of the effectiveness of remedies) and studies of the impacts of particular case interventions. The largest category of ex post evaluation has been in the area of merger enforcement. It is also important to consider the particular developing country priorities for impact evaluation.Item Criteria for Evaluating the Effectiveness of Competition Authorities(2007)This report considers some of the recent initiatives undertaken by authorities in terms of criteria for the evaluation of competition law enforcement and competition advocacy. It is based on the responses to a questionnaire, sent by member States to UNCTAD. This report concurs with earlier studies on this topic suggesting that effectiveness should be viewed in terms of good outcomes and processes leading to those outcomes. For example, evaluating competition policy activities ex post is important for improving the efficiency of intervention, developing a competition culture and providing an impetus for updating and amending laws, guidelines and procedure. Evaluation activities might be purely internal, might be within Government but outside the authority or responsible ministry, or might be conducted by outside academic experts, consultants, international organizations or peers. The focus of these studies might be to examine various measures of the effectiveness of internal agency processes or the outcomes of agency interventions. Surveying changes in stakeholder perceptions can also be an indicator of the progress the authority is making towards the introduction of a competition culture. The evaluation of outcomes can be parsed into studies that examine the impact of sector studies and sector inquiries, reviews of advocacy initiatives and case selection, merger enforcement reviews (including a review of the effectiveness of remedies) and studies of the impacts of particular case interventions. The largest category of ex post evaluation has been in the area of merger enforcement. It is also important to consider the particular developing country priorities for impact evaluation.Item EXPERIENCES GAINED SO FAR ON INTERNATIONAL COOPERATION ON COMPETITION POLICY ISSUES AND THE MECHANISMS USED(2007)This report focuses mainly upon three of the more formal types of international instruments dealing with competition law and policy cooperation, namely: competition law enforcement cooperation agreements; free trade, customs union or common market agreements; and multilateral instruments. The concentration of such agreements among OECD countries has lessened somewhat. There are many common elements among the relevant provisions of these agreements, even though no single agreement is exactly like another. The implementation of such agreements has helped to minimize conflicts among Governments and to facilitate enforcement in this area. Countries that are close trading partners with significant economic relations, and that have comparable competition policy experiences or views, are the most likely to employ such arrangements. To date, developing countries have played a less significant role than their OECD counterparts in developing or implementing these more formal cooperation arrangements, especially in dealing with specific cases. To promote the active participation of developing countries in such arrangements, it would be advisable to build up mutual confidence gradually, by evolving from simple and informal arrangements to more complex cooperation agreements. Balanced cooperation among developing countries would provide a learning experience and help ensure that cooperation with more advanced partners was fruitful. Free trade or common market agreements might provide a framework conducive to this purpose, but regional rules, institutions and mechanisms would need to be adapted accordingly. Within the framework established by the Fifth Review Conference and taking into account views expressed during or after the seventh session of the Group of Experts, future sessions of the Intergovernmental Group of Experts on Competition Law and Policy might accordingly deliberate upon the status of international cooperation in this area and identify how UNCTAD could further strengthen such cooperation. Specific issues for discussion include the following: (a) how to ensure compatibility, coexistence, coordination and mutual reinforcement among national, subregional, interregional and possible multilateral competition regimes; (b) how much convergence among substantive, procedural and enforcement policy aspects of competition laws and policies is necessary to further enforcement cooperation; (c) the appropriate balance between promoting such convergence and allowing room for diversity and experimentation by each country or subregional grouping; (d) whether and how the principle of preferential or differential treatment for developing countries might be better reflected in competition cooperation agreements; (e) what types of dispute avoidance or resolution mechanisms (if any) might be appropriate in different contexts, and how such mechanisms as applicable might be tailored and developed for cooperation on competition law and policy; (f) how diversity or compatibility/convergence among national, bilateral, regional and multilateral regimes might be catered for or reconciled through such mechanisms as applicable; (g) how best to promote exchange of experiences in this area so as to further develop bilateral and regional cooperation mechanisms, including the organization, functions and powers of the competent institutions; (h) confidentiality restrictions and leniency agreements; (i) possible roles of competition authorities and of UNCTAD with respect to negotiations or implementation of competition-related provisions in regional trading agreements; and (j) minimum standards for substantive and procedural antitrust rules.Item Foundations of an effective competition agency(2011)Competition policy refers to government policy to preserve or promote competition among market players and to promote other government policies and processes that enable a competitive environment to develop. Differing environments imply that the design of the competition regime should differ too. However, there are some features that characterize efficient public regulatory bodies. Among these are independence; transparency; accountability; assuring due process; being well funded in proportion to the mandate; being staffed by well-educated, well-trained and non-corrupt persons; and having an appellate process that itself is well structured and noncorrupt. More recent discussion about competition agencies indicates that evaluation is necessary too. Among the internal processes, defining objectives and priorities, appropriately allocating resources, and taking effective decisions are necessary to an effective competition agency. This paper first addresses how to define an effective competition agency, and the importance of evaluation in that context. The next two sections address different factors that form the foundations of an effective competition agency. Much of the content of the first three sections applies to competition agencies in both developing and developed countries. The last two sections focus, respectively, on young competition agencies, and on what might be called “barefoot competition offices” – those without significant political or financial support.Item Foundations of an effective competition agency(2011)Competition policy refers to government policy to preserve or promote competition among market players and to promote other government policies and processes that enable a competitive environment to develop. Differing environments imply that the design of the competition regime should differ too. However, there are some features that characterize efficient public regulatory bodies. Among these are independence; transparency; accountability; assuring due process; being well funded in proportion to the mandate; being staffed by well-educated, well-trained and non-corrupt persons; and having an appellate process that itself is well structured and noncorrupt. More recent discussion about competition agencies indicates that evaluation is necessary too. Among the internal processes, defining objectives and priorities, appropriately allocating resources, and taking effective decisions are necessary to an effective competition agency. This paper first addresses how to define an effective competition agency, and the importance of evaluation in that context. The next two sections address different factors that form the foundations of an effective competition agency. Much of the content of the first three sections applies to competition agencies in both developing and developed countries. The last two sections focus, respectively, on young competition agencies, and on what might be called “barefoot competition offices” – those without significant political or financial support.Item HANDBOOK ON COMPETITION LEGISLATION CONSOLIDATED REPORT 2001-2009(United Nations, 2009)Item HANDBOOK ON COMPETITION LEGISLATION. VOLUME II: CONSOLIDATED REPORT 2013-2014(United Nations, 2012)Item Independence and accountability of competition authorities(2008)A review of the concepts and practice of the independence and accountability of competition authorities shows that, even as countries have responded to pressures and learnt from the successful experience of others in setting up independent competition authorities, there is a nuanced application of these concepts across countries. Legal, administrative, political and economic factors explain differences in application and most likely make the pursuit of a single standard for independence and accountability undesirable. However, most countries recognize that it is desirable to prevent the implementation of narrow interest group goals when enforcing competition law, and to this end have put in place various checks and balances. Independence is counterbalanced by the desire for stricter standards of accountability; also, for developing countries in particular, accountability is fundamental to development. In this context, the challenge for all countries is to achieve the best balance between autonomy and control.Item Independence and accountability of competition authorities(2008)A review of the concepts and practice of the independence and accountability of competition authorities shows that, even as countries have responded to pressures and learnt from the successful experience of others in setting up independent competition authorities, there is a nuanced application of these concepts across countries. Legal, administrative, political and economic factors explain differences in application and most likely make the pursuit of a single standard for independence and accountability undesirable. However, most countries recognize that it is desirable to prevent the implementation of narrow interest group goals when enforcing competition law, and to this end have put in place various checks and balances. Independence is counterbalanced by the desire for stricter standards of accountability; also, for developing countries in particular, accountability is fundamental to development. In this context, the challenge for all countries is to achieve the best balance between autonomy and control.
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