Liner Conferences in Competition Law - A Comparative Analysis of European and Chinese Law

Liner Conferences in Competition Law - A Comparative Analysis of European and Chinese Law

von: Hongyan Liu

Springer-Verlag, 2009

ISBN: 9783642038754 , 314 Seiten

Format: PDF, OL

Kopierschutz: Wasserzeichen

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Liner Conferences in Competition Law - A Comparative Analysis of European and Chinese Law


 

191110_1_En_BookFrontmatter_OnlinePDF.pdf

2

Liner Conferences in Competition Law

4

Preface

6

Summary Contents

7

Contents

10

Abbreviations

18

191110_1_En_1_Chapter_OnlinePDF.pdf

21

Introduction

21

191110_1_En_2_Chapter_OnlinePDF.pdf

29

Chapter I: Maritime Policy and Regulation

29

A. Maritime Policy and Regulation in the EU

29

I. The First Stage: From the Ground of the EEC to the Adoption of the UNCTAD Liner Code

29

1. European “Self-Regulation”

29

2. Development of Common Policy in Maritime Transport: Inside and Outside

32

3. The UNCTAD Liner Code and the Brussels Package

33

II. The Second Stage: 1986 Package of Regulations

35

1. The 1985 Commission Communication on Shipping Policy

35

2. The 1986 Package of Regulations

37

III. The Third Stage: New Dimensions and Legislation on Consortia

38

1. New Dimensions of Maritime Policy

38

2. Legislation on Consortia

39

IV. The Fourth Stage: Review of Regulation 4056/86 and Adoption of Regulation 1419/2006 and Regulation 1490/2007

41

1. The OECD Report 2002

41

2. The Review of Regulation 4056/86

42

3. Adoption of Regulation 1419/2006

44

4. Adoption of Regulation 1490/2007

46

B. Maritime Policy and Regulation in China

46

I. China’s Maritime Transport Industry: 1949–1977

47

1. Initiation of International Maritime Transport

48

2. Establishment and Development of the National Maritime Merchant Fleet

49

II. Development of Maritime Policy: 1978–2001

50

1. Industry Policy and Reform of SOEs in Maritime Transport Sector

52

a. General Review of Development

52

b. Industry Policy

52

c. Separation of Governmental Administration and SOEs Management

53

2. Sector Administration and Legislation in the Maritime Transport Sector

53

a. Administration Reform and Strengthening of Legislation

53

b. Market Opening and Market Access

55

c. Cargo Reservation

56

d. Port Services

57

e. Auxiliary Services

57

3. The Chinese National Maritime Fleet

58

III. Development and Legislation after China’s WTO Accession

60

1. China’s WTO Accession

60

a. A History Review

60

b. China’s Specific Accession Commitments on Maritime Transport Services

61

c. MFN Exemptions in View of Maritime Transport Services

63

2. Maritime Legislation

64

a. Administrative Regulations on International Maritime Transportation

65

b. Provisions on the Administration of Foreign Investment in International Maritime Transportation

67

c. Legislation on Ports

68

IV. International Convention and the UNCTAD Liner Code

68

1. Reasons for China’s Ratification of International Maritime Conventions

68

2. Legal Status and Applicability of International Maritime Conventions Ratified by China

69

a. General Review of Chinese Legal System

69

b. Legal Status and Applicability of International Maritime Conventions

70

c. The UNCTAD Liner Code

72

C. Conclusion

74

191110_1_En_3_Chapter_OnlinePDF.pdf

76

Chapter II: General and Sector-SpecificCompetition Rules in Force

76

A. Community Competition Rules in Maritime Transport and Regulation 4056/86

76

I. Politicization of Community Competition Rules in Maritime Transport

77

II. Regulation 17 and Regulation 141

78

III. Development by Community Case Law

79

IV. Regulation 4056/86: Incompatibility with the EC Treaty from the Legislative Point of View

81

B. General and Sector-Specific Competition Rules in Maritime Transport in China

83

I. Regime of Competition Regulation in Maritime Transport

83

1. Critique of Maritime Legislation in China

83

2. Competition Regulation relating to Liner Conferences

84

a. RIMT

84

b. IRRIMT

85

c. MOC-Notice 2007

86

II. Applicability of General Competition Rules

87

1. Competition Legislation: General Overview

87

2. Law Against Unfair Competition (LAUC)

91

a. Background

91

b. Applicability to Competition Regulation of Liner Conferences

92

3. Price Regulation

93

a. Background

93

b. Pricing Law and Implementation Rules

94

c. Pricing Monopolies under Article 2 PRCPM

95

d. Applicability to Competition Regulation of Liner Conferences

97

C. Conclusion

98

191110_1_En_4_Chapter_OnlinePDF.pdf

99

Chapter III: Scope of Application of Sector-Specific Regulation of Liner Conferences

99

A. Scope of Application of Regulation 4056/86

99

I. Objective Scope

99

1. Maritime Transport

99

2. Exclusion of Tramp Vessel Services

101

II. Territorial Scope

103

1. International Maritime Transport

103

2. Effect on Trade between Member States

103

3. Cabotage

105

4. Exclusion of Maritime Transport between Ports outside the EU

105

B. Scope of Application of the RIMT and the IRRIMT

106

I. Objective Scope

107

II. Territorial Scope

109

C. Conclusion

112

191110_1_En_5_Chapter_OnlinePDF.pdf

113

Chapter IV: Exemption and Prohibition Provisions Concerning Liner Conferences

113

A. Exemption Provisions of Regulation 4056/86

113

I. Definition of Liner Conferences

113

1. Vessel-Operating Carriers under Agreement or Arrangement

114

2. International Liner Services within Specified Geographical Limitation

114

3. Uniform or Common Freight Rates

115

II. Exemption under Article 3 of Regulation 4056/86

117

1. General Review

117

2. Agreements with Reference to Participating Undertaking

118

a. Agreements between Various Liner Conferences

118

b. “Tolerated Outsider Agreements”

119

3. Objective Contents of Agreements Covered by Article 3 of Regulation 4056/86

120

a. Systematic Review

120

b. Fixing of Rates and Conditions

123

c. Inland Price Fixing and Multimodal Transport

124

d. Capacity Management Programs

126

e. Is the List of Agreements in Article 3 of Regulation 4056/86 Conclusive?

130

4. Article 2 of Regulation 4056/86

131

5. Article 6 of Regulation 4056/86

133

III. Conditions under Article 4 of Regulation 4056/86

135

1. Non-Discrimination

135

2. Severability

137

IV. Obligations under Article 5 of Regulation 4056/86

138

1. General Overview

138

2. Consultations with Transport Users

139

3. Loyalty Arrangements

139

a. Definition and Classification

140

b. Service Contract

140

c. Requirements

142

4. Inland Transport Operations and Quayside Services Not Coveredby the Freight Charge

145

5. Availability of Tariffs

145

6. Notification to the Commission of Awards at Arbitration and Recommendations of Conciliator

146

B. Competition Regulation of Liner Conferences under RIMT/IRRIMT

147

I. Definition of Liner Conferences

147

1. Definition of Liner Conferences

147

2. Definition of Liner Conference Agreements

148

3. Definitions of Other Forms of Agreements in Liner Services

149

II. Filing Requirements on Liner Conferences

150

1. General Provisions on Liner Shipping Undertakings

150

a. Filing of Operation

150

b. Filing of Freight Rates

151

c. Filing of Liaison Office and Resident Representative

153

2. Specific Provisions on Liner Conferences

154

a. Article 22 RIMT and Article 32 IRRIMT

154

b. MOC-Notice 2007

154

III. Legal Nature of Liner Conferences and Applicability of Competition Rules

156

1. General Legitimization of Liner Conferences

156

2. Discussion of the Applicability of Competition Rules

157

a. General Competition Rules

157

b. RIMT and IRRIMT

157

c. MOC-Notice 2007

161

C. Conclusion

162

191110_1_En_6_Chapter_OnlinePDF.pdf

164

Chapter V: Regulatory Procedure

164

A. Procedural Rules in the EU: Reform and Application

164

I. Regulation 4056/86 in Relation to Regulation 17

164

II. Regulation 4056/86 in Relation to Regulation 1/2003

165

1. Regulation 1/2003: Modernization of Community Procedural Rules

165

a. The Need for Reform: From Regulation 17 to Regulation 1/2003

165

b. Main Features of Regulation 1/2003

168

2. Self-Regulation in Regulation 4056/86: From Notification in Regulation 17 to Legal Exception in Regulation 1/2003

172

III. System of Legal Exception and Monitoring Procedure in Regulation 4056/86

174

1. Ex Post Regulation in the System of Legal Exception

174

a. Undertakings’ Responsibility of Self-Assessment

175

b. The Competition Authorities’ Competence in ex post Control

175

c. The European Commission’s Findings of Inapplicability

176

2. Block Exemption in Article 29 of Regulation 1/2003

176

3. Monitoring Procedure in Regulation 4056/86

177

a. Article 7 of Regulation 4056/86

178

b. Article 8 of Regulation 4056/86

181

IV. Enforcement of Procedural Rules on Liner Conferences

183

1. The European Commission as Enforcement Organisation

183

2. Initiation of Proceedings: From Regulation 4056/86 to Regulation 1/2003

184

a. The European Commission’s Own Initiative

184

b. Complaints

185

c. Clearance Requests

187

3. Powers of Investigation

188

a. Investigative Powers

188

b. Information Request on NCAs

189

c. Information Request on Undertakings

189

d. On-the-Spot Investigation

191

e. Interview and Statements

192

f. Sector Enquiry

192

g. Confidentiality and Professional Secrecy in Article 28 of Regulation 1/2003

192

4. The Right to be Heard

193

5. Cooperation between Authorities and Courts: Community and Member States

194

a. Cooperation between the European Commission and NCAs

194

b. Cooperation with National Courts

195

6. Commission Decisions

196

a. Cease-and-Desist Orders

196

b. Interim Measures

197

c. Commitments

198

d. Publication

198

7. Fines

198

a. Categories of Fines

198

b. Addressees

199

c. “Non-criminal” Nature and Limitation Periods

199

d. Amount of Fines and Determination

200

8. Judicial Review

201

B. China’s Procedural Rules of Competition Regulation on Liner Conferences

203

I. Initiation of Investigation

203

II. Investigation Authorities and Investigation Committee

205

1. Ministry of Communications (MOC)

205

2. A New Regulatory Authority: Ministry of Transport

205

3. Investigation Authorities

206

III. Investigation Procedure

206

1. Initiation and Duration of Investigation

206

2. Right and Obligation of a Person under Investigation

207

3. Scope of Investigation

207

4. The Right to be Heard

208

5. Consultative Experts

208

6. Administrative Decision and Legal Remedy

209

a. Comparison with the General Penalty Provisions

209

b. Legal Remedy

210

C. Conclusion

212

191110_1_En_7_Chapter_OnlinePDF.pdf

213

Chapter VI: Future Perspectives after the Change of the Regulation Regime

213

A. Liner Shipping beyond the Expiration of Block Exemption in the EU

213

I. Incompatibility of Regulation 4056/86 with Articles 81 and 82 EC: A Substantive Review

213

1. Decision Practice and Systematic Review

213

a. Restrictive Interpretation in Decision Practices

213

b. A Systematic Review in the Light of Articles 81 and 82 EC

214

2. Economic or Technical Advantage

216

a. General Review

216

b. Liner Conferences

218

3. A Fair Share of Benefits for Consumers

222

a. General Review

222

b. Liner Conferences

223

4. Indispensable Nature of the Restrictions on Competition

224

a. General Review

224

b. Liner Conferences

226

5. No Substantial Elimination of Internal Competition

228

a. General Review

228

b. Liner Conferences

228

6. External Competition in Relation to Abuse of Collective Dominance

228

a. General Review

228

b. Liner Conferences

230

II. Beyond Regulation 1419/2006

234

1. Regulation 1419/2006

235

2. Block Exemption for Consortia: Regulation 823/2000

236

a. General Review

236

b. Scope of Application and Definition

237

c. Block Exemption

238

d. Conditions and Obligations

239

3. Guidelines on the Application of Article 81 EC to Maritime Transport Services

241

a. General Introduction

241

b. The Information Exchange System

242

B. Liner Conferences after the Adoption of the Anti-Monopoly Law in China

253

I. Antitrust Investigation in Practice: Investigation of the Terminal Handling Charges (THC)

253

1. Introduction

253

2. Background of the THC Investigation

254

3. The Investigation Process

256

4. The THC Decision

260

5. Comment on the THC Investigation

261

a. Substantive Aspects

262

b. Procedural Aspects

268

II. Anti-Monopoly Law

270

1. Introduction

270

2. General Overview

272

a. Aim and Principles

272

b. Extraterritorial Application

275

3. Substantive Rules of “Anti-Monopoly”

276

a. General Overview

276

b. Monopoly Agreements

279

c. Abuse of Dominant Position

280

d. Liner Conferences

281

4. Anti-Monopoly Investigation

284

a. Anti-Monopoly Authorities

284

b. Investigation Procedures

285

c. Liner Conferences

286

5. Legal Liability

287

a. Administrative Sanctions and Liability for Civil Damages

287

b. Liner Conferences

288

6. Legal Remedy

289

C. Conclusion

289

191110_1_En_8_Chapter_OnlinePDF.pdf

291

Chapter VII: Conclusion

291

191110_1_En_BookBackmatter_OnlinePDF.pdf

295

Bibliography

295

Documents

295

Books, Reports, Papers and Articles

298

Table of Legislations, Cases and Decisions

314

The European Community

314

Regulations

314

Table of Cases

316

Decisions of the European Commission

320

The People’s Republic of China

321

Legislations, Notices and Decisions

321

Other Judicial Cases

326