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

191110_1_En_BookFrontmatter_OnlinePDF.pdf

Liner Conferences in Competition Law

Preface

Summary Contents

Contents

Abbreviations

191110_1_En_1_Chapter_OnlinePDF.pdf

Introduction

191110_1_En_2_Chapter_OnlinePDF.pdf

Chapter I: Maritime Policy and Regulation

A. Maritime Policy and Regulation in the EU

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

1. European “Self-Regulation”

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

3. The UNCTAD Liner Code and the Brussels Package

II. The Second Stage: 1986 Package of Regulations

1. The 1985 Commission Communication on Shipping Policy

2. The 1986 Package of Regulations

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

1. New Dimensions of Maritime Policy

2. Legislation on Consortia

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

1. The OECD Report 2002

2. The Review of Regulation 4056/86

3. Adoption of Regulation 1419/2006

4. Adoption of Regulation 1490/2007

B. Maritime Policy and Regulation in China

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

1. Initiation of International Maritime Transport

2. Establishment and Development of the National Maritime Merchant Fleet

II. Development of Maritime Policy: 1978–2001

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

a. General Review of Development

b. Industry Policy

c. Separation of Governmental Administration and SOEs Management

2. Sector Administration and Legislation in the Maritime Transport Sector

a. Administration Reform and Strengthening of Legislation

b. Market Opening and Market Access

c. Cargo Reservation

d. Port Services

e. Auxiliary Services

3. The Chinese National Maritime Fleet

III. Development and Legislation after China’s WTO Accession

1. China’s WTO Accession

a. A History Review

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

c. MFN Exemptions in View of Maritime Transport Services

2. Maritime Legislation

a. Administrative Regulations on International Maritime Transportation

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

c. Legislation on Ports

IV. International Convention and the UNCTAD Liner Code

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

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

a. General Review of Chinese Legal System

b. Legal Status and Applicability of International Maritime Conventions

c. The UNCTAD Liner Code

C. Conclusion

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Chapter II: General and Sector-SpecificCompetition Rules in Force

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

I. Politicization of Community Competition Rules in Maritime Transport

II. Regulation 17 and Regulation 141

III. Development by Community Case Law

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

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

I. Regime of Competition Regulation in Maritime Transport

1. Critique of Maritime Legislation in China

2. Competition Regulation relating to Liner Conferences

a. RIMT

b. IRRIMT

c. MOC-Notice 2007

II. Applicability of General Competition Rules

1. Competition Legislation: General Overview

2. Law Against Unfair Competition (LAUC)

a. Background

b. Applicability to Competition Regulation of Liner Conferences

3. Price Regulation

a. Background

b. Pricing Law and Implementation Rules

c. Pricing Monopolies under Article 2 PRCPM

d. Applicability to Competition Regulation of Liner Conferences

C. Conclusion

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

A. Scope of Application of Regulation 4056/86

I. Objective Scope

1. Maritime Transport

2. Exclusion of Tramp Vessel Services

II. Territorial Scope

1. International Maritime Transport

2. Effect on Trade between Member States

3. Cabotage

4. Exclusion of Maritime Transport between Ports outside the EU

B. Scope of Application of the RIMT and the IRRIMT

I. Objective Scope

II. Territorial Scope

C. Conclusion

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Chapter IV: Exemption and Prohibition Provisions Concerning Liner Conferences

A. Exemption Provisions of Regulation 4056/86

I. Definition of Liner Conferences

1. Vessel-Operating Carriers under Agreement or Arrangement

2. International Liner Services within Specified Geographical Limitation

3. Uniform or Common Freight Rates

II. Exemption under Article 3 of Regulation 4056/86

1. General Review

2. Agreements with Reference to Participating Undertaking

a. Agreements between Various Liner Conferences

b. “Tolerated Outsider Agreements”

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

a. Systematic Review

b. Fixing of Rates and Conditions

c. Inland Price Fixing and Multimodal Transport

d. Capacity Management Programs

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

4. Article 2 of Regulation 4056/86

5. Article 6 of Regulation 4056/86

III. Conditions under Article 4 of Regulation 4056/86

1. Non-Discrimination

2. Severability

IV. Obligations under Article 5 of Regulation 4056/86

1. General Overview

2. Consultations with Transport Users

3. Loyalty Arrangements

a. Definition and Classification

b. Service Contract

c. Requirements

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

5. Availability of Tariffs

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

B. Competition Regulation of Liner Conferences under RIMT/IRRIMT

I. Definition of Liner Conferences

1. Definition of Liner Conferences

2. Definition of Liner Conference Agreements

3. Definitions of Other Forms of Agreements in Liner Services

II. Filing Requirements on Liner Conferences

1. General Provisions on Liner Shipping Undertakings

a. Filing of Operation

b. Filing of Freight Rates

c. Filing of Liaison Office and Resident Representative

2. Specific Provisions on Liner Conferences

a. Article 22 RIMT and Article 32 IRRIMT

b. MOC-Notice 2007

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

1. General Legitimization of Liner Conferences

2. Discussion of the Applicability of Competition Rules

a. General Competition Rules

b. RIMT and IRRIMT

c. MOC-Notice 2007

C. Conclusion

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Chapter V: Regulatory Procedure

A. Procedural Rules in the EU: Reform and Application

I. Regulation 4056/86 in Relation to Regulation 17

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

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

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

b. Main Features of Regulation 1/2003

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

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

1. Ex Post Regulation in the System of Legal Exception

a. Undertakings’ Responsibility of Self-Assessment

b. The Competition Authorities’ Competence in ex post Control

c. The European Commission’s Findings of Inapplicability

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

3. Monitoring Procedure in Regulation 4056/86

a. Article 7 of Regulation 4056/86

b. Article 8 of Regulation 4056/86

IV. Enforcement of Procedural Rules on Liner Conferences

1. The European Commission as Enforcement Organisation

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

a. The European Commission’s Own Initiative

b. Complaints

c. Clearance Requests

3. Powers of Investigation

a. Investigative Powers

b. Information Request on NCAs

c. Information Request on Undertakings

d. On-the-Spot Investigation

e. Interview and Statements

f. Sector Enquiry

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

4. The Right to be Heard

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

a. Cooperation between the European Commission and NCAs

b. Cooperation with National Courts

6. Commission Decisions

a. Cease-and-Desist Orders

b. Interim Measures

c. Commitments

d. Publication

7. Fines

a. Categories of Fines

b. Addressees

c. “Non-criminal” Nature and Limitation Periods

d. Amount of Fines and Determination

8. Judicial Review

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

I. Initiation of Investigation

II. Investigation Authorities and Investigation Committee

1. Ministry of Communications (MOC)

2. A New Regulatory Authority: Ministry of Transport

3. Investigation Authorities

III. Investigation Procedure

1. Initiation and Duration of Investigation

2. Right and Obligation of a Person under Investigation

3. Scope of Investigation

4. The Right to be Heard

5. Consultative Experts

6. Administrative Decision and Legal Remedy

a. Comparison with the General Penalty Provisions

b. Legal Remedy

C. Conclusion

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

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

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

1. Decision Practice and Systematic Review

a. Restrictive Interpretation in Decision Practices

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

2. Economic or Technical Advantage

a. General Review

b. Liner Conferences

3. A Fair Share of Benefits for Consumers

a. General Review

b. Liner Conferences

4. Indispensable Nature of the Restrictions on Competition

a. General Review

b. Liner Conferences

5. No Substantial Elimination of Internal Competition

a. General Review

b. Liner Conferences

6. External Competition in Relation to Abuse of Collective Dominance

a. General Review

b. Liner Conferences

II. Beyond Regulation 1419/2006

1. Regulation 1419/2006

2. Block Exemption for Consortia: Regulation 823/2000

a. General Review

b. Scope of Application and Definition

c. Block Exemption

d. Conditions and Obligations

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

a. General Introduction

b. The Information Exchange System

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

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

1. Introduction

2. Background of the THC Investigation

3. The Investigation Process

4. The THC Decision

5. Comment on the THC Investigation

a. Substantive Aspects

b. Procedural Aspects

II. Anti-Monopoly Law

1. Introduction

2. General Overview

a. Aim and Principles

b. Extraterritorial Application

3. Substantive Rules of “Anti-Monopoly”

a. General Overview

b. Monopoly Agreements

c. Abuse of Dominant Position

d. Liner Conferences

4. Anti-Monopoly Investigation

a. Anti-Monopoly Authorities

b. Investigation Procedures

c. Liner Conferences

5. Legal Liability

a. Administrative Sanctions and Liability for Civil Damages

b. Liner Conferences

6. Legal Remedy

C. Conclusion

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Chapter VII: Conclusion

191110_1_En_BookBackmatter_OnlinePDF.pdf

Bibliography

Documents

Books, Reports, Papers and Articles

Table of Legislations, Cases and Decisions

The European Community

Regulations

Table of Cases

Decisions of the European Commission

The People’s Republic of China

Legislations, Notices and Decisions

Other Judicial Cases