UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT
THE UNITED NATIONS SET
OF PRINCIPLES AND RULES
ON COMPETITION
UNITED NATIONS
UNITED NATIONS CONFERENCE ON TRADE AND DEVELOPMENT
"THE UNITED NATIONS SET
OF PRINCIPLES AND RULES
ON COMPETITION"
The Set of Multilaterally Agreed Equitable Principles
and Rules for the Control of Restrictive
Business Practices
UNITED NATIONS
Geneva, 2000
TD/RBP/CONF/10/Rev.2
ii
NOTE
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* The designations employed and the presentation of the material do
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* Material in this publication may be freely quoted or reprinted, but
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quotation or reprint should be sent to the UNCTAD secretariat at:
Palais des Nations, 1211 Geneva 10, Switzerland.
UNCTAD/RBP/CONF/10/Rev.2
iii
CONTENTS
Pages
III. PREFACE ...................................................................................... 1
III. RESOLUTION ADOPTED BY THE UNITED NATIONS CONFERENCE
III. ON RESTRICTIVE BUSINESS PRACTICES ON 22 APRIL 1980 ........ 3
III. RESOLUTION 35/63 ADOPTED BY THE GENERAL ASSEMBLY AT
III. ITS THIRTY-FIFTH SESSION, ON 5 DECEMBER 1980 ........................ 5
IV. THE SET OF MULTILATERALLY AGREED EQUIBABLE PRINCIPLES
III. AND RULES FOR THE CONTROL OF RESTRICTIVE BUSINESS PRACIII.
TICES............................................................................................ 7
1
I. PREFACE
The United Nations Conference on Restrictive Business Practices
was convened by the General Assembly in its resolution 33/153 of
20 December 1978 under the auspices of UNCTAD. Pursuant to resolution
103 (V) of 30 May 1979 of the United Nations Conference on Trade and
Development, the Conference on Restrictive Business Practices met at the
United Nations Office at Geneva from 19 November to 8 December 1979.
At the conclusion of that period, the Conference requested a resumed
session in order to complete its work. In accordance with General
Assembly decision 34/447 of 19 December 1979, the Conference reconvened
from 8 to 22 April 1980. In concluding its work, the United Nations
Conference on Restrictive Business Practices adopted a resolution in
which it approved the Set of Multilaterally Agreed Equitable Principles
and Rules for the Control of Restrictive Business Practices, and transmitted
this Set of Principles and Rules to the General Assembly at its thirtyfifth
Session for adoption as a resolution.
Accordingly, the General Assembly, at its thirty-fifth session in its
resolution 35/63 of 5 December 1980, adopted the Set of Multilaterally
Agreed Equitable Principles and Rules for the Control of Restrictive
Business Practices approved by the United Nations Conference on
Restrictive Business Practices.
Since the adoption of the Set in 1980, four United Nations Conferences
to Review All Aspects of the Set have taken place under the auspices
of UNCTAD, in 1985, 1990, 1995 and 2000 respectively. The Fourth
Review Conference (25-29 September 2000) adopted a resolution (TD/
RBP/CONF.5/15 of 4 October 2000) in which it, inter alia:
"Reaffirms the validity of the UN Set of Multilaterally Agreed
Equitable Principles and Rules for the Control of Restrictive Business
Practices, recommends to the General Assembly to subtitle the Set for reference
as "UN Set of Principles and Rules on Competition", and calls upon
all member States to implement the provisions of the Set".
3
II. Resolution adopted by the United Nations
Conference on Restrictive Business Practices,
on 22 April 1980
The Set of Multilaterally Agreed Equitable Principles
and Rules for the Control of Restrictive Business Practices
The United Nations Conference on Restrictive Business Practices,
Recalling General Assembly resolution 33/153 of 20 December
1978, which required the Conference to negotiate, on the basis of the work
of the Third Ad hoc Group of Experts on Restrictive Business Practices,
and to take all decisions necessary for the adoption of, a set of multilaterally
agreed equitable principles and rules for the control of restrictive business
practices having adverse effects on international trade, particularly
that of developing countries, and on the economic development of those
countries, including a decision on the legal character of the principles and
rules,
Having held its first session from 19 November to 8 December 1979
and its second session from 8 to 22 April 1980,
1. Approves the Set of Multilaterally Agreed Equitable Principles
and Rules for the Control of Restrictive Business Practices annexed
hereto;1
2. Transmits to the General Assembly at its thirty-fifth session this
Set of Principles and Rules, having taken all decisions necessary for its
adoption as a resolution;
3. Recommends also that the General Assembly, five years after the
adoption of the Set of Principles and Rules, convene a United Nations
Conference under the auspices of UNCTAD for the purpose of reviewing
all the aspects of the Set of Principles and Rules.
7th
plenary meeting
22 April 1980
1
See section IV belosw.
5
III. Resolution 35/63 adopted by the
General Assembly at its thirty-fifth Session,
on 5 December 1980
Restrictive business practices
The General Assembly,
Recalling its resolution 3201 (S-VI) and 3202 (S-VI) of 1 May 1974,
containing the Declaration and the Programme of Action on the Establishment
of a New International Economic Order, 3281 (XXIX) of 12 December
1974, containing the Charter of Economic Rights and Duties of States,
and 3362 (S-VII) of 16 September 1975 on development and international
economic co-operation,
Recalling that the United Nations Conference on Restrictive Business
Practices, convened by the General Assembly in its resolution 33/153
of 20 December 1978, held its first session from 19 November to 8 December
1979 and, in accordance with Assembly decision 34/447 of 19 December
1979, held a second session from 8 to 22 April 1980,
Noting with satisfaction that the Conference approved the Set of
Multilaterally Agreed Equitable Principles and Rules for the Control of
Restrictive Business Practices1
and transmitted it to the General Assembly
at its thirty-fifth session, having taken all the necessary decisions for its
adoption as a resolution,
Noting that the United Nations Conference on Trade and Development,
by its resolution 103 (V) of 30 May 1979,2
requested the United
Nations Conference on Restrictive Business Practices to make recommendations
through the General Assembly to the Trade and Development
Board with regard to the institutional aspects of future work on restrictive
business practices within the framework of the United Nations Conference
1
See section IV below.
2
See Proceedings of the United Nations Conference on Trade and Development, Fifth Session,
vol. I, Report and Annexes (United Nations publication, Sales No. E. 79.II.D.14), part one,
sect. A.
6 The United Nations Set of Principles and Rules on Competition
on Trade and Development, bearing in mind the work done in this field
elsewhere in the United Nations,
1. Adopts the Set of Multilaterally Agreed Equitable Principles
and Rules for the Control of Restrictive Business Practices, approved by
the United Nations Conference on Restrictive Business Practices;
2. Decides to convene, in 1985, under the auspices of the United
Nations Conference on Trade and Development, a United Nations conference
to review all aspects of the Set of Multilaterally Agreed Equitable
Principles and Rules for the Control of Restrictive Business Practices;
3. Takes note of the recommendations of the United Nations Conference
on Restrictive Business Practices regarding international institutional
machinery, contained in section G of the Set of Principles and Rules,
and requests the Trade and Development Board, at its twenty-second
session, to establish an intergovernmental group of experts on restrictive
business practices, operating within the framework of a committee of the
United Nations Conference on Trade and Development, to perform the
functions designated in that section;
4. Decides also that the necessary resources should be made available
to the United Nations Conference on Trade and Development to carry
out the tasks embodied in the Set of Principles and Rules.
83rd plenary meeting
5 December 1980
7
IV. The Set of Multilaterally Agreed
Equitable Control of Restrictive
Business Practices1
CONTENTS
The United Nations Conference on Restrictive Business Practices,
Recognizing that restrictive business practices can adversely affect
international trade, particularly that of developing countries, and the economic
development of these countries,
Affirming that a set of multilaterally agreed equitable principles and
rules for the control of restrictive business practices can contribute to
attaining the objective in the establishment of a new international economic
order to eliminate restrictive business practices adversely affecting
international trade and thereby contribute to development and improvement
of international economic relations on a just and equitable basis,
Section Page
A. Objectives................................................................................................ 9
B. Definitions and scope and application..................................................... 10
C. Multilaterally agreed equitable principles for the control of restrictive
business practices.................................................................................... 11
D. Principles and rules for enterprises, including transnational corporations 13
E. Principles and rules for States at national, regional and subregional
levels........................................................................................................ 15
F. International measures ........................................................................... 16
G. International institutional machinery ...................................................... 19
1
The Set of Principles and Rules was adopted by the United Nations Conference on
Restrictive Business Practices as an annex to its resolution of 22 April 1980 (see section II
above).
8 The United Nations Set of Principles and Rules on Competition
Recognizing also the need to ensure that restrictive business practices
do not impede or negate the realization of benefits that should arise from
the liberalization of tariff and non-tariff barriers affecting international
trade, particularly those affecting the trade and development of developing
countries,
Considering the possible adverse impact of restrictive business practices,
including among others those resulting from the increased activities
of transnational corporations, on the trade and development of developing
countries,
Convinced of the need for action to be taken by countries in a mutually
reinforcing manner at the national, regional and international levels to
eliminate or effectively deal with restrictive business practices, including
those of transnational corporations, adversely affecting international trade,
particularly that of developing countries, and the economic development
of these countries,
Convinced also of the benefits to be derived from a universally applicable
set of multilaterally agreed equitable principles and rules for the control
of restrictive business practices and that all countries should encourage
their enterprises to follow in all respects the provisions of such a set of
multilaterally agreed equitable principles and rules,
Convinced further that the adoption of such a set of multilaterally
agreed equitable principles and rules for the control of restrictive business
practices will thereby facilitate the adoption and strengthening of laws and
policies in the area of restrictive business practices at the national and
regional levels and thus lead to improved conditions and attain greater efficiency
and participation in international trade and development, particularly
that of developing countries, and to protect and promote social welfare
in general, and in particular the interests of consumers in both
developed and developing countries,
Affirming also the need to eliminate the disadvantages to trade and
development which may result from the restrictive business practices of
transnational corporations or other enterprises, and thus help to maximize
benefits to international trade and particularly the trade and development
of developing countries,
Affirming further the need that measures adopted by States for the
control of restrictive business practices should be applied fairly, equitably,
on the same basis to all enterprises and in accordance with established pro-
The Set of Multilaterally Agreed Equitable Principles and Rules 9
cedures of law; and for States to take into account the principles and objectives
of the Set of Multilaterally Agreed Equitable Principles and Rules,
Hereby agrees on the following Set of Principles and Rules for the
control of restrictive business practices, which take the form of recommen-
dations:
A. Objectives
Taking into account the interests of all countries, particularly those of
developing countries, the Set of Multilaterally Agreed Equitable Principles
and Rules are framed in order to achieve the following objectives:
1. To ensure that restrictive business practices do not impede or
negate the realization of benefits that should arise from the liberalization
of tariff and non-tariff barriers affecting world trade, particularly those
affecting the trade and development of developing countries;
2. To attain greater efficiency in international trade and development,
particularly that of developing countries, in accordance with
national aims of economic and social development and existing economic
structures, such as through:
(a) The creation, encouragement and protection of competition;
(b) Control of the concentration of capital and/or economic power;
(c) Encouragement of innovation;
3. To protect and promote social welfare in general and, in particular,
the interests of consumers in both developed and developing coun-
tries;
4. To eliminate the disadvantages to trade and development which
may result from the restrictive business practices of transnational corporations
or other enterprises, and thus help to maximize benefits to international
trade and particularly the trade and development of developing
countries;
5. To provide a Set of Multilaterally Agreed Equitable Principles
and Rules for the control of restrictive business practices for adoption at
the international level and thereby to facilitate the adoption and strengthening
of laws and policies in this area at the national and regional levels.
10 The United Nations Set of Principles and Rules on Competition
B. Definitions and scope of application
For the purpose of this Set of Multilaterally Agreed Equitable Principles
and Rules:
(i) Definitions
1. "Restrictive business practices" means acts or behaviour of
enterprises which, through an abuse or acquisition and abuse of a dominant
position of market power, limit access to markets or otherwise unduly
restrain competition, having or being likely to have adverse effects on
international trade, particularly that of developing countries, and on the
economic development of these countries, or which through formal, informal,
written or unwritten agreements or arrangements among enterprises,
have the same impact.
2. "Dominant position of market power" refers to a situation where
an enterprise, either by itself or acting together with a few other enterprises,
is in a position to control the relevant market for a particular good
or service or group of goods or services.
3. "Enterprises" means firms, partnerships, corporations, companies,
other associations, natural or juridical persons, or any combination
thereof, irrespective of the mode of creation or control or ownership, private
or State, which are engaged in commercial activities, and includes
their branches, subsidiaries, affiliates, or other entities directly or indirectly
controlled by them.
(ii) Scope of application
4. The Set of Principles and Rules applies to restrictive business
practices, including those of transnational corporations, adversely affecting
international trade, particularly that of developing countries and the
economic development of these countries. It applies irrespective of
whether such practices involve enterprises in one or more countries.
5. The "principles and rules for enterprises, including transnational
corporations" apply to all transactions in good and services.
The Set of Multilaterally Agreed Equitable Principles and Rules 11
6. The "principles and rules for enterprises, including transnational
corporations" are addressed to all enterprises.
7. The provisions of the Set of Principles and Rules shall be universally
applicable to all countries and enterprises regardless of the parties
involved in the transactions, acts or behaviour.
8. Any reference to "States" or "Governments" shall be construed
as including any regional groupings of States, to the extent that they have
competence in the area of restrictive business practices.
9. The Set of Principles and Rules shall not apply to intergovernmental
agreements, nor to restrictive business practices directly caused by
such agreements.
C. Multilaterally agreed equitable principles
for the control of restrictive business practices
In line with the objectives set forth, the following principles are to
apply:
(i) General principles
1. Appropriate action should be taken in a mutually reinforcing
manner at national, regional and international levels to eliminate, or effectively
deal with, restrictive business practices, including those of transnational
corporations, adversely affecting international trade, particularly
that of developing countries and the economic development of these coun-
tries.
2. Collaboration between Governments at bilateral and multilateral
levels should be established and, where such collaboration has been established,
it should be improved to facilitate the control of restrictive business
practices.
3. Appropriate mechanisms should be devised at the international
level and/or the use of existing international machinery improved to facilitate
exchange and dissemination of information among Governments with
respect to restrictive business practices.
12 The United Nations Set of Principles and Rules on Competition
4. Appropriate means should be devised to facilitate the holding of
multilateral consultations with regard to policy issues relating to the control
of restrictive business practices.
5. The provisions of the Set of Principles and Rules should not be
construed as justifying conduct by enterprises which is unlawful under
applicable national or regional legislation.
(ii) Relevant factors in the application of the Set
of Principles and Rules
6. In order to ensure the fair and equitable application of the Set of
Principles and Rules, States, while bearing in mind the need to ensure the
comprehensive application of the Set of Principles and Rules, should take
due account of the extent to which the conduct of enterprises, whether or
not created or controlled by States, is accepted under applicable legislation
or regulations, bearing in mind that such laws and regulations should be
clearly defined and publicly and readily available, or is required by States.
(iii) Preferential or differential treatment
for developing countries
7. In order to ensure the equitable application of the Set of Principles
and Rules, States, particularly developed countries, should take into
account in their control of restrictive business practices the development,
financial and trade needs of developing countries, in particular of the least
developed countries, for the purposes especially of developing countries
in:
(a) Promoting the establishment or development of domestic industries
and the economic development of other sectors of the economy,
and
(b) Encouraging their economic development through regional or
global arrangements among developing countries.
The Set of Multilaterally Agreed Equitable Principles and Rules 13
D. Principles and Rules for enterprises,
including transnational corporations
1. Enterprises should conform to the restrictive business practices
laws, and the provisions concerning restrictive business practices in other
laws, of the countries in which they operate, and, in the event of proceedings
under these laws, should be subject to the competence of the courts
and relevant administrative bodies therein.
2. Enterprises should consult and co-operate with competent
authorities of countries directly affected in controlling restrictive business
practices adversely affecting the interests of those countries. In this regard,
enterprises should also provide information, in particular details of restrictive
arrangements, required for this purpose, including that which may be
located in foreign countries, to the extent that in the latter event such production
or disclosure is not prevented by applicable law or established
public policy. Whenever the provision of information is on a voluntary
basis, its provisions should be in accordance with safeguards normally
applicable in this field.
3. Enterprises, except when dealing with each other in the context
of an economic entity wherein they are under common control, including
through ownership, or otherwise not able to act independently of each
other, engaged on the market in rival or potentially rival activities, should
refrain from practices such as the following when, through formal, informal,
written or unwritten agreements or arrangements, they limit access to
markets or otherwise unduly restrain competition, having or being likely
to have adverse effects on international trade, particularly that of developing
countries, and on the economic development of these countries:
(a) Agreements fixing prices, including as to exports and imports;
(b) Collusive tendering;
(c) Market or customer allocation arrangements;
(d) Allocation by quota as to sales and production;
(e) Collective action to enforce arrangements, e.g. by concerted
refusals to deal;
(f) Concerted refusal of supplies to potential importers;
(g) Collective denial of access to an arrangement, or association,
which is crucial to competition.
14 The United Nations Set of Principles and Rules on Competition
4. Enterprises should refrain from the following acts or behaviour
in a relevant market when, through an abuse* or acquisition and abuse of
a dominant position of market power, they limit access to markets or
otherwise unduly restrain competition, having or being likely to have
adverse effects on international trade, particularly that of developing countries,
and on the economic development of these countries:
(a) Predatory behaviour towards competitors, such as using belowcost
pricing to eliminate competitors;
(b) Discriminatory (i.e. unjustifiably differentiated) pricing or terms
or conditions in the supply or purchase of goods and services,
including by means of the use of pricing policies in transactions
between affiliated enterprises which overcharge or undercharge
for goods or services purchased or supplied as compared with
prices for similar or comparable transactions outside the affiliated
enterprises;
(c) Mergers, takeovers, joint ventures or other acquisitions of control,
whether of a horizontal, vertical or a conglomerate nature;
(d) Fixing the prices at which goods exported can be resold in
importing countries;
(e) Restrictions on the importation of goods which have been legitimately
marked abroad with a trademark identical with or similar
to the trademark protected as to identical or similar goods in the
importing country where the trademarks in question are of the
same origin, i.e. belong to the same owner or are used by enterprises
between which there is economic, organizational, managerial
or legal interdependence and where the purpose of such restrictions
is to maintain artificially high prices;
* Whether acts or behaviour are abusive or not should be examined in terms of their purpose
and effects in the actual situation, in particular with reference to whether they limit access
to markets or otherwise unduly restrain competition, having or being likely to have adverse
effects on international trade, particularly that of developing countries, and on the economic
development of these countries, and to whether they are:
(a) Appropriate in the light of the organisational, managerial and legal relationship among
the enterprises concerned, such as in the context of relations within an economic entity and not
having restrictive effects outside the related enterprises;
(b) Appropriate in light of special conditions of economic circumstances in the relevant
market such as exceptional conditions of supply and demand or the size of the market;
(c) Of types which are usually treated as acceptable under pertinent national or regional
laws and regulations for the control of restrictive business practices;
(d) Consistent with the purposes and objectives of these principles and rules.
The Set of Multilaterally Agreed Equitable Principles and Rules 15
(f) When not for ensuring the achievement of legitimate business
purposes, such as quality, safety, adequate distribution or service:
(f) ii(i) Partial or complete refusals to deal on the enterprise's customary
commercial terms;
i(f) i(ii) Making the supply of particular goods or services dependent
upon the acceptance of restrictions on the distribution
or manufacture of competing or other goods;
(f) (iii) Imposing restrictions concerning where, or to whom, or in
what form or quantities, goods supplied or other goods may
be resold or exported;
(f) (iv) Making the supply of particular goods or services dependent
upon the purchase of other goods or services from the
supplier or his designee
E. Principles and Rules for States at National,
Regional and Subregional levels
1. States should, at the national level or through regional groupings,
adopt, improve and effectively enforce appropriate legislation and
implementing judicial and administrative procedures for the control of
restrictive business practices, including those of transnational corpora-
tions.
2. States should base their legislation primarily on the principle of
eliminating or effectively dealing with acts or behavior of enterprises
which, through an abuse or acquisition and abuse of a dominant position
of market power, limit access to markets or otherwise unduly restrain competition,
having or being likely to have adverse effects on their trade or
economic development, or which through formal, informal, written or
unwritten agreements or arrangements among enterprises have the same
impact.
3. States, in their control of restrictive business practices, should
ensure treatment of enterprises which is fair, equitable, on the same basis
to all enterprises, and in accordance with established procedures of law.
The laws and regulations should be publicly and readily available.
16 The United Nations Set of Principles and Rules on Competition
4. States should seek appropriate remedial or preventive measures
to prevent and/or control the use of restrictive business practices within
their competence when it comes to the attention of States that such
practices adversely affect international trade, and particularly the trade and
development of the developing countries.
5. Where, for the purposes of the control of restrictive business
practices, a State obtains information from enterprises containing
legitimate business secrets, it should accord such information reasonable
safeguards normally applicable in this field, particularly to protect its
confidentiality.
6. States should institute or improve procedures for obtaining
information from enterprises including transnational corporations, necessary
for their effective control or restrictive business practices, including
in this respect details of restrictive agreements, understandings and other
arrangements.
7. States should establish appropriate mechanisms at the regional
and subregional levels to promote exchange of information on restrictive
business practices and on the application of national laws and policies in
this area, and to assist each other to their mutual advantage regarding control
of restrictive business practices at the regional and subregional levels.
8. States with greater expertise in the operation of systems for the
control or restrictive business practices should, on request, share their
experience with, or otherwise provide technical assistance to other States
wishing to develop or improve such systems.
9. States should, on request, or at their own initiative when the need
comes to their attention, supply to other States, particularly developing
countries, publicly available information, and, to the extent consistent with
their laws and established public policy, other information necessary to the
receiving interested State for its effective control of restrictive business
practices.
F. International measures
Collaboration at the international level should aim at eliminating or
effectively dealing with restrictive business practices, including those of
transnational corporations, through strengthening and improving controls
over restrictive business practices adversely affecting international trade,
The Set of Multilaterally Agreed Equitable Principles and Rules 17
particularly that of developing countries, and the economic development
of these countries. In this regard, action should include:
1. Work aimed at achieving common approaches in national policies
relating to restrictive business practices compatible with the Set of
Principles and Rules.
2. Communication annually to the Secretary-General of UNCTAD
of appropriate information on steps taken by States and regional groupings
to meet their commitment to the Set of Principles and Rules, and information
on the adoption, development and application of legislation, regulations
and policies concerning restrictive business practices.
3. Continued publication annually by UNCTAD of a report on
developments in restrictive business practices legislation and on restrictive
business practices adversely affecting international trade, particularly the
trade and development of developing countries, based upon publicly available
information and as far as possible other information, particularly on
the basis of requests addressed to all member States or provided at their
own initiative and, where appropriate, to the United Nations Center on
Transnational Corporations and other competent international organiza-
tions.
4. Consultations:
(a) Where a State, particularly of a developing country, believes that
a consultation with another State or States is appropriate in
regard to an issue concerning control of restrictive business
practices, it may request a consultation with those States with a
view to finding a mutually acceptable solution. When a
consultation is to be held, the States involved may request the
Secretary-General of UNCTAD to provide mutually agreed
conference facilities for such a consultation;
(b) States should accord full consideration to requests for consultations
and, upon agreement as to the subject of and the procedures
for such a consultation, the consultation should take place at an
appropriate time;
(c) If the States involved so agree, a joint report on the consultations
and their results should be prepared by the States involved and,
if they so wish, with the assistance of the UNCTAD secretariat,
18 The United Nations Set of Principles and Rules on Competition
and be made available to the Secretary-General of UNCTAD for
inclusion in the annual report on restrictive business practices.
5. Continued work within UNCTAD on the elaboration of a model
law or laws on restrictive business practices in order to assist developing
countries in devising appropriate legislation. States should provide necessary
information and experience to UNCTAD in this connection.
6. Implementation within or facilitation by UNCTAD, and other
relevant organizations of the United Nations system in conjunction with
UNCTAD, of technical assistance, advisory and training programmes on
restrictive business practices, particularly for developing countries:
(a) Experts should be provided to assist developing countries, at
their request, in formulating or improving restrictive business
practices legislation and procedures;
(b) Seminars, training programmes or courses should be held, primarily
in developing countries, to train officials involved or
likely to be involved in administering restrictive business practices
legislation and, in this connection, advantage should be
taken, inter alia, of the experience and knowledge of administrative
authorities, especially in developed countries, in detecting
the use of restrictive business practices;
(c) A handbook on restrictive business practices legislation should
be compiled;
(d) Relevant books, documents, manuals and any other information
on matters related to restrictive business practices should be collected
and made available, particularly to developing countries;
(e) Exchange of personnel between restrictive business practices
authorities should be arranged and facilitated;
(f) International conferences on restrictive business practices
legislation and policy should be arranged;
(g) Seminars for an exchange of views on restrictive business
practices among persons in the public and private sectors should
be arranged.
7. International organizations and financing programmes, in particular
the United Nations Development Programme, should be called upon
to provide resources through appropriate channels and modalities for the
financing of activities set out in paragraph 6 above. Furthermore, all
The Set of Multilaterally Agreed Equitable Principles and Rules 19
countries are invited, in particular the developed countries, to make voluntary
financial and other contributions for the above-mentioned activities.
G. International Institutional Machinery
(i) Institutional arrangements
1. An Intergovernmental Group of Experts on Restrictive Business
Practices operating within the framework of a Committee of UNCTAD
will provide the institutional machinery.
2. States which have accepted the Set of Principles and Rules
should take appropriate steps at the national or regional levels to meet their
commitment to the Set of Principles and Rules.
(ii) Functions of the Intergovernmental Group
3. The Intergovernmental Group shall have the following func-
tions:
(a) To provide a forum and modalities for multilateral consultations,
discussion and exchange of views between States on matters
related to the Set of Principles and Rules, in particular its operation
and the experience arising therefrom;
(b) To undertake and disseminate periodically studies and research
on restrictive business practices related to the provisions of the
Set of Principles and Rules, with a view to increasing exchange
of experience and giving greater effect to the Set of Principles
and Rules;
(c) To invite and consider relevant studies, documentation and
reports from relevant organizations of the United Nations sys-
tem;
(d) To study matters relating to the Set of Principles and Rules and
which might be characterized by data covering business transactions
and other relevant information obtained upon request
addressed to all States;
20 The United Nations Set of Principles and Rules on Competition
(e) To collect and disseminate information on matters relating to the
Set of Principles and Rules to the overall attainment of its goals
and to the appropriate steps States have taken at the national or
regional levels to promote an effective Set of Principles and
Rules, including its objectives and principles;
(f) To make appropriate reports and recommendations to States on
matters within its competence, including the application and
implementation of the Set of Multilaterally Agreed Equitable
Principles and Rules;
(g) To submit reports at least once a year on its work.
4. In the performance of its functions, neither the Intergovernmental
Group nor its subsidiary organs shall act like a tribunal or otherwise
pass judgement on the activities or conduct of individual Governments or
of individual enterprises in connection with a specific business transaction.
The Intergovernmental Group or its subsidiary organs should avoid
becoming involved when enterprises to a specific business transaction are
in dispute.
5. The Intergovernmental Group shall establish such procedures as
may be necessary to deal with issues related to confidentiality.
(iii) Review procedure
6. Subject to the approval of the General Assembly, five years after
the adoption of the Set of Principles and Rules, a United Nations Conference
shall be convened by the Secretary-General of the United Nations
under the auspices of UNCTAD for the purpose of reviewing all the
aspects of the Set of Principles and Rules. Towards this end, the Intergovernmental
Group shall make proposals to the Conference for the
improvement and further development of the Set of Principles and Rules.
Printed at United Nations, Geneva
GE.01-50060­January 2001­1,500
TD/RBP/CONF/10/Rev.2