世界银行-市场和竞争政策评估工具包（英）_159页_5mb

Markets and Competition Policy Assessment Toolkit (MCPAT)

1.1. Competition Analysis

• Competition is market-level: Not sector or economy-wide. Focus on product/service rivalry within defined markets.
• Indicators are holistic: Combine qualitative and quantitative measures (e.g., concentration ratios, market shares) to assess competition.

1.2. Policy Pillars

Governments shape markets through Sector Regulators (licensing, standards) and Competition Authorities (enforcing antitrust laws).

• Key Challenges: Coordination across agencies and ensuring pro-competitive interventions.

2. Understanding Market Dynamics

• Qualitative Measures: Use perception-based indicators (e.g., Global Competitiveness Index) for initial assessment.
• Quantitative Data: Analyze concentration (CR, HHI), price-cost margins, and markups.
  • Data Availability: Firms data (revenue, costs), prices (EIU, ICP), and public procurement trends.

3. Competition Failures and Regulation

• Market Failures: Natural monopolies, information asymmetry, externalities.
• Regulatory Harm: Rules may restrict entry, collusion (e.g., bid rigging), or favor-specific firms.
  • Examples: Foreign exchange restrictions, local content rules.

4. Competition Pillar I: Designing Pro-competitive Policies

4.1. Rules for Regulators

• Examples: Licensing requirements, public procurement policies, industrial support plans.
  • Less Distortive Alternatives: Reduce discretionary powers (e.g., clearer tender rules), target beneficiaries directly (not intervenes).

4.2. Competitive Neutrality for SOEs

• Principles: Ensure SOEs don’t have unfair advantages.
  • Framework: Assess policy mandates, preferences (subsidies), and entry barriers.
  • Reforms Include debt restructuring, divestiture, or functional unbundling.
    If the impact is due to a SOE receiving state support, implement competitive neutrality principles to remove distortions.

5. Pillar II: Tackling Anticompetitive Behavior

5.1. Cartels and Collusion

• Hard-core Cartels: Explicit agreements on prices, quantities, or market division (e.g., bid rigging).
  • Facilitating Factors: High concentration, product homogeneity, buyer power.
  • Detection Tools: Dawn raids, leniency programs, settlement mechanisms.

5.2. Abuse of Dominance

• Prohibited Behaviors: Predatory pricing, exclusive dealing, tying.
  • Remedies: Behavioral (e.g., access to infrastructure) and structural (e.g., divestiture).

6. Merger Control

• Define thresholds for mandatory notifications (e.g., turnover-based, asset-based).
• Screening Tools: Economic analysis, efficiency assessments, market share concentration reviews.
  • Handle digital markets carefully due to intangibles and data effects.

7. Implementing Reforms

• Prioritization: Start small to build proof (e.g., targeted policy changes).
  • Step-wise approach to institutional maturity (e.g., secure budget first, then streamline mergers control).

8. Political Economy Considerations

• PCF Mapping: Identify politically connected firms (PCFs) and sources of advantages (e.g., preferential treatment).
  • Impact Mitigation: Support vulnerable losers, address resistance from empowered losers.

Summary

The MCPAT framework guides policymakers to:

• Diagnose competition issues through mixed methods (qualitative/mining).
• Design reforms institutionalized through multi-agency ecosystems (competition authorities, sector regulators).
• Embed competition principles in policies to boost productivity and growth, especially in developing economies.