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我国反垄断法中罚款裁量因素的结构性功能重塑

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就法律责任而言,《中华人民共和国反垄断法》的首次修订侧重责任类型的细化,而对罚款裁量问题的关注有所不足。在责任体系构建完成后,细化法律责任的科学性、合理性问题应提上日程。反垄断罚款制度包含高度复杂的结构和程序,在这一结构中基本裁量因素应发挥初步调整与平衡的功能,政策性裁量因素应发挥合理性调整与平衡的功能。但是,通过对我国2021年以来查处的42起违法垄断案件进行实证分析发现,我国反垄断罚款裁量因素呈现结构性功能缺失的问题,一定程度上偏离了应有的指导价值。导致该问题的主要原因是法定裁量因素模糊和"一步式"裁量过程隐形化,因此需要从明确裁量因素适用步骤、细化法定裁量因素类别、确定裁量因素对罚款比率的影响幅度三个方面进行反垄断罚款裁量因素结构性功能的重塑。
Reshaping the Structural Function of Penalty Discretionary Factors in China's Anti-monopoly Law
In terms of legal liability,the first revision of the Anti-monopoly Law of the People's Republic of China focuses on refining the types of liabilities but does not pay enough attention to the measurement of penalty.After the building of the responsibility system,it should be put on the agenda to make the legal liabilities more science-based and rational.The anti-monopoly penalty system contains highly complex structure and procedures,in which basic discretionary factors should play a preliminary adjustment and balancing role,while policy-based discretionary factors should play a rational adjustment and balancing role.However,empirical analyses of 42 illegal monopoly cases investigated since 2021 in China showed that the discretionary factors of anti-monopoly penalty in China exhibited a structural disfunction,which to some extent failed to offer guidance and reference for other cases.The main reason for this problem is the ambiguity of statutory discretion factors and the lack of transparency in the"single-step"discretion process.Therefore,it is necessary to reshape the structural function of anti-monopoly penalty discretion factors from three aspects:clarifying the applicable procedures of discretionary factors,refining the categories of statutory discretion factors,and determining the impact of discretionary factors on the penalty ratio.

anti-monopoly lawadministrative penaltysystem structurediscretionary factors

张雅

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香港城市大学法学院,香港999077

中国政法大学市场监管法治研究中心

反垄断法 行政罚款 系统结构 裁量因素

2024

学术论坛
广西社会科学院

学术论坛

CSSCICHSSCD北大核心
影响因子:0.633
ISSN:1004-4434
年,卷(期):2024.47(2)