摘要
反垄断罚款裁量的适度与公平是实现竞争法治的重要保证。实证检验反垄断罚款裁量是否实质性符合《反垄断法》第49条规定,是审视适度与公平问题的一种可行方法。反垄断执法机构应当使罚款相对数额与违法行为的性质、程度和持续的时间成正比。然而,定量分析2018年到2021年4月30日的221份反垄断处罚决定书数据的结果显示,罚款基准倍率仅当经营者违法行为的程度变得较重时显著升高,其与违法行为的性质呈显著负相关关系,与违法行为的持续时间则没有显著相关关系。这表明,反垄断执法机构罚款裁量时较好地考虑了违法行为的程度因素,但整体来看裁量的合比例性尚不够理想。不过,结合增加追踪最近一年即截至2022年4月1日的数据来看,罚款基准倍率与违法行为的性质之间负相关问题得到缓解,执法机构正在改进罚款裁量。这种定量检验兼具制度和方法意义,不仅直接为控制反垄断罚款裁量任意提供了一种客观且可检验的方法,而且发展了经济法实证研究,并间接为其他领域审视裁量权行使是否合比例提供了参考。
The moderation and fairness of the anti-monopoly penalty discretion is an important measure of guarantee to realize the rule of competition.It is a feasible method to examine whether the penalty of the anti-monopoly law enforcement agency is in accordance with Article 49 of the Anti-monopoly Law.When the anti-monopoly enforcement agency decides a penalty,the relative amount should be proportional to the nature,degree and duration of the illegal act.However,a quantitative analysis of 221 anti-monopoly penalty decisions shows that the penalty base rate increases significantly only when the degree of illegal behavior becomes more serious.This indicates that the anti-monopoly enforcement agency has taken the degree of illegal behavior into account when deciding the penalty,but the proportion of the discretion is not ideal.Nevertheless,the negative correlation between the penalty base rate and the nature of the offence has been alleviated and the penalty discretion is improving.The quantitative inspection for any risk of arbitrary discretion provides a control method,so it is beneficial for the development of the empirical study in the area of the economic law,and it also indirectly provides reference to the discretion of penalties in other areas when examining whether it follows the principle of proportionality.
作者
潘宁
Pan Ning(Law School, Peking University, Beijing 100871, P.R.China)
出处
《山东大学学报（哲学社会科学版）》
CSSCI
北大核心
2022年第4期47-57,共11页
Journal of Shandong University(Philosophy and Social Sciences)
基金
国家社科基金重大专项“税收立法的核心价值及其体系化研究”(19VHJ008)。
关键词
反垄断
罚款裁量
比例原则
Anti-monopoly
Discretion of penalties
Principle of proportionality
