我国反垄断法中罚款裁量因素的结构性功能重塑  

Reshaping the Structural Function of Penalty Discretionary Factors in China’s Anti-monopoly Law

作　　者：张雅 Zhang Ya(City University of Hong Kong,China;Rule of Law Research Center for Market Regulation at the University of Political Science and Law of China)

机构地区：[1]香港城市大学法学院,中国香港999077 [2]中国政法大学市场监管法治研究中心

出　　处：《学术论坛》2024年第2期47-57,共11页Academic Forum

摘　　要：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。In terms of legal liability,the first revision of the Anti-monopoly Law of the People's Re⁃public of China focused on refining the types of liability,but paid insufficient attention to the amount of lia⁃bility.After the construction of the responsibility system is completed,the scientific and rational issues of refining legal responsibilities should be put on the agenda.The anti-monopoly fine system contains a highly complex structure and procedures,in which basic discretionary factors should play a preliminary adjust⁃ment and balance function,and policy discretionary factors should play a rational adjustment and balance function.However,through empirical analysis of 42 illegal monopoly cases investigated and dealt with in China since 2021,it was found that the discretionary factors of anti-monopoly fines in China exhibit a struc⁃tural functional deficiency,which to some extent deviates from their expected guiding value.The main rea⁃son for this problem is the ambiguity of legal discretion factors and the invisibility of the"one-step"discre⁃tion process.Therefore,it is necessary to reshape the structural function of anti-monopoly penalty discre⁃tion factors from three aspects:clarifying the applicable steps of discretion factors,refining the categories of legal discretion factors,and determining the impact of discretion factors on the penalty ratio.

关 键 词：反垄断法 行政罚款 系统结构 裁量因素 

分 类 号：D922.294[政治法律—经济法学]