China: Competition Policy: Promote Deregulation And Break Administrative Monopoly (In Chinese)

Last Updated: 27 January 2016
Article by AnJie Law Firm

近日,国家工商总局局长张茅在接受记者采访时表示,"十三五"时期已到了更加重视市场监管的阶段。其中,在规范市场秩序中提出,一要强化竞争政策的重要作用,把规范市场秩序、改善市场环境作为供给侧改革的重要举措;二要改革扭曲市场竞争的政策和制度安排,消除地方保护和行政垄断,充分发挥我国的市场潜力等。

接受中国经济时报记者采访的专家认为,让市场经济又好又快发展,要加快确立竞争政策的基础性地位。

政策先行:逐步确立竞争政策的基础性地位和实施公平竞争审查制度

本报记者梳理发现,今年以来,我国对竞争政策和公平竞争审查制度的重视程度越来越高,并在一系列重要文件中提出了明确的要求。

2015年年初,《中共中央国务院关于深化体制机制改革加快实施创新驱动发展战略的若干意见》提出,"强化竞争政策和产业政策对创新的引导";"探索实施公平竞争审查制度"。随后,《国务院批转发展改革委关于2015年深化经济体制改革重点工作的意见》要求,"促进产业政策和竞争政策有效协调";"建立和规范产业政策的公平性、竞争性审查机制"。

紧接着,《国务院关于大力推进大众创业万众创新若干政策措施的意见》强调要"加快出台公平竞争审查制度"。10月份公布的《中共中央国务院关于推进价格机制改革的若干意见》指出,"逐步确立竞争政策的基础性地位";"加快建立竞争政策与产业、投资等政策的协调机制"、"实施公平竞争审查制度"。

对外经济贸易大学竞争法中心主任、法学院教授黄勇在接受本报记者采访时指出,我国强调确立竞争政策的基础性地位和实施公平竞争审查制度,是与处理好政府与市场关系、改革开放整体部署,及发挥市场在资源配置中决定性作用的要求相适应的。竞争政策相对于产业政策具有更多的长期优势,而公平竞争审查制度是对政府不合理的干预竞争行为的约束,有助于在更大范围内促进市场竞争。

需要妥善协调竞争政策与产业政策的关系

黄勇认为,竞争政策是国家为了保护和促进市场竞争而实施的经济政策和法律等的总称,主要涉及准入公平和竞争过程公平。他表示,产业政策与竞争政策具有明显差别:产业政策往往是短期的或者有时间限度的,由政府主导并以行政手段居多;而竞争政策则是长效机制、市场化机制,按照市场的规律运行且属于法治手段。

"长期以来,我国一直将产业政策作为主导性的经济政策,竞争政策处于边缘地位,没有得到足够的重视。"黄勇说,我国政府经常采用的产业政策多为纵向、专项型,而非横向、普惠型,这严重扭曲了市场竞争。

黄勇表示,目前,产业政策弊端凸显,不仅对于经济发展的促进效果逐步递减,对我国产业、企业竞争力的提升、转型升级和国家创新战略的负面影响都逐步变大,"实际上,在成熟市场经济国家,作为主导性的经济政策,均通过竞争政策保护和促进市场竞争,确保竞争机制在市场中发挥作用,从而实现提高生产效率和优化资源配置的目的。"

推动管制放松破除行政垄断

黄勇认为,对于我国而言,竞争政策具有多元价值和功能。

首先,竞争政策有助于推动管制放松。尽管我国《反垄断法》第七条规定,"国有经济占控制地位的关系国民经济命脉和国家安全的行业以及依法实行专营专卖的行业,国家对其经营者的合法经营活动予以保护,并对经营者的经营行为及其商品和服务的价格依法实施监管和调控,维护消费者利益,促进技术进步。"黄勇说,这并不意味着管制行业被反垄断法所豁免。

实际上,尽管上述特殊行业的市场准入、价格制定仍属于管制的范畴,但是管制合理性本身必须接受竞争审查。同时,管制领域的企业行为也属于《反垄断法》的管辖范畴。即使是企业执行政府定价中的指导价,也可能受《反垄断法》规制。因为企业可能在设定的价格浮动范围内达成价格卡特尔,从而涉嫌违反《反垄断法》。

黄勇强调,随着国家对管制行业中非竞争性与竞争性业务认识的深入,很多竞争性业务也逐步放开,非公企业开始进入这些市场参与竞争。在这一过程中,竞争政策有助于放松管制,促进传统管制行业的市场竞争,促进产业优化升级,提高消费者福利。

其次,竞争政策有助于破除行政垄断。黄勇说,行政垄断是行政机关行使行政权力超越其合法权限的行为,导致优不能胜、劣不能汰,社会资源得不到合理优化配置。过去,我国政府及政府部门习惯于以"红头文件"、通知、会议纪要等方式破除行政垄断,比如多部委联合发文,但实际效果并不明显。

"《反垄断法》作为竞争政策的一部分,对滥用行政权力排除、限制竞争行为作出了禁止性规定,在实践中也已经初现成效。"黄勇认为,随着去年《行政诉讼法》的新修订,《反垄断法》对行政垄断的规制将更为有力。

落实竞争政策的有效途径有哪些?

黄勇建议,为了有效落实竞争政策,应该尽快落实《中共中央国务院关于推进价格机制改革的若干意见》的要求,加快确立以竞争政策为基础性经济政策。在竞争政策层面下,实施公平竞争审查制度、竞争倡导和加强反垄断执法是三个有效途径。

首先,加快实施公平竞争审查制度。黄勇认为,政府对竞争的不合理限制包括限制竞争激励、限制竞争资格、限制竞争结果和限制竞争行为,而不限于《反垄断法》中所禁止的滥用行政权力排除、限制竞争的行为。理论上讲,任何可能具有限制、扭曲竞争影响的法律、行政法规等规范性文件,都属于公平竞争审查的范围。

现阶段,从可行性的角度来讲,公平竞争审查的对象首先应该是从效力最低的规章、各类规范性文件和其他政策措施开始,逐步过渡到对法律的审查。建议竞争执法机构依法通过专业手段对这些限制进行审查,从而提出修改意见。

其次,国有企业对于竞争政策、市场竞争机制、反垄断都没有基本的认识。认识的僵化、滞后在很大程度上阻碍了竞争政策的落实。"黄勇坦言,亟须定期组织产业政策和立法的制定、执行的部门和人员,接受竞争执法机构、反垄断专家有关竞争法的知识培训,从而增加其对限制竞争危害、可能限制竞争政策手段的认知,提高其自觉避免限制竞争的意识。

最后,在进一步加强反垄断执法,重点关注行政垄断方面,黄勇说,今年以来,国家发改委对行政垄断的执法力度明显加大,先后查处了山东省交通厅、云南省通信管理局、安徽省蚌埠市卫计委、四川省卫计委、浙江省卫计委等案件,向社会各界彰显了反垄断机构执法的信心和决心。

长期来看,针对行政垄断的执法仍然是竞争执法的重要一环。因此,执法机构要充分利用《反垄断法》赋予的调查权、定性权和执法建议权,抓住十八届四中全会确立"依法治国、依法行政"具体目标的有利契机,按照《反垄断法》及配套规定进一步认真严格查处行政垄断,从而促进在全国范围内建立统一开放、竞争有序的市场。

近期,互联网领域竞争出现了新的明显态势:业内龙头企业纷纷合并。简单一数,即58同城和赶集网、滴滴和快的、美团和大众点评以及刚刚出炉的携程和去哪儿合并。这些合并的共同点就是合并双方都是各自领域内数一数二的企业,因而被戏称为"老大娶老二"。

上述合并,资本方是直接赢家,但政府的反垄断监管,却不是以资方标准为标准,而是以消费者利益为根本标准。也就是说,是否能为消费者提供新的价值,才是政府监管的终极衡量标准。

从这个角度观察,直接考虑的是有关合并是否能够实现各方市场资源的有效整合,从而提高资源使用效率、降低市场运营成本、开发新的产品,为消费者提供新的价值。目前尚不敢断言,只能说这是必须的,是所有市场行为理所当然的努力方向,目前看来也有实现的可能。

但更重要的,是考虑合并后市场竞争格局的变化对行业经营行为的影响,即企业是否有更强的意愿和压力为消费者提供新的价值。如果并购弱化了竞争,甚至形成了垄断,则可能降低企业为消费者提供更好价值的意愿,转为利用市场垄断地位赚钱;如果是强化了竞争,或者至少没有弱化竞争,则为了竞争和发展的需要,优势企业仍必须想方设法维持、加强自己的市场竞争地位,努力通过自己的经营为消费者提供更多福利,而其他企业也依然可以有充足条件挑战领先企业的市场地位。鉴于互联网条件下竞争态势、竞争格局的根本改变,以及有关领域的市场竞争格局,相关并购似乎还不足以削弱竞争,更不可能消灭竞争,所以正向竞争的总体态势依然会保持。当然,市场竞争格局如何变化尚有待观察。

那么,这种情况下,政府的反垄断监管应该怎么办?根据我国有关反垄断管理规定,有关并购无疑应属于反垄断审查范畴,启动反垄断审查和监控是必要的,但如何判断、如何认定却与传统的反垄断审查有很大不同。

首先,这些合并是否会压制其他竞争对手,产生弱化竞争的效果?现在看还不会。虽然这些龙头企业合并理所当然占据了相关领域大半市场份额,但远不能说就能控制了市场的定价权,无论是对上游的服务/产品提供者还是下游的消费者,以及同领域的其他竞争对手。其中根本原因是互联网时代竞争特征的极大改变,即竞争平面化、直接化,渠道控制力大大减弱。如携程去哪儿合并后或许他们可以协调市场策略不再烧钱打价格战,但他们却左右不了其他OTA服务商。如果携程去哪儿合并后提供的服务、价格没有竞争力了,其市场份额很容易就会被其他竞争对手抢走。

其次,从更广泛的市场角度考虑,这些合并还远不能说形成了市场垄断。如携程去哪儿合并后是占了我国在线旅游(OTA)市场份额的近70%,可OTA只占我国旅游业的不到10%,也就是说,合并后的携程去哪儿也只占我国旅游销售市场的不到7%,且各种旅游销售方式替代性极强,供需双方的替代成本也很低,即使业内优势企业也不可能利用自己的优势市场地位来控制市场。同时,从旅游业总体发展态势来看,OTA还处于高速发展阶段,市场空间巨大,竞争格局更不可能固化,不能静态、绝对地看待目前优势企业的市场份额。

第三,必须重新考虑互联网竞争时代有关市场垄断的判定问题。应该看到,互联网时代的市场竞争,与传统条件下的市场竞争有根本差异。传统竞争条件下,50%以上的市场份额几乎意味着对于市场的绝对垄断,相对于竞争对手、产品供应商和消费者都具有了绝对优势地位,可以利用此地位谋取利益。因为市场渠道掌握在垄断者手里,而生产者、消费者无法直接交易或者直接交易成本巨大以至于不可能,而竞争对手短时间内也无法替代这个巨无霸直接面向消费者,即使这些竞争对手可以提供质量更好、价格更低的产品和服务———也就是通常所谓的形成了市场竞争壁垒。但互联网时代的竞争有了根本性变化,市场越来越平面化、直接化,生产商、服务商与消费者的连接不再遥不可及或成本巨高,而是可以点对点直接面对,几乎不需要付出替代成本,这就对中介服务商产生了根本制约,即使行业巨头也不可能绑架两者了———我们作为个体消费者其实都已经有了类似的消费体验。同时,这种状况也让竞争对手不再受到传统市场竞争那样的压制,市场格局随时可能发生颠覆性变化,传统意义上的优势市场地位的控制力、持续力大大削弱,原来意义上的市场竞争壁垒几乎不再存在。所以,在互联网竞争态势下,单纯的市场份额,已经不能作为判断是否构成垄断的基本标准。

第四,即使在传统的反垄断领域,也越来越趋向于垄断行为的禁止,而非一般的市场优势地位禁止。换言之,即使某个企业在某个领域拥有了绝对市场优势地位,但却没有"不当"利用这一优势地位去谋取利益,损害消费者和竞争对手权益,政府也不能以反垄断为由强令该企业取消其市场垄断地位,如以前通常采用的拆分等手段。也就是说,只要政府保留着对于企业的垄断行为随时进行查处的权力,并且这种查处可以即时消除垄断行为产生的不良后果,则没有必要对于企业获取更大市场份额的行为予以提前禁止,而应转而加强对其实际经营行为的监控。从国际反垄断的趋势看,随着市场竞争的日益国际化,以及互联网时代竞争特点的变化,主要国家反垄断的重点已经越来越转向对于企业实际垄断行为的监管。

退一步说,假如我们对于互联网时代垄断与反垄断的基本特征还认识不清,应该采取的做法也不是在企业获取市场优势地位的过程中予以制止,而是强化后期企业市场竞争具体行为的监管,这样才能避免对于市场的不当干预,既维护市场竞争,又激励企业创新、集约、规模发展,实现行业发展水平提升和消费者福利增加的高度统一。

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    Mondaq (and its affiliate sites) do not sell or provide your details to third parties other than information providers. The reason we provide our information providers with this information is so that they can measure the response their articles are receiving and provide you with information about their products and services.

    Information Collection and Use

    We require site users to register with Mondaq (and its affiliate sites) to view the free information on the site. We also collect information from our users at several different points on the websites: this is so that we can customise the sites according to individual usage, provide 'session-aware' functionality, and ensure that content is acquired and developed appropriately. This gives us an overall picture of our user profiles, which in turn shows to our Editorial Contributors the type of person they are reaching by posting articles on Mondaq (and its affiliate sites) – meaning more free content for registered users.

    We are only able to provide the material on the Mondaq (and its affiliate sites) site free to site visitors because we can pass on information about the pages that users are viewing and the personal information users provide to us (e.g. email addresses) to reputable contributing firms such as law firms who author those pages. We do not sell or rent information to anyone else other than the authors of those pages, who may change from time to time. Should you wish us not to disclose your details to any of these parties, please tick the box above or tick the box marked "Opt out of Registration Information Disclosure" on the Your Profile page. We and our author organisations may only contact you via email or other means if you allow us to do so. Users can opt out of contact when they register on the site, or send an email to unsubscribe@mondaq.com with “no disclosure” in the subject heading

    Mondaq News Alerts

    In order to receive Mondaq News Alerts, users have to complete a separate registration form. This is a personalised service where users choose regions and topics of interest and we send it only to those users who have requested it. Users can stop receiving these Alerts by going to the Mondaq News Alerts page and deselecting all interest areas. In the same way users can amend their personal preferences to add or remove subject areas.

    Cookies

    A cookie is a small text file written to a user’s hard drive that contains an identifying user number. The cookies do not contain any personal information about users. We use the cookie so users do not have to log in every time they use the service and the cookie will automatically expire if you do not visit the Mondaq website (or its affiliate sites) for 12 months. We also use the cookie to personalise a user's experience of the site (for example to show information specific to a user's region). As the Mondaq sites are fully personalised and cookies are essential to its core technology the site will function unpredictably with browsers that do not support cookies - or where cookies are disabled (in these circumstances we advise you to attempt to locate the information you require elsewhere on the web). However if you are concerned about the presence of a Mondaq cookie on your machine you can also choose to expire the cookie immediately (remove it) by selecting the 'Log Off' menu option as the last thing you do when you use the site.

    Some of our business partners may use cookies on our site (for example, advertisers). However, we have no access to or control over these cookies and we are not aware of any at present that do so.

    Log Files

    We use IP addresses to analyse trends, administer the site, track movement, and gather broad demographic information for aggregate use. IP addresses are not linked to personally identifiable information.

    Links

    This web site contains links to other sites. Please be aware that Mondaq (or its affiliate sites) are not responsible for the privacy practices of such other sites. We encourage our users to be aware when they leave our site and to read the privacy statements of these third party sites. This privacy statement applies solely to information collected by this Web site.

    Surveys & Contests

    From time-to-time our site requests information from users via surveys or contests. Participation in these surveys or contests is completely voluntary and the user therefore has a choice whether or not to disclose any information requested. Information requested may include contact information (such as name and delivery address), and demographic information (such as postcode, age level). Contact information will be used to notify the winners and award prizes. Survey information will be used for purposes of monitoring or improving the functionality of the site.

    Mail-A-Friend

    If a user elects to use our referral service for informing a friend about our site, we ask them for the friend’s name and email address. Mondaq stores this information and may contact the friend to invite them to register with Mondaq, but they will not be contacted more than once. The friend may contact Mondaq to request the removal of this information from our database.

    Emails

    From time to time Mondaq may send you emails promoting Mondaq services including new services. You may opt out of receiving such emails by clicking below.

    *** If you do not wish to receive any future announcements of services offered by Mondaq you may opt out by clicking here .

    Security

    This website takes every reasonable precaution to protect our users’ information. When users submit sensitive information via the website, your information is protected using firewalls and other security technology. If you have any questions about the security at our website, you can send an email to webmaster@mondaq.com.

    Correcting/Updating Personal Information

    If a user’s personally identifiable information changes (such as postcode), or if a user no longer desires our service, we will endeavour to provide a way to correct, update or remove that user’s personal data provided to us. This can usually be done at the “Your Profile” page or by sending an email to EditorialAdvisor@mondaq.com.

    Notification of Changes

    If we decide to change our Terms & Conditions or Privacy Policy, we will post those changes on our site so our users are always aware of what information we collect, how we use it, and under what circumstances, if any, we disclose it. If at any point we decide to use personally identifiable information in a manner different from that stated at the time it was collected, we will notify users by way of an email. Users will have a choice as to whether or not we use their information in this different manner. We will use information in accordance with the privacy policy under which the information was collected.

    How to contact Mondaq

    You can contact us with comments or queries at enquiries@mondaq.com.

    If for some reason you believe Mondaq Ltd. has not adhered to these principles, please notify us by e-mail at problems@mondaq.com and we will use commercially reasonable efforts to determine and correct the problem promptly.

    By clicking Register you state you have read and agree to our Terms and Conditions