China: Two "The First" Cases In Antitrust Enforcement Manifest The Spirit Of Rule Of Law

Last Updated: 28 January 2016
Article by AnJie Law Firm

2015年,我国反垄断执法工作更加常态化、精细化。而最能体现反垄断执法拓展广度和深度的标志,就是两个"首例"。2015年,我国首例否定行政垄断的司法判决判例产生;2015年,国家发改委对高通公司开出史上最大额反垄断罚单。

首个行政垄断司法判决产生

2015年2月2日,广州市中级人民法院认定广东省教育厅在"工程造价基本技能赛项"省级比赛中,指定广联达软件股份有限公司提供的软件,为独家参赛软件的行为,违反反垄断法规定。

这是反垄断法实施近7年以来,我国首次产生行政垄断的司法判决,无疑是具有里程碑意义的事件。该案同时也是反垄断法实施6年多来,首次进入实质诉讼程序的案件。

如何认定"行政垄断行为"?对"规范性文件、政策"等抽象行政行为,是否可以提起反垄断诉讼?这些问题是以往行政垄断案件中最具争议的焦点,而本案中,一审法院的判决对这些都给予了正面回答。

对于如何认定"行政垄断行为",广州中院在一审判决当中指出,根据反垄断法第三十二条规定:"行政机关和法律、法规授权的具有管理公共事务职能的组织不得滥用行政权力,限定或者变相限定单位或者个人经营、购买、使用其指定的经营者提供的商品。"广东省教育厅"指定独家参赛软件"行为符合构成行政垄断的要素条件,即在主体上,省教育厅是"行政机关和法律、法规授权的具有管理公共事务职能的组织";在行为上,其"指定独家参赛软件行为"符合"限定或者变相限定单位或者个人经营、购买、使用其指定的经营者提供的商品"。

至于"滥用行政权力",法院依据行政诉讼法规定"行政机关应对自己的具体行政行为负有举证责任",认定广东省教育厅对自己"指定独家参赛软件"行为不能提供证据证明其合法性,因此构成"滥用行政权力"。

此案另一争议焦点是,行政机关发布的各种"文件""通知"能否作为行政诉讼起诉对象?

对此,法院判决指出:本案中的广东省工程造价基本技能省级选拔赛,是由广东省教育厅主办的,而省赛组委会发布的各种"赛项通知""赛项技术规范""竞赛规程",也都是经过省教育厅审核通过方才对外公布的。因此"指定独家参赛软件"行为,是广东省教育厅作出的具体行政行为。所以,该案属于行政诉讼的受案范围。

该案审理颇具特色的地方在于,首次在行政垄断诉讼中引入专家证人出庭这一环节。由于这是司法领域首次受理行政垄断的行政诉讼,涉及专业问题很多,广州中院为了高水平审理,允许反垄断法领域和行政诉讼法领域的知名专家发表专家证言。

广州市中院的一审判决,无疑给我国今后行政垄断诉讼的开展提供了很好的参考。

史上最大反垄断罚单出炉

2015年2月10日,国家发改委发布行政处罚公告,决定对美国高通公司垄断违法行为罚款人民币60.88亿元(约合9.75亿美元),并要求高通公司针对存在问题作出五项整改。同日,高通公司发表声明确认了这一事实,并表示对发改委的处罚决定不持异议。

至此,这场国内史上历时最长、罚款数额最高、海内外最受关注的反垄断案宣告尘埃落定。高通反垄断案成为我国反垄断执法中具有里程碑意义的标志性事件之一。

此次高通被罚款60.88亿元人民币,为中国有史以来金额最高的反垄断罚款,是2014年全年17亿元人民币反垄断罚款总额的三倍还要多。而发改委作出罚款决定的依据,是高通在华2013年度销售额761亿元人民币的8%,接近反垄断法规定的销售额10%的罚款上限。如此巨额罚款,意在警告其他涉嫌垄断违法行为的企业,在法律面前谁都不能心存侥幸。

高通反垄断案的调查处理,从2013年11月拉开序幕,在长达15个月时间内,我国反垄断部门经过细致深入的调查和大量的取证,并与高通公司有关方面进行了多次沟通,确认高通公司在中国市场的一系列滥用市场支配地位的行为,违反我国反垄断法的相关条款,违法事实清楚、证据充分,依据反垄断法作出罚款和整改决定,充分体现了依法治国的精神。

此案带给中国的另一个重要意义在于,它引发了世界反垄断格局的变化。欧美国家一直以反垄断先行者的身份对中国的反垄断执法工作进行评论和介绍经验,而高通案改变了这种模式。欧美国家开始追随我国反垄断执法部门的步伐启动对高通的调查,也在知识产权与反垄断的规则制定方面,开始与我国的反垄断执法机构进行经验交流和借鉴。

反垄断案件申报数量大增

10月20日,商务部新闻发言人沈丹阳对外披露,2015年前9个月,商务部收到经营者集中反垄断案件申报数、立案数和审结数大幅度增长,这与近两年并购案件数大幅增长有关。

数据显示,今年前9个月,商务部收到的案件申报共244件,同比增长了43.5%;立案247件,同比增长了49.7%;审结236件,同比增长42.2%。从审结案件情况看,制造业仍占据最大比例,约占60%。根据我国反垄断法、国务院《关于经营者集中申报标准的规定》等相关规定,达到申报标准的经营者集中,都必须事先向商务部进行申报,未申报的不得实施集中。

记者经过梳理,今年影响力较大的并购案包括:中国南车股份有限公司和中国北车股份有限公司吸收合并案、物美控股集团有限公司间接认购CMW(英国)有限公司增发股份并控股百安居中国、东风汽车集团股份有限公司与标致雪铁龙汽车公司新设合营企业案等。

一年查处5起行政垄断案件

2015年,首例行政垄断司法判决和史上最大反垄断执法罚单的产生,让我国的反垄断执法工作迈出了更加沉稳的一步。

10月15日,国家发改委秘书长李朴民对外透露,今年以来,国家发改委和省级价格主管部门查处经营者垄断案件10起,实施经济制裁66.05亿元。

更可喜的是,一直备受诟病的、拖反垄断执法"后腿"的反行政垄断执法工作开始进入高潮期。11月初,记者从国家发改委获悉,自反垄断法实施以来,发改委共查处行政垄断案件6起,其中2015年就达5起。

统计显示,这6起案件包括河北省交通厅、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、浙江省卫计委等政府部门实施的地方保护、指定交易、强制交易、制定含有排除和限制竞争内容的规定,违反反垄断法的相关规定,发改委对上述行政垄断的行为进行了依法纠正。

专家指出,目前,滥用行政权力排除限制竞争行为,在我国一些地方仍较为严重。行政垄断是垄断行为的一种重要表现形式,其实质是行政权利的滥用,这在很大程度上使得市场状态发生扭曲,危害和弱化了市场对资源的合理配置,阻碍了社会进步,破坏了公平的市场环境。而随着2015年查处行政垄断案件数量的激增,彰显了本届政府简政放权、促进市场公平竞争的坚定决心。2016年,值得期待。

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers…
“The articles are extremely timely and highly applicable”
“I often find critical information not available elsewhere”
“As in-house counsel, Mondaq’s service is of great value”

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you’ve read our Disclaimer).
 
Email Address
Company Name
Password
Confirm Password
Position
Mondaq Topics -- Select your Interests
 Accounting
 Anti-trust
 Commercial
 Compliance
 Consumer
 Criminal
 Employment
 Energy
 Environment
 Family
 Finance
 Government
 Healthcare
 Immigration
 Insolvency
 Insurance
 International
 IP
 Law Performance
 Law Practice
 Litigation
 Media & IT
 Privacy
 Real Estate
 Strategy
 Tax
 Technology
 Transport
 Wealth Mgt
Regions
Africa
Asia
Asia Pacific
Australasia
Canada
Caribbean
Europe
European Union
Latin America
Middle East
U.K.
United States
Worldwide Updates
Registration (you must scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

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