【作者】 钟刚；

【导师】 时建中；

【作者基本信息】 中国政法大学 ， 经济法， 2008， 博士

【摘要】 反垄断法豁免制度是反垄断法的重要内容,对于实现反垄断法的立法目的具有重大现实意义。本文指出,反垄断法豁免实质上就是对限制竞争行为的“合法化”,使特定主体的某个行为或某类行为获得“合法性”。论文主旨在于,我们应该作出怎样的制度选择来构建具体的豁免制度,从而对限制竞争行为“合法化”的过程进行有效的控制,最终的目标就是构建反垄断法豁免的法律制度,从而实现其追求的多元价值。反垄断法中的豁免在不同国家的法律文本中有着不同的含义。但是在一般意义上而言,反垄断法豁免就意味着特定领域的行为或者特定类型的行为能够排除国内反垄断法的适用。论文主要将从以下五部分对反垄断法豁免进行实证考察和规范分析。前言部分。这部分主要有三个主要的内容,首先对选题的背景作出介绍,包括选题的理由、选题的意义以及反垄断法豁免的研究现状等。在此基础上提出论文的分析思路和具体内容,对论文的整体结构和涉及问题的取舍做出陈述,并提出论文的目标是构建反垄断法豁免的法律控制机制。此后,对反垄断法豁免这一基本概念也作出界定,明确文章所涉及的其他基本概念包括反垄断法与反托拉斯法、竞争政策等相互之间的关系,并将其作为全文的逻辑起点。第一章主要是对反垄断法及其豁免的基本理论进行阐述,一方面,在比较分析的基础上对反垄断法的普遍性适用进行归纳分析,另一方面又指出特定行为或特定主体豁免于反垄断法的合理性和对整体经济的重要性。本文指出,反垄断法与其他政策之间的关系将影响到反垄断法豁免的范围,我们必须正确解释豁免制度,才能避免民众对反垄断法豁免及反垄断法本身产生误解。第二章主要讨论了反垄断法对多元价值的追求,这些价值不可量化也不能被统一为唯一的价值,因为它们反映着具体社会中文化、历史、制度和其他不能被忽略的因素的影响。反垄断法本身的价值多元性是反垄断法豁免存在的前提,反垄断豁免就是基于价值的选择而做出的制度妥协,是价值冲突时特定主体所做价值选择的结果。论文认为,反垄断法豁免大部分是为了维持和促进经济效率,但有时却集中体现为其他的价值追求,其典型豁免类型有国家援助豁免、出口卡特尔豁免等。第三章主要是关于反垄断法豁免的构造问题,具体包括类型和模式这两个具体的内容。关于豁免类型,在特定政治和经济原理基础上历史形成的行业豁免,在当代大多数国家中都已经没有被采纳,这些国家的反垄断法都选择了针对特定主体的特定行为进行个案分析,来选择是否豁免的个别豁免形式,而且也强调依据立法确认来授予豁免。对于模式而言,通过对各种控制模式存在的历史背景和我国现状的考察,认为我国应该建立的是立法创设基础上的行政控制模式,而且认为,以事后控制模式为主,以预先审查的事先控制模式为辅,将是更符合我国对反垄断法豁免的控制要求。第四章是关于反垄断法豁免的运行程序内容。这部分首先针对反垄断法豁免制度运行的规则作出了梳理,然后对不同国家反垄断法豁免的适用及其程序做出了详细的分析,认为基于反垄断法的不确定性,合理程序是控制反垄断法豁免的优先选择,同时,论文也认为反垄断法豁免要求有合理的救济机制和约束机制,例如豁免的限制性条件和限制环境等,在此原则上,反垄断法豁免的范围将能够得到有效的控制,而其程序也具备更佳的可预测性和透明度。更多还原

【Abstract】 The exemption institution is the basic and essential part of the antimonopoly laws,and its implement has a great practical significance to the realization of legislative objectives of the antimonopoly laws.The dissertation points out that the exemption from the antimonopoly laws in substance is to legitimize the given restraints of competition and to give the legitimacy to the given form or activity.The thesis of dissertation is to establish the exemption institution for the effective control of the competitive behaviors in the process of its legitimacy in order to achieve the plural value of the antimonopoly laws.The term "exemption" has different meanings in the context of the antimonopoly law in different countries.Nevertheless,the exemption from the antimonopoly law in general means that activities in given areas or conducts of certain categories can be excluded from the application of national competition law.The dissertation includes five parts with the positive survey and normative analysis of exemption from the antimonopoly laws.In the preamble,there are three main issues.First,it introduces the background of the selected topic,which contains the reason,the significance and the research status of the exemption from the antimonopoly laws.Second,it illustrates the analysis approach,the material content of the research and the structure,the main issues of the dissertation,and then points out that the object of the thesis is to constitute a legal control institution of the exemption from the antimonopoly laws.Third,it clarifies the legal implication of exemption, and other relevant basic definitions which includs antitrust law, competition law,the competition policy as well as relationship among them.This is the logic origin and the theoretical foundation of the dissertation.Chapter one illustrates the basic theory of the antimonopoly law and exemption.On the one hand,it makes an analysis on general application of antimonopoly law by using an inductive approach on the basis of the comparative analysis.On the other hand,it points out the rationality of exempting the given form or behavior from the antimonopoly law and its significance to entire economy.Meantime,it emphasizes that the relationship between antimonopoly law and the other government economic policies have impact on the scope of exemption,and it is necessarily important to interpret exemption institution correctly so that misconception by public on exemption from antimonopoly law and the law itself could be avoided.Chapter two mainly discusses that the antimonopoly law is based on a multiple set of values that are neither easily quantifiable nor reduced to a single economic objective.These values reflect a society’s culture,history,institutions and other factors that cannot be ignored. Value pluralism in the antimonopoly law is the foundation of the existence of exemption.The exemption is the concession to the institution of antimonopoly law as a result of choices on specific values. In some cases,the primary value of the antimonopoly law exemption is to maintain and promote the economic efficiency.In other cases,the enforcement of exemption is focusing on the protection of small business and the development of local economics,such as small or medium-sized enterprises cartels and export cartels.Chapter three examines the antimonopoly law exemption’s structure,including the model and the type.As to the type of exemption, the exemptions of a sectoral nature,which reflects historical decision based on political and economic principles,do not apply in most countries now.The view of different antimonopoly laws suggests that the specific business arrangements or practices should be subjected to a case-by-case analysis to determine whether or not they are exempted. Moreover,the exemptions must defer to further specific legislation.As to the model,it is rational to establish an administration-based system which defers to special legislation,and ex ante enforcement as a complement to ex post enforcement,in the light of reviewing the historical backgrounds and status quo in China.Chapter four firstly presents the information on the enforcement procedure of the antimonopoly laws exemption in brief.Then,it makes a detailed analysis on the procedure and the application of antimonopoly law exemption in different countries,and illustrates that the adoption of certain basic procedures and principles in granting of exemptions is necessary,and the due process is the best choice to the control mechanism of exemption in view of the uncertainty of the anti -monopoly law.It also concludes that the exemption from the antimonopoly law requires the relief mechanism and the restriction mechanism such as restrictive and environmental conditions.With such principles,the scope of the exemptions tends to be more limited and the procedures more foreseeable and transparent.更多还原