算法垄断风险的事前预防:理论证成、实践反思与路径优化

Ex Ante Prevention of Algorithmic Monopoly Risk: Theoretical Proof, Practical Reflection and Path Optimization

数字经济时代,面对具有复杂性、隐蔽性和技术性的算法垄断风险,过于倚重事后规制的传统反垄断实施方式呈现出威慑不足、成本较高且救济乏力的功能局限。基于风险控制的现实需求、预防垄断的立法原意、域外经验实践的成果,以及填补事后规制不足的考量,对算法垄断风险施以事前预防具有合理意义。审视当前的反垄断实践,可以发现,算法垄断风险的事前预防流露出了干预节点前置化、调整范围扩大化、实施手段多样化以及作用对象特殊化的倾向,虽有探索创新之价值,但也易于陷入激进预防、过度干预的误区。为框定事前预防的合理边界,应确定以“预防中性观”为内涵的折中改良理念,借助比例原则构画审慎实施思路,同时澄清事前预防的功能补充地位,实现算法垄断风险的理性控制。

In the age of digital economy, faced with the risk of algorithmic monopoly with complexity, concealment and technology, the traditional anti-monopoly implementation mode that relies too much on ex post regulation presents the functional limitations of insufficient deterrence, high cost and weak relief. Based on the practical needs of risk control, the legislative intent of preventing monopoly, the results of extraterritorial experience and practice, as well as the consideration of filling the deficiency of post regulation, it is reasonable to prevent the risk of algorithmic monopoly in advance. Reviewing the current anti-monopoly practice, it can be found that the pre-prevention of algorithm monopoly risk reveals the tendency of pre-intervention node, enlargement of adjustment scope, diversification of implementation means and specialization of action objects. Although it has the value of exploration and innovation, it is easy to fall into the wrong area of radical prevention and excessive intervention. In order to frame the reasonable boundary of ex ante prevention, we should define the compromise improvement concept with the connotation of “neutral view of prevention”, draw the prudent implementation idea with the help of the principle of proportionality, and clarify the function supplement status of ex ante prevention, so as to realize the rational control of algorithm monopoly risk.