论反垄断指南的规范形式与效力实质

On the Normative Form and E ffi cacy Essence of Anti-monopoly Guidelines

在反垄断规制中,指南是反垄断法解释的主要文本载体和“更好规制”的重要工具,通过提供一致性的指引、守法示范和裁量约束,有助于促进市场在资源配置中起决定性作用和更好发挥政府作用。但中国反垄断指南的规范形式与效力实质一直不尽分明,这影响了反垄断法解释的充分展开,也阻滞了规制可及性、公正性和一贯性的提升,因此必须予以充分释明。在规范形式方面,首先应当确立反垄断指南以垄断行为为中心的完整体系结构,限缩行业、领域指南的扩张化倾向;其次在文本建构上,聚焦内容拓展和文本形塑,充分展开行为类型拓展和标准引入的探索,确立指南有别于法律、法规和部门规章的文体风格与制式。就效力实质而言,无论是在执法机构内部,还是对行政相对人与法院,反垄断指南都无法律上的约束力,但具有不同程度的事实上的约束力。借助反垄断指南更新与案例发展,这种约束力的范围与程度可以得到进一步廓清。

In the anti-monopoly regulation,the guideline is the main text carrier of the anti-monopoly law interpretation and an important tool of“better regulation”.By providing coherent guidance,law-abiding demonstration,and constraint of discretion,it is conducive to promoting the market in playing a decisive role in the allocation of resources and the government in playing a better role.However,for a long period of time,the normative form and efficacy essence of China’s anti-monopoly guidelines are not quite clear,affecting the full interpretation of anti-monopoly law,and inhibiting the promotion of regulatory accessibility,fairness,and consistency.Thus,it should be fully elaborated.In terms of normative form,a complete structural guideline system centering on monopolistic behavior should be established,and the tendency to expand the industry and field guidelines should be restrained.Secondly,in terms of text construction,it should focus on the content elaboration and the text shaping,fully explore the categories of monopolistic behavior and the introduction of standards,as well as establish the stylistic style and mode that distinguish the guidelines from laws,regulations,and departmental rules.In terms of the efficacy essence,the anti-monopoly guidelines are not legally binding,but have a factual binding effect in varying degrees,both within the anti-monopoly enforcement agencies and to the administrative counterparts and courts.With the facilitation of the anti-monopoly guidelines updates and case-law development,the scope and extent of the factual binding effect can be further clarified.