原料药行业反垄断的法律适用研究——基于17份行政处罚书的实证分析

Study on the Application of Anti-monopoly in API Industry:an Empirical Analysis Based on 17 Administrative Penalty Cases

原料药行业17起反垄断行政执法案件存在法律依据关系不清、单一实体规则不明、违法主体认定遗漏、违法行为认定遗漏以及后继滥用规制不足等问题。通过释明法律依据关系以及解构主体和行为垄断类型,可以总结出原料药行业反垄断法律适用的总体思路。对于形式上只有一个经营者的案件,适用单独滥用规则进行违法判断。对于形式上存在多个经营者的案件,先适用单一实体规则判断是否存在控制关系,存在控制关系的情形适用单独滥用规则,不存在控制关系的情形则依据主体之间的横纵关系进行判断,横向关系遵循横向协议、横向协同和共同滥用的适法顺序,纵向关系则重点分析上下游主体的主观恶性和垄断利益流向。对于实质上存在多个横纵经营者的案件,分别依据前述规则予以判断。在具体制度完善上,通过激活纵向协议的事前审查、明晰单一实体的认定要件、强化法律责任的威慑功能,以及推进反垄断合规的预防机制,构建起有效的原料药反垄断法律适用体系。

There are issues,such as unclear legal basis relationships,unclear single entities rules,omissions of identifying illegal subjects and behaviors,and insufficient regulation against subsequent abuses,in 17 cases of antitrust administrative enforcement in the API industry.By clarifying the legal basis relationships and deconstructing monopolistic types of subjects and behaviors,the general idea of the application of anti-monopoly law in the API industry can be summarized.For cases with only one operator in form,the separate abuse of dominance is applied for illegal judgment.For cases with multiple operators in form,the single entity rule is first applied to judge whether there is a controlling relationship.If there is a controlling relationship,the separate abuse rule is applied.If there is no controlling relationship,the horizontal and vertical relationships between the subjects are judged,with horizontal relationships following the order of horizontal agreements,horizontal coordination and joint abuse,and vertical relationships focusing on the subjective malice and the flow of monopoly interests between upstream and downstream subjects.For cases with multiple horizontal and vertical operators in substance,they shall be judged according to the aforementioned rules respectively.In terms of specific institutional improvement,an effective anti-monopoly law application system in the API industry can be constructed through activating pre-examination of vertical agreements,clarifying the criteria for identifying a single entity,strengthening the deterrent function of legal responsibility,and promoting the prevention mechanism of anti-monopoly compliance.