本篇論文主要係就我國競爭法規範為本，以國際合作之角度，從競爭法之制度規範及實務執行層面，探討寬恕政策應如何運用於各國執行競爭法規範，以有效偵測，進而防杜國際惡性卡特爾。論文架構可分為五個章節，茲分述如次： 第一章緒論在闡述本文研究的背景說明，確認打擊國際惡性卡特爾為國際競爭法合作最佳探討議題，進而提出本文之問題核心及研究動機、目的，並說明研究範圍及以比較法學及分析法學為本論文研究方法，藉以建立本文的架構與目標。 第二章為闡述國際惡性卡特爾之類型及特徵，並以比較各國立法例之方式，對應各主要國家競爭法所規範聯合行為之類型、豁免（例外許可或除外規定）及制裁方式，以瞭解惡性卡特爾於各國競爭法規範上定位；內容包括歸納及整理各國聯合行類型及制裁方式之立法例，藉以建立惡性卡特爾在國際競爭法規範上的實質內涵、規範特徵，作為本文論述的基礎架構；另深入探討國際惡性卡特爾如何開始、如何執行及運作暨何以規避法律，據以確認寬恕政策作為打擊國際惡性卡特爾之工具價值，以進一步探討於國際合作其間運用之可能性。 第三章係針對於競爭法規範制度內已採行寬恕政策有成效之法域：美國及歐盟為探討分析之對象。不僅就該等法域寬恕政策之內涵，加以詳盡說明，歸納其間之差異，並觀察該等施行實務執行經驗，以瞭解實務執行所面臨之障礙及其執行應用於打擊惡性卡特爾是否確具成效。 第四章從前開執行層面之觀察，探討其應用於國際惡性卡特爾之可行性；並以前開已採行及準備引進寬恕政策之我國為假想對象，進一步深入研析該等國家共同合作打擊國際惡性卡特爾之可行性。並針對縱向運用及橫向聯繫之不同合作模式，以進一步評估運用寬恕政策打擊國際惡性卡特爾之可行性，並一一檢測可能國際合作之途徑，以尋求可能之最佳合作管道及層次。 第五章為結論，主要歸結本文的研究成果，除就該等可行性之評估，歸納出最具高度可能性之最佳合作途徑，提供各國競爭法執法機關執法合作之建議，並對於正擬修法引進寬恕政策之我國競爭法主管機關言，予以取法外國立法例之修法建議，使國內修法趨勢得以兼顧競爭法國際合作觀點，不僅得以藉此有效防杜惡性卡特爾，更能有效拓展國際競爭法合作之空間及提昇國際競爭法合作之執行層次。 / The main idea of this thesis is to explain and study how the leniency policy is applied to fight hard-core cartel in one country and among nations. And the structure of the thesis includes five chapters. The thesis is based on the Fair Trade Law of R.O.C , comparing and analyzing the different regulations of hard-core cartel in the United States and the EU, to identify the characteristics of hard-core cartel and further explore the related issues of enforcement if leniency policy is applied to fight hard -core cartel. The thesis also explains the ways of international cooperation how leniency policy is applied to fight hard-core cartel in vertical application and horizontal connection. Finally the thesis submits that the best way of international cooperation in applying the leniency policy to hard-core cartel. In addition, the thesis also submits the suggestion for R.O.C. which plans to introduce the leniency policy in the Fair Trade Law of R.O.C to fight hard-core cartels.

一、研究動機與目的 由於聯合行為之態樣繁多，其中亦不乏對於整體經濟與公共利益有益者，故不宜完全否定其存在價值。公平法第14條但書即就聯合行為列舉7款類型化之例外情形，允許事業事先向公平會申請許可。該7款例外許可情形，分別是「統一規格或型式之聯合」、「共同研發之聯合」、「專業化之聯合」、「輸出之聯合」、「輸入之聯合」、「不景氣之聯合」及「中小企業之聯合行為」等。而依主管機關公平會之受理案件統計，其中又以第5 款之輸入聯合行為案件占最大比例，究其原因應係由於我國係屬海島型經濟國家，且受限於地理、氣候等自然因素影響，導致國內許多重要大宗物資均須仰賴國外進口之故。 對於輸入卡特爾，我國競爭法主管機關多以「有益於整體經濟與公共利益」之理由而予以例外許可，惟因此等聯合進口行為，極易成為參與聯合進口事業在國內從事限制競爭行為的合法掩護，且由其獨吞卡特爾可能帶來的經濟利益。此外，由於我國身為世界貿易組織成員，對於會員國國民負有提供國民待遇義務，而許可聯合進口之以鄰為壑、內外有別，亦易遭致外國指控。另就公平會成立十餘年來之執法案例亦可觀察得知，經公平會許可之合船進口案件，已出現小麥進口業者利用聯合進口許可，實際從事不法協議進口總量管制暨分配各家配額之違法聯合行為現象，致使該會不得不廢止原已授與之例外許可決定。又針對業者未經公平會許可即從事合船進口之違法聯合行為，公平會於96年11月間之最新處分案例，對於5家黃豆進口業者處以高達新台幣2,500萬元之罰鍰，該案例作成後，亦引發各界對於業者合船採購應否先申請公平會許可、以及該案罰鍰是否過重等爭議。故本研究希能藉由探討輸入卡特爾於我國大宗物資產業背景下之特殊性，進而分析該等行為本質上及相關事業可能出現之限制競爭及不公平競爭行為於競爭法上應有之評價，並期望研究結果能做為國內公平法之理論及實務界參考。 二、研究建議 (一)目前執法建議 1、檢討強化現行負擔內容 2、考慮設定具體「聯合規模」之限制 3、輔導新進業者參與競爭 4、加強事後監督避免許可濫用 5、加強與產業主管機關間之部會合作 (二) 未來修法建議 1、以申報異議或法定例外制取代事前許可制 2、增訂例外豁免之概括條款 3、建立安全區避風港原則 4、有條件考慮採取集體豁免制度 5、以短、中、長期漸進方式刪除輸入卡特爾規定

寬恕政策為政府打擊卡特爾不可或缺的重要工具，為了維持市場競爭公平性，各國相繼將其引入法條之中，該政策透過廠商主動揭露涉案行為，使得政府可有效掌握證據將其處置。本文建立兩種賽局模型並分別利用子賽局完全均衡及序列均衡的概念，嘗試討論一般情況下寬恕政策的效率及納入資訊不對稱情形下的政策有效性，並由兩模型推論出：實行寬恕政策且廠商主動申報聯合行為為社會最有效率的均衡、透過政府制定適當的罰鍰區間引導下，主動申報聯合行為的行為可視為一區隔廠商型態的訊號。 / The leniency policy plays an indispensable role in thwarting cartel formation. To maintain the fairness of market competition, most countries successively bring this policy into their antitrust legislation. After the enforcement of the policy, the involved firms may have incentive to self-report and provide evidences to the Antitrust Authority. Therefore, the authorities can get enough evidences to convict those firms of being cartel members. In this paper, we develop two kinds of game theoretical model and use the concept of subgame perfect equilibrium and sequential equilibrium to discuss the efficiency of leniency policy in general conditions, and the effectiveness of the policy under the condition of information asymmetry. We show that it is efficient to the society and the authorities when the cartel members self-report under the enforcement of leniency policy. Moreover, by setting up an appropriate fine payment, self-reporting can be a signal for the authorities to segment the type of the involved firms.

為了維護全球經濟的穩定與公平，近年來各國無不致力於反壟斷政策的執行，以期有效打擊卡特爾式的企業聯合行為。本文從三種不同的環境條件下，逐一探討採取聯合行為的廠商和反托拉斯政府之間的互動情況。透過本研究可發現，廠商在以利潤為優先考量下，來決定是否採取聯合結盟，以及合法或非法的合作型態。此外，為了朝全社會效率極大的目標邁進，本文針對三種環境設定下的均衡結果進行效率性的比較，得知其差異的成因在於政府和廠商報酬差異的大小。 / In order to keep the stability and fairness of global economy, most of the authorities around the world have been fighting for cutting down cartels by implementing Antitrust/Competition Law. In this paper, we analyze the interaction between joint ventures and antitrust authorities in three different cases. And we find that profit always takes priority in firms’ decision, no matter how the economic environment changes. Finally, in discussing social utility, we compare efficiency among the three cases, and reach our conclusion that the difference of government’s and firm’s return causes the efficiency or non-efficiency of those optimal strategies.

按聯合行為之執法實務，因面臨直接證據取得不易之現實，各國執法機關與法院莫不仰賴間接證據以證明事業間存乎於心的「合意」，從而「合意」要件的認定，成為在認定聯合行為時，最艱困的挑戰。鑑於我國學說與實務，尚未就如何運用間接證據證明合意之存在，形成一套可資依循之操作法則，從而本文乃一秉經濟理論、法律理論並重，而兼採法律經濟分析之方法，參諸反托拉斯法施行歷史最久、執法經驗最為豐富之美國，分析觀察其理論與實務之發展，加之以大量案例之研析，歸納出其長期踐行所形成之操作原則，並於檢視我國聯合行為之實務運作情形後，在我國實定法律與執法實務之架構下，提出本文所建議之間接證據操作原則，期能供作我國行政院公平交易會與行政法院，於認定聯合行為案件「合意」要件時，可資依循之操作準則，相關操作準則之具體內容，則包括間接證據之類型化、不同類型間接證據之論究先後順序、經濟分析方法與經濟性證據之運用方式、評價經濟性證據時應採取之合理心證運作模式、為控制經濟性證據之無規則性本質而導致的法律不確定性風險，而就證據價值所為之必要限制、以及本於公平正義與效率之理念，而設定出之聯合行為行政訴訟之據證明度標準，及於該證明度標準下所形成之具體操作內涵。 關鍵字： 卡特爾、合意、間接證據、證明度標準、有意識平行行為、促進行為、附加因素 / The competition authorities and courts nowadays have difficulty to obtain direct evidence to prove a cartel’s agreement for horizontal conspiracies seldom entailing refined articulation of mutual understanding—often the understanding is no more than a wink or a nod, in this situation, inferring the conspiracy based on circumstantial evidence is the normality rather than the exception and has bedeviled the enforcer and courts when distinguishing between innocent interdependence and illegal conspiracy. In view of deficient in a systematic way for Taiwan Fair Trade Commission and the Administrative Courts in manipulating circumstantial evidence when proving the existence of an agreement, this thesis proposes a systematic mode and criteria of manipulating through surveying numerous horizontal restraint cases covering U.S. and Taiwan by means of equally emphasizing law theory and economic theory as well as the approach of economic analysis of law. And the contents includes classifying the types of circumstantial evidence, the proper and reasonable way of economic evidence evaluation, the essential conditions in the probative value of economic evidence in order to control the pitfalls of uncertainty in the law resulting from increased reliance on such evidence as well as the standard of proof which conforms to justice and efficiency imposing on a cartel administrative litigation, with regard to the main issues of the suggestion framework. Key words: cartel, agreement, circumstantial evidence, the standard of proof, conscious parallelism, facilitating practice, plus factor

隨著世界各國開放市場，事業間的競爭已步入國際化，是以競爭法制與政策也必須國際化，然而各國間競爭法規範的調和並未隨著經貿自由化而自然達成。本文點出競爭法與國際接軌的重要性，進一步檢視各國就競爭法案件在單邊、雙邊、複邊等層次將面臨哪些執法上的問題。又因國際反競爭案件越趨頻仍，競爭法主管機關間的合作需求隨之提高，究竟在執法合作上可能面臨哪些困難與限制，未來在合作上發展的趨勢如何，本文將循序漸進加以探討。目前國際間迄未形成一套強勢的競爭法制，世界貿易組織（World Trade Organization, WTO）亦放棄在杜哈談判回合處理競爭議題，然經貿自由化對國際競爭法制仍持續注入新元素。譬如各國簽訂之自由貿易協定與區域經濟整合，多設有競爭相關章節，並開始關注國營事業涉及的反競爭問題（即競爭中立的問題），此等新發展亦屬本文探討之範圍。 / Along with the trend of trade liberaliztion, the competition among enterprises has gone global. However, the competition rules seem to have no chance to reach international coordination in the near future. This article emphasizes that it’s important for a nation to coordinate its own competition law with other countries. Thus, the issues of competiton law enforcement at unilateral level, bilateral level, plurilateral level, regional level, and mutilateral level are also well discussed in this article. Due to the increasing number of anti-competition cases, the need for enforcement cooperation has risen. As a result, this article spends many efforts on recognizing the restraints and obstacles when cooperating with other competition authorities, trying to find the solutions to the problems of cooperation. Despite the fact that WTO failed to deal with international competition issues, there are many ambitious FTAs and reginal trade agreements trying to make common competition rules, which induce new elements into the field of international competition laws and policies. For exaples, TPP and many FTAs are in the negotiation of competitive neutrality requirement in the draft agreements. Such new development will not be excluded when speaking of international competition laws and policies.

不論是反全球化或是支持全球化，我們都無法否認，全球化已經是一個現在進行式。另外一個與全球化一樣逐步成長的乃是市場經濟體制，市場經濟體制植基於開放競爭有助於資源合理分配的觀念，而全球化則擴大了資源分配的範圍。然而，全球化和市場經濟體制的發達，貿易壁壘的消除，也帶動跨國界限制競爭活動的發展，反托拉斯不再是單純的國內問題，而是國際問題。 國際反托拉斯所帶來的問題大致可分為下述兩種，一是阻礙國際貿易的發展，二是因為各國不同的反托拉斯標準造成國際緊張以及企業成本。第一類問題可以細分為下述幾種情況：1. 國際卡特爾破壞市場競爭機制以及消費者福祉； 2. 跨國公司在全球濫用獨占力，影響國際競爭秩序和消費者福祉；3. 競爭法的缺乏以及競爭法的不力執行構成市場進入障礙。第二類問題亦可以細分為下屬幾種情況：1. 國際合併的多國標準造成企業的額外成本，不利國際合併之進行，並造成國際緊張；2. 國與國間產業政策以及競爭政策的衝突。 面對上述這些跨國性的反托拉斯問題，各界紛紛提出競爭法調和的呼籲，此議題近來在各國際組織也漸獲重視。事實上為了處理國外限制競爭行為對國內所產生的影響，以保護本國利益，國內法方面已有所謂的「域外適用（extraterritorial application）」對策產生。但是競爭法的域外適用並無法全然解決現時國際限制競爭行為所帶來的問題，反而還帶來了新的問題，並造成國際緊張。為了在國際案件有效執行反托拉斯法，不論是在卡特爾案件或是獨占力濫用案件，各國競爭法主管機關互相合作與協調都是不可或缺的。至於將競爭法提升至國際法層次，避免國家以非關稅措施破壞自由貿易制度，似乎也有需要。 本文目的在於藉著對競爭法調和現況的瞭解和其成就之分析來尋求目前全球化時代，貿易自由化時代下跨國限制競爭問題的解決之道。 全文一共分為六章，第一章為緒論，為本論文做出開端，闡明全球化時代國際競爭秩序的問題，並提出研究範圍與目的。 第二章研究關於國際競爭秩序的雙邊條約，著眼於美國和歐盟，澳洲和紐西蘭，以及我國和世界各國所訂立的條約。討論範圍為該些雙邊關係所建立之合作內容，其具體成效，成功失敗之因素，以及可供世界各國借鏡之處。台灣部分則著眼於我國目前現狀之檢討，和未來走向之研究。 第三章為從事競爭法調和的區域性國際組織，研究範圍包括歐盟、APEC以及NAFTA。其中APEC所從事的活動較近於政策性的調和，屬於競爭政策的宣導；NAFTA則進一步具有競爭法的實體規範；歐盟不但具有實體規範，並具有一套全球獨步的競爭法執行架構。 第四章為國際組織，將討論UN, WTO和OECD在國際競爭法的發展。UN基本上雖為政治組織，但是對於競爭議題也相當重視；WTO部分則將討論目前競爭議題在WTO體系的進展，並進一步討論WTO進行國際競爭法調和工作的可行性和不可行性；OECD對於競爭議題也一直相當重視，本文將探討OECD在競爭議題方面的研究成果。 第五章為全球性的競爭法規範，討論的範圍有UNCTAD所提出的「管制限制性商業行為的一套多邊協議的公平原則和規則（Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices）」以及DIAC。這兩套全球性的競爭法不但都具有實體規範也都提出一套制度性規範，雖然兩者都未能成為具有拘束力的國際競爭法，但是其所提出的實體規範內容和架構設計仍值得我們做進一步的研究。「管制限制性商業行為的一套多邊協議的公平原則和規則」本身是以聯大決議的形式呈現，因此在某一角度而言，「管制限制性商業行為的一套多邊協議的公平原則和規則」並未失敗，然而DIAC原本乃是預定成為WTO的附件之一，唯最後這樣的理想並未實現，因此我們有必要去問，DIAC的失敗因素為何？是基於其實體內容的設計問題，或是制度面的設計問題？或者是因為其他的外在因素？ 最後，在第六章的結論，本文將試圖分析各種競爭法調和方式的利弊得失，並且提出建議。 / Some people oppose globalization, while others support globalization. However, it is undeniable that globalization is an on-going trend. Another on-going trend is market-oriented economy structure. The structure of market-oriented economy bases on the theory that competition contributes to reasonable allocation of resource. On the other hand, globalization expands the scope of the allocation of resources. However, the proliferation of globalization and the structure of market-oriented economy and the elimination of trade barriers also promote the development of transnational anticompetitive activities. Antitrust is no more a pure domestic issue, it is also an international issue nowadays. International antitrust problems could be divided into two parts. First, the international antitrust activities hinder the development of international trade. Second, different antitrust standards of each country cause international tense situation and increase enterprises’ cost. First situation contains following aspects: 1. International cartels ruin market competition system and welfare of consumers. 2. Transnational companies abuse their dominant power all globally and affect international competition order and consumers’ welfare. 3. Absence of competition law and unenforcement of it constitute market entrance obstacles. Second situation also contains following aspects: 1.Different standards of international mergers bring many results, such as increasing enterprises’ extra cost, hindering the proceedings of international mergers, and causing international tensions. 2. The conflict between industry policy and competition policy of countries. Facing those transnational antitrust problems, the issue of the harmonization of competition law has been raised. This issue is drawing more and more attention in several international organizations day by day. In fact, to deal with the domestic effect of abroad anticompetitive activities to protect national interest, the theory “extraterritorial application” of domestic law has been raised. However, the extraterritorial application of domestic law is unable to solve all the problems that the international anticompetitive activities have brought. Furthermore, it has also made new problems and caused international tensions. To enforce antitrust law effectively in international cases, cooperation and coordination between national competition agencies are unavoidable. In addition, bringing antitrust law up to international law level and avoiding nations ruin free trade system by non-tariff strategy seem also be needed. The main purpose of this essay is to understand and analysis the current situation of the harmonization of competition law and to find out the solution of transnational competition problems in the era of globalization and the era of free-trade. This essay has been divided into 6 chapters. The first chapter is the introduction, which illustrates the international competition problems in the era of globalization and brings out the studying scope and purpose of this essay. The second chapter talks about international competition bilateral treaties between U.S. and E.U., Australia and New Zealand, Taiwan and other countries. The discussing scope contains the cooperation content which was set up by the bilateral treaty, its concrete result, and the reasons of its failure or success. As for Taiwan, this essay focuses on the review of its current situation and where its future is. The third chapter talks about regional international organizations which involve in the harmonization of competition law, such as E.U., APEC and NAFTA. APEC’s activities are more closer to the harmonization of policies, which promote competition activities. NAFTA has substantial competition regulations. E.U. not only has substantial regulations but also has the first set of enforcement system of international competition law in the world. The forth chapter is international organization, which talks about the development of international competition law in U.N., WTO and OECD. Although basically U.N. is a political organization, it also highly emphasizes competition issues. In addition, this chapter talks about the development of competition issues in the WTO system and the possibilities of promoting the harmonization of international competition law in WTO. Additionally, OECD also emphasizes competition issues very much. This chapter also talks about the study result of OECD in the competition issues. The fifth chapter is the global competition regulations, which contains “Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices” of UNCTAD and “ Draft International Antitrust Code”. Both of the global competition laws contain substantial regulations and the design of enforcement systems. Although both of them ended up in unrestrictive regulations, they also deserve further research. “Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices” was brought out with the form of UN General Assembly Resolution, but it is successful in some aspect. DIAC was meant to be an Annex of WTO originally. However this idea was not realized at the end. Why DIAC failed? Was it because of the design of its substantial content or the design of the enforcement structure or other outside factors? At last, this essay will analysis the shortages and advantages of all kinds of the harmonization of competition law and bring out recommendations in the conclusion of chapter 6.