重磅！以大数据为视角：2015年—2017年上海市商业贿赂行政处罚案例的统计与分析（中英文版）

本文转载自“隆安合规实务”，作者为陆高杰 陈婷婷

前言

在新老《反不正当竞争法》交替之际，本文统计与分析了上海市工商行政管理局官网公开上传[1]的2015年至2017年16个行政区[2]，186份商业贿赂行政处罚决定书，试图采用大数据分析的方法使各位读者了解一线监督检查机关针对商业贿赂案件的执法特征。

Preface

During the transition period of the newly amended Anti-unfair Competition Law, this article conducts a statistical analysis on 186 decisions of commercial bribery administrative penalties that published on the official website of Shanghai Administration for Industry and Commerce (“AIC”), covering 16 districts in Shanghai. We try to use big data analytics to help our readers have a better understanding of the law enforcement features of front-line Market Supervision Authorities (“MSA”) in relation to commercial bribery.

一、2015至2017年，上海市因商业贿赂被查处的违法所得以及罚款金额

2015年至2017年，上海市16个行政区因商业贿赂被没收的违法所得总计约1亿元人民币[3]，查处的罚款金额总计约1500万元。旧反法第22条规定，商业贿赂的行政处罚幅度在1万元至20万元之间。由表一可知，上海市各个监督检查机关在查处商业贿赂罚款金额时倾向取法定罚款幅度上限的一半，即10万元整。

I.The amount of illegal gains and fines from commercial bribery cases in Shanghai during 2015 to 2017

During 2015 to 2017, the amount of illegal gains and fines of commercial bribery cases incurred in Shanghai are approximately RMB100 million and RMB15 million respectively. According to the 1993 Anti-unfair Competition Law, the statutory penalty of commercial bribery is ranged RMB10, 000 to RMB200, 000. We can know from Chart One that Shanghai AIC incline to impose a fine of RMB100, 000, which is half of upper limit of statutory fines. 

二、商业贿赂—经营者在哪个行政区最容易踩雷？

根据公开可查的行政处罚决定书，上海市16个行政区在2015年至2017年之间共计查处186个商业贿赂案件，其中普陀区监督检查机关以查处34个案件位于首位，徐汇区以21个案件数量居于第二。

II.Which is the most dangerous district to companies

According to the publicly available decisions of commercial bribery administrative penalties in Shanghai, 186 commercial bribery cases were investigated in total during 2015 and 2017, among which, Putuo district and Xuhui district investigated and decided 34 cases and 21 cases each, ranked as first and second separately.

三、谁是商业贿赂的高危群体？

分析被查处的186个商业贿赂案件当事人的性质，除个别当事人为自然人外，其余均为企业。其中被查处的绝大多数企业性质属于内资民企，高达131家；被查处的外商独资企业数量位于第二，共计42家。

III.Who is the high-risk group of commercial bribery?

After analyzing parties of the 186 investigated commercial bribery cases, we found that almost  all investigated cases are legal entities and among which domestic private enterprises consist the majority of investigated cases and the number of which is up to 131; the number of wholly foreign-owned enterprises investigated was 42 and at the second place among all 16 districts.

四、商业贿赂的收受主体

根据上海市2015年至2017年的186份商业贿赂行政处罚决定书，被定性为商业贿赂的案件中，收受贿赂的主体主要是：1. 交易相对方；2. 交易相对方的工作人员；3. 对交易有影响力的个人/单位或受交易相对方委托办理相关事务的个人/单位。

旧反法将交易相对方也列为商业贿赂的收受主体之一，而新反法是否排除交易相对方前尚有争议。若新反法确实将交易相对方排除在商业贿赂的收受主体之外，那么原本高达38%被定性为商业贿赂的案件将不再被认定为商业贿赂。

IV.The parties of taking commercial bribery

According to the 186 decisions of commercial bribery administrative penalties in Shanghai during 2015 to 2017, the parties of taking commercial bribery are mainly: 1. Any Counterparty in a transaction; 2. any employee of the counterparty in a transaction; 3. Any individual or entity entrusted by the counterparty in a transaction to handle relevant affairs; or any other individual or entity that is to take advantage of powers to influence a transaction.

The 1993 Anti-unfair Competition Law listed counterparty as one of the parties of taking commercial bribery, however, it’s still controversial whether the newly amended Anti-unfair Competition Law has excluded counterparty as the parties of taking commercial bribery. Up to 38% of the cases that were originally characterized as commercial bribery would no longer be considered commercial bribery if the newly mended Anti-unfair Competition Law do exclude counterparty.

五、商业贿赂的表现形式

经统计分析上海市2015年至2017年的186份商业贿赂行政处罚决定书，商业贿赂主要有以下六种表现形式：1、回扣；2、非法佣金；3、赠送购物卡、礼品、安排免费旅行；4、报销各种费用；5、给予现金或者好处费；6、以销售耗材/产品为目的，免费投放配套/其他的设备。

其中非法佣金与给予现金或者好处费的区别在于：非法佣金一般按照达成的业绩目标或者合同金额按比例支付给对交易有影响力的个人/单位或受交易相对方委托办理相关事务的个人/单位。而现金或者好处费则不是按比例给付，并且给付的对象可以是前述3类商业贿赂的收受主体中的任何一类。

V.Forms of commercial bribery

After analyzing the 186 decisions of commercial bribery administrative penalties in Shanghai during 2015 to 2017, we found Commercial bribery mainly has 6 forms : 1. Kickback; 2. Illegal commission; 3. Gift, gift card or free trip; 4. Rebate; 5. Cash or reward; 6.For sales of supplies / products, free delivery of supporting facilities / other equipment.

The distinction between illegal commission and cash or reward is: illegal commission is given to an individual or entity that take advantage of powers to influence a transaction or individual or entity entrusted by the counterparty in a transaction to handle relevant affairs on the basis of performance goals or contract value. In contrast, cash or reward is not offer in accordance with contract value or performance goals and furthermore, they can be provided to any of the aforesaid three parties.

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[1]我们认为，有部分的商业贿赂行政处罚决定书未被上传。

We believe that there are some commercial bribery decisions on administrative penalty not being uploaded.

[2]这16个行政区分别是：虹口、宝山、松江、杨浦、嘉定、浦东新区、奉贤、闵行、普陀、静安、长宁、徐汇、黄埔、崇明、青浦、金山。

The 16 administrative districts are: Hongkou, Baoshan,Songjiang, Yangpu, Jiading, Pudong, Fengxian, Minhang, Putuo, Jing'an, Changning, Xuhui, Huangpu, Chongming, Qingpu and Jinshan separately.

[3] 根据《工商行政管理机关行政处罚案件违法所得认定办法》的第2条和第9条，工商行政管理机关认定违法所得的基本原则是：事人违法生产、销售商品或者提供服务所获得的全部收入扣除当事人直接用于经营活动的适当的合理支出以及扣除依据法律、法规和省级以上人民政府的规定已经支出的税费，为违法所得。

According to Article 2 and Article 9 of the Measures for the Determination of Illegal Proceeds of Administrative Proceedings by Administrative Organs of Industry and Commerce, the industrial and commercial administrative authorities shall find the illegal income as the basic principle: all incomes obtained by the parties in illegally producing, selling goods or providing services Deducting the parties directly appropriate for legitimate business activities and expenditures deducted in accordance with laws, regulations and the provisions of the people's government at or above the provincial level have been spending taxes and fees, is illegal income.

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