GB/T 45205-2024經(jīng)營者公平競爭合規(guī)管理規(guī)范

ICS03.100.01

CCSA02

中華人民共和國國家標(biāo)準(zhǔn)

GB/T45205—2024

經(jīng)營者公平競爭合規(guī)管理規(guī)范

Specificationforfaircompetitioncompliancemanagementforundertakings

2024?12?31發(fā)布2024?12?31實施

國家市場監(jiān)督管理總局

國家標(biāo)準(zhǔn)化管理委員會發(fā)布

GB/T45205—2024

目次

前言··························································································································Ⅲ

引言··························································································································Ⅳ

1范圍·······················································································································1

2規(guī)范性引用文件········································································································1

3術(shù)語和定義··············································································································1

4經(jīng)營者環(huán)境··············································································································2

4.1理解經(jīng)營者及其環(huán)境····························································································2

4.2理解相關(guān)方的需求和期望······················································································2

4.3確定公平競爭合規(guī)管理的范圍················································································3

4.4公平競爭合規(guī)管理及其過程···················································································3

5領(lǐng)導(dǎo)作用·················································································································3

5.1領(lǐng)導(dǎo)作用和承諾··································································································3

5.2公平競爭合規(guī)方針·······························································································3

5.3崗位、職責(zé)和權(quán)限·································································································4

5.4所有人員···········································································································4

6策劃·······················································································································5

6.1合規(guī)目標(biāo)及其實現(xiàn)的策劃······················································································5

6.2重點領(lǐng)域、重點環(huán)節(jié)和重點人員···············································································5

6.3公平競爭合規(guī)義務(wù)·······························································································6

6.4公平競爭合規(guī)風(fēng)險評估和應(yīng)對················································································6

7支持·······················································································································8

7.1資源·················································································································8

7.2聘用過程···········································································································8

7.3培訓(xùn)·················································································································9

8管理運行·················································································································9

8.1合規(guī)管理方案·····································································································9

8.2合規(guī)審查···········································································································9

8.3合規(guī)咨詢··········································································································10

8.4合規(guī)舉報及調(diào)查·································································································10

8.5合規(guī)報告··········································································································10

8.6合規(guī)獎懲機制····································································································10

9評價及改進(jìn)············································································································11

9.1績效評價··········································································································11

9.2有效性評價·······································································································11

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GB/T45205—2024

9.3持續(xù)改進(jìn)··········································································································11

10境外公平競爭合規(guī)管理····························································································11

附錄A（資料性）公平競爭合規(guī)義務(wù)來源清單····································································12

附錄B（資料性）公平競爭合規(guī)管理良好實踐····································································14

B.1公平競爭合規(guī)管理構(gòu)建實踐·················································································14

B.2一體化合規(guī)管理體系整合實踐··············································································15

參考文獻(xiàn)····················································································································17

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GB/T45205—2024

前言

本文件按照GB/T1.1—2020《標(biāo)準(zhǔn)化工作導(dǎo)則第1部分：標(biāo)準(zhǔn)化文件的結(jié)構(gòu)和起草規(guī)則》的規(guī)

定起草。

請注意本文件的某些內(nèi)容可能涉及專利。本文件的發(fā)布機構(gòu)不承擔(dān)識別專利的責(zé)任。

本文件由全國機構(gòu)治理標(biāo)準(zhǔn)化技術(shù)委員會（SAC/TC600）歸口。

本文件起草單位：國家市場監(jiān)督管理總局、中國標(biāo)準(zhǔn)化研究院、國家市場監(jiān)督管理總局競爭政策與

評估中心、上海市市場監(jiān)督管理局、浙江省市場監(jiān)督管理局、安徽省市場監(jiān)督管理局、廣東省市場監(jiān)督

管理局、四川省市場監(jiān)督管理局、湖北省市場監(jiān)督管理局、北京市金杜律師事務(wù)所、上海蘭迪律師事務(wù)

所、北京市中倫文德律師事務(wù)所、北京市英島律師事務(wù)所、北京吳少博律師事務(wù)所、華潤（集團）有限公

司、京東方科技集團股份有限公司、濰柴動力股份有限公司、四川省宜賓五糧液集團有限公司、寶馬

（中國）汽車貿(mào)易有限公司、賽諾菲（中國）投資有限公司、馬士基（中國）有限公司、淘天有限公司、北京

抖音信息服務(wù)有限公司、北京小桔科技有限公司、中興通訊股份有限公司、福耀玻璃工業(yè)集團股份有限

公司、江蘇恒瑞醫(yī)藥股份有限公司、通威太陽能（成都）有限公司。

本文件主要起草人：付宏偉、艾則孜·艾力、李佳、孟雁北、郜慶、王先林、周圍、果銘、陳媚、方正、

韋東鵬、徐卿、曹俐莉、吳學(xué)靜、王耕杰、陳俊華、解如風(fēng)、杜佳、陳茜、劉健、胡品潔、楊洪豐、張道陽、

唐宇、王李樂、辛群、周燕、李文靜。

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GB/T45205—2024

引言

0.1概述

本文件旨在為經(jīng)營者提供一個基于過程方法的公平競爭合規(guī)管理框架，以指導(dǎo)其策劃、實施、運

行、評價和改進(jìn)合規(guī)管理。通過這一框架，經(jīng)營者能夠?qū)ⅰ吨腥A人民共和國反壟斷法》《中華人民共和國

反不正當(dāng)競爭法》等相關(guān)法律法規(guī)的要求，以及自愿遵守的合規(guī)要求，細(xì)化為具體的合規(guī)義務(wù)，并融入

企業(yè)的日常管理與業(yè)務(wù)流程中。

本文件采用的PDCA（策劃—實施—檢查—改進(jìn)）循環(huán)和基于風(fēng)險的思維，有助于經(jīng)營者系統(tǒng)性地

識別、控制合規(guī)風(fēng)險，并持續(xù)提升合規(guī)管理水平。文件中的要求具有適應(yīng)性，可以根據(jù)經(jīng)營者的不同規(guī)

模、合規(guī)管理成熟度以及所處環(huán)境的特點進(jìn)行調(diào)整和應(yīng)用。通過實施本文件提出的要求和建議，經(jīng)營

者可以優(yōu)化合規(guī)管理、提升合規(guī)管理能力，促進(jìn)持續(xù)健康發(fā)展。

0.2過程方法

圖1概述了公平競爭合規(guī)管理的常見要件。

圖1公平競爭合規(guī)管理要件

0.3原則

經(jīng)營者公平競爭合規(guī)管理宜考慮的指導(dǎo)原則包括：

a）堅持問題導(dǎo)向：根據(jù)所處行業(yè)特點、市場競爭狀況、業(yè)務(wù)或活動所涉國家或地區(qū)等，識別、分析

可能產(chǎn)生公平競爭合規(guī)風(fēng)險的業(yè)務(wù)領(lǐng)域、工作環(huán)節(jié)和工作崗位，有針對性地開展公平競爭合

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GB/T45205—2024

規(guī)管理；

b）堅持務(wù)實高效：結(jié)合自身業(yè)務(wù)規(guī)模、商業(yè)模式、治理結(jié)構(gòu)等情況，建立能夠反映和適應(yīng)經(jīng)營者

實際情況的公平競爭合規(guī)管理；

c）堅持全面覆蓋：公平競爭合規(guī)管理要覆蓋所有業(yè)務(wù)領(lǐng)域、部門和相關(guān)人員，貫穿決策、執(zhí)行、監(jiān)

督、反饋等各個環(huán)節(jié)，體現(xiàn)在決策機制、內(nèi)部控制、業(yè)務(wù)流程等各個方面，實現(xiàn)多方聯(lián)動、上下

貫通。

0.4與其他管理體系標(biāo)準(zhǔn)的關(guān)系

本文件參考ISO制定的管理體系標(biāo)準(zhǔn)的必備要素，以提高與其他管理體系標(biāo)準(zhǔn)的協(xié)調(diào)一致性。

本文件遵循合規(guī)管理思路，將合規(guī)管理體系（見GB/T35770—2022）的要件融入經(jīng)營者公平競爭

合規(guī)管理，這樣一方面，如果經(jīng)營者已經(jīng)建立了合規(guī)管理體系，可以指導(dǎo)經(jīng)營者在合規(guī)管理體系中納入

并細(xì)化公平競爭合規(guī)管理的具體要求；另一方面，如果經(jīng)營者沒有建立合規(guī)管理體系，也可以指導(dǎo)經(jīng)營

者策劃、實施和運行、評價和改進(jìn)公平競爭合規(guī)管理。

0.5公平競爭合規(guī)管理與其他合規(guī)管理的關(guān)系

公平競爭合規(guī)管理作為專項合規(guī)管理，是經(jīng)營者合規(guī)管理的重要組成部分。不同專項合規(guī)管理的

主要差異是合規(guī)風(fēng)險的類型、性質(zhì)和控制措施，在合規(guī)重點領(lǐng)域、重點環(huán)節(jié)、重點人員既有差異也有交

叉。經(jīng)營者可以結(jié)合自身管理實踐，在確保各項合規(guī)管理有機融合、有效運行的前提下構(gòu)建一體化的

合規(guī)管理，也可以根據(jù)自身風(fēng)險重點建立相互獨立但互相銜接的專項合規(guī)管理。

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經(jīng)營者公平競爭合規(guī)管理規(guī)范

1范圍

本文件規(guī)定了經(jīng)營者公平競爭合規(guī)管理的經(jīng)營者環(huán)境、領(lǐng)導(dǎo)作用、策劃、支持、管理運行、評價及改

進(jìn)和境外公平競爭合規(guī)管理的相關(guān)要求。

本文件適用于各類經(jīng)營者開展公平競爭合規(guī)管理活動。

2規(guī)范性引用文件

下列文件中的內(nèi)容通過文中的規(guī)范性引用而構(gòu)成本文件必不可少的條款。