ICS03.100.01

CCSA02

中華人民共和國國家標準

GB/T45205—2024

經營者公平競爭合規管理規范

Specificationforfaircompetitioncompliancemanagementforundertakings

2024?12?31發布2024?12?31實施

國家市場監督管理總局

國家標準化管理委員會發布

GB/T45205—2024

目次

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

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

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

2規范性引用文件········································································································1

3術語和定義··············································································································1

4經營者環境··············································································································2

4.1理解經營者及其環境····························································································2

4.2理解相關方的需求和期望······················································································2

4.3確定公平競爭合規管理的范圍················································································3

4.4公平競爭合規管理及其過程···················································································3

5領導作用·················································································································3

5.1領導作用和承諾··································································································3

5.2公平競爭合規方針·······························································································3

5.3崗位、職責和權限·································································································4

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

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

6.1合規目標及其實現的策劃······················································································5

6.2重點領域、重點環節和重點人員···············································································5

6.3公平競爭合規義務·······························································································6

6.4公平競爭合規風險評估和應對················································································6

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

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

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

7.3培訓·················································································································9

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

8.1合規管理方案·····································································································9

8.2合規審查···········································································································9

8.3合規咨詢··········································································································10

8.4合規舉報及調查·································································································10

8.5合規報告··········································································································10

8.6合規獎懲機制····································································································10

9評價及改進············································································································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持續改進··········································································································11

10境外公平競爭合規管理····························································································11

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

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

B.1公平競爭合規管理構建實踐·················································································14

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

參考文獻····················································································································17

Ⅱ

GB/T45205—2024

前言

本文件按照GB/T1.1—2020《標準化工作導則第1部分：標準化文件的結構和起草規則》的規

定起草。

請注意本文件的某些內容可能涉及專利。本文件的發布機構不承擔識別專利的責任。

本文件由全國機構治理標準化技術委員會（SAC/TC600）歸口。

本文件起草單位：國家市場監督管理總局、中國標準化研究院、國家市場監督管理總局競爭政策與

評估中心、上海市市場監督管理局、浙江省市場監督管理局、安徽省市場監督管理局、廣東省市場監督

管理局、四川省市場監督管理局、湖北省市場監督管理局、北京市金杜律師事務所、上海蘭迪律師事務

所、北京市中倫文德律師事務所、北京市英島律師事務所、北京吳少博律師事務所、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、福耀玻璃工業集團股份有限

公司、江蘇恒瑞醫藥股份有限公司、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、吳學靜、王耕杰、陳俊華、解如風、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。

Ⅲ

GB/T45205—2024

引言

0.1概述

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

行、評價和改進合規管理。通過這一框架，經營者能夠將《中華人民共和國反壟斷法》《中華人民共和國

反不正當競爭法》等相關法律法規的要求，以及自愿遵守的合規要求，細化為具體的合規義務，并融入

企業的日常管理與業務流程中。

本文件采用的PDCA（策劃—實施—檢查—改進）循環和基于風險的思維，有助于經營者系統性地

識別、控制合規風險，并持續提升合規管理水平。文件中的要求具有適應性，可以根據經營者的不同規

模、合規管理成熟度以及所處環境的特點進行調整和應用。通過實施本文件提出的要求和建議，經營

者可以優化合規管理、提升合規管理能力，促進持續健康發展。

0.2過程方法

圖1概述了公平競爭合規管理的常見要件。

圖1公平競爭合規管理要件

0.3原則

經營者公平競爭合規管理宜考慮的指導原則包括：

a）堅持問題導向：根據所處行業特點、市場競爭狀況、業務或活動所涉國家或地區等，識別、分析

可能產生公平競爭合規風險的業務領域、工作環節和工作崗位，有針對性地開展公平競爭合

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GB/T45205—2024

規管理；

b）堅持務實高效：結合自身業務規模、商業模式、治理結構等情況，建立能夠反映和適應經營者

實際情況的公平競爭合規管理；

c）堅持全面覆蓋：公平競爭合規管理要覆蓋所有業務領域、部門和相關人員，貫穿決策、執行、監

督、反饋等各個環節，體現在決策機制、內部控制、業務流程等各個方面，實現多方聯動、上下

貫通。

0.4與其他管理體系標準的關系

本文件參考ISO制定的管理體系標準的必備要素，以提高與其他管理體系標準的協調一致性。

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

合規管理，這樣一方面，如果經營者已經建立了合規管理體系，可以指導經營者在合規管理體系中納入

并細化公平競爭合規管理的具體要求；另一方面，如果經營者沒有建立合規管理體系，也可以指導經營

者策劃、實施和運行、評價和改進公平競爭合規管理。

0.5公平競爭合規管理與其他合規管理的關系

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

主要差異是合規風險的類型、性質和控制措施，在合規重點領域、重點環節、重點人員既有差異也有交

叉。經營者可以結合自身管理實踐，在確保各項合規管理有機融合、有效運行的前提下構建一體化的

合規管理，也可以根據自身風險重點建立相互獨立但互相銜接的專項合規管理。

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GB/T45205—2024

經營者公平競爭合規管理規范

1范圍

本文件規定了經營者公平競爭合規管理的經營者環境、領導作用、策劃、支持、管理運行、評價及改

進和境外公平競爭合規管理的相關要求。

本文件適用于各類經營者開展公平競爭合規管理活動。

2規范性引用文件

下列文件中的內容通過文中的規范性引用而構成本文件必不可少的條款。