GB/T 45205-2024 经营者公平竞争合规管理规范

ICS03.100.01

CCSA02

中华人民共和国国家标准

GB/T45205—2024

经营者公平竞争合规管理规范

Specificationforfaircompetitioncompliancemanagementforundertakings

2024⁃12⁃31发布2024⁃12⁃31实施

国家市场监督管理总局

国家标准化管理委员会发布

GB/T45205—2024

目次

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

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

1范围·······················································································································1

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

3术语和定义··············································································································1

4经营者环境··············································································································2

4.1理解经营者及其环境····························································································2

4.2理解相关方的需求和期望······················································································2

4.3确定公平竞争合规管理的范围················································································3

4.4公平竞争合规管理及其过程···················································································3

5领导作用·················································································································3

5.1领导作用和承诺··································································································3

5.2公平竞争合规方针·······························································································3

5.3岗位、职责和权限·································································································4

5.4所有人员···········································································································4

6策划·······················································································································5

6.1合规目标及其实现的策划······················································································5

6.2重点领域、重点环节和重点人员···············································································5

6.3公平竞争合规义务·······························································································6

6.4公平竞争合规风险评估和应对················································································6

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

7.1资源·················································································································8

7.2聘用过程···········································································································8

7.3培训·················································································································9

8管理运行·················································································································9

8.1合规管理方案·····································································································9

8.2合规审查···········································································································9

8.3合规咨询··········································································································10

8.4合规举报及调查·································································································10

8.5合规报告··········································································································10

8.6合规奖惩机制····································································································10

9评价及改进············································································································11

9.1绩效评价··········································································································11

9.2有效性评价·······································································································11

Ⅰ

GB/T45205—2024

9.3持续改进··········································································································11

10境外公平竞争合规管理····························································································11

附录A（资料性）公平竞争合规义务来源清单····································································12

附录B（资料性）公平竞争合规管理良好实践····································································14

B.1公平竞争合规管理构建实践·················································································14

B.2一体化合规管理体系整合实践··············································································15

参考文献····················································································································17

Ⅱ

GB/T45205—2024

前言

本文件按照GB/T1.1—2020《标准化工作导则第1部分：标准化文件的结构和起草规则》的规

定起草。

请注意本文件的某些内容可能涉及专利。本文件的发布机构不承担识别专利的责任。

本文件由全国机构治理标准化技术委员会（SAC/TC600）归口。

本文件起草单位：国家市场监督管理总局、中国标准化研究院、国家市场监督管理总局竞争政策与

评估中心、上海市市场监督管理局、浙江省市场监督管理局、安徽省市场监督管理局、广东省市场监督

管理局、四川省市场监督管理局、湖北省市场监督管理局、北京市金杜律师事务所、上海兰迪律师事务

所、北京市中伦文德律师事务所、北京市英岛律师事务所、北京吴少博律师事务所、华润（集团）有限公

司、京东方科技集团股份有限公司、潍柴动力股份有限公司、四川省宜宾五粮液集团有限公司、宝马

（中国）汽车贸易有限公司、赛诺菲（中国）投资有限公司、马士基（中国）有限公司、淘天有限公司、北京

抖音信息服务有限公司、北京小桔科技有限公司、中兴通讯股份有限公司、福耀玻璃工业集团股份有限

公司、江苏恒瑞医药股份有限公司、通威太阳能（成都）有限公司。

本文件主要起草人：付宏伟、艾则孜·艾力、李佳、孟雁北、郜庆、王先林、周围、果铭、陈媚、方正、

韦东鹏、徐卿、曹俐莉、吴学静、王耕杰、陈俊华、解如风、杜佳、陈茜、刘健、胡品洁、杨洪丰、张道阳、

唐宇、王李乐、辛群、周燕、李文静。

Ⅲ

GB/T45205—2024

引言

0.1概述

本文件旨在为经营者提供一个基于过程方法的公平竞争合规管理框架，以指导其策划、实施、运

行、评价和改进合规管理。通过这一框架，经营者能够将《中华人民共和国反垄断法》《中华人民共和国

反不正当竞争法》等相关法律法规的要求，以及自愿遵守的合规要求，细化为具体的合规义务，并融入

企业的日常管理与业务流程中。

本文件采用的PDCA（策划—实施—检查—改进）循环和基于风险的思维，有助于经营者系统性地

识别、控制合规风险，并持续提升合规管理水平。文件中的要求具有适应性，可以根据经营者的不同规

模、合规管理成熟度以及所处环境的特点进行调整和应用。通过实施本文件提出的要求和建议，经营

者可以优化合规管理、提升合规管理能力，促进持续健康发展。

0.2过程方法

图1概述了公平竞争合规管理的常见要件。

图1公平竞争合规管理要件

0.3原则

经营者公平竞争合规管理宜考虑的指导原则包括：

a）坚持问题导向：根据所处行业特点、市场竞争状况、业务或活动所涉国家或地区等，识别、分析

可能产生公平竞争合规风险的业务领域、工作环节和工作岗位，有针对性地开展公平竞争合

Ⅳ

GB/T45205—2024

规管理；

b）坚持务实高效：结合自身业务规模、商业模式、治理结构等情况，建立能够反映和适应经营者

实际情况的公平竞争合规管理；

c）坚持全面覆盖：公平竞争合规管理要覆盖所有业务领域、部门和相关人员，贯穿决策、执行、监

督、反馈等各个环节，体现在决策机制、内部控制、业务流程等各个方面，实现多方联动、上下

贯通。

0.4与其他管理体系标准的关系

本文件参考ISO制定的管理体系标准的必备要素，以提高与其他管理体系标准的协调一致性。

本文件遵循合规管理思路，将合规管理体系（见GB/T35770—2022）的要件融入经营者公平竞争

合规管理，这样一方面，如果经营者已经建立了合规管理体系，可以指导经营者在合规管理体系中纳入

并细化公平竞争合规管理的具体要求；另一方面，如果经营者没有建立合规管理体系，也可以指导经营

者策划、实施和运行、评价和改进公平竞争合规管理。

0.5公平竞争合规管理与其他合规管理的关系

公平竞争合规管理作为专项合规管理，是经营者合规管理的重要组成部分。不同专项合规管理的

主要差异是合规风险的类型、性质和控制措施，在合规重点领域、重点环节、重点人员既有差异也有交

叉。经营者可以结合自身管理实践，在确保各项合规管理有机融合、有效运行的前提下构建一体化的

合规管理，也可以根据自身风险重点建立相互独立但互相衔接的专项合规管理。

Ⅴ

GB/T45205—2024

经营者公平竞争合规管理规范

1范围

本文件规定了经营者公平竞争合规管理的经营者环境、领导作用、策划、支持、管理运行、评价及改

进和境外公平竞争合规管理的相关要求。

本文件适用于各类经营者开展公平竞争合规管理活动。

2规范性引用文件

下列文件中的内容通过文中的规范性引用而构成本文件必不可少的条款。其中，注日期的引用文

件，仅该日期对应的版本适用于本文件；不注日期的引用文件，其最新版本（包括所有的修改单）适用于

本文件。

GB/T35770合规管理体系要求及使用指南

3术语和定义

GB/T35770界定的以及下列术语和定义适用于本文件。

3.1

经营者undertakings

从事商品生产、经营或者提供服务的自然人、法人和非法人组织。

3.2

公平竞争合规义务faircompetitioncomplianceobligation

经营者强制性地必须遵守的涉及公平竞争的要求，以及经营者自愿选择遵守的涉及公平竞争的

要求。

注1：必须遵守的要求，通常来源于《中华人民共和国反垄断法》《中华人民共和国反不正当竞争法》等法律、法规、规

章及规范性文件等。

注2：自愿选择遵守的要求，通常来源于经营者规章制度，相关标准、准则，签订的合同、协议，公开作出的承诺等。

3.3

公平竞争合规faircompetitioncompliance

履行经营者全部公平竞争合规义务。

3.4

相关方interestedparty

能够影响决策或活动、受决策或活动影响或经营者认为受决策或活动影响的个人或组织。

注：相关方包括股东、员工、投资者、消费者、客户、同业经营者、供应商、经销商、行业协会和监管机构等。

[来源：GB/T35770—2022，3.2，有修改]

3.5

公平竞争合规方针faircompetitioncompliancepolicy

由最高管理者正式发布的公平竞争合规工作的宗旨和方向。

注：最高管理者指的是最高级别的执行管理层，可以是一个人或一组人。

1