ICS03.100.01 A02 T/ZJRIA16—2022 橡塑企业竞争合规指南 Thecompetitivecomplianceguideforpumpandmotorenterprises 2022-11-30发布 2023-01-01实施 浙江省橡胶工业协会发布浙江省橡胶工业协会团体标准 全国团体标准信息平台 全国团体标准信息平台 T/ZJRIA16—2022 I目  次 前  言............................................................................III 1范围...............................................................................4 2规范性引用文件.....................................................................4 3术语和定义.........................................................................4 4企业特点...........................................................................5 5组织环境...........................................................................5 5.1理解经营者自身情况及其外部环境.................................................5 5.2理解相关方的需求和期望.........................................................5 6建立体系/制度......................................................................5 6.1总则...........................................................................5 6.2确定体系/制度范围和治理原则....................................................5 6.3流程...........................................................................5 7领导作用...........................................................................6 7.1领导作用与承诺.................................................................6 7.2合规方针.......................................................................6 7.3合规规划、计划.................................................................7 7.4合规团队.......................................................................7 7.5职责...........................................................................7 8合规义务、合规风险识别.............................................................8 8.1合规义务识别...................................................................8 8.2合规风险识别...................................................................8 9合规风险防范.......................................................................9 9.1垄断协议潜在风险的防范.........................................................9 9.2滥用市场支配地位潜在风险的防范................................................10 9.3经营者集中潜在风险的防范......................................................10 9.4滥用行政权力排除、限制竞争潜在风险的防范......................................10 9.5交流沟通过程的防范............................................................10 10合规风险处置.....................................................................11 11运行控制.........................................................................12 11.1总则.........................................................................12 11.2汇报机制.....................................................................12 11.3审核机制.....................................................................12 11.4咨询机制.....................................................................12 全国团体标准信息平台 T/ZJRIA16—2022 II11.5承诺机制.....................................................................12 11.6培训机制.....................................................................12 11.7考核机制.....................................................................13 11.8文化培育.....................................................................13 12合规管理保障.....................................................................13 12.1合规奖惩.....................................................................13 12.2监督报告.....................................................................13 12.3信息化手段监测...............................................................13 12.4提醒服务.....................................................................13 12.5合规队伍建设.................................................................13 13评价与改进.......................................................................13 13.1管理模式.....................................................................13 13.2绩效评价.....................................................................14 13.3持续改进.....................................................................14 附录A（资料性附录）《中华人民共和国反垄断法》规定的垄断行为........................15 全国团体标准信息平台 T/ZJRIA16—2022 III前