【中英文对照版】滥用行政权力排除、限制竞争执法约谈工作指引.docx

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1、滥用行政权力排除、限制竞争执法约谈工作指引GuidelinesforRegulatoryTalksontheAbuseofAdministrativePowertoExcludeorRestrictCompetition制定机关：国家市场监督管理总局发文字号：国市监竞协发202393号公布日期：2023.10.23施行日期：2023.10.23效力住阶：部门规范性文件法规类别：市场管理IssuingAuthority：StateAdministrationforMarketRegulationDocumentNumber：No.932023oftheStateAdministrationfor

2、MarketRegulationDateIssued：10-23-2023EffectiveDate:10-23-20231.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw:MarketManagement市场监管总局关于印发滥 用行政权力排除、限制竞争 执法约谈工作指引的通知（国市监竞协发（2023） 93 号）NoticebytheStateAdministrationforMarketRegulationofIssuingtheGuidelinesforRegulatoryTalksontheAbuseofAdminist

3、rativePowertoExcludeorRestrictCompetition(No.932023oftheStateAdministrationforMarketRegulation)各省、自治区、直辖市市场 监管局（厅、委）：Themarketregulationbureaus(departmentsandcommissions)ofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment:现将滥用行政权力排除、 限制竞争执法约谈工作指 引印发给你们，请结合工 作实际，充分发挥约谈

4、制度 作用，切实提升反垄断执法 效能。TheGuidelinesforRegulatoryTalksontheAbuseofAdministrativePowertoExcludeorRestrictCompetitionareherebyissuedtoyou,andyoushallmaximizetheroleoftheregulatorytalksysteminlightoftheactualcircumstancestoeffectivelyimprovetheeffectivenessofanti-monopolyenforcement.市场监管总局StateAdministrati

5、onforMarketRegulationOctober23,20232023年10月23日滥用行政权力排除、限制竞 争执法约谈工作指引第一条为了更好发挥 反垄断执法约谈制度作用， 规范约谈工作，警示引导有 关行政机关和法律、法规授 权的具有管理公共事务职能 的组织主动改进有关政策措 施，推动及时有效解决不当 干预市场竞争问题，提升滥 用行政权力排除、限制竞争 反垄断执法效能，维护公平 竞争的市场秩序，根据中 华人民共和国反垄断法及 制止滥用行政权力排除、 限制竞争行为规定等有关 规定，制定本指引。第二条本指引所称约 谈，是指反垄断执法机构约 见涉嫌违反反垄断法规定， 滥用行政权力排除、限制竞

6、 争的行政机关和法律、法规 授权的具有管理公共事务职 能组织的法定代表人或者负 责人，指出涉嫌违法问题， 听取情况说明，要求其提出 改进措施，引导其主动消除GuidelinesforRegulatoryTalksontheAbuseofAdministrativePowertoExcludeorRestrictCompetitionArticle1TheseGuidelinesaredevelopedinaccordancewiththeAnti-monopolyLawofthePeoplesRepublicofChina,theProvisionsonProhibitingtheActsof

7、EliminatingorRestrictingCompetitionbyAbuseofAdministrativePower,andotherrelevantprovisionsforthepurposesofmaximizingtheroleofthesystemforregulatorytalksonanti-monopoly,regulatingregulatorytalks,andguidingrelevantadministrativeorgansandorganizationsmanagingpublicaffairsasauthorizedbylawsandregulation

8、sintakingtheinitiativetoimproverelevantpoliciesandmeasures,promotingtimelyandeffectivesolutionstoimproperinterferenceinmarketcompetition,improvingtheeffectivenessofanti-monopolyenforcementontheabuseofadministrativepowertoexcludeandrestrictcompetition,andmaintainingthemarketorderoffaircompetition.Art

9、icle2ForthepurposesoftheseGuidelines,thetermuregulatorytalkmeansthatananti-monopolyenforcementagencyholdsinterviewswithanadministrativeorgansuspectedofabusingadministrativepowertoexcludeorrestrictcompetitioninviolationoftheprovisionsofantimonopolylaworwiththelegalrepresentativeorresponsiblepersonofa

10、norganizationauthorizedbylawsandregulationswiththefunctionofmanagingpublicaffairs,wherebytheagencystatessuspectedviolations,listenstotherelevantexplanations,相关竞争限制，并跟踪执行 效果的执法措施。requiresittoprovideimprovementmeasures,guideitactivelyeliminatingrelevantcompetitionrestrictions,andtrackingtheeffectofits

11、implementation.第三条约谈应当遵循 公平、公正、警示、引导相 结合的原则依法实施QArticle3Aregulatorytalkshallbeheldundertheprinciplesoffairness,justice,warning,andguidance.第四条 本指引所称反 垄断执法机构包括国家市场 监督管理总局（以下简称市 场监管总局）和各省、自治 区、直辖市人民政府市场监 督管理部门（以下统称省级 市场监管部门）。Article4ForthepurposesoftheseGuidelines,thetermuanti-monopolyenforcementagenc

12、yincludestheStateAdministrationofMarketRegulationorthemarketregulationdepartmentofthepeoplesgovernmentofaprovince,autonomousregion,ormunicipalitydirectlyundertheCentralGovernment(uprovicial-levelmarketregulationdepartme).第五条反垄断执法机 构在立案调查前、立案调查 期间、向有关上级机关提出 依法处理的建议后、线索核 查或者案件调查结束后，可 以依法实施约谈。Article5B

13、eforeandduringtheinvestigation,theanti-monopolyenforcementagencymaylegallyholdaregulatorytalkaftermakingsuggestionstotherelevanthigherauthoritiesonhandlingthecaseaccordingtothelaw,oraftercompletingclueverificationorcaseinvestigation.实施约谈不影响依法采取立 案、调查、向有关上级机关 提出依法处理的建议等其他 执法措施。第六条约谈对象为涉 嫌滥用行政权力排除、限制

14、竞争行为当事人的法定代表 人或者负责人。涉嫌滥用行 政权力排除、限制竞争行为 由多个部门联合实施的，可 以视情况约谈牵头部门、主Theholdingofaregulatorytalkshallnotaffectlawenforcementmeasuressuchasdocketingacase,investigating,andmakingsuggestionstotherelevanthigherauthoritiesonhandlingthecase.Article6Thetargetofaregulatorytalkisthelegalrepresentativeorpersoninch

15、argeofthepartywhoissuspectedofabusingadministrativepowertoexcludeorrestrictcompetition.Ifanactofabusingadministrativepowertoexcludeorrestrictcompetitionisjointlycarriedoutbymultipledepartments,aregulatorytalkmaybeheldwiththelegalrepresentativeorpersoninchargeofthe要责任部门或者多个部门的 法定代表人、负责人。约谈 多个部门法定代表人或

16、者负 责人的，可以采取集中约谈 或者个别约谈的方式。leadingdepartment,themainresponsibledepartment,ormultipledepartments,dependingonthecircumstances.Aregulatorytalkwithlegalrepresentativesorresponsiblepersonsofmultipledepartmentsmayheldindividuallyorinacentralizedway.第七条约谈可以由反 垄断执法机构单独实施，也 可以邀请被约谈方的有关上 级机关或者其他部门共同实 施。Article

17、7Aregulatorytalkmaybeheldbytheantimonopolyenforcementagencyalone,orjointlybytheinvitedhigherauthoritiesofthetargetorotherdepartments.邀请有关部门共同实施约谈 的，反垄断执法机构应当与 共同实施约谈的单位主动沟 通，并就约谈事项达成一致 意见。Iftherelevantdepartmentsareinvitedtojointlyholdaregulatorytalk,theanti-monopolyenforcementagencyshallactivelycom

18、municatewithentitiesthatjointlyholdtheregulatorytalkandreachanagreementonmattersinvolvedintheregulatorytalk.市场监管总局可以委托省级 市场监管部门实施约谈。TheStateAdministrationforMarketRegulationmayauthorizetheprovincial-levelmarketregulationdepartmenttoholdregulatorytalks.第八条根据约谈工作 需要，反垄断执法机构可以 邀请媒体、行业协会、专家 学者、相关经营者、社会公

19、 众代表等列席约谈。第九条约谈开始前， 反垄断执法机构应当拟定约 谈方案，约谈方案应明确约 谈方、被约谈方、列席约谈 方、约谈事由、约谈时间和 地点、被约谈方存在的问 题、可能有效实施的改进措Article8Ifnecessary,ananti-monopolyenforcementagencymayinvitemedia,tradeassociations,expertsandscholars,relevantbusinesses,andrepresentativesofthegeneralpublictoattendtheregulatorytalk.Article9Beforethest

20、artofaregulatorytalk,theanti-monopolyenforcementagencyshalldrawuparegulatorytalkplan,whichshallspecifythepartythatholdstheregulatorytalk,thetargetoftheregulatorytalk,thoseattendingtheregulatorytalkasnon-votingdelegates,thecausefortheregulatorytalk,thetimeandplaceoftheregulatorytalk,theexistingproble

21、msofthetargetoftheregulatorytalk,施等内容。andtheimprovementmeasuresthatmaybeeffectivelyimplemented.第十条反垄断执法机 构启动约谈程序，应当填写 内部审批表并附约谈方案， 经反垄断执法机构主要负责 人批准后执行。Article10Whenananti-monopolyenforcementagencyinitiatesaregulatorytalk,itshallfillouttheformforinternalapprovalandattacharegulatorytalkplan,whichshall

22、beimplementedafterbeingapprovedbytheprincipalresponsiblepersonoftheanti-monopolyenforcementagency.第十一条反垄断执法 机构原则上应当于约谈实施 的3个工作日前，向被约谈 方送达执法约谈通知 书。执法约谈通知书 应当载明事由、时间、地 点、联系方式、有关要求等 事项，并加盖反垄断执法机 构印章。Article11Inprinciple,theanti-monopolyenforcementagencyshallservetheNoticeofRegulatoryTalktothetargetofth

23、eregulatorytalkthreeworkingdaysbeforetheinitiationoftheregulatorytalk.TheNoticeofRegulatoryTalkshallspecifythereasons,time,place,contactinformation,relevantrequirements,andothermatters,andshallbeaffixedwiththesealoftheanti-monopolyenforcementagency.因紧急情况确需立即实施约 谈的，可以按照本指引第十 条规定履行报批手续后立即 实施。Ifitisrea

24、llynecessarytoholdaregulatorytalkimmediatelyduetoanemergencysituation,itmaybeheldimmediatelyaftertheapprovalproceduresareperformedinaccordancewithArticle10oftheseGuidelines.第十二条反垄断执法 机构可以要求被约谈方根据 约谈事由准备书面材料，主 要包括基本情况、原因分析 以及拟采取的改进措施等。Article12Ananti-monopolyenforcementagencymayrequirethetargetofther

25、egulatorytalktopreparewrittenmaterialsaccordingtothecausefortheregulatorytalk,mainlyincludingbasicinformation,causeanalysis,andimprovementmeasurestobetaken.第十三条约谈应当由 反垄断执法机构的主要负责 人、负责人或者执法人员主 持。反垄断执法机构应当安Article 13 Aregulatorytalkshallbepresidedoverbytheprincipalresponsibleperson,responsibleperson,o

26、rlawenforcementpersonnelofanantimonopolyenforcementagency.Theanti-monopolylawenforcementagencyshallarrangeformorethan排2名以上具有执法资格的 人员参与约谈。约谈按照下twopersonswithlawenforcementqualificationstoparticipateintheregulatorytalk.第十四条列程序进行：Article 14 Aregulatorytalkisheldaccordingtothefollowingprocedures:（一）约谈开始

27、前，主持人 核实约谈各方身份；(1) Beforetheregulatorytalkbegins,thepresidingofficerverifiestheidentityofallpartiesinvolvedintheregulatorytalk;（二）约谈方说明约谈事由 和目的、法律法规依据，指 出存在的涉嫌违法问题，要 求被约谈方提出改进措施；(2) Thepartythatholdstheregulatorytalkexplainsthecauseforandpurposeoftheregulatorytalk,thebasisoflawsandregulations,specif

28、iestheexistingsuspectedviolations,andrequiresthetargetoftheregulatorytalktoproposeimprovementmeasures;（三）被约谈方就有关情况 进行说明，分析原因，提出 改进措施；(3) Thetargetoftheregulatorytalkexplainstherelevantsituation,analyzesthereasons,andproposesimprovementmeasures;（四）约谈方提出意见和要 求，并进行普法宣传和竞争 倡导；(4) Thepartythatholdsthereg

29、ulatorytalkputsforwardopinionsandrequirements,andcarriesoutlegalpublicityandcompetitionadvocacy;（五）被约谈方对有关意见 和要求进行表态；(5) Thetargetoftheregulatorytalkexpressesitspositiononrelevantopinionsandrequirements;and（六）执法人员、被约谈方 对约谈记录确认后签字或者 盖章。(6) Thelawenforcementpersonnelandthetargetoftheregulatorytalksign

30、orsealforconfirmationtherecordsontheregulatorytalk.约谈过程中，被约谈方可以 陈述意见，约谈方可以对被 约谈方陈述的意见进行回 应。根据约谈工作需要，约Duringtheregulatorytalk,thetargetoftheregulatorytalkmaystateitsopinions,andthepartythatholdstheregulatorytalkmayrespondtotheopinionsstatedbythetargetoftheregulatorytalk.If谈方可以邀请列席约谈方提 供参考意见。necessary

31、,thepartythatholdstheregulatorytalkmayinvitethoseattendingtheregulatorytalkasnon-votingdelegatestoprovideadviceforreference.第十五条约谈应当制 作执法约谈记录。执 法约谈记录应当如实、全 面反映约谈情况，并由2名 执法人员和被约谈人逐页签 名或盖章并注明日期。原则 上应当使用执法记录仪、录 音笔、摄像机等执法设备记 录约谈实施全过程，约谈视 听资料应当保存不少于2 年。Article 15 Foraregulatorytalk,theRecordsontheRegulat

32、oryTalkshallbeproduced.TheRecordsontheRegulatoryTalkshalltruthfullyandcomprehensivelyreflecttheregulatorytalk,andshallbesignedorsealedpagebypageanddatedbytwolawenforcementofficersandthetargetoftheregulatorytalk.Inprinciple,lawenforcementrecorders,voicerecorderpens,cameras,andotherlawenforcementequip

33、mentshallbeusedtorecordthewholeprocessofholdingaregulatorytalk,andtheaudio-visualmaterialsoftheregulatorytalkshallbekeptfornolessthantwoyears.第十六条改进措施应 当达到消除相关竞争限制的 效果。提出的改进措施应当 具有合法性、可行性和有效 性，包括改进措施的具体内 容、改进措施的预期效果和 改进措施的履行期限等。Article 16 Theimprovementmeasuresshalleliminaterelevantcompetitionrestri

34、ctions.Theproposedimprovementmeasures,includingthespecificcontent,expectedeffect,andtimelimitforperformanceoftheimprovementmeasures,shallbelegal,feasible,andeffective.第十七条约谈现场提 出的改进措施不符合本指引 第十六条要求的，反垄断执 法机构可以要求被约谈方在3 个工作日内补充完善并书面 提交盖章的改进措施报告。Article 17 Iftheimprovementmeasuresproposedatthesiteofther

35、egulatorytalkdonotmeettherequirementsofArticle16oftheseGuidelines,theanti-monopolyenforcementagencymayrequirethetargetoftheregulatorytalktoimproveandsubmitinwritingasealedreportonimprovementmeasureswithinthreeworkingdays.第十八条反垄断执法 机构应当跟踪被约谈方改进 措施的执行效果，可以要求 被约谈方提交改进措施执行 情况报告。Article 18 Ananti-monopol

36、yenforcementagencyshalltracktheimplementationeffectoftheimprovementmeasuresofthetargetoftheregulatorytalk,andmayrequirethetargetoftheregulatorytalktosubmitareportontheimplementationoftheimprovementmeasures.第十九条约谈后，被 约谈方立即采取措施改正违 法行为的，可以认定为符合 制止滥用行政权力排除、 限制竞争行为规定第十五 条第二款、第二十条第二款 规定的主动采取措施停止相 关行为、消除相关

37、竞争限制 的情形。Article 19 Ifthetargetoftheregulatorytalkimmediatelytakesmeasurestocorrecttheillegalactsafteraregulatorytalk,itmaybedeemedasfallingunderthecircumstancesoftakingproactivemeasurestoceaserelevantbehaviorandremoverelevantcompetitiverestrictionsasprescribedinparagraph2ofArticle15andparagraph2ofA

38、rticle20oftheProvisionsonProhibitingtheActsofEliminatingorRestrictingCompetitionbyAbuseofAdministrativePower.被约谈方未执行、未按期执 行改进措施或者执行改进措 施未达到效果的，反垄断执 法机构可以要求被约谈方继 续执行改进措施或者采取其 他执法措施。Ifthetargetoftheregulatorytalkfailstoimplement,failstoimplementtheimprovementmeasuresonschedule,orfailstoachievetheeffec

39、tofimplementingtheimprovementmeasures,theantimonopolyenforcementagencymayrequirethetargetoftheregulatorytalktocontinuetoimplementtheimprovementmeasuresortakeotherlawenforcementmeasures.第二十条约谈结束 后，反垄断执法机构可以将 约谈情况通报被约谈单位的 有关上级机关。Article 20 Afteraregulatorytalkisover,theantimonopolyenforcementagencymay

40、informtherelevanthigherauthoritiesofthetargetoftheregulatorytalkofinformationontheregulatorytalk.第二十一条约谈结束 后，省级市场监管部门应当 在7个工作日内向市场监管 总局提交备案报告。备案报 告内容包括约谈事项来源和 背景、涉嫌违法事实、认定 依据、约谈总体情况、约谈 内容、各方意见、约谈后被 约谈方改进情况或者书面反 馈情况、分析研判以及下一 步工作计划等。Article 21 Afteraregulatorytalkisover,theprovincial-levelmarketregula

41、tiondepartmentshallsubmitafilingreporttotheStateAdministrationforMarketRegulationwithinsevenworkingdays.Thecontentsofthefilingreportincludethesourceandbackgroundoftheregulatorytalk,thesuspectedillegalfacts,thedeterminationbasis,thegeneralinformationontheregulatorytalk,thecontentsoftheregulatorytalk,

42、theopinionsofallparties,theimprovementorwrittenfeedbackofthetargetoftheregulatorytalkaftertheregulatorytalk,theanalysisandevaluation,andthenext-stepworkplan.第二十二条省级市场 监管部门应当向市场监管总 局及时更新约谈实施及约谈 效果跟踪等情况。第二十三条反垄断执 法机构可以公开约谈情况， 提升执法效果。第二十四条反垄断执 法机构在实施约谈和跟踪改 进措施执行效果的过程中发 现的被约谈方公职人员涉嫌 职务违法、职务犯罪问题线 索，应当及时移

43、交纪检监察 机关。第二十五条反垄断执 法机构应当将执法约谈审批 表、约谈方案、约谈通知 书、约谈记录、备案报告、 改进措施报告、改进措施执 行情况报告等资料按照档案 管理的规定立卷、归档。第二十六条约谈实施 情况纳入反垄断执法机构执 法工作统计。第二十七条各省级市 场监管部门可以结合实际情 况，参照本指引制定本地区 约谈的具体实施细则。Article 22 Theprovincial-levelmarketregulationdepartmentshallprovideatimelyupdateontheimplementationandeffecttrackingoftheregulator

44、ytalktotheStateAdministrationforMarketRegulation.Article 23 Ananti-monopolylawenforcementagencymayopentheimplementationofaregulatorytalktoenhancetheeffectivenessoflawenforcement.Article 24 Anyclue,foundbyananti-monopolyenforcementagencywhileconductingaregulatorytalkandtrackingtheeffectofimplementing

45、improvementmeasures,thatapublicofficialofthetargetoftheregulatorytalkissuspectedofviolationorcrimeofmalfeasanceinofficeshallbetransferredtothedisciplineinspectionandsupervisionauthoritiesinatimelymanner.Article 25 Ananti-monopolylawenforcementagencyshall,inaccordancewiththeprovisionsonarchivemanagem

46、ent,categorizetheapprovalform,regulatorytalkplan,noticeofregulatorytalks,recordsonregulatorytalks,filingreport,reportonimprovementmeasures,reportontheimplementationofimprovementmeasures,andothermaterials,andkeepthemasarchives.Article 26 Theimplementationofregulatorytalksshallbeincludedinthestatistic

47、soflawenforcementbyananti-monopolyenforcementagency.Article 27 Provincial-levelmarketregulationdepartmentsmayformulatelocalrulesfortheimplementationofregulatorytalkswithreferencetotheseGuidelines,andinlightoftheirrealities.Article 28 TheseGuidelinesshallcomeintoforce第二十八条本指引自onthedateofissuance.印发之日起实施。