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Notice of the General Office of the Hunan Provincial People's Government on Forwarding Hunan's State-owned Assets Supervision and Administration Commission to Promote the Function Transformation Program

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General Office of Hunan Provincial People's Government

Notice on Forwarding Hunan State-owned Assets Supervision and Administration Commission's Proposal to Promote Function Transformation Based on Capital Management

Xiangzhengbanfa [2019] No. 45

People's governments of cities and states, Provincial government departments, agencies and subordinate agencies:

The Hunan Provincial State-owned Assets Supervision and Administration Commission has promoted the function transformation plan based on capital management. Now forward to you, please implement it carefully.

General Office of Hunan Provincial People's Government

September 17, 2019

(This case is open to the public)

Hunan Provincial State-owned Assets Supervision and Administration Commission

Provincial SASAC

In order to implement the decision-making arrangements of the Party Central Committee, the State Council, the Provincial Party Committee, and the Provincial Government to deepen the reform of state-owned and state-owned enterprises, Promote the transformation of the function of state-owned assets regulatory agencies, in accordance with the spirit of the “Notice of the General Office of the State Council on Forwarding the State-owned Assets Supervision and Administration Commission's Proposal to Transform Capital to Promote Functions” (Guobanfa [2017] No. 38), Combining with the reality of our province, formulate this plan.

I. General requirements

(A) guiding ideology.

Guided by Xi Jinping's thought of socialism with Chinese characteristics in the new era, Fully implement the spirit of the 19th CPC National Congress and the 2nd and 3rd Plenary Sessions of the 19th CPC Central Committee, and in accordance with the general requirements that are conducive to the preservation and appreciation of state-owned capital, to the competitiveness of the state-owned economy, and to the expansion of the function of state-owned capital Focusing on improving the efficiency of state-owned capital and enhancing the vitality of state-owned enterprises, and focusing on "emphasizing supervision, fine management, and excellent service", Clarify the responsibilities of investors, adjust and optimize the supervision function, Streamline and integrate regulatory matters, improve and optimize regulatory approaches, Comprehensively strengthen the party building of state-owned enterprises, and effectively improve the scientificity, pertinence and effectiveness of state-owned assets supervision, Accelerate the transition from managing enterprises to managing capital.

(2) Basic principles.

Stick to accurate positioning. The Provincial State-owned Assets Supervision and Administration Commission, as an ad hoc institution directly under the Provincial People's Government, performs the duties of investor in accordance with the law on behalf of the Provincial People's Government. Specializing in the supervision of state-owned assets and not exercising social public management functions, Do not interfere with the exercise of the right of independent operation by enterprises.

Insist on supervision according to law. In accordance with the requirements of legal authority, statutory authority and unified powers, responsibilities, and obligations, a capital supervision system is required to improve the regulatory system. Focus on managing state-owned capital distribution, standardizing capital operations, improving capital returns, and maintaining capital security.

Keep improving. In accordance with the overall requirements of deepening the "simplification of administration and decentralization, the combination of decentralization and management, and the optimization of services," the focus of state-owned assets supervision was clearly defined. Adjusting and optimizing the allocation of supervisory functions and organizational settings, and improving supervision methods and means, Integrate regulatory resources, optimize regulatory processes, Strengthen supervision coordination and improve supervision efficiency.

Insist on energizing. Follow the laws of the market economy and the laws of enterprise development, and highlight the consistency of power and responsibility. Combining streamlining regulatory matters with improving the corporate governance structure of state-owned enterprises and delegating power to enterprises in accordance with the law, Stimulate corporate vitality, creativity, and market competitiveness, and build a modern state-owned enterprise that meets market competition requirements.

Adhere to party leadership. Adhere to the organic unity of the party's political, ideological, and organizational leadership in state-owned enterprises, and give full play to the leading role of party organizations in state-owned enterprises. Put the direction, the overall situation and the guarantee into effect. Improve the responsibility system for party building, Implement the main responsibility of party building work and provide a strong guarantee for the development of state-owned enterprises.

(3) The overall goal.

Improve the state-owned assets management system, Reform the authorized operating system of state-owned capital, and accelerate the optimization of the state-owned economy's layout, structural adjustment, and strategic reorganization. Promote the preservation and appreciation of state-owned assets, and promote the strengthening and strengthening of state-owned capital. Regarding matters that should be decided by the enterprise's own operations in accordance with the law, they are located in the enterprise, and management issues that extend to the subsidiary are in principle located in the first-level enterprise. The social and public management functions undertaken by the state-owned asset supervision agency are located in relevant government departments and units. A clear definition of the power and responsibility boundary between the investor representative agency and the state-funded enterprise, The state-owned assets supervision system has been continuously improved, and the state-owned assets supervision work has gradually improved. The authorization and decentralization mechanism operates effectively, and the party building of state-owned enterprises has been comprehensively strengthened. The State-owned Assets Supervision and Administration Bureau with clear powers and responsibilities, scientific management, and orderly formation has basically formed. Efforts should be made to cultivate 1-2 enterprises with stable profitability of 10 billion yuan each year and a group of enterprise groups with billions of profitability companies each year. We will strive to reach the national average rate of return on net assets of provincial state-owned enterprises by 2020, and reach the national upper-middle level by 2025.

Second, the main task

(1) Strengthen the function of managing capital, Implement responsibility for value preservation and appreciation.

1. Optimize the layout of state-owned capital. Focusing on serving the country and the province's development strategic goals, focusing on improving the efficiency and effectiveness of capital use, In accordance with the idea of "advancing, retreating, reviewing, and gathering", build a state-owned capital operation platform, infrastructure investment and operation group, and an entity industry group company. Promote the integration of assets of enterprises with similar industries, related values, and the same main business, and merge the relevant main business assets of various enterprises, Promote the concentration of non-main business assets of the company to the leading enterprises in the industry and the flow to advantageous enterprises related to the industry. Promote the strategic reorganization of supervised enterprises, and cultivate a group of enterprise groups with strong competitiveness, distinct main businesses and outstanding advantages. Promote stronger and better state-owned capital.

2. Improve the investment supervision system. Obey the national strategy and the overall requirements for the development of key industries in our province, and supervise the investment direction of regulated enterprises. Strengthen planning guidance and strategic planning review, and urge enterprises to improve their scientific demonstration and return on investment. Improving investment supervision methods, formulating a list of prohibited investment restrictions for regulated enterprises, Strengthen the management of main businesses and explore the implementation of special supervision systems for some enterprise investment projects. Strictly control investment risks, strictly regulate and supervise non-main business investment, financial investment, and overseas investment of enterprises. Improve the investment supervision system and carry out third-party evaluation of investment projects, Prevent major investment violations, and investigate accountability for illegal investment operations in accordance with laws and regulations.

3. Highlight state-owned capital operations. Focusing on the unified and optimized allocation of state-owned capital, the state-owned capital investment and operation company was reorganized and reorganized. Adopt a market-oriented approach to promote the establishment of related investment funds such as emerging industry investment funds, state-owned enterprise merger and acquisition reorganization funds, and promote industrial clustering and transformation and upgrading. Support the supervision of corporate restructuring and listing, overall listing, and listing of main businesses, and improve the level of asset securitization. Improve direct financing capabilities and explore and improve the state-owned capital operating mechanism for effective interaction between industrial capital and financial capital. Encourage enterprises to pursue long-term benefits and promote the concentration of state-owned capital in important industries and key areas. Concentrate on strategic emerging industries, and concentrate on advantageous enterprises with core competitiveness in high-end equipment manufacturing and modern service industries.

4. Regulate the construction of the board of directors. Establish and improve the decision-making and implementation supervision mechanism of equivalence of powers and responsibilities, coordinated operation and effective checks and balances, and give full play to the decision-making role of the board of directors. Achieve standardized corporate governance. Explore and improve the external director system, Optimize the structure of the board of directors and further improve the scientific decision-making level of the board of directors. Actively carry out pilot work to implement the powers of the board of directors, and gradually implement the powers of the board of directors in terms of performance evaluation, salary management, and managerial selection and employment in accordance with relevant regulations. Establish and improve the evaluation system of the board of directors and directors, and form an incentive and restraint mechanism that meets corporate governance requirements.

5. Strengthen the management of appointed directors to perform their duties. Strictly select and manage equity representatives and directors in accordance with relevant regulations, and establish and improve the performance rules for directors appointed by investors. Establish a working system for state-owned equity representative performance reporting and reporting of major events to ensure the smooth flow of information communication channels between investors and equity representatives of invested enterprises. Relying on the company's articles of association and the corporate legal person's governance structure, and performing their duties according to law through equity representatives, Ensure that the controlling rights are exercised in a standardized manner, and that participation in equity is guaranteed.

6. Improve the incentive and restraint mechanism. Taking "performance rise, salary rise, performance decline, salary decline" as the criteria, Realize the synergy between performance appraisal and salary distribution, and further give play to the guiding role of appraisal and allocation for improving the quality and efficiency of enterprises and transforming and upgrading. Improve the assessment system and methods, and clarify the focus of assessment, Scientifically set up performance evaluation indicators and weights, and pay attention to benchmarking, classification, and differentiated evaluation. Deepen the reform of the salary system for the leaders of state-owned enterprises, and establish a differentiated salary distribution method that matches the selection method, is compatible with the functional nature of the enterprise, and is linked to operating performance. Explore mid- and long-term incentive mechanisms and improve long-term mechanisms for market-based recruitment, contract management, differentiated pay, and market-based exit. Improve the wage distribution supervision system of state-owned enterprises, establish and improve basic adaptation to the labor market, Employee wage decisions and normal growth mechanisms linked to corporate economic efficiency and labor productivity.

(2) Strengthening the supervision of state-owned assets, Prevent the loss of state-owned assets.

1. Strengthen the construction of investor supervision system. Adhering to the organic unification of investor management and supervision, combining the sound and standardized operation of state-owned capital with the prevention of the loss of state-owned assets, Improve the system and improve the pertinence and effectiveness of the implementation of the system. Strengthening restraint and accountability, and increasing accountability for state-owned enterprises' illegal operations, Improve the state-owned capital operation management and supervision and inspection chain, and form a closed loop of supervision to find, investigate, and deal with problems. Optimize the supervision work mechanism and strengthen the application of the results of state-owned capital operation evaluation and supervision and inspection in performance evaluation, salary distribution, and cadre management.

2. Strengthen corporate financial supervision. Strengthen supervision of major financial matters of regulated enterprises. Further strengthen the analysis of the economic operation of supervised enterprises and the statistical evaluation of state-owned assets, Guide enterprises to pay more attention to the safety and return of state-owned capital, and optimize the closed-loop supervision and management system for prior guidance of financial budgets, monitoring during financial express reports, and post-financial financial accounts. Guiding enterprises to focus on strengthening financial risk monitoring and early warning, and strengthening the dual indicator management of debt scale and debt ratio, Actively and steadily reduce leverage, and effectively prevent debt risks.

3. Improve the special audit supervision system for state-owned enterprises. Cooperate with the audit department to improve the state-owned enterprise and state-owned capital audit supervision system and mechanism to achieve full coverage of the state-owned capital audit supervision of enterprises. Strengthen coordination with relevant departments and conduct special audits focusing on major financial anomalies of state-owned enterprises, major asset losses and hidden risks, and overseas asset management of state-owned enterprises. Carry out follow-up audits of major decision-making deployments and investment projects, and important special funds. Guiding enterprises to improve their internal audit management system, Strengthen internal control and risk prevention and control.

4. Establish a coordinated and efficient supervision mechanism. Integrate the supervisory forces of investor supervision, discipline inspection and supervision, auditing, and patrol inspections, and explore the establishment of a supervision mechanism for supervision work. Strengthen supervision and co-ordination, innovate ways and methods, Improve supervision effectiveness and effectively enhance supervision effectiveness.

(3) streamlining regulatory matters, Implement inventory management.

1. Cancel a number of regulatory matters. In accordance with the statutory principles of responsibility, cancel duties without a clear basis, Reduce pre-approval and record matters, and focus on strengthening post-file and normative guidance.

2. Decentralize a number of regulatory matters. With property rights as a link, it will be extended to the management of subsidiary companies and state-owned state-owned assets supervision agencies in accordance with laws and regulations. In principle, it is located in the enterprise group and the state-owned state-owned assets regulatory agencies.

3. Authorize a number of regulatory matters. According to the actual situation of enterprise development, it adopts the methods of "one enterprise, one grant" and "one event, one grant" for differentiated dynamic authorization. Explore the establishment of a special authorization and supervision mechanism based on the company's articles of association to realize the combination of authorization and supervision, and the unification of livelihood and management.

4. Transfer of a number of regulatory matters. Implement the principle of separating government from capital, and comprehensively sort out the social and public management functions undertaken by the investor's organization. Combined with the actual work, put forward classification treatment suggestions, Leave to the relevant departments and units to exercise.

(4) integrating related functions, Improve regulatory effectiveness.

1. Integrate the reform functions of state-owned enterprises. To coordinate and integrate the functions of corporate reorganization and integration, structural optimization, system reform and listing, and standardization of the construction of the board of directors; Speed up the improvement of the modern state-owned enterprise system.

2. Integrate economic operation monitoring functions. Centralized and unified financial dynamic monitoring and economic operation analysis, comprehensive analysis of industry and enterprise conditions, operation and financial conditions, Dispatching and providing operating data of provincial-owned supervisory enterprises to provide basic support for macro-control and supervision of state-owned assets.

3. Integration and promotion of scientific and technological innovation functions. Integrate the functions of emerging industry cultivation, intellectual property protection, brand building, etc., and clarify the direction and key tasks of technological innovation of enterprises. Establish an industrial collaborative development platform and coordinate the implementation of major science and technology policies and projects. Better play the leading role of supervised enterprises in innovation, entrepreneurship and creation.

4. Integrate the resource allocation function of elements. Focusing on the market-oriented allocation of factors and improving the property rights system, Promote property rights incentives, realize the free flow of factors, and the survival of the fittest. Adhere to quality first, efficiency first, and promote the innovation and progress of business operations and management.

5. Integrate service supervision functions. In accordance with the principles of "simplified procedures, fine management, and clear time limits", we will further promote the power of branch affairs, the establishment of posts, and hierarchical authorization. Scientifically determine the duties and powers of the post to ensure smooth and coordinated power operation.

(5) improving supervision methods and means, Enhance the effectiveness of regulatory science.

1. Promote the rule of law supervision. Performing duties in strict accordance with laws and regulations, and improving the state-owned assets supervision and regulation system. Strengthen the management of the company's articles of association, and pay attention to fulfilling investor responsibilities in accordance with the law through the corporate governance structure of state-owned enterprises.

2. Promote checklist-based supervision. Establish and improve the list of powers and responsibilities of investors and the dynamic adjustment mechanism of the list. Matters other than the list are determined by the enterprise independently according to law. Matters within the list shall be reduced in accordance with laws and regulations in accordance with laws and regulations or filed beforehand.

3. Promote differentiated supervision. Highlight the market attributes of enterprises, and take into account the equity structure, industrial characteristics, and development stages, Scientifically define the functional positioning of different state-owned enterprises according to different categories, study and formulate differentiated regulatory goals, regulatory priorities and regulatory measures, Promote the organic unification of economic and social benefits.

4. Promote information-based supervision. Establish and improve the informationization work platform for investor supervision, integrate information resources, Explore new models of supervision and achieve dynamic monitoring, Improve overall regulatory effectiveness. Promote the disclosure of regulatory information in accordance with the law, Actively accept social supervision. Guide companies to increase information disclosure, Actively build a sunny enterprise.

(6) Strengthening party building, Strengthen the responsibility of governing the party.

1. Strengthening the party's construction is unified with making state-owned enterprises stronger and better. The main responsibility of state-owned enterprises to manage the party and the party shall be implemented, and service production and operation shall not be deviated. Strengthen the building of grass-roots party organizations and the ranks of party members, ensure the soundness of the party organization's work organization, the stability of the party work workers, and the effective role of party organizations and party members. The results of strengthening the party building work of state-owned enterprises are strictly linked to the appointment and removal of company leaders, compensation, rewards and punishments.

2. Strengthen party leadership and improve corporate governance. Consolidate the statutory status of party organizations in the corporate governance structure of state-owned enterprises, and implement the requirements for party building into the company's articles of association, Improve the rules and procedures for party organizations to participate in pre-study discussions on major business management issues, and enable party organizations to play their role in organizing, institutionalizing, and concreteizing. Insist on integrating party leadership into all aspects of corporate governance, and adhere to and improve the leadership system of "two-way entry and cross-serving", Further clarify the boundaries of power and responsibility between party organizations and other governing bodies to achieve seamless docking.

3. Adhere to the principle of the party managing cadres is unified with the board of directors selecting and administering managers according to law. Adhere to the leadership and control of party organizations in selecting and hiring personnel, and ensure that the party has leadership over cadre personnel and management over important cadres. Strict selection criteria for the leadership of state-owned enterprises, establishing a scientific and reasonable assessment and evaluation system, Create a good atmosphere that encourages entrepreneurs to start up and tolerate innovation mistakes, and establish a clear direction of positive incentives.

4. Persist in implementing the unification of the main responsibility and supervision responsibility of the party's work style and clean government. Establish a provincial SASAC party committee inspection organization, establish and improve the inspection and inspection system for provincial-owned supervision enterprises, Urging the party organizations of state-owned enterprises to implement "two responsibilities" and implement "double investigations in one case", Strengthen accountability. Strengthen the supervision and inspection of the implementation of party discipline by state-owned enterprises, Increase the accountability of state-owned enterprise party committees (members of the party) and party members' leaders for their inadequate responsibility for governing the party.

Organization and implementation

Provincial SASAC should accurately grasp the positioning of duties of investor supervision, Comprehensively sort out and dynamically adjust specific supervision functions according to this plan. Insist on pilot first, Combined with the actual situation of the enterprise, classification and decentralization were implemented step by step. Make sure you put it down, catch it, and manage it well. Establish and improve a long-term mechanism to promote the transformation of functions, Form a joint effort to support the promotion of the reform of state-owned and state-owned enterprises, and achieve stronger and better state-owned capital.

All cities and states can refer to the requirements of this plan. According to the actual situation, formulate the function transformation plan of the local state-owned assets supervision agency.

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