64体育

2019年12月(yue)3日星期二

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名    称 :
市国资委关于印发监管企业加强外埠企业监督管理和加强参股管理两个规定的通知
索   引  号 :
11120000764322288H/2021-00036
发 布 机 构 :
64体育
发 文 字 号 :
津国资〔2021〕3号
主    题 :
综合政务\政务公开
成 文 日 期 :
发 文 日 期 :

市国资委(wei)关于印(yin)发监管企业加强(qiang)外(wai)埠企业监督管理(li)和(he)加强(qiang)参股(gu)管理(li)两(liang)个规定的通知(zhi)

各监管(guan)企(qi)业(ye):

现将(jiang)市国资委制定(ding)的《关(guan)于监(jian)(jian)管(guan)(guan)(guan)企业加(jia)强外埠企业监(jian)(jian)督管(guan)(guan)(guan)理有关(guan)事项的通知(zhi)》和《关(guan)于监(jian)(jian)管(guan)(guan)(guan)企业加(jia)强参股管(guan)(guan)(guan)理有关(guan)事项的通知(zhi)》印发给你们,请认真贯彻执行(xing)。

(此(ci)件(jian)主动公开)

市国资委     

2021年(nian)4月13日(ri)  


关于监管企业加强外埠企业监督管理有(you)关事项的通知

为加强监管(guan)企(qi)业(ye)对(dui)外埠(bu)(bu)(bu)各(ge)级国(guo)(guo)有、国(guo)(guo)有控股、国(guo)(guo)有实际控制(zhi)企(qi)业(ye)和(he)分支(zhi)机构(以下(xia)统称外埠(bu)(bu)(bu)国(guo)(guo)有及(ji)国(guo)(guo)有控股子企(qi)业(ye))以及(ji)外埠(bu)(bu)(bu)参(can)股企(qi)业(ye)的监督管(guan)理,防止国(guo)(guo)有资产(chan)流失,根据有关法律法规和(he)制(zhi)度(du)文件规定,现(xian)就(jiu)有关事项(xiang)通知(zhi)如下(xia):

一、加强党(dang)(dang)(dang)的(de)领导(dao)和党(dang)(dang)(dang)的(de)建(jian)设。监(jian)管(guan)(guan)企(qi)业(ye)(ye)党(dang)(dang)(dang)委要(yao)加强对外埠国(guo)(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)(guo)有(you)控(kong)(kong)股子(zi)企(qi)业(ye)(ye)的(de)领导(dao),指(zhi)导(dao)督促其(qi)建(jian)立健全党(dang)(dang)(dang)组(zu)(zu)织(zhi),推动(dong)党(dang)(dang)(dang)的(de)组(zu)(zu)织(zhi)和工(gong)作(zuo)覆盖到位。外埠国(guo)(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)(guo)有(you)控(kong)(kong)股子(zi)企(qi)业(ye)(ye)党(dang)(dang)(dang)组(zu)(zu)织(zhi)要(yao)积(ji)极到属(shu)地党(dang)(dang)(dang)组(zu)(zu)织(zhi)报到,探(tan)索主管(guan)(guan)单位和属(shu)地党(dang)(dang)(dang)组(zu)(zu)织(zhi)双重管(guan)(guan)理模式。对外埠参(can)股企(qi)业(ye)(ye),要(yao)按照相关规定调(diao)整理顺党(dang)(dang)(dang)组(zu)(zu)织(zhi)隶属(shu)关系。监(jian)管(guan)(guan)企(qi)业(ye)(ye)党(dang)(dang)(dang)委要(yao)加强对外埠国(guo)(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)(guo)有(you)控(kong)(kong)股子(zi)企(qi)业(ye)(ye)的(de)实地调(diao)研走访,对其(qi)生产经营和党(dang)(dang)(dang)建(jian)工(gong)作(zuo)进行督促指(zhi)导(dao)。要(yao)深入推进全面从严治党(dang)(dang)(dang),持续(xu)加大反腐(fu)力度,构(gou)建(jian)不敢腐(fu)、不能(neng)腐(fu)、不想腐(fu)体制(zhi)机制(zhi)。

二、完(wan)善企(qi)业(ye)(ye)法人(ren)治理(li)结(jie)构。要一企(qi)一策完(wan)善外埠国有及(ji)国有控股(gu)子企(qi)业(ye)(ye)章(zhang)程(cheng),制定完(wan)善法人(ren)治理(li)主体“1+3”权责表和其(qi)他法人(ren)治理(li)配套制度,明确股(gu)东(大)会(hui)(hui)、董事(shi)(shi)会(hui)(hui)(执行(xing)董事(shi)(shi))、总经理(li)办公会(hui)(hui)(总经理(li))、监(jian)事(shi)(shi)会(hui)(hui)(监(jian)事(shi)(shi))的(de)职权和议事(shi)(shi)(履职)程(cheng)序,构建各治理(li)主体各司其(qi)职、各负其(qi)责、协调运转、有效制衡的(de)法人(ren)治理(li)结(jie)构。

三、加(jia)强(qiang)企(qi)(qi)(qi)业(ye)(ye)领导人(ren)员(yuan)(股(gu)(gu)(gu)(gu)权(quan)代表)监(jian)(jian)管(guan)。外(wai)埠(bu)国(guo)有(you)及(ji)国(guo)有(you)控(kong)股(gu)(gu)(gu)(gu)子企(qi)(qi)(qi)业(ye)(ye)的(de)负(fu)责人(ren)和(he)(he)(he)国(guo)有(you)股(gu)(gu)(gu)(gu)东(dong)向(xiang)外(wai)埠(bu)参股(gu)(gu)(gu)(gu)企(qi)(qi)(qi)业(ye)(ye)推荐的(de)董事、监(jian)(jian)事及(ji)经理(li)(li)层人(ren)员(yuan)等股(gu)(gu)(gu)(gu)权(quan)代表应(ying)(ying)每月向(xiang)监(jian)(jian)管(guan)企(qi)(qi)(qi)业(ye)(ye)(国(guo)有(you)股(gu)(gu)(gu)(gu)东(dong))进行(xing)现场述职或(huo)视频述职,报告企(qi)(qi)(qi)业(ye)(ye)总体(ti)经营管(guan)理(li)(li)情(qing)(qing)况、财(cai)务(wu)资金情(qing)(qing)况、“三重一大”决(jue)策(ce)情(qing)(qing)况和(he)(he)(he)本人(ren)履职及(ji)廉洁从业(ye)(ye)情(qing)(qing)况。监(jian)(jian)管(guan)企(qi)(qi)(qi)业(ye)(ye)(国(guo)有(you)股(gu)(gu)(gu)(gu)东(dong))领导人(ren)员(yuan)确(que)因工作需要兼任(ren)(ren)外(wai)埠(bu)国(guo)有(you)及(ji)国(guo)有(you)控(kong)股(gu)(gu)(gu)(gu)子企(qi)(qi)(qi)业(ye)(ye)负(fu)责人(ren)的(de),要严格履行(xing)兼职审(shen)批程序,兼职人(ren)员(yuan)应(ying)(ying)确(que)保(bao)兼任(ren)(ren)职务(wu)的(de)全面履职,并应(ying)(ying)自(zi)觉接受监(jian)(jian)管(guan)企(qi)(qi)(qi)业(ye)(ye)(国(guo)有(you)股(gu)(gu)(gu)(gu)东(dong))监(jian)(jian)督管(guan)理(li)(li),规范(fan)自(zi)身履职行(xing)为(wei),杜绝因职务(wu)影(ying)响造成监(jian)(jian)管(guan)空白或(huo)失(shi)管(guan)失(shi)控(kong)问题。监(jian)(jian)管(guan)企(qi)(qi)(qi)业(ye)(ye)(国(guo)有(you)股(gu)(gu)(gu)(gu)东(dong))要通过年(nian)度和(he)(he)(he)任(ren)(ren)期考核评价、任(ren)(ren)期经济责任(ren)(ren)审(shen)计、年(nian)度审(shen)计、巡(xun)察(cha)、暗访(fang)检查(cha)、专项调查(cha)和(he)(he)(he)培训等方式手段,加(jia)强(qiang)对(dui)上述人(ren)员(yuan)的(de)监(jian)(jian)督管(guan)理(li)(li)。

四、加强(qiang)关键岗位人员(yuan)的监管。监管企(qi)业(ye)(国有(you)(you)(you)股东(dong))要(yao)探索向(xiang)外埠国有(you)(you)(you)及国有(you)(you)(you)控(kong)股子(zi)企(qi)业(ye)委派总(zong)会计师,设立总(zong)审(shen)计师、总(zong)法律顾问,总(zong)会计师、总(zong)审(shen)计师、总(zong)法律顾问应每年向(xiang)监管企(qi)业(ye)(国有(you)(you)(you)股东(dong))报送(song)专项(xiang)报告,重点报告履职成效,揭示(shi)分析存在风(feng)险(xian)问题(ti),提出改进建议。对外埠国有(you)(you)(you)及国有(you)(you)(you)控(kong)股子(zi)企(qi)业(ye)的财务(wu)、人力资源、内部审(shen)计、纪(ji)检监察等关键岗位人员(yuan)实行由监管企(qi)业(ye)(国有(you)(you)(you)股东(dong))委派制,并定期轮(lun)换(huan)(至少每3年轮(lun)换(huan)1次)。

五、加强企(qi)(qi)(qi)业(ye)(ye)(ye)用(yong)(yong)工(gong)监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)。外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)经营管(guan)(guan)(guan)(guan)(guan)理人员选聘和职工(gong)招(zhao)用(yong)(yong)应由(you)监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(ye)(国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)股东)统(tong)(tong)一组织,外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)提出需求(qiu),资格审核、笔(bi)试(shi)等(deng)环(huan)节由(you)监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(ye)(国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)股东)统(tong)(tong)一负(fu)责,面试(shi)环(huan)节可由(you)外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)负(fu)责。外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)以劳务派遣形式用(yong)(yong)工(gong)的,应参照职工(gong)招(zhao)用(yong)(yong)规定报监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(ye)(国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)股东)批准(zhun)。监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(ye)(国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)股东)应对外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)工(gong)资总(zong)额实行(xing)(xing)预算管(guan)(guan)(guan)(guan)(guan)理,对员工(gong)人数实行(xing)(xing)总(zong)量控制,未经监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(ye)(国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)股东)批准(zhun),外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)不得自行(xing)(xing)调整。监(jian)(jian)管(guan)(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(ye)应每年(nian)对外(wai)(wai)埠(bu)(bu)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)及(ji)(ji)(ji)国(guo)(guo)(guo)(guo)(guo)有(you)(you)(you)控股子(zi)(zi)(zi)(zi)(zi)企(qi)(qi)(qi)业(ye)(ye)(ye)用(yong)(yong)工(gong)和工(gong)资发(fa)放等(deng)情况(kuang)进(jin)行(xing)(xing)专项检查,防止“吃空饷”和违规用(yong)(yong)工(gong)。

六(liu)、加强财(cai)务资金(jin)(jin)监管(guan)(guan)(guan)(guan)。监管(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)要将外埠国(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)有(you)控(kong)(kong)股(gu)子企(qi)(qi)(qi)业(ye)(ye)纳入集团全面预(yu)算(suan)管(guan)(guan)(guan)(guan)控(kong)(kong)体(ti)系,做到资金(jin)(jin)“无预(yu)算(suan)不支出(chu)(chu)(chu)”。要将外埠国(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)有(you)控(kong)(kong)股(gu)子企(qi)(qi)(qi)业(ye)(ye)银行账(zhang)(zhang)户纳入集团统一管(guan)(guan)(guan)(guan)理,具(ju)备条(tiao)件的(de)(de)(de)监管(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)应(ying)(ying)通过(guo)银企(qi)(qi)(qi)直(zhi)(zhi)联(lian)(lian)等(deng)形式实现对外埠国(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)有(you)控(kong)(kong)股(gu)子企(qi)(qi)(qi)业(ye)(ye)账(zhang)(zhang)户的(de)(de)(de)实时监测(ce),对其资金(jin)(jin)进(jin)行集中(zhong)管(guan)(guan)(guan)(guan)理和(he)调(diao)度。不具(ju)备银企(qi)(qi)(qi)直(zhi)(zhi)联(lian)(lian)条(tiao)件的(de)(de)(de),应(ying)(ying)完善财(cai)务资金(jin)(jin)监管(guan)(guan)(guan)(guan)措施,确(que)保资金(jin)(jin)管(guan)(guan)(guan)(guan)理和(he)调(diao)度。监管(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(国(guo)(guo)(guo)有(you)股(gu)东)应(ying)(ying)结合实际明确(que)外埠国(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)有(you)控(kong)(kong)股(gu)子企(qi)(qi)(qi)业(ye)(ye)负责人的(de)(de)(de)履职待遇、业(ye)(ye)务支出(chu)(chu)(chu)标准和(he)企(qi)(qi)(qi)业(ye)(ye)的(de)(de)(de)差旅、招待等(deng)费用标准,坚决杜绝超出(chu)(chu)(chu)以前年(nian)度平(ping)均(jun)水平(ping)或合理范畴的(de)(de)(de)不必要成本费用支出(chu)(chu)(chu),促进(jin)廉洁从业(ye)(ye)。对外埠国(guo)(guo)(guo)有(you)及国(guo)(guo)(guo)有(you)控(kong)(kong)股(gu)子企(qi)(qi)(qi)业(ye)(ye)财(cai)务资金(jin)(jin)管(guan)(guan)(guan)(guan)理工作情(qing)况(kuang),监管(guan)(guan)(guan)(guan)企(qi)(qi)(qi)业(ye)(ye)(国(guo)(guo)(guo)有(you)股(gu)东)每年(nian)至少应(ying)(ying)组(zu)织1次(ci)专项检查。

七、加(jia)强关(guan)(guan)(guan)联交易(yi)(yi)(yi)(yi)监管(guan)(guan)。外(wai)埠国(guo)有及国(guo)有控(kong)股(gu)(gu)子企(qi)业应(ying)按照相(xiang)关(guan)(guan)(guan)法律法规,依(yi)托内(nei)控(kong)体系(xi),严格(ge)规范关(guan)(guan)(guan)联交易(yi)(yi)(yi)(yi)。对于正常经营范围内(nei)且无法避免的关(guan)(guan)(guan)联交易(yi)(yi)(yi)(yi),应(ying)当通过监管(guan)(guan)企(qi)业统一审核决策,并(bing)本着(zhe)公开、公平、公正的原则确(que)定交易(yi)(yi)(yi)(yi)价格(ge),依(yi)法订立相(xiang)关(guan)(guan)(guan)协议或合同(tong),保(bao)证交易(yi)(yi)(yi)(yi)的公允(yun)性。国(guo)有股(gu)(gu)东向外(wai)埠参股(gu)(gu)企(qi)业推荐的董事(shi)、监事(shi)等股(gu)(gu)权(quan)代(dai)表(biao)对参股(gu)(gu)企(qi)业的关(guan)(guan)(guan)联交易(yi)(yi)(yi)(yi),要在(zai)决策前向国(guo)有股(gu)(gu)东报告,并(bing)在(zai)董事(shi)会(hui)、监事(shi)会(hui)等会(hui)议上按照国(guo)有股(gu)(gu)东的指示(shi)发表(biao)意见。关(guan)(guan)(guan)联交易(yi)(yi)(yi)(yi)情况应(ying)列为外(wai)埠企(qi)业领导人员(股(gu)(gu)权(quan)代(dai)表(biao))述职内(nei)容。

八(ba)、加强审(shen)计和专(zhuan)项监(jian)(jian)督。监(jian)(jian)管(guan)企(qi)业(ye)(ye)(ye)每年应委托社(she)会(hui)中介机构或(huo)安排内部(bu)(bu)审(shen)计机构对(dui)外埠国有(you)及国有(you)控(kong)(kong)股子企(qi)业(ye)(ye)(ye)经营(ying)管(guan)理情况进(jin)行全(quan)面审(shen)计,并督促(cu)其(qi)针对(dui)审(shen)计反馈意见进(jin)行整改。市国资委组织监(jian)(jian)管(guan)企(qi)业(ye)(ye)(ye)或(huo)由(you)监(jian)(jian)管(guan)企(qi)业(ye)(ye)(ye)的纪(ji)检监(jian)(jian)察、巡察、内控(kong)(kong)、风控(kong)(kong)、财务(wu)、法务(wu)等(deng)部(bu)(bu)门(men)单独或(huo)联合对(dui)外埠国有(you)及国有(you)控(kong)(kong)股子企(qi)业(ye)(ye)(ye)进(jin)行审(shen)计或(huo)专(zhuan)项检查督查,3年轮1次。

九、完善(shan)内(nei)(nei)部(bu)控制(zhi)体系(xi)。监管(guan)企(qi)业(国有(you)股(gu)东)要(yao)指导督促外(wai)埠国有(you)及(ji)国有(you)控股(gu)子企(qi)业建立(li)健全内(nei)(nei)控体系(xi),有(you)条(tiao)件的(de)要(yao)将内(nei)(nei)控体系(xi)管(guan)控措施(shi)嵌(qian)入(ru)业务(wu)信息(xi)系(xi)统,强化内(nei)(nei)控体系(xi)刚性约束。外(wai)埠国有(you)及(ji)国有(you)控股(gu)子企(qi)业要(yao)加强重要(yao)岗位授(shou)(shou)权(quan)管(guan)理和(he)权(quan)力制(zhi)衡,按照不相(xiang)容(rong)职(zhi)(zhi)务(wu)分(fen)离控制(zhi)、授(shou)(shou)权(quan)审(shen)批控制(zhi)等内(nei)(nei)控体系(xi)管(guan)控要(yao)求,严(yan)格(ge)规范重要(yao)岗位和(he)关(guan)键人员在授(shou)(shou)权(quan)、审(shen)批、执(zhi)行、报告等方面的(de)权(quan)责,实现相(xiang)关(guan)岗位职(zhi)(zhi)责的(de)分(fen)离。

十、加大追(zhui)责(ze)问(wen)责(ze)力(li)度。监(jian)管企(qi)业(ye)(国(guo)(guo)(guo)有(you)(you)(you)股(gu)东)要(yao)明(ming)确违(wei)(wei)规(gui)(gui)(gui)经营投资(zi)及(ji)失管失控(kong)责(ze)任(ren)追(zhui)究部(bu)(bu)门,对外埠(bu)国(guo)(guo)(guo)有(you)(you)(you)及(ji)国(guo)(guo)(guo)有(you)(you)(you)控(kong)股(gu)子(zi)企(qi)业(ye)的(de)违(wei)(wei)规(gui)(gui)(gui)经营投资(zi)责(ze)任(ren)人,要(yao)按(an)照(zhao)国(guo)(guo)(guo)有(you)(you)(you)资(zi)本(ben)出资(zi)关(guan)系和干(gan)部(bu)(bu)管理权(quan)限(xian)(xian),通过(guo)组(zu)(zu)织处(chu)理、扣减薪酬、禁入(ru)限(xian)(xian)制、纪(ji)律处(chu)分(fen)、移送(song)监(jian)察机关(guan)或司法机关(guan)处(chu)理等(deng)方式严(yan)肃追(zhui)究责(ze)任(ren),并按(an)照(zhao)规(gui)(gui)(gui)定(ding)将组(zu)(zu)织处(chu)理、纪(ji)律处(chu)分(fen)决定(ding)材料等(deng)归入(ru)本(ben)人干(gan)部(bu)(bu)人事档(dang)案。对外埠(bu)国(guo)(guo)(guo)有(you)(you)(you)及(ji)国(guo)(guo)(guo)有(you)(you)(you)控(kong)股(gu)子(zi)企(qi)业(ye)存在的(de)违(wei)(wei)规(gui)(gui)(gui)经营投资(zi)问(wen)题未能及(ji)时(shi)发(fa)现或发(fa)现但(dan)没有(you)(you)(you)处(chu)理的(de),要(yao)追(zhui)究监(jian)管企(qi)业(ye)(国(guo)(guo)(guo)有(you)(you)(you)股(gu)东)的(de)责(ze)任(ren)。

本通知适(shi)用于(yu)监(jian)管(guan)企(qi)业(ye)(ye)(ye)(ye)在外(wai)(wai)埠投(tou)资(zi)设(she)立(li)的(de)各级(ji)国(guo)有(you)、国(guo)有(you)控股(gu)、国(guo)有(you)实际控制企(qi)业(ye)(ye)(ye)(ye)和分支(zhi)机(ji)构以及参股(gu)企(qi)业(ye)(ye)(ye)(ye)。其中,对(dui)外(wai)(wai)埠国(guo)有(you)控股(gu)企(qi)业(ye)(ye)(ye)(ye)和国(guo)有(you)实际控制企(qi)业(ye)(ye)(ye)(ye),同(tong)时适(shi)用市国(guo)资(zi)委关(guan)于(yu)加(jia)强市管(guan)企(qi)业(ye)(ye)(ye)(ye)、委管(guan)企(qi)业(ye)(ye)(ye)(ye)对(dui)控股(gu)子企(qi)业(ye)(ye)(ye)(ye)监(jian)督管(guan)理的(de)相(xiang)关(guan)制度规定,对(dui)外(wai)(wai)埠参股(gu)企(qi)业(ye)(ye)(ye)(ye),同(tong)时适(shi)用市国(guo)资(zi)委关(guan)于(yu)监(jian)管(guan)企(qi)业(ye)(ye)(ye)(ye)加(jia)强参股(gu)管(guan)理的(de)相(xiang)关(guan)制度规定。

各区可以参照本通知(zhi),结合实(shi)际(ji)研(yan)究制定区属企业加(jia)强外(wai)埠(bu)企业监督管理的文件。

  

关于监管企业(ye)加强参股管理有关事项的(de)通知

为督(du)促(cu)监管(guan)企(qi)(qi)业(ye)加强(qiang)本企(qi)(qi)业(ye)及所属企(qi)(qi)业(ye)参(can)股管(guan)理(li),坚决防止“只(zhi)投(tou)不管(guan)”,切实维护国有(you)股东权益和国有(you)资产安全,按(an)照(zhao)中央巡视整改要求(qiu),现(xian)就加强(qiang)参(can)股管(guan)理(li)有(you)关(guan)事项通(tong)知如下:

一、加强参股企业党的工作

(一(yi))加强(qiang)参(can)股(gu)企(qi)业党(dang)的(de)建(jian)设(she)(she)(she)。按照关于加强(qiang)和(he)改进(jin)(jin)非公有制企(qi)业党(dang)的(de)建(jian)设(she)(she)(she)工(gong)作(zuo)有关规定,切实加强(qiang)党(dang)的(de)建(jian)设(she)(she)(she),开展参(can)股(gu)企(qi)业党(dang)的(de)工(gong)作(zuo),努(nu)力推进(jin)(jin)党(dang)的(de)组(zu)织和(he)工(gong)作(zuo)覆盖,宣传贯彻党(dang)的(de)路(lu)线(xian)方针政策(ce),团结凝聚职工(gong)群(qun)众,促进(jin)(jin)企(qi)业健康发展。

(二(er))调(diao)整(zheng)理(li)顺(shun)党(dang)组(zu)织隶属(shu)关(guan)(guan)系(xi)。监(jian)管企业(ye)党(dang)委(wei)要按照64体(ti)育组(zu)织部和市国资(zi)委(wei)党(dang)委(wei)《关(guan)(guan)于(yu)(yu)印发〈关(guan)(guan)于(yu)(yu)在(zai)深(shen)入推进我市国有(you)企业(ye)混合所有(you)制改革中充分发挥党(dang)组(zu)织作(zuo)用的(de)若干(gan)措施〉的(de)通知》要求(qiu),调(diao)整(zheng)理(li)顺(shun)企业(ye)党(dang)组(zu)织隶属(shu)关(guan)(guan)系(xi)。

二、审慎开展参股投资

(三)严把参(can)(can)(can)股(gu)(gu)投(tou)(tou)(tou)资(zi)(zi)(zi)方(fang)向。参(can)(can)(can)股(gu)(gu)投(tou)(tou)(tou)资(zi)(zi)(zi)应当符合(he)监(jian)管(guan)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)发展战略规(gui)划(hua),有(you)助于实现国有(you)参(can)(can)(can)股(gu)(gu)股(gu)(gu)东战略发展目标。严格执行《天津市(shi)市(shi)属(shu)(shu)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)投(tou)(tou)(tou)资(zi)(zi)(zi)监(jian)督(du)(du)管(guan)理办法(fa)》《天津市(shi)市(shi)属(shu)(shu)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)境外投(tou)(tou)(tou)资(zi)(zi)(zi)监(jian)督(du)(du)管(guan)理办法(fa)》等(deng)国有(you)资(zi)(zi)(zi)产投(tou)(tou)(tou)资(zi)(zi)(zi)监(jian)督(du)(du)管(guan)理规(gui)定(ding),坚(jian)持(chi)聚(ju)焦主(zhu)业(ye)(ye)(ye)(ye)(ye),严控非(fei)主(zhu)业(ye)(ye)(ye)(ye)(ye)投(tou)(tou)(tou)资(zi)(zi)(zi)。不得为(wei)规(gui)避主(zhu)业(ye)(ye)(ye)(ye)(ye)监(jian)管(guan)要求,通过参(can)(can)(can)股(gu)(gu)等(deng)方(fang)式(shi)开展市(shi)属(shu)(shu)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)投(tou)(tou)(tou)资(zi)(zi)(zi)项目负面清单(dan)规(gui)定(ding)的(de)(de)禁止类业(ye)(ye)(ye)(ye)(ye)务。不得以约(yue)定(ding)固定(ding)分(fen)红等(deng)“名(ming)为(wei)参(can)(can)(can)股(gu)(gu)合(he)作、实为(wei)借贷(dai)融(rong)资(zi)(zi)(zi)”的(de)(de)名(ming)股(gu)(gu)实债(zhai)方(fang)式(shi)开展参(can)(can)(can)股(gu)(gu)合(he)作。单(dan)纯(chun)为(wei)获利(li)(li)进行的(de)(de)参(can)(can)(can)股(gu)(gu)投(tou)(tou)(tou)资(zi)(zi)(zi)原(yuan)则上应保证5-8年(nian)收回投(tou)(tou)(tou)资(zi)(zi)(zi)。不得参(can)(can)(can)股(gu)(gu)投(tou)(tou)(tou)资(zi)(zi)(zi)预期(qi)(qi)投(tou)(tou)(tou)资(zi)(zi)(zi)收益率(lv)低于5年(nian)期(qi)(qi)国债(zhai)利(li)(li)率(lv)的(de)(de)商业(ye)(ye)(ye)(ye)(ye)性投(tou)(tou)(tou)资(zi)(zi)(zi)项目。对自然人、民营(ying)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)、外资(zi)(zi)(zi)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)为(wei)第一(yi)大股(gu)(gu)东的(de)(de)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye),监(jian)管(guan)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)及其(qi)所属(shu)(shu)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)或者多(duo)个(ge)所属(shu)(shu)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)拟分(fen)别参(can)(can)(can)股(gu)(gu)且合(he)并持(chi)股(gu)(gu)比(bi)例超(chao)过第一(yi)大股(gu)(gu)东持(chi)股(gu)(gu)比(bi)例的(de)(de),由监(jian)管(guan)企(qi)(qi)业(ye)(ye)(ye)(ye)(ye)董事(shi)会决策。

(四)严格(ge)甄选(xuan)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)对(dui)象。参股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)应(ying)进(jin)行(xing)充分尽职调查(cha),通过各类信(xin)(xin)(xin)用信(xin)(xin)(xin)息平台、第三方(fang)(fang)(fang)调查(cha)等(deng)方(fang)(fang)(fang)式审(shen)查(cha)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)方(fang)(fang)(fang)资(zi)(zi)格(ge)资(zi)(zi)质信(xin)(xin)(xin)誉(yu),选(xuan)择经营管理(li)水平高(gao)(gao)、资(zi)(zi)质信(xin)(xin)(xin)誉(yu)好的(de)(de)(de)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)方(fang)(fang)(fang)。对(dui)存(cun)在失信(xin)(xin)(xin)记录或行(xing)政(zheng)处罚(fa)、刑事(shi)犯(fan)罪等(deng)违(wei)规违(wei)法记录的(de)(de)(de)意(yi)(yi)(yi)向(xiang)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)方(fang)(fang)(fang)(包括(kuo)投(tou)(tou)资(zi)(zi)标的(de)(de)(de)企(qi)业(ye)(ye)及(ji)其(qi)股(gu)(gu)(gu)东(dong)(dong),意(yi)(yi)(yi)向(xiang)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)方(fang)(fang)(fang)为(wei)企(qi)业(ye)(ye)的(de)(de)(de),包括(kuo)其(qi)股(gu)(gu)(gu)东(dong)(dong)、实(shi)(shi)(shi)际控(kong)(kong)制(zhi)人、法定代表(biao)(biao)人、董事(shi)、监(jian)事(shi)、高(gao)(gao)级(ji)管理(li)人员(yuan)),要(yao)视严重程度审(shen)慎或禁止合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)。不得选(xuan)择与(yu)参股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)主体及(ji)其(qi)各级(ji)控(kong)(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)东(dong)(dong)领(ling)导人员(yuan)存(cun)在特定关系(xi)(xi)(指(zhi)配偶(ou)、子(zi)女(nv)及(ji)其(qi)配偶(ou)等(deng)亲属(shu)关系(xi)(xi),以(yi)及(ji)共同(tong)利(li)益关系(xi)(xi)等(deng))的(de)(de)(de)人员(yuan)以(yi)及(ji)这些人员(yuan)作(zuo)(zuo)(zuo)(zuo)为(wei)股(gu)(gu)(gu)东(dong)(dong)、实(shi)(shi)(shi)际控(kong)(kong)制(zhi)人、法定代表(biao)(biao)人、董事(shi)、监(jian)事(shi)、高(gao)(gao)级(ji)管理(li)人员(yuan)的(de)(de)(de)企(qi)业(ye)(ye)作(zuo)(zuo)(zuo)(zuo)为(wei)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)方(fang)(fang)(fang)。选(xuan)择与(yu)其(qi)他国有(you)、国有(you)控(kong)(kong)股(gu)(gu)(gu)企(qi)业(ye)(ye)、国有(you)实(shi)(shi)(shi)际控(kong)(kong)制(zhi)企(qi)业(ye)(ye)领(ling)导人员(yuan)存(cun)在特定关系(xi)(xi)的(de)(de)(de)上述人员(yuan)和企(qi)业(ye)(ye)作(zuo)(zuo)(zuo)(zuo)为(wei)合(he)(he)(he)作(zuo)(zuo)(zuo)(zuo)方(fang)(fang)(fang)的(de)(de)(de),由监(jian)管企(qi)业(ye)(ye)董事(shi)会决策,决策时关联关系(xi)(xi)人应(ying)回避表(biao)(biao)决。在混(hun)(hun)合(he)(he)(he)所有(you)制(zhi)改革(ge)中让渡控(kong)(kong)股(gu)(gu)(gu)权、保(bao)留参股(gu)(gu)(gu)的(de)(de)(de),要(yao)坚持按照(zhao)“天津+”推进(jin)实(shi)(shi)(shi)施(shi),引(yin)入能把混(hun)(hun)改后(hou)(hou)企(qi)业(ye)(ye)扎根天津发展(zhan)落实(shi)(shi)(shi)到(dao)位(wei)的(de)(de)(de)战(zhan)略(lve)(lve)投(tou)(tou)资(zi)(zi)者(zhe),要(yao)与(yu)战(zhan)略(lve)(lve)投(tou)(tou)资(zi)(zi)者(zhe)协商,在混(hun)(hun)改后(hou)(hou)企(qi)业(ye)(ye)章程中明确,混(hun)(hun)改后(hou)(hou)企(qi)业(ye)(ye)及(ji)其(qi)所属(shu)各级(ji)企(qi)业(ye)(ye)开展(zhan)的(de)(de)(de)契合(he)(he)(he)我(wo)市产(chan)业(ye)(ye)布局和制(zhi)造(zao)业(ye)(ye)立市战(zhan)略(lve)(lve)的(de)(de)(de)增量投(tou)(tou)资(zi)(zi),必须投(tou)(tou)放在我(wo)市。在意(yi)(yi)(yi)向(xiang)受让方(fang)(fang)(fang)登记受让意(yi)(yi)(yi)向(xiang)后(hou)(hou),要(yao)对(dui)照(zhao)混(hun)(hun)改实(shi)(shi)(shi)施(shi)方(fang)(fang)(fang)案,加大对(dui)意(yi)(yi)(yi)向(xiang)受让方(fang)(fang)(fang)在战(zhan)略(lve)(lve)协同(tong)、管理(li)经验、资(zi)(zi)源实(shi)(shi)(shi)力、信(xin)(xin)(xin)用信(xin)(xin)(xin)誉(yu)等(deng)方(fang)(fang)(fang)面的(de)(de)(de)资(zi)(zi)格(ge)审(shen)查(cha),确保(bao)引(yin)入高(gao)(gao)匹(pi)配度、高(gao)(gao)认同(tong)感(gan)、高(gao)(gao)协同(tong)性的(de)(de)(de)实(shi)(shi)(shi)业(ye)(ye)投(tou)(tou)资(zi)(zi)者(zhe)。

(五)加强参(can)股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)(zi)(zi)风险(xian)防范。参(can)股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)(zi)(zi)应结合(he)企(qi)(qi)业(ye)(ye)经(jing)营发展(zhan)需(xu)要(yao)(yao),合(he)理(li)确定(ding)持股(gu)(gu)(gu)比(bi)例,以(yi)(yi)资(zi)(zi)(zi)(zi)本(ben)为纽(niu)带、以(yi)(yi)产权为基础,依法合(he)理(li)约定(ding)各方股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)权利(li)义务(wu),国(guo)有(you)(you)(you)参(can)股(gu)(gu)(gu)股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)享有(you)(you)(you)的(de)权利(li)应与(yu)所持股(gu)(gu)(gu)权比(bi)例相适应,不得放弃股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)权利(li)。要(yao)(yao)与(yu)其(qi)(qi)他股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)协商(shang),在参(can)股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)(zi)(zi)协议(yi)、参(can)股(gu)(gu)(gu)企(qi)(qi)业(ye)(ye)公(gong)司(si)章(zhang)程(cheng)(cheng)和(he)股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)(大)会(hui)、董(dong)事(shi)(shi)会(hui)、监(jian)事(shi)(shi)会(hui)议(yi)事(shi)(shi)规则等法律(lv)文件中,对国(guo)有(you)(you)(you)参(can)股(gu)(gu)(gu)股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)按(an)持股(gu)(gu)(gu)比(bi)例向参(can)股(gu)(gu)(gu)企(qi)(qi)业(ye)(ye)推荐董(dong)事(shi)(shi)、监(jian)事(shi)(shi)或(huo)重(zhong)要(yao)(yao)岗位(wei)人员,国(guo)有(you)(you)(you)股(gu)(gu)(gu)权转(zhuan)让退出,以(yi)(yi)及保(bao)障(zhang)(zhang)国(guo)有(you)(you)(you)参(can)股(gu)(gu)(gu)股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)知情权、参(can)与(yu)决(jue)(jue)策(ce)权、利(li)润分(fen)配权等作出明(ming)确且(qie)具有(you)(you)(you)可操作性的(de)规定(ding)。对参(can)股(gu)(gu)(gu)企(qi)(qi)业(ye)(ye)修(xiu)改公(gong)司(si)章(zhang)程(cheng)(cheng)、合(he)并(bing)分(fen)立解散破产、增减注(zhu)册资(zi)(zi)(zi)(zi)本(ben)、重(zhong)大投(tou)(tou)资(zi)(zi)(zi)(zi)、重(zhong)要(yao)(yao)资(zi)(zi)(zi)(zi)产处置(zhi)、对外(wai)担保(bao)捐赠、关(guan)联交易等直接影响国(guo)有(you)(you)(you)参(can)股(gu)(gu)(gu)股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)权益(yi)的(de)决(jue)(jue)策(ce)事(shi)(shi)项不能(neng)(neng)享有(you)(you)(you)一票否决(jue)(jue)权的(de),以(yi)(yi)及不能(neng)(neng)确保(bao)参(can)股(gu)(gu)(gu)企(qi)(qi)业(ye)(ye)配合(he)审计(ji)机关(guan)和(he)监(jian)管(guan)企(qi)(qi)业(ye)(ye)(国(guo)有(you)(you)(you)参(can)股(gu)(gu)(gu)股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong))内部审计(ji)机构(gou)审计(ji)工(gong)作的(de),原则上(shang)不得参(can)股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)(zi)(zi)。参(can)股(gu)(gu)(gu)投(tou)(tou)资(zi)(zi)(zi)(zi)要(yao)(yao)高度(du)关(guan)注(zhu)完(wan)善(shan)参(can)股(gu)(gu)(gu)企(qi)(qi)业(ye)(ye)公(gong)司(si)治理(li),参(can)股(gu)(gu)(gu)前要(yao)(yao)与(yu)其(qi)(qi)他股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)协商(shang)在参(can)股(gu)(gu)(gu)企(qi)(qi)业(ye)(ye)建(jian)立健(jian)全以(yi)(yi)公(gong)司(si)章(zhang)程(cheng)(cheng)为核心的(de)现代企(qi)(qi)业(ye)(ye)制度(du)体系,保(bao)障(zhang)(zhang)各股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)依法依章(zhang)程(cheng)(cheng)行使股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)权利(li),履行股(gu)(gu)(gu)东(dong)(dong)(dong)(dong)(dong)(dong)义务(wu)。

(六(liu))完善审核决策机(ji)制。要完善参(can)(can)股投资(zi)(zi)审核决策机(ji)制,明(ming)确决策主体和程序。参(can)(can)股投资(zi)(zi)决策会(hui)(hui)(hui)议(yi)应(ying)(ying)当全(quan)程录(lu)(lu)音(yin)(yin)录(lu)(lu)像(xiang)(不能录(lu)(lu)音(yin)(yin)录(lu)(lu)像(xiang)的不得召开(kai)会(hui)(hui)(hui)议(yi)),并(bing)形成详(xiang)细会(hui)(hui)(hui)议(yi)记录(lu)(lu),参(can)(can)会(hui)(hui)(hui)人员应(ying)(ying)按规定(ding)在会(hui)(hui)(hui)议(yi)记录(lu)(lu)上签名。参(can)(can)股投资(zi)(zi)决策权向下授权应(ying)(ying)作为(wei)重(zhong)大事项(xiang)经(jing)监(jian)管(guan)企业党(dang)委研究讨论,由(you)董事会(hui)(hui)(hui)或经(jing)理层决定(ding),授权的管(guan)理层级(ji)原则上不超(chao)过(guo)两级(ji)。监(jian)管(guan)企业应(ying)(ying)制定(ding)制度(du)或在相关(guan)制度(du)中(zhong)明(ming)确,达到一定(ding)额(e)度(du)的参(can)(can)股投资(zi)(zi),必须纳入“三重(zhong)一大”范围(wei),由(you)监(jian)管(guan)企业决策(具体额(e)度(du)由(you)监(jian)管(guan)企业结合实际确定(ding))。

三、加强参股国有股权管理

(七)依法(fa)履(lv)行股(gu)东(dong)(dong)权(quan)责(ze)。按(an)照公司(si)法(fa)等(deng)法(fa)律法(fa)规(gui)规(gui)定(ding),依据公司(si)章程约(yue)定(ding),向参(can)(can)股(gu)企(qi)业推荐国(guo)有(you)(you)股(gu)东(dong)(dong)代表、董事(shi)、监事(shi)或重要岗位(wei)人(ren)员,保证上(shang)述人(ren)员在岗人(ren)数符合公司(si)章程约(yue)定(ding)人(ren)数,并有(you)(you)效行使股(gu)东(dong)(dong)权(quan)利,避免“只投不(bu)管”。在参(can)(can)股(gu)企(qi)业章程、议事(shi)规(gui)则等(deng)制度文件(jian)中,与其他股(gu)东(dong)(dong)协商写入相(xiang)(xiang)关行为事(shi)项要符合国(guo)有(you)(you)股(gu)权(quan)变动、评估(gu)、审计等(deng)国(guo)资监管相(xiang)(xiang)关规(gui)定(ding)且参(can)(can)股(gu)企(qi)业、其他股(gu)东(dong)(dong)应(ying)予(yu)配合的(de)条款(kuan),以维护(hu)国(guo)有(you)(you)股(gu)东(dong)(dong)权(quan)益。

(八)注重参(can)股投(tou)资回报。监管(guan)企业(ye)应每年(nian)对(dui)本企业(ye)及所属企业(ye)参(can)股的(de)(de)实(shi)际(ji)投(tou)资收益和国(guo)有(you)权益进(jin)行清查(cha),核实(shi)分析参(can)股收益和增减变动等情况,提出继续持(chi)(chi)(chi)有(you)、增持(chi)(chi)(chi)、减持(chi)(chi)(chi)或(huo)退(tui)出等意见,形成专项报告,由监管(guan)企业(ye)党委会、董事(shi)会集体研究讨论,专项报告应每年(nian)报市国(guo)资委。对(dui)满3年(nian)未分红(hong)、长(zhang)期亏损或(huo)非持(chi)(chi)(chi)续经营的(de)(de)参(can)股企业(ye)股权,要(yao)进(jin)行价(jia)值(zhi)评估,属于低效无效的(de)(de)要(yao)在1年(nian)内制定具(ju)有(you)可操作性(xing)(xing)的(de)(de)处置方案。属于战略(lve)性(xing)(xing)持(chi)(chi)(chi)有(you)或(huo)者培育期的(de)(de)要(yao)强化跟踪(zong)管(guan)理。

(九)严格财(cai)务(wu)(wu)监管(guan)(guan)。加强(qiang)(qiang)运行(xing)监测,及时掌(zhang)(zhang)握(wo)参(can)股(gu)企(qi)业(ye)财(cai)务(wu)(wu)数(shu)据和(he)经(jing)营情况,高度关注参(can)股(gu)企(qi)业(ye)负债(zhai)和(he)流动(dong)性(xing)情况,发(fa)现(xian)异常要(yao)深(shen)入剖析原因,及时采取(qu)应对(dui)(dui)(dui)措施防范风(feng)(feng)险(xian)。对(dui)(dui)(dui)于关联交易占比较高、应收账款金额(e)大或账龄长的参(can)股(gu)企(qi)业(ye),要(yao)加强(qiang)(qiang)风(feng)(feng)险(xian)排(pai)查(cha)。对(dui)(dui)(dui)风(feng)(feng)险(xian)较大、经(jing)营情况难以掌(zhang)(zhang)握(wo)的股(gu)权投(tou)资(zi),要(yao)及时退出(chu)。不(bu)(bu)(bu)(bu)得(de)对(dui)(dui)(dui)参(can)股(gu)企(qi)业(ye)其他股(gu)东出(chu)资(zi)提供(gong)(gong)(gong)垫资(zi)。原则上不(bu)(bu)(bu)(bu)对(dui)(dui)(dui)参(can)股(gu)企(qi)业(ye)提供(gong)(gong)(gong)担(dan)(dan)保(bao),确需提供(gong)(gong)(gong)的,应按照《天津市国资(zi)委监管(guan)(guan)企(qi)业(ye)担(dan)(dan)保(bao)事项管(guan)(guan)理办法》(津国资(zi)财(cai)经(jing)〔2020〕45号)和(he)监管(guan)(guan)企(qi)业(ye)相关制度规定(ding),严格履行(xing)决策程序,且不(bu)(bu)(bu)(bu)得(de)超股(gu)权比例提供(gong)(gong)(gong)担(dan)(dan)保(bao),并提供(gong)(gong)(gong)足额(e)有效反担(dan)(dan)保(bao),累计担(dan)(dan)保(bao)额(e)不(bu)(bu)(bu)(bu)得(de)超出(chu)资(zi)额(e)。拟担(dan)(dan)保(bao)人应对(dui)(dui)(dui)自身(shen)资(zi)产负债(zhai)率、现(xian)金流动(dong)性(xing)和(he)盈利(li)能力等进(jin)行(xing)全面评(ping)估,经(jing)评(ping)估不(bu)(bu)(bu)(bu)具备代为(wei)清偿(chang)债(zhai)务(wu)(wu)能力的,不(bu)(bu)(bu)(bu)得(de)提供(gong)(gong)(gong)担(dan)(dan)保(bao)。

(十)加(jia)强产(chan)权(quan)(quan)(quan)管理(li)。严格(ge)(ge)落实国(guo)(guo)(guo)有产(chan)权(quan)(quan)(quan)管理(li)政策(ce)规(gui)定(ding)(ding),强化国(guo)(guo)(guo)有参(can)(can)股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)权(quan)(quan)(quan)的产(chan)权(quan)(quan)(quan)登(deng)(deng)(deng)记,做(zuo)好(hao)国(guo)(guo)(guo)有参(can)(can)股(gu)(gu)(gu)(gu)企业产(chan)权(quan)(quan)(quan)占(zhan)有、变动、注销相关(guan)登(deng)(deng)(deng)记工作,定(ding)(ding)期进行数(shu)据核对和统计(ji)分析,兜清国(guo)(guo)(guo)有参(can)(can)股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)权(quan)(quan)(quan)家底,确保参(can)(can)股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)权(quan)(quan)(quan)登(deng)(deng)(deng)记的及(ji)时性(xing)(xing)、准确性(xing)(xing)、完整性(xing)(xing),动态(tai)掌握国(guo)(guo)(guo)有参(can)(can)股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)权(quan)(quan)(quan)分布及(ji)变动情况。参(can)(can)股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)权(quan)(quan)(quan)取得、转让应严格(ge)(ge)执行国(guo)(guo)(guo)有资产(chan)评估、国(guo)(guo)(guo)有产(chan)权(quan)(quan)(quan)进场交易、上(shang)市公司(si)国(guo)(guo)(guo)有股(gu)(gu)(gu)(gu)权(quan)(quan)(quan)管理(li)等(deng)制度规(gui)定(ding)(ding),充(chong)分发挥产(chan)(股(gu)(gu)(gu)(gu))权(quan)(quan)(quan)要素(su)市场作用(yong),防范(fan)国(guo)(guo)(guo)有资产(chan)流失(shi),充(chong)分保障国(guo)(guo)(guo)有权(quan)(quan)(quan)益。

(十一)规(gui)范无(wu)形(xing)资(zi)(zi)(zi)产(chan)(chan)管(guan)理(li)(li)。加(jia)强无(wu)形(xing)资(zi)(zi)(zi)产(chan)(chan)管(guan)理(li)(li),严(yan)格规(gui)范无(wu)形(xing)资(zi)(zi)(zi)产(chan)(chan)转(zhuan)让(rang)及(ji)使(shi)(shi)用(yong),有效维护企(qi)业权(quan)益和品牌价值。无(wu)形(xing)资(zi)(zi)(zi)产(chan)(chan)的(de)转(zhuan)让(rang)及(ji)使(shi)(shi)用(yong)应严(yan)格按照《企(qi)业国有资(zi)(zi)(zi)产(chan)(chan)交易监(jian)督(du)管(guan)理(li)(li)办法》(国务院国资(zi)(zi)(zi)委 财政部令(ling)第32号(hao))、《市国资(zi)(zi)(zi)委关于加(jia)强市管(guan)、委管(guan)企(qi)业无(wu)形(xing)资(zi)(zi)(zi)产(chan)(chan)交易监(jian)管(guan)有关事项的(de)通知》(津(jin)国资(zi)(zi)(zi)产(chan)(chan)权(quan)〔2020〕40号(hao))等(deng)执行。不(bu)得将字号(hao)、经营(ying)资(zi)(zi)(zi)质、特许经营(ying)权(quan)和配方、专有技术等(deng)提供给(ji)参股企(qi)业使(shi)(shi)用(yong)。注(zhu)册(ce)商标确需授(shou)权(quan)给(ji)参股企(qi)业使(shi)(shi)用(yong)的(de),应严(yan)格授(shou)权(quan)使(shi)(shi)用(yong)条件和决策审批程序,并(bing)采取市场(chang)公允价格。

(十二)加强(qiang)领(ling)导(dao)人(ren)(ren)(ren)员兼职(zhi)管理。企(qi)业(ye)(ye)(ye)领(ling)导(dao)人(ren)(ren)(ren)员在(zai)参(can)股企(qi)业(ye)(ye)(ye)兼职(zhi),根(gen)据工(gong)作需(xu)要(yao)从(cong)严掌握,确需(xu)兼职(zhi)的(de),由企(qi)业(ye)(ye)(ye)党委研究决定并(bing)按(an)照管理权(quan)限(xian)审批,且不(bu)得在(zai)兼职(zhi)企(qi)业(ye)(ye)(ye)领(ling)取任何报酬(chou)和获取其(qi)(qi)他(ta)额外利益(yi);任期届满连任的(de),应重新报批。参(can)股经营投资主体及其(qi)(qi)各级控股股东领(ling)导(dao)人(ren)(ren)(ren)员亲属在(zai)参(can)股企(qi)业(ye)(ye)(ye)关(guan)键(jian)岗(gang)位任职(zhi),应参(can)照企(qi)业(ye)(ye)(ye)领(ling)导(dao)人(ren)(ren)(ren)员任职(zhi)回(hui)避有关(guan)规定执行。

(十三)加(jia)强参股(gu)(gu)(gu)监测(ce)。监管企(qi)(qi)(qi)业(ye)应当建立健(jian)全参股(gu)(gu)(gu)监测(ce)体系,明(ming)确专(zhuan)门部(bu)门,每月对参股(gu)(gu)(gu)总量及其分(fen)(fen)布结(jie)构、增减变动等情(qing)况进行(xing)统计,并通过向参股(gu)(gu)(gu)企(qi)(qi)(qi)业(ye)推(tui)荐的董事、监事等股(gu)(gu)(gu)权代表(biao)了解掌(zhang)握各(ge)参股(gu)(gu)(gu)企(qi)(qi)(qi)业(ye)的生产经营(ying)、资(zi)产状(zhuang)况、财务状(zhuang)况等情(qing)况,每季度进行(xing)汇总分(fen)(fen)析,并向市国资(zi)委报告。

四、强化监督问责

(十四)加强内(nei)(nei)部(bu)监(jian)(jian)督(du)。应将参(can)(can)股(gu)经(jing)营作(zuo)为(wei)内(nei)(nei)部(bu)管控的重(zhong)要内(nei)(nei)容,建(jian)立(li)健全(quan)以风(feng)险管理为(wei)导向、合规管理监(jian)(jian)督(du)为(wei)重(zhong)点的规范有效的内(nei)(nei)控体(ti)系。监(jian)(jian)管企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)内(nei)(nei)部(bu)审(shen)(shen)计机(ji)(ji)构(gou)要对(dui)本企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)和所属重(zhong)点企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)参(can)(can)股(gu)经(jing)营情况(kuang)进行审(shen)(shen)计,对(dui)各级企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)负责(ze)人(ren)开展(zhan)任期经(jing)济(ji)责(ze)任审(shen)(shen)计时(shi),要将其任期内(nei)(nei)企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)参(can)(can)股(gu)投资(zi)、与参(can)(can)股(gu)企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)关联交易(yi)等有关事(shi)项列(lie)入重(zhong)点审(shen)(shen)计内(nei)(nei)容。要在参(can)(can)股(gu)合资(zi)合作(zuo)协(xie)议和参(can)(can)股(gu)企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)的章程等法律文件中作(zuo)出明确(que)规定,确(que)保参(can)(can)股(gu)企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)配合审(shen)(shen)计机(ji)(ji)关和监(jian)(jian)管企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)(国(guo)有参(can)(can)股(gu)股(gu)东)内(nei)(nei)部(bu)审(shen)(shen)计机(ji)(ji)构(gou)开展(zhan)的涉及参(can)(can)股(gu)企(qi)(qi)(qi)业(ye)(ye)(ye)(ye)(ye)的审(shen)(shen)计工(gong)作(zuo)。

(十五)强(qiang)化(hua)人(ren)员(yuan)监督。严(yan)格落实《混(hun)合所有(you)制(zhi)企业(ye)(ye)国(guo)有(you)股权代(dai)(dai)表管(guan)(guan)(guan)(guan)理(li)指导意见(jian)》(津国(guo)资〔2019〕9号(hao))规(gui)定(ding)(ding),建(jian)立向(xiang)参(can)股企业(ye)(ye)推(tui)荐的(de)(de)董(dong)事(shi)(shi)、监事(shi)(shi)、重(zhong)要(yao)岗(gang)位(wei)(wei)人(ren)员(yuan)定(ding)(ding)期(qi)报告机(ji)制(zhi),定(ding)(ding)期(qi)向(xiang)国(guo)有(you)股东(dong)(dong)报告参(can)股企业(ye)(ye)重(zhong)大事(shi)(shi)项(xiang)、经(jing)营(ying)管(guan)(guan)(guan)(guan)理(li)情(qing)况(kuang)(kuang)、履职(zhi)情(qing)况(kuang)(kuang)等(重(zhong)大事(shi)(shi)项(xiang)随时报告,经(jing)营(ying)管(guan)(guan)(guan)(guan)理(li)情(qing)况(kuang)(kuang)和履职(zhi)情(qing)况(kuang)(kuang)报告每(mei)年(nian)(nian)不(bu)少于(yu)1次)。按照管(guan)(guan)(guan)(guan)理(li)权限在(zai)各级企业(ye)(ye)明确向(xiang)参(can)股企业(ye)(ye)推(tui)荐的(de)(de)股东(dong)(dong)代(dai)(dai)表、董(dong)事(shi)(shi)、监事(shi)(shi)、重(zhong)要(yao)岗(gang)位(wei)(wei)人(ren)员(yuan)的(de)(de)管(guan)(guan)(guan)(guan)理(li)部门,加强(qiang)对(dui)上(shang)述人(ren)员(yuan)的(de)(de)监督管(guan)(guan)(guan)(guan)理(li),定(ding)(ding)期(qi)对(dui)上(shang)述人(ren)员(yuan)进(jin)(jin)行培训(xun),定(ding)(ding)期(qi)进(jin)(jin)行岗(gang)位(wei)(wei)轮换(huan)(有(you)规(gui)定(ding)(ding)任(ren)(ren)期(qi)的(de)(de)按规(gui)定(ding)(ding)执行,无规(gui)定(ding)(ding)任(ren)(ren)期(qi)的(de)(de)任(ren)(ren)职(zhi)满3年(nian)(nian)原(yuan)则上(shang)应进(jin)(jin)行岗(gang)位(wei)(wei)轮换(huan)),建(jian)立考(kao)核评价(jia)制(zhi)度,严(yan)格进(jin)(jin)行年(nian)(nian)度和任(ren)(ren)期(qi)考(kao)核,考(kao)核结(jie)果作为绩(ji)效薪酬核定(ding)(ding)和岗(gang)位(wei)(wei)晋升(sheng)调整重(zhong)要(yao)依据(ju)。向(xiang)参(can)股企业(ye)(ye)推(tui)荐的(de)(de)股东(dong)(dong)代(dai)(dai)表、董(dong)事(shi)(shi)、监事(shi)(shi)、重(zhong)要(yao)岗(gang)位(wei)(wei)人(ren)员(yuan)不(bu)作为不(bu)担当、失职(zhi)渎(du)职(zhi)的(de)(de),监管(guan)(guan)(guan)(guan)企业(ye)(ye)、国(guo)有(you)参(can)股股东(dong)(dong)及其相关管(guan)(guan)(guan)(guan)理(li)部门应及时依规(gui)依纪(ji)依法处理(li),督促上(shang)述人(ren)员(yuan)忠实勤勉廉洁(jie)履职(zhi)。

(十六)严格责(ze)任(ren)追究。参股(gu)投(tou)(tou)资(zi)造成亏损或(huo)投(tou)(tou)资(zi)收益率显(xian)著(zhu)低(di)于可行(xing)性研(yan)究论证的(de)预(yu)期(qi)收益率的(de),应(ying)当(dang)结(jie)合(he)实(shi)(shi)际进行(xing)综合(he)分(fen)析研(yan)判,如(ru)认(ren)定相(xiang)关(guan)(guan)人员在(zai)投(tou)(tou)资(zi)的(de)研(yan)究论证、决策实(shi)(shi)施(shi)(shi)、投(tou)(tou)后(hou)管(guan)理(li)(li)、风险防控等环节中(zhong)存在(zai)过错的(de),应(ying)依规(gui)(gui)依纪依法追究其责(ze)任(ren)。参股(gu)经(jing)营中(zhong)未行(xing)使股(gu)东(dong)权利或(huo)发生重(zhong)大变化未及时采取止(zhi)损措施(shi)(shi),造成国(guo)有资(zi)产流失(shi)或(huo)其他严重(zhong)不(bu)良后(hou)果的(de),要按(an)照(zhao)《天津市市管(guan)国(guo)有企(qi)业违规(gui)(gui)经(jing)营投(tou)(tou)资(zi)责(ze)任(ren)追究试行(xing)办法》(津政(zheng)办发〔2017〕109号)等有关(guan)(guan)规(gui)(gui)定,按(an)照(zhao)国(guo)有资(zi)本(ben)出资(zi)关(guan)(guan)系和干部管(guan)理(li)(li)权限,对(dui)相(xiang)关(guan)(guan)责(ze)任(ren)人给(ji)予严肃处理(li)(li),并实(shi)(shi)行(xing)终身追责(ze);涉嫌违纪违法的(de),移(yi)送有关(guan)(guan)部门处理(li)(li)。

各监管(guan)企业要(yao)高度重视混合所有制改革中的参(can)股管(guan)理,加强组织领导,按(an)照本通(tong)知要(yao)求(qiu),抓紧对参(can)股经营(ying)投资(zi)进行全(quan)面梳理检(jian)查,认真查找在合作方选择、决策(ce)审批、财(cai)务管(guan)控、领导人(ren)员兼职以及与参(can)股企业关联交易等方面存在的问题,及时整改。同时,坚持(chi)问题导向,举一反三,制定完善(shan)规章制度,细化管(guan)理措施,落实(shi)管(guan)理责任(ren),强化追(zhui)责问责,及时止(zhi)损维权,切实(shi)维护国(guo)有资(zi)产(chan)权益,严防国(guo)有资(zi)产(chan)流失,促进混合所有制经济健康发(fa)展。

本通知所(suo)称参股企(qi)(qi)(qi)(qi)业(ye)(ye),是指监(jian)管(guan)企(qi)(qi)(qi)(qi)业(ye)(ye)直接或间接持(chi)股的企(qi)(qi)(qi)(qi)业(ye)(ye)中不(bu)属(shu)于《企(qi)(qi)(qi)(qi)业(ye)(ye)国(guo)有(you)资(zi)产交易监(jian)督管(guan)理办法》(国(guo)务院国(guo)资(zi)委、财(cai)政部令第(di)32号)第(di)四条所(suo)称的国(guo)有(you)及国(guo)有(you)控股企(qi)(qi)(qi)(qi)业(ye)(ye)、国(guo)有(you)实际控制企(qi)(qi)(qi)(qi)业(ye)(ye)的企(qi)(qi)(qi)(qi)业(ye)(ye)。

各区(qu)可以参照(zhao)本通(tong)知(zhi)规定,结合实际(ji)研究制定区(qu)属企业加(jia)强(qiang)参股管理(li)的文件。

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