【中英文对照版】海南自由贸易港企业国有资产条例.docx

海南自由贸易港企业国有资产条例RegulationontheState-ownedAssetsofEnterprisesintheHainanFreeTradePort制定机关：海南省人大(含常委会)发文字号：海南省人民代表大会常务委员会公告第22号公布日期：2023.11.24施行日期：2024.01.01效力位阶：省级地方性法规法规类别：国有资产综合规定IssuingAuthority：HainanProvincePeople'sCongress(incl.StandingCommittee)DocumentNumber：AnnouncementNo.22oftheStandingCommitteeofthePeople'sCongressofHainanProvinceDateIssued：11-24-2023EffectiveDate：01-01-20241.evelofAuthority：ProvincialLocalRegulations海南省人民代表大会常务委员 会公告AreaofLaw：GeneralProvisionsonState-OwnedAssetsAnnouncementoftheStandingCommitteeofthePeople'sCongressofHainanProvince（第22号）海南自由贸易港企业国有资 产条例已由海南省第七届人 民代表大会常务委员会第七次 会议于2023年11月24日通 过，现予公布，自2024年1月 1日起施行。(No.22)海南省人民代表大会常务委员 会TheRegulationontheState-ownedAssetsofEnterprisesintheHainanFreeTradePort,asadoptedatthe7thSessionoftheStandingCommitteeoftheSeventhPeople'sCongressofHainanProvinceonNovember24,2023,isherebyissued,andshallcomeintoforceonJanuary1,2024.StandingCommitteeofthePeople'sCongressofHainanProvince2023年11月24日November24,2023RegulationontheState-ownedAssetsofEnterprisesintheHainanFreeTradePort(Adoptedatthe7thSessionoftheStandingCommitteeoftheSeventhPeople'sCongressofHainanProvinceonNovember24,2023)Article1ThisRegulationisdevelopedinaccordancewiththeLawofthePeople,sRepublicofChinaontheState-ownedAssetsofEnterprises,theCompanyLawofthePeople'sRepublicofChina,theHainanFreeTradePortLawofthePeople'sRepublicofChina,andotherapplicablelawsandregulationsandinlightoftheactualcircumstancesoftheHainanFreeTradePortinordertoestablishastate-ownedassetssupervisionandadministrationsystemthatiscompatiblewiththenewopeneconomicsystemoftheHainanFreeTradePort,promotetheoptimizationoflayoutandstructuraladjustmentofthestate-ownedeconomy,realizethevaluepreservationandappreciationofstate-ownedassets,andsafeguardthesecurityofstate-ownedassets.海南自由贸易港企业国有资产 条例（2023年11月24日海南省第 七届人民代表大会常务委员会 第七次会议通过）第一条为建立与海南自 由贸易港开放型经济新体制相 适应的国有资产监督管理体 制，推动国有经济布局优化和 结构调整，实现国有资产保值 增值，维护国有资产安全，根 据中华人民共和国企业国有 资产法中华人民共和国公 司法中华人民共和国海南 自由贸易港法等法律法规， 结合海南自由贸易港实际，制 定本条例。第二条 县级以上人民政 府国有资产监督管理机构根据 本级人民政府的授权，代表本 级人民政府对国家出资企业履 行出资人职责，依法对企业国 有资产进行监督管理；未设立 国有资产监督管理机构的，应 当授权一个部门或者机构代表 本级人民政府对国家出资企业 履行出资人职责，依法对企业 国有资产进行监督管理。Article2State-ownedassetssupervisionandadministrationbodiesofpeople'sgovernmentsatorabovethecountylevelshall,asauthorizedbythepeople,sgovernmentatthesamelevel,performthedutiesofaninvestorforstate-fundedenterprisesonbehalfofthepeople'sgovernmentatthesamelevelandsuperviseandmanagethestate-ownedassetsofenterprisesinaccordancewiththelaw.Ifnostate-ownedassetssupervisionandadministrationbodyisestablished,adepartmentororganshallbeauthorizedto,onbehalfofthepeople'sgovernmentatthesamelevel,performtheinvestor'sdutiesforstate-fundedenterprisesandsuperviseandmanagethestate-ownedassetsofenterprisesinaccordancewiththelaw.Thepeople,sgovernmentatorabovethecountylevelmay,wherenecessary,authorizeanyotherdepartmentororgantoperformtheinvestor'sdutiesforstate-fundedenterprisesonbehalfofthepeople'sgovernmentatthesamelevel.Theorganordepartmentthatperformstheinvestor'sdutiesonbehalfofthepeople'sgovernmentatthesamelevelishereinaftercollectivelyreferredtoastheorganthatperformstheinvestor'sduties.ForthepurposesofthisRegulation,ustate-fundedenterprises"meanswhollystate-ownedenterprises,whollystate-ownedcompanies,andcompaniesinwhichthestate-ownedcapitalholdscontrollingornon-controllingshares.Article3People'sgovernmentsatandabovethecountylevelshallconductcentralizedanduniformsupervisionofoperatingstate-ownedassets,adheretotheseparationofgovernmentadministrationfromenterprisemanagement,theseparationofgovernmentadministrationfromcapitalmanagement,andtheseparationofownershipandmanagementpower.县级以上人民政府根据需要， 可以授权其他部门、机构代表 本级人民政府对国家出资企业 履行出资人职责。代表本级人民政府履行出资人 职责的机构、部门，以下统称 履行出资人职责的机构。本条例所称的国家出资企业， 是指国家出资的国有独资企 业、国有独资公司，以及国有 资本控股公司、国有资本参股 公司。第三条 县级以上人民政 府应当对经营性国有资产实行 集中统一监管，坚持政企分 开、政资分开，实行所有权与 经营权分离。第四条国有独资企业、 国有独资公司、国有资本控股 公司（以下统称国有企业）中 中国共产党的组织，按照中国 共产党章程的规定发挥领导作 用，研究讨论企业重大经营管 理事项，支持企业的组织机构 依法行使职权。Article4TheorganizationsoftheCommunistPartyofChinainwhollystate-ownedenterprises,whollystate-ownedcompanies,andcompaniesinwhichthestateholdscontrollingshares(hereinaftercollectivelyreferredtoasustate-ownedenterpsesn)shallplayaleadingroleinaccordancewiththeConstitutionoftheCommunistPartyofChina,deliberateanddiscussmajorbusinessmanagementmattersofenterprisesandsupporttheorganizationalbodiesofenterprisesinexercisingtheirfunctionsandpowersinaccordancewiththelaw.Article5Anorganthatperformstheinvestor'sdutiesshallfocusoncapitalmanagement,withanemphasisonmanagingthelayoutofstate-ownedcapital,regulatingcapitaloperation,improvingcapitalreturn,andsafeguardingcapitalsecurity.Anorganthatperformstheinvestor'sdutiesshalloptimizemethodsfortheperformanceofduties,definetheboundariesofpowersandresponsibilities,preparealistofregulatorypowersandresponsibilitiesandalistofpowerstobegrantedanddelegatedbycategory,andmakedynamicadjustments.Article6Anorganthatperformstheinvestor'sdutiesshallimprovetherulesforthedisclosureofinformationonstate-ownedenterprises,releasetothepublicthelistofenterprisesonitsofficialwebsiteandotherchannels,andupdatethelisteveryyear,disclosetothepublicthestatusofstate-ownedassetsandinformationonthesupervisionandadministrationofstate-ownedassetsinaccordancewiththelaw,improvethetransparencyofenterprises,andacceptsocialsupervision.第五条 履行出资人职责 的机构应当以管资本为主，重 点管好国有资本布局、规范资 本运作、提高资本回报、维护 资本安全。履行出资人职责的机构应当优 化履职方式，界定权责边界， 制定监管权力和责任清单、分 类授权放权清单，并实行动态 调整。第六条 履行出资人职责 的机构应当健全完善国有企业 信息公开制度，在官方网站等 渠道公布并每年更新企业名 单，依法向社会公布国有资产 状况和国有资产监督管理工作 情况，提高企业透明度，接受 社会公众监督。第七条 国家出资企业应 当遵守海南自由贸易港公平竞 争秩序，建立以章程为核心， 权责法定、权责透明、协调运 转、有效制衡的法人治理机 制，依照商业规则从事经营活 动。Article7Astate-fundedenterpriseshallabidebytheorderoffaircompetitionintheHainanFreeTradePort,establishacorporategovernancemechanismwithitsbylawsasthecore,statutoryandtransparentpowersandresponsibilities,coordinatedoperation,andeffectivechecksandbalances,andshallengageinbusinessactivitiesinaccordancewithbusinessrules.Article8Astate-ownedenterpriseshallestablishaninternalremunerationdistributionmechanismassociatedwithoperationalbenefits,adaptedtomarketlevels,inlinewithindustrycharacteristics,andcommensuratewithworkperformanceandactualcontribution,andshallassessandadjustinternalremunerationstrategiesandlevelsonaregularbasis.Article9Astate-ownedenterpriseshallestablishandimproveitsinternalsupervisionandmanagementrules,scientificallyallocatetherights,obligations,andresponsibilitiesofsubjectsofallposts,specifytheproceduresandrequirementsfortheperformanceofduties,andimproveinternalcontrolmechanismssuchaspostauthorizationandlevel-by-levelapproval.Astate-ownedenterpriseshallstrengthentheconstructionofitslegalaffairsdepartment,legalcounsels,andlawyerteam,establishandimprovelegalityandcompliancereviewrules,andtakelegalityandcompliancereviewandriskassessmentasnecessaryadvanceproceduresfordecision-makingonmajormatters.Astate-ownedenterpriseshallestablishandimproveitsinternalauditworkingrules,strengtheninternalsupervision,andguardagainstoperationalriskssuchasdebtrisksandinvestmentrisks.第八条国有企业应当建 立与经营效益相关联、与市场 水平相适应、与行业特点相符 合、与工作业绩和实际贡献相 匹配的内部薪酬分配机制，定 期评估调整内部薪酬策略和水 平。第九条国有企业应当建 立健全内部监督管理制度，科 学配置各岗位主体权利、义务 和责任，明晰履职程序和要 求，完善岗位授权、逐级审批 等内部控制机制。国有企业应当加强企业法律事 务机构、企业法律顾问和公司 律师队伍建设，建立健全合法 合规性审查制度，将合法合规 性审查和风险评估作为重大事 项决策的必经前置程序。国有企业应当建立健全内部审 计工作制度，强化内部监督， 防范债务风险、投资风险等经 营风险。第十条国有企业应当建 立企业经营风险报告制度，出 现重大投资损失、发生安全生 产事故、出现重大法律纠纷等 影响企业正常经营的重大事 件，应当及时向履行出资人职 责的机构报告。国有资本参股Article10Astate-ownedenterpriseshallestablishrulesforreportingitsoperationalrisksandshallpromptlyreporttoanorganthatperformstheinvestor'sdutiestheoccurrenceofanymajoreventthataffectsitsnormaloperation,suchasanymajorinvestmentloss,worksafetyaccident,ormajorlegaldispute.Ifanyoftheaforesaidmajoreventsoccursinacompanywherestate-ownedcapitalholdsnon-controllingshares,theshareholders*representativeappointedbytheorganthatperformstheinvestor'sdutiesshallreporttothatorganinatimelymanner.Article11Anorganthatperformstheinvestor'sdutiesshall,inaccordancewiththerelevantprovisions,establishandimprovetherulesfortheselection,appointment,andmanagementofexternaldirectors,establishaninter-sectorandcross-regionaldiversifiedtalentpoolofexternaldirectors,improvetheexternaldirectorevaluation,incentive,andrestraintmechanism,andenhancetheabilityofexternaldirectorstoperformtheirduties.Amajorityofmembersoftheboardofdirectorsofawhollystate-ownedcompanyshallbeexternaldirectors,andrepresentativesofemployeesofthecompanyshallbeincluded.Acompanywherestate-ownedcapitalholdscontrollingsharesshallhaveacertainproportionofexternaldirectors.Article12Anorganthatperformstheinvestor'sdutiesshall,inaccordancewithrelevantprovisions,appointshareholders*representatives,directors,orpersonneltoimportantpositionsinacompanywherestate-ownedcapitalholdsnoncontrollingshares,strengthenthemanagementoftheappointedpersonnel,soastoeffectivelyexercisetherightsofshareholders,andregulatethemanagementofpropertyrights.公司发生上述重大事件的，履 行出资人职责的机构委派的股 东代表应当及时向履行出资人 职责的机构报告。第十一条履行出资人职 责的机构应当依照有关规定建 立健全外部董事选聘和管理制 度，建立跨行业、跨区域、多 元化的外部董事人才库，完善 外部董事评价和激励约束机 制，提升外部董事的履职能 力。国有独资公司的董事会成员 中，应当过半数为外部董事， 并应当有公司职工代表。国有 资本控股公司应当有一定比例 的外部董事。第十二条履行出资人职 责的机构应当依照有关规定向 国有资本参股公司委派股东代 表、董事或者重要岗位人员， 加强对委派人员的管理，有效 行使股东权利，规范产权管 理。第十三条履行出资人职 责的机构应当建立符合市场经 济规律和企业家成长规律的企 业负责人管理机制，按照企业 功能性质、经营业绩等，完善Article13Anorganthatperformstheinvestor'sdutiesshallestablishamechanismformanagementbythepersonsinchargeofenterprisesinlinewiththelawsofthemarketeconomyandlawsofthegrowthofentrepreneurs,andimproveitsclassifiedandhierarchicalmanagementrulesforthepersonsinchargeofstate-ownedenterprisesaccordingtotheenterprise'sfunctions,nature,andoperatingperformance,amongothers.Anorganthatperformstheinvestor'sdutiesshallimplementthetenuresystemformanagersofstate-ownedenterprisesandtheircontractualmanagement,andestablishthesystemofprofessionalmanagersinaccordancewiththerelevantprovisions.Aftertherelevantproceduresarefulfilled,aforeignerwhomeetsofficeconditionsmayserveasthelegalrepresentativeorofficerofastate-ownedenterprise.Article14Astate-ownedenterprisemay,inaccordancewiththerelevantprovisions,providemedium-andlong-termincentivesforeligiblescientificandtechnologicaltalents,officers,andkeycorepersonnel,amongothers,throughequityincentives,bonusincentives,excessprofitsharing,employeestockownership,andothermethods.Astate-fundedenterpriseshallbesupportedinintroducinghigh-endscientificandtechnologicaltalents,andteamsandindividualsthathavemadeoutstandingcontributionsshallbegivenspecialincentivesinaccordancewithrelevantprovisionsissuedbythestateandtheprovince,andbenefitsandsecurityintermsofhousing,medicalcare,householdregistration,children'seducation,andotheraspectsshallbeensured.国有企业负责人分类分层管理 制度。履行出资人职责的机构应当推 行国有企业经理层成员任期制 和契约化管理，依照有关规定 建立职业经理人制度。经履行相关程序，符合任职条 件的境外人员可以担任国有企 业的法定代表人和高级管理人 员。第十四条国有企业依照 有关规定，可以对符合条件的 科技人才、高级管理人员、关 键核心骨干人才等采取股权激 励、分红激励、超额利润分 享、员工持股等方式开展中长 期激励。支持国家出资企业引进高端科 技人才，对作出突出贡献的团 队和个人，依照国家和本省有 关规定，给予特别激励，落实 住房、医疗、户籍、子女教育 等方面的待遇保障。第十五条履行出资人职 责的机构应当建立国有企业主Article 15 Anorganthatperformstheinvestor'sdutiesshallestablishrulesforthedynamicmanagementofprimaryresponsibilitiesandmainbusinessofstate-ownedenterprises,andguideenterprisestointegratenon-mainbusinessassets,strengthenitsmainbusiness,andcultivateanddevelopforward-lookingstrategicemergingindustriesbystrengtheningstrategicplanningandmainbusinessmanagement,preparingthenegativeinvestmentlist,assessinganddeterminingthecontrolratioofinvestmentinnon-mainbusiness,andothermethods.Astate-ownedenterpriseshall,inaccordancewiththerelevantprovisionsissuedbythestate,focusonitsmainbusiness,strictlycontroltheinvestmentsinnon-mainbusiness,strictlyselectcooperationpartners,reasonablydetermineshareholdingmethods,andimprovetheequityinvestmentreviewanddecision-makingmechanism.Article 16 Anorganthatperformstheinvestor'sdutiesmayformorrestructureacompanyinvestedinoroperatedwithstate-ownedcapitalinaccordancewiththerelevantprovisions.Acompanyinvestedinoroperatedwithstate-ownedcapitalshall,inaccordancewiththerelevantprovisions,carryouttheoperationofstate-ownedcapitalinaccordancewiththelawbytakingcapitalasthelinkandpropertyrightsasthebasis,andaccordingtotheprincipleofmatchingresponsibilitiesandpowers,assumeresponsibilitiessuchasoptimizingthelayoutofstate-ownedcapital,enhancingtheoperationalefficiencyofstate-ownedcapital,andrealizingthevaluepreservationandappreciationofstate-ownedassets.责主业动态管理制度，通过强 化战略规划和主业管理、制定 投资负面清单、核定非主业投 资控制比例等方式，引导企业 整合非主业资产，做强主业， 培育发展前瞻性战略性新兴产 业。国有企业依照国家有关规定聚 焦主业，严控非主业投资，严 格甄选合作对象，合理确定参 股方式，完善参股投资审核决 策机制。第十六条履行出资人职 责的机构可以依照有关规定组 建、改组国有资本投资、运营 公司。国有资本投资、运营公司应当 依照有关规定以资本为纽带、 以产权为基础依法开展国有资 本运作，按照责权对应原则承 担优化国有资本布局、提升国 有资本运营效率、实现国有资 产保值增值等责任。第十七条履行出资人职 责的机构应当深化混合所有制Article 17 Anorganthatperformstheinvestor'sdutiesshallfurtherthemixedownershipreform,supportstate-ownedcapitalinintroducingnon-state-ownedcapitalthroughsuchmethodsasequitytransfer,capitalincrease,equityexpansion,andrestructurings,andencouragestate-ownedcapitaltoinvestinon-state-ownedcapitalthroughvariousmeans.State-ownedenterprisesshallbeencouragedtotakeassetsecuritizationasanimportantdirectionforthemixedownershipreformandactivelyfosterthelistingofenterprisesundergoingmixedownershipreform.State-ownedenterprisesshallbeencouragedtomakeequityinvestmentsasstrategicinvestorsandstate-ownedenterprisesshallbesupportedininitiatingtheestablishmentofequity-naturefundoffundsanddirectinvestmentfunds,andexploringanequityinvestmentincentivemechanismandco-investmetmechanism.Astate-ownedenterpriseshall,inaccordancewithapplicablelawsandregulationsanditsbylaws,carryoutmoremarket-orienteddifferentiatedmanagementofmixedownershipenterprisesinwhichitholdsrelativelycontrollingshares.Article 18 State-ownedenterprisesshallbeencouragedtoincreaseinvestmentinscientificandtechnologicalresearchanddevelopmentandestablishastablegrowthmechanism.Thescientificandtechnologicalresearchanddevelopmentinvestmentofstate-ownedenterprises,afterbeingrecognizedaccordingtoprescribedprocedures,maybedeemedasprofitintheannualbusinessperformanceassessment.改革，支持国有资本采取股权 转让、增资扩股、重组等方式 引入非国有资本，鼓励国有资 本以多种方式入股非国有资 本O鼓励国有企业以资产证券化作 为混合所有制改革的重要方 向，积极培育混合所有制改革 企业上市。鼓励国有企业作为战略投资者 开展股权投资，支持国有企业 发起设立股权类母基金和直投 基金，探索股权投资激励机制 和跟投机制。国有企业应当根据法律法规和 企业章程，对其出资的相对控 股混合所有制企业实施更加市 场化的差异化管理。第十八条鼓励国有企业 加大科技研发投入，并建立稳 定增长机制。国有企业科技研 发投入按照规定程序认定后， 可以在年度经营业绩考核中视 同利润。State-ownedenterprisesshallbesupportedin支持国有企业探索赋予科学技exploringtherulesforgrantingscientificandtechnologicalpersonneltheownershipoforlongtermuserightofjob-relatedscientificandtechnologicalachievementsandtherulesfortheseparatemanagementofjob-relatedscientificandtechnologicalachievements,improvethemarket-orientedmechanismandincomesharingmechanismforthetransformationofscientificandtechnologicalachievements,andpromotethetransformationandapplicationofscientificandtechnologicalachievements.Article 19 Anorganthatperformstheinvestor'sdutiesshallpromotetherationalflowandoptimizedallocationofstate-ownedcapitalinthefollowingind