中央企业发展战略和规划管理办法（试行）国务院国有资产监督管理委员会令第10号

　　《中央企业发展战略和规划管理办法（试行）》已经国务院国有资产监督管理委员会第21次主任办公会议审议通过，现予公布，自2005年1月1日起施行。

国务院国有资产监督管理委员会主任 李荣融
二○○四年十一月二十六日

中央企业发展战略和规划管理办法（试行）

　　第一条 为规范中央企业发展战略和规划的编制与管理工作，提高企业发展战略和规划的科学性和民主性，依法履行出资人职责，根据《中华人民共和国公司法》、《企业国有资产监督管理暂行条例》等法律法规，制定本办法。

　　第二条 本办法所称中央企业，是指国务院国有资产监督管理委员会（以下简称国资委）履行出资人职责的企业（以下简称企业）。

　　第三条 本办法所称企业发展战略和规划，是指企业根据国家发展规划和产业政策，在分析外部环境和内部条件现状及其变化趋势的基础上，为企业的长期生存与发展所作出的未来一定时期内的方向性、整体性、全局性的定位、发展目标和相应的实施方案。

　　第四条 企业发展战略和规划的管理，是指国资委根据出资人职责依法对企业发展战略和规划的制订程序、内容进行审核，并对其实施情况进行监督。

　　第五条 国资委对企业发展战略和规划进行管理应当坚持以下原则：

　　（一）依法履行出资人职责；

　　（二）尊重企业的合法权益；

　　（三）推动国有经济布局和结构的战略性调整，指导企业进行结构调整；

　　（四）客观、公正、科学、统筹；

　　（五）提高工作效率，遵守职业道德，严守国家机密和商业秘密。

　　第六条 企业要明确负责发展战略和规划编制的工作机构，建立相应的工作制度并报国资委备案。

　　第七条 企业应当按照本办法规定，制订本企业的发展战略和规划。有条件的企业可以设立发展战略和规划决策委员会。

　　第八条 企业发展战略和规划包括3-5年中期发展规划和10年远景目标。编制重点为3-5年发展规划，并根据企业外部环境和内部情况的变化和发展适时滚动调整。

　　第九条 企业发展战略和规划应当包括下列主要内容：

　　（一）现状与发展环境。包括企业基本情况、发展环境分析和竞争力分析等；

　　（二）发展战略与指导思想；

　　（三）发展目标；

　　（四）三年发展、调整重点与实施计划；

　　（五）规划实施的保障措施；

　　（六）需要包括的其他内容。

　　第十条 企业在制订发展战略和规划时，可参照国资委编制的《中央企业发展战略与规划编制大纲》，并可根据实际情况进行适当调整，但应当涵盖其提出的内容。

　　第十一条 企业应当按照国资委要求在规定时间内报送发展战略和规划草案。报送内容包括企业发展战略和规划草案文本及编制说明。

　　第十二条 国资委组织对企业的发展战略和规划草案进行审核，在规定时间内将审核意见反馈企业。

　　第十三条 国资委对企业报送的企业发展战略和规划内容的审核主要包括：

　　（一）是否符合国家发展规划和产业政策；

　　（二）是否符合国有经济布局和结构的战略性调整方向；

　　（三）是否突出主业，提升企业核心竞争力；

　　（四）是否坚持效益优先和可持续发展原则。

　　第十四条 国有独资企业、国有独资公司应当根据国资委的审核意见，对企业发展战略和规划进行修订。

　　第十五条 国有控股、国有参股企业中国资委派出的股东代表、董事，应当在企业股东会或董事会上充分表述国资委对企业发展战略和规划的审核意见。

　　第十六条 企业按照内部决策程序对发展战略和规划修订后，应当将企业发展战略和规划正式文本报国资委备案。

　　第十七条 企业在实施发展战略和规划过程中应当制定年度计划，对实施情况与发展目标进行对比评价，及时调整。

　　第十八条 国资委将企业发展战略和规划的目标和实施，纳入对中央企业负责人经营业绩考核的内容。

　　第十九条 本办法自2005年1月1日起施行。

　　附：关于《中央企业发展战略和规划管理办法（试行）》的编制说明

　　由我委编制的《中央企业发展战略和规划管理办法（试行）》（以下简称《规划管理办法》）按照立法程序已通过审查并公布。该办法根据《中华人民共和国公司法》、《企业国有资产监督管理暂行条例》等相关法律法规，结合中央企业实际情况研究制定。

　　一、《规划管理办法》的编制背景

　　（一）企业发展战略和规划的管理工作是出资人监督管理工作的重要组成部分。企业发展战略和规划关系到企业的长远发展和国有资产的保值增值，属于企业的重大决策。国有资产监督管理机构作为出资人，对其所出资企业发展战略和规划依法履行出资人职责，进行监督和管理，维护所有者权益，是保证出资人职责到位，实现管资产与管人、管事相结合，权利、责任、义务相统一的基本要求。

　　（二）企业发展战略和规划的管理是一项基础性工作。

　　企业发展战略和规划是企业面对激烈变化、严峻挑战的经营环境，为求得长期生存和持续发展进行的总体性谋划，是企业发展战略思想的集中体现，也是企业制定各种计划和国资委对企业领导人进行任期考核的基础。加强企业发展战略和规划的管理，既是企业的一项基础性工作，也是国资委依法监督管理企业的基础性工作。为提高依法办事的能力和水平，减少工作中的随意性和盲目性，避免干预企业的经营决策自主权，企业发展战略和规划的管理要强化基础性工作，要建立健全规章制度，进行规范管理。

　　（三）企业发展战略和规划的管理工作与国有经济布局和结构的战略性调整工作是一个有机的整体。

　　国资委根据国有经济布局和结构的战略性调整要求，研究提出中央企业布局和结构调整的方向、原则、重点和工作思路，并以此作为编制企业发展战略和规划的工作指南；企业应根据中央企业布局和结构调整的总体思路和自身情况研究提出企业的发展定位和发展战略。二者是相辅相承的一个有机的整体。

　　（四）中央企业发展战略和规划管理办法的实施，有利于加强企业的市场主体地位。

　　国资委依法对企业重大投资活动进行管理，是出资人的重要职责。企业面对的市场竞争日趋激烈，为使企业能够抓住机遇、加快发展，同时有效规避投资风险，必须加强战略研究和管理，正确把握企业发展方向。今后国资委对企业重大投资活动的监管，主要依据企业发展战略和规划，凡是规划内的、主业投资，符合企业发展方向的，由企业自主决定，国资委实施备案管理；规划外的、非主业投资，则要进行严格监管。为企业创造更加宽松的环境，有利于加强企业市场主体地位。

　　（五）办法制定的原则。

　　在《规划管理办法》编制工作当中，我们主要坚持以下原则：

　　1．尊重企业合法权益、促进企业发展；

　　2．依法行使管理职权和建立合法、高效的管理程序。

　　（六）《规划管理办法》的编制过程。

　　办法的编制工作经历了一年零五个月时间。在编制的过程中，采用了集体讨论、广泛征求意见的工作方法。办法的文本进行了10多次大的修改和完善。

　　二、《规划管理办法》明确的几个问题

　　（一）企业是编制和实施发展战略和规划的主体。《规划管理办法》体现了企业是编制与实施发展战略和规划的主体。企业负责其发展战略和规划的编制，国资委对其进行审核。主要是对制订的程序和内容进行审核，并对企业发展战略和规划的实施进行监督。

　　（二）企业发展战略和规划管理工作应坚持的原则。

　　《规划管理办法》规定，在企业发展战略和规划的管理工作中，始终要坚持以下原则：首先，企业编制的发展战略和规划，要符合国家发展规划和产业政策，有利于国有经济布局和结构的战略性调整，突出主业、可持续发展。通过对企业发展战略和规划的审核，明确企业主业和整合优化业务的调整方向及目标，促进企业稳定发展、做强做大；其次，国资委在审核企业发展战略和规划和对企业实施进行监督管理中，也要坚持上述原则。

　　（三）《规划管理办法》明确了国资委对企业发展战略和规划管理的工作程序：

　　1．企业按要求制订本企业的发展战略和规划，并向国资委报送发展战略和规划草案；

　　2．国资委对企业发展战略和规划进行审核，并将审核意见反馈企业；

　　3．企业对发展战略和规划修订后，将正式文本报国资委备案；

　　4．企业对发展战略和规划进行实施，国资委将企业发展战略和规划的目标和实施纳入企业负责人经营业绩考核的内容。

　　三、《规划管理办法》的结构与主要内容

　　（一）按照国资委立法工作规则的要求，该办法的内容包括了立法目的、适用范围、具体规定和实施日期等。

　　（二）按照《规章制定程序条例》的规定，该办法不设章和节，文章结构是按照总则、组织机构、企业发展战略和规划的编制、审核、实施、附则六个部分的框架进行构思。主要内容包括：

　　1．办法制定的法律依据和办法的适用范围；

　　2．企业发展战略和规划和企业发展战略和规划的管理的定义；

　　3．国资委规划管理工作应当坚持的原则和要遵守的内容；

　　4．企业应尽的义务与责任，包括建立工作机构和建立相应的工作制度等；

　　5．企业发展战略和规划应包括的主要内容。在办法中规定了一般情况下企业发展战略和规划应包括的主要内容，并与之相配套，制定了《中央企业发展战略与规划编制大纲》（已先期下发中央企业）；

　　6．企业发展战略和规划的管理程序，即报送、审核、企业对审核意见的处理、备案（报正式文本）、实施与调整等。

　　四、关于《规划管理办法》的施行

　　该办法自2005年1月1日起施行，其规范的中央企业发展战略与规划的管理工作具有探索性，因此有待于在今后的管理工作当中不断总结经验，并根据情况的变化逐步加以完善和及时修订。

Management Measures on Central Enterprises' Development Strategy and Plan

　　Article 1 For the purposes of regulating the working out and management of central enterprises' development strategy and, improving the scientific and democracy of the enterprises' development strategy and plan, executing investor's responsibilities in accordance with laws, the said measures are formulated² in accordance with Company Law of the People's Republic of China, Temporary Regulations of Supervision³ and Management of Enterprises' State Owned Property.

　　Article 2 Central enterprises referred to in these measures means the enterprises to which State-owned Assets Supervision and Administration Commission of the Sate⁴ Council （hereinafter referred to as "CASAC"） executes investors⁵' duties （hereinafter referred to as "enterprises"）.

　　Article 3 Development strategy and plan referred to in these measures means directional, overall and nationwide orientation⁶, development target and corresponding implementation⁸ plan in a certain period in the future made by the enterprises for the enterprises' long-term existence and development in accordance with national development plan and industrial policy on the bases of analyzing⁹ outside environment and inside conditions and the development trend of them.

　　Article 4 The management of enterprises' development strategy and plan means CASAC executes their responsibilities to verify the procedures of the enterprises' working out development strategy and plan and the content of them, and supervises the implementation in accordance with laws.

　　Article 5 CASAC should stick to following principles when it carries out the management of the enterprises' developing strategy and plan:

　　1. Execute investor's duties in accordance with laws;

　　2. Respect the enterprises' legal rights and interests;

　　3. Promote the strategic readjustment of state-owned economic over-all arrangements and structure, guide the enterprises to readjust the structure;

　　4. Act objectively, fairly, scientifically and comprehensively;

　　5. Raise work efficiency. Abide¹⁰ by professional ethics¹¹. Guard strictly¹² state and commercial secret.

　　Article 6 The enterprises should make clear the organs responsible for working out development strategy and plan, establish corresponding rules and report them to CASAC for the record.

　　Article 7 The enterprises should formulate¹ their development strategy and plan in accordance with the provisions of the said measures. The enterprises that meet the requirements may establish planning policy commission of development strategy and plan.

　　Article 8 Enterprises' development strategy and plan include 3-5 year mid-term development plan and 10-year long-range target. The emphases should be put on making 3-5 year development plan. The readjustment should be made timely according to the changes of outside environment and inside conditions.

　　Article 9 The enterprises' development strategy and plan should include following contents:

　　1. Current Situation and development environment, including basic condition of the enterprises, analysis of development environment and competitive strength;

　　2. Development strategy and guiding ideas;

　　3. Development target;

　　4. Three-year development, key points of the readjustment and implementation plan;

　　5. Safeguard measures on the implementation of the plan;

　　6. Other contents that need to be included.

　　Article 10 The enterprises may refer to Outline of Making Central Enterprises' Development Strategy and Plan formulated by CASAC when they draw up development strategy and plan. They may make suitable readjustment in accordance with actual conditions, but the contents of the Outline should be contained.

　　Article 11 The enterprises should report the draft of development strategy and plan within the fixed¹³ time according to the requirements of CASAC. What they should reported are draft of the enterprises' development strategy and plan and the explanation of making them.

　　Article 12 CASAC carries out the verification of the enterprises' draft of development strategy and plan, and feedbacks their verification comments to the enterprises within fixed time.

　　Article 13 CASAC verifies the enterprises' development strategy and plan from following aspects:

　　1. Whether according with national development plan and industrial policy;

　　2. Whether according with the strategic readjustment of national economic over-all arrangements and structure;

　　3. Whether stressing the main business and improving the competitive strength of the enterprises;

　　4. Whether sticking to the principles of efficacy priority and sustained development.

　　Article 14 State-owned exclusive owned enterprises, state-owned exclusive owned companies should revise enterprises' development strategy and plan in accordance with the verification comments of CASAC.

　　Article 15 The representatives of the shareholders¹⁴ and the directors in the state-owned holding and shares enterprises that CASAC sends should well present CASAC's verification comments on the enterprises' development strategy and plan in the meeting of enterprises' shareholders or board of the directors.

　　Article 16 The enterprises should report the official text of the enterprises' development strategy and plan to CASAC for the record after revising the development strategy and plan in accordance with inside procedures of policy-making.

　　Article 17 The enterprises should formulate annual plan while implementing¹⁵ development strategy and plan, comparing, analyzing and readjusting in time the implementation and development target.

　　Article 18 CASAC will bring the target and implementation of the enterprises' development strategy and plan into the assessment¹⁶ of business achievements of the persons in charge of Central enterprises.

　　Article 19 The said measures come into effect as of January 1, 2005.

　　The explanation of Working out Management Measures on Central Enterprises' Development Strategy and Plan （trial） has been passed verification and published in accordance with legal procedures together with Management Measures on Central Enterprises' Development Strategy and Plan （trial） （hereinafter referred to as " Plan Management Measures"）. The measures are formulated in the light of specific conditions of central enterprises in accordance with Company Law of the People's Republic of China, Temporary Regulations of Supervision and Management of Enterprises' State Owned Property and other related laws and regulations.

　　1. The background of working out Plan Management Measures

　　（1）. The management of the enterprises' development strategy and plan is an important component¹⁷ part of the investors' supervision and management.

　　The enterprises' development strategy and plan is an important policy of the enterprises, having a great deal to do with the enterprises' long-term development and value insurance and increment¹⁸. The supervision and management organs of state owned property execute their duties as investors in accordance with laws to supervise and manage the enterprises' development strategy and plan, safeguard owners' rights and interests. This is a basic requirement for them to assure the investors to execute their duties, realize the basic requirements of comprehensive management of property, persons and matters, the integration¹⁹ of rights, responsibilities and duties.

　　（2） The management of the enterprises' development strategy and plan is a basic work

　　The enterprises' development strategy and plan is an overall plan for the purposes of striving long-term existence and sustained development, facing the business environment of great changes and severe challenge. It is a concentrate embodiment of the enterprises' thoughts of development strategy and plan. It is also the foundation that the enterprises work out all kinds of plans and CASAC makes tenure²⁰ examinations to the persons in charge of the enterprises. Improving the management of the enterprises' development strategy and plan is a basic work both for the enterprises and for CASAC to supervise and manage the enterprises in accordance with laws. For the purposes of raising the ability and level of working in accordance with laws, reducing the freeness and blindness during their works, avoiding interfering²¹ enterprises' power to make business policy, the enterprises should stress basic works in the management of the enterprises' development strategy and plan, establish and perfect regulations and rules, and carry out management regularly.

　　（3） The enterprises' management of development strategy and plan and strategic readjustment of state-owned economic overall arrangements are an intrinsic whole.

　　CASAC puts forward the target, principles, key points and working ideas of the readjustment of central enterprises' overall arrangements and construction in accordance with the requirements of strategic readjustment of state owned economic overall arrangements and structure. It should also take the requirements as a working guide to work out enterprises' development strategy and plan. The enterprises should put forward their development target and strategy according to their own conditions in accordance with general ideas of the readjustment of central enterprises' overall arrangements and structure. The two parts are an intrinsic whole that complement²² each other.

　　（4） The implementation of the management measures on central enterprises' development strategy and plan is of benefit to improve their principle position on the market.

　　CASAC manages the enterprises' great investment in accordance with laws is investors' important duty. The enterprises are facing keen competition on the market. For the purposes of seizing opportunities, stepping up the development and avoiding investment risks effectively, the enterprises must study up on strategy, improve management, and adhere correctly to the orientation of the enterprises' development. CASAC will supervise enterprises' great investment in the light of the enterprises' development strategy and plan. All investments of main business that are within the plan and meet the requirements of the enterprises' development are decided²³ by the enterprises themselves. CASAC carries out the management of making the record. All investment of non-main business that are not included in the plan should be supervised strictly. Creating more relaxed environment for the enterprises is of benefit to improve the enterprises' principle position on the market.

　　（5） The principles of working out the measures

　　We stick to following principles while working out Plan Management Measures:

　　a. Respect enterprises' legal rights and interests, promote the enterprises' development;

　　b. Exercise functions and powers and establish legal and highly effective management procedures in accordance with laws.

　　（6） The process of working out Plan Management Measures

　　It has taken one year and five months to work out the measures. The text of the measures has been revised and perfected for more than 10 times by the way of collective discussion and soliciting²⁴ opinions from all quarters.

　　2. Several issues stipulated²⁶ in Plan Management Measures

　　（1） The enterprises are principle part of working out and implementing development strategy and plan. Plan Management Measures embody²⁷ that the enterprises are the principle part to work out and implement⁷ the development strategy and plan. The development strategy and plan is formulated by the enterprises and verified by CASAC. CASAC verifies mainly the procedures of working out the plan and the contents, and supervises the implementation of the enterprises' development strategy and plan.

　　（2） The principles that the enterprises should stick to in the management of development strategy and plan.

　　Plan Management Measures stipulate²⁵ that following principles should be stuck to while managing the enterprises' development strategy and plan: first of all, the development strategy and plan formulated by the enterprises should accord with the national development plan and industrial policy, is of benefit to strategic readjustment of state owned economic overall arrangements and structure, stress on main business and sustainable development. The readjustment orientation and target of the enterprises' main business and integrated and optimized²⁸ business are clarified during the verification of the enterprises' development and plan. It improves enterprises' stable development and the enterprises may become stronger. Secondly²⁹, CASAC should also stick to above principles while verifying and supervising the enterprises development strategy and plan.

　　（3） Plan Management Measures clarify the working procedures of CASAC's management of enterprises' development strategy and plan

　　a. The enterprises work out their development strategy and plan in accordance with the requirements and submit the draft of the development strategy and plan to CASAC;

　　b. CASAC verifies the enterprises' development strategy and plan and feedbacks their verification comments to the enterprises;

　　c. The enterprises submit the official text to CASAC for the record after the revision of development strategy and plan;

　　d. The enterprises carry out development strategy and plan. CASAC brings the target and the implementation of the enterprises' development strategy and plan into the assessment of business achievements of the persons in charge of the enterprises.

　　3. The structure and main contents of Plan Management Measures

　　（1） The said measures include legislative³⁰ intent, scope of application, concrete provisions and implementation date in accordance with the requirements of CASAC's working rules;

　　（2） In accordance with the provisions of Procedure Regulations of Formulating³¹ Regulations, the measures are constructed from following six parts, general principle, organizations, formulation of the enterprises' development strategy and plan, verification, implementation and supplementary³² articles instead of chapters and sections. The main contents include:

　　a. The legal basis of working out the measures and the scope of application;

　　b. The definition of the enterprises' development strategy and plan, and the definition of the management of the enterprises development strategy and plan;

　　c. The principles and contents that CASAC should stick to and abide by in plan management;

　　d. The enterprises' duty and responsibilities, including establishing working organs and corresponding working rules;

　　e. The main contents that should be included in the enterprises' development strategy and plan. The main contents that should be included in the enterprises' development strategy and plan under normal conditions are stipulated in the measures. According to it, Outline of Working out Central Enterprises' Development Strategy and Plan is formulated and distributed to the enterprises in advance.

　　f. Management procedures of the enterprises' development strategy and plan, such as report, verification, and handling, recording³³ （report official text）, implementation and readjustment of the verification comments.

　　4. The implementation of Plan Management Measures

　　The said measures are implemented³⁴ as of January 1, 2005. Since regular management of central enterprises' development strategy and plan is a probative work, the experience remains to be summed up in the future works, and the measures will be perfected and revised in time according to any changes

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