中央企业进步策略和规划管理方法（试行）国务院国有资产监督管理委员会令第10号
《中央企业进步策略和规划管理方法（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日起实行。
国务院国有资产监督管理委员会主任 李荣融
二○○四年11月26日
中央企业进步策略和规划管理方法（试行）
第一条 为规范中央企业进步策略和规划的编制与管理工作，提升企业进步策略和规划的科学性和民主性，依法履行出资人职责，依据《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，拟定本方法。
第二条 本方法所称中央企业，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 本方法所称企业进步策略和规划，是指企业依据国家进步规划和产业政策，在剖析外部环境和内部条件近况及其变化趋势的基础上，为企业的长期存活与进步所作出的将来肯定时期内的方向性、整体性、全局性的定位、进步目的和相应的推行策略。
第四条 企业进步策略和规划的管理，是指国资委依据出资人职责依法对企业进步策略和规划的制定程序、内容进行审核，并对其推行状况进行监督。
第五条 国资委对企业进步策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）推进国有经济布局和结构的策略性调整，指导企业进行结构调整；
（四）客观、公正、科学、统筹；
（五）提升工作效率，遵守职业道德，严守国家机密和商业秘密。
第六条 企业要明确负责进步策略和规划编制的工作机构，打造相应的工作规范并报国资委备案。
第七条 企业应当根据本方法规定，制定本企业的进步策略和规划。有条件的企业可以设立进步策略和规划决策委员会。
第八条 企业进步策略和规划包含3-5年中期进步规划和10年远景目的。编制重点为3-5年进步规划，并依据企业外部环境和内部状况的变化和进步当令滚动调整。
第九条 企业进步策略和规划应当包含下列主要内容：
（一）近况与进步环境。包含企业基本状况、进步环境剖析和竞争优势剖析等；
（二）进步策略与指导思想；
（三）进步目的；
（四）三年进步、调整重点与推行计划；
（五）规划推行的保障手段；
（六）需要包含的其他内容。
第十条 企业在制定进步策略和规划时，可参照国资委编制的《中央企业进步策略与规划编制大纲》，并可依据实质状况进行适合调整，但应当涵盖其提出的内容。
第十一条 企业应当根据国资委需要在规定时间内报送进步策略和规划草案。报送内容包含企业进步策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进步策略和规划草案进行审核，在规定时间内将审核建议反馈企业。
第十三条 国资委对企业报送的企业进步策略和规划内容的审核主要包含：
（一）是不是符合国家进步规划和产业政策；
（二）是不是符合国有经济布局和结构的策略性调整方向；
（三）是不是突出主业，提高企业核心竞争优势；
（四）是不是坚持效益优先和可持续进步原则。
第十四条 国有独资企业、国有独资公司应当依据国资委的审核建议，对企业进步策略和规划进行修订。
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进步策略和规划的审核建议。
第十六条 企业根据内部决策程序对进步策略和规划修订后，应当将企业进步策略和规划正式文本报国资委备案。
第十七条 企业在推行进步策略和规划过程中应当拟定年度计划，对推行状况与进步目的进行对比评价，准时调整。
第十八条 国资委将企业进步策略和规划的目的和推行，纳入对中央企业负责人经营营业额考核的内容。
第十九条 本方法自2005年1月1日起实行。
附：关于《中央企业进步策略和规划管理方法（试行）》的编制说明
由我委编制的《中央企业进步策略和规划管理方法（试行）》（以下简称《规划管理方法》）根据立法程序已通过审察并公布。该方法依据《中华人民共和国公司法》、《企业国有资产监督管理暂行条例》等有关法律法规，结合中央企业实质状况研究拟定。
1、《规划管理方法》的编制背景
（一）企业进步策略和规划的管理工作是出资人监督管理工作的要紧组成部分。企业进步策略和规划关系到企业的长远进步和国有资产的保值增值，是企业的重大决策。国有资产监督管理机构作为出资人，对其所出资企业进步策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，达成管资产与管人、管事相结合，权利、责任、义务相统一的基本需要。
（二）企业进步策略和规划的管理是一项基础性工作。
企业进步策略和规划是企业面对激烈变化、严峻挑战的经营环境，为求得长期存活和持续进步进行的总体性谋划，是企业进步策略思想的集中体现，也是企业拟定各种计划和国资委对企业领导人进行任期考核的基础。加大企业进步策略和规划的管理，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。为提升依法办事的能力和水平，降低工作中的随便性和盲目性，防止干涉企业的经营决策自主权，企业进步策略和规划的管理要强化基础性工作，要打造完善规章规范，进行规范管理。
（三）企业进步策略和规划的管理工作与国有经济布局和结构的策略性调整工作是一个有机的整体。
国资委依据国有经济布局和结构的策略性调整需要，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进步策略和规划的工作指南；企业应依据中央企业布局和结构调整的总体思路和自己状况研究提出企业的进步定位和进步策略。二者是相辅相承的一个有机的整体。
（四）中央企业进步策略和规划管理方法的推行，有益于加大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，是出资人的要紧职责。企业面对的市场角逐日趋激烈，为使企业可以抓住机会、加快进步，同时有效避免投资风险，需要加大策略研究和管理，正确把握企业进步方向。以后国资委对企业重大投资活动的监管，主要依据企业进步策略和规划，但凡规划内的、主业投资，符合企业进步方向的，由企业自主决定，国资委推行备案管理；规划外的、非主业投资，则要进行严格监管。为企业创造愈加宽松的环境，有益于加大企业市场主体地位。
（五）方法拟定的原则。
在《规划管理方法》编制工作当中，大家主要坚持以下原则：
1．尊重企业合法权益、促进企业进步；
2．依法行使管理职权和打造合法、高效的管理程序。
（六）《规划管理方法》的编制过程。
方法的编制工作历程了一年零五个月时间。在编制的过程中，使用了集体讨论、广泛征求建议的工作办法。方法的文本进行了10多次大的修改和健全。
2、《规划管理方法》明确的几个问题
（一）企业是编制和推行进步策略和规划的主体。《规划管理方法》体现了企业是编制与推行进步策略和规划的主体。企业负责其进步策略和规划的编制，国资委对其进行审核。主如果对制定的程序和内容进行审核，并对企业进步策略和规划的推行进行监督。
（二）企业进步策略和规划管理工作应坚持的原则。
《规划管理方法》规定，在企业进步策略和规划的管理工作中，一直要坚持以下原则：第一，企业编制的进步策略和规划，要符合国家进步规划和产业政策，有益于国有经济布局和结构的策略性调整，突出主业、可持续进步。通过对企业进步策略和规划的审核，明确企业主业和整理优化业务的调整方向及目的，促进企业平稳发展、做强做大；第二，国资委在审核企业进步策略和规划和对企业推行进行监督管理中，也要坚持上述原则。
（三）《规划管理方法》明确了国资委对企业进步策略和规划管理的工作程序：
1．企业按需要制定本企业的进步策略和规划，并向国资委报送进步策略和规划草案；
2．国资委对企业进步策略和规划进行审核，并将审核建议反馈企业；
3．企业对进步策略和规划修订后，将正式文本报国资委备案；
4．企业对进步策略和规划进行推行，国资委将企业进步策略和规划的目的和推行纳入企业负责人经营营业额考核的内容。
3、《规划管理方法》的结构与主要内容
（一）根据国资委立法工作规则的需要，该方法的内容包含了立法目的、适用范围、具体规定和推行日期等。
（二）根据《规章拟定程序条例》的规定，该方法不设章和节，文章结构是根据总则、组织机构、企业进步策略和规划的编制、审核、推行、附则六个部分的框架进行构思。主要内容包含：
1．方法拟定的法律依据和方法的适用范围；
2．企业进步策略和规划和企业进步策略和规划的管理的概念；
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，包含打造工作机构和打造相应的工作规范等；
5．企业进步策略和规划应包含的主要内容。在方法中规定了通常情况下企业进步策略和规划应包含的主要内容，并与之合适套，拟定了《中央企业进步策略与规划编制大纲》（已先期下发中央企业）；
6．企业进步策略和规划的管理程序，即报送、审核、企业对审核建议的处置、备案（报正式文本）、推行与调整等。
4、关于《规划管理方法》的实行
该方法自2005年1月1日起实行，其规范的中央企业进步策略与规划的管理工作具备探索性，因此有待于在以后的管理工作当中不断总结经验，并依据状况的变化逐步加以健全和准时修订。
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
