| Notice of the State-owned Assets Supervision and Administration Commission of the State Council, the Ministry of Finance, and the China Security Regulatory Commission on Issuing the Opinions on State-controlled Mixed Ownership Enterprises' Implementation of the Pilot Employee Stock Ownership Program | | 国务院国有资产监督管理委员会、财政部、中国证券监督管理委员会关于印发《关于国有控股混合所有制企业开展员工持股试点的意见》的通知 |
| (No. 133 [2016] of the State-owned Assets Supervision and Administration Commission of the State Council) | | （国资发改革[2016]133号） |
| The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; all ministries and commissions of the State Council; and all institutions directly under the State Council: | | 各省、自治区、直辖市人民政府、国务院各部委、各直属机构： |
| With the approval of the State Council, the Opinions on State-controlled Mixed Ownership Enterprises' Implementation of the Pilot Employee Stock Ownership Program is hereby issued to you for your conscientious implementation in light of your actual circumstances. | | 经国务院同意，现将《关于国有控股混合所有制企业开展员工持股试点的意见》印发给你们，请结合实际认真贯彻执行。 |
| State-owned Assets Supervision and Administration Commission of the State Council | | 国务院国有资产监督管理委员会 |
| Ministry of Finance | | 中华人民共和国财政部 |
| China Security Regulatory Commission | | 中国证券监督管理委员会 |
| August 2, 2016 | | 2016年8月2日 |
| Opinions on State-controlled Mixed Ownership Enterprises' Implementation of the Pilot Employee Stock Ownership Program | | 关于国有控股混合所有制企业开展员工持股试点的意见 |
| In order to fully implement the spirit of the 18th CPC National Congress, and the Third, Fourth and Fifth Plenary Sessions of the 18th CPC Central Committee, implement the strategic layout of “Four Comprehensives” and the concepts of innovative, coordinated, green, open and shared development, in accordance with the requirements of the Guiding Opinions of the CPC Central Committee and the State Council on Deepening the Reform of State-owned Enterprises (No. 22 [2015], CPC Central Committee), with the approval of the State Council, the following opinions on state-controlled mixed ownership enterprises' implementation of the pilot employee stock ownership program (hereinafter referred to as the “pilot program”) are hereby offered. | | 为全面贯彻党的十八大和十八届三中、四中、五中全会精神，落实“四个全面”战略布局和创新、协调、绿色、开放、共享的发展理念，根据《中共中央 国务院关于深化国有企业改革的指导意见》（中发〔2015〕22号）有关要求，经国务院同意，现就国有控股混合所有制企业开展员工持股试点提出以下意见。 |
| I. Principles for implementing the pilot program | | 一、试点原则 |
| 1. Adhering to the principle of compliance with laws and regulations, openness, and transparency. In implementing the pilot program, enterprises shall protect the lawful rights and interests of various shareholders in accordance with the law, strictly comply with the relevant laws and regulations of the state, provisions on the restructuring of state-owned enterprises, provisions on the administration of state-owned property rights and other relevant provisions, ensure the openness of rules, procedures, and results shall be ensured, avoid covert operations, prohibit tunneling, and prevent losses of state-owned assets. The lawful rights and interests of non-employees holding shares in enterprises shall not be infringed upon. | | （一）坚持依法合规，公开透明。依法保护各类股东权益，严格遵守国家有关法律法规和国有企业改制、国有产权管理等有关规定，确保规则公开、程序公开、结果公开，杜绝暗箱操作，严禁利益输送，防止国有资产流失。不得侵害企业内部非持股员工合法权益。 |
| 2. Adhering to the principle of incremental introduction and binding of interests. Employees are encouraged to hold shares by means of increasing registered capital and shares and contributing capital for consolidation, and the State owns a controlling stake in such enterprises. A sound long-term incentive and restraining mechanism shall be established, in which qualified employees can purchase shares at their discretion, and employees holding shares can share the reform and development outcomes as well as market competition risks with their enterprises. | | （二）坚持增量引入，利益绑定。主要采取增资扩股、出资新设方式开展员工持股，并保证国有资本处于控股地位。建立健全激励约束长效机制，符合条件的员工自愿入股，入股员工与企业共享改革发展成果，共担市场竞争风险。 |
| 3. Adhering to the principle of determining shares based on positions and dynamic adjustment of shareholding. The shareholding of an employee shall embody the spirit of dedication, and shall be closely linked to the position and performance of the employee. Employees in key technical, management and business positions are encouraged to hold shares. Enterprises shall establish a sound equity transfer and exit mechanism to avoid rigid shareholding. | | （三）坚持以岗定股，动态调整。员工持股要体现爱岗敬业的导向，与岗位和业绩紧密挂钩，支持关键技术岗位、管理岗位和业务岗位人员持股。建立健全股权内部流转和退出机制，避免持股固化僵化。 |
| 4. Adhering to the principle of strict control of and intensified supervision on the scope of the pilot program. The conditions for and maximum number of enterprises implementing the pilot program (hereinafter referred to as “pilot enterprises”) shall be strictly controlled, and “rushing into action in disregard of the objective conditions” shall be prevented. The approval procedures shall be tightened, follow-up guidance shall be enhanced, and evaluation and supervision shall be strengthened, to ensure clear targets, standardized operations, and controllable processes in the pilot program. | | （四）坚持严控范围，强化监督。严格试点条件，限制试点数量，防止“一哄而起”。严格审批程序，持续跟踪指导，加强评价监督，确保试点工作目标明确、操作规范、过程可控。 |
| II. Conditions for a pilot enterprise | | 二、试点企业条件 |
| 1. A commercial enterprise whose main business is in a perfectly competitive sector or field. | | （一）主业处于充分竞争行业和领域的商业类企业。 |
| 2. It has a rational shareholding structure, with a certain percentage of shares held by nonpublic shareholders, and with members of the board of directors recommended by nonpublic shareholders. | | （二）股权结构合理，非公有资本股东所持股份应达到一定比例，公司董事会中有非公有资本股东推荐的董事。 |
| 3. It has a sound corporate governance structure, with a market-oriented labor and personnel distribution system and performance evaluation system, and with a market-oriented mechanism for the promotion and demotion of management personnel, the employment and dismissal of employees, and the adjustment of wages and salaries. | | （三）公司治理结构健全，建立市场化的劳动人事分配制度和业绩考核评价体系，形成管理人员能上能下、员工能进能出、收入能增能减的市场化机制。 |
| 4. It obtains 90% or more of operating income or profits from the market outside its own enterprise (group). | | （四）营业收入和利润90%以上来源于所在企业集团外部市场。 |
| Priority shall be given to restructured research institutes, high-tech enterprises, and technological service enterprises (hereinafter collectively referred to as “technological enterprises”) with a high contribution rate of human capital and technical elements conducting the pilot program. In principle, second-class or higher-class enterprises owned by the Central Government and first-class enterprises owned by the governments of provinces, autonomous regions, municipalities directly under the Central Government, and cities under separate state planning will not conduct the pilot program for time being. The pilot program shall not apply to enterprises that violate the relevant provisions on employee stock ownership in state-owned enterprises and fail to make rectifications as required. | | 优先支持人才资本和技术要素贡献占比较高的转制科研院所、高新技术企业、科技服务型企业（以下统称科技型企业）开展员工持股试点。中央企业二级（含）以上企业以及各省、自治区、直辖市及计划单列市和新疆生产建设兵团所属一级企业原则上暂不开展员工持股试点。违反国有企业职工持股有关规定且未按要求完成整改的企业，不开展员工持股试点。 |
| III. Purchase of shares by employees of enterprises | | 三、企业员工入股 |
1. Scope of employees. The participants in shareholding shall be those who work in key positions and have a direct or significant influence on their companies' operating performance and sustainable development, including researchers, management personnel and business backbones, and have signed labor contracts with their companies.
．．．．．． | | （一）员工范围。参与持股人员应为在关键岗位工作并对公司经营业绩和持续发展有直接或较大影响的科研人员、经营管理人员和业务骨干，且与本公司签订了劳动合同。
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