推進規范有序 發揮多重激勵作用
文章來源(yuan)：《國資報告》雜志 發布時(shi)間：2020-07-11
國有控(kong)股混(hun)合(he)所(suo)有制企業員(yuan)工(gong)持(chi)股，是黨的(de)十八屆三中全會以來新一輪國企改(gai)革的(de)重要內容(rong)之一。2015年8月(yue)，中共中央(yang)、國務院(yuan)印(yin)發的(de)《關于(yu)(yu)深(shen)化國有企業改(gai)革的(de)指導意見》第十九條提(ti)出(chu)，探索(suo)實行混(hun)合(he)所(suo)有制企業員(yuan)工(gong)持(chi)股。同年9月(yue)，國務院(yuan)印(yin)發《關于(yu)(yu)國有企業發展混(hun)合(he)所(suo)有制經濟(ji)的(de)意見》，提(ti)出(chu)“堅持(chi)激勵(li)和(he)約束相結合(he)的(de)原則，通過試點穩妥推進(jin)員(yuan)工(gong)持(chi)股。”
在(zai)上述意(yi)見指導(dao)下，2016年8月，國(guo)資委、財政部、證監(jian)會聯合印發(fa)了《關于國(guo)有控股(gu)(gu)混合所有制(zhi)企業開展(zhan)員工(gong)(gong)持(chi)股(gu)(gu)試(shi)點的意(yi)見》（以下簡稱《意(yi)見》），對(dui)試(shi)點原則(ze)、試(shi)點企業條件、企業員工(gong)(gong)入(ru)股(gu)(gu)方式(shi)和股(gu)(gu)權管理做出(chu)了規定，并對(dui)試(shi)點工(gong)(gong)作實施和組織領導(dao)提(ti)出(chu)了具體要求。
國(guo)有控股(gu)混合所有制企(qi)業員工持股(gu)試點(dian),是國(guo)務(wu)院國(guo)有企(qi)業改革(ge)領導小組部(bu)署(shu)的(de)十(shi)項(xiang)改革(ge)試點(dian)之一。《意見》印發(fa)以來,國(guo)資委精心組織(zhi)安(an)排(pai),中(zhong)央企(qi)業扎實(shi)推進(jin),首(shou)批10戶員工持股(gu)試點(dian)工作實(shi)現穩妥(tuo)起步、良(liang)好(hao)開局(ju)，試點(dian)經驗(yan)呈(cheng)現出諸多(duo)鮮(xian)明的(de)特點(dian)。
10戶試點企業取得階段性進展
《意見》印(yin)發(fa)后,國資委隨(sui)即下發(fa)通知,明(ming)確試(shi)點申(shen)請(qing)、審(shen)批(pi)程(cheng)序及具體要求。2016年(nian)11月(yue),在(zai)中(zhong)(zhong)央企業(ye)申(shen)報(bao)基礎上,國資委選擇了國機集(ji)團所屬(shu)中(zhong)(zhong)國電(dian)器院、寶武集(ji)團所屬(shu)歐(ou)冶云商、中(zhong)(zhong)糧集(ji)團所屬(shu)中(zhong)(zhong)國茶葉等(deng)10戶企業(ye)作(zuo)為首(shou)批(pi)試(shi)點,正式啟動中(zhong)(zhong)央企業(ye)首(shou)批(pi)員工持股試(shi)點。
國資委嚴格按照《意見》規定,認真貫徹落實五大發展理念和(he)供給側結構(gou)性(xing)改革(ge)總體要(yao)求(qiu)。首先是(shi)(shi)嚴格條件,優選試點(dian)(dian)企(qi)(qi)業(ye)。一(yi)是(shi)(shi)突出科技(ji)型企(qi)(qi)業(ye)優先原則(ze)，10戶(hu)試點(dian)(dian)企(qi)(qi)業(ye)中(zhong)6戶(hu)為科技(ji)型企(qi)(qi)業(ye)。二(er)是(shi)(shi)重點(dian)(dian)選擇戰(zhan)略性(xing)新興行業(ye)的(de)企(qi)(qi)業(ye)開(kai)展試點(dian)(dian),試點(dian)(dian)企(qi)(qi)業(ye)涵蓋(gai)節能環保(bao)、新材料(liao)、智能裝備(bei)等多個行業(ye)。三是(shi)(shi)體現(xian)綜合改革(ge)導向,發揮改革(ge)協(xie)同效應,10戶(hu)試點(dian)(dian)企(qi)(qi)業(ye)所屬集(ji)團公司(si)(si)中(zhong),7戶(hu)為開(kai)展國有資本投資公司(si)(si)、兼并(bing)重組等試點(dian)(dian)的(de)中(zhong)央企(qi)(qi)業(ye)。
其次是加強指導,明確(que)具體要求(qiu)(qiu)。國(guo)資委要求(qiu)(qiu)試(shi)點工作(zuo)(zuo)嚴格(ge)遵守有(you)關法(fa)律法(fa)規(gui)和國(guo)有(you)企業(ye)改(gai)制(zhi)、國(guo)有(you)產權(quan)管理等規(gui)定(ding)(ding),堅持規(gui)則公開、程(cheng)序(xu)公開、結果公開,杜(du)絕暗箱(xiang)操作(zuo)(zuo),嚴禁利益輸(shu)送。要求(qiu)(qiu)央(yang)企集團對改(gai)制(zhi)方案審(shen)核把關,確(que)保(bao)(bao)試(shi)點目標明確(que)、操作(zuo)(zuo)規(gui)范、過程(cheng)可控,要求(qiu)(qiu)試(shi)點企業(ye)對方案制(zhi)定(ding)(ding)、審(shen)計評估、進場交易、引入(ru)戰(zhan)投、員工入(ru)股等各環(huan)節設定(ding)(ding)時間表,確(que)保(bao)(bao)有(you)序(xu)推進。
最后是落實(shi)責(ze)任(ren),穩(wen)妥推進試(shi)點(dian)。10家試(shi)點(dian)企業所在的集(ji)團公司充(chong)分(fen)(fen)發(fa)揮試(shi)點(dian)責(ze)任(ren)主體作用,嚴格履行(xing)有關(guan)決策和(he)審批(pi)程序,做好(hao)審核把(ba)關(guan)。試(shi)點(dian)企業作為員工(gong)持股試(shi)點(dian)的操作實(shi)施(shi)主體,主要領導親自負(fu)責(ze),各部門合理分(fen)(fen)工(gong),同時聘請(qing)外部咨詢專(zhuan)家和(he)專(zhuan)業機構(gou),成立專(zhuan)項聯合工(gong)作組,有序開(kai)展試(shi)點(dian)各項工(gong)作。
截至(zhi)2017年(nian)7月(yue),10戶(hu)試(shi)(shi)點(dian)(dian)企(qi)(qi)業(ye)全部完成了(le)首期員工(gong)出資(zi)(zi)(zi)入股(gu),并(bing)進行了(le)工(gong)商變(bian)更(geng)登記,取得階(jie)段性進展。試(shi)(shi)點(dian)(dian)企(qi)(qi)業(ye)共(gong)引入外部資(zi)(zi)(zi)本(ben)(ben)約18.3億(yi)元(yuan),其中(zhong)非(fei)公(gong)有資(zi)(zi)(zi)本(ben)(ben)11.8億(yi)元(yuan)。一批骨干員工(gong)獲(huo)得了(le)股(gu)份(fen),持(chi)股(gu)人數因(yin)企(qi)(qi)業(ye)規模(mo)大小而(er)不同,在(zai)16-643人之(zhi)間,基(ji)本(ben)(ben)占本(ben)(ben)企(qi)(qi)業(ye)全體員工(gong)比例(li)的(de)10%-30%;員工(gong)持(chi)股(gu)總量占企(qi)(qi)業(ye)總股(gu)本(ben)(ben)比例(li)在(zai)5%-25%之(zhi)間,均未超過規定的(de)30%上限;國有股(gu)東保持(chi)控股(gu)地位,非(fei)公(gong)資(zi)(zi)(zi)本(ben)(ben)股(gu)東持(chi)股(gu)在(zai)8%-28.5%之(zhi)間,為參與公(gong)司治理奠定了(le)基(ji)礎;員工(gong)全部以(yi)貨幣出資(zi)(zi)(zi),且未從試(shi)(shi)點(dian)(dian)企(qi)(qi)業(ye)和國有股(gu)東獲(huo)得墊資(zi)(zi)(zi)、擔(dan)保、借(jie)貸(dai)等財(cai)務資(zi)(zi)(zi)助(zhu)。
激勵效果初步顯現
中央(yang)企(qi)(qi)業首批員工(gong)持股試點雖然實施(shi)時間并不長,但(dan)從目前企(qi)(qi)業發(fa)展情況看,激勵效果已初步(bu)顯現。
首先是企(qi)(qi)業(ye)改革力度(du)明(ming)顯(xian)增強(qiang)。各試點企(qi)(qi)業(ye)以員工(gong)持股(gu)為契(qi)機,深入推進內部各項改革,積極(ji)完善現代企(qi)(qi)業(ye)制(zhi)(zhi)度(du),如(ru)中糧(liang)集團所屬中國(guo)茶(cha)葉制(zhi)(zhi)定了(le)新的發(fa)展戰略,調整了(le)管(guan)控模(mo)式,大幅度(du)壓(ya)縮公(gong)(gong)司管(guan)理部門機構和(he)人員,并通過(guo)市場化方式公(gong)(gong)開選聘(pin)了(le)總經理。中國(guo)遠洋海(hai)運(yun)所屬上海(hai)泛(fan)亞也積極(ji)推進了(le)職業(ye)經理人制(zhi)(zhi)度(du)和(he)勞動人事分配制(zhi)(zhi)度(du)改革。中國(guo)建(jian)(jian)材所屬江(jiang)西(xi)電(dian)瓷積極(ji)探索混(hun)合所有(you)制(zhi)(zhi)企(qi)(qi)業(ye)加(jia)強(qiang)黨(dang)建(jian)(jian)工(gong)作(zuo)新模(mo)式,由(you)地方政府(fu)選派(pai)優秀(xiu)黨(dang)建(jian)(jian)干部進入江(jiang)西(xi)電(dian)瓷黨(dang)委(wei)班(ban)子,切實(shi)加(jia)強(qiang)黨(dang)的領導。
其次(ci)是吸引(yin)和留(liu)住(zhu)人(ren)(ren)才作用(yong)開(kai)始顯現。試(shi)點企(qi)業(ye)員(yuan)工流(liu)(liu)失(shi)(shi)率明顯降低,員(yuan)工持股對吸引(yin)入才、留(liu)住(zhu)人(ren)(ren)才開(kai)始發揮(hui)積極作用(yong),如(ru)招(zhao)商局集團所(suo)屬(shu)(shu)中(zhong)外運(yun)化工物流(liu)(liu)反映員(yuan)工流(liu)(liu)失(shi)(shi)率從往年的10%降至(zhi)5%，中(zhong)國中(zhong)鐵(tie)(tie)所(suo)屬(shu)(shu)中(zhong)鐵(tie)(tie)設(she)計咨詢公(gong)司2017年引(yin)進專業(ye)短缺人(ren)(ren)才89名;重點院校校園招(zhao)聘達成意向150人(ren)(ren),比上(shang)年增(zeng)加36%。中(zhong)國節能所(suo)屬(shu)(shu)大(da)地(di)環境修復公(gong)司員(yuan)工離職率同比降低10%,員(yuan)工數量增(zeng)加20%中(zhong)層以上(shang)無主動(dong)離職。
第(di)三是員工(gong)創業(ye)意(yi)(yi)識(shi)得到激發。寶武集團所屬歐冶云(yun)商反映,實施(shi)員工(gong)持(chi)股(gu)后,核心員工(gong)明(ming)確了(le)自身在企業(ye)中的(de)(de)價值(zhi),非核心員工(gong)明(ming)確了(le)差距,通過資本投(tou)入的(de)(de)內部驅(qu)動效能逐步顯(xian)現,下屬單位自我加壓(ya),接受挑(tiao)戰性經營指標意(yi)(yi)愿明(ming)顯(xian)加強,員工(gong)主人翁(weng)意(yi)(yi)識(shi),成本控制意(yi)(yi)識(shi)明(ming)顯(xian)提升,開始(shi)體現“股(gu)東”意(yi)(yi)識(shi)。
最后是(shi)企(qi)業(ye)發展和經營績效有(you)效提升(sheng)。中(zhong)國(guo)中(zhong)鐵所屬(shu)中(zhong)鐵設計咨詢公(gong)司采用(yong)引入戰投比亞迪的(de)(de)“云(yun)軌”進(jin)行城市軌道交(jiao)通線(xian)網規劃建設,取得了市場突破(po)2017年新簽合(he)同(tong)額(e)55億(yi)(yi)元(yuan),同(tong)比增長(chang)18.7%實現營業(ye)收入29億(yi)(yi)元(yuan),同(tong)比增長(chang)18.9%。中(zhong)國(guo)建材所屬(shu)江西電(dian)瓷(ci)通過(guo)國(guo)際競爭,成(cheng)功(gong)開拓北(bei)美市場,并在國(guo)內率(lv)先研發的(de)(de)瓷(ci)心復合(he)電(dian)瓷(ci)上取得進(jin)展,將用(yong)于(yu)國(guo)家特高(gao)壓建設,有(you)望成(cheng)為新的(de)(de)利潤(run)增長(chang)點。
總體來看,前一階(jie)段(duan)的員工(gong)持股改革探(tan)索開(kai)局良好,已取得階(jie)段(duan)性成效(xiao)。
試點經驗特點鮮明
各試點(dian)(dian)企業緊密結(jie)合實際情況,充分發揮(hui)主觀能(neng)動性(xing),積極穩妥有序(xu)(xu)推動試點(dian)(dian)工作,試點(dian)(dian)過程嚴格按照(zhao)133號文要求,緊扣(kou)依法合規(gui)、公(gong)開透明,增量引入、利益綁定,以崗定股(gu)、動態調(diao)整,嚴控范(fan)圍、強化(hua)監督的原則(ze),規(gui)范(fan)有序(xu)(xu)開展試點(dian)(dian)，試點(dian)(dian)經驗呈(cheng)現出諸(zhu)多鮮明的特(te)點(dian)(dian)。
非(fei)公(gong)資本(ben)股(gu)東積極參(can)與。員工持股(gu)試(shi)點受到社會廣泛關注,民營資本(ben)、外資等(deng)非(fei)公(gong)資本(ben)積極參(can)與。如國機集(ji)(ji)團(tuan)所屬中(zhong)國電器院(yuan)通過公(gong)開掛牌和競爭性談判,引(yin)入了正泰電器、盾安集(ji)(ji)團(tuan)等(deng)戰略協同(tong)性強,業(ye)(ye)務(wu)關聯度(du)高,行業(ye)(ye)影(ying)響力突出的民營企業(ye)(ye)股(gu)東寶武(wu)集(ji)(ji)團(tuan)所屬歐冶云商則同(tong)步(bu)引(yin)入了沙(sha)鋼、三井物(wu)產和首鋼基金等(deng)產業(ye)(ye)鏈上(shang)下游國內(nei)外知(zhi)名企業(ye)(ye),涉及鋼鐵、物(wu)流(liu)和金融等(deng)多個(ge)行業(ye)(ye),促進各(ge)方(fang)股(gu)東優(you)勢互補(bu),形成合力。
公(gong)(gong)(gong)(gong)開(kai)公(gong)(gong)(gong)(gong)平(ping)公(gong)(gong)(gong)(gong)正(zheng)操(cao)作。各試(shi)點企(qi)業在(zai)制(zhi)定員(yuan)工(gong)(gong)(gong)(gong)持股(gu)(gu)(gu)(gu)方案過程(cheng)(cheng)中(zhong)(zhong)(zhong),嚴格(ge)履行內部決策審批等(deng)各項程(cheng)(cheng)序,充(chong)分聽取員(yuan)工(gong)(gong)(gong)(gong)意見,在(zai)“陽光(guang)”下開(kai)展試(shi)點工(gong)(gong)(gong)(gong)作如(ru)國機集團(tuan)所屬(shu)中(zhong)(zhong)(zhong)國電器院通(tong)過“三(san)(san)上(shang)三(san)(san)下”方式,廣(guang)泛征(zheng)求包括退休職工(gong)(gong)(gong)(gong)在(zai)內的員(yuan)工(gong)(gong)(gong)(gong)意見。中(zhong)(zhong)(zhong)國遠(yuan)洋海運所屬(shu)上(shang)海泛亞先后召開(kai)5場(chang)全(quan)員(yuan)宣貫(guan)會(hui)和(he)10多期(qi)材料宣傳,主要負責人親自參加并現(xian)場(chang)解答(da)。在(zai)確定員(yuan)工(gong)(gong)(gong)(gong)入股(gu)(gu)(gu)(gu)價(jia)格(ge)時,嚴格(ge)履行資(zi)產評估、進場(chang)交易等(deng)程(cheng)(cheng)序,確保員(yuan)工(gong)(gong)(gong)(gong)入股(gu)(gu)(gu)(gu)價(jia)格(ge)公(gong)(gong)(gong)(gong)允(yun)體現(xian)企(qi)業市場(chang)價(jia)值。如(ru)中(zhong)(zhong)(zhong)糧集團(tuan)所屬(shu)中(zhong)(zhong)(zhong)國茶葉等(deng)6戶同步引入員(yuan)工(gong)(gong)(gong)(gong)持股(gu)(gu)(gu)(gu)和(he)外(wai)部非(fei)公(gong)(gong)(gong)(gong)資(zi)本股(gu)(gu)(gu)(gu)東的企(qi)業,員(yuan)工(gong)(gong)(gong)(gong)均(jun)與戰略投資(zi)者入股(gu)(gu)(gu)(gu)價(jia)格(ge)一致。中(zhong)(zhong)(zhong)國節能所屬(shu)大(da)地修復公(gong)(gong)(gong)(gong)司等(deng)3戶單獨引入員(yuan)工(gong)(gong)(gong)(gong)持股(gu)(gu)(gu)(gu)的企(qi)業,均(jun)以凈(jing)資(zi)產評估值為基礎確定員(yuan)工(gong)(gong)(gong)(gong)入股(gu)(gu)(gu)(gu)價(jia)格(ge),其(qi)中(zhong)(zhong)(zhong)招(zhao)商局(ju)集團(tuan)所屬(shu)中(zhong)(zhong)(zhong)外(wai)運化工(gong)(gong)(gong)(gong)物流員(yuan)工(gong)(gong)(gong)(gong)入股(gu)(gu)(gu)(gu)價(jia)格(ge)在(zai)評估值基礎上(shang)溢價(jia)55%
堅持(chi)以崗(gang)定股(gu)(gu)(gu)(gu)、骨(gu)干(gan)持(chi)股(gu)(gu)(gu)(gu)。10戶試(shi)點(dian)企業(ye)(ye)都根據崗(gang)位(wei)價值、業(ye)(ye)績(ji)表(biao)現等因素(su),建立了員(yuan)工持(chi)股(gu)(gu)(gu)(gu)比例(li)(li)確(que)定機制(zhi),分(fen)檔制(zhi)訂了崗(gang)位(wei)持(chi)股(gu)(gu)(gu)(gu)系數和(he)持(chi)股(gu)(gu)(gu)(gu)份額,支持(chi)關鍵(jian)崗(gang)位(wei)人員(yuan)持(chi)股(gu)(gu)(gu)(gu)。如(ru)中(zhong)(zhong)國(guo)節(jie)能所屬大地(di)修復(fu)公(gong)司合理設定前中(zhong)(zhong)后臺(tai)人員(yuan)持(chi)股(gu)(gu)(gu)(gu)差異,明確(que)重(zhong)要業(ye)(ye)務板(ban)塊子公(gong)司第一經營責任(ren)人持(chi)股(gu)(gu)(gu)(gu)比例(li)(li)比本部(bu)中(zhong)(zhong)層員(yuan)工高(gao),一線的(de)(de)(de)銷售、技術、工程(cheng)、研發人員(yuan)持(chi)股(gu)(gu)(gu)(gu)比例(li)(li)比中(zhong)(zhong)后臺(tai)的(de)(de)(de)綜合、人力、企管等部(bu)門的(de)(de)(de)員(yuan)工高(gao)。中(zhong)(zhong)國(guo)建材所屬江西電(dian)瓷將業(ye)(ye)務骨(gu)干(gan)崗(gang)位(wei)公(gong)開(kai)競聘,以此確(que)定最終持(chi)股(gu)(gu)(gu)(gu)的(de)(de)(de)骨(gu)干(gan)人選。國(guo)機集(ji)團所屬中(zhong)(zhong)國(guo)電(dian)器院針對所屬認(ren)證檢測、智能裝備、化工材料三大板(ban)塊業(ye)(ye)務差異較大的(de)(de)(de)情況,按各板(ban)塊對企業(ye)(ye)業(ye)(ye)績(ji)貢獻和(he)戰略重(zhong)要程(cheng)度(du),分(fen)板(ban)塊核定持(chi)股(gu)(gu)(gu)(gu)人數和(he)股(gu)(gu)(gu)(gu)比。
堅持(chi)崗(gang)(gang)變股(gu)(gu)調,建立(li)(li)股(gu)(gu)權動(dong)態(tai)調整(zheng)機制。各試點企業(ye)在制訂員(yuan)工持(chi)股(gu)(gu)方案時(shi),均(jun)針對持(chi)股(gu)(gu)員(yuan)工因離(li)職等原(yuan)因退(tui)股(gu)(gu)、因崗(gang)(gang)位變動(dong)調整(zheng)持(chi)股(gu)(gu)比例、新(xin)引進入才持(chi)股(gu)(gu)等不(bu)同(tong)情形,明確(que)了(le)股(gu)(gu)份(fen)流轉(zhuan)的去(qu)向、來源以及股(gu)(gu)價確(que)定(ding)原(yuan)則(ze),建立(li)(li)了(le)股(gu)(gu)權內部(bu)流轉(zhuan)和動(dong)態(tai)調整(zheng)機制。如國機集團所(suo)(suo)屬(shu)中國電(dian)器(qi)院(yuan)規定(ding),持(chi)股(gu)(gu)員(yuan)工離(li)開崗(gang)(gang)位后6個月(yue)內必(bi)須退(tui)出所(suo)(suo)持(chi)股(gu)(gu)份(fen),并(bing)對退(tui)股(gu)(gu)方式、退(tui)股(gu)(gu)價格等進行(xing)詳細約定(ding),還(huan)對離(li)職后違反同(tong)業(ye)競爭規定(ding)等行(xing)為設定(ding)了(le)懲罰性施。
堅持自愿入股,強調員工與企業風險共擔。本次員工持股試點,在充分自愿的前提下,強調風險共擔,利益共享,建立風險共擔機制。一是入股前充分提示風險。試點企業通過簽訂入股協議,會議宣貫等方式,讓入股員工意識到持股是收益與風險并存的制度安排,樹立與企業共享改革發展成果、共擔市場競爭風險的理念。二是經營中體現共擔風險。如寶武集團所屬歐冶云商成立于2015年,目前還處于投入期,尚未實現盈利,未來發展還面臨各種挑戰。員工選擇此時自愿入股,充分體現了員工與企業共創、共享、共擔的宗旨。三是制度設計上強調共擔風險,重點是對企業經營發展不善時,員工股份退出難問題作出明確規定如中國建材所屬江西電瓷規定,員工退股時,如沒有符合條件的員工受讓,則按照降低10%的價格轉讓,消除國有股東的底責任,真正實現風險共擔。（《國資報告(gao)》記者 原詩萌）
