國務院國資委相關負責人接受中國證券報記者采訪

　　國企改革三年行動已步入落地關鍵期，針對如何進一步健全以管資本為主的國有資產監管體制，有效防范化解重大風險，切實筑牢國有資產安全防線，推動做強做優做大國有資本和國有企業等問題，國務院國資委相關負責人日前接受中國證券報記者采訪時表示，國資委將持續強化出資人監督效能，切實維護國有資產安全，注重發揮責任追究“兜底”作用，讓監督“帶電”“長牙”，提高制度執行力和剛性約束力，抵御侵蝕國有資產行為的發生。

　　持續強化出資人監督效能

　　中國證券報：近(jin)幾年，國資委在(zai)強(qiang)化國有資產(chan)出資人監督(du)(du)和推進(jin)綜合監督(du)(du)等方面主要采取了哪些措施？

　　國資(zi)(zi)委(wei)相關負責(ze)人(ren)(ren)：近年來，國資(zi)(zi)委(wei)不斷探索(suo)(suo)創新(xin)監(jian)(jian)(jian)督(du)方式途徑，持續強化(hua)出(chu)資(zi)(zi)人(ren)(ren)監(jian)(jian)(jian)督(du)效能，切實維護(hu)國有資(zi)(zi)產(chan)安全。如健全業務監(jian)(jian)(jian)督(du)、綜合監(jian)(jian)(jian)督(du)、責(ze)任(ren)追(zhui)究(jiu)“三位一(yi)體(ti)”的國有資(zi)(zi)產(chan)出(chu)資(zi)(zi)人(ren)(ren)監(jian)(jian)(jian)督(du)機制(zhi)；加(jia)強中央企(qi)業內部(bu)控制(zhi)體(ti)系(xi)、內部(bu)審計體(ti)系(xi)、重大風險(xian)防范體(ti)系(xi)、違規責(ze)任(ren)追(zhui)究(jiu)工作(zuo)體(ti)系(xi)四個體(ti)系(xi)建設；并強化(hua)問題線索(suo)(suo)共享、督(du)促整改(gai)、責(ze)任(ren)追(zhui)究(jiu)三個層面監(jian)(jian)(jian)督(du)協同。

　　在推進綜(zong)合(he)監(jian)(jian)督方面，國(guo)(guo)(guo)資(zi)委積極推動中(zhong)央企業加強(qiang)合(he)規和(he)(he)風(feng)險管(guan)理(li)，強(qiang)化(hua)內(nei)控體(ti)系建設(she)和(he)(he)執(zhi)行(xing)監(jian)(jian)督，不(bu)斷探索和(he)(he)實(shi)踐(jian)國(guo)(guo)(guo)有(you)資(zi)產(chan)(chan)監(jian)(jian)管(guan)的有(you)效形式。通過綜(zong)合(he)監(jian)(jian)督，在服務保障國(guo)(guo)(guo)資(zi)央企發(fa)展改(gai)(gai)革大(da)局方面取得積極成效。如圍繞落實(shi)“十四(si)五(wu)”規劃和(he)(he)國(guo)(guo)(guo)企改(gai)(gai)革三(san)年行(xing)動，聚焦國(guo)(guo)(guo)有(you)資(zi)本布局優化(hua)和(he)(he)結構調整、防范化(hua)解(jie)重大(da)風(feng)險、扶貧攻堅戰等國(guo)(guo)(guo)家戰略，加大(da)監(jian)(jian)督頻(pin)次和(he)(he)力度(du)，切實(shi)增強(qiang)監(jian)(jian)督針對性(xing)、有(you)效性(xing)。重點開展混合(he)所(suo)有(you)制改(gai)(gai)革、科(ke)技創(chuang)新、提質增效等監(jian)(jian)督檢(jian)查，防止(zhi)國(guo)(guo)(guo)有(you)資(zi)產(chan)(chan)流失，確保國(guo)(guo)(guo)有(you)資(zi)產(chan)(chan)安全。

　　中國證(zheng)券報：下一步，在推進綜合監督方面，國資委將采取哪(na)些具體(ti)措施(shi)？

　　國(guo)(guo)(guo)資(zi)(zi)委相關負責人(ren)：國(guo)(guo)(guo)資(zi)(zi)委將統籌(chou)協調各類(lei)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)資(zi)(zi)源，推(tui)(tui)(tui)動各類(lei)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)形成合(he)力。一(yi)是(shi)壓(ya)實綜(zong)合(he)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)責任(ren)。制(zhi)(zhi)定綜(zong)合(he)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)檢(jian)查年度(du)計(ji)劃，結合(he)年度(du)重(zhong)點(dian)工(gong)作(zuo)謀篇布局監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)檢(jian)查任(ren)務(wu)；加強對(dui)(dui)中(zhong)(zhong)央(yang)企(qi)業(ye)(ye)(ye)國(guo)(guo)(guo)有(you)資(zi)(zi)產監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)工(gong)作(zuo)的(de)指導，向企(qi)業(ye)(ye)(ye)下達(da)內(nei)(nei)部(bu)審(shen)計(ji)重(zhong)點(dian)任(ren)務(wu)。按照“全(quan)國(guo)(guo)(guo)國(guo)(guo)(guo)資(zi)(zi)一(yi)盤棋”部(bu)署(shu)，一(yi)體(ti)(ti)指導推(tui)(tui)(tui)進(jin)(jin)中(zhong)(zhong)央(yang)企(qi)業(ye)(ye)(ye)和(he)(he)(he)(he)地方國(guo)(guo)(guo)資(zi)(zi)委綜(zong)合(he)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)體(ti)(ti)制(zhi)(zhi)建(jian)(jian)設。二(er)是(shi)提(ti)升(sheng)審(shen)計(ji)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)效能。聚焦(jiao)國(guo)(guo)(guo)資(zi)(zi)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)重(zhong)大(da)(da)(da)風(feng)(feng)險(xian)、關鍵環節和(he)(he)(he)(he)重(zhong)點(dian)領域，增強審(shen)計(ji)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)針對(dui)(dui)性(xing)、有(you)效性(xing)。深入推(tui)(tui)(tui)進(jin)(jin)內(nei)(nei)部(bu)審(shen)計(ji)全(quan)覆蓋(gai)，加大(da)(da)(da)境(jing)外審(shen)計(ji)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)力度(du)。逐步(bu)實現對(dui)(dui)“三重(zhong)一(yi)大(da)(da)(da)”決(jue)策(ce)、重(zhong)大(da)(da)(da)投資(zi)(zi)、資(zi)(zi)金集中(zhong)(zhong)管(guan)控(kong)等方面的(de)實時監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)。三是(shi)加強內(nei)(nei)控(kong)體(ti)(ti)系監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)評價。加大(da)(da)(da)內(nei)(nei)控(kong)體(ti)(ti)系監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)評價工(gong)作(zuo)力度(du)，“以查促(cu)改”“以查促(cu)建(jian)(jian)”。四是(shi)強化審(shen)計(ji)問(wen)題整(zheng)改。定期對(dui)(dui)審(shen)計(ji)整(zheng)改情況(kuang)開展“回頭(tou)看”，推(tui)(tui)(tui)動企(qi)業(ye)(ye)(ye)提(ti)升(sheng)內(nei)(nei)部(bu)管(guan)控(kong)能力和(he)(he)(he)(he)練(lian)好合(he)規經(jing)營的(de)“內(nei)(nei)功”。五是(shi)深化監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)檢(jian)查成果運用。定期綜(zong)合(he)分(fen)析監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)檢(jian)查發(fa)現的(de)問(wen)題，揭示風(feng)(feng)險(xian)易發(fa)多發(fa)環節和(he)(he)(he)(he)領域，提(ti)出完善(shan)國(guo)(guo)(guo)資(zi)(zi)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)管(guan)政策(ce)制(zhi)(zhi)度(du)的(de)建(jian)(jian)議。建(jian)(jian)立(li)健全(quan)重(zhong)大(da)(da)(da)風(feng)(feng)險(xian)分(fen)類(lei)處置機制(zhi)(zhi)，對(dui)(dui)傾向性(xing)、苗頭(tou)性(xing)風(feng)(feng)險(xian)及典型性(xing)、普(pu)遍性(xing)問(wen)題及時提(ti)示和(he)(he)(he)(he)通報，防(fang)范(fan)重(zhong)大(da)(da)(da)風(feng)(feng)險(xian)蔓(man)延和(he)(he)(he)(he)疊加。六是(shi)推(tui)(tui)(tui)動綜(zong)合(he)監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)隊(dui)伍(wu)建(jian)(jian)設。探索中(zhong)(zhong)央(yang)企(qi)業(ye)(ye)(ye)內(nei)(nei)部(bu)審(shen)計(ji)力量統籌(chou)配置機制(zhi)(zhi)，加強專業(ye)(ye)(ye)培訓(xun)，充分(fen)發(fa)揮專業(ye)(ye)(ye)化人(ren)才優勢。推(tui)(tui)(tui)動企(qi)業(ye)(ye)(ye)建(jian)(jian)立(li)差異化的(de)考核體(ti)(ti)系，客觀公(gong)正評價監(jian)(jian)(jian)(jian)(jian)(jian)(jian)督(du)(du)(du)(du)(du)(du)干部(bu)工(gong)作(zuo)績(ji)效。

　　加強央企違規經營投資責任追究

　　中(zhong)國證券報(bao)：中(zhong)央企業違規經營投(tou)資(zi)責(ze)任追究是一(yi)項新的(de)工作(zuo)，目前進(jin)展如何(he)？取得(de)了哪些成效？

　　國(guo)資(zi)委相關(guan)負責(ze)人：國(guo)企(qi)(qi)改革(ge)三年行動要(yao)求(qiu)到2020年底(di)建(jian)立覆蓋各級中(zhong)央企(qi)(qi)業(ye)(ye)的(de)責(ze)任(ren)追(zhui)(zhui)(zhui)(zhui)究(jiu)(jiu)(jiu)(jiu)工(gong)作(zuo)體(ti)系。在國(guo)資(zi)委的(de)引(yin)領示范和推動指(zhi)導(dao)下，中(zhong)央企(qi)(qi)業(ye)(ye)初(chu)步形(xing)成了(le)職(zhi)責(ze)明(ming)確、流程清晰、規(gui)(gui)范有(you)序(xu)的(de)責(ze)任(ren)追(zhui)(zhui)(zhui)(zhui)究(jiu)(jiu)(jiu)(jiu)工(gong)作(zuo)機制(zhi)(zhi)，追(zhui)(zhui)(zhui)(zhui)責(ze)工(gong)作(zuo)體(ti)系全覆蓋的(de)改革(ge)目標總體(ti)實現(xian)，為強化國(guo)有(you)資(zi)產監(jian)督，促進企(qi)(qi)業(ye)(ye)高質量發展(zhan)提供了(le)有(you)力支(zhi)撐(cheng)。按(an)照《國(guo)務院(yuan)辦公廳關(guan)于建(jian)立國(guo)有(you)企(qi)(qi)業(ye)(ye)違(wei)(wei)規(gui)(gui)經(jing)(jing)營投(tou)資(zi)責(ze)任(ren)追(zhui)(zhui)(zhui)(zhui)究(jiu)(jiu)(jiu)(jiu)制(zhi)(zhi)度的(de)意見》，國(guo)資(zi)委專門(men)(men)出臺部門(men)(men)規(gui)(gui)章《中(zhong)央企(qi)(qi)業(ye)(ye)違(wei)(wei)規(gui)(gui)經(jing)(jing)營投(tou)資(zi)責(ze)任(ren)追(zhui)(zhui)(zhui)(zhui)究(jiu)(jiu)(jiu)(jiu)實施(shi)辦法（試行）》，以及(ji)《中(zhong)央企(qi)(qi)業(ye)(ye)違(wei)(wei)規(gui)(gui)經(jing)(jing)營投(tou)資(zi)問(wen)題線索查處(chu)工(gong)作(zuo)指(zhi)引(yin)》等(deng)系列制(zhi)(zhi)度。中(zhong)央企(qi)(qi)業(ye)(ye)在出臺集團追(zhui)(zhui)(zhui)(zhui)責(ze)專門(men)(men)制(zhi)(zhi)度基礎上，制(zhi)(zhi)定600余項配(pei)套制(zhi)(zhi)度，細(xi)化追(zhui)(zhui)(zhui)(zhui)責(ze)情形(xing)和責(ze)任(ren)認(ren)定。國(guo)資(zi)委還建(jian)立了(le)中(zhong)央企(qi)(qi)業(ye)(ye)責(ze)任(ren)追(zhui)(zhui)(zhui)(zhui)究(jiu)(jiu)(jiu)(jiu)報告工(gong)作(zuo)機制(zhi)(zhi)，要(yao)求(qiu)企(qi)(qi)業(ye)(ye)及(ji)時發現(xian)報告問(wen)題，開(kai)展(zhan)責(ze)任(ren)追(zhui)(zhui)(zhui)(zhui)究(jiu)(jiu)(jiu)(jiu)。

　　國資(zi)委注重發揮責任(ren)追究(jiu)“兜底”作用，讓監(jian)督“帶電”“長牙”，提(ti)高制度執行力和剛性約束力，抵御侵蝕(shi)國有資(zi)產(chan)行為的發生(sheng)。同時，壓實企業整改主體責任(ren)，完(wan)善內部控制，堵塞制度漏洞，形成促進合規經營和穩健發展的長效(xiao)機制。

　　在追責(ze)(ze)力度(du)(du)上(shang)(shang)，持續保(bao)持“強(qiang)高壓”。國資(zi)委直(zhi)接(jie)組織和督促指導中央企業年均核查違規問題線索(suo)1000余(yu)個，挽回資(zi)產損(sun)失或降低損(sun)失風險上(shang)(shang)百億元，責(ze)(ze)任追究上(shang)(shang)千人次(ci)。追責(ze)(ze)的深(shen)度(du)(du)廣(guang)度(du)(du)不斷拓(tuo)展，充分發揮震懾(she)遏制作用，不斷夯實維(wei)護國有(you)資(zi)產安全(quan)的主體責(ze)(ze)任。在懲治教育上(shang)(shang)，加大警(jing)示教育力度(du)(du)，采取書面及會議通(tong)報(bao)、編寫追責(ze)(ze)工作簡報(bao)、匯編違規問題案例等方式，強(qiang)化(hua)典(dian)型問題總(zong)結通(tong)報(bao)，形成“追責(ze)(ze)一個、警(jing)示一片”的教育效果，不斷增強(qiang)各級經(jing)營管理人員合規履(lv)職和責(ze)(ze)任意識。

　　在重(zhong)大風(feng)險防(fang)范方面起到了“前(qian)哨戰(zhan)”作用。組(zu)織開展對賭(du)模(mo)式投資并購(gou)、商(shang)譽共性(xing)問題專(zhuan)項(xiang)(xiang)核查(cha)(cha)，針對中央企(qi)(qi)業監管(guan)(guan)薄弱環節(jie)完(wan)善制(zhi)(zhi)度，實現“查(cha)(cha)違規(gui)(gui)”到“防(fang)風(feng)險”的監督關口前(qian)移(yi)。指導企(qi)(qi)業對資金管(guan)(guan)理、質押融資業務等組(zu)織風(feng)險排(pai)查(cha)(cha)，堵塞管(guan)(guan)理漏洞，防(fang)范風(feng)險擴散蔓延(yan)。同時，違規(gui)(gui)責任追究也是企(qi)(qi)業管(guan)(guan)理提升的“助(zhu)推器”。國資委建立國資監管(guan)(guan)提示函(han)、責任約談、通報等系(xi)列工作機(ji)制(zhi)(zhi)，推動(dong)中央企(qi)(qi)業認真整改監督發現問題，倒查(cha)(cha)制(zhi)(zhi)度健全性(xing)和執行有效性(xing)。近年(nian)來(lai)中央企(qi)(qi)業共制(zhi)(zhi)修訂1100余項(xiang)(xiang)制(zhi)(zhi)度，確(que)保經(jing)營(ying)投資依法依規(gui)(gui)，持(chi)續(xu)提升管(guan)(guan)理水平(ping)。

　　研究建立金融等子企業追責機制

　　中(zhong)國(guo)證券報：國(guo)資委下一步深(shen)化中(zhong)央企業責任追(zhui)究的重點工作是什(shen)么？

　　國(guo)資(zi)(zi)委(wei)相關負責(ze)人：國(guo)資(zi)(zi)委(wei)將圍繞“四個更(geng)加(jia)”深化責(ze)任(ren)追究工作(zuo)，即監(jian)督(du)體系更(geng)加(jia)成(cheng)熟定型(xing)、責(ze)任(ren)追究更(geng)加(jia)精準有力、監(jian)管協(xie)同更(geng)加(jia)貫通聯動、監(jian)督(du)效能更(geng)加(jia)系統提(ti)升(sheng)，不斷健全國(guo)有資(zi)(zi)產出資(zi)(zi)人監(jian)督(du)機制(zhi)，服務(wu)保障中央企業高質量發展。

　　具體而言(yan)，將突出“建體系、筑防線(xian)”。組織開展責任(ren)追(zhui)(zhui)究工(gong)作(zuo)體系建設“回頭(tou)看(kan)”，對新設立或投資并購企(qi)業針對性(xing)地查缺補漏，確保(bao)工(gong)作(zuo)體系“無死(si)角”。制(zhi)定(ding)《違規問題線(xian)索查處督(du)辦指引(yin)》《責任(ren)約談工(gong)作(zuo)規則》等配套制(zhi)度，研究建立金融、混合所有制(zhi)等子企(qi)業追(zhui)(zhui)責機制(zhi)，不斷健全責任(ren)追(zhui)(zhui)究制(zhi)度體系。

　　突出“強震懾、重(zhong)遏(e)制”。加大黨中央、國(guo)務院關注的(de)中央企業違規問題線索查辦(ban)力度，聚(ju)焦(jiao)集團(tuan)管(guan)控、工(gong)程建(jian)設、資(zi)金管(guan)理、金融業務及衍生(sheng)品(pin)等(deng)重(zhong)點領域(yu)存在的(de)問題風險，嚴肅追究相關人員責(ze)任，給(gei)國(guo)資(zi)監管(guan)法律法規接上“高壓(ya)電”，堅決防止(zhi)“破(po)窗(chuang)效應”，切實(shi)維(wei)護國(guo)有資(zi)產安全。

　　突出“容試錯(cuo)、保擔當”。落(luo)實(shi)“三個區分開來”要(yao)求，推(tui)進中央企(qi)業經營投(tou)資(zi)盡(jin)職合規(gui)免責清(qing)單(dan)制定工作(zuo)(zuo)，明(ming)確容錯(cuo)的(de)(de)具體事項及啟動(dong)條件、適(shi)用(yong)程序(xu)等，切(qie)實(shi)發(fa)揮容錯(cuo)機制的(de)(de)“托底”作(zuo)(zuo)用(yong)，給(gei)銳(rui)意進取的(de)(de)企(qi)業干(gan)部吃下“定心丸”，為(wei)弘揚企(qi)業家精神，激發(fa)市(shi)場(chang)主體活力提供有力支撐。

　　突出“治已病、防未病”。針對責任追究工作中發現(xian)的(de)共性問(wen)題組織開展(zhan)專項(xiang)核查，堵住資產損失風險(xian)“出血點(dian)”，有效防范(fan)化解(jie)重大經營投資風險(xian)。同時，探索以管理提(ti)(ti)升(sheng)建議書為(wei)載(zai)體，“一(yi)案一(yi)總結、一(yi)案一(yi)提(ti)(ti)升(sheng)”，促(cu)進中央企業持(chi)續夯實高質(zhi)量發展(zhan)基礎。