| | |
| Order of the State Council of the People's Republic of China | | 中华人民共和国国务院令 |
| (No. 781) | | （第781号） |
| The Regulation on Disciplinary Actions Against the Managerial Professionals of State-owned Enterprises, as adopted at the 31st executive meeting of the State Council on April 26, 2024, is hereby issued and shall come into force on September 1, 2024. | | 《国有企业管理人员处分条例》已经2024年4月26日国务院第31次常务会议通过，现予公布，自2024年9月1日起施行。 |
| Li Qiang, Premier | | 总理 李强 |
| May 21, 2024 | | 2024年5月21日 |
| Regulation on Disciplinary Actions Against the Managerial Professionals of State-owned Enterprises | | 国有企业管理人员处分条例 |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 This Regulation is formulated in accordance with the Law of the People's Republic of China on Administrative Discipline for Public Officials ("Law on Administrative Discipline for Public Officials") and other laws for the purposes of regulating disciplinary actions against the managerial professionals of state-owned enterprises and strengthening supervision over such professionals. | | 第一条 为了规范对国有企业管理人员的处分，加强对国有企业管理人员的监督，根据《中华人民共和国公职人员政务处分法》（以下简称公职人员政务处分法）等法律，制定本条例。 |
| Article 2 For the purposes of this Regulation, "managerial professional of a state-owned enterprise" means the following public officials in state-funded enterprises: | | 第二条 本条例所称国有企业管理人员，是指国家出资企业中的下列公职人员： |
| (1) A person who performs organizational, leadership, management, supervisory, and other duties in a wholly or one-shareholder state-owned company or enterprise. | | （一）在国有独资、全资公司、企业中履行组织、领导、管理、监督等职责的人员； |
| (2) A person who performs organizational, leadership, management, supervisory, and other duties in a state-controlled or state minority-owned company, or any of its branches, after being nominated, recommended, appointed, or approved, among others, by a Party organization, state authority, wholly or one-shareholder state-owned company or enterprise, or a public institution. | | （二）经党组织或者国家机关，国有独资、全资公司、企业，事业单位提名、推荐、任命、批准等，在国有控股、参股公司及其分支机构中履行组织、领导、管理、监督等职责的人员； |
| (3) A person who, with the approval or decision of the organization responsible for the management and supervision of state-owned assets in a state-funded enterprise, represents it in organizational, leadership, management, supervisory, and other work in a state-controlled or state minority-owned company or any of its branches. | | （三）经国家出资企业中负有管理、监督国有资产职责的组织批准或者研究决定，代表其在国有控股、参股公司及其分支机构中从事组织、领导、管理、监督等工作的人员。 |
| If an appointment and removal authority for the managerial professionals of state-owned enterprises ("appointment and removal authority") takes disciplinary action against a managerial professional of a state-owned enterprise who violates the law, the provisions of Chapters II and III of the Law on Administrative Discipline for Public Officials and this Regulation apply. | | 国有企业管理人员任免机关、单位（以下简称任免机关、单位）对违法的国有企业管理人员给予处分，适用公职人员政务处分法第二章、第三章和本条例的规定。 |
| Article 3 Disciplinary actions against the managerial professionals of state-owned enterprises shall adhere to the leadership of the Communist Party of China, adhere to the principle of the Party managing officials, build a strong contingent of managerial professionals of state-owned enterprises, and promote the high-quality development of state-owned enterprises. | | 第三条 国有企业管理人员处分工作坚持中国共产党的领导，坚持党管干部原则，加强国有企业管理人员队伍建设，推动国有企业高质量发展。 |
| Article 4 An appointment and removal authority shall strengthen the education, management, and supervision of the managerial professionals of state-owned enterprises. When taking disciplinary action against a managerial professional of a state-owned enterprise, the appointment and removal authority shall adhere to fairness and impartiality, and make decisions through collective discussion; adhere to tempering severity with leniency and combining punishment with education; and under the principles of the rule of law, based on facts and the law, protect the lawful rights and interests of the managerial professionals and related personnel of state-owned enterprises. | | 第四条 任免机关、单位加强对国有企业管理人员的教育、管理、监督。给予国有企业管理人员处分，应当坚持公正公平，集体讨论决定；坚持宽严相济，惩戒与教育相结合；坚持法治原则，以事实为根据，以法律为准绳，依法保障国有企业管理人员以及相关人员的合法权益。 |
| Article 5 An institution performing the duties of capital contributor or an authority with the power of official management shall, in accordance with laws, regulations, and relevant provisions issued by the state, guide state-owned enterprises in integrating and optimizing supervisory resources, promote the connection between supervision by capital contributors on one side and disciplinary inspection and supervision, inspection supervision, audit supervision, financial supervision, and social supervision on the other, improve coordinated and efficient supervisory mechanisms, establish an internal supervision and management system with cooperation and mutual control, and enhance the systematic, targeted, and effective supervision of state-owned enterprises and their managerial professionals. | | 第五条 履行出资人职责的机构或者有干部管理权限的部门依照法律、法规和国家有关规定，指导国有企业整合优化监督资源，推动出资人监督与纪检监察监督、巡视监督、审计监督、财会监督、社会监督等相衔接，健全协同高效的监督机制，建立互相配合、互相制约的内部监督管理制度，增强对国有企业及其管理人员监督的系统性、针对性、有效性。 |
| Article 6 A disciplinary action taken against a managerial professional of a state-owned enterprise shall be based on clear facts, conclusive evidence, accurate characterization, appropriate handling, legal procedures, and complete formalities, and fit the nature, circumstances, and degree of harm of his or her illegal act. | | 第六条 给予国有企业管理人员处分，应当事实清楚、证据确凿、定性准确、处理恰当、程序合法、手续完备，与其违法行为的性质、情节、危害程度相适应。 |
| Chapter II Types and Application of Disciplinary Actions | | 第二章 处分的种类和适用 |
| Article 7 The types of disciplinary actions are: | | 第七条 处分的种类为： |
| (1) Warning. | | （一）警告； |
| (2) Demerits. | | （二）记过； |
| (3) Serious demerits. | | （三）记大过； |
| (4) Demotion. | | （四）降级； |
| (5) Removal from office. | | （五）撤职； |
| (6) Expulsion. | | （六）开除。 |
| Article 8 The period of disciplinary action is: | | 第八条 处分的期间为： |
| (1) In the case of a warning, 6 months. | | （一）警告，6个月； |
| (2) In the case of a demerit, 12 months. | | （二）记过，12个月； |
| (3) In the case of a serious demerit, 18 months. | | （三）记大过，18个月； |
| (4) In the case of demotion or removal from office, 24 months. | | （四）降级、撤职，24个月。 |
| A disciplinary decision takes effect on the decision-making date, on which the period of disciplinary action starts. | | 处分决定自作出之日起生效，处分期自处分决定生效之日起计算。 |
| Article 9 Where a managerial professional of a state-owned enterprise is liable for disciplinary actions for not less than two illegal acts, the disciplinary actions shall be determined separately. If the types of disciplinary actions to be taken are different, the heavier or heaviest shall be taken; or if the disciplinary actions to be taken are the same and lighter than removal from office, the period of disciplinary action may be determined not to be less than the period of a single disciplinary action nor more than the sum of the periods of the disciplinary actions, to the extent of 48 months. | | 第九条 国有企业管理人员同时有两个以上需要给予处分的违法行为的，应当分别确定其处分。应当给予的处分种类不同的，执行其中最重的处分；应当给予撤职以下多个相同种类处分的，可以在一个处分期以上、多个处分期之和以下确定处分期，但是最长不得超过48个月。 |
| Article 10 Where a state-owned enterprise commits an illegal act, or its managerial professionals collectively make an illegal decision, resulting in legal liability, the liable leader and directly liable managerial professionals shall be subjected to disciplinary action. | | 第十条 国有企业实施违法行为或者国有企业管理人员集体作出的决定违法，应当追究法律责任的，对负有责任的领导人员和直接责任人员中的国有企业管理人员给予处分。 |
| If not less than two managerial professionals of a state-owned enterprise are liable for disciplinary action for a joint illegal act, each shall be subjected to a disciplinary action according to his or her share of liability. | | 国有企业管理人员2人以上共同违法，需要给予处分的，按照各自应当承担的责任，分别给予相应的处分。 |
| Article 11 Under any of the following circumstances, a managerial professional of a state-owned enterprise may be subjected to a disciplinary action below the statutory range or a mitigated disciplinary action: | | 第十一条 国有企业管理人员有下列情形之一的，可以从轻或者减轻给予处分： |
| (1) Voluntarily confessing to any illegal act for which he or she is liable for disciplinary action. | | （一）主动交代本人应当受到处分的违法行为； |
| (2) Cooperating in the investigation and truthfully stating the facts of his or her illegal act. | | （二）配合调查，如实说明本人违法事实； |
| (3) Reporting the illegal act of another person, which is verified. | | （三）检举他人违法行为，经查证属实； |
| (4) Voluntarily taking measures to effectively avoid or recover losses or eliminate adverse effects. | | （四）主动采取措施，有效避免、挽回损失或者消除不良影响； |
| (5) Playing a minor or auxiliary role in a joint illegal act. | | （五）在共同违法行为中起次要或者辅助作用； |
| (6) Voluntarily surrendering or making restitution of illegal income. | | （六）主动上交或者退赔违法所得； |
| (7) Making an error in promoting the reform of a state-owned enterprise due to a lack of experience in a pilot program. | | （七）属于推进国有企业改革中因缺乏经验、先行先试出现的失误错误； |
| (8) Other circumstances as provided by laws and regulations that warrant a mitigated disciplinary action or disciplinary action below the statutory range. | | （八）法律、法规规定的其他从轻或者减轻情节。 |
| "Mitigated disciplinary action" means a lighter disciplinary action taken within the range of disciplinary actions for an illegal act as specified in this Regulation. | | 从轻给予处分，是指在本条例规定的违法行为应当受到的处分幅度以内，给予较轻的处分。 |
| "Disciplinary action below the statutory range" means a disciplinary action taken within the range immediately below the range of disciplinary action for an illegal act as specified in this Regulation. | | 减轻给予处分，是指在本条例规定的违法行为应当受到的处分幅度以外，减轻一档给予处分。 |
| Article 12 Where a managerial professional of a state-owned enterprise commits an illegal act under minor circumstances and under any of the circumstances specified in paragraph 1 of Article 11 of this Regulation, he or she may be interviewed and reminded, criticized and educated, ordered to conduct a self-examination, given an admonition, or exempted from or refuse to be subjected to disciplinary action. | | 第十二条 国有企业管理人员违法行为情节轻微，且具有本条例第十一条第一款规定情形之一的，可以对其进行谈话提醒、批评教育、责令检查或者予以诫勉，免予或者不予处分。 |
| If a managerial professional of a state-owned enterprise is coerced into participating, or forced to participate, in illegal activities due to ignorance of the truth, and repents after receiving criticism and education, he or she may be given a mitigated disciplinary action, or be exempted or refuse to be given disciplinary action. | | 国有企业管理人员因不明真相被裹挟或者被胁迫参与违法活动，经批评教育后确有悔改表现的，可以减轻、免予或者不予处分。 |
| Article 13 Under any of the following circumstances, a managerial professional of a state-owned enterprise shall be given an aggravated disciplinary action: | | 第十三条 国有企业管理人员有下列情形之一的，应当从重给予处分： |
| (1) Being liable for disciplinary action for another intentional illegal action committed during the period of disciplinary action. | | （一）在处分期内再次故意违法，应当受到处分； |
| (2) Preventing another person from filing a report or providing evidence. | | （二）阻止他人检举、提供证据； |
| (3) Making a false confession in collusion or fabricating, concealing, or destroying evidence. | | （三）串供或者伪造、隐匿、毁灭证据； |
| (4) Harboring a person involved in the same case. | | （四）包庇同案人员； |
| (5) Coercing another person into committing or instigating him or her to commit an illegal act. | | （五）胁迫、唆使他人实施违法行为； |
| (6) Refusing to surrender or make restitution of illegal income. | | （六）拒不上交或者退赔违法所得； |
| (7) Other aggravating circumstances specified by laws and regulations. | | （七）法律、法规规定的其他从重情节。 |
| "Aggravated disciplinary action" means a heavier disciplinary action within the range of disciplinary action for an illegal act specified in this Regulation. | | 从重给予处分，是指在本条例规定的违法行为应当受到的处分幅度以内，给予较重的处分。 |
| Article 14 A managerial professional of a state-owned enterprise shall not be promoted in position or post level, or professional title, within the period of disciplinary action; and if he or she is subjected to a demerit, serious demerit, demotion, or removal from office, he or she shall not be given a pay and benefits grade increase. In the case of removal from office or a demotion in position or post level, pay and benefits shall be reduced concurrently. In the case of expulsion, the employer will rescind the labor contract in accordance with the law. | | 第十四条 国有企业管理人员在处分期内，不得晋升职务、岗位等级和职称；其中，被记过、记大过、降级、撤职的，不得晋升薪酬待遇等级。被撤职的，降低职务或者岗位等级，同时降低薪酬待遇。被开除的，用人单位依法解除劳动合同。 |
| Article 15 Property illegally acquired by a managerial professional of a state-owned enterprise or his or her property used for an illegal act shall be returned to the original owner or holder, except where such property is subject to confiscation, recovery, or an order for restitution by a relevant authority in accordance with the law. | | 第十五条 国有企业管理人员违法取得的财物和用于违法行为的本人财物，除依法应当由有关机关没收、追缴或者责令退赔的外，应当退还原所有人或者原持有人。 |
| If a managerial professional of a state-owned enterprise receives a position, position level, grade, post or employee level, professional title, benefits, eligibility, educational attainment, academic degree, honor, award, or any other advantage resulting from an illegal act, the appointment authority shall take corrective action or propose that the relevant authority, entity, or organization should take corrective action according to applicable provisions. | | 国有企业管理人员因违法行为获得的职务、职级、级别、岗位和职员等级、职称、待遇、资格、学历、学位、荣誉、奖励等其他利益，任免机关、单位应当予以纠正或者建议有关机关、单位、组织按规定予以纠正。 |
| Article 16 Where a retired managerial professional of a state-owned enterprise is liable for disciplinary action for an illegal act before or after retirement, no disciplinary decision will be made, but a case may be opened against him or her for investigation; if he or she is liable for a demotion, removal from office, or expulsion according to the law, his or her benefits shall be adjusted according to applicable provisions, and property illegally acquired by him or her and his or her property used for an illegal act shall be disposed of in accordance with Article 15 of this Regulation. | | 第十六条 已经退休的国有企业管理人员退休前或者退休后有违法行为应当受到处分的，不再作出处分决定，但是可以对其立案调查；依法应当给予降级、撤职、开除处分的，应当按照规定相应调整其享受的待遇，对其违法取得的财物和用于违法行为的本人财物依照本条例第十五条的规定处理。 |
| Chapter III Illegal Acts and Applicable Disciplinary Actions | | 第三章 违法行为及其适用的处分 |
| Article 17 If a managerial professional of a state-owned enterprise commits any of the following acts, he or she will be subjected, in accordance with Article 28 of the Law on Administrative Discipline for Public Officials, to a demerit or a serious demerit; or demotion or removal from office, if the circumstances are relatively serious; or expulsion, if the circumstances are serious: | | 第十七条 国有企业管理人员有下列行为之一的，依据公职人员政务处分法第二十八条的规定，予以记过或者记大过；情节较重的，予以降级或者撤职；情节严重的，予以开除： |
| (1) Airing views that undermine upholding and improving the socialist basic economic system. | | （一）散布有损坚持和完善社会主义基本经济制度的言论； |
| (2) Refusing directly or in disguise to implement decisions and arrangements regarding the reform and development of state-owned enterprises and Party building. | | （二）拒不执行或者变相不执行国有企业改革发展和党的建设有关决策部署； |
| (3) Damaging national security and interests in foreign economic cooperation, foreign aid, foreign exchange, or other work. | | （三）在对外经济合作、对外援助、对外交流等工作中损害国家安全和国家利益。 |
| The publication of an article, speech, declaration, or statement, among others, in opposition to the national guiding ideology established by the Constitution, the leadership of the Communist Party of China, the socialist system, or reform and opening up is punishable by expulsion. | | 公开发表反对宪法确立的国家指导思想，反对中国共产党领导，反对社会主义制度，反对改革开放的文章、演说、宣言、声明等的，予以开除。 |
| Article 18 If a managerial professional of a state-owned enterprise commits any of the following acts, he or she will be subjected, in accordance with Article 30 of the Law on Administrative Discipline for Public Officials, to a warning, demerit, or serious demerit; or demotion or removal from office, if the circumstances are serious: | | 第十八条 国有企业管理人员有下列行为之一的，依据公职人员政务处分法第三十条的规定，予以警告、记过或者记大过；情节严重的，予以降级或者撤职： |
| (1) Deciding on a major matter subject to decision of the state-owned enterprise, an important appointment or removal, a major project arrangement, or a large investment in violation of the prescribed decision-making procedures and purview. | | （一）违反规定的决策程序、职责权限决定国有企业重大决策事项、重要人事任免事项、重大项目安排事项、大额度资金运作事项； |
| (2) Intentionally circumventing, interfering with, or undermining collective decision-making, whereby an individual or a minority of individuals decide on a major matter subject to decision of the state-owned enterprise, an important appointment or removal, a major project arrangement, or a large investment. | | （二）故意规避、干涉、破坏集体决策，个人或者少数人决定国有企业重大决策事项、重要人事任免事项、重大项目安排事项、大额度资金运作事项； |
| (3) Refusing to implement or arbitrarily changing a major decision made collectively in accordance with the law by the Party committee (leading Party members' group), shareholders' meeting, board of directors, or employee representatives' meeting, among others, of the state-owned enterprise. | | （三）拒不执行或者擅自改变国有企业党委（组）会、股东（大）会、董事会、职工代表大会等集体依法作出的重大决定； |
| (4) Refusing directly or in disguise to implement or delaying the implementation of a decision made in accordance with the law by an institution performing the duties of capital contributor, an industry authority, or any other relevant authority. | | （四）拒不执行或者变相不执行、拖延执行履行出资人职责的机构、行业管理部门等有关部门依法作出的决定。 |
| Article 19 If a managerial professional of a state-owned enterprise commits any of the following acts, he or she will be subjected, in accordance with Article 33 of the Law on Administrative Discipline for Public Officials, to a warning, demerit, or serious demerit; or demotion or removal from office, if the circumstances are relatively serious; or expulsion, if the circumstances are serious: | | 第十九条 国有企业管理人员有下列行为之一的，依据公职人员政务处分法第三十三条的规定，予以警告、记过或者记大过；情节较重的，予以降级或者撤职；情节严重的，予以开除： |
| (1) Using his or her position to embezzle, steal, fraudulently obtain, or otherwise illegally take possession of or misappropriate the property of the enterprise or any of its affiliates or customer assets, among others. | | （一）利用职务上的便利，侵吞、窃取、骗取或者以其他手段非法占有、挪用本企业以及关联企业的财物、客户资产等； |
| (2) Using his or her position to solicit or illegally accept property from another person in order to seek benefits for the other person. | | （二）利用职务上的便利，索取他人财物或者非法收受他人财物，为他人谋取利益； |
| (3) In order to seek improper benefits, bribing a state authority, state-funded enterprise, public institution, or people's organization, an employee of the state, an enterprise, or any other entity, a foreign public official, or an official of an international public organization. | | （三）为谋取不正当利益，向国家机关、国家出资企业、事业单位、人民团体，或者向国家工作人员、企业或者其他单位的工作人员，外国公职人员、国际公共组织官员行贿； |
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