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1、電子科技大學(xué)博士學(xué)位論文員工持股計(jì)劃在國有高科技企業(yè)改制中的激勵(lì)機(jī)制研究姓名：趙振元申請學(xué)位級別：博士專業(yè)：管理科學(xué)與工程指導(dǎo)教師：曾勇;銀路20050301摘要AbstractFocsuingonthedefectthatthereisnouniformlogicalframeworkforthestudiesontheESOPreformofChineseHi-techstate-ownedenterprises(SOEs),thispapercombinesthenatureofSOEreformwiththefoundationalfunctionsofESOP,th
2、einderentmechanismofmotivation,theproductionattributeofHi-techfirmandtheproertiesofhumancapitaltobuildauniformlogicalframeworkfortheESOPreformofChineseHi-techSOEsandstudythedecisionofequityallocationinsuchareform.ThemainconclusionsandcontributionsareasfollowsI.Basedonananlysisofthefoundatio
3、nalfunctionsofESOP,thenatureofSOEreform,theinderentmechanismofmotivation,theproductionattributeofHi-techfirm,theproertiesofhumancapitalandthelawenvironmentinChina,thispaperformsauniformlogicalframeworkforChineseHi-techSOEreform(includingtheESOPreform),thatis,ChineseSOEreformshouldfollowthei
4、nherentlogicsamonghumancapital,ownership,motivation,theproductionattributeoffl而，performanceandeconomiceficiency.2.Applyingtheaboveframework,thispaperpointsoutthatgovernmentsshouldtradeoffbetweenthereturnandthecontrolclaimsderivingfromstate-ownedassetsintheHi-techSOEreforminChina,otherwiseth
5、eyarelikelytofaceaticklerthattheyregulatethemselves.Thistrade-offrequiresthatgovernmentsshouldnotdirectlyintervenefirm'sinternaldecisionsbutcommitthemselves協(xié)realizeParetoeficiencyundertheconditionofthevaluepreservationand;appretiationofstate-ownedassets`inChineseHi-techSOEreform.Therefore,g
6、overnmentsshould,tosomedegree,giveupthecontrolclaimonSOEsinsuchareform.3.Intheaboveframework,thispaperconcludesthatadoptingESOPcanenhancefirm'soperationalefficiencyandachievethevalue聲eservationandappreciationofstate-ownedassetsbyacknowledgingtheownershipofemployees'humancapitalofHi-techSOEs
7、andstimulatingtheminmeansoftheownershipcharacterizedbyequity.Thismakesitpossibleforgovernmentstogiveupthecontrolclaimpartly.Hence,ESOPisafeasiblealternativeforgovernmentstotrade電子科技人學(xué)博十學(xué)位論文offbetweenthereturnandthecontrolclaimsonSOEs.4.Basedontheabovecon
