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1、电子科技大学博士学位论文员工持股计划在国有高科技企业改制中的激励机制研究姓名：赵振元申请学位级别：博士专业：管理科学与工程指导教师：曾勇;银路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协realizeParetoeficiencyundertheconditionofthevaluepreservationand;appretiationofstate-ownedassets`inChineseHi-techSOEreform.Therefore,g
6、overnmentsshould,tosomedegree,giveupthecontrolclaimonSOEsinsuchareform.3.Intheaboveframework,thispaperconcludesthatadoptingESOPcanenhancefirm'soperationalefficiencyandachievethevalue声eservationandappreciationofstate-ownedassetsbyacknowledgingtheownershipofemployees'humancapitalofHi-techSOEs
7、andstimulatingtheminmeansoftheownershipcharacterizedbyequity.Thismakesitpossibleforgovernmentstogiveupthecontrolclaimpartly.Hence,ESOPisafeasiblealternativeforgovernmentstotrade电子科技人学博十学位论文offbetweenthereturnandthecontrolclaimsonSOEs.4.Basedontheabovecon
