Research On Conflicts Between Formal And Informal ESO Rules

The rule of law may be unable to solve certain problems at the operational level to adjust the legal relationship in the application practice. When the formal rule of law gets into trouble in practice, in order to solve certain practical problems and realize the main bodies'rights and fulfill their obligations of the legal relationship, some informal standards or regulations will be created to resolve the plight of the formal rule of law. Some informal standards or regulations of law have been pushed on the track of institutionalization and established in the form of rules of law, becoming the informal rule of law.In the practical exploration of China's Employee Stock Ownership (ESO) system, a lot of informal rules were acquiesced and created, resulting in the conflicts between formal and informal ESO rules. By the research on the nation's ESO rules under the ESO system and cases, the thesis tries to microcosmically reveal how the formal and informal ESO rules offer guidelines and standards to and direct and regulate ESO management issues and problems, microcosmically analyzing the conflicts between formal and informal ESO rules, probing into the cause of the conflicts and bringing forth countermeasures to resolve the conflicts.The thesis includes four chapters as follows:Chapter 1 The birth, differentiation and development of ESO rules. This chapter expatiates the development and the current situation of foreign and domestic ESO rules, including the characteristics of informal ESO rules.China's ESO rules are closely related with the nation's work to adjust the management modes of state-owned assets and boost the reform and restructuring of state-owned enterprises. With reference to experiences of overseas ESO systems and practical exploration of the domestic realty, relevant laws and regulations are not yet perfect. The thesis divides the development of China's ESO system into four stages and introduces the background of ESO rules.Informal ESO rules have foundations to exist and develop in the ESO management. Take Shenzhen Construction Group for example, characteristics of informal ESO rules can be summarized into six aspects. First, the existence of informal rules is certainly independent. Second, the status of informal rules is certainly political. Third, the effective scope of informal rules is interior. Fourth, the content of informal rules is temporary. Fifth, the implementation of informal rules is operational. Sixth, the interpretation of informal rules is ambiguous. Chapter 2 Conflicts between formal and informal ESO rules. This chapter elaborates conflicts between formal and informal ESO rules and annoying management problems arising from the conflicts through a mass of cases on ESO. The conflicts reflect the problem of the rules'value tropism. Conflicts in ESO management rules rooted in the establishment process of the rules, seeking for the origination of the problem from the rules'value tropism, digging out the value tropism problem by seeing about the implementation of the rules, finding out the problems of the procedure and focusing on the positive and negative effects of the implementation of the rules.Chapter 3 Causes lead to the conflicts between formal and informal ESO rules. This chapter analyzes the causes of the conflicts from factors of the tropism of applying the rules, the guide to establish the rules, the system and mechanism of enterprises and the tropism of human behaviors.Chapter 4 Countermeasure strategies to solve the conflicts between formal and informal ESO rules. This chapter brings forth countermeasure strategies to solve the conflicts between formal and informal ESO rules. Some target the phenomenon of the conflicts, some target the essence of the rules and some target the cause of the rule conflicts.The countermeasure strategy, first, should choose the tropism of applying the rules based on the actual state and advocate micronizing the tropism of the rules' connotation. The rules are not non-abstract ideas or the ideal social form. ESO enterprises have been the terminal units in the social organization system. The connotation of ESO rules should be inclined to specific and microscopic. The Rules should also be fit for the enterprises'own advantages and characteristics. The tropism of the rules should be rectified with reference to multidisciplinary research results on the actual state of some certain affair, including the economic management and the economic law and with philosophical research tools. Second, a consultation mechanism beyond the ESO rules should be set up to resolve the rule conflicts. The consultation mechanism that innovates the ESO management rules is a feasible countermeasure to solve the problem of rule conflicts. The consultation and mediation techniques of the consultation mechanism should be explored and enhanced to resolve the conflicts within the rules by the mechanism beyond the rules, starting with the content related to the rules and consultation issues. The third is to improve the supporting functions of the management agencies, including the ESO committee and the ESO management office. Such as exerting the management agency's function to interpret the rules or establish informal supporting agencies to mediate conflicts. The fourth is trying to set up prohibition regulations in the procedure to avoid conflicts. Within the micro range, the prohibition of the rules should be different with universal provisions from the perspective of inside the terminal unit of the social organization system. At the terminals in the implementation of the rules, as they directly face the complexities of the practice, more specific standards of behavior are needed to give instructions to the behavior and transaction management.