企业社会责任外部促进机制的法学研究

发布时间：2018-05-10 17:18

本文选题：企业社会责任 + 外部促进机制　；参考：《华东政法大学》2009年博士论文

【摘要】： 企业社会责任是指企业对社会负有责任。申言之,企业负有增进社会整体利益之责任(义务)。然而,企业社会责任并不是一个具体的概念,其应包括什么具体责任,到现在为止则仍存有争议。尽管如此,企业社会责任的正当性已被我国及一些西方国家的《公司法》所确立。近年,我国有不少学者已试图通过研究《公司法》改革从企业内部促进企业履行社会责任。但是,国内外已开始有越来越多观点认为,通过修订公司法去促使企业履行社会责任并不有效,最终可能事倍功半。这主要可归因于以下两大因素。第一,企业社会责任的本质与传统法律的本质不能有效融合。传统法律的特征是滞后性,而企业社会责任的本质却是前瞻性。工业化和全球化让科技日新月异,互联网和磁条卡都是近几十年才出现的事物。新事物的出现除了带来方便与快捷以外,还往往带来一些崭新的问题。从前,大部分的公司一般都是使用传真技术和长途电话与外国公司进行沟通,这两种沟通方式需要极大的经营成本,不过,自互联网的出现以后,电子邮件和Skype等网上聊天工具部分取替了传真技术和长途电话之功能,这除了降低经营成本以外,还可以弥补传真技术之不足。但与此同时,互联网却带来许多的社会问题,如：青少年沉迷网上游戏和“艳照门”事件等。法律在处理这些崭新问题时却往往显得无能为力。相反,企业社会责任要求企业在处理问题方面需要有长远的眼光,当有新科技、新技术出现的时候,企业必须洞察所有潜在的问题,予以积极的解决。这反映出企业社会责任具有很强的前瞻性,但这种前瞻性却恰恰与传统法律的滞后性相反,两者难以融合在一起。除此以外,被动性也是法律的其中一种特性,但却与企业社会责任的主动性相反,企业社会责任需要企业主动履行社会责任。即便没有人告诉企业它该如何履行义务,它都应该自发地去承担,这种自发性是出自企业的“内心世界”,不以外间力量为前提。第二,公司法充斥着股东优先主义。公司法有许多制度都是依照股东优先主义而构建,通过加入企业社会责任元素来改变这些制度的本质是否能带来促进企业社会责任,则实有疑问。同时,在学术界、教育界和实务界,股东中心主义仍然处于主导的地位,这将深深影响我国新一代的青年学者以及未来的法律工作者。鉴于此,鼓励和约束企业履行社会责任或许将需要尝试另外一种方式,选择另外一条路径,解决内部机制之不足。本文假设(hypothesizes),通过构建企业社会责任外部促进机制能够有效地从企业外部鼓励和约束企业履行社会责任。所谓企业社会责任外部促进机制是指通过调整在企业外部环境中企业与其他主体之间的关系,致使企业履行社会责任的激励与约束机制。从市场监管法的视角出发,这种机制大致可以通过市场力量、政府干预和法律规范来予以实现。我国已有学者将“公司外部治理机”制原理应用到促进企业履行社会责任上,但该学者并未强调不同市场之间的独立性和不同利益相关者的利益之间的冲突性。忽略这两种特性的存在将无助于通过企业外部机制促进企业履行社会责任。因此,这需要通过研究“公司外部治理”机制与企业社会责任之间的结合点,借用“公司外部治理”机制原理,构建促进企业社会责任的外部机制,包括市场机制、政府机制和非政府组织机制等。在企业社会责任外部促进机制中,利益相关者可以通过市场或直接干预手段对不称职的企业管理者进行治理,促使这些企业管理者在决策时更多地考虑利益相关者之利益,确保他们做出的决策不会过于偏离利益相关者之意愿,对不考虑利益相关者利益的企业或企业管理者进行惩罚,如：抛售公司股票、更换企业管理者、禁止不称职管理者进入等。然而,每个企业社会责任的外部机制都有失灵的可能,比方说,企业社会责任市场促进机制的载体是市场,所以它既承继了市场的优点但又受制于它的缺点。即便各非股东利益相关者在主观上愿意通过各自的专属市场要求企业履行社会责任,但这并不意味着企业社会责任市场促进机制能够有效运作,因为市场经常会失灵。所以外部机制之间需要有充分的互动以及法律需要对此进行规范,以弥补这些机制之不足。通过利益相关者的种类进行分类,企业社会责任外部促进机制可以主要分为采购商(即买卖合同中的买方)与外包商外部促进机制、政府外部促进机制、消费者促进机制、竞争对手外部促进机制、投资者外部促进机制和非政府组织促进机制,而这里将集中于买方与外包商外部促进机制、政府外部促进机制、消费者外部促进机制和竞争者外部促进机制的研究。买方与外包商外部促进机制是指买方和外包商(即上游企业)通过市场约束、激励卖方和承包商(即下游企业)履行社会责任的企业外部机制。近来,公司法人独立地位的滥用已有从股东延伸至非股东企业的趋势,某些企业对他人公司非股东利益相关者的利益所负有的注意义务(即“企业间接社会责任”)的缺失日益严重。其情形集中体现为,上游大企业以其自身的人力资源和资本等多方面的优势滥用下游企业的法人地位,通过下游企业的侵权行为把经营成本转移至与其无契约关系的非股东利益相关者上。这种做法有违“收益”与“责任”对等之正义原则。在我国,虽然现行立法并未承认“企业间接社会责任”,但相似处理方法已体现在部分与《劳动法》相关的法律法规和司法解释之中。只是相关立法在适用主体、适用范围、义务设定及救济方式上仍有不足之处,故可参考美国的相关立法和根据我国的实际情况把企业间接社会责任法制化,从而引导上游企业对其下游企业履行社会责任情况进行监督。政府外部促进机制是指政府通过强制、促进、合作、赞同和示范手段直接或间接激励和约束企业履行社会责任的企业外部机制。经济合作与发展组织及世界银行均有对政府外部促进机制进行研究,并提出若干建议,颇值得参考。同时,政府责任采购是各国政府在促进企业履行社会责任时常用的手段,结合我国国情,建议我国在构建政府责任法律制度时大致可以考虑3个具体方案,即强制供应商达到某些社会责任标准、要求供应商公布社会责任报告及对获得企业社会责任奖项的企业给予政府采购优惠。消费者在促进企业履行社会责任方面有着悠久历史,他们在消费市场选择是否购买某企业提供的商品,来影响企业的经营行为。随着近年全球的社会责任活动,消费者在选购商品时更多地考虑提供商品的企业本身,乃至于其社会责任。基于这种近来才普及的消费模式,企业社会营销出现。企业希望通过这种营销方式推广其社会责任表现,从而改善其企业声誉,吸引更多的消费者。然而,由于有许多在企业社会营销中的宣传信息与商品或服务无关,故我国消费者在这方面得不到充分的法律保护,这导致消费者外部促进机制无法有效运作,因为消费者在缺乏正确的企业社会责任消息的情况下无法分辨哪些企业忽视社会责任,也无法真正地参与社会责任消费。鉴于此,应把这些信息纳入到宣传内容的法定范围之内,更有效地保护企业社会责任消费者的权益的同时,也可以给消费者外部治理机制的启动提供条件,从而促使企业履行社会责任。关于竞争对手外部促进机制,我国现行《反不正当竞争法》第二章规定的11大类不正当竞争行为是属于市场不当竞争行为。那就是说,竞争对手可以通过《反不正当竞争法》纠正其他经营者的非市场不正当竞争行为,从而保持市场的竞争秩序,保护了消费者和其他经营者的利益。然而,对促进企业社会责任方面,这是有限的,因为这些市场不当竞争行为并未包括拖欠职工工资、延长工作时间以及超标排污等企业间接侵害市场竞争的忽视社会责任行为。竞争对手难以对其他经营者的非市场忽视社会责任行为进行监督,无法完全发挥它们在促进其他经营者履行企业社会责任的作用。因此,结合我国国情,建议把“通过违反其他法律法规降低经营成本的非市场不公平行为”明确列入到不正当竞争行为之中予以规制。这不但可以保护竞争对手的正当利益,还能构建竞争者监督企业履行社会责任的法律机制。即便“非市场竞争行为”条文最终无法直接加入到《反不正当竞争法》中,但法院应根据每个诉讼请求的具体情况,适用现时《反不正当竞争法》的第2条第1款,要求非市场不正当竞争行为人承担相应的民事责任。最后,从宏观来看,促进企业社会责任法律制度的改革方案主要有三,它们分别强调公司法改革、非公司法律改革和司法制度改革。但对我国现阶段的法制建设、司法传统及改革成本等因素进行综合分析,非公司法律改革似乎更可行、更符合我国的实际需要。
[Abstract]:Corporate social responsibility refers to the responsibility of the enterprise to the society. In other words, the enterprise bears the responsibility to promote the overall interests of the society. However, the corporate social responsibility is not a specific concept, and what specific responsibility it should include is still controversial. Nevertheless, the legitimacy of corporate social responsibility has been in China and one. The "company law" of some western countries has been established.
In recent years, many scholars in our country have tried to promote the corporate social responsibility through the study of the company law reform. However, there have been more and more views at home and abroad that it is not effective to make enterprises perform social responsibility by revising the company law, which may eventually be twice as good as half. This is mainly attributable to the following two factors.
First, the essence of corporate social responsibility and the essence of traditional laws can not be effectively integrated. The characteristics of traditional laws are lagging, and the nature of corporate social responsibility is forward-looking. Industrialization and globalization make science and technology change with each passing day. The Internet and magnetic strip cards are all things that have come forth in recent decades. Besides, it often brings new problems. In the past, most companies used facsimile technology and long distance telephone to communicate with foreign companies. These two ways of communication require great operating costs. However, after the advent of the Internet, electronic mail and Skype and other online chat tools have replaced facsimile techniques. But at the same time, the Internet brings many social problems, such as teenagers addicted to online games and "Yan Zhao door" events. The law is often powerless when dealing with these new questions. On the contrary, the enterprise society Responsibility requires the enterprise to have a long-term vision in dealing with the problem. When there are new technology and new technology, the enterprise must see all the potential problems and give a positive solution. This reflects the strong forward-looking of the corporate social responsibility, but it is contrary to the lag of the traditional law and the two are difficult to blend. In addition, in addition to this, passivity is one of the characteristics of the law, but contrary to the initiative of corporate social responsibility, corporate social responsibility requires the enterprise to take the initiative to fulfill its social responsibility. Even if no one tells the enterprise how it should fulfill its obligations, it should be undertaken spontaneously. This spontaneity is from the "inner world" of the enterprise. "Boundary" is not based on the external force.
Second, corporate law is full of shareholder priority. There are many systems in the company law which are built in accordance with shareholder priority. It is doubtful whether to change the essence of these systems to promote corporate social responsibility by joining the elements of corporate social responsibility. At the same time, in the academia, the educational and practical circles, the shareholder centralism is still in place. In the leading position, this will deeply affect the new generation of young scholars and legal workers in the future.
In view of this, it may be necessary to try another way to encourage and restrain enterprises to fulfill their social responsibilities, and choose another way to solve the insufficiency of internal mechanism.
This paper assumes (hypothesizes) that the external promotion mechanism of corporate social responsibility can effectively encourage and restrain enterprises to perform social responsibility from outside the enterprise. The so-called corporate social responsibility external promotion mechanism refers to the social responsibility of enterprises by adjusting the relationship between enterprises and other owners in the external environment of the enterprise. From the perspective of market regulation law, this mechanism can be realized through market forces, government intervention and legal norms.
In our country, some scholars have applied the principle of "corporate external governance" to promoting corporate social responsibility, but the scholar does not emphasize the conflict between the independence of different markets and the interests of different stakeholders. Ignoring the existence of these two characteristics will not help the external mechanism of enterprises to promote the enterprise to fulfill the social responsibility. Therefore, it is necessary to construct the external mechanism of promoting corporate social responsibility, including market mechanism, government mechanism and non-governmental organization mechanism, through the study of the combination of "corporate external governance" mechanism and corporate social responsibility, and the principle of "external corporate governance" mechanism.
In the external promotion mechanism of corporate social responsibility, stakeholders can govern the incompetent enterprise managers by market or direct intervention, prompting the managers to consider the interests of the stakeholders more in decision-making, and to ensure that their decisions do not deviate from the wishes of the stakeholders and do not take a test. An enterprise or enterprise manager that concerns the interests of the stakeholders, such as selling the stock of the company, replacing the enterprise manager, and prohibiting the incompetent administrators from entering. However, the external mechanism of the social responsibility of each enterprise has the possibility of failure, for example, the carrier of the corporate social responsibility Market promotion mechanism is the market, so it inherits The advantages of the market are subject to its shortcomings. Even if the non shareholder stakeholders are subjectively willing to fulfill their social responsibility through their respective exclusive markets, this does not mean that the corporate social responsibility market mechanism can operate effectively because the market often fails. Therefore, there is a need for adequate external mechanisms. Interaction and law need to be standardized to make up for the deficiencies of these mechanisms.
Through the classification of stakeholders, the external promotion mechanism of corporate social responsibility can be mainly divided into the buyer (buyer in the sale contract) and the external promotion mechanism of the outsourcing provider, the external promotion mechanism of the government, the consumer promotion mechanism, the external promotion mechanism of the competitor, the external promotion mechanism of the investor and the promotion of non-governmental organizations. The system will focus on the external promotion mechanism of the buyer and the outsourcing provider, the external promotion mechanism of the government, the external promotion mechanism of the consumer and the external promotion mechanism of the competitors.
The external promotion mechanism of buyer and outsourcing provider refers to the external mechanism of the buyer and outsourced business (i.e. upstream enterprise) through market constraints to motivate the seller and contractor (i.e. downstream enterprise) to perform social responsibility. Recently, the abuse of the independent status of corporate legal persons has been extended from shareholders to non shareholders, and some enterprises are non shares to other companies. The lack of attention obligation (the "corporate indirect social responsibility") of the interests of the eastern stakeholders is increasingly serious. The situation concentrates on the abuse of the corporate status of the downstream enterprises by the upstream large enterprises, with their own human resources and capital, and the transfer of operating costs through the torts of the downstream enterprises. The non contractual relationship between the non shareholder stakeholders. This practice is contrary to the justice principle of "income" and "responsibility". In our country, although the current legislation does not recognize the "corporate indirect social responsibility", the similar treatment has been embodied in the relevant laws and regulations and judicial interpretations related to the labor law. The law still has shortcomings in the applicable subject, the scope of application, the setting of obligation and the way of relief. Therefore, it can refer to the relevant legislation of the United States and the legal system of indirect social responsibility of the enterprise according to the actual situation of our country, thus guiding the upstream enterprises to supervise the social responsibility of their downstream enterprises.
The external promotion mechanism of the government refers to the external mechanism that the government directly or indirectly encourages and restricts the enterprise to fulfill the social responsibility through coercion, promotion, cooperation, approval and demonstration. The organization for economic cooperation and development and the world bank have a study on the external promotion mechanism of the government and put forward some suggestions. Meanwhile, the government is worthy of reference. Responsibility procurement is a common means for governments to promote corporate social responsibility. Combining with the national conditions of our country, it is suggested that 3 specific schemes can be considered in the construction of the legal system of government responsibility, that is, the mandatory suppliers meet certain social responsibility standards, and the suppliers are required to publish the social responsibility report and to obtain the corporate social responsibility. The awards companies give preferential government procurement.
Consumers have a long history in promoting enterprises to fulfill their social responsibilities. They choose whether to buy goods provided by an enterprise in the consumer market to affect the business behavior. With the global social responsibility activities in recent years, consumers are more concerned with the enterprise itself when buying goods, and its social responsibility. Based on this recently popularized consumption pattern, corporate social marketing appears. Enterprises want to promote their social responsibility by this way, thus improving their corporate reputation and attracting more consumers. However, since there are many publicity information in the corporate social marketing that has nothing to do with goods or services, the Chinese consumers are here. There is no adequate legal protection, which leads to the inability of the consumer external promotion mechanism to operate effectively, because consumers can not tell which enterprises ignore social responsibility and can not truly participate in social responsibility consumption in the absence of correct corporate social responsibility news. Within the scope, the rights and interests of the corporate social responsibility consumers can be protected more effectively, and it can also provide the conditions for the start of the external governance mechanism of the consumer, thus promoting the enterprise to fulfill the social responsibility.
With regard to the external promotion mechanism of competitors, the 11 types of unfair competition acts stipulated in the second chapter of China's anti unfair competition law are improper market competition behavior. That is to say, the competitor can correct the non market unfair competition behavior of other operators by "Anti Unfair Competition Law", so as to maintain the market competition rank. The preface protects the interests of consumers and other operators. However, it is limited to the promotion of corporate social responsibility, because these market improper competitive behaviors do not include the neglect of social responsibility to indirectly infringe on market competition, such as arrears of employees' wages, lengthening working hours and excessive pollution discharge. The non market neglect of the social responsibility of the operator can not give full play to their role in promoting the corporate social responsibility of other operators. Therefore, combining with the national conditions of our country, it is suggested that the "non market unfair behavior of reducing the operating cost through other laws and regulations" is explicitly included in the unfair competition behavior. It can not only protect the legitimate interests of the competitors, but also build the legal mechanism for the competitors to supervise the enterprise to fulfill their social responsibilities. Even if the "non market competition act" can not be directly added to the anti unfair competition law, the court should apply the present "anti unfair" according to the specific circumstances of each claim. The second first sections of the competition law require non market unfair competition actors to bear corresponding civil liabilities.
Finally, from the macro point of view, there are three main reforms to promote the legal system of corporate social responsibility. They emphasize the reform of the company law, the non corporate law reform and the reform of the judicial system. However, the comprehensive analysis of the legal system construction, the judicial tradition and the cost of reform at the present stage of our country, the non corporate legal reform seems more feasible and more consistent. The actual needs of our country.

【学位授予单位】：华东政法大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：D922.291.91;F270

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