中国企业工资集体谈判关系研究

发布时间：2018-03-18 07:36

本文选题：劳资关系　切入点：企业　出处：《西南财经大学》2014年博士论文　论文类型：学位论文

【摘要】：随着经济体制由计划向市场转型、社会结构由单一向多元变迁,中国已经逐渐步入现代社会发展的高风险阶段。劳资关系在社会经济结构变迁中扮演了重要的角色,在风险社会发展过程中起着重要的影响作用,劳资关系相关主体之间的矛盾与冲突问题成为了当前最为突出的社会经济问题之一。中国在改革开放之初,由于资本要素缺乏、劳动力供给大于需求以及政策制度的倾斜等原因,使得劳资关系表现出明显的“资强劳弱”特征。这种劳资关系不同于计划经济体制下政府、企业与劳动者之间形成的一体化的劳动关系。在计划经济条件下,政府、企业和职工也有矛盾和冲突,但在当时的政治环境和社会体制下,劳资关系主体之间没有根本性的冲突,在协调彼此之间的关系上不需要也不可能有更多的制度设计。中国经济社会体制转型在提高效率的同时,也使劳资之间的矛盾冲突凸显出来。在社会主义市场经济体制下,劳资双方开始作为独立的参与主体,基于所掌握的信息进行策略互动博弈。在要素结合的方式及产品分配比例上,双方可能存在着分歧,进而产生矛盾和冲突。中国市场经济发展过程中存在的体制遗留问题、市场主体不到位问题、全球化跨国资本的冲击和地方政府的经济增长压力等相关问题使得“资强劳弱”的格局得以确立并进一步强化。在这样的过程中,劳资双方在契约关系的规则制定、乃至生产领域和分配领域等关涉利益博弈的各个方面的严重不对等,可能会使双方的冲突行为变得更加频繁,冲突升级并转化为改革发展的一项重大风险,以至于影响社会的和谐以及经济的可持续发展。在这种情况下,需要一种制度设计,协调劳资冲突,缓解劳资矛盾。而集体谈判制度作为协调劳资关系的有效方法正越来越受到各方面的关注,从理论和实践上对集体谈判制度进行研究显得十分必要。从西方发达市场经济国家来看,劳资双方在上百年的斗争过程中,遵从现实双方经济利益最大化的要求,逐渐产生完善了集体谈判制度,集体谈判制度已经成为发达国家处理劳资纠纷最重要的手段。虽然中国的国情与发达市场经济国家在政治体制、政府职能、要素市场的发育程度等方面都有着很大的差异,但作为一个向着市场化积极推进的发展中国家,必定面临着与发达国家所经历的共同规律,这一点在中国决策层和基层都形成了基本的共识,如中国共产党十八届三中全会中关于市场在资源的配置中起决定性作用的论述就是有力的证明。在协调劳资关系,平衡企业劳资力量,促进企业工资分配制度更加合理、更加公平上也要借鉴西方发达市场经济国家的理论和实践。本文的研究以马克思的劳资关系理论和工资理论为指导,借鉴其他西方劳资关系相关理论和发达市场经济国家的实践经验,以现阶段我国企业劳动关系现状为依据,在国内外关于企业工资集体谈判已有研究的基础上,以劳资关系系统理论为分析工具,以集体谈判的构成要素为分析要件,建构理论分析框架,在研究过程中,就我国企业工资集体谈判存在的主要问题、主要原因进行梳理,并就现阶段中国企业工资集体谈判的改进与完善,提出了自己的对策建议。在建构分析框架上尝试进行创新探索,将公共组织或个人作为第四方主体引入传统的劳资政三方机制中进行分析研究。论文遵循“梳理理论—建构框架—实证分析—提出问题—解决问题”的研究思路,设计了中国企业工资集体谈判研究的技术路线,确定了相关的研究内容,全文包含八章内容。第一章为导论。介绍本文的写作背景、研究内容、意义和目的,提出本文的研究思路和研究方法,以及可能的创新与不足,同时对关键概念——劳资关系与劳动关系、工资集体协商与工资集体谈判进行了界定释义。第二章为相关理论与文献综述。本章细致梳理了马克思及西方其他学者的劳资关系理论和工资理论等一系列相关理论和模型,对国内外集体谈判的研究状况进行了系统梳理和评述,对近年来国内外文献研究的热点和难点问题也进行了评析,通过对相关理论和文献的梳理研究,为本文的写作奠定基础。第三章为中国企业工资集体谈判的分析框架构建。本章通过分析企业工资集体谈判的主体、内容、程序、结构、争议调解与仲裁、制约手段等构成要件,建立一个理论分析框架,本章是本文的创新点。其重点是针对我国劳资关系的特点和企业工资集体谈判的具体实践,借鉴西方劳资关系理论,特别是邓洛普劳资关系系统理论,提出我国企业工资集体谈判的主体、社会环境、共同理念和规则的构建等分析框架。笔者在传统的“劳、资、政”三方关系的基础上,提出了构建“劳、资、政、公共组织或个人”的“四方合作博弈”关系及运行规则的改进的创新研究。“四方合作博弈”关系是在“劳资政”关系的基础上,加入“公共组织或个人”的第四方合作性元素,同时改进运行规则,其目的是在企业工资集体谈判的运行中,通过建立新的劳资关系的合作博弈机制,进而实现劳资关系和谐发展。第四章为国外工资集体谈判模式分析及借鉴。本章重点研究了美国、日本和德国的工资集体谈判制度,分别就其模式的具体内容、运行效果、存在的问题等进行了梳理,就西方发达国家的模式对中国企业工资集体谈判制度的借鉴意义进行了深入的分析。第五章为中国企业工资集体谈判的发展历程、实践模式和绩效评价。本章全面梳理了中国建立工资集体谈判制度的发展历程；研究了中国推行企业工资集体谈判的地方模式,对不同模式的形成原因进行了分析；通过专门的调查统计,分析了四川省企业工资集体谈判的实施效果和影响因素。从实证分析的角度研究了中国企业工资集体谈判制度的建立、发展和效果。第六章为中国企业工资集体谈判存在的问题及原因分析。笔者利用劳资关系系统理论和集体行动等理论系统梳理了中国企业工资集体谈判存在的主要问题。分别分析了中国工会组织的独立性,代表性的问题、工人参与集体谈判行动的问题、政府在企业工资集体谈判问题上的认识和行为问题、资方在工资集体谈判中的行为问题、企业工资集体谈判相关法律法规的问题、企业工资集体谈判的结构问题、企业工资集体谈判的第四方调节机制问题。通过对这些问题的梳理和研究,为构建中国特色企业工资集体谈判制度奠定了基础。第七章为中国企业工资集体谈判对策分析及改进。本章从构建劳资关系的多元价值判断入手,从加强国家和地方立法,建立工资集体谈判的法律支撑体系、加强工会组织的代表性与独立性建设、通过选择性激励,促进工人参与集体行动、实现谈判的结构调整,加强雇主组织建设、加强信息披露,促进谈判的对等性、保障工会必要的集体行动权、引入第四方协调机制等方面系统提出了中国企业工资集体谈判的对策建议。这些建议在实践中有的具有一定的操作难度,但面对市场化进程的加快和劳资矛盾日益加剧的现实场景,我们必须正视这些问题并且稳妥地推进这些问题的解决。第八章为研究展望,本章作为结语部分,对未来可以研究的内容和领域做出阐述,包括工资集体谈判的理论创新、制度创新和机制创新。工资集体谈判制度作为西方发达市场经济国家调节劳资关系的有效制度方法,在解决劳资冲突,协调劳资关系上发挥了重要作用。“他山之石,可以攻玉”,我们要学习借鉴他人的成功经验,同时也要注意克服“橘生淮南则为橘,生于淮北则为枳”的问题,将国外的成功经验与中国的具体国情结合起来,使集体谈判制度在中国的大地上开枝散叶,硕果累累。
[Abstract]:Along with the economic system transformation from planned to market, from single to multiple social structure changes, Chinese has gradually stepped into the high-risk stage of the development of modern society. Labor relations play an important role in the social and economic structure changes, in the risk in the process of social development has important effect to the problem of the conflict between labor relations the subject has become one of the most prominent social and economic problems. Chinese at the beginning of reform and opening, because of lack of capital, labor supply is greater than demand and tilt policy system, the labor relations show "strong capital weak labor". The labor relation is different from the government under the planned economic system. The integration between enterprise and employee labor relations. The government under the condition of planned economy, enterprises and workers also have contradictions and conflicts, but at the time Under the political environment and social system, there is no fundamental conflict between the subjects of labor relations. There is no need for institutional coordination to coordinate the relationship between them.
Chinese economic and social system transformation to improve efficiency at the same time, the conflict between labor and capital is prominent. Under the socialist market economy system, both sides began as the participants independently, grasp the information strategy of the interactive game. Based on a combination of factors and product distribution proportion, the two sides may disagree. Then the contradictions and conflicts. The existing legacy development process Chinese in market economy system, the main body of the market is not in place, issues related to the impact of globalization of transnational capital and the local government's economic growth pressure makes "strong capital weak labor" pattern can be established and strengthened. In this process, both sides in the formulation the contractual relationship of the rules, and the production field and distribution fields concerned with the interests of all aspects of the game not so serious, may cause the double side impact Suddenly become more frequent, and the escalation of the conflict into a major risk that the reform and development of the society and the development of economy. In this case, the need for a system design, coordination of labor conflicts, ease the labor conflicts. Collective bargaining system as an effective way to coordinate labor relations is becoming more and more the attention of each respect, it is necessary to study on the collective bargaining system from theory and practice.
The western developed market economy countries, both sides in the hundreds of years of struggle in the process, to maximize the economic interests of both sides to comply with realistic requirements, gradually improve the system of collective bargaining and collective bargaining system in developed countries has become the most important to deal with labor disputes. Although China conditions with developed market economy countries, the functions of the government in the political system, the degree of development of factor markets and other aspects are very different, but as a market to actively promote the developing countries must face the common law and the experience of developed countries, which is in the China decision-making layer and the base layer are formed a basic consensus, such as the Communist Party in the third Plenary Session of the 18th CPC Central Committee Chinese on the market play a decisive role in the allocation of resources this is the powerful proof. In the coordination of labor relations, labor force balance, promote enterprises The wage distribution system of the industry is more reasonable and more fair, the theory and practice of western developed market economy countries should also be used for reference.
The research on labor relations theory and Marx wage theory as a guide, learn from other related theories of Western labor relations and the developed market economy countries experience, the status of labor relations in China at the present stage as the basis, at home and abroad on the basis of judgment about enterprise collective wage on existing research on labor relations system theory analysis tools, with elements of collective bargaining for the analysis of elements, construction of the analytical framework, in the course of the study, the main problems existing in our country enterprise collective wage negotiations, the main reason to sort out, and to improve the wages of collective bargaining Chinese enterprises and perfection, puts forward his suggestions on construction analysis. The framework attempts to explore innovation, research and analysis of the public organizations or individuals as the fourth subject into traditional labor affairs three party mechanism.
The paper follows the research train of thought of "combing theory, constructing framework, empirical analysis, putting forward problems and solving problems", and designs a technical route of research on wage collective bargaining in Chinese enterprises, and determines relevant research contents. The full text contains eight chapters.
The first chapter is introduction. Introduces the research background, research content, purpose and significance, put forward the research ideas and research methods, and possible innovations and shortcomings, the key concept of industrial relations and labor relations, collective bargaining and collective wage negotiations defines the interpretation.
The second chapter is the related theories and literature review. This chapter reviews Marx and other scholars of the western labor relations theory and wage theory and a series of related theory and model study of the domestic and international situation of collective bargaining systematically and comment on hot and difficult problem in the study of the literatures in recent years were also through the analysis, to study the relevant theory and literature, to lay the foundation for the writing of this article.
The third chapter is the construction framework of China enterprise collective wage negotiations. This chapter through the analysis of main body, collective wage negotiations, program structure, dispute mediation and arbitration, which means the constituent elements, establish a theoretical analysis framework, this chapter is the innovation point of this paper. The focus is on the specific characteristics of practice China's labor relations and collective wage negotiations, the western labor relations theory, especially the Dunlop labor relations system theory, put forward the main body, our country enterprise collective wage negotiations of the social environment, construction of analysis framework of common ideas and rules. The author in the traditional "labor, capital, political foundation" three party relationship on the proposed "labor, capital, government, public organizations or individuals" and "Quartet cooperative game" and the relationship between the operation rules of improved innovation research. "Quartet cooperative game" is in the "tripartite relationship Based on the relationship, we add the fourth party cooperation elements of "public organization or individual", and improve the operation rules at the same time. The purpose is to establish a new cooperative game mechanism of labor relations in the collective wage negotiation of enterprises, so as to achieve the harmonious development of labor relations.
The fourth chapter is the analysis and reference of foreign collective wage negotiation mode. This chapter focuses on the United States, Japan and Germany, the collective wage negotiation system, respectively. Specific content, its mode of operation effect, problems are summarized, it analyses deeply the significance of western developed countries on Chinese wage the collective bargaining system.
The fifth chapter is the development of China enterprise collective wage negotiation, practice mode and performance evaluation. This chapter comprehensively combs the development process of the establishment of the system of collective wage bargaining China; on the implementation of China enterprise collective wage negotiations on the formation of different patterns of local model, the paper analyzes reasons; through the investigation and statistical analysis of the special. The effect factors of Sichuan enterprise collective wage negotiation and establishment. From the perspective of empirical analysis of Chinese enterprise wage system of collective bargaining, development and effect.
The sixth chapter is analysis of the problems and the reasons for China collective wage negotiations. The author uses the labor relations system theory and collective action theory systematically summarizes the main problems China enterprise collective wage negotiations. Chinese respectively analyzes the independence of trade union organizations, representative problems, workers participate in collective bargaining action problem, government awareness and the behavior in the enterprise collective wage bargaining issues, behavior of the employers in the collective wage negotiations, enterprise wage collective bargaining legal problem, structure of enterprise collective wage negotiations, the problem of fourth party enterprises collective bargaining mechanisms. Through carding and Research on these problems, laid the foundation for the construction of Chinese enterprise collective wage bargaining system.
The seventh chapter is Chinese enterprise collective wage bargaining countermeasure analysis and improvement. This chapter from the construction of labor relations in the pluralistic value judgment of the strengthening of national and local legislation, the establishment of collective bargaining legal support system, strengthen the construction of representation and independence of trade union organizations, through selective incentives, promote workers' participation in collective action, implementation structure the adjustment of the negotiations, strengthen the employer organization construction, strengthen information disclosure, promote equal negotiation and collective action necessary to guarantee trade union rights, the introduction of four coordination system and puts forward some countermeasures and suggestions in China. These enterprises collective wage negotiation suggestions in practice have certain operational difficulties, but in the face of market process the speed and labor conflicts intensified reality scene, we must face these problems and solve these problems and steadily push forward the.
The eighth chapter is the research prospect. This chapter, as the epilogue, expounds the contents and fields that we can study in the future, including the theoretical innovation, institutional innovation and mechanism innovation of collective bargaining.
The effective method of wage collective bargaining system as the system of market economy of the western developed countries adjust labor relations, to solve the conflict, the coordination of labor relations has played an important role. "Outside the box, so, we should learn from the successful experience of others, but also to pay attention to overcome" for orange orange health Huainan, born in Huaibei Zhi ", the specific conditions of foreign successful experience and Chinese together, the collective bargaining system in the Chinese earth flourishing, fruitful.

【学位授予单位】：西南财经大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F249.24

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