【作者】 艾琳；

【导师】 冯彦君；

【作者基本信息】 吉林大学 ， 经济法学， 2014， 博士

【摘要】 劳动关系是重要的社会关系之一。我国正处于发展的重要战略机遇期，同时又处于劳动关系矛盾的凸显期和由个别劳动关系向集体劳动关系的转型期。集体谈判制度被认为是西方国家以制度方式有效化解劳动者与雇主两大对立阶级矛盾、有组织地解决集体劳资冲突的一项伟大的社会发明，在我国推进和谐劳动关系建设中是值得期待的。本文从解释论的视角，对集体谈判权的定义进行了规范。为了更加贴近“集体谈判”的本意，未使用“集体协商”、“集体协议”等去冲突化的语言表述，并从完善立法、指导实践的角度，对集体谈判权的内容、权利行使中的侵权现象进行了剖析，对学界关注的罢工权立法及工会独立性确认等问题进行了全面的分析和解读，以期构建起较为完善的集体谈判制度框架。从研究的意义入手，分析了集体谈判的理论意义和实践价值，指出集体谈判制度设立的紧迫性和重要性。其次说明文章的研究方法，主要是采取语义分析方法明晰概念；采取实证研究方法，以劳资纠纷典型案例为对象进行问题解析；运用比较研究方法，对比国外立法的做法经验，适当借鉴、合理移植。最后是对此问题研究的预计突破，即通过对集体谈判理论的梳理和系统构建，分析权利主体中的弃权、侵权现象，为促进集体谈判权的立法提供理论指导。对集体谈判权进行了多元解释。首先在齐美尔、科塞“社会冲突理论”的理论框架下对“集体谈判”、“集体协商”、“集体协议”进行词义辨析，明确“集体谈判”的法律概念。其次从人权、劳权、公民权三种权利形态出发，探究了集体谈判权的法律属性。最后从正义、自由和效率原则入手，明确了集体谈判权的法律价值。对集体谈判权利场域中的权利主体、义务主体、特殊主体进行了详尽、明确的阐析。在权利主体的划分中，把工会作为劳动者的代表主体，展现了具有“双重代表”身份的工会在集体劳动关系中的重要位置和尴尬处境；在义务主体的划分中，把雇主组织列入其中，体现了我国亟须建立行业级、区域级集体谈判的现实状况；在特殊主体的划分中，把政府列入其中，体现了政府作为集体谈判“第三方”的不可或缺性和正确定位的必要性。本章是下文进行侵权及救济研究的基础和起点。对集体谈判制度构造进行研究。首先结合对美国集体谈判制度的借鉴，充实了国内现行的集体谈判内容，丰富了该制度应有的内容构造，并对国内外集体谈判构成中最重要的内容——工资集体谈判进行了详尽的说明与解读。其次从程序上对行使集体谈判权的准备、过程与结果进行了梳理。在行使集体谈判权的准备阶段，强调了代表人的确立和信息披露的重要性；在集体谈判的结果上，对我国当前集体合同的签订情况做了一定的实证考察。对权利运行中的主体弃权、侵权现象进行了详细的分析。在权利主体的弃权方面，结合法制史研究中的法律文化视角，分析了劳动者因法文化的积淀、法意识的缺乏造成的权利意识薄弱、因“搭便车”心理造成的主动弃权的现象；在义务主体的侵权方面，通过案例分析了雇主未尽承认谈判义务和未尽诚实谈判义务的现象；在特殊主体侵权方面，论述了因政绩导向下的越位、管制导向下的缺位、利益导向下的错位造成的侵权现象。对当下集体谈判制度运行中的困境进行的多角度、多维度的透视，为本文第六章对集体谈判制度的救济与保障研究打下了伏笔。对集体谈判权的权利救济进行了研究。首先通过对救济种类的划分，论证了集体谈判权本身就是一种积极的自力救济的权利。在自力救济方面，运用社会工作中的“增权”理论，分析了劳动者个体增权的困境，主张通过社会的良性中间力量和工会的外力作用促成个体增权，激发和挖掘劳动者的潜能，提高劳动者的个体素质，实现真正的“造血”。对于工会在集体谈判中权利主体的代表主体的角色定位进行了较为系统的研究，提出了建立“低耦合、高内聚”的真正代表劳动者利益的工会。从维护社会的公平、正义入手，从源头上改变劳动者的弱势地位。提出完善政府的劳工政策，特别论述了罢工权立法，这一劳动法研究领域的热点及难点问题，梳理了罢工的概念、发展、存在问题并阐述了解决思路和方法。最后建议政府转变对劳动关系的思维定式和管理模式，从“意图伦理”向“责任伦理”适时过度，建立有所为亦有所不为的“法治政府”、“有限政府”和“善治政府”。本文对集体谈判权的研究，是基于各种学术理论和相关学术观点展开的，是围绕集体谈判权的内容构造，着眼于具有典型代表性的集体劳动冲突实例，从侵权状态的分析到救济举措构建的落实，力图描绘和构建较为完整的以团结权为基础、罢工权为保障并符合中国国情的集体谈判制度体系。更多还原

【Abstract】 Labor relationship is one of the key social relationships. Our country is in theimportant period of strategic opportunities, the contradiction of labor relation issharper while the individual labor relations is transforming to the collective laborrelations. The collective bargaining system is considered as a great social invention ofwest countries, it can effectively resolve the class contradiction between employeesand employers as well as collective labor conflicts, thus is a promising solution forimproving the construction of harmonious labor relations in our country.This dissertation specifies the definition of collective bargaining rights from theperspective of interpretation theory. In order to stay more practical, the deconflictedlegal words like “collective negotiation” and “collective agreement” are avoided. Thecontents, rights, and the infringements of collective bargaining are analyzed for thepurpose of improving legislation while directing practices. Key issues of mostconcerns including the legislation of the right to strike and the independenceconfirmation of labor union are comprehensively analyzed and interpreted for buildinga well-functioned collective bargaining system.First of all, the research significance is illustrated, the values of collectivebargaining in both theory and practice are analyzed, the urgency and importance ofcollective bargaining system are addressed. Furthermore, the research methodologiesare explained, semantic analysis is adopted on defining concepts, empirical analysis isadopted on explaining labor dispute cases, comparative study is adopted on referencingand transplanting legislation experience of foreign countries. Finally, expectedtheoretical breakthroughs are forecasted, the ultimate goal of the dissertation is tocontribute to the legislation of collective bargaining rights by carding and constructingthe collective bargaining system theory while analyzing the abstentions andinfringements of subject of rights.The multi-dimensional explanation for the collective bargaining right is provided. To begin with, the definitions of “collective bargaining”,“collective negotiation” and“collective agreement” are discriminated from the perspective of social conflict theoryby Georg Simmel and Lewis Coser, so that the legal definition of “collectivebargaining” can be accurately defined. Moreover, the legal attributes of the collectivebargaining right are explored from the angles of human rights, worker rights and civilrights. In the end, the legal value of the collective bargaining right is discussed by wayof justice, freedom and efficiency principles.Explicit and clear definition for the subjects of rights, subjects of obligations andspecial subjects is presented with respect to the collective bargaining right. Whileclassifying the subjects of rights, the labor union is considered as the representative oflabors, its key position and embarrassing situation in the collective labor relations isindicated as a “dual representative”. While classifying the subjects of obligations, theemployer organization is enlisted to reflect the practical status that our country needsto establish collective bargaining system of both profession level and region level.While classifying the special subjects, the government is enlisted to reflect itsindispensability in playing the role of “the third party” in collective bargaining, as wellas the necessity of its positioning. This section stays as the foundation and the originfor researches of infringements and legal remedies.The system construction of collective bargaining is studied. First, the contents ofcollective bargaining currently available in our country are enriched throughreferencing the American collective bargaining system. What is missing for the systemis fulfilled, the collective salary bargaining is illustrated explicitly since it is consideredthe key issue in the construction of collective bargaining system. Second, the programof collective bargaining is carded, including preparation stage, process stage and resultstage. In the process stage, the importance of establishing representative and disclosinginformation are emphasized. In the result stage, the current status of collectivecontracts in our country is illustrated.A detailed analysis on the subjects abstentions and infringements is provided.While studying the cases of subjects abstentions, the legal culture angle of legal historyresearch is employed. The labors have a weak consciousness on their rights due to theaccumulation of legal culture and the lack of legal consciousness. They tend to waive their rights actively under the psychological phenomenon of “free riding”. The reasonsfor these phenomenons are analyzed in details. While studying the infringements ofobligations subjects, typical cases are given and analyzed where the employers failedto acknowledge the negotiation or failed to do it honestly. While studying theinfringements of special subjects, three infringement types of the government areaddressed, including the achievement-driven offside, the management-driven absence,as well as the profit-driven misplacement. Besides, the dilemma during the running ofcurrent collective bargaining system is analyzed from multiple angles and multipledimensions. Such analysis has made a preparation for the research in section six whichfocuses on the protection and remedy of collective bargaining rights.The remedy and protection of collective bargaining rights are explored. Theremedy types are classified, and the collective bargaining right is proven to be anactive right manner of self remedy. While studying the self remedy aspect, theempowerment theory of social work is introduced, the labors’ dilemma of individualempowerment is analyzed. This dissertation proposes to improve the individualempowerment by utilizing the benign intermediate forces plus the exogenic action oflabor union. In this way, the potential of labors can be stimulated and explored, thepersonal development of labors can be promoted, thus a thorough solution can befound. The role positioning of the labor union is fully studied, it is identified as therepresentative of rights subjects, it has to meet the requirement of “low coupling&high cohesion” so as to stand for the labors’ interests. While studying the protectionaspect, the fairness and justice of the society is emphasized for changing theunfavorable position of labors from the sources, the labor policy of the government hasto be fulfilled. The legislation of the right to strike is discussed, the concepts,development and problems with respect to striking are carded with the correspondingsolutions illustrated. The government needs to think out of the box and change the wayof managing the labor relationships, to move from “ethic of intentions” to “ethic ofresponsibility”, to become “law-based government”,“restricted government” and“well-organized government” with proper boundaries.Research on collective bargaining rights in this dissertation stands on top ofrelative academic theories and ideas. The content construction of collective bargaining rights is presented, typical collective labor conflict instances are concerned, theinfringement status is analyzed, and the legal remedy measures are constructed andimplemented. All in all, a relatively complete collective bargaining system is proposedin accordance with Chinese conditions, which takes the right to unity as foundationand the right to strike as protection.更多还原