【作者】 彭闯；

【导师】 涂文涛；

【作者基本信息】 西南财经大学 ， 政治经济学， 2014， 博士

【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。更多还原

【Abstract】 With the planned economic system transiting to the market economic system, and the unitary social structure turning into the polybasic social structure, China has already gradually stepped into the high-risk stage of the development of modern society. The industrial relations play an important role in the changes of social-economic structures and have a significant effect on the development process of risk society, but at present, contradictions and conflicts among the related subjects of industrial relations become one of the most prominent social-economic problems. In the beginning of Chinese reform and opening up, due to the lack of capital factors, labor supply outnumbering demand and the tilt of policy system, etc., the industrial relations take on an obvious characteristic, namely, powerful capital but weak labor. This kind of industrial relations is different from the integrative labor relations among government, enterprises and labor under the planned economic system. There also are contradictions and conflicts among government, enterprises and labors in the integrative labor relations. But under the temporal political environment and planned system, there are no fundamental conflicts between subjects of industrial relations. Therefore, there is no need and possibility to design more systems to coordinate relations between each other.Along with the gradual establishment of market economic system, the transformation of social-economic system is becoming more efficient, meanwhile makes the conflicts between the labor and the capital salient. Under the socialist market economic system, the labor and the capital began to play strategic interaction game as independent participant subjects based on the mastered information. These two parties may have disagreement on the way of element combination and the proportion of product allocation, which may result in contradictions and conflicts. In the process of Chinese market economy development, there exists many problems, such as leftover problems of system reform, absence of market subjects, the impact of globalized transnational capital and the pressure of economic increase in local governments, etc. All these problems make the pattern of "powerful capital and weak labor" established and further strengthened. During such a process, serous inequality in various aspects such as, rulemaking of the contractual relationship between the labor and the capital and even the benefit game in the field of production and distribution, may make the conflict behaviors between two parties more frequent. Further, the conflicts may be upgraded and transformed into a significant risk influencing reform and development, so that affect social harmony and the sustainable development of economy. Therefore, a kind of system design is needed to coordinate conflicts and relieve the contradictions between the labor and the capital. Exactly, as an effective method to coordinate industrial relations, the collective bargaining system receives more and more concern from various persons, so it is completely necessary to study the collective bargaining system from the theoretical and practical perspectives.Seeing from the western countries of developed market economics, during the hundreds of years’conflicts, the labor and the capital followed the requirements of maximizing the economic benefit for them, and gradually established and perfected the collective bargaining system which has already become the most important means to deal with disputes between the labor and the capital in developed countries. Compared with countries of developed market economics, national conditions of China differ greatly in political system, government functions, the development degree of market factors, etc., but as a developing country moving actively forward to the marketization, China is certainly confronted with common laws experienced by developed countries, which has reached a basic consensus in Chinese decision-making level and grassroots level. For example, in the Third Plenary Session of the18th Central Committee of CPC, statement that the market plays a decisive role in the allocation of resources is a powerful testament. We also need to draw lessons from the doctrines and methods of western countries of developed market economics when coordinating the industrial relations, balancing the force of labor and capital in enterprises and improving the reasonability and fairness of enterprises’salary distribution system.Based on Marx’s theory about industrial relations and wage, drawing lessons from other western theories related to industrial relations and the practical experience of the developed market economic countries, according to the actuality of labor relations of Chinese enterprises at the present stage, and based on the previous researches about enterprise salary collective bargaining at home and abroad, this study not only combs the main problems existing in Chinese enterprise salary collective bargaining and main reasons causing these problems, but also puts forward countermeasures to improve and perfect Chinese enterprise salary collective bargaining at present stage. Meanwhile, this study tries to explore innovation on constructing analysis framework and has analytical investigation about bringing the public organizations or individuals as a forth party subject into the traditional three-party mechanism consisting of labor, capital and government.Following the research approach, namely, combing theory, constructing framework, empirical analysis, raising questions and solving questions, the thesis constructs a systematic research framework for perfecting Chinese enterprise salary collective bargaining system. This thesis consists of eight chapters in all.Chapter one is the introduction. In this part, the research background, research contents, significance and objectives are introduced. Also this part points out the research approach, methods, and possible innovation and deficiency; meanwhile, it defines and explains some key concepts:the industrial relations and the labor relations, salary collective negotiation and salary collective bargaining.Chapter two is about the related theories and literature review. It painstakingly combs a series of related theories and models of industrial relations and wage theory, etc. put forward by Marx and other western scholars, systematically combs and reviews the research status of collective bargaining at home and abroad, and evaluates and analyzes the hot points and difficult points of domestic and overseas literature researches in recent years. All of these lay a foundation for composing this thesis.Chapter three is the construction of analysis framework for Chinese enterprises salary collective bargaining. Through analyzing the subjects, content, procedure, structure, dispute mediation and arbitration, restriction means and other constitutive requirements of enterprise salary collective bargaining, this chapter constructs a theoretical analysis framework. This chapter is the emphasis and innovative point in the whole text. The emphasis lies in:aiming at the characteristics of Chinese industrial relations and concrete practice of the enterprises salary collective bargaining, drawing lessons from western theories about industrial relations, especially Dunlop’s system theory of industrial relations, the author puts forward the analysis framework consisting of the subjects, social environment, common idea and rules construction of Chinese enterprise salary collective bargaining. On the basis of the traditional three-party relationship among labor, capital and government, the author puts forward innovative researches about constructing "quartet cooperative game" relationship among labor, capital, government and public organization or individual and improving the operation rules of salary collective bargaining. The "quartet cooperative game" relationship is established by bringing in public organization or individual as a forth cooperative element on the basis of "labor, capital and government" relationship and improving the operation rules. The purpose of establishing new cooperative game mechanism of labor relations is to achieve the harmonious development of labor relations during operating enterprises salary collective bargaining.Chapter four is to analyze the foreign salary collective bargaining models and learn from them. It mainly focuses on the salary collective bargaining system in the United States, Japan and Germany. Furthermore, it respectively combs the specific content, operation effect, existing problems, etc. of this model, and deeply analyzes the referential value that the model of Western developed countries has for Chinese enterprises salary collective bargaining system.Chapter five talks about the developmental history, practice model and performance evaluation of Chinese enterprises salary collective bargaining. This chapter systematically reviews developmental process of Chinese establishing the salary collective bargaining system; studies the local model of enterprises salary collective bargaining that China implements, and analyzes the reasons of forming different models; by means of specialized investigations and statistics, the implementation effect of enterprises salary collective bargaining in Sichuang province and the factors influencing it are also analyzed in this chapter. Wholly speaking, this chapter studies the establishment, development and effect of Chinese enterprises salary collective bargaining system from the perspective of empirical analysis.Chapter six points out the existing problems of Chinese enterprises salary collective bargaining and analyzes the reasons for them. Making use of the system theory of industrial relations and collective actions, etc., the author systemizes the main problems existing in Chinese enterprises salary collective bargaining, such as, less independence and weaker representativeness of Chinese labor union organization, workers’ nonparticipation in collective negotiation, the cognitive and behavioral deviation that government shows about enterprises salary collective bargaining, employers’participation in the bargaining, the laws and regulations related to the bargaining, and the structure and the fourth-party regulating mechanism of bargaining. All these problems are analyzed respectively. Systemizing and studying these problems lays foundation for constructing the enterprises salary collective bargaining system with Chinese characteristics.Chapter seven analyzes the countermeasures used in Chinese enterprises salary collective bargaining and ways to improve them. This chapter systematically put forwards countermeasures from different aspects for Chinese enterprises salary collective bargaining. These aspects are:constructing polybasic value judgment of industrial relations, establishing the legal system underlying the salary collective bargaining through strengthening state and local legislation, strengthening the construction of representativeness and independence of labor union organization, facilitating workers’ participation in collective action and achieving structural adjustment of bargaining through selective incentives, strengthening employers’ organizational construction and information disclosure, facilitating parity of bargaining and ensuring the necessary right of labor union participating in collective action, bringing in the fourth party coordination mechanism, etc. These suggestions are difficult to operate in practice, but facing the fact that the process of marketalization is speeding and the conflict of industrial relations is exacerbating, we must envisage these issues and steadily solve them.Chapter eight is about the research prospect. As the epilogue part, this chapter elaborates the content and field that can be studied in the future, including the theoretical, institutional and mechanism innovation of salary collective bargaining.As an effective institutional method to regulate industrial relations in western countries of developed market economics, the salary collective bargaining system plays an important role in resolving conflicts between the labor and the capital and coordinating the industrial relations. A Chinese old saying goes that "stones from other hills can be used to polish jades", so we should learn from successful experience of others. But meanwhile we should pay attention to the problem-"orange is orange when born in Huainan, being trifoliate orange when born in Huaibei", and therefore combine the foreign successful experience with Chinese specific conditions to make the collective bargaining system to grow up like a fruit tree in China.更多还原