【作者】 罗后清；

【导师】 程民选；

【作者基本信息】 西南财经大学 ， 政治经济学， 2008， 博士

【摘要】 正文共分为五大部分,前四部分分别论述了当代西方劳动力产权制度变迁的历程与动因、理论背景、内在机制与绩效,第五部分联系我国实际,探讨当代西方劳动力产权制度变迁对我国的启示以及我国劳动力产权制度变迁机制的转型与重构问题:(一)西方劳动力产权制度变迁的历程与动因。西方劳动力产权制度在当代(第二次世界大战后)的变迁与创新广泛涉及劳动力产权的诸多层面,但最突出的变化则体现在收益权和使用权方面。收益权发生了部分质变:劳动力的资本化,劳动者不仅能够收回投资成本,而且还能分享部分利润和企业所有权;劳动者享受的福利日趋完善,从劳动与资本的分配比例看,劳动在国民收入中的比重呈稳步上升趋势。使用权方面,劳动力所有权与使用权实行了部分融合,劳动力的产权所有者对其劳动力的使用有了更多的话语权,使用权得到更好的保障,劳资关系得到改善,企业管理走向人本化。引发当代西方劳动力产权制度变迁的动因主要包括以下一些方面:第一,科技革命的影响。在急速增长的高技术工业中,旧的命令式的指挥结构正在逐步消失,而代之以一种更加平等的同事式的新的工作方式。第二,经济因素的作用。一方面,知识经济是以知识为基础、为核心的经济,它将使得物质资本与人力资本的地位发生重大变化,即物质资本的地位相对下降,而人力资本的地位相对上升。所有者地位的变迁决定了企业在知识经济时代不再仅仅属于股东,而是归属于企业的“相关利益主体”,甚至还出现了“劳动雇佣资本”的现象;另一方面,资方受到经济效率的驱动和经济全球化及市场竞争机制的压力推动。第三,政治因素的作用,包括政治民主的改善、工会组织的抗争及政府的引导和干预作用。除上述三大主要因素外,影响劳动力产权制度变迁的因素还广泛涉及理论宣传、人口以及历史文化传统等诸多层面。(二)当代西方劳动力产权制度变迁的理论背景述评。在影响当代西方劳动力产权变迁的诸因素中,需要专章论及的便是当代社会科学理论研究和宣传对当代劳动力产权制度变迁的影响。当代西方劳动力产权制度变迁,有着深厚的人文科学背景和底蕴。学者们从政治、经济、管理、法律和伦理等多学科对劳动力产权制度进行了全方位的研究和诠释,无异于掀起了一场劳动力产权制度变革的“思想革命”。这对于劳动力产权制度的变迁及其深入拓展起到了十分重要的推动和引领作用。这些理论包括“双因素经济论”、“人力资本理论”、“分享经济理论”、“人际关系理论”、“放权自治理论”、“工业民主理论”和“人权理论”等等。论文对这些理论作出了自己的评述。(三)当代西方劳动力产权制度变迁的内在机制分析。对机制的分析是本文的核心和重点,一个良好的变迁机制是劳动力产权制度变迁快步实现均衡的前提条件。决定和影响劳动力产权制度变迁的因素广泛涉及科技、经济、政治、文化伦理等诸多方面。那么,这些因素又是通过什么机制或机理最终导致劳动力产权制度变迁的?本文认为,这些因素最终是通过作用于劳动力产权制度的供求主体而完成变迁的(我们设定,劳动力产权制度的供给主体主要是雇主和政府,需求主体主要是雇佣劳动者)。劳动力产权制度的供求主体也正是在这些因素的影响下,通过讨价还价乃至激烈的斗争等一系列活动启动制度变迁,最终走向新的制度均衡。劳动力产权制度变迁的内在机制就是劳动力产权制度的供求双方作用机制。制度变革的发生是由于存在着制度非均衡,但并不是任何制度非均衡都能够立即引发制度变革。劳动力产权制度变迁按供求双方的作用不同,可分为供给主导型变迁和需求诱致型变迁。由制度失衡到制度变迁进而实现制度均衡,促成了制度的相对稳定。当然,制度的均衡也是一个逐步完成的过程。制度变迁不等于必然会达致制度均衡,或许只能使制度不均衡的程度一时有所缓解,最终能否走向均衡,取决于供需双方手中掌握的谈判筹码与力量对比,均衡的形成或许需要经过一个漫长渐进改革的磨合过程。对于什么是制度均衡,学术界有着广泛的争议。笔者以为,把制度相对稳定期称为制度均衡或者将制度均衡分为低效率均衡和高效率均衡,无异于把制度均衡常态化。劳动力产权制度的均衡可以从效率性、公平性、和谐性、可持续性、满意度等方面定义。当代劳动力产权制度变迁机制的进化与改良,表现在供求机制方面的变化,主要是需求方在制度变迁中有了越来越大的影响,其角色已经发生了变化,乃至在劳动力产权制度供给方面拥有了部分“话语权”。需求方的这种角色升级主要是通过以下一些组织形式或机制实现的:三方协商机制、集体谈判机制和企业内部(协调)协商机制等。当前,西方劳动力产权制度变迁机制面临着一些困扰和难题:如经济全球化下的强资本弱劳动问题;工人集体行动的困境及政府干预的失灵问题等。与此同时,也存在着促使其劳动力产权变迁机制优化的诸多积极因素:如现代科技、经济的发展已使资本的强势地位发生动摇,劳资关系出现新动向;新形势下的工会既面临着挑战也面临着机遇,劳工权益保障更趋完善;全球化对发达国家劳动力的影响利大于弊等。从总的发展趋势看,劳方在当代西方劳动力产权制度变迁中的作用将会越来越强,当代西方的劳动力产权制度变迁机制会进一步向着良好的标准靠近;当代劳动力产权制度变迁会继续深化,继续向新的均衡趋近。这既是经济发展的必然,也是人类文明进步使然。(四)当代西方劳动力产权制度变迁的绩效与局限性考察。制度变迁的目的应该有利于绩效的提高。绩效既有微观绩效也有宏观绩效;既有短期绩效也有长期绩效。制度变迁需要有可持续性,需要兼顾公平与效率、社会稳定与发展。西方发达国家在劳动力产权制度变迁方面尽管取得了一定的成效,但其局限性也很明显,其发展的深度和广度仍不尽人意。当代西方劳动力产权制度变迁是一种兼顾公平与效率的变迁,是对西方资本主义畸形发展的一种改良和修正,是资本主义生产关系的部分质变。当代西方的这场制度变革是适应时代发展的产物,也是工人们团结斗争的结果,它对于西方社会经济的和谐发展、文明进步功不可没。毋庸置疑,这场变革还将会继续演进和深化。从其发展的阶段分析,这场变革在西方还只是处在初级阶段,并未改变资本主义雇佣劳动的性质,离劳工的要求相比还有不小的距离。这场变革能否取得更大的成效,取决于劳动力产权制度变迁机制能否实现由供给主导型向供求共同决定型转化,取决于劳动力产权制度需求方能否获得更大的话语权。(五)当代西方劳动力产权制度变迁的启示。当代西方劳动力产权制度变迁带给我国的启示主要体现在:第一、构造我国和谐社会必须高度重视收入分配问题;第二、劳动力产权制度变迁与完善重在机制构造与优化,完善我国劳动力产权制度变迁机制必须加快工会组织和政治体制改革的步伐,以提升和优化工会和政府在我国劳动力产权制度变迁机制中的作用;第三、劳动力产权制度变迁需要有良好的人文科学氛围;第四、劳动力产权制度变迁需要重视人力资本的投资与开发。更多还原

【Abstract】 一、Main contents and viewpoints(一)Analyses of course and cause of the Western property rights system changes of the labor force. Contemporary (after the World War II) Western property rights system changes of the labor force widely involved many ways, but the most prominent changes in the right of usage and revenue. The right of revenue has had the partial qualitative changes: capitalization of working force, the workers not only could got back the investment but also could shared the partial profits and the enterprise ownerships; The welfare the worker enjoys is becoming more and more perfect.About the incomes, there led to increase of the share of labor’s earning in the national income proportion. The right of usage aspect, the labor force ownerships and the right of usage have implemented the partial fusions. The employees have enjoyed more rights of speech to the use of its labor force. The relationship between employers and employees tends to the harmony, the business management moves towards the human-oriented.The main cause of contemporary Western property rights system changes of the labor force are as follows: the impact of scientific and technological revolution; the effect of economic factors; the effect of political factor etc.(二)The background of times and theory about contemporary Western property rights system changes of the labor force. The contemporary Western property rights system changes of the labor force had the deep humanities background and the roots. The scholars from politics, the economy, the management, the law and ethics and so on multi-disciplinary have conducted the omni-directional research. It led to property rights system changes of the labor force "the cultural revolution". The formation of great theory again leads and promotes great practice. Those theories included "the double factor economy theory", "the human capital theory", "the share economy theory", "the industrial democracy theory" and "the human rights theory" and so on.(三)The analysis on internal mechanism of contemporary Western property rights system changes of the labor force. The property rights system of the labor force toward balance need a good internal mechanism. The factors which influence and decide property system changes of the labor force include politics, the economy etc; But what were the mechanism for those factors to impact the property system changes of the labor force? I thought it must be completed by the demand and supply subject. They started up the property system changes and got institution equilibrium by bargaining and intense dispute. The property rights system changes of the labor force was due to the scheme disequilibrium; But it was not a sufficient condition. The property rights system changes of the labor force may be divided into two categories: supply leading type and demand leading type system changes. From scheme disequilibrium, system changes to scheme equilibrium got system Relative Stability. The scheme equilibrium was a gradually approximate process. System changes will not necessarily lead to scheme equilibrium. There was extensive controversy about the meaning of the scheme equilibrium.Along with the improvements of contemporary Western property rights system changes mechanism of the labor force, the demand entities have produced a great impact on system changes. The demand entities have won the right of making rules. Its organization form include: The tripartite consultation mechanism, collective bargaining and the mechanism of negotiation on Intra-enterprise. At the Present time, the puzzle and the difficult problem which Western property system changes mechanism face mainly display in three aspects: the question of strong capital weak work under the economical globalization; the puzzle of the worker collective action and the government failure.(四)A probe on performance and Limitation of contemporary Western property rights system changes of the labor force. It is beneficial for the system changes to lead good performance. The performance can be divided into macro-performance and micro-performance; short-term-performance and long-term-performance. The property rights system of labor force must be the sustainable; It is beneficial for the system changes to lead the fairness and efficiency. Though the Western property rights system changes of the labor force have made some progress, but its limitations are also obvious.Contemporary Western property rights system changes of the labor force wanted to get efficiency and fairness. It is the qualitative changes of the capitalism. It is beneficial to harmonious development in economic & society. No doubt, it will be deepening; The Western property rights system changes of the labor force are still at a primary stage at present. Whether this system may achieve remarkable effectiveness, it depends on transforming the mode of property rights system changes of the labor force from supply leading type to supply and demand leading type.(五)Contemporary Western property rights system changes of the labor force takes to our country the enlightenment: First, it is always important to watch division of income closely. Second, it is important on the constitution of system changes mechanisms; in order to improve our internal mechanism of property rights system changes of the labor force, we must accelerate the reforms on the trade union organizations and the political system. Third, it is necessary to create a good atmosphere of the humanities. Fourth, it is important the investment of human capital.二、Main contribution and innovation(一)The particular characteristics in topic selection and researching perspective. This article analyzes thoroughly employee stock ownership plan profits sharing and employee’s participation from the angle of property right of the labor force. The article has particular characteristics in structure system.(二)This article first analyzes Western property rights system changes mechanism of the labor force by new Institutional economic theory: First, this article analyzed the inner dynamical mechanism of contemporary Western property rights system changes of the labor force from the angle of the system supply and demand. Next, elaborated some innovations of contemporary Western property rights system changes mechanism. Finally, pointed out some challenges the contemporary Western property rights system changes mechanism faces.(三)This article made omni-directional classification and summary to the theory background, from the economics, management to law and so on.(四)This article probed the performance of contemporary Western property rights system changes. This article studies the performance about the contemporary Western property rights system changes from macro-performance and micro-performance, and made the preliminary discussion to its limitations.(五)This article supplemented some new materials and gave some important enlightenment about our country.更多还原