【作者】 黄昆；

【导师】 王全兴；

【作者基本信息】 湖南大学 ， 经济法学， 2008， 博士

【摘要】 劳动法主体包括劳动者及其团体、雇主(即用人单位)及其团体、政府和劳动服务主体。它们以一定的方式组合成具有特殊结构和功能的主体体系。在其中,各主体各具特定的地位、作用并且彼此关联、相互影响。劳动法主体体系的基本框架是由劳动者方(简称劳方)、雇主方(简称资方)、政府方所构成的“三角框架”,即劳资双方作为劳动关系主体,通过谈判和协商确定双方权益;政府作为公共利益和社会利益的代表者、劳动关系的相关人,通过一定的方式,影响劳资谈判,平衡和协调劳资双方利益,维护社会稳定。这一框架的实践基础是三方原则,而理论基础则是利益集团理论。三方原则是指劳动关系的各种问题,应当由劳、资、政三方通过一定的组织机构和运作机制共同处理,以实现劳方利益、资方利益和公共利益动态均衡的法益结构。其中,社会(公共)利益的归属主体是社会公众,由政府代表;劳资之间既是利益矛盾的双方,又是相互依存的利益共同体且其关系具有外部性。劳动法主体体系的法益结构一方面表现为政府对于劳资关系的利益平衡;另一方面则表现为国家立法、公共政策和行政干预对劳动关系的负外部性的抑制和调整。劳方和资方是两个既具排他性、又具相容性的利益集团,彼此间形成大集团和小集团、弱势集团和强势集团的关系。政府作为外在于劳动关系的主体,既是社会利益的代表者和维护者,又是劳资利益的居中协调者,与劳资利益集团之间的关系呈现出双向互动的状态。一方面,政府以其所代表的公共利益为出发点,干预、介入集体合同和劳动合同的运行,引导劳资利益团体之间的利益格局和关系运行的走向;另一方面,劳资利益团体通过制度化与非制度化、直接与间接的“游说”和“施压”以影响政府的劳动立法、公共政策和行政干预取向。但是,“三角框架”的不足在于,劳、资、政三方实际上都可以分为两个层次,即劳资双方各分别有个体和团体两个层次,政府方可分为劳动行政主体和公共服务主体两个层次。而在“三角框架”中,劳资双方个体层次的关系被团体层次的关系所掩盖。这就需要借助“三层框架”予以描述。“三层框架”是指,在利益关系上呈现为三角结构的劳、资、政三方主体,根据“国家与社会关系”理论,从政治国家—市民社会—自由市场三元结构的角度分析,则呈现出政府——社会中间层主体——劳动力市场主体的结构。社会中间层主体包括劳资团体和公共劳动服务机构,而劳动力市场主体则为劳动者个人和雇主。在此框架中,呈现下述特点:(1)劳动力市场关系较之其他以私法自治为原则的、市场主体之间的交易关系存在特殊性,因此需要通过外部力量予以干预和协调。(2)干预和协调方式包括社会层面的劳资自治和国家层面的政府干预。劳资自治作为一种社会治理方式,对内实现“治理者与被治理者同一”,对外防止政府不当干预所导致的“政府失灵”。(3)公共劳动服务机构的发展状况和组成方式则是劳资团体之间以及国家与劳资团体之间合作、竞争、服务关系的集中反映。(4)政府与社会中间层之间的关系表现为自由多元主义和合作主义两种路径。上述三层主体之间既直接互动,又间接互动,使市场机制、政府干预和社会干预在劳动法领域有机结合,具体表现为:(1)政府与社会中间层主体之间,彼此互补、双向制约。(2)社会中间层主体与市场主体之间,前者服务于后者,后者影响前者的服务方式和服务范围。(3)劳资团体与市场主体之间,前者约束后者的行为,抑制市场异化,同时反映和维护作为前者成员的市场主体的利益。(4)市场主体与政府之间,前者直接或间接影响后者的劳动立法和劳动政策;而后者通过劳动立法和劳动政策直接或间接干预雇主和劳动者之间的关系。可见,“三角框架”同时呈现为国家层面、社会层面和市场层面三个层次的运行机制,因而“三层框架”制约着“三角框架”的运行。具体而言:(1)政府与社会中间层的定位及其关系决定着三角框架中政府干预与集体规制之间的职能分工。(2)劳资团体与政府的关系决定着三角框架的实质、影响政府的中立性。(3)劳资团体的组织化程度决定着集体劳动关系的运行效果、作用空间和国家直接干预个别劳动关系的程度和紧迫性。(4)市场主体的力量对比影响个别劳动关系运行状况和国家干预的必要性和方式。(5)社会中间层组织的发育程度制约劳动关系中自治与他治的选择、劳动服务主体的运行方式以及个别劳动关系的规制体系。三层框架对于三角框架的上述制约机制对劳动法制的选择产生影响。(1)劳动法主体体系影响劳动立法的价值取向和经济功能和社会功能的配置,效率与公平的关系、公平正义的概念以及对于劳动力市场的理解很大程度上是由主导性社会中间层团体的价值观所决定的。(2)影响劳动关系协调制度体系的构成及其主导性协调机制的选择。国家协调劳动关系的制度体系由劳动合同、集体合同、劳动基准、劳动监察、劳动争议处理制度构成。其中:劳资团体的组织状况及其与国家的结构性关系,影响着国家对劳动关系协调制度体系的总体结构的安排和其中主导性制度的选择。劳资团体的覆盖面、独立性和组织状况影响着个别劳动关系规制与集体劳动关系规制的定位和组合,进而影响劳动合同、集体合同、劳动规章制度、劳动基准的地位和作用配置。(3)影响劳动法保护劳动者的方式和程度。不同的劳动法主体结构下,国家在做出上述劳动法律规制选择时,在保护劳动者的方式和程度上的选择会有所不同。上述“三层框架→三角框架运行机制→劳法制选择”的关系,不仅在典型国家的实践中得到了印证,而且在我国《劳动合同法》对劳务派遣实行从严规制的选择中得到了说明。我国劳动法主体结构存在下述问题:强资本、弱劳动为基本格局,且与强政府、弱社会中间层的结构互为因果;劳资双方及其不同群体的政策影响力不均衡;劳动者分层化与工会组织一元化使利益代表机制存在内在冲突;雇主组织缺位与职能弱化并存;公共劳动服务的商业化倾向明显。面对上述问题,我国劳动法主体体系未来模式的构建,应当以社会利益衡平为原则构建主体利益关系,以劳资自治与社会分权为原则构建劳动法社会中间层主体,以国家积极、适度干预为原则构建政府主体定位,以合作主义为原则构建劳动法主体间关系。现阶段,由于处在转型期,应当以旨在加强工会和雇主组织作用的“国家合作主义”劳动法主体体系模式作为过渡模式,并以此为原则采取下列过渡性措施:逐步回复工会作为劳动者自治团体的社会定位;建立起有效的雇主组织;工会和雇主团体通过集体谈判逐步分担原来完全由政府承担的劳动关系规制责任;建立起具有公共性、独立性并受到有效监督的公共劳动服务主体;通过企业内劳雇主体合作,建立起劳动关系预防协调机制。本文所论证的命题是:劳动法主体体系“三层框架”制约劳动法主体体系“三角框架”的运行机制,从而影响劳动法制选择。更多还原

【Abstract】 The actors of labor law include employees and trade unions, employers and their associations, government and public labor market services providers. All the above actors compose the system of labor actors with special structure and function, in which each actor has certain functions and uses and they connect with and affect each other.The basic frame of the system is the triangular framework composed by labors, employers and the government. In this framework, labors and employers as the parties of labor relationship negotiate their rights and interests and the government as the representative of social and public interests and the stakeholder of labor relations influence, balance and intermediate the bargains of labors and employers to maintain the social stabilization. The practice basis of this framework is tripartite principle and the theoretical basis is the theory of interest group. Tripartite principle refers to the mechanism that all issues involving labor relationships should be solved by the organization or consulting institutions composed by the three parties to realize the dynamic balance of the interests of labor, employer and the public which is represented by the government. The interests between labor and employer are both conflicting and consistent and labor relationship is of external effects. Labor group and employer group are both exclusive and inclusive groups and their relations are relations between big groups and small groups, vulnerable groups and strong groups. The government as the outsider of labor relationship is both representative and protector of social interests and the intermediator between labor and employer groups and is also influenced by them. In one hand, government intervenes and coordinates the operation of collective agreement and employment contract; on the other hand, the labor and employer groups influence labor legislation and policies through institutionalized or non- institutionalized, direct or indirect canvass and impressing. However, the defects of triangular framework is individual parties of labor relationship is covered by groups interests. To discover the relation between individual interests and groups interests should resort to three-layer framework.Three-layer framework refers to the actors of labor law present the“government—social actors—parties of labor market”three-layer framework on the perspective of“political state—civil society—free market”state—society structure. Social actors here include the unions, employers’associations and public labor marker service providers, while the parties of labor market include individual employers and employees. Three-layer framework shows the following characteristics: (1)there are some specialties compared with other free market governed by private law, so it needs external intervention and coordination; (2)two ways of the external intervention and coordination: one is labor autonomy from the social labor associations and the other is government intervention from the state. (3) Organizing and development of public labor service provider reflects the relationship both between the labor associations and between the government and labor associations.(4)the two major theories on the relationship between government and social actors are liberalism and corporatism.The above three layer actors influence each other directly and indirectly and organically combine market mechanism, government intervention and social autonomy in the field of labor law regulation in following aspects: (1)the government and social actor mutually mend and restrict;(2)social actor service the labor marker parties and the labor marker parties influence the way and scope of service providing;(3) unions and employers’association regulate their members activities and reflect and protect their members rights and interests at the same time; (4) labor marker parties directly and indirectly influence labor legislation and labor policies, while the government directly or indirectly intervenes the labor relationship between employers and employees.Therefore, the operation of triangular framework is respectively on state, social and marker three layers and is conditioned by the three-layer framework as follows: (1)thee relationship between government and social actors decides the divide of function between collective regulation and government intervention;(2) the relationship between government and unions and employers association decides the true frame of triangular framework and neutrality of government;(3) the cover of union decides the operation effects, function space of collective bargaining and necessity and way of government intervention;(4)the power between labor market parties decides the operation of individual labor relationship and the scope of government intervention;(5) the development of social organizations decides the choice between labor autonomy and government intervention, the way of public labor service providing and regulation system of individual labor relationship.On the basis of above elements, the choice of labor law system are conditioned in the following way: (1)the system of actors influences the orientation of labor legislation; (2) the system of actors influences the legal system of coordinating labor relationship;(3) the system of actors influences the ways and degrees of labor law in protecting employees. All the above is proved by the industrialized state practice and the strict regulation choice of labor dispatch in China Labor Contract Law.In China the system of actors in labor law presents the basic structure of strong capital, vulnerable labor and weak social actors. At present, the state corporatism should be a practical choice by strengthening independency of labor union and employers’association with the aim of construct a social corporatism model of the system of actors in labor law.更多还原