【作者】 肖蓓；

【导师】 陈业宏；

【作者基本信息】 华中师范大学 ， 宪政与法治， 2010， 博士

【摘要】 在现代社会,除少数拥有丰厚资财者外,大多数人必须依靠劳动维系自身乃至其家庭成员的生存与发展,劳动关乎人的生计,与多数人的命运息息相关,而劳动力与劳动者的人身不可分性使保护劳动权更具有特殊的意义。企业并购在我国已成风起云涌之势,有利于经济效率的并购交易能增强企业的竞争力、调整部分产业结构、促进地方经济的发展,通过企业并购有些主体能获得重大收益,如资方能取得经济效益、地方政府能增加政绩。在企业并购的进程中劳动者是一个容易被忽视的群体,而受并购冲击最大的又恰恰是劳动者,面对急剧的并购变迁劳动者原有的正常生活秩序被彻底打破,裁员的阴影、工作条件的骤变使劳动者不仅难以从并购中得利,其劳动权更因此受到严重侵害,甚至影响劳动者生存的权利。长期以来劳动者因无法分享企业经济增长的利益已经对社会现实产生不满,在社会认知上作出了负面评价,而企业并购中劳动者的劳动权更是屡遭侵害,连最基本的生存的权利甚至都因此受到影响,这使广大劳动者极度缺乏安全感和对社会产生高度紧张,同时导致其社会不信任感和不公正感的产生,劳动者失望乃至忿恨的情绪进一步加深了劳资之间的矛盾冲突和贫富群体之间的情绪对立,进而激起劳动者反抗和破坏社会基础秩序的行为。劳动者劳动权问题若得不到妥善解决,受害者将不仅仅是劳动者群体,劳资矛盾不断升级的结果将导致无产者对有产者的暴力过激行为,直接损害资方、企业股东的利益,不仅不利于整个社会劳动生产率的提高,同时还会影响社会秩序和政治稳定,破坏人民的安定团结,给怀揣不轨企图的不良分子以挑拨离间的可乘之机,最终对国家和人民造成极大伤害。劳动权问题关系到社会稳定、国家转型和经济的可持续发展,只有解决好劳动者的劳动权问题,才能使劳动者、资方和国家共同受益。在企业并购中,并购双方只关心交易是否有利可图,我国现行立法和学界研究则偏重于买卖双方的权利义务以及国有资产流失的防范,对国有企业资产评估、股东权益保护等关注较多,而忽略了对并购中劳动者劳动权的保护问题,事实上很多国家的立法不仅高度重视并购中对劳动者劳动权的保护,而且将其作为并购能否得到批准的前提条件。劳动者常常在企业并购的过程中遭到解雇,即使在并购后得以继续保留工作岗位的劳动者其劳动权也难免受损,无论是并购中解除劳动关系的劳动者还是未解除劳动关系的劳动者,在并购中劳动权都可能受到侵害,只不过被侵害的具体核心劳动权利不尽相同,所对应的救济措施也各有侧重。劳动者劳动权问题关系到人民的安定团结和社会稳定,然而在现实劳动关系中特别是在企业并购的进程中劳动者的劳动权却始终得不到应有的有效保障。这一方面缘于我国并购中劳动者劳动权保护法制的不完备和地方政府为引进外资、追求政绩而对并购中侵害劳动者劳动权行为的恣意放任,另一方面也在于劳资力量对比的严重失衡和资方普遍持有的保护劳动者劳动权不利于企业追求利润最大化的错误观念。企业并购中保护劳动者劳动权是一项复杂的系统工程,必须以劳动者劳动权保护的理论为指导才能合理地作出一系列的具体制度安排。通过深入分析劳动者人权、劳资利益博弈、政府的劳动权保护责任、劳动创造财富、保护弱势群体原则、劳动合同承继等理论问题进一步阐明企业并购中必须保护劳动者劳动权的价值,而且这种价值指引将始终贯穿于劳动者劳动权保护的体系构建之中。并购的目的是为了提高企业的经济效益,但并非只要完成并购就能自动增加企业收益。劳动者是企业财富的创造者,企业的长远发展离不开劳动者的辛勤耕耘,而在并购中对劳动者的劳动权进行保护也就是对劳动者的保护。老员工是企业的中坚力量,但年老体弱的劳动者也往往是企业并购中劳动权最易受侵害的群体。孙子兵法中讲究“攻心为上”,依靠疯狂榨取劳动者血汗来维持运营的企业必将在市场竞争中惨遭淘汰,企业应当转换观念善待劳动者,通过对弱势劳动者群体的保护彰显企业的道德力量,从而使劳动者有归属感,获得劳动者的强烈认同,更赢得全体员工的真心,在企业今后的发展中,劳动者必将竭力提供更优质的劳动促使企业资产增值。目前我国的社会保障体系尚不完善,保障劳动者的劳动权就是保障劳动者生存的权利,在劳动就业形势极其严峻的环境下不能再制造新的社会矛盾,宪法所蕴含的劳动权的国家义务使国家在保护劳动者劳动权方面责无旁贷,国家应当高度重视并购中劳动者劳动权的保护问题。要在企业并购中使劳动者的劳动权得到实质保护,必须强化国家权力,从立法、行政、司法三个层面构建对劳动者劳动权的全面综合保护体系。社会是不断发展的,经济条件也在不断变化,在复杂多变的现实环境下国家的立法行为也许做不到对各类行业、所有领域的劳动者实施面面俱到、细致入微的劳动权保护,但每一项法律制度的构建都是适应社会需要的产物,劳动者劳动权保护方面的立法只要立足于劳动者的权利,国家通过法律法规的制定至少可以确定劳动权保护的程度和范围,明示劳动权合理保护的标准,规制并购中用人单位的基本行为,对留用劳动者与并购后的新企业之间的权利义务作出相应规定,只有立法问题解决了才能解决其他后续问题。徒法不足以自行,法律规则与法律实践永远存在着距离,再完善的法律制度如果执行不到位难免成为纸上谈兵,要真正实现劳动者的法定权利必须发挥政府保护劳动者劳动权的行政职能,端正政府的指导思想,加大对违法违规企业的处罚力度,健全和完善以保障劳动者劳动权为核心的市场规则和公共政策,通过行政执法、政府规制进一步细化和落实对劳动者劳动权的保护。权利的实施需要相应的规则予以保护和强有力的执行,司法救济是保证权利实现的重要途径,劳动者在权利救济的司法实践中面临程序复杂、维权成本高、案件执行难等问题,需要通过建立劳动法庭或劳动法院等途径予以解决,在司法改革中要突出司法救济的实效性,赋予法院监督审查权。企业并购加剧了劳资矛盾与冲突,在劳资力量严重失衡的现实状况下撇开国家公权力而坚持劳资自治等于是站在强者的立场放任不管弱者,实质上是变相地保护强者和剥夺弱者的话语权,使弱者一方的劳动者其权益一再被任意践踏。在劳动关系方面我国并非干预过度,而是对劳动者劳动权的保护力度还不够。劳动者的职业安全和劳动权的维护离不开和谐稳定的劳资关系,构建新型的和谐劳资关系不仅与劳动者劳动权的保护直接相关,对维护整个社会的生存空间、促进国家经济的繁荣和综合国力的提高也有着重大影响。劳资利益在某些情况下会出现对立,但更多时候劳资双方构成一个利益共同体。我国大多数企业的劳资关系呈现尖锐对立的局面,其原因在于资方始终错误地将企业盈利与保护劳动者劳动权对立起来。劳动创造财富,企业的文化、品牌、市场影响力等都需要企业员工长期的劳动积淀,劳动者是促进企业长足发展的重要推动力量。企业需改变视劳动者为负担的错误观念,应当以劳动者至上、公平正义、劳资利益共同体、义务责任等正确理念为指导构建新型的和谐劳资关系,通过立法和公共政策的制定使企业承担保护劳动者劳动权的义务,建立起劳动者解雇保护、劳动者参与管理、劳动者职业培训、劳动者经济补偿、激励企业吸纳就业等一系列能促进和谐劳资关系形成的具体制度,对劳资关系进行协调和平衡。企业并购中劳动者劳动权的保护涉及国家、企业等义务主体对自身责任的承担,劳动者在这一过程中也不能坐以待毙,单纯依靠他人、消极被动地等待外界援助只会使弱者恒弱。劳动者必须增强自身的综合素质,积极培育维权实力,充分利用工会、职代会甚至民间组织的力量进行维权,学会运用反并购措施阻止并购进程从而避免劳动权受损,从多个方面切实发展自身的维权能力。更多还原

【Abstract】 In modern society, except for a few who own property, most people and their family members must rely on labor to get labor income in order to maintain survival and development. Labor has a significant impact on fate of most people. Because the labor force and the laborers can not be separated that the protection of right of labor has special significance. Merger and acquisition of enterprises have become a surging trend in China. Merger and acquisition of enterprises which conducive to economic efficiency can enhance the competitiveness of enterprises, adjust industrial structure and promote local economic development. Through merger and acquisition of enterprises some subjects can gain enormous benefits, for example, the employers can achieve interests and the local governments can increase performance. In the process of merger and acquisition of enterprises,laborers are easily be neglected and precisely suffer the hardest hit caused by M&A. As the great change laborers’original normal life is completely broken. Reducing the staff and sudden change of working conditions, laborers are difficult to profit from M&A and the right of labor could even seriously trespassed. Encroachment on the right of labor causes laborers difficult to survive and not only affects the labor productivity but also provokes resistance and acts that disrupt social order. For a long time, laborers can not share benefits of enterprises’ economic growth, so they can not obtain satisfaction of social reality and have made a negative assessment of cognition. The right of labor has been infringed repeatedly in the process of M&A and even the right of existence has been disfranchised. As a result, lots of laborers own a high degree of social tension due to extremely lack of security in the enterprises. Disenfranchisement of the right of labor leads to social distrust and a sense of social injustice. Disappointment and even angry intensify the conflicts of interests between employers and employees, and also deepen emotional confrontation between the rich and the poor. If the problems of protection of right of labor are not resolved well, not only the laborers but also the employers and the shareholders will become victims. The results of industrial conflicts will lead to excesses of violence of the laborers, meanwhile, the results will affect the social order and political stability, undermine people’s stability and unity, give opportunities to those who carry ill intentions to sow discord and ultimately harm the country and the people. Issues of right of labor relate to social stability, the state transition and sustainable economic development.Only the problems of right of labor have been solved, the laborers, the employers and the state can gain co-benefits.On merger and acquisition of enterprises, enterprises of both sides are only concerned with whether a transaction is profitable. Whether China’s current legislation or academic research, the main concern is the rights of buyers and sellers, as well as the loss of state-owned assets, such as the assessment of the state-owned enterprise assets, protection of shareholders’rights and interests, etc. Issues of the right of labor on M&A are neglected, while the legislation in many countries abroad not only focus on the protection of right of labor on M&A, but also make it as a prerequisite for approval of M&A. As China has gone deep into reform and opening, M&A has become frequent and laborers are often discharged in the process. Laborers who remain in the enterprises the right of labor is also infringed. Whether laborers are dismissed or not, the rights of labor are both likely to be infringed and the remedy has different emphases. The protection of laborers’right of labor on M&A has a significant relationship with the unity and social stability, but in the reality of society, especially in the process of M&A, laborers’right of labor throughout lack of effective safeguard. Infringement of the right of labor due to employers’ chase of profits maximization and the negligence of laborers’legal rights. Labor employment legislation is not complete in our country, and the power between laborers and employers is seriously imbalanced. The pursuit of performance and introduction of foreign capital cause local governments’indulgence of illegal acts of employers.The protection of right of labor is a complicated systematic project, and the right of labor theories guide us to make a series of reasonable specific systems. The right of labor theories including theory of human rights, interests of the game theory, government’s responsibility to protect the rights, theory of wealth creation, protection of vulnerable principle, theory of contracts inheritance, etc. Those theories illustrate the value of the protection of the right of labor and the value guide will consistently throughout the system construction of the protection of the right of labor. The aim of M&A is increasing the economic efficiency of enterprises, but the completion of M&A will not automatically increases economic efficiency. Laborers are the enterprises’ wealth creators and the enterprises’long-term development is inseparable from the hard work of laborers. The protection of the right of labor is the protection of laborers. Older employees are the backbone of business, but the frail older laborers are precisely the most vulnerable group on M&A. The Art of War in particular about " win hearts and minds", those enterprises crazy squeeze on laborers to maintain hard-earned business will be eliminated in market competition. Enterprises should convert the concept of treating laborers. Through the protection of the vulnerable groups of laborers enterprises demonstrate moral strength, so that the laborers have a sense of belonging and obtain strong identity. As the enterprises win the staffs’sincere, in the future development of the enterprise, the laborers will strive to provide better quality of labor to promote business growth of enterprises’assets.According to the consitution the state has obligations to protect laborers’ right of labor. In order to protect the right of labor effectively, the state power must be enhanced and our country must establish a comprehensive and integrated protection system from three levels of legislative, executive and judicial. Through the continuous development of society and changing economic conditions, the legislative of state can not provide exhaustive and specific protection for laborers of all industries and areas in the complex reality of environment. However, every legal system aims to meet the needs of society. As long as the legislation of the protection of right of labor bases on laborers, through the formulation of laws and regulations we can achieve these objectives which including defining the degree and scope of protection of right of labor, prescribing the reasonable standard, regulating employers’acts and adjusting relationship concerning rights and liabilities between laborers and employers. Only when the legislation is resolved the other follow-up issues can be resolved. The legislation can not operate on its own. There will always be the distance between the rule of law and legal practice. The lack of implementation will inevitably make perfect legal system just to fight only on paper. To realize laborers’legal rights the state must exert administrative functions to protect right of labor and correct its guiding ideology. Meanwhile, the state shall make strict administrative penalties for illegal enterprises and improve the market rules and public policies to protect right of labor as the core. Through administrative enforcement and regulation of government to fulfil the protection, the rights need to be protected by the corresponding rules and full implementation. Judicial relief is an important way to ensure the realization of rights. In the judicial practice of rights relief laborers face difficult problems such as complicated procedures, high cost and difficulty in enforcement of cases. In order to resolvet these problems we need to establish labor courts, highlight the effectiveness of judicial relief in judicial reform and allow the court enjoy the right of supervisory review.Merger and acquisition of enterprises aggravate contradictions and conflicts between laborers and employers. There is serious imbalance between laborers and employers, so the attitude to lay aside the state power and insisting on laborers’autonomy under the reality of this situation is equal to stand on the strong position and regardless of the weak. Finally the weak laborers’rights and interests have been arbitrarily trampled again and again. In the field of labor and employment, the intervention of our country is not excessive but inadequate. The occupational safety of laborers and the protection of right of labor are based on harmonious and stable relations between laborers and employers. Harmonious industrial relations are not only directly related with the protection of right of labor and enterprises’long-term development, but also have a major impact on the maintenance of human living space in the society, the promotion of national economic prosperity and the strength of comprehensive national power. Laborers are the enterprises’wealth creators. In some cases, laborers and enterprises will appear antagonistic, but more often the employers and the employees are a interests community. The majority of industrial relations have shown a sharp confrontation, which mainly due to employers have always wrongly corporate profits and the protection of right of labor against each other. Labor creates wealth. Enterprises’culture, brand and market influence need labors’long-term accumulation of labor. The laborers are the key promoters of enterprises’long-term development. Enterprises should correct the misconception that laborers are burden. The construction of harmonious industrial relations needs correct ideals as guide, such as laborers-oriented, fairness and justice, community of interests of laborers and employers, obligations and responsibilities, etc. Through the legislation and public policies enterprises will take the obligation of protecting the right of labor. Establish a series specific systems which can form harmonious industrial relations, such as dismissal protection for laborers, laborers’participation on enterprises’management, vocational training of laborers, economic compensation of laborers, supporting of small and medium enterprises of creating jobs, etc. These specific systems will make industrial relations co-ordination and balance.The protection of right of labor in the process of merger and acquisition of enterprises concerning to the state, enterprises and other subjects of obligation take their own responsibilities. In this process, laborers can not await their doom. Just waitting passively for others’aids will only make the weak more incompetent. Laborers must enhance the overall quality of their own and cultivate the protection strength positively. Laborers should make full use of trade unions, staff representatives and even the non-governmental organizations to safeguard their rights. In order to avoid infringement to the right of labor, laborers should utilize anti-M&A measures to prevent the process of M&A. Laborers need to develop their own capacity effectively from various aspects to safeguard their rights.更多还原