企业民主参与动力研究

【作者】 詹婧；

【导师】 杨河清；

【作者基本信息】 首都经济贸易大学 ， 劳动经济学， 2008， 博士

【副题名】基于劳资双赢的经济学视角

【摘要】 在中国市场经济的发展和深化过程中,劳动关系的稳定和协调是保证社会进步、经济持续发展的基本条件之一,在目前的快速转型期,关注劳动关系问题的理论和实践显得尤为重要。企业民主参与实际上是一个不断修正与改善劳动关系的过程,一方面,民主参与是微观组织劳动关系协调的一项重要手段,同时,以民主参与为特征的劳资合作也是劳动关系发展的重要阶段。本文以企业民主参与的动力问题为研究对象,在追求劳资双赢的前提下,剖析影响企业民主参与建立、运行和发展的动力因素及其作用方式。文章从劳资合作的理念出发,通过经济学的分析方法,研究了企业民主参与发展和完善的动力,包括外部动力和内部动力,并旨在通过这些分析寻找到提高劳资双方参与积极性和参与收益的途径,从而进一步增进劳资双方的福利。总的来看,全文的研究可分为六个部分。第一部分主要回顾和整理了支撑企业民主参与发展的重要理论。虽然工业民主和员工参与理论并不在政治学、经济学、管理学等学科研究中占主流地位,但事实上,仍然有很多学科和理论从自身发展的角度为企业民主参与的存在和发展提供了重要的支撑,有些直接与企业民主有关,有些从其他角度出发也得到了类似的结论。重要的理论包括经济民主理论、利益相关者理论、人力资本理论、行为科学理论、以及社会正义与自由福利观。本章重点对这些理论及其对企业民主参与发展的支撑作用做了梳理和介绍,希望首先从理论支撑的角度建立企业民主参与存在和发展的基础。第二部分从系统研究的视角出发,构建了促进企业民主参与发展完善的外部动力体系。文章在借鉴前人从非经济学角度研究企业民主参与问题的基础上,从劳动关系的本质是一种经济关系这一基本假设出发,建立了企业民主参与发展的外部动力系统,包括促进企业民主参与发展的经济力、政治力、社会力、组织力和劳动关系力等。之后,文章对外部动力系统的结构和运行机制进行了剖析,阐述了各外部动力要素之间的协同与分化关系,并指出,企业民主参与外部动力的作用将通过与内部动力之间的互动来实现。最后,本章还对企业民主参与发展的阻力因素及其作用机理进行了分析。第三部分从经济学的视角和方法分析了企业民主参与发展的内部动力机制。文章从劳资双方在劳动关系中的最根本需求入手,根据经济学研究的成本收益分析方法,剖析了促进企业民主参与健康发展的内生动力源。分析指出,企业民主参与发展的根源性动力来源于企业和员工双方的成本收益判断和相应的行为,因此在实践中,要着力提高双方在民主参与中的收益,降低其成本,提高劳资双方对企业民主参与的认可度和积极性。第二部分和第三部分是全文理论分析的核心,两部分内容各自独立却又紧密相关。研究认为,企业民主参与发展的外部动力属于促进性动力,这些动力作用的发挥能够为企业民主参与的发展创造良好的外部环境;内部动力属于根源性动力,它来自于劳资双方对于各自在民主参与中成本收益大小的判断,只有当双方都认为能够通过民主参与获益时,真正的具有生命力的参与活动才能够蓬勃开展。第四部分是历史分析,通过对中国企业民主参与发展历史的梳理和总结,归纳各个历史阶段的不同动力特征。文章将中国企业民主参与的发展历史划分为四个重要阶段,对每一阶段民主参与的发展状况、特征、主要表现以及实现的目标等问题进行了相对全面的考察和叙述;在梳理历史的基础上,研究所进行的更有意义的工作在于,以民主参与发展的动力为“纲”,对每一阶段进行了有目的的剖析,探析各个阶段中国企业民主参与兴盛的动力、发展不畅的阻力,并分析各阶段动力和阻力的根本来源、作用方式、发挥程度等问题。研究发现,中国企业民主参与每一阶段的发展都存在一个主导性动力,可能是政府主导、可能是环境所迫、也可能是劳资双方的自发行为,无论是哪种形式的主导动力,其作用的发挥都需要外部动力与内部动力的充分结合;同时,企业民主参与作为基层民主的一部分,它的发展不可能脱离中国经济政治环境的发展以及劳动关系的演变,甚至可以说,其发展的动力蕴藏于中国历史变迁的大背景中,环环相扣,密不可分。第五部分是比较研究,文章对典型国家企业民主参与的发展和现状进行了归纳和介绍,阐述了各个国家企业民主参与发展不同表现背后的不同动力因素。通过研究发现,类似的经济发展速度和经济体制并未造就类似的劳动关系表现和企业民主参与特征,不同国家在历史发展过程中逐步形成了契合本国特征的独特的民主参与形态。虽然企业民主参与的表现形式各异,但是不同国家在不同的历史发展阶段都曾经经历过民主参与的蓬勃和兴盛,仍然可以据此归纳出这些发展动力中的共同特征。研究认为,生产力的发展、劳动者素质的提高、政治民主的波及和影响、工人和工人组织的争取、政党和政府为了实现自身目的的有意推动等都是具有共性的动力。第六部分是实证分析,文章对67家企业的调研结果使研究结论更加丰富。调查发现,中国企业民主参与的建制和执行状况并不乐观,企业采用的民主参与制度相对单调,员工对参与制度的执行情况评价偏低,访谈中很多员工对民主参与表现出的漠然和消极态度也从另一个角度印证了这一点;此外,文章着重分析了影响员工对于企业民主参与执行状况判断的主要因素,研究表明,企业规模、企业员工整体素质,员工的年龄、学历、岗位、工龄,同事关系、上下级关系、管理风格,工资待遇、培训时间、建议提出和采纳数以及建议受重视程度等因素对员工的判断产生了显著的影响。在这些实证结论基础上,文章针对中国企业民主参与发展的问题提出了一些具体的建议,主要包括将民主参与作为一个系统加以改进、关注企业民主参与“制度束”的完善和发展、建立和完善员工参与渠道、从双方主体需求的角度考虑民主参与制度的创新、重树劳资双方的民主参与观念、改善包括经济环境、政治环境、劳动力市场环境、政策法律环境在内的民主参与大环境等。建立和完善员工参与渠道、重树民主参与观念、将民主参与作为一个系统加以改进、从双方主体需求的角度考虑民主参与制度的创新等。更多还原

【Abstract】 In the process of development and deepening of China market economy, the stabilization and harmony of labor relation is one of the postulates for social progressing and economy developing. So it’s especially important to pay attention to the issue of labor relationship in this double-quick transition period. Employee participation in enterprise is actually a course of modifying and improving the labor relation. On the one hand, employee participating is an important method to harmonize the labor relation in enterprise, on the other hand, labor-capital cooperation, characterized by employee participation, is also an important period of the development of labor relation. This paper takes the driving force for democratic participation for the research object and tries to explore the dynamic factors and its effect mode of the establishment, operation and development of employee participation in the prerequisite of a win-win concept. From the idea of employers-employees cooperation and through the economics analytical methods and perspective, the paper researches on the driving force of the development and improvement in enterprise democratic participation, including external and internal dynamic driving force. It aims at seeking the way to improve both employers’ and employees’ participation positivity and participation benefit, so as to further promote the welfare of both employers and employees through the analysis Overall, the full text of the study can be divided into six parts.Firstly, the paper reviews and packs up the theories supporting development of industrial democracy. Although industrial democracy theory is not on mainstream status in the field of politics, economics, management and other subjects, there are still actually many disciplines and theories sustaining the existence and development of industrial democracy from their own perspective. The important theories include economic democracy theory, stakeholder theory, human capital theory, behavioral science as well as social justice and freedom welfare concept. This chapter focuses on these theories and their roles of supporting the development of employee participation while hopes to establish the foundation of industrial democracy from the perspective of theoretical support.Secondly, the paper constructs an external driving force system of promoting the democratic participation in tnterprise from the perspectives of the systemic investigation. On the basis of accepting and absorbing the former research on employee participation from the perspective of non- economics, the paper builds an external driving force system, including economic power, political power, social power, organizational power and the power from labor relations, to promote the democratic participation in enterprise under a basic assumption that the nature of labor relation is an economic relation. Then it analyzes the structure and operation mechanism of external driving force, expounds the synergy and differentiation of the external driving force factors and points out that the interaction between the external forces and the internal ones will bring the external force for enterprise democratic into play. And the resistance factors and resistance mechanism for employee participation in enterprise is also analyzed.The third, the paper analyze the internal dynamic mechanism in the development of employee participation from the economics angle and methods. It starts with the study on the most basic needs for both employers and employees in labor relations, and then analyzes the internal power source in promotion of enterprise democratic according to the cost-benefit method in Economic Research. It points out that the root causes of the power in Enterprise employee participation is the judgment of cost and benefit for both employer and employee and the corresponding behavior. Therefore, in practice, it’s necessary to improve the benefit of two sides in employee participation, lower their costs and improve both employers’ and employees’ recognition and enthusiasm to industrial democracy.PartⅡand PartⅢis the core of theoretical analysis in full text and the contents of the two are separate but closely relate. Study found that the external driving force to democratic participation plays the role of accelerating and it will create a favorable external environment for enterprise democratic participation. The internal dynamic driving force is the root causes, which comes from both employers’ and employees’ judgment of the size of costs and benefits. Only when both sides believe that they can benefit from democratic participation, the real vitality of the participation can flourish.PartⅣis a historical analysis. This chapter concludes the different dynamic characteristics in the various historical periods through collating and summaring the history of various stages in the development of democratic participation in Chinese enterprises. We divide the history of development of industrial democracy in Chinese enterprises into four key stages, inspecting and narrating the development, characteristics, main performance and the goal achieved of democratic participation in each stage. On the basis of carding the history, the more meaningful work we conduct is analyzing each stage of the four with the purpose of finding out the dynamic momentum in development of democratic participation and investigating the fundamental sources, function methods and the degree of the role they played of driving forces and obstacles in each stage of the development of employee participation in Chinese enterprises. We find that there is a dominant force in every stage in the development of employee participation in Chinese enterprises, probably led by the government, may be forced by the environment, or it’s just the employers’ and employees’ spontaneous behaviors. No matter what form is the dominant force, its role as a driving force for both external and internal needs to be fully integrated. Simultaneity we believe that, as part of grass-roots democracy, the employee participation in enterprises can not be dissociated from China’s economic and political development and the evolution of labor relation. It can also be said that, the driving force of the development of employee participation is inherent in the context of the historical change in China, interlocking and can’t be separated.PartⅤis a comparative study. According to the summarization and presentation of development and status quo of employee participation in typical countries, the paper expatiates on the different dynamic factors behind the distinct performance on industrial democracy of different countries. Through the research we found that similar pace of economic development and similar economic structure haven’t created a similar labor relation mode and unique characteristics of democratic participation fit for the needs of specific countries has gradually developed in the course of historical development. While the performance and form of democratic participation is different, it has all gone through a period of boom and prosperity. So we can still sum up the impetus of common features to its development. The research has worked out that development of productivity, improvement of the workers’ quality, spread and impact of political democracy, strivement of workers and workers organizations and so on are all the driving force of common in different countries.PartⅥis the empirical analysis of 67 enterprises and we have got a more abundant conclusion of the study. The paper found that the situation of establishment and implementation of democratic participation in Chinese enterprises is not optimistic, the democratic participation system adopted by the enterprises is relatively monotonous and staff’s evaluation of the implementation of system is low. And the above conclusions are all confirmed by the workers’ indifference and negative attitude to the democratic participation in the interview. In addition, this chapter focuses on the main factors impacting the staff’s judgment on the implementation of employee participation in enterprises. The studies have shown that the organization’s size, the overall quality of the staff, the staff of the age, education, post, seniority and other factors have a significant impact on the judgment of the staff. On the basis of these conclusions, the paper put forward a number of specific recommendations for the development of employee participation in Chinese enterprises, including establishing and improving the channel of employee participation, rebuilding the democratic participation concept, improving employee participation as a system, promoting system innovation from the demands of both employee and employer and so on.更多还原