我国与北欧中小企业劳资关系模式的对比研究——基于关联因素理论的实证分析

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我国与北欧中小企业劳资关系模式的

对比研究

——基于关联因素理论的实证分析

摘要

改革开放以来，中小企业很快成为市场经济的构造主体，同时也是促进社会

稳定、推动经济发展的基础力量。从而中小企业劳资关系作为转轨时期的社会关系

的一个重要方面日益引起人们的关注。由于中小企业的特殊的组织特点和经营机

制，劳资双方的力量对比普遍不均衡，导致劳资关系的不稳定性和劳资矛盾的多

发性。尤其是金融危机以来，中小企业由于成本压力和市场经济的不景气，其所

获得的利润急剧减小中小型企业劳资冲突现象也开始频繁发生，劳资矛盾所涉及

的范围也开始逐渐扩大，尤其是在劳动合同、劳动条件、劳动报酬及劳动保障等几

个领域表现尤为突出。近几年，劳资争议案件在逐年以平均 30%的速度增加，并

在新《劳动法》出台的 2008 年达到了最高峰。我国中小企业的劳资双方受来自经济

制度及道德的约束有限，又缺乏合理有效的运作机制，而且涉及人员广泛且差异

明显，造成对中小企业劳资关系的研究无序复杂。正是这几个特征，中小企业劳

资关系问题也是社会稳定和发展的重要影响因素，应当成为构建和谐社会的一个

重点方面。

北欧的劳资关系模式以其全民福利、共同富裕和高和谐程度闻名于世。其特点

是：组织参与率高、集体谈判机制合理有效、法律体系健全、运作过程自由开放、福

利保障全面。虽然我国在经济发展水平、劳动力市场环境、社会政治体制与北欧国

家存在较大差异，但是我们依旧可以借鉴及学习他们相关政策，北欧模式形成和

演化过程的先进性因素可以作为我国建立和谐的劳资关系机制的有效的借鉴。

基于上述讨论，本文将研究重点聚焦于我国和北欧中小企业劳资关系模式的

对比研究上。利用系统动力学中的关联因素分析方法，将劳资关系系统形成和演

化的影响因素经过归纳划分为基本输入因素、三方关系影响因素、劳资博弈过程因

素、劳资模式结果因素四大类，并建立劳资关系关联-动态模型。在此基础上，找

到劳资关系模式形成和演化中的主要驱动因素，并将其进行概念量化。然后，通

过调查问卷收集我国及北欧中小企业的具体数据，使用结构方程分析工具建立实

证模型，并对数据进行分析处理，找出哪些因素是促成形成两地不同的劳资关系

模式。分析结果显示，我国与北欧劳资问题的反差巨大，形成这些反差的主要原

因表现为如下驱动因素的差别：产权结构明晰程度差异、制度和法律体系的差异、

集体谈判机制的差异、劳资双方组织运作机制和力量均衡差异、社会思维意识的差

异等。基于上述模型分析结论，研究最后对我国的中小企业和谐劳资关系构建工

作中的合理的谈判机制的构建问题、相关法律体系的全面化问题、工会体制的规范

和加强问题、社会产权体制改革问题、劳动条件和环境改善问题等的解决提出了一

些政策建议，希望对我国劳资关系的改善、社会经济运行效率的提高以及和谐社

会的构建提供理论和实践指导。

关键词：中小企业；劳资关系；北欧模式；关联因素理论；结构方程

ABSTRACT

Since reform and opening, small and medium-size enterprise (SMES) will soon become

the main structure of the market economy, also promote social stability and will be the

foundation strength of advancing economic development. During the transition period,

labor relation as an important aspect of social relations is increasingly gaining attention.

Because of the special feature and operation mechanism, the power between employers

and employees in SMES is generally not balanced leading to the instability and multiply

conflicts about labor relations. Especially since the financial crisis, due to cost pressures

and market economic recession, SMES’ profits get a sharp decrease. And in SEMS the

frequent phenomenon of labor conflicts began to occur and the scope of labor conflict

gradually began to expand especially in the labor contract, working conditions, labor

compensation and labor security etc. is particularly prominent. In recent years, the case

of labor disputes is increasing at an average annual rate of 30% especially in 2008

reached a peak when the new "Labor Law" issued. Among employers and employees

that the difference are extensive and obvious in SMES, they not only got the economic,

institutional and moral constraints which are limited but also lacked reasonable and

effective operations of the mechanism, resulting in the study of labor relations is

complex and disorder. Because of these characteristics, labor relationsissues directly

affect the development of social stability, which should be an emphasized factor of

building a harmonious society.

With its universal welfare model, a high degree of harmony and common prosperity,

labor relations in Nordic is well known around world. Its characteristics are: high

organizational participation rates, reasonable and effective mechanism for collective

bargaining, a sound legal system, free and open operation, overall welfare and security.

Although economic development, labor market conditions, social and political system

among our county and the Nordic countries are quite different, but we can still learn

from their policies. We can learn the factors of the process of formation and evolution

about the Nordic model to build a harmonious labor relationship mechanism.

Based on the above discussion, this article will focus on the comparative labor relations

of SMES between China model and the Nordic model. Associated with factor analysis

method of system dynamics, I divided the factors which influence the labor relations

system to form and evolve into four categories as basic input factors, the tripartite

relationship between the factors, labor-management game process factors, factors of

labor model results and established association - the dynamic model about labor

relations. On this basis, I tried to find the main drivers about formation and evolution of

labor relations model and then quantize the concept. Then, according to the

questionnaire about SEMS coming from Nordic and China, I collected the specific data

to create an empirical model with using the analysis tools of structural equation. With

analyzing and handling with the data, I found out the main factors which contribute to

the formation of two different patterns of labor relations. The results show that there is

great contrast between China and Nordic about labor problems. The main reason for the

formation of these contrasts is the difference of following drivers: differences in the

degree of ownership structure, difference in institutional and legal system, differences in

the mechanism of collective bargaining, difference about the operation mechanisms of

organization of employers and employees and the balance of power, differences in

awareness of social thinking. Based on the conclusion above model analysis, propose

some policies and recommendations to solve the problems about SMES in china as

below: to build a harmonious labor relations in the work of the reasonable negotiation

mechanism, a comprehensive legal system related to the issue, the union and the

strengthening of institutional norms, the community property system problems, improve

working conditions and environmental, and hope to provide theoretical and practical

guidance to improve our labor relations, improve economic efficiency and build a

harmonious society to provide theoretical and practical guidance.

Key Words: SMES; labor relationship; Nordic model; theory of factor

associate; structural equation

目 录
摘要
ABSTRACT
第一章绪论.......................................................................................................................1
§1.1 课题的来源及背景............................................................................................1
§1.2 论文研究的理论和现实意义............................................................................2
§1.2.1 理论意义..................................................................................................2
§1.2.2 实践意义..................................................................................................3
§1.3 相关研究文献综述............................................................................................4
§1.3.1 劳资关系理论的相关研究......................................................................4
§1.3.1.1 国外劳资关系理论研究评述........................................................4
§1.3.1.2 国内劳资关系理论研究评述........................................................6
§1.3.2 劳资关系的影响因素研究综述..............................................................7
§1.3.3 国内外劳资模式的对比研究..................................................................9
§1.4 课题所要研究的内容及实施方案：..............................................................10
§1.5 主要关键技术和创新点..................................................................................11
第二章我国及北欧中小企业劳资关系现状及问题对比分析.....................................13
§2.1 基本概念和理论基础......................................................................................13
§2.1.1 中小企业的界定....................................................................................13
§2.1.2 劳资关系及其演化................................................................................14
§2.1.2.1 劳资关系的概念..........................................................................14
§2.1.2.2 劳资关系的演化..........................................................................14
§2.1.3 中小企业劳资关系的特点....................................................................15
§2.1.4 关联理论................................................................................................16
§2.2 我国中小企业劳资关系的演化和现状分析..................................................17
§2.2.1 我国中小企业劳资关系的演化............................................................17
§2.2.2 后金融危机时代我国中小企业劳资关系现状和问题........................19
§2.3 北欧中小企业劳资关系模式及现状..............................................................24
§2.3.1 北欧劳资关系的演化和发展................................................................24
§2.3.2 北欧劳资关系的现状和问题................................................................25
§2.3.2.1 北欧劳资关系的现状..................................................................26
§2.3.2.2 北欧劳资关系的存在的问题......................................................27
第三章劳资关系模式系统的关联因素分析.................................................................29
§3.1 劳资关系关联-过程动态模型.........................................................................29
§3.2 基本输入因素..................................................................................................31
§3.2.1 基本环境因素........................................................................................31
§3.2.2 行业和场地因素....................................................................................32
§3.2.3 个人需求因素........................................................................................34
§3.3 三方关系影响因素..........................................................................................34
§3.3.1 产权因素分析........................................................................................35

§3.3.2 工会因素分析........................................................................................35
§3.3.3 政府因素分析........................................................................................35
§3.4 过程因素分析..................................................................................................36
§3.4.1 集体谈判................................................................................................36
§3.4.2 争议处理和利益仲裁............................................................................37
§3.5 结果因素分析..................................................................................................37
第四章劳资关系关联因素的影响程度的实证分析.....................................................39
§4.1 模型设计与构建..............................................................................................40
§4.1.1 变量的选取和维度设计........................................................................40
§4.1.2 模型构建和假设设立............................................................................43
§4.2 数据的收集与处理..........................................................................................45
§4.2.1 问卷的设计和发放................................................................................45
§4.2.2 问卷回收和统计整理............................................................................45
§4. 3 样本数据的汇总与处理.................................................................................46
§4.3.1 样本数据描述性统计分析....................................................................46
§4.3.2 信度与效度分析....................................................................................47
§4.3.2.1 信度分析......................................................................................47
§4.3.2.2 效度分析......................................................................................49
§4.4 中国中小企业劳资关系研究模型的数据 SEM 分析....................................50
§4.4.1 模型估计结果........................................................................................50
§4.4.2 拟合度（或适配度）检验....................................................................51
§4.4.3 关联变量的影响程度分析....................................................................52
§4.4.4 路径分析................................................................................................52
§4.5 北欧中小企业劳资关系研究模型的数据 SEM 分析....................................53
§4.5.1 模型估计结果........................................................................................53
§4.5.2 拟合度（或适配度）检验....................................................................54
§4.5.3 关联变量的影响程度分析....................................................................54
§4.5.4 路径分析................................................................................................54
§4.6 中国和北欧劳资关系模型估计数据结果的对比分析..................................55
第五章北欧模式对我国劳资关系改善的政策建议.....................................................58
§5.1 集体谈判机制的构建和完善..........................................................................58
§5.2 思想意识的加强以及法律和制度的完善......................................................59
§5.2.1 提高劳动者的法律观念和维权意识....................................................59
§5.2.2 法律制度完善........................................................................................59
§5.3 工会体制的改革..............................................................................................60
§5.4 产权制度的改革..............................................................................................60
§5.5 其他建议措施..................................................................................................61
§5.5.1 提高福利待遇及改善工作条件............................................................61
§5.5.2 完善劳资冲突处理及改善利益仲裁的制度........................................62
§5.5.3 保证公平及加强企业人性化管理........................................................62
§5.5.4 提高组织成员忠诚度............................................................................62
§5.5.5 加强政府监管........................................................................................63

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摘要：

我国与北欧中小企业劳资关系模式的对比研究——基于关联因素理论的实证分析摘要改革开放以来，中小企业很快成为市场经济的构造主体，同时也是促进社会稳定、推动经济发展的基础力量。从而中小企业劳资关系作为转轨时期的社会关系的一个重要方面日益引起人们的关注。由于中小企业的特殊的组织特点和经营机制，劳资双方的力量对比普遍不均衡，导致劳资关系的不稳定性和劳资矛盾的多发性。尤其是金融危机以来，中小企业由于成本压力和市场经济的不景气，其所获得的利润急剧减小中小型企业劳资冲突现象也开始频繁发生，劳资矛盾所涉及的范围也开始逐渐扩大，尤其是在劳动合同、劳动条件、劳动报酬及劳动保障等几个领域表现尤为突出。近几年，劳资争议...

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