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工会制度与集体协商和集体谈判 Trade Union System &Collective Consultation/Collective Bargaining Jimmy Law – HR Director

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工会的主要职能 MAJOR ROLES OF TRADE UNION 开展工会活动 Carry out union activities 维护职工合法权益 Safeguard the lawful rights and interests of the employees 公司职工依照《中华人民共和国工会法》组织工会，开展工会活动，维护职工合法权益。公司应当为 本公司工会提供必要的活动条件。公司工会代表职工就职工的劳动报酬、工作时间、福利、保险和劳 动安全卫生等事项依法与公司签订集体合同。 The employees of a company shall, according to the Labor Union Law of the Peoples Republic of China, organize a labor union, which shall carry out union activities and safeguard the lawful rights and interests of the employees. The company shall provide necessary conditions for its labor union to carry out activities. The labor union shall, on behalf of the employees, conclude the collective contract with the company with respect to the remuneration, working hours, welfare, insurance, work safety and sanitation and other matters. 公司研究决定改制以及经营方面的重大问题、制定重要的规章制度时，应当听取公司工会的意见，并 通过职工代表大会或者其他形式听取职工的意见和建议 –《公司法》第十八条 To make a decision on restructuring or any important issue related to business operation, or to formulate any important regulation, a company shall solicit the opinions of its labor union, and shall solicit the opinions and proposals of the employees through the meeting of the representatives of the employees or in any other way – Article 18, Company Law 2

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《劳动法》相关规定 LABOR LAW 《劳动法》中涉及工会的条款共有八条；《劳动合同法》中涉及工会的条款共有十一条，最 值得关注的有以下条款(Concerning the Trade Union, there are 8 Articles in China Labor Law, and 11 Articles in China Labor Contract Law， among which the followings deserve the most special attentions) 劳动法第二十七条：用人单位濒临破产进行法定整顿期间或者生产经营状况发生严重困难，确需裁减 人员的，应当提前三十日向工会或者全体职工说明情况，听取工会或者职工的意见，经向劳动行政部 门报告后，可以裁减人员 – 《劳动法》 Labor Law, Article 27: In case it becomes a must for the employer to cut down the number of workforce during the period of legal consolidation when it comes to the brink of bankruptcy or when it runs deep into difficulties in business, the employer shall explain the situation to its trade union or all of its employees 30 days in advance, solicit opinions from its trade union or the employees, and report to the labor administrative department before it makes such cuts. 劳动法第三十条 ：用人单位解除劳动合同，工会认为不适当的，有权提出意见。如果用人单位违反法 律、法规或者劳动合同，工会有权要求重新处理；劳动者申请仲裁或者提起诉讼的，工会应当依法给 予支持和帮助 – 《劳动法》 Labor Law, Article 30: The trade union shall have the right to air its opinions if it regards as inappropriate the revocation of a labor contract by the employer. If the employer violates laws, regulations or labor contracts, its trade union shall have the right to ask for handling the case anew. If laborers apply for arbitration or raise lawsuits, the trade union shall render support and help in accordance with law. 3

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《劳动合同法》相关规定 LABOR CONTRACT LAW 企业裁员或单方解除劳动合同时： During RIF or when Employer is to terminate employee contract unilaterally: 《劳动合同法》第四十一条：有下列情形之一，需要裁减人员二十人以上或者裁减不足二十人但占企 业职工总数百分之十以上的，用人单位提前三十日向工会或者全体职工说明情况，听取工会或者职工 的意见后，裁减人员方案经向劳动行政部门报告，可以裁减人员。 Labor Contract Law, Article 41： If any of the following circumstances makes it necessary to reduce the workforce by 20 persons or more or by a number of persons that is less than 20 but accounts for 10 percent or more of the total number of the enterprise’s employees, the Employer may reduce the workforce after it has explained the circumstances to its Trade union or to all of its employees 30 days in advance, has considered the opinions of the Trade union or the employees and has subsequently reported the workforce reduction plan to the labor administration department. 《劳动合同法》第四十三条：用人单位单方解除劳动合同，应当事先将理由通知工会。用人单位违反 法律、行政法规规定或者劳动合同约定的，工会有权要求用人单位纠正。用人单位应当研究工会的意 见，并将处理结果书面通知工会。 Labor Contract Law, Article 43： When an Employer is to terminate an employment contract unilaterally, it shall give the Trade union advance notice of the reason therefore. If the Employer violates laws, administrative statutes or the employment contract, the Trade union has the right to demand that the Employer rectify the matter. The Employer shall study the Trade union’s opinions and notify the Trade union in writing as to the outcome of its handling of the matter. 4

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结论CONCLUSION 在现行中国法律框架下企业成立工会对管理者（雇主）的好处： The benefit for the management (employer) of having a Trade Union under the current China legislation framework: 使得制定和修改涉及劳动者切身利益的规章制度的流程省时和有效 Efficient and effective when implementing internal rules and regulations concerning employee’s personal interests or making updates 在实施上述流程前能够通过专业人员小组（工会）征询有建设性的意见 Able to seek constructive opinions within a small group of knowledgeable professionals before implementation of the above 解除企业裁员和单方解除合同时的困扰，获取协商解除协议的支持 Removes the concerns in RIF or termination of the non-performers and get support in termination settlements 5

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结论CONCLUSION 在现行中国法律框架下企业成立工会对雇员的好处： The benefit for the management (employee) of having a Trade Union under the current China legislation framework 雇员在遇到不公正对待或打击报复时有地方进行申诉 Employee to have a place to raise their voice when encounter of unfairness or retaliation; 在制定和修改涉及规章制度时能最大限度的考虑到雇员的利益 Employee’s interests may be considered at large when making any changes in rules and regulations modifications; 可以通过组织内部第三方调解争议 There is a 3rd party in resolving disputes within the organization 6

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有益的尝试 SOME INTERESTING PRACTICES IN MNC有特色的替身 (Distinctive Substitution) 不同的称谓：Staff Club / Staff Committee / Employee Relationship Committee in MNCs 可靠：Initiated by HR or Mgmt Team members 认同：Can be accepted by the management and HQ 经费：Financed from operation budget in reference to Trade Union Fee 民主程序：Members are volunteered or nominated by employees; chairs are elected by members主要职责和功能 (Major Roles & Responsibilities) 组织和安排员工的沟通，心理辅导：organize employee communication and EAP program 组织和安排员工的集体活动:organize employee collective activities 组织和安排公司志愿者活动，回馈社会:organize Company Volunteer activities 协助公司行政部门的安全教育以及其他需要员工支持和参与的大型活动: Assist the management and office administration to conduct safety training and all large scale activities that requires employee involvement and supports.缺失 (What is missing?) 维护职工合法权益及参与决策:safeguard the lawful rights and interests of the employees; and decision making involvement that concerning employee’s interests 7

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外资企业在建立工会的主要顾虑是什么 THE MAJOR CONCERNS 工会的职责 Responsibilities of the Union 工会费的使用 The Application of Union Fee 工会组织结构 Organization Structure of the Union 8

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工会的职责 RIGHTS & OBLIGATIONS OF THE UNION工会的职责 Rights & Obligations of the Union 中国现行《工会法》规定的工会的权利与义务（第19至34条）是大多数跨国公司人力资源部，法律部和 行政部不可推卸的职责范围 The right and obligations of the Union as specified in the Trade Union Law (Article 19 – 34) are the compelling obligation of the HR, Legal and Administrative Office in most of the multi-national companies. 其中参与管理决策和维护职工权益的职责，比如劳动安全（第23、24条），薪酬福利制度（第30、33 条），奖惩员工（第21、22及32条），集体合同及争议的解决（第20、28条），工伤亡事故和其他严重 危害职工健康问题的调查处理（第26条），职工培训等（第31条），是非专业人士不可能胜任的, 特别 是当面对企业内部人事，行政和法律方面的专家时。 Among which, the involvement in management decisions and protection of employee’s rights, such as Labor Protection (Article 23 & 24), Remuneration & welfare system (Article 30 & 33), Rewards & Disciplines (Article 21, 22 & 32), Collective Contract & Dispute Settlement (Article 20 & 28), Investigation on Work Related Injury and Death or Serious Occupational Disease (Article 26) and employee education (Article 31) etc. are nothing the competences and skill sets non-professional employees possess, especially when interacting with the HR, Admin and Legal experts 外国公司很强的个人隐私保护方面的规定，不允许任何无关的人员介入任何与员工个人利益有关的事宜 的讨论，及对个人信息的披露。 The very strong personal privacy policy in MNCs will not allow any other employees to involve in any discussions involving employee privacy and personal information disclosure. 9

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工会费的使用 THE APPLICATION OF UNION FEE工会费的使用 The Application of Union Fee 建立工会组织的企业、事业单位、机关按每月全部职工工资总额的2%向工会拨缴经费（第42条）；企业、 事业单位无正当理由拖延或者拒不拨缴工会经费，基层工会或者上级工会可以向当地人民法院申请支付 令；拒不执行支付令的，工会可以依法申请人民法院强制执行（第43条） Contribution, equivalent to 2% of the monthly payroll of all the workers and staff members, allocated by the enterprise, institution or government department where the trade union is established (Article 42); Where an enterprise or institution delays allocating or refuses to allocate the contribution to the trade union without justifiable reasons, the basic-level trade union or the trade union at a higher level may apply to the local Peoples Court for an order for payment; if it refuses to obey the order, the trade union may, in accordance with law, apply to the Peoples Court for compulsory enforcement (Article 43) 工会会费的提取比例大大高于五险一金中的工伤保险和女工生育保险费的提取比例，与失业保险金的提 取比例持平，而且没有封顶，针对所有员工 The retention ratio of the Union Fee is much higher than the retention ratio for the 2 Social Insurance items, i.e. Occupational Injury & Maternity Insurance, and equal to the ratio for Unemployment Insurance, especially with no ceiling, for every one. 按现行规定，各基层工会经费留成比例自2006年1月1日起调整为50%。据我了解许多外商投资企业和大型 国有企业每年应上缴的工会费就达上百万人民币 Based on current regulation, all base union fee retaining ration is adjusted to 50% starting from Jan. 1, 2006. A lot of Foreign Invested Companies and Large Scale Stated Owned Enterprises I know are due to turnover the annual trade union fee up to millions of RMB. 10

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工会组织结构 ORGANIZATION STRUCTURE OF THE UNION工会组织结构 Organization Structure of the Union 工会是职工自愿结合的工人阶级的群众组织（第2条）- 没有职工自愿参加怎么办？ Trade unions are mass organizations of the working class formed by the workers and staff members on a voluntary basis (Article 2) – How to do if there is no Voluntary 企业、事业单位、机关有会员25人以上的，应当建立基层工会委员会；不足25人的，可以单独建立基层工 会委员会，也可以由两个以上单位的会员联合建立基层工会委员会，也可以选举组织员一人，组织会员开 展活动（第10条）- 没有会员如何成立工会？ A basic-level trade union committee shall be set up in an enterprise, an institution or a government department with a membership of 25 or more; where the membership is less than 25, a basic-level trade union committee may be separately set up, or a basic-level trade union committee may be set up jointly by the members in two or more work units, or an organizer may be elected, to organize the members in various activities (Article 10) – How to set up a Union when there are no members? 基层工会的非专职委员占用生产或者工作时间参加会议或者从事工会工作，每月不超过三个工作日，其工 资照发，其他待遇不受影响（第四十条）- 如何界定敬业和“不务正业” Part-time committee members of basic-level trade unions shall receive their normal wages, and their other benefits shall remain unaffected if the meetings they attend or the trade union work they do during production- or work-hours take up not more than three working days every month (Article 40) – How to define engagement on employee’s professional job responsibilities vs. engagement in non-professional part-time work? 工会的“社会团体法人”资格 – 如何解决 “利益冲突” The qualification and status of Social Groups Legal Person of the Trade Union – How to handle conflict of interests 11

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集体合同-谈什么？COLLECTIVE EMPLOYMENT CONTRACT – WHAT TO CONSULT 集体合同协商的内容是什么？ What to discuss in Collective Labor Contracts? 对集体协商和集体谈判的困惑 Concerns on Collective Consultation/Collective Bargaining O 劳动合同除了工资福利和工作职责外，完全是用的政府部门提供的范本 Most of the companies are using the government provided templates as the base of employment contract, except for the contents of the job and remuneration O 劳动合同的的定稿是经过企业内部律师及国内外知名劳动法专家审议的 Most of the company’s final version of the employment contracts are concluded after the review of internal lawyers and domestic and international labor law experts. O 由人力资源部和法律部以外的“非专业人士”代表职工签订劳动合同可靠吗？ Is it reliable to rely on the “non-professionals” beyond human resources and legal department to sign labor contract on behalf of employees O 雇员个人与雇主之间的劳动合同为什么一定要由别人代为签订？ Why a private employment contract between individual and employer have to be signed by somebody else as representative?建议：对必须要有集体协商劳动合同的企业做出定义.要求守法的企业按照最低的标准去操作是不现实的Suggestions: definitions and criteria for employers who have to go through Collective Labor Contracts consultation have to bemade. It is not practical to apply the minimum standards to the companies compliant with the government rules andregulations 12

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集体谈判-谈什么？COLLECTIVE BARGAINING – WHAT TO BARGAIN工资协商的内容和范围？What are the contents and the scope of remuneration bargaining? O 不同级别工资指导线是依照市场行情和数据确定的 Most of the multinational companies are basing on the market data and its affordability, level of P&L etc. to decide their pay level and pay scales O 工资的增长幅度是按照企业的当年经营状况，物价上涨水平及市场行情确定的 The yearly pay increase scales and budget is decided based on the enterprise operation situation, local inflation index and competitive market data. O 职工福利水平是参照企业全球的薪酬战略和当地的习惯及市场行情制定的 The level of employee benefits and welfare is decided based on a company’s global C&B strategy and its local customs and market data O 上述内容无论是在外企，国企还是政府机关，都是内部保密信息，员工和工会如何能够得到这类信息呢？ No matter it is multinational companies, state-owned enterprises or in government departments, these information are treated as internal confidential information, how could employee or trade union obtain it? O 就连制定政策的机构都不能和从未实现工资集体谈判及聘用合同集体协商，为什么要求所有的企业都这 样做呢？ Even those institutions of policy/law maker and government departments have never allowed its officials involved in discussion of salary structures/policies and participate in appointment collective negotiation, why all enterprises are required to do so? 13

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建议 Suggestions企业外部工会联合会 Trade Union: External Trade Union Association O 工会应当为强制性的，无论是内部还是外部，企业必须加入，这样就不需要政府定指标并出面做工 作了，避免违法行政。 Make it mandatory, either internal or external. This will avoid government targets and government involvement, which will also avoid unlawful execution. O 外部工会联合会由劳动部门的专家，法律专家和企业人力资源专家组成，收费和服务参照美商会的 做法。 External Trade Union Association composed by experts from Labor Authority, Legal expert and Enterprise Human Resources. The membership fee and services provided can refer to the practice of AmChan.集体合同/集体谈判的底线 Minimum Standard for requiring Collective Consultation/Negotiation O 平均工资低于当地社会平均工资或市场平均值的企业必须施行工资集体协商 Enterprise Average Salary below social average or market average requires mandatory consultation O 大量使用体力劳动者如煤窑及农民工的企业必须施行劳动合同集体协商 Enterprises with mass laborers such as mines and peasants workers require mandatory collective consultation of the employment contract. 14

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Jimmy Law – Freelance HR Consultant forBeijing Talentwood Information Services (www.talentwood.net )Global Trend Consulting Co. Ltd. (www.globaltconsulting.com ) Email: jlaw.private@gmail.com AND YOU ARE WELCOME TO CONNECT ME VIA LINKEDIN HTTP://WWW.LINKEDIN.COM/PROFILE/EDIT?TRK=HB_TAB_PRO_TOP JUNE 2011 15