I 摘要 改革开放以来，随着我国市场经济的迅速发展，我国中小企业已经成为国民经济中 一支不可或缺的力量，中小企业能够促进研发与创新，扩大就业，提高就业率，拉动经 济又好又快增长，维护安稳融洽的社会环境，由此可见中小企业作用巨大。若中小企业 在市场经济中获得可持续稳定发展，那么便不可忽视人力资源管理这一核心竞争力量。 随着市场经济环境的不断变化以及人力资源的不断发展，人力资源管理中的法律风险也 不断出现，通过问卷调查及新闻报道以及日常生活中接触的案例可知：中小企业在人力 资源管理过程中的疏忽导致的法律风险普遍存在，由此而引发的劳动争议案件数量不断 增加。如何使中小企业人力资源管理做到合理、合情、合法，构建和谐发展的劳动关系， 促进企业的可持续性发展，是我国中小企业共同面临的一大课题。 首先，本文采用问卷调查法，本次问卷调查共向80家企业发放了调查问卷，共收 回问卷75份，其中有效问卷为60份，通过对我国60家具有代表性的中小企业进行调 查，根据对调查问卷的结果之统计及分析，发现了这60家中小企业在人力资源管理中 或多或少的存在着问题，如招用员工时，企业未如实告知员工作内容、办公地点、办公 环境、办公薪资、劳动是否存在危害、劳动安全状况等情况，部分企业未给员工缴纳社 会保险费，有些企业甚至未和员工签订劳动合同，劳动合同的变更亦缺乏书面的手续资 料，企业的招聘入职制度、考勤制度、薪酬管理制度、绩效考核制度、奖惩制度、安全 卫生制度、离职制度、档案管理制度等相关制度十分不健全。 随后，本文对LX公司高级管理人员及普通员工进行了访谈，通过高管及相关人员 回答可知对LX公司亦存在上述的相关问题。为突出重点，有的放矢的分析问题、解决 问题，本文在具体细节上以LX为公司案例进行具体研究，依据我国劳动法、劳动合同 法、社会保险法、民法总则等相关法律法规，并结合本人多年从事法律工作经历以及掌 握的人力资源管理理论相关知识，采用文献研究法、理论研究法、案例研究法以及现场 访谈辅助方法，对LX公司人力资源管理法律风险进行识别及阐述，分析LX公司人力资 源管理法律风险现状，以及LX公司人力资源管理中在企业招聘中、签订劳动合同时、 劳动关系存续期间、解除或终止劳动合同时的法律风险防范，并有针对性地提出防范法 律风险的对策及保障措施。通过对LX公司人力资源管理的法律风险分析及对策研究， 不仅有助于中小企业降低人力资源法律风险从而提高企业人力资源的管理水平，而且对 中小企业在经济市场中可持续健康稳定发展都具有借鉴的意义。 关键词： 中小企业，人力资源管理，法律风险，风险防范 Abstract II Abstract Since the reform and opening up, with the rapid development of China's market economy, China's SMEs have become an indispensable force in the national economy. SMEs can promote R&D and innovation, expand employment, increase employment rate, and drive the economy to be good and fast. Growth and maintaining a stable and harmonious social environment can be seen as a huge role for SMEs. If SMEs achieve sustainable and stable development in the market economy, then the core competitiveness of human resource management cannot be ignored. With the constant changes in the market economy environment and the continuous development of human resources, the legal risks in human resource management are also constantly emerging. Through questionnaires and news reports, as well as cases of contact in daily life, we can see that SMEs are in the process of human resource management. The legal risks caused by negligence are widespread, and the number of labor dispute cases caused by this has been increasing. How to make the human resources management of SMEs reasonable, reasonable and legal, to build a harmonious development of labor relations, and to promote the sustainable development of enterprises is a major issue facing SMEs in China. First of all, this paper adopts the questionnaire survey method. In this questionnaire survey, a total of 80 questionnaires were sent to 80 enterprises, and a total of 75 questionnaires were collected, of which 60 were valid questionnaires. According to the survey of 60 representative SMEs in China, according to According to the statistics and analysis of the results of the questionnaire, it is found that these 60 SMEs have more or less problems in human resource management. For example, when recruiting employees, the company does not truthfully inform the staff of the work content, office location, office environment. , office salary, labor hazard, labor safety, etc., some enterprises did not pay social insurance premiums to employees, some companies did not even sign labor contracts with employees, labor contract changes also lacked written formal information, the recruitment of enterprises Relevant systems such as system, attendance system, salary management system, performance appraisal system, reward and punishment system, safety and health system, separation system, and file management system are not perfect. Subsequently, this article interviewed LX senior management and ordinary employees. Through the answers of senior management and related personnel, it is known that LX companies also have the above-mentioned related problems. In order to highlight the key Abstract III points and analyze the problems and solve the problems in a targeted manner, this article uses LX as the company case to conduct specific research in specific details. According to China's labor law, labor contract law, social insurance law, civil law general rules and other relevant laws and regulations, and combined with my own years of engagement Legal work experience and knowledge of human resource management theory, using literature research method, theoretical research method, case study method and on-site interview assistant method to identify and expound LX company human resource management legal risk, analyze LX company human resource management The current situation of legal risk, as well as the legal risk prevention in the recruitment of enterprise, the signing of labor contract, the duration of labor relationship, the termination or termination of labor contract in LX company's human resource management, and the countermeasures and protection against legal risks Measures. Through the legal risk analysis and countermeasure research of LX company's human resource management, it not only helps SMEs to reduce the human resources legal risk and thus improve the management level of human resources, but also has the sustainable, healthy and stable development of SMEs in the economic market. The meaning of reference. Keywords: small and medium-sized enterprises, human resource management, legal risk,risk-prevention 目录 IV 目 录 摘要 ............... I Abstract .......... II 目 录 ............ IV 1 绪论 ............ 1 1.1 研究背景和研究意义 .... 1 1.1.2 论文研究意义 ..... 1 1.2 国内外研究现状 ............ 2 1.2.1国内研究现状 ...... 2 1.2.2国外研究现状 ...... 3 1.3 研究内容与方法 ............ 4 1.3.1论文研究内容 ...... 4 1.3.2论文研究方法 ...... 5 1.3.3技术路线图 .......... 5 2 理论基础 .... 7 2.1 人力资源法律风险概述 7 2.2 人力资源管理中的法律风险防范理论 ....... 8 2.2.1人力资源管理中风险防范的法律依据 ............................ 8 2.2.2人力资源管理中法律风险防范工具及作用 .................... 8 3 中小企业人力资源管理普遍存在的法律风险 .... 11 3.1 与招聘相关的法律风险 ............................. 11 3.2 与劳动合同相关的法律风险 ..................... 12 3.3 与员工管理相关的法律风险 ..................... 16 4 LX公司人力资源管理中存在的法律风险 ........... 18 4.1 LX公司概况 ................. 18 4.1.1LX公司行业特点 18 4.1.2LX公司规模特征 18 4.2 LX公司人力资源管理现状 ........................ 19 4.3 LX公司人力资源管理中存在的内部和外部法律风险 ........... 20 4.3.1企业内部存在的法律风险 ............... 20 4.3.2企业外部存在的法律风险 ............... 23 4.4 LX公司法律风险的成因 ............................ 25 目录 V 4.4.1法务部门缺失 .... 25 4.4.2岗位职责分配不合理 ....................... 26 4.4.3企业经营决策方式缺乏科学性 ....... 26 5 LX公司人力资源管理中的法律风险防范对策 ... 27 5.1 企业招聘中的法律风险防范 ..................... 27 5.1.1细化招聘信息发布环节 ................... 27 5.1.2严格审核入职材料环节 ................... 27 5.2 签订劳动合同时的法律风险防范 ............. 28 5.2.1建立一整套符合法律规定的劳动合同签订与管理制度 ............................. 28 5.2.2合规设置试用期 29 5.3 劳动关系存续期间的法律风险防范 .......