【作者】 翟旭丹；

【导师】 徐永康；

【作者基本信息】 华东政法大学 ， 法律史， 2013， 博士

【摘要】 本文研究了近代上海社会福利制度产生、发展的过程以及该制度积极作用和不足。论文分为四章，第一章研究了近代上海社会福利制度的背景；第二章研究了该制度确立过程和内容；第三章研究了近代上海社会福利制度的实施效果和困局；第四章是对近代上海社会福利制度的评价。第一章研究了近代上海社会福利制度建立的背景，分为福利制度建立的动因和基础两个部分共两节。第一节为动因部分，首先介绍了自1843年上海开埠之后的巨大变化，即经济结构由农渔业为主转变为金融工商业为主，在这一转变过程中，原有的社会经济结构被打破，大量的农民走向城市，进城之后的农民变成了产业工人，他们的原有土地保障不再存在，城市生活的多变性使他们生存的社会风险大大增加。因此，在传统的依赖于土地和家族的社会安全保障体系已经被打破、新的社会保障体系却不能马上建立的现实情况下，新的问题也随之产生，大量的工人因工致残进而导致生活贫困，迫于生计的他们不得不铤而走险，违法犯罪行为层出不穷，社会秩序也因此开始混乱，由此引发了一系列的社会矛盾。在此背景下，为维护城市社会稳定和发展，当时的政府必须开始着手建立新式的社会风险保障体制。其次，回顾了近代西方社会福利制度形成的历史发展过程。西方社会福利制度的开端是英国在1795颁布了带有社会福利色彩的《济贫法》以及修正案对失业的工人和困苦的人们进行必要的救济，从此改变了先前贫穷是由于个人原因造成的，政府无需进行救济的观念。西方社会福利制度的真正开始是17—18世纪德国颁布一系列的旨在保护工人、残疾人、低收入者福利权益的社会保险法的出台，虽然初衷是为了维护统治，但是这一制度的确立却有着积极的意义，保险制度使人们在因公害事故、健康不良、失业、家庭生计承担者死亡，或因任何其他不幸使收入受到损失等情况下，不至于沦为赤贫。再次，介绍了西方福利思想的西学东渐和近代上海的新兴社会力量对于建立社会福利制度的呼声。西方社会福利思想是伴随着传教士传教活动进入中国的，传教士通过兴办福利机构解救人们疾苦的方式进行传教，其福利救助理念和做法深深影响了当时先进的中国人，如张謇、熊希龄等人，他们通过兴办新式福利机构的方式探索符合中国实际的福利模式，由此西方的社会福利思想在中国逐渐传播开来。近代上海是全国最为发达的城市，知识精英汇集，面对传统的安全维护体系不能解决日益严重的社会危机的社会现实，他们开始大声疾呼，通过著书立说等方式介绍西方的社会福利制度，并且建议政府接受和采用西方的社会福利理念和做法，以解决社会危机。但是在1927年之前的上海地方政府对于西方社会福利制度更本没有兴趣，即使采取一些措施时也是迫于形势，并无多少实质的内容，有时甚至对于工人日益高涨的维权行动进行镇压。第二节介绍了近代上海社会福利制度形成的基础。首先，本文回顾了传统中国社会福利思想和实践的历史发展过程。社会福利制度虽然是在近代西方工业化过程中孕育和发展的，但具有社会福利色彩的理论和实践在中国古代已经出现，我国远古时代就有“有无相贷”、“疾病相救”的思想，封建王朝的统治者也进行了一些社会福利实践，如建立福利机构对社会弱势群体进行救助，在灾荒年份赈济灾民等。古代思想家理论和封建统治者和做法为近代上海社会福利制度的建立提供了思想和实践基础。其次是南京国民政府为近代上海社会福利制度建立提供的政治和立法基础。国民党在取得政权之后想要维持其统治地位，必须顺应民意满足人们对于新的社会安全维系机制的渴求。秉承孙中山先生关注“民生”的理念，1927年南京国民政府成立之后开始模仿西方的社会福利模式建立专门的社会福利事业管理部门并且颁布实施了一系列社会福利法律制度。南京国民政府的社会福利机构设置和法律颁布实施为近代上海社会福利制度建立提供了政治和立法基础。转型社会中产生的大量问题呼唤新的个人安全维护机制的出现，西方社会福利思想的传入和先进中国人的努力探索、古代中国的社会福利思想和实践和南京国民政府的社会福利法律的颁布和机构设置为近代上海社会福利制度的产生和发展提供了基础。第二章研究了近代上海社会福利制度的确立和内容。分为该制度确立的过程和内容两个部分共两节。第一节为制度确立过程部分，首先介绍了1927年-1932年上海社会福利制度建立的过程和经历的曲折。新建立的上海市政府，成立了专门的社会福利实施机构并且颁布实施了一系列福利法规，上海的社会福利制度在继承和创新的氛围中取得了一定的成就，但是1932年的“一·二八”爆发使初见成效的社会福利事业又几乎退回到了1927年之前的水平。其次介绍了社会福利事业的恢复和发展，随着上海建设年的到来，上海的社会福利事业开始复苏，从1935年到抗战之前有短暂的发展，并且取得了一定的成就。第二节为福利制度的内容部分，文章从劳工福利、儿童福利、职业指导教育和社会服务四个方面论述的近代上海市的社会福利制度内容。首先，赋有现代性的劳工福利。劳工福利现代性从法规和内容两方面体现的，法规方面，颁布了明确政府在保证工人最低工资、工作时间、劳动保险和失业救济等方面的责任《上海劳资调节条例》，上海市还出台了两部专门的劳动保险的地方性法规：《上海特别市职工待遇暂行规则》和《上海特别市职工退职待遇暂行办法》标志着上海劳工社会福利制度正式形成；内容方面，劳工福利包括工人失业救济、工人储蓄和保险、教育、医疗卫生和住宅等五个方面，其中很多做法做具有现代性和创新性，如上海市实施的职工储蓄办法成为了南京国民政府制定劳工储蓄法律的参考。其次，内涵丰富的儿童福利。近代上海社会政治和经济地位特殊，儿童福利的重点是为其成长和发展提供良好的物质和精神基础，培养他们成为未来城市的建设者。在物质条件方面，侧重于建立现代化的儿童教育体系、创造多元化的教育环境、大力加强师资力量建设；在精神文化方面，上海市政府举办儿童节、儿童年、义诊等社会活动，让儿童增强社会意识、团体意识和服务意识，也让家长更新儿童教育观念，提高家庭教育水平，进行现代家庭教育。近代上海儿童福利为儿童成长和发展创造现代化的成长和教育的环境，努力把儿童培养成为现代城市的建设者体现了儿童福利的丰富内涵。再次，公私力量相结合的职业指导。随着近代上海城市人口的不断增加，就业难度也随之增大，积极开展职业指导教育有效促进就业成为当务之急。近代上海出现全国最早的社会职业指导机构——中华职业教育社，之后又成立第一个该所有完整的组织结构和职业分工的地方性职业指导机构——上海职业指导所，其业务范围覆盖了职业指导、健康指导、婚姻指导等方面。在民间组织兴起职业指导的同时，上海市政府也成立了上海市职业指导所，进行社会性就业指导和学校内部职业指导教育，公私力量相结合职业指导的广泛开展有利于求职者正确的自身定位选择职业，促进就业。最后是公用局主导的、官民合作的社会服务。近代上海的社会服务主要是通过政府对民营社会公用事业的管理体现的。近代上海由于政府的财力不足、公用事业投入巨大、民营公用事业早已存在于华界等原因，上海的华界的公用事业大都采用的是政府授予民营企业公用事业的专营权，政府行使监管的职责方式运作。上海市政府公用局制定了《上海特别市商办公用事业监理规则》和《上海市公用局民营公用事业监督条例》加强对民营公用事业企业的监督同时也给予民营公用事业企业必要的政策扶持。近代上海社会福利制度的确立和发展虽然经历了较为曲折的过程，但是却具有时代性和先进性，其是在突破原先存在社会福利框架基础上，有针对性的借鉴国外的相关经验，结合上海本地的实际形成具有现代意义的社会福利制度，对社会进步具有一定的推动作用。第三章主要研究了近代上海社会福利制度实施的效果和困局，分为社会福利制度实施效果和困局两个部分共两节。第一节介绍了近代上海社会福利制度实施效果，首先是劳工福利实践性突出，劳工福利改善了劳工的住房环境，率先在全国实施了劳工储蓄和保险，政府大量投入的劳工教育也取得成效，体现了劳工福利实践性突出的特点。其次为儿童福利成就显著，通过规范助产事业、设立妇婴保健托儿所、妇婴卫生调查与宣传等方式建立了较为完善的妇婴卫生行政系统；政府举办儿童节、儿童年让下层儿童体会到儿童福利的益处，感受到社会的关怀。大型的儿童集体活动增强了他们的公共意识、服务意识，同时家长转变了家庭教育观念。再次是职业指导富有特色，职业指导呈现出指导形式从简单走向多样、社会和学校职业指导教育开始分野、职业指导组织也从分散走向联合的特点并且职业指导教育的著作也大量出现。最后为公共服务具有开创性，社会服务方面主要是城市道路的大量的修筑、自来水网络基本形成并且水质有所提高、交通网络形成和出项方式多样化，同时民营公用事业企业和上海市政府有关企业监督程度的争论在一定程度上促进了政府执政理念的转变。第二节是近代上海社会福利制度实施存在的困局。首先，严峻的财政形势制约社会福利事业的发展，由于政府财政紧张和战乱等原因，作为上海社会福利事业主要实施机构的社会局没有足够的经费支撑社会福利事业的运转，福利事业的发展受到较大的影响。其次，外商企业和租界当局的百般阻挠，华界的社会公用事业企业相对于外商企业存在着资金匮乏、技术落后等诸多不足，外商公用事业企业为了垄断市场，多方阻扰华商建立和外商企业存在竞争关系的社会公用事业企业，囿于当时的国情，上海市政府只能采取在自己的国土上通过向外商购买公用事业经营权的方式为华界公用事业企业争取发展的空间，可见其中的无奈。第四章是对近代上海社会福利制度的评价，分为近代上海社会福利制度的历史地位、局限性和当代启示三个部分共三节。第一节研究了近代上海福利制度的历史地位，近代上海社会福利制度确立了具有现代意义的社会福利理念、完善了近代上海社会福利制度的功能和架构、有助于中国社会从传统到现代的再次转型、对近代工人力量的维权意识具有启发性作用、同时也有助于近代上海市民观念的形成。第二节研究了近代上海福利制度的局限性。用法律的形式把劳工福利劳工的的权利加以固定，这对工人维护自身的权益具有一定积极的作用，工人可以摆脱过去仅仅依靠怠工、罢工的方式进行维权的状况，在与资方的斗争中可以援引政府制定的工人福利的有关法律法规进行维权，更加具有说服力。但用法律的形式将劳工福利进行固定，其实也是一种压制劳工进一步维权的方法，国民党政府通过法律明确劳工维权的方式，对劳工的维权行动加以限定，意图通过实施社会福利对工人思想和意识形态进行整合，达到既缓和了劳资矛盾又稳定的社会的目的，由此可以看出，实施社会福利制度只是维护社会稳定的权宜之计，与福利制度本身的初衷是不相符合的，这也是近代上海社会福利制度的局限。第三节研究了近代上海福利制度的当代启示。首先，社会福利制度的建立要和经济水平相适应，根据我国国情有根据、有目的、有计划的规划社会福利的发展进程是十分必要的；其次，要发挥政府在社会福利制度运行中的效能，政府必须创造和维持良好的社会福利运行环境并且具备较强的施政协调能力；再次，必须注重社会福利立法本身的法制要求，处理好社会福利立法的移植和本土化的关系，社会福利立法应向着统一、集约和高效迈进，社会福利立法明确法律的实施方式，确保法律实施的强制力并且具有普遍的适用范围。更多还原

【Abstract】 Thisdissertation studies the Modern Shanghai Social Welfare System, the processof development and the positive part and shortcomingsof the system. The dissertationis divided into four chapters, the first chapter of the background of the modern socialwelfare system, the second chapter of the system established process, the thirdchapteris effect of the implementation of the Modern Shanghai social welfare systemand predicament, the fourth chapter Modern Shanghai social welfare system.The Modern Shanghai Social welfare System established background in the firstchapter, It is divided into two welfare system to establish the motive and the basis oftwo parts. The first section is the motivation part, firstly introduced great changesafter the Opening of Shanghai since1843, the economic structure dominated byagriculture and fishery changed into the financial industry and commerce, the existingsocio-economic structure was broken, a large number of farmers becamed intoindustrial workers, their original land protection no longer exists, the variability ofcity life society greatly increases the risk to their survival. Therefore, in the case oftraditional dependent on the land and the family’s social security system has beenbroken, the new social security system can not be established immediately in reality,new problems, a large number of workers leading to disability arising out living inpoverty, forced their livelihood, they have to take the risk, criminal behavior emergingsocial order began to confusion, which led to a series of social contradictions. In thiscontext, to maintain the stability and development of urban society, then thegovernment must begin to set about establishing a new social risk protection system. Secondly, the review of the historical development process in modern Westernsocial welfare system. The beginning of the social welfare system in the West is theUnited Kingdom enacted in1795with the social welfare color "Poor Law" and theamendment to make the necessary relief workers to unemployment and hardshippeople, forever changed the previous poverty is caused due to personal reasons, Thegovernment does not need the concept of relief. Western social welfare system, thereal beginning of the17th and18th century Germany enacted a series designed toprotect workers, the disabled, low-income welfare rights, the introduction of socialinsurance law, although the original intention was to maintain his rule, but theestablishment of this system is has a positive meaning, the insurance system due to apollution accident, ill health, unemployment, family livelihoods commitments death,or loss due to any other unfortunate income, and will not on the poorest.Again, the republic of the western welfare thinking of western ideas and themodern voices in western social welfare idea is accompanied by a missionary to enterChina, missionaries by running welfare agencies to rescue the sufferings of the peopleto preach the philosophy and practice of welfare assistance a deep influence on theChinese people at that time, such as Zhang Jian Xiong Xiling, they explore throughthe setting up of new welfare agencies in line with China’s actual welfare model,which western social welfare ideas and practices gradually spread in China.Modern Shanghai is the most developed city in the country, knowledge the elitebrings together, in the face of the social reality of the traditional security maintenancesystem can not solve the increasingly serious social crisis, they began to shout,through the books said on the social welfare system in the west, and recommendationsaccepted by the government and the use of advanced Western philosophy andapproach to tackling social crisis. Western social welfare system in the1927localgovernment this is not interested, even if enacted some measures is compelled by thesituation, there is little real substance, and sometimes activism for workers risingrepression.Section II describes the basis for the formation of the modern Shanghai socialwelfare system. First of all, this paper reviews the traditional Chinese social welfareideology and practice of the historical development of the process, followed by theNanjing National Government to establish the political and legislative basis formodern social welfare system. Social welfare system is conceived in the modernWestern industrialized process and development of the theory and practice of social welfare color in ancient China has emerged, ancient times in China there is "whetherthe credit","disease rescue" ideas, feudal rulers have also been the practice of somesocial welfare aid to the vulnerable groups in society, such as the establishment ofwelfare institutions, disaster relief in famine years. The ancient thinkers theory andfeudal rulers and practices ideological and practical basis for the establishment of themodern social welfare system.Nanjing National Government to establish the political and legislative basis forthe modern social welfare system of Shanghai. KMT wants to maintain its dominance,must comply with public opinion to satisfy people’s desire to maintain the mechanismfor a new social security. Adhering to the philosophy of Sun Yat-sen focus on"people’s livelihood", after the establishment of the Nanjing National Government in1927began to imitate the Western social welfare model to establish a dedicatedmanagement department of social welfare and has promulgated a series of socialwelfare legal system. Nanjing National Government’s social welfare agencies and lawpromulgation establish a political and legislative basisof modern Shanghai socialwelfare system.Large number of problems in the transformation of society calls for theemergence of a new personal safety maintenance mechanism, the introduction ofWestern social welfare thinking and advanced Chinese people strive to explore theancient Chinese thinking and practice of social welfare and social welfare of theNanjing National Government promulgation of the law provides the basis for theemergence and development of the social welfare system in Modern Shanghai andinstitutional settings.The second chapter studies the establishment and content of the social welfaresystem in modern Shanghai. It is divided into two parts of the process and content ofthe system established two. The first section is the system established part of theprocess of the establishment of the welfare system and tortuous experience. Newlyestablished Shanghai municipal government set up a special implementation of socialwelfare institutions and promulgated and implemented a series of local laws andregulations, the social welfare system in Shanghai in the atmosphere of theinheritance and innovation has made some achievements, but in1932war has almostreturned to the level before the1927outbreak the initial success of social welfare.Followed by recovery and development of social welfare, with the advent of theShanghai Construction year, Shanghai’s social welfare began to recover before the Anti-Japanese War and mademuchachievements.Section II of the contents of part of the welfare system, the article from the laborwelfare, child welfare, vocational guidance, education and social services four aspectsof modern Shanghai, the content of the social welfare system.Firstly is endowed with modern labor welfare. The labor welfare modernity isreflected in regulations and the regulations promulgated by explicit governmentguarantee workers the minimum wage, working hours, labor insurance andunemployment benefits and other aspects of responsibility "labor adjustmentOrdinance. Shanghai introduced two specialized local labor insurance regulations:"City of the Provisional Rules for the Treatment of workers" and "Shanghai SpecialMunicipal Employee Retirement treatment Interim Measures," marking the Shanghailabor and social welfare system was officially formed; content, labor welfareincluding workers unemployment benefits, workers ’savings and insurance, education,health and residential five aspects, which do have a strong modern and innovativeworkers’ savings, and even become the Nanjing National Government a reference tothe law of labor savings.Secondly modern Shanghai special socio-political and economic status,developing future city builders become the target of child welfare, child welfare focusits growth and development to provide a good material and spiritual basis, in terms ofmaterial conditions, focusing on the establishment of a modern children educationsystem to create a wide range of educational environment, and vigorously strengthenthe building of faculty; spiritual and cultural aspects of the Shanghai MunicipalGovernment organized Children’s Day, Year of the Child, clinic and other socialactivities for children to enhance social awareness, sense of community and sense ofservice, but also to parents to update the concept of children’s education, improve thelevel of family education, modern family education. The Modern Shanghai children’swelfare to create modern upbringing and education environment for children’s growthand development, efforts to nurture children to become builders of the modern cityreflects the rich connotation of child welfare.Thirdly, vocational guidance is a combination of public and private power. Withthe the Modern Shanghai urban population continues to increase, the increasing inemployment consequent difficulty, and actively carry out vocational guidance to theeducation effectively promote employment and become a top priority. ModernShanghai country’s first social vocational education and guidance institutions- Chinese Vocational Education Society, was established after the completeorganizational structure and division of labor in the local vocational guidanceinstitutions-vocational guidance by its business scope covers the vocational guidance,health guidance, marriage guidance. Carry out a wide range of career guidance in therise of civil society organizations at the same time, the Shanghai municipalgovernment has also set up a Shanghai Vocational Guidance of social andemployment guidance and within the school career guidance education, public andprivate forces combined vocational guidance is conducive to job-seekers the right toposition itself choice of employment, to promote employment.Finally, social services officials and the public to cooperate led by the PublicUtility Bureau.The Modern Shanghai social services embodied by the government toprivate social utility management. Modern Shanghai due to the lack of financialresources of the government, utilities invested heavily, the private utilities alreadyexist in the Chinese community and other reasons, most of utilities sector isgovernment public utility franchises granted to private enterprises, the government toexercise the duties of the regulatory manner. Shanghai Municipal government PublicUtility Bureau developed a special city of Shanghai commercial utilities supervisionrules and Public Utility Bureau of Shanghai private utilities oversight regulations tostrengthen supervision of private utilities also give private utilities necessary policysupport.The establishment and development of modern social welfare system whileundergoing a tortuous process, but with the times and advanced, which is to breakthrough the pre-existing social welfare on the basis of the framework, targeted to learnfrom foreign experience, combined with Shanghai the actual formation of the modernsense of the local social welfare system has a certain role in promoting socialprogress.The third chapter explainsmodern Shanghai effect of the implementation of thesocial welfare system and difficulties, divided into the social welfare systemimplementation results and predicament of two parts of two. The first sectiondescribes the modern social welfare system implementation effect, first highlight thepractical labor welfare, labor welfare, improve the housing environment for workers,took the lead in the implementation of the labor savings and insurance, the heavilyinvested labor education success, reflect the labor welfare practice. Followed by thechild welfare achievements remarkable, through the specification midwifery career, the establishment of maternal and infant health care nurseries, Maternal and InfantHealth Survey and publicity has established a relatively complete maternal and infanthealth administration system,governmentrun Children’s Day, Year of the Child tomakepoor children realize feel the care of social welfare benefits to children. Largegroup activities for children enhance their public awareness, sense of service, at thesame time the parents changed the concept of family education. Once again,distinctive vocational guidance, vocational guidance showing a the guidance formfrom simple to diversity, social and school career guidance education begandistinction, career guidance organizations from scattered to the joint characteristicsand career guidance education writings have appeared in large numbers. Lastgroundbreaking for the public service, social services mainly urban roads built, waternetwork is basically formed and the water quality has improved transport networkformation and out entry forms, and private utilities and the Shanghai MunicipalGovernment Enterprise Oversight degree of controversy to some extent, promoted theconcept of change of the government in power.Section II modern Shanghai social welfare system, the implementation of theexisting dilemma. First of all, the dire financial situation restricting the developmentof social welfare, without adequate funding to support the operation of the socialwelfare due to the Government’s financial tensions and war and other reasons, theBureau of Social Affairs of the implementing agencies as social welfare, welfaredevelopment has been the impact. Secondly, the blocking of foreign enterprises andconcession authorities, social utilities sector relative to foreign enterprises there is alack of funds, backward technology, the disadvantages of foreign utility companies inorder to monopolize the market, multi-obstruction of the Chinese community toestablish and foreign enterprises There are competing societal utilities. Confined tothe state of the nation at that time, the Shanghai municipal government can only takein their own land by the operation of public utilities the right to buy foreign utilitiesfor the Chinese community to strive for the development of space, which can be seenhelpless.The fourth chapter is the evaluation of modern social welfare system. It isdivided into three parts of the historical status of the social welfare system in modernShanghai, limitations and contemporary revelation three. The first section is thehistorical status of the modern welfare system, modern social welfare systemestablished the modern sense of the concept of social welfare, improve the function and structure of modern social welfare system to help the Chinese society fromtraditional to modern again transformation of the instructive role of awareness of therights of the modern worker empowerment, but also contribute to the formation of theconcept of the modern Shanghai people.Section II is the limitations of the modern welfare system. KMT government toimplement the main purpose of social welfare for the integration of ideas andideology of the workers, labor welfare law in the form of labor rights to be fixed,which the workers to protect their own interests with a certain positive role, workerscan get rid of relying solely on sabotage, strike rights situation in the struggle with theemployers could invoke the relevant laws and regulations of the government workers’welfare rights, more persuasive. But in the form of law, labor welfare fixed, it isactually a press further labor rights, the Kuomintang government by the clear laborrights, labor activism be qualified to achieve both ease and stable labor-managementconflicts society The purpose of the social welfare system is just expediency ofmaintaining social stability, the welfare system itself is not consistent with the originalintention, which is the modern social welfare system limitations.Section III examines contemporary revelation of the modern welfare system. Thefirst is the establishment of the social welfare system and adapt to the economic level,according to China’s national conditions according to the purpose, the planning ofsocial welfare development process is very necessary; followed by the role of thegovernment in the running of the social welfare system performance. The governmentmust create and maintain a good social welfare operating environment and havestrong policy coordination, must again focus on the legal system of social welfarelegislation requirements, properly handle the relationship between the transplant andthe localization of the social welfare legislation, social welfare legislation towardunified, intensive and efficient forward, social welfare legislation clearly theembodiment of the law and ensure the law enforcement and scope.更多还原