【作者】 孙卓华；

【导师】 葛荃；

【作者基本信息】 山东大学 ， 政治学理论， 2013， 博士

【摘要】 “社会公平”的概念人们耳熟能详。从古代起就被思想家们提出,经过后世思想家们的丰富与发展,构成人类社会文明的重要价值理念,融贯在社会政治生活的各个层面。甚而进入人们的生活,成为遍在的社会理念。有关社会公平的理论解读、阐释很丰富,但是思想家、理论家们很少去关注“社会公平”的实践与操作环节。二战后的美国被视为现代民主国家的样板,但是,在美国的社会政治生活中,社会公平的实际状况与其制度设计、理论假设仍然存在着极大的差距。美国公共行政学者乔治·弗雷德里克森突破前人的认知局限,从美国公共行政过程中探讨社会公平问题,旨在促进社会公平的实现,提升人们的生活福祉。本文以乔治·弗雷德里克森的以社会公平为核心的公共行政思想作为研究对象,通过分析其思想的来源、基本内容,以及对美国公共行政思想与实践的影响等问题,透视其社会公平思想的整体特征,及其在公共行政中的制度安排和实施。同时,也展现美国的公共行政发展和演变的实质,使读者对于美国公共行政的基本逻辑和实际发展状况有比较真切的认识。揭示美国社会的公共行政形式或是徒有其表,不能反映并真正实现公共利益,增进社会公平。乔治·弗雷德里克森是美国当代著名公共行政学家,他的公共行政思想产生和发展来自于特定的时代背景,同时也源于他的兴趣和学习、工作经历。三次明诺布鲁克会议的召开、风靡全球的新公共管理运动、全球化时代的到来、美国政党政治对公共行政的影响,这些都为弗雷德里克森思考公共行政中的社会公平问题提供了空间。20世纪40年代始,美国的传统公共行政理论以价值中立、技术至上理念为指导,以效率、经济作为公共行政的价值追求。这种理念指导下的公共行政,无法有效回应愈演愈烈的社会冲突,直接促成了20世纪60、70年代美国社会的动荡和政府合法性危机。1968年,弗雷德里克森在明诺布鲁克会议上指出,传统公共行政旨在提高行政效率,主张政治与行政二分,提倡经济和效率价值理念,结果导致研究和实践集中在政府组织、人事管理和城市发展等容易测量的领域,社会弱势群体的生活和发展问题却被回避或绕开。公共行政有失社会公平,其实现的只是少数人的利益,牺牲的是广大公众的利益。基于此,弗雷德里克森提出了公共行政的“社会公平”价值理念,把“社会公平”与“经济”、“效率”视为一体,都看作是公共行政的核心价值。同时强调,相较之下,“社会公平”应该更为重要。弗雷德里克森对“社会公平”做了理论界定,指出问题的关键是公共行政中公共性的缺失,必然会导致社会不公平。在此后的研究中,弗雷德里克森根据美国社会的发展现状,进一步提出了复合公平、代际公平理论等,扩展和丰富了社会公平理论。为了保证社会公平能够实现,弗雷德里克森对公共行政过程中社会公平的参与主体和公共政策进行分析和设计。参与社会公平实现的主体有民选官员、行政组织、公共行政人员(高级领导和中、基层执行人员)、非政府组织和公民等。他们有着不同的社会政治定位和利益需求,因而对于公共行政过程中的社会公平有着不同的影响。公共行政实现社会公平的前提是公共政策。弗雷德里克森对公共政策的制定、选择、实施和评估等环节进行研究。首先,美国的政治过程基本是少数精英利益集团控制,公共政策基本反映了他们的利益。弗雷德里克森提出建议,要求公共政策制定应该考虑一下为谁制定,他还剖析了一些国家重大公共政策,并提出建议。其次,不同的公共政策制定出来,是否被执行,取决于总统的政策选择。他通过研究几任总统的公共政策选择发现,代表下层人民的民主党会选择倾向于社会公平的公共政策,而代表中上层人民利益的共和党通常会选择相反的公共政策。弗雷德里克森指出,虽说美国总统代表了不同的政党利益,然而他在选择公共政策时,如果能在公共政策中寻找实现社会公平的平衡点,是可以实现和增进社会公平的。第三,社会公平实现的关键是公共政策的执行。弗雷德里克森认为,行政自由裁量和乐善好施是有利于社会公平实现的路径。20世纪80年代,西方世界轰轰烈烈的新公共管理改革运动和美国共和党的执政,使得新公共行政所倡导的公共行政中“社会公平”被新公共管理改革运动所谓的“政府再造”所淹没。弗雷德里克森并没有放弃自己的追求,在坚持探讨公共行政中的社会公平和公共利益基础上,从公共行政的理论、历史和现实对新公共管理运动进行深刻的批判。明确指出,新公共管理运动倡导的精简机构并没有节约行政成本,减少腐败,反而使行政成本上升,公共事务的服务质量下降。他进一步指出,顾客导向的政府再造不能完全被运用到公共领域,政府企业化最终导致的结果是实现少数精英利益集团的利益,损害了广大公众的利益。不过,他同时也看到了在全球和美国,所谓“政府再造”具有不可逆转的趋势,于是又针对性地提出了完善方案。比如,政府进行合同外包时,应该对承包商提出具有公共责任的说明,这样能保证外包公共事务的公共性,减少或者避免对公共利益的损害等等。在新公共管理运动中,有很多企业管理和评估方法被运用到政府改革中,主要如标杆管理和绩效评估。弗雷德里克森对标杆管理进行剖析,指出标杆管理的实质是组织为了摆脱当时的困境对管理比较好的组织的模仿,这并不是组织变革和创新。标杆管理被政府认可或推广,就会使不同领域进行排名。排名不会出现创新,而且那些被模仿的组织或个人容易成为某个领域的权威,形成特权组织或特权人物,其他组织或个人的创新则受到抑制,最终使很多能提供公共产品或服务的组织没有机会参与公共服务,许多公众的公共需求得不到满足,最终导致社会公共资源分配不公。本文通过对弗雷德里克森公共行政思想的分析和阐释,认为他的公共行政思想具有行政哲学的属性——以批判的方法和人文精神关注着公共行政领域的政策和结果,批判和修复、发展公共行政的理论,以公共行政的公共性为前提,对社会公平实现从制度到政策实施过程的设计。当然,在美国特有的政治、经济背景下,弗雷德里克森公共行政思想中的一些设想具有理想化色彩,不可能实现。尽管如此,他强调公共行政的公共性回归,重视公共利益和公民权的思想成为后来新公共服务理论的思想基础和核心内容。乔治·弗雷德里克森的公共行政思想的形成虽然有其特定的社会——文化背景,但是,他提出的公共行政中效率和社会公平价值理念的调和,及其行政改革思想,为当代中国的行政体制改革提供了启示,让人们对新公共管理运动能够进行深刻的反思和理性借鉴,把实现社会公平作为当代中国行政体制改革的重要价值取向。更多还原

【Abstract】 "Social equity" is a familiar word to people, which was put forward by ancient ideologists, then enriched by the modern thinkers and theorist, and finally became important value of human civilization and embodied every aspect of social political lives. It also became very popular in people’s daily lives. We have a lot of theories clarifying and interpreting on "social equity", but theorists and thinkers seldom thought about the practice and operation of "social equity". Although the United States was regarded as the example of modern democracy after the Second World War, social equity has a great gap from that in system design and theoretical assumptions in reality. Breaking through previous studies confined to theory and systems, H.George Frederickson studied social equity through the process of public administration, aiming to realize social equity and promote people’s welfare.This thesis main focuses on H.George Frederickson’s social equity thoughts, and tries to learn system arrangement and implementation of the overall feature of his social equity thoughts through studying the source, basic components, and influence on whole American public administrative theory and practice of social equity thoughts in American public administration. Meantime, this thesis will display the essence of the development of American public administration, and make readers can have genuine understanding about the basic logic and the fact of public administration in the United States. He revealed that American public administration may just be specious, and couldn’t reflected public interests and promote social equity.H.George Frederickson the famous American contemporary public administration expert, whose public administration thoughts are in basis of the special background and personal interest, learning and work experience. Three Minnowbrook Conferences, new public management movement, the era of globalization, and the impact of the United States political parties on public administration provide a space for Gorge Frederickson to think about social equity issues.From the1940s, American traditional public administration set value-neutral and technology-orientated philosophy as a guide, and set efficiency and economy as the value of the pursuit, which couldn’t respond to the growing social conflicts effectively and caused the turbulence of American society and government crisis of legitimacy in the1960s and1970s. In Minnowbrook Conferences of1968, H.George Frederickson pointed out that traditional public administration aimed at improving administrative efficiency, advocated political and administrative dichotomy, and emphasized to promote economy and efficiency values, resulting in that research and practice focused on some areas which was easy to measure, such as governmental organizations, personnel management and urban development. Because of this, the lives and development issues of vulnerable groups in society were avoided or bypassed, public administration couldn’t promote social equity, and what were realized were the interests of the minority. In the basis of this, he put forward the idea of "social equity", and pointed that "social equity","economy", and "efficiency" should be seen as a whole and all were core values of public administration. He also emphasized that "social equity" was more important than the others. Frederickson also defined the term of "social equity", and pointed out that the key of question is that the absence of the public nature of public administration would lead to social inequity. In later studies, he also proposed composite equity, intergenerational equity and other theories, and enlarged the social equity theory.To ensure the realization of social equity, Frederickson designed participants and public policy of social equity in the process of public administration. Participants of public policy included elected officials, administrative organization, public administration staff (senior leadership and the middle-low classes executives), non-governmental organizations and citizens, etc. Being in different social and political positions and having different interests, they had different influence on the realization of social equity.The premise of realizing social equity is public policy. Frederickson studied formulation, selection, implementation, evaluation and other aspects of public policy. Firstly, the political process of American was controlled by an elite few, and all the public policy reflected were their interests. Frederickson argued that when formulating policy, government should consider whose interests the policy would develop. And he also analyzed some major national public policy and proposed some advices. Secondly, that which policy would be performed was depended on the government’s policy selection. Through studying public policy options of several presidents, he found that Democratic Party who was on behalf of the lower people’s interests would choose public policies which inclined to social equity, while Republican Party who was on behalf of the interests of the middle and upper would choose public policy which was opposite. Frederickson pointed out that although different presidents were on behalf of different interests, if he could found the balance for realizing social equity when formulating public policies, social equity could be realized and promoted. Thirdly, the key of the realization of social equity was the implementation of public policy. Frederickson thought that administrative discretion and charity was the path beneficial to achieve social equity.In the1980s, because of the vigorous new public management reform movement in Western world and the U.S. Republican administration,"social equity" was overwhelmed by the new public management reform movement called "reinventing government". Instead of abandoning his pursuit of social equity and public interests, George Frederickson criticized the new public management movement from the theory, history and reality of public administration in the basis of public interests and social equity of public policies, and pointed out that the streamlining which was advocated by the new public management movement didn’t save administrative costs and reduce corruption, but increased administrative costs and decreased public affairs service quality. He further noted that the customer-orientated government reinvention couldn’t no be fully shipped into the public domain, and the final result of the government enterprise would be the achieving of the interests an elite minority and the harm of the interests of the general public. But, he also saw the irreversible trend of government reinvention, and proposed some targeted improve program, such as: when performing outsourcing contract, government should give instructions about the common responsibility to the contractor to ensure the public nature of outsourcing of public affairs, and to reduce or prevent damage to the public interests.In the new public management movement, there were many business management and evaluation methods which were applied to government reforms, such as benchmarking and performance evaluation. Frederickson analyzed the benchmarking and pointed out that the essence of benchmarking was an imitation to an organization with better management to get rid of the dilemma but not the organizational change and innovation. While benchmarking was endorsed or promoted by the government, different areas would begin to make rankings. Ranking would not promote innovation, but made the organizations or individuals that were imitated became authority in all areas. Being authority also meant the formation of privileged organizations or individuals. These would suppress innovations of other organizations or individuals, and ultimately made a lot of products or services to provide public organizations have no chance to participate in public service, leading many public needs not being met and inequitable distribution of public resources.Based on the interpretation and analysis of the public administration thoughts of H.George Frederickson, this thesis considered that his thoughts had the philosophical attributes-using critical methods and humanism to study public administration policies and results, criticizing, repairing and developing public administration theory and designing the realization of social equity in system and policy implementation process on the precondition of the public nature of public administration. However, some of his thoughts were too idealized to achieve in the United States unique political, economic background. Nevertheless, the stress of the regression of the public nature of public administration, and the attention to the idea of public interest and civil rights became t foundation and core content of the New Public Service Theory.Although H.George Frederickson’s public administration thoughts formatted in the context of its unique cultural, the reconciliation of efficiency and social equity and the thoughts of public administrative innovation provided a revelation to contemporary Chinese public administration reform, letting people be capable of deep thinking and rational reference of new public management movement in the reality, and making people use achieving social equity as a value orientation of Chinese administrative reform.更多还原