【作者】 邓念国；

【导师】 胡伟；

【作者基本信息】 上海交通大学 ， 管理科学与工程， 2008， 博士

【摘要】 自20世纪70年代末80年代初以英国、美国为代表的西方国家普遍开展政府改革运动以来,西方国家政府职能调整、管理方式变迁、服务模式变化,成为一个明显的特征。作为公共服务一个重要方面的社会保障也经历了不同程度的各种方式的变革,其中一个重要趋势就是实行社会保障的民营化。本文以20世纪70年代末至今为研究时间,以北美、欧洲、澳洲、日本为研究空间,以养老保险、医疗保健、社会救助为研究领域,研究这些国家在社会保障各个方面的民营化。本文试图回答两个问题:(1)各国社会保障民营化产生、发展和演变路径怎样,在不同项目上的民营化具体方式、措施与进展如何;(2)影响社会保障民营化的内外因素有哪些。在回答第一个问题时,本文运用比较研究方法,通过国别的、项目的、方式的、手段的比较,展示出社会保障民营化相对清晰的图景。在回答第二个问题时,本文运用新制度主义分析方法,在分析环境变量对民营化变革的影响和制约作用之后,重点研究制度变量与行为变量对社会保障民营化变革的影响。一方面,运用制度变迁的路径依赖理论,揭示制度作为一种内生变量,在社会保障民营化变革中,对决策参与者的行为如何产生决定与制约作用;另一方面,运用制度变迁的演化理论,阐释行为对制度的变革及形塑作用,揭示行为变量对社会保障民营化变革的影响,分析社会保障民营化变革的过程、机制,即决策的各方参与者以及各种行为变量如何在民营化问题的制度选择和变迁中发挥影响作用。本文得出以下结论:(1)各国社会保障民营化产生、发展和演变路径不同,不同项目的民营化手段、方法、程度不一;(2)影响社会保障民营化的内在因素主要有两类,即制度变量和行为变量,制度变量对民营化的推行起着重要约束作用,民营化变革存在路径依赖现象;民营化变迁还受到行为变量的影响,它影响着民营化的具体方法、手段和措施。本文的创新点有三:第一,对作为公共服务的社会保障的民营化进行相对深入的研究,开拓公共服务研究新的论域。第二,从研究方法来看,本文主要运用新制度主义政治学研究方法,将新公共管理理论、治理理论、公民社会理论、福利多元主义理论等进行综合,吸收借鉴行为主义政治学、政治经济学、政治社会学、政策科学的最新研究成果,发展出针对这一专门领域研究新的方法论视角。第三,对福利国家新政治学的理论进行一定的修正,建构社会保障民营化的分析解释模型,开创了关于政策形成与变迁新的研究模型。更多还原

【Abstract】 As an important public service, social security has undergone a various forms of significant reform and transformation, amongst which the privatization of social security. The dissertation aims at the privatization of social security in the fields of old-age insurance, healthcare and social rescue in North America, Europe, Australia and Japan from the late 1970s to the present.The dissertation intends to answer two questions: a) the derivation, development and change of social security privatization in western countries; the different approaches, means, measures and procedures of privatization in respective aspects of social security; b) what’s the external and internal factors affecting social security privatization. In answering the first question, the dissertation displays a relatively clear prospect of the privatization of social security through comparative research on respective states, projects, approaches and means. While answers the second question, applying new institutionalist perspective, the dissertation discovers some key factors affecting social security privatization, especially focuses on the impact of institutional and behavioral variables apart from environmental factors on the privatization of social security.The dissertation concludes as follows: a) there are diversity of paths of derivation, development and change in the privatization of social security, there are various approaches, measures and means in different aspects of social security privatization; b) the internal factors (institutional and behavioral variables) are the most important factors in affecting the paths, approaches, measures, means and the extent of social security privatization.The innovation of the dissertation comprises three aspects: a) opens up a new field of research on public service by studying deeply to the privatization of social security; b) exploits a new methodology by applying new institutionalist approach to the researching on the privatization of social security, this methodological innovation consists of synthetizing New Public Management (NPM) theory, governance theory, civil society theory, welfare pluralism theory, and absorbing the latest findings of behaviorist politics, political economy, political sociology and public policy science; c) develops a new model of research on the formation and change of public policy by constructing an analysis model in explaining the privatization of social security, after revising the new politics of welfare state.更多还原