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Underfunding of Defined Benefit Pension Plans and Benefit Guarantee Insurance - An Overview of Theory and Empirics

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Author Info
Mario Jametti () (Department of Economics, York University)

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Abstract

We review the theoretical literature on defined benefit (DB) pension plans, particularly focusing on the issue of plan underfunding and benefit guarantee insurance schemes. The literature shows that underfunding can, under reasonable assumptions, be an equilibrium outcome even in the absence of benefit insurance. The introduction of benefit guarantee funds was a reaction to the problem of underfunding, and we summarize the ensuing standard problems of moral hazard and adverse selection. We briefly discuss the small empirical research on the subject and propose directions for future research.

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File URL: http://dept.econ.yorku.ca/research/workingPapers/working_papers/2007/PolicyPaper_705.pdf
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Publisher Info
Paper provided by York University, Department of Economics in its series Working Papers with number 2007_1.

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Length: 13 pages
Date of creation: May 2007
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Handle: RePEc:yca:wpaper:2007_1

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Related research
Keywords: Defined benefit pension plans underfunding pension benefit guarantee

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Find related papers by JEL classification:
G23 - Financial Economics - - Financial Institutions and Services - - - Pension Funds; Other Private Financial Institutions
G28 - Financial Economics - - Financial Institutions and Services - - - Government Policy and Regulation

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  1. Tim Besley & Andrea Prat, 2005. "Credible pensions," Fiscal Studies, Institute for Fiscal Studies, vol. 26(1), pages 119-135, March.
  2. David W. Wilcox, 2006. "Reforming the Defined-Benefit Pension System," Brookings Papers on Economic Activity, Economic Studies Program, The Brookings Institution, vol. 37(2006-1), pages 235-304. [Downloadable!]
  3. Ippolito, Richard A, 1985. "The Labor Contract and True Economic Pension Liabilities," American Economic Review, American Economic Association, vol. 75(5), pages 1031-43, December. [Downloadable!] (restricted)
  4. Fiona Stewart, 2007. "Benefit Security Pension Fund Guarantee Schemes," OECD Working Papers on Insurance and Private Pensions 5, OECD Directorate for Financial and Enterprise Affairs. [Downloadable!]
  5. Cooper, Russell W. & Ross, Thomas W., 2001. "Pensions: theories of underfunding," Labour Economics, Elsevier, vol. 8(6), pages 667-689, December. [Downloadable!] (restricted)
  6. Ippolito, Richard A, 1985. "The Economic Function of Underfunded Pension Plans," Journal of Law & Economics, University of Chicago Press, vol. 28(3), pages 611-51, October.
  7. Alan L. Gustman & Thomas L. Steinmeier & Olivia Mitchell, 1994. "The role of pensions in the labor market: A survey of the literature," Industrial and Labor Relations Review, ILR Review, ILR School, Cornell University, vol. 47(3), pages 417-438, April.
  8. Cooper, Russell W. & Ross, Thomas W., 2004. "Protecting underfunded pensions: the role of guarantee funds," Journal of Pension Economics and Finance, Cambridge University Press, vol. 2(03), pages 247-272, January. [Downloadable!]
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