【作者】 胡爱敏；

【导师】 刘玉安； Beate Kohler-Koch；

【作者基本信息】 山东大学 ， 国际政治， 2010， 博士

【摘要】 2009年《里斯本条约》正式生效以来,欧洲一体化翻开了崭新的一页,欧盟进入一个新的发展阶段：在50多年来的运作实践中,欧盟已经成长为一个强大的机构角色,获得了更强的竞争力,布鲁塞尔的决策制订越来越影响并改变着成员国的政治生态以及普通人的日常生活。在欧盟这样独特而复杂的多元化的背景下,如何做好社会协调,保证各阶层的参与,进而保证决策的民主性、科学性、可执行性,实现有效的民主治理,是非常重大的问题。欧盟是如此独特的一个政治体系,不可能完全复制民族国家采用的民主体系和制度。欧洲政治一体化进程中的挫折,尤其是欧盟宪法条约的失败让欧盟机构意识到,要尊重民意,在决策前吸取欧洲公民意见,从制度上保证并强化多元社会角色的参与。从另外一个角度看,在现代社会,公民对政治生活的参与,需要有合理的中介和代表,通过适当的组织机构来表达自己的利益诉求,公民社会组织就是公民参政议政的渠道之一。在欧盟多层治理框架下,公民社会组织作为公民多元利益的组织化代表,也得到了欧盟决策机构的重视,成为治理的主体之一,成为欧盟事务的积极参与者。在掌握大量国内外有关欧盟欧盟治理和公民社会等方面研究的资料和文献的基础上,本文从一个新的角度对欧盟治理的过程进行了较为深入的研究,把林肯关于民主的定义--民有、民治和民享(government of the people, by the people and for the people)--和内涵延伸到欧盟治理层面,着重探讨欧盟这一特殊政体内部如何通过公民及其组织对欧盟决策过程的参与来体现民治意义上的民主治理(governance by the people),以弥补欧盟民主合法性的不足,促进欧盟治理的实现。文章结构安排和主要观点如下：第一章、公民社会理论和内涵的历史演进。公民社会概念在欧洲有着悠久的历史传统,其久远历史可以追溯至古希腊罗马时代,其理论内涵随着人类社会和政治体系的发展而不断演进。古典理论认为公民社会是与野蛮状态相对立的文明社会,也是由公民构成的政治社会。中世纪后期,随着东西方贸易的发展,现代意义上的城市在欧洲相继兴起,市民为了保护自己的经济利益不受侵害,自愿组织起行业协会和同业公会,这些是广义上公民社会组织的最初形态。13-15世纪在欧洲波罗的海流域形成的汉萨同盟作为具有一些政治功能的商业贸易联合体,从某种意义上讲,是欧洲最早的跨越国界的市民社会组织,其性质与本文所讨论的欧盟范围内的公民社会组织有共同之处。而在近代启蒙思想家如洛克、孟德斯鸠等的理论中,公民社会就是政治社会,与自然状态相对立,而此时国家就是拥有了最高权威的政治社会。以黑格尔和马克思为代表的现代公民社会理论,把公民社会与政治国家分离开来,此时的公民社会主要是经济关系。而当代思想家则把公民社会视为与国家(政治)、市场(经济)分离的的一个社会领域,国际关系学者们则把视线转向国际层面的公民社会概念,如对全球公民社会和欧盟层面公民社会的探讨等。在欧盟官方文件和多层治理的实践中,公民社会概念的演变也经历了一个曲折的过程,分为不同的阶段,而这个过程则标识着公民社会的地位和作用的变化,也是欧盟机构与公民社会关系不断发展的进程。第二章、欧盟多层次治理：公民社会组织参与的历史与制度背景。欧盟经历治理转型之后,形成了多元性、多层次性的网络型治理结构。参与欧盟多层治理的主体,范围甚广,其中不仅有欧盟官方机构,各成员国层面和次国家层面的政府和行政管理机构、政党、非政府组织、利益集团、媒体以及公共舆论,当然也包括了各成员国的公民。因而,这个独特的治理安排具有极大的开放性和包容性,为公民社会组织的参与提供了良好的机会结构,因而成为公民社会政治参与的制度背景。欧盟机构已经认识到了建立一个更连贯一致的框架来改善与公民社会关系的重要性,以欧盟委员会为首的欧盟机构,采取了不同的方式把公民社会组织纳入政策制订过程,而欧盟政策过程为各类社会角色的参与提供了具体路径和可能性。第三章、欧洲公民社会组织的发展历程与现状。在欧洲一体化进程开始之前,随着民族国家的发展程度不同,公民社会团体作为民族国家的一部分,带有明显的地域性的政治和文化的烙印,这即是公民社会组织沿袭至今的社会嵌入性的根源。20世纪中期自欧洲一体化的发动机开启之后,欧洲层面的公民社会组织开始出现并随着一体化的进程而得到了不断发展,一体化初期在欧洲层面工人的组织和消费者保护组织成立；而90年代马斯特里赫特条约以来这个时期的共同体层面的各类组织数量呈现显著的增长态势,活动范围也在不断扩大；最近的10年欧洲公民社会组织的数量和规模都得到了长足的发展,其活跃的领域也大有扩展,公民社会组织也逐渐走向了制度化、职业化。整体来看,欧洲公民社会组织的构成形态或结构基本上属于网络组织(network of networks)或伞形组织(umbrella organization, federation of federations),涉及到成千上万的社团组织,在各具有高度公众关注、政治显著性的政策和议题领域(社会政策、环境保护、健康和消费者权益)为公民提供了表达渠道,以集体的方式给社会中的弱者在政治体系中提供话语机会。这就说明公民社会组织已经在欧盟层面组织起来,维护弱势群体利益、实现公共利益,为公民提供了利益表达的一个平台和渠道。第四章、欧洲公民社会组织的政治参与：驱动力、多元化渠道和方式。在客观条件和外界环境来看,欧盟各机构在一系列的政策文件或条约中指出了公民社会行为体对于欧盟政策制定过程的(潜在)贡献,采取不同方式方法把公民社会乃至公民个人纳入欧盟的政策过程,创造了很多咨询和对话机制,从制度和法律方面确保公民社会组织的参与。其中,比较积极和活跃的是欧盟委员会、欧洲议会和欧洲经济社会委员会。在主观的认知和能力方面,纵向来看,公民社会组织的政治行为不仅要受成员逻辑(logic of membership)的影响,还受到影响的逻辑(logic of influence)指导。欧盟机构和欧盟政策过程塑造了欧盟治理语境下的公民社会话语,也影响到公民社会组织对自身作用和功能的认识和界定。同时,公民社会组织也具备了与民族国家内部各类政治权威和其他利益团体斗争抑或是合作的能力,在超国家机构、国家机构的互动中积累了相当的经验,民主参与能力得到锻炼和培养,而其自我管理、自我规制能力也得到锻炼和提高。欧洲公民社会组织对欧盟治理的政治参与的方式和途径主要有：直接参与到和决策有关过程,如参加欧盟机构的咨询、对话、反馈等决策环节,反映自己的偏好和愿望;间接影响决策,如通过和欧盟机构和官员建立长期的经常性的联系、游说、举行抗议活动、大型运动等,对决策机构施加压力,提高公众意识和欧盟机构对某议题的重视；在传统的策略之外,还充分利用欧盟机构的电子政府功能积极参与到欧盟政治过程。第五章、公民社会组织参与欧盟多层治理的价值评价。作为公民群体的制度化的利益表达途径之一,公民社会组织成为欧盟治理结构中的参与主体。公民社会组织的参与被欧盟机构和学者们视为是欧盟民主合法性缺乏症的解药,具有民主潜质。公民社会组织是民主的学校,可以给公民们提供民主生活必要的训练、知识和经验,具有教育和社会化功能。公民社会组织在欧盟治理结构内部也承担了组织社会生活的功能,是阐明合法的国家或治理结构方法或手段,借由界定公共机构和民众的各自不同的活动范围,动员、鼓励并促成疏离的个人参与政治,既减轻了公共机构的负担,这无疑也会强化公民之间的团结。在欧盟这个庞大的利益代表体系中,公民社会组织是重要的构成元素。这样,公民社会组织在跨国的欧盟层面代表着公民,并负责监督政治过程以使决策者对自己的行为负责。而在欧盟的参与式民主中,公民社会组织是最重要的角色。在欧盟治理框架内,代议制民主和参与式民主相辅相成,共同构成了欧盟民主生活。而公民社会组织就身处这样的民主环境中,具有了不同于其他社会和政治角色的身份和地位,成为欧盟治理合法性的来源。欧洲公民社会组织的参与是欧盟民主生活的组成部分,但民族国家的安排仍然起着实质性的决定作用,国家及其代理人仍然掌握着欧盟机构的运行及决策过程,因而公民社会组织获得的是只是发言权而不是决定权。与拥有雄厚资源实力的经济利益集团和大公司比较起来,欧洲公民社会组织可以获得的机会和能够对欧盟政策施加的影响却又比较弱小和有限。可以肯定的是,欧盟治理的实践起码为各类包括公民社会组织在内的社会角色提供了渠道或者机会结构,使得它们的意见和利益得以被欧盟官方机构所获悉,公民社会组织和普通公民都可以主动加入到欧盟的政策形成过程,而不再只是被动接受和回应政策对自己的影响,这样的实践会影响公民对欧盟的认知,对于进一步的欧洲认同的形成或有益处。更多还原

【Abstract】 Since the enactment Lisbon Treaty in December 2009, the history of European integration steps on a new platform. After more than 50 years practice, The European. Union grows into a powerful institutional player, and gains more competence. The decision taken at the European Capital are increasingly influencing and changing the national political ecology as well the daily life of common people. Under the sui generis and complex circumstances of the EU, it is an urgent and severe problem, to accomplish the goal of effective governance, via social coordination, the participation of societal groups, and also scientific decision. However, the Union is sui generis system so that it could not simply duplicate the democratic system like the national states. The drawing back of the European political integration, in particular the failure of the EU Constitutional Treaty drive EU institutions to recognize the significance of respecting the public opinion, and of strengthening the participation of diversified societal actors in policy process. On the other hand, in modern society most of citizens could only participate in the political life through appropriate medium and representatives (such as political parties or interest groups), to articulate their interest and demand, rather than present themselves at the level of decision making. Civil society organizations are just such participatory channel for citizens. Under the framework of EU multilevel governance, civil society organizations as institutional representatives of various interests are active player in the European affaires.The thesis presents a new perspective on the European governance, namely, extending the Lincoln’s definition on democracy (government of the people, by the people and for the people) to the European level. It is of great interest to investigate the potential contribution of European civil society organizations to the democracy in the sense of "governance by the people" in this specific polity of EU. The thesis proceeds as follows.CHAPTER 1 Historical Evolution of the Civil Society TheoriesThe long tradition of the concept of Civil Society in Europe could trace back to ancient Greek and Roma times. Classical civil society theory regards civil society as civilized society that is opposite to the Barbarism society, and also political society composing citizens. In late medieval times, modern cities became into being with the development of east-west trade. With the view of protecting their own interest, the residents of cities voluntarily joined the guilds and associations, which could be viewed as enfant form of civil society organization. Hanseatic League in 13-15 century as a commercial and trade federation with political function also could be regarded as European civil society organization in some broad sense.In the eyes of enlightenment thinkers, such as Locke, Montesquieu, civil society equated to political society, namely the state. Hegel and Karl Marx separated civil society from political state, and civil society mainly referred to the economic relations.Contemporary theorists regard the civil society as a social sphere different form state (political sphere) and market (economic sphere), whilst the students of international relation turn to the civil society concept beyond the nation state, such as the global civil society and European civil society. In official documents and governance practice of the EU, the civil society concept also has undergone different stages, which represent the gradual transformation of role and function of civil society, also the relationship between the EU institutions and the civil society.CHAPTER 2 European Multilevel Governance: Historical and Institutional Background for the Participation of Civil Society OrganizationsAfter the Governance turn, the European Union turns into a diversified, multilevel network governance structure. European governance brings pluralist actors into its system, including EU institutions, national governments and administrative of member states, sub-national and local governments, political parties, NGOs, interest groups, media and public opinion, as well as the citizens of member states. Hence, with great openness and inclusiveness, the unique governance arrangement of EU offers civil society organizations an opportunity structure, and then becomes the institutional framework for the for the participation of civil society organizations.In recent years, EU institutions have recognized the need to establish a more coherent framework to improve their relation with civil society actors. This holds true, in particular, for the supranational institutions of the EU, above all the European Commission (EC). The European Parliament (EP) and the European Economic and Social Committee (EESC) have been very active in bringing the civil society organizations into the policy making, which offers access and possibility for various societal actors.CHAPTER 3 Historical Development and the Status Quo of European Civil Society OrganizationsIn pre-EU time in Europe, as part of political life in nation states, civil society groups bear territorial, political and cultural imprint, which serves as deep-rooted social embeddedness of today’s civil society organizations.Since the establishment of European Community, Civil Society Organizations appeared at European level and evolve with the development of European Integration. At the early period, European organizations on workers and consumer were established. Since the Maastricht Treaty the number of Community level organizations increased fast, the range of their activities got widened. In Recent 10 years, beyond the increased number and issue areas, there is a trend of professionalization in the European Civil Society Organizations.In terms of the organizational structure, European Civil Society Organizations come under the category of network of networks or umbrella organization, federation of federations, involving thousands of organizations and associations. They are active at high salient policy areas, such as social policy, environment protection, health and consumer, etc. Thus, they offer channel for citizens, give voice to the weaker in society in a manner of collective action. In other words, civil society has been organized on European level.CHAPTER4 Political Participation of European Civil Society Organizations: incentives, diversified channels and patternsRegarding the incentives for the Participation of European civil society organizations, there are favorable external environment and conditions, and also incentives based on subjective cognition and capability of the civil society actors themselves. For the former factor, EU institutions, above all the European Commission, European Parliament and European Economic and Social Committee, recognized the potential contribution of civil society actors to EU politics in a series of policy documents and treaties, and take various effective measures to involve the civil society into the policy process. For this purpose, the consultation and dialogue mechanisms with civil society organization have been strengthened, and thus set up legal basis and institutional guarantee for participation of European civil society organizations.In terms of the subjective factor, civil society organizations are subject to the logic of membership and the logic of influence. EU institutions together with the policy process shaped the civil society discourse under the background of EU governance, and this influences the cognition of civil society organizations on their own role and function. Moreover, civil society organizations gain experience of interacting with supranational institutions and governments, and thus are equipped with capabilities of competing and cooperating with other institutions and interest groups. In short, European civil society organizations have acquired capabilities of democratic participation, self-management and self-regulation in practice.There are diversified channels for civil society organizations to engage in the European governance: direct participation in policy process, such as consultation, dialogue and feedback etc.; indirect influence on the decision-making, such as lobbying, demonstration, campaign etc. In addition, it is another strategy influencing the policy process for civil society organizations to take part in the interactive network of the EU e-government.CHAPTER 5 Assessment Participation of European Civil Society Organizations in European Multilevel GovernanceAs one institutionalized channel of interest intermediation of citizen groups, civil society organizations are active players in EU governance. It is the expectation of EU institutions and academia to eliminate the democratic deficit via involvement of European civil society organizations.Civil society organizations serve as school of democracy, offering citizens necessary training, knowledge and experience. That is to say, civil society organizations bear the function of socialization. In the European governance structure, civil society organizations also take the role of organizing social life, adding legitimacy to the public institution and the governance structure. They motivate, encourage and facilitate the alienated individuals to engage in politics. As a result, the workload of public institution would be reduced, and the solidarity among citizens strengthened. In the democratic life of the EU, participation of European Civil Society Organization equate to "governance by the people". In the democratic representation system of the EU, on one hand, civil society organization is important constituency, since they represent the citizens on supranational level, and monitor the political process to make the decision maker accountable. In EU participatory democracy, on the other hand, civil society organizations are foremost actors. Under the framework of European governance, representative democracy and participatory democracy complement each other, thus constitute EU democratic life. Under such circumstances, civil society organizations comprise the source of democratic legitimacy. Nonetheless, the civil society organizations only acquire voice rather than vote in European governance, and their influence on the politics is rather weaker than economic interest groups.To be sure, EU governance offers societal actors including European civil society organizations political opportunity structure, channeling their interests and opinions heard on EU institutions. Hence, civil society organizations and common people could actively join the policy process of the EU, rather than passively respond to the policies. Such practice would influence the cognition of the European citizens on the Union, and this may contribute to the further European identity.更多还原