【作者】 徐丹；

【导师】 程又中；

【作者基本信息】 华中师范大学 ， 科学社会主义与国际共产主义运动， 2014， 博士

【摘要】 美国是第三部门最发达的国家之一,其影响力渗透在美国社会生活的方方面面,发挥着重要作用。目前国内关于第三部门的研究很多,主要集中在理论研究、实证研究和经验介绍三个方面,成果颇丰。但有关第三部门参与社区治理方面的研究却鲜有涉猎。本文研究主题是美国社区治理中的第三部门,通过运用文献收集法、案例分析法和归纳演绎法试图回答以下几个问题：1)第三部门为何能够参与美国社区治理?2)第三部门在美国社区治理中与政府和企业的关系如何?3)第三部门参与美国社区治理的形式有哪些?4)第三部门为何能够在美国社区治理中发挥巨大作用?要回答第一个问题必须首先了解美国的建国历史。美国是一个移民国家,当第一批欧洲移民踏上北美土地时,那里没有政府,也没有任何现成的组织或机构帮助他们抵御疾病、饥馑、严寒和印第安人的袭击,为了生存,他们必须自己组织起来相互帮助。独立战争胜利之后,美国建立了以三权分立和联邦制为基础的政治体制和政治文化,其主导原则是“有限政府和低税收”。联邦政府在社会事业中担任十分微弱的角色,国会将联邦政府所支持的服务项目委托给州政府及其所辖的地方政府,或交由第三部门来承担。20世纪以后,美国经济发展突飞猛进,一批有远见、掌握巨大财富和社会资源的企业家加入到社会改良潮流中,政府也有意识地将社区组织原则和工作方法引入到各种类型的慈善组织和福利机构中,成为推进美国第三部门发展和转型的重要力量。人们的思想在这一时期也空前活跃,继信奉“管得最少的政府就是最好的政府,,的自由主义,到对经济进行宏观干预的凯恩斯主义,政府到底应该扮演“守夜人”还是“划桨人,,的角色是学者们不断争论和探索的问题。20世纪中后期爆发了两次石油危机,引发了“经济滞胀”,新自由主义思想在政治经济领域逐步占据了主导地位,它主张政府应该从社会领域退出,山第三部门承担起组织社会、提高社会凝聚力的职能。之后,社群主义复苏,第三条道路思想被提出,两者的共同点在于提倡公民个人和社会团体都应参与到社会管理中,这样即能够有效制约政府运作,促进政治民主化,又能够防止独裁政治出现。很多学者都认识到第三部门作为社区乃至社会治理一极的重要意义,纷纷从不同方面论述和论证了其合法性和必然性,其中包括市场/政府/合约失灵理论、公民社会理论、治理理论、政策网络治理理论、新公共管理理论、新公共服务理论和第三部门管理理论。第三部门参与美国社区治理有着悠久的历史渊源和思想基础,在实际操作中,美国人如何处理它与政府和企业之间的关系?在回答这个间题之前必须了解,美国社区治理的政策随着经济和政治的变化而不断变迁,三者间的关系也在不断调整。20世纪40年代的联邦政府通过并实施了联邦住房法、向贫困宣战、城市更新、伟大社会和模范城市计划等大型分类援助法案。这些法案在实施过程中表现出传统的、自上而下的、以政府为主导和中心的、强调各级政府和官僚机构之间配合协作的特点。虽然这些社区治理项目的出发点是好的,但收效不大。20世纪60年代,肯尼迪总统推动实施了居民亲自参与的邻里复兴项目,成立了非营利性质的邻里重建机构,它们和政府、企业一起构筑了社区治理的三大主体,美国现代城市治理网络得现雏形,第三部门与政府和企业的关系随之成为学者们的研究热点。在第三部门与政府关系方面,根据治理手段不同可以划分为三种类型,分别是：精英统治的城市,政治庇护的城市和包容性城市；根据政府对第三部门的态度亲疏可以划分为8种类型,分别是：压制、对抗、竞争、协助、互补、合作、承包和第三方机构；根据政府和第三部门对目标制定和策略选择的不同偏好,可以划分为协助、对抗、互补和吸纳。在第三部门与企业关系方面,随着贸易全球化和通讯手段升级,大型跨国企业和非政府组织影响力不断加强,加强合作成为必然。根据合作者所持理念不同,可以划分为三个层次,分别表浅合作、中度合作和深度合作；也有学者认为两者间的关系更像连续不断的光谱,光谱两端分别是事务协同关系和变革性伙伴关系,非政府组织应当和不同合作伙伴建立不同关系类型,形成最佳的“投资组合”。总之,政府、企业和第三部门在社区治理中各有特点、互为补充、相互依赖,构成不可分割的有机整体。第三部门参与美国社区治理的形式多样,主要有社区基金会、社区协会和社区发展公司三种,各自侧重不同,构成美国社区治理中不可或缺的部分。社区基金会是一个免税和独立的慈善组织,致力于一个界定区域的长期利益,是一种集非营利性、公益性、社区性于一身的非政府组织,其宗旨是在捐赠人和有志于改良社区的机构之间架起桥梁。社区协会是一个具有法人地位的非营利社团组织,目前美国的住宅小区几乎都是以社区协会形式组织起来,作为非官方机构,社区协会没有政府拨款,经费主要来源于社区住户交纳的服务费。社区发展公司是为特定目的成立和运行的非营利组织,享受免税待遇,收入不得用于任何私人发起者和组织。它提供服务的领域十分广泛,不仅提供传统社会服务项目,也为一些需要发展的群体组织提供服务,如帮助建立毗邻合作社、规划少数民族企业发展、提供社区住宅服务等。需要注意的是,第三部门参与美国社区治理所取得良好效果不是一蹴而就的,其间也经历过曲折。芝加哥大西南发展公司的成功经验和印第安纳东部社区投资公司的失败教训说明,第三部门在参与社区治理中也需要时刻注意调整组织结构、严格组织制度、扩大服务范围以及加大与其它组织的合作力度,只有用发展的眼光管理组织,才能使其立于不败之地。从总体上看,第三部门之所以能够在美国社区治理中取得成功,与健全的法律制度密不可分,联邦宪法、州和地方法规以及行业自主规范对于第三部门和社区的职权都做出了明确的规定。此外,多样化的资金来源、广泛的公众参与和市场化的服务也是其成功的关键。我国社区治理可以借鉴美国的经验,从完善立法开始,逐步培育第三方力量参与到社区和社会治理中来。更多还原

【Abstract】 The U.S. has the most developed third sector, which has already permeated every aspect of society and plays a key role. At present, domestic scholars have done many researches in third-sector, which mainly focused on theory research, empirical research and introducing foreign experience, although is fruitful, there is seldom study on the third-sector involved in community governance. The theme of this paper is the third-sector in American community governance, which attempts to answer the following questions by using the method of documentation method, case analysis, induction and deduction method:1)Why third-sector could participate in U.S. community governance?2)What about its relations with government and enterprise in community governance?3)How many forms it adopts in U.S. community governance?4)Why it could take a great place in U.S. community governance?To answer the first question, we must understand the States founding history. America is an immigration country, when the first European immigrants set foot on the land of northern america, there is no government, no ready-made organizations or institutions to assist them in resisting disease, hunger, cold and Indian attacks, in order to survive, they must organize themselves to help each other. After the war of independence, American established political system and culture in base of Separation of the three powers and federalism, the guiding principle of which is limited government and low taxes, federal government played a weak role in social services and Congress entrusted great majority service program to state government, local government or third sector. Since20th Century, the U.S. economy has developed rapidly and a number of entrepreneurs who is far-sighted and had huge wealth as well as social resources dedicated themselves to social reform, meanwhile government imported community organizing principle and work method to various charity groups, which became an important force in developing third sector and social transformation. People’s thinking in this period was unprecedented activity that believed from liberalism which consider best government governed least to Keynesianism which government should intervene economy macroscopically.The government should act as "watchman" or "paddle" was still a question worth arguing and exploring. Neoliberalism occupied dominant position in political and economic fields gradually in late20th Century, when two oil crisis erupted massively and resulted in stagflation. It advocated government withdraw from society and third sector should undertook function of organizing society and improved social cohesion. Communitarianism recoveried and third way ideology was proposed later, common points of which were they all advocated individual and social groups should participate in society management, which could supervise government operation, promote political democratization and prevent authoritarian government emerging. Many scholars realized the importance of third sector as an administrator in community or society, and they demonstrated the legitimacy and necessity in different aspects, including market/government/contract failure theory, civil society theory, governance theory,policy network governance theory, new public management theory, new public service theory and third department management theory.There is a long history of third departments involved in the States community governance, and how American deal with the relationship between third sector, government and the enterprise? To answer this question must first understand that the States community governance policies were changed with economy and politics constantly, as well as their relations. From Federal Housing Law that act in the1940s, federal government carried out some assistance acts in succession, such as city renewal project, war against poverty, great society and model cityprogram. These acts demonstrated traditional features of city management in implementation process, which was top-down and government-oriented, emphasized harmonious cooperation between each level of government and bureaucracy. The origin of the community governance project was good, but with little success. In the1960s, President Kennedy promoted implementation of the neighborhood revitalization projects which encouraged residents participate personally, as well as established some non-profit organizations of neighborhood regeneration that constituted key part in community governance with government and enterprise, the rudiment of modern city management network shaped initially. The relationship between third sector, government and enterprises had become research focus. The relationship between third sector and the government could be divided into three types according to different treatment methods, including the ruling elite city,political asylum city and inclusive city; it could be divided into8types according to the attitude of government on third sector, namely pressing, confrontation, competition, cooperation, assistance, complementary, contract and the third party; and it could be divided into assist, against, complementary and absorption according to different preferences and strategies on target. The influence of large multinational corporations and non-governmental organization continued to strengthen with globalization of trade and improvement of communication, it was necessary for third sector and enterprise to collaborate closely. It could be divided into three levels according to the idea that partners held, which were superficial cooperation, moderate cooperation and deep cooperation; some scholars thought the relationship between third sector and enterprise was more like a continuous spectrum, the end of spectrum represented transaction coordination relationship and revolutionary relationship respectively, and non-governmental organizations should established different relationship types with different partners, shaped the best "portfolio". In a word, the government, enterprises and third sectors had different characteristics, they complemented and depended on each other, constitute an inseparableorganic whole.There are various forms of third sector involving in U.S. community governance, the main of which are community foundation, community association and community developmentcorporation, although work in different aspects, they are all integral part in the States community governance. Community foundation is a charitable organization of duty-free, independent and public support, which is committed to long-term interests of defined areas and the purpose is to build a bridge between donors and institutes that aspiring to improve community. Community association is non-profit organizations possess legal status, all residential areas are organized by community association in the States, and as a non-official institutions it without government funding, the main fund of which is service fee paid by residents. Community development corporation is non-profit organization established for specific objective and enjoys tax exemptions, the income of which could not be used for any private sponsor or individual. It provides wide services, not only supply traditional social services but also offer services for some development groups, such as building neighborhood unions, planning minority business and organizing community residential service etc.But something worth noting that it isn’t a quick process to achieve good effect of third sector involving in the States community governance, which is a winding path.The success of Chicago Greater Southwest Development Corporation and the failure of Indiana Eastside Community Investments certified that third sector needs to adjust organizational structure when participate in community governance, as well as improve organization system, expand service scope and reinforce cooperation with other organizations, it remain invincible only if manage organization with the vision of development.In short, the reason of third sector achieved success in U.S. community governance is inseparable from a sound legal system, which made clear regulations about powers. In addition, the key factors to success include various source of fund, broad public participation and market service. China could learn from the experience of the States and cultivate third sector to participate in community and social governance gradually.更多还原