【作者】 李芳；

【导师】 梁慧星；

【作者基本信息】 山东大学 ， 法学理论， 2008， 博士

【摘要】 慈善,作为对弱者的关爱与帮助古已有之,在现代更是社会与政府的基本责任。慈善事业可以弥补政府之不足,是社会保障的重要组成部分。慈善事业不但有助于社会公平的实现,而且有助于社会交往的实现和人们精神情感的满足。公民具有从事慈善活动的基本权利,其有权直接从事慈善活动,也有权设立慈善组织以开展慈善活动。慈善性公益法人是以法人名义从事慈善活动的重要慈善组织。促进慈善事业的发展,关键在于制度的建设与完善。目前,《中华人民共和国慈善事业促进法》已经列入了国务院和全国人民代表大会常务委员会的立法计划中。考察各国关于慈善事业的立法,多以慈善性公益法人为法律制度的核心,慈善性公益法人的登记与监督、慈善地位的取得等构成慈善立法的重要内容。本文采取综合性的研究方法。论文的第一章和第三章讨论慈善、慈善活动、公益法人、慈善性公益法人的特征和种类、慈善性公益法人的功能、慈善信托等基本法律概念和基本问题,总体上是一种规范性研究。由于我国的慈善事业仍处于初步发展阶段,慈善性公益法人的基础研究也比较薄弱。慈善性公益法人作为公益法人的一种,在我国早已存在相应的实体,但慈善性公益法人这一概念却很少有学者讨论。所以,有必要通过对各国慈善法律的考察,对慈善性公益法人的一些基本概念和基本问题加以梳理。慈善性公益法人是独立于市场和政府的特殊领域,对基本概念梳理的目的是将慈善性公益法人同行政法人、营利法人以及其他非营利法人区别开来,为慈善性公益法人法律制度的完善奠定基础。论文的第二章讨论中西方慈善性公益法人的历史,采取的是历史研究和比较研究的方法。慈善性公益法人发展的历史,也是慈善团体逐渐摆脱对各种共同体(家族、村落、教会、行业组织、国家)的依赖,真正获得自身独立人格过程。论文的第四章和第五章讨论慈善性公益法人的设立、内部治理和外部监督,是从具体制度的层面讨论如何解决慈善性公益法人发展存在的问题,重点在于探讨慈善性公益法人如何在自治与监督之间保持自己的社会公信力和独立人格。第六章重点讨论我国慈善性公益法人发展面临的问题以及解决问题的基本思路。透过对现状的实证分析,可以得出这样的结论:我国发展慈善性公益法人面临的主要问题是政府对社会救助事业的过多干预乃至垄断,以及对民间慈善团体的限制。在我国,设立慈善性公益法人成为获得身份和特权的手段,而非公民实现平等慈善权利的基本方式。所以,解决慈善性公益法人发展问题的基本思路为:慈善立法的基本指导思想应由社会管制转变为权利保障,对公民慈善权、结社权、生存权、知情权以及其他权利的保障应成为慈善立法的基本目标。在此基本目标的指导下,慈善性公益法人的设立和行政监督应逐渐取消“双重管理”制度,转变为由综合统一机关负责的制度。政府原则上应退出对慈善事业的直接参与,由慈善事业的直接经营者,转变为宏观管理者和外部监督者。以下是各章主要内容:人们从事慈善活动具有不同动机,有纯出于爱心的,也有带有功利目的的。但法律意义上的慈善活动需要与慈善动机剥离,只要存在无偿(或不获私利)地帮助他人的行为,就应视之为慈善活动。由于历史传统和慈善事业发展阶段的不同,各国法律界定的慈善活动的范围并不相同。西方国家慈善活动的范围较广,既包括济贫,又包括公共事业的特定部分(并非公共事业的全部,具体范围由慈善法律确定),例如教育、科研、社会福利等。我国慈善活动的范围较窄,核心是对弱势群体的救助。慈善活动的主要环节有:捐助与志愿服务、募捐与招募、救助实施等。在现代社会,大型慈善性公益法人的慈善活动都要受到政府和社会的严格监督,包括取得公募许可、进行信息披露、向主管机关提交年度报告和财务报表等。慈善活动的主体主要有捐助者、受助者、志愿者、慈善组织等,慈善性公益法人是法人化的慈善组织,是联系施助者与受助者的桥梁。慈善性公益法人与慈善活动的另一形式——慈善信托有一定差别,二者对于慈善事业的发展都是不可或缺的。慈善性公益法人及其制度源于古希腊与古罗马。古罗马虽然没有法人的概念,但实际上已经承认某些慈善团体具有独立的团体人格,社团法人和财团法人类型的慈善性公益法人都已出现。中世纪时,法人概念及其理论逐渐成熟,慈善性公益法人也正式形成。近代以来,慈善性公益法人逐渐摆脱教会的约束,进一步世俗化和民间化,发展成为最重要的慈善活动主体。我国传统社会没有法人的概念,但以组织的形式从事慈善活动早已有之。这些慈善组织程度不同地具有慈善性公益法人的某些特征,尤其是清朝善会善堂与西方的慈善性公益法人已非常接近。在我国,近现代意义的慈善性公益法人出现于晚清,而其作为法人的一种,有正式的制度加以规范是在清末民初制定民法典之时。中西方慈善性公益法人的历史发展,具有很大的相似性:慈善性公益法人发展成熟的过程,也是慈善性公益法人成为以慈善为首要交往媒介的、世俗的、自治的、真正展现其独立人格的社会组织的过程。慈善性公益法人以其特征区别于营利组织、政府组织、其他非营利组织。慈善性公益法人主要特征包括:自愿性;民间性;非营利性;公益性;非政治性;以弱者帮助为重心:具有独立人格。这些特征是慈善性公益法人发挥各种功能的前提条件。慈.善性公益法人具有以下功能:有助于实现慈善活动的制度化;有助于提高慈善资源聚集的效能:有助于保护慈善受益者人格尊严;有助于保障慈善活动的独立性。慈善性公益法人的特征也是慈善性公益法人设立时必须具备的条件,慈善性公益法人的登记管理机关应根据这些特征认定法人的慈善地位。随着社会的变迁,慈善性公益法人的种类日益增多,一方面,慈善性公益法人向着综合性和规模化的方向发展,产生许多跨越国界的、广泛涉及各个慈善领域的大型慈善性公益法人,例如福特基金会和盖茨基金会等;另一方面,慈善法人又向着专业性的方向发展,产生了专门的募款机构和服务于特定对象的专门性慈善法人,例如美国的“联合之路"和社区基金会。慈善法人种类的多样性要求慈善法人的设立、内部治理与外部监督制度必须分类管理,法律对财团法人的要求应高于社团法人,对大规模慈善性公益法人的要求应高于小规模慈善性公益法人。以法人或非法人团体的形式从事慈善活动是公民享有的基本慈善权利,国家对此承担的责任是支持和保护,而非限制。自然人因出生而取得民事主体资格,而慈善性公益法人通过设立行为取得民事主体资格。慈善性公益法人为了取得慈善地位和法人地位,应当满足慈善目的和法人资格的实质要件,同时应履行法律规定的设立程序。慈善性公益法人的设立制度,应以设立人意思为中心,法律规定的登记程序只是慈善性公益法人取得社会承认和社会公信力的方式。我国慈善性公益法人设立制度的主要问题是设定了过高的准入门槛,慈善团体取得法人资格非常困难。为了鼓励慈善事业的发展,我国慈善性公益法人设立制度的发展方向是由许可主义原则逐渐向认证主义(准则主义)转变,由目的事业主管机关管理逐渐向综合统一机关管理转变。慈善性公益法人独立人格的取得需要一个合理而又较为宽松的设立制度。但是慈善性公益法人独立人格的维持必须以慈善性公益法人有效的内部治理结构和严格的外部监督为前提。当慈善法人的内部治理和外部监督不能有效进行时,慈善法人的生存必然受到影响,国家对慈善性公益法人的干预乃至取代其位置都成为可能。完善的内部治理和外部监督对慈善性公益法人的发展乃至整个公益事业的发展都非常重要。无论是慈善性公益法人的内部治理还是外部监督,制度化都是最基本的。更多还原

【Abstract】 It is from the ancient time that the weak being cared and helped. In modern times this has been regarded as a basic obligation of the government. The enterprise of charity, as a supplementary to government operation, is an important part of the social security system. Charity helps social fairness, lubricates social communication and meets the spiritual demand of man. The key to the development of charity is to improve the system, as the Charity Promotion Law of People’s Republic of China has been filed in the legislation plan of the People’s Congress and Administration. Citizens have rights to carry out charity, in forms of direct practicing and set up charity organization. Charity Corporation is one important charity organization implementing charity in name of legal person. And many legislative examples around the world put emphasis on charity corporation system.This thesis is based on a competitive method. In chapter 1 and chapter 3, elementary concepts such as charity, charity activity, public-benefit corporation, charity corporation, charity trust are discussed in a generally normative researching method. The elementary research on charity corporation is still of deficiency due to the immature status of the development of charity in China, and this concept is rare to discuss on though it is long existing as one kind of the public benefit corporation. Charity corporation is a domain independent from market and government, and the discussion on this concept help to distinguish it from administrative corporation, mercantile corporation and the others, by which legal system of charity corporation finds its own standing ground. Chapter 2 uses the historical and comparative researching method and focuses on the history of Charity corporation both in China and abroad. The history of charity corporation is a history how it has been parting from appertaining to various communities and gaining its independence. The founding, managing and supervising of charity corporation are discussed in chapter 4 and 5, highlighting the question how to maintain its credit and independence between self-governing and external supervising. Chapter 6 shows a way to resolve the problem in the development of charity in China. The main problems are the governmental monopoly on charity enterprise and civil associations that harms. In order to resolve these problems, the law on charity should change from social administration to rights protection, and aims at conserving the rights of charity, incorporating, living, and knowing and so on. The Dual Administration System on the founding and supervising of charity corporation should be gradually cancelled, and changed to a comprehensive responsible system. The government should in principle quit its direct involvement in the course of charity and transfer to a supervisor instead of an administrator. The summaries of each chapter are as followed.Charity refers to caring and helping to others based on human love. The motives of charity vary from pure love to utilitarianism. Legally, charity consists only of objective activities of helping others regardless of motives. The range of charity is different because of the historical and practical differences in different countries, vaster in western countries and narrower in our country. The key aspect of charity is helping the weak, and its links include donation and voluntary service, money raising and personnel recruiting, aiding and so on. In modem society, large public-benefit corporations are under rigid governmental and social supervision in many aspects.Charity corporation is originated from the age of ancient Greek and Rome. And in the middle ages along with the mature of the concept of legal person, the charity corporation came in to being formally, and it gradually break away from the shackle of church and became more and more secular and civil ever since modern time. In traditional society of China, there is no such concept of charity corporation, but charity organization has been long existing in forms such as charity association in Qing Dynasty which is much similar to charity corporation in western world. There is a great similarity in historical development in China and west, and the maturing of charity corporation is also a process of its intermediation, secularization and autonomous as an independent social organization.Charity corporation distinguish itself from other organizations in voluntary, non-Government, nonprofit, public benefit, non-political features, emphasis on helping the weak and independent personality, which are requisites for its functioning. The functions of charity corporation are to institutionalize charity activities, enhance the efficiency of charity, protect personal dignity of receivers and protect the independence of charity activities. These features are also requisites in founding the charity corporation. Along with the social development the range of charity corporation is expanding, one way towards a more international and interdisciplinary charity corporation like Ford Fund and Gates Fund, another way towards a professionalized charity corporation such like the US Unit Way and community funds which only serve given receivers. The diversity of charity corporation requires sorted management on the founding, self-governing and external administration. The requirements on foundations should be higher than on the associations, and large ones than the small ones.It is basic charity rights for the citizens to carry out charity in forms of corporation , and it is the responsibility of government to support and protect it instead of restriction. To acquire the title of charity and legal person, charity corporation should meet the essential requisites for the purpose of charity and the qualification of legal person and then go through all legal procedures. The core of the founding system is the intention of the founder, and the registration procedure is only a method for the charity corporation to acquire social accreditation. The main problem is the threshold of founding charity corporation is too high, and it is too difficult for the charity organization to acquire the qualification as charity corporation. So the direction of the development of the founding system should be changed from the principle of admission to the principle of certification.The foundation of charity corporation demands a rational and loosen founding system. But maintaining the personal independence of the charity corporation requires an effective self-governing and strict external supervising. Without these two factors, the lasting of charity corporation will be effected and the intervention or even replacement of the government will become possible. Improving the self-governing and external supervision is important not only to charity corporation but also to the whole public-benefit enterprise. Institutionalization is fundamental, no matter for self-governing or external supervision of the charity corporation.更多还原