欧盟利益集团与政策制定

【作者】 彭萍萍；

【导师】 刘建飞；

【作者基本信息】 中共中央党校 ， 国际政治， 2010， 博士

【摘要】 利益集团的存在是西方政治生活中的重要部分,其对政治的影响得到了人们的广泛认可。不了解利益集团对政治的这种影响,很难完全理解西方政治的运作与发展。欧盟利益集团在欧盟政策制定过程中发挥着不可替代的作用。对此进行探析,具有重要的意义。全文共分六章。第一章首先对欧盟利益集团的概念进行界定,然后对西方学术界关于利益集团政治的不同理论解读进行了梳理。本文从广义上来界定利益集团,认为欧盟利益集团是指为了共同的利益、对欧盟层面的政策制定产生影响的各种集团。就利益集团及其体制政治作用的发挥而言,国内外学者进行了有效的理论探索,提出了一些重要的理论模式。从宏观的角度来看,多元主义和社团主义对于利益集团的解释具有持久且旺盛的生命力;从中观和微观的视角来看,利益集团经济理论为洞察利益集团的内部动力及其对公共政策和社会的影响提供了很好的视野。由于在解释利益集团体制方面,各种理论都有着不同的侧重,所以后来者不断地对其进行修正,以使之更为完善。第二章对欧盟利益集团的形成、发展历史及主要利益集团进行介绍,并在此基础之上对其特征进行了概括。本文认为,作为欧盟政治生活中的一种重要现象,欧盟利益集团在成员国早已存在利益集团的基础上形成和发展。由于在欧盟公共事务中利害相关的利益非常多,所以对之进行具体分析,可以从不同的视角进行分类。从活动层面来看,欧盟利益集团既包括欧盟层面,也包括国家层面、次国家层面或独自或共同行动的集团;但学术界更多地将之分为商业利益集团和公共利益集团或非商业利益两种。前者在欧盟委员会备案的欧盟各类利益集团中约占82%,而非商业利益集团则包括:(1)专业利益集团;(2)劳工利益集团;(3)公共利益集团(包括消费者、环境、市民利益集团等);(4)区域利益集团等。回顾欧盟利益集团形成和发展的历史,本文认为其充分体现了多元主义与社团主义的结合。第三章分析欧盟政策制定的框架及主要行为者和程序,探讨了欧盟利益集团影响欧盟政策制定的渠道。本文认为,欧盟利益集团在欧盟政策制定过程中发挥着不可替代的作用。欧盟多层治理的机构为其影响力的发挥提供了重要的渠道。西方有学者就曾指出欧盟利益表达的多种路径都依赖于欧盟的政治机会结构,正是欧盟的多层结构为利益集团影响政策提供了多种机会。在广泛的意义上,机会结构代表某种机制的特征,它能够决定外部集团对其决策的影响。狭义地讲,政治机会结构包括两个方面:一是结构方面,这涉及到政治体系的开放性,并且因此涉及到政治行为者准入的便捷性。二是政治体系对于政治行为人权利要求的接受能力。反过来,后一方面可能包括一系列“偶然性”因素。这两个方面将“可能性边界”和社会运动与利益集团在参与政治活动中必须处理的问题联系在一起。欧盟的多层治理特征为利益集团影响决策提供了更为充分的条件。这是欧盟利益集团对欧盟决策产生影响的一个方面。另一方面也是更重要的,即欧盟利益集团能够为欧盟机构提供必要的“进入产品”。双方在政治场域内存在的交换关系是政治交易成功的关键。这也是二者共栖关系得以存在和发展的根本。第四章在对欧盟利益集团共同行动能力分析的基础上,探讨了欧盟利益集团影响欧盟政策制定的路径选择及所采取的主要战略。本文认为,政策制定过程既是社会各种力量互动的一个过程,也是利益集团通过多种方式争取影响公共政策,获得自身利益最大化的过程。欧盟利益集团在寻求影响欧盟政策制定的过程中不仅灵活掌握走成员国路线、还是布鲁塞尔路线,甚或将两者相结合,而且也针对不同的领域决定采取政治或法律等战略。这取决于多种因素的共同作用。第五章以利益集团与欧盟民主为例,结合利益集团在欧盟制宪进程中的博弈对欧盟利益集团的影响力进行评估。在强调欧盟利益集团在重构欧盟民主合法性及政策制定的公开、透明性,扩大公民参与等方面发挥积极作用的同时,也认识到在欧盟利益集团具体活动的过程中所产生的一定消极影响。第六章则在分析欧盟利益集团活动中存在的问题及产生的消极影响的基础上,对欧盟利益集团的规制问题进行了探讨。本文指出,欧盟需要借鉴美国等其他国家和地区的经验,逐渐对其利益集团体制进行完善。在解决民主输入合法性问题的同时,利用利益集团作为一个对代议制民主缺陷作出反馈的机构,从而通过透明、公开来保证欧盟机构的廉洁、公正。这不仅必要,而且迫切。更多还原

【Abstract】 The existence of interest group is an important part of western political life; and whose political influence is extensively recognized by the public. It is difficult to understand the performance and development of western politics without a comprehensive recognition of political interest.Overseas or domestically, some important theoretical modes have been put forward on the exercise of political influence of interest by many scholars. Macroscopically, the interpretation of pluralism and corporatism on interest group boasts a long standing and vigorous life. In a middle and microcosmic point of view, it is the economic theory of interest group that provides a prospect to have penetrating sight of its interior motive and influence on public policy and society. Owing to the different explanation on its mechanism, interest group is still undergoing revision so as to make it more understandable.As an important phenomenon of EU political life, EU interest group comes into being and develops on the base of interest group of member states. Firstly, the Europeanization of member states affairs makes it possible for member state interest groups to expand its scope to EU level, and at the same time, to accelerate the formation of new interest groups, which is the background for the expansion of EU interest groups. Secondly, form the prospect of EU, the development of strategic political interest group is in accordance with its legality of rule and demand of effectiveness, which, especially in the game of interest, strengthens the need of mutual-reliance of EU and its interest groups. And therefore, on the spur of EU policy, the role of interest group in EU affairs is becoming more and more evident. With the deepening of integration, the number of interest group is increasing continuously and its performance of mechanism is in constantly regulation. What’s more, the expansion of EU has exerted great influence on the construction and agenda of interest group.There exist many kinds of crucial relative interests in the public affairs of EU, therefore a concrete analysis of which can be carried out from different aspects. From activity level, the interest groups in EU can be found in the level of EU, the level of states, the level of sub-state, and separate or common action level. However the interest group is often classified as business interest group and public interest group or non-business one by the academic circle. The former takes a proportion of 82% of all recorded interest groups in EU. The latter includes the following; 1. Interest group of specialized trade and profession 2. Interest group of workers 3. Interest group of the public (with consumer , environment, civilian interest group etc included ) 4. Regional interest group. On retrospection of the formation and development history of EU interest group, it can be concluded that which is a combination of pluralism and corporatism. The rule of EU possesses its specialty and boasts the following features; 1. Multilayer, the stipulation of EU policy involves in different aspects; horizontally, which deals with economy, politics, foreign affairs even defense and every aspect of life in EU. Longitudinally, the policy-making deals with the level of hyper-state, state, sub-state and region etc. It is just against such a background that the policy- making or administration of EU reflects the characteristics of multi-level, and the theory of multi-layer administration has become an important one in EU policy-making research and provides a mechanism and platform for hyper-state institution, member state activist and sub-state activist; which also enhances the transparency and democracy of policy making and gets the support and recognition of the public and hence the legality of re-construction. 2. Pragmatics and gradualism. The pragmatics can be seen in such crucial matters as the choice of direction, the policy-making, the control of speed etc; which is closely related to gradualism. On the one hand, it can be found on the stipulation and realization of EU aim of integration; and on the other hand it can be found on the constant amelioration and development of EU policy-making agenda, ways of decision-making and rules of procedures etc. 3. Flexibility and compromise. Compromise is an essential factor in EU spirit. Each step of deepening in integration of EU can not do without compromise. It should be said that compromise is the normalcy in the process of integration. Without compromise, there would be no EU today. However the compromise can often be shown by the disguise of flexibility in EU policy-making and execution. All the features mentioned above consist of the complexity of the systematic project of EU policy-making.The interest group plays an indispensable part in the procedure of EU policy-making. The multi-layer administration mechanism in EU provides an important channel for interest group to exert its influence. Western scholars once pointed out that different channels of interest expressing of EU rely on the opportunist structure and it is the multi-layer construction that provides chance for interest groups to affect policy-making. The extensive way of interest expressing of EU relies on the concept of‘political opportunist structure’, whether dominant or recessive. Generally speaking, opportunity structure stands for a certain mechanism feature, which determines the influence of exterior groups on policy-making. Narrowly speaking, political opportunity includes two aspects, one is structure, which deals with the openness of political system and therefore have something to do with the convenience of access for political actor. The other is the receptivity of political system for the right demand of the political actor. And the latter may incorporate a series of chance. The above mentioned two aspects connect the boundary of possibility and the issues that must be dealt with by social campaign and interest group in participation of political activity. While the multi-layer feature of the EU provides sufficient condition for interest group to affect decision making. This is a substantial part of interest group to influence EU policy-making. Another is important too, that’s to say the interest group can supply access product for EU institution. The success of exchange in political domain is crucial for EU and interest groups, which is the root for the two to coexist and maintain.Policy-making is a process of interaction of different social forces, and also a process for interest groups to influence public policy by various means to maximize its interest proper. Whether route of member states or route of Brussels, they both are strategies taken by interest groups to affect policy-making on different conditions, which turns on combined actions of various factors.Interest groups of EU play an important part in policy making; to evaluate its function involves many aspects and whose influence on EU democracy is a big rhetorical question. The debate on EU democracy deficit and the role played by citizen in participation of political process has drawn people’s research to the role of organized civil society since 1990s. Given the current framework of democracy, the influence of interest group on EU democracy is independent variable; democracy is dependent variable; which is a combination of passive factors and active factors. Theoretically, there is the internal possibility for the interest group to rectify the democracy deficit of EU, but practically, the interest group plays an active role in maintain the transparency and competition of policy-making; and at the same time, the elite feature of interest group may impede the legality of democracy. Therefore, it is in such sense that democracy of EU is not a separate issue, especially as a search for democracy consultation; EU is marching forward to a new democracy to adapt to the current challenges, to administering a much bigger and more diverse political space. So it can be said that the influence of interest group on EU democracy is not a singular problem, which is extensive and multi-layered. The crux for the solution of democracy deficit in the process of integration of EU lies in the legality of administration, and the mechanism of interest group is an important part of which. The interest game of interest group in the stipulation of EU constitution sheds light on this point.To sum up, the interest group does not develop and perform in a vacuum, whose birth and development has undergone a process of constant mature. And in this process, the interest group proper, as a component of a colony, goes through a not only a transition of organization form, but also a constant amelioration of mechanism. In order to regularize the conduct of internal members ,strengthen the cohesion of the collective , perfect and unify the system of colony and organization, and finally realize the function of order, control and strengthening organization, while accelerate the publicity and transparency of decision-making, EU has to limit the negative effect of interest group in policy-making, which is necessary and pressing. And at the same time, EU should ameliorate the current framework on the experiences of the US and other countries so as to ensure the cleanness and justice of EU by way of transparency.更多还原