美国对外援助中的私人志愿组织

【作者】 桑颖；

【导师】 康绍邦；

【作者基本信息】 中共中央党校 ， 国际政治， 2010， 博士

【摘要】 第二次世界大战后,对外援助逐渐成为一种重要的国际政治经济现象。在对外援助中,除了大量的主权国家间双边援助和政府间国际组织对外援助外,还存在着另外一类援助机构,那就是国际非政府组织。美国作为近现代西方对外援助的发起国,其对外援助的历史悠久。作为当前最大的援助国之一,在国际对外援助领域占据着举足轻重的位置。美国的对外援助有较高的比例是由美国私人志愿组织等非政府机构执行的,而这一部分常常在统计时被忽略。因此关注美国私人志愿组织在对外援助中的活动,既有助于全面评估美国政府的对外援助政策,又有助于深入挖掘私人志愿组织对外援助的实质。论文除导论和结束语外,正文共有四章。第一章对私人志愿组织及其对外援助进行了多维度的界定与梳理。本章内容由三部分组成:第一,在分析总结对外援助概念的内涵和外延及其对外援助的特征之后,对美国对外援助进行了界定分析,认为美国对外援助不仅包括政府对外援助,还包括了私人志愿组织对外援助活动,在此基础上,并根据《全球慈善事业索引》的统计数据指出,美国民间援助已经大大超过了美国政府的官方援助;第二,对非政府组织的概念界定及辨析之后,引出了发展型非政府组织就是在对外援助及发展领域从事活动的非政府组织,而美国对于在海外从事援助活动的发展型非政府组织又有其特定的称呼—私人志愿组织(PVOs);第三,具体阐述了美国私人志愿组织的概念、分类、收入和支出等概况。第二章从历史的角度,以对外援助政策的视角全面阐述了美国私人志愿组织对外援助的发展演变过程。本论文将美国私人志愿组织对外援助活动划分为六个阶段。在早期阶段(1939-1945),美国私人志愿组织在《中立法案》和《租借法案》的背景下,在二战期间发挥了人道主义援助的作用;在兴起阶段(1945-1960),美国私人志愿组织的援助范围从欧洲扩大到亚洲、非洲、和拉丁美洲。与此同时,援助领域由进行的救济援助扩展到粮食援助、技术援助的计划。此外,还获得了美国政府的公共补贴金(海运费补偿、剩余农产品、政府多余财产等);对外援助制度化阶段(1960-1970)是承上启下的年代。美国私人志愿组织在对外援助制度化和援助政策变化的情况下,援助领域从救济援助转变为发展援助领域;在“新方向”外援政策阶段(1970-1980),美国私人志愿组织在国际形势和对外援助政策的影响下,进入了迅速发展时期。私人志愿组织在发展援助领域的范围进一步扩大,联邦政府创立拨款机制为其提供资金进行援助,使得拨款援助机制成为此时期私人志愿组织依赖政府的重要方式,从而使得依赖政府资金、实现美国对外政策目标以及如何保持独立性的争论议题持续高涨;在对外援助私有化阶段(1980-1990),私有化趋势使得里根政府时期的对外援助政策加强了私人志愿组织的作用,开发署把与私人志愿组织的紧密合作关系界定为“伙伴关系”,而私人志愿组织的角色不仅仅提供服务,还开始充当影响政策的倡导角色;冷战后美国私人志愿组织对外援助新发展(1990-至今)阶段,随着外援私有化趋势加强,越来越多的对外援助任务由政府转移给私人志愿组织等非政府机构。政府与私人志愿组织的伙伴关系也日益加强。纵观美国私人志愿组织对外援助的历史,可以看到它的发展演变过程与世界国际发展领域的形势和美国的对外援助政策的演变休戚相关。第三章主要从理论角度分析了美国私人志愿组织参与对外援助的可能性与必然性、它在对外援助中充当的角色以及美国私人志愿组织与联邦政府之间的伙伴合作关系三个方面。首先,从国际体系层面、国际组织层面、国家层面、文化层面和微观层面来论证美国私人志愿组织参与对外援助的动因;其次,从服务提供者、教化者和合作者详解它所充当的对外援助角色。服务提供者是私人志愿组织在对外援助中充当的基本角色,私人志愿组织通过提供项目援助、能力建设援助和人道主义救援来充当服务提供者的角色。随着私人志愿组织的发展,它不仅仅局限于服务提供者的角色,它还充当了教化者的角色。美国私人志愿组织通过提供信息、技术来影响国家外援及发展政策、通过成为影响国家外援政策的压力集团、通过监督手段来影响国家外援政策来充当教化者的角色;与此同时,美国私人志愿组织对外援助的过程中,还与联邦政府、联合国等政府间组织以及受援国政府和受援国非政府组织建立了合作关系,从而充当了对外援助中的合作者和桥梁沟通的作用;最后,运用资源依赖理论阐述了美国私人志愿组织和联邦政府的伙伴合作关系。第四章主要分析了美国私人志愿组织的影响、面临的挑战以及它的发展趋势及前景三方面。随着美国私人志愿组织对外援助活动的扩展,它作为政府和企业之外的“第三方力量”,已经产生了国际性的影响。美国私人志愿组织除了对于援助国的外交政策、国家形象、软实力,对受援国的经济发展、政府政策、公民社会的建设产生直接或间接的影响外,它的发展还受到国际体系、受援国政策和自身不足的制约的挑战。在未来的对外援助领域,美国私人志愿组织的影响和范围将进一步扩大,私人志愿组织的专业化趋势进一步加强,它的商业化趋势显现,与此同时美国联邦政府将继续运用私人志愿组织借助援助的名义来实现其促进民主的目标。论文的结束语部分指出,一方面,美国私人志愿组织的全球化和网络化趋势使得它们对外援助的活动能力大大增强。美国私人志愿组织在对中国的对外援助活动中,既有其积极的作用,也存在着消极的一面。另一方面,对于中国非政府组织对外援助活动,应该培养高效的非政府组织参与对外援助,加强政府对非政府组织对外援助的引导和管理,与此同时,加强非政府组织与联合国等国际组织的合作。更多还原

【Abstract】 Foreign Aid becomes an important international political and economic phenomenon after World WarⅡ.In the field of foreign aid, there are International Non-Governmental Organizations besides official foreign aid and international organizations aid. America is an initiator which has a long history of foreign aid. It plays an important role as one of the largest aid country in U.S. international relief and development. High proportion of U.S. overseas development funds are channeled through private voluntary organizations (PVOs), but PVOs are usually ignored. Hence, when we study PVOs aid, we not only assess U.S. foreign aid policy, but also understand the essence of PVOs aid.This dissertation is made up of introduction, the body and conclusion. The body includes four chapters. The first chapter deals with the basic concept of private voluntary organizations (PVOs) and foreign aid. First, based on the definition of foreign aid, the chapter analyzes U.S. foreign aid. The chapter holds that U.S. foreign aid not only includes official foreign aid, but also PVOs aid. According to“The Index of Global Philanthropy and Remittances 2009”, American private philanthropy has surpassed U.S. official foreign aid; Secondly, based on the definition of non-governmental organizations, the chapter analyzes non-governmental development organizations(NGDO) which work in the field of development and foreign aid. non-governmental development organizations owns a specific term—private voluntary Organizations(PVOs) in America; Third, the chapter deals with concept, classifications, revenue and expenditure of U.S.-based PVOs.The second chapter systematically explores the evolution of U.S.-based PVOs foreign aid from history perspectives. According to the characteristics of PVOs in every phase, the author divides PVOs aid into six phases. In early phase(1939-1945), U.S.-based PVOs play an important role in the field of humanitarian aid in World WarⅡ; In original phase (1945-1960),PVOs aid expands from Europe to Asia、Africa and Latin America. Meantime, The aid field expand from relief assistance to food aid、technical aid. PVOs obtain subsidies which are provided by the U.S. federal government. Subsidies includes overseas freight reimbursement、U.S. government surplus property、surplus food and so on; In institutionalization of foreign aid phase (1960-1970), U.S.-based PVOs aid field expands from relief aid to development aid, this is a transition phase; In“New Direction”foreign aid policy phase(1970-1980), U.S.-based PVOs expand in number, the U.S. federal government establish grant mechanism which provide PVOs with funds; in foreign aid privatization phase (1980-1990), in the context of privatization, the federal government strengthens U.S.-based PVOs aid. USAID defines the relations between the U.S. federal government and U.S.-based PVOs as“partnership”. In the post cold war phase(1990- ), With the consolidation of foreign aid privatization, More and more aid projects shift to non-governmental organizations. The PVO-State Partnership intensifies.The third chapter makes a study of the reasons why U.S.-based PVOs participate in foreign aid,role of PVOs in foreign aid and the PVO-State partnership from resource dependence theory perspectives. First, the chapter explains the reasons from international system, support of international organizations, support of the U.S. federal government, domestic culture and PVOs’advantages; Second, PVOs play three roles in foreign aid-service provider, partner and advocator. Service provider is a fundamental role. service provider includes projects aid, capacity building aid and humanitarian aid. Advocator is an important role which affects foreign aid policy or foreign policy. PVOs is Partner which is a bridge between PVO-State, international organizations and NGOs; Third, the chapter make uses of resource dependence theory and explains the PVO-State partnership.The fourth chapter is to deal with the effect, challenge and trend of PVOs in foreign aid. With the development of U.S.-based PVOs, PVOs as“the third sector”has owned international effect. U.S.-based PVOs is tools of foreign policy, shape U.S. national image, it is a soft power. Meanwhile, U.S.-based PVOs promote economy of the recipient country, sometime interfere with the government policy of the recipient country, PVOs is both a challenge and a chance for civil society of the recipient country. However, PVOs offers a challenge, because its development has restriction from international system, recipient country policy and the disadvantages of PVOs. In the future, U.S.-based PVOs will continue expand in number, will strengthen its professionalization,its commercialization will appear, the U.S. federal government will continue promote democracy by“aid PVOs”.The conclusion is foothold of the dissertation. On one hand, the capacity of U.S. PVOs aid will strengthen with the development of globalization and networkization. The chapter analyzes the dual character of U.S. PVOs which aid China. On the other hand, the chapter gives the advice about Chinese NGOs aid. Government should cultivate efficient NGOs which take active part in foreign aid and strengthen management of NGOs, meantime, NGOs should strengthen cooperation with international organizations such as UN.更多还原