本文選題：多層級治理 + 歐盟利益集團(tuán)��； 參考：《華東師范大學(xué)》2011年博士論文

【摘要】：利益集團(tuán)的概念最早起源于美國,這一概念是從“集團(tuán)”的概念發(fā)展而來。利益集團(tuán)通常是指比較正式的有組織的團(tuán)體為了達(dá)到特殊的政治目的,聯(lián)合起來旨在影響政策程序的團(tuán)體,它們對政策的影響和對政治進(jìn)程的參與度已經(jīng)引起了廣泛的關(guān)注。此后關(guān)于利益集團(tuán)的理論經(jīng)歷了“多元主義”、“精英主義”和“后多元主義”的發(fā)展。隨著美國關(guān)于利益集團(tuán)理論的日趨完善,歐洲學(xué)者對這一問題的分析是在借鑒美國利益集團(tuán)理論的基礎(chǔ)上,把它應(yīng)用于歐洲聯(lián)盟(注：以下簡稱為歐盟)的新情況。 歐盟既不是聯(lián)邦國家也不是傳統(tǒng)的國際組織而是正在形成中的多層級治理模式,這使得對歐盟層面上利益集團(tuán)的考察必須突破原有民族國家權(quán)力體系的框架,將其活動置于復(fù)雜、多層次的歐盟決策體系中進(jìn)行研究。歐洲出現(xiàn)的利益集團(tuán)在國家層面、歐盟層面和跨國層面進(jìn)行競爭和博弈,這是歐盟利益集團(tuán)的特殊性所在。所以在對歐盟的利益集團(tuán)進(jìn)行研究時,必須把它置于多層級治理模式的的背景下和歐盟決策機(jī)制的活動中來考察。 歐盟利益集團(tuán)的發(fā)展是有其時間和空間維度的,這也是與歐盟機(jī)構(gòu)的改革和歐盟決策機(jī)制的發(fā)展密不可分的。從20世紀(jì)60年代的煤鋼共同體——1985年的歐洲單一市場計劃(SEM)——1986年的單一歐洲法令(SEA)——1993年的歐盟正式建立,利益集團(tuán)總是隨著歐盟的多層級特點而不斷發(fā)展變化,它通過建立各層級的組織如建立與超國家機(jī)構(gòu)和民族國家政治行為體直接聯(lián)系的管道,尋求參與到相關(guān)的超國家和跨國家的政策網(wǎng)絡(luò),并進(jìn)入歐盟的決策機(jī)制。 此外,多層級治理的多層性、分散性、強(qiáng)調(diào)文化的、社會的和經(jīng)濟(jì)的差異性,這必會為利益集團(tuán)的未來的發(fā)展帶來更大的多樣性,而且隨著歐盟利益集團(tuán)組織的日益分散和細(xì)化,使得更多代表不同利益的組織能有更多的機(jī)會和管道進(jìn)入歐盟的決策體系。賈斯汀·格林伍德(Justin Greewood)根據(jù)歐盟的機(jī)構(gòu)設(shè)置和特點,把利益集團(tuán)影響歐盟決策的管道分為歐盟委員會、歐盟理事會、歐洲議會和歐洲法院這四個超國家層面領(lǐng)域；另一個管道是通過成員國政府和本國議會這一“國家管道”影響歐盟政策。由于歐盟決策體制的特殊性,所以利益集團(tuán)在歐盟層面上要取得成功不僅要借助美國的經(jīng)驗還需要有自己的方法、戰(zhàn)略、技巧和原則。文中對商業(yè)利益集團(tuán)和公共利益集團(tuán)的案例分析就是一個具體表現(xiàn)。 本文共分為八章,第一章導(dǎo)論部分主要是分析利益集團(tuán)、利益代表、市民社會和院外活動的概念以及當(dāng)前關(guān)于歐盟利益集團(tuán)問題的提出和發(fā)展；第二章,是對利益集團(tuán)的政治理論做一個回顧,以及分析利益集團(tuán)的類型、活動方式、資本和策略手段,并把利益集團(tuán)與政黨進(jìn)行比較；第三章,在掌握利益集團(tuán)概念和理論的基礎(chǔ)上,把利益集團(tuán)置于多層級治理的模式下分析歐盟利益集團(tuán)和歐盟決策機(jī)制的關(guān)系；第四章,重點分析歐盟層面上的利益集團(tuán)的概況、形成、分類、成因及發(fā)展趨勢,并進(jìn)而分析歐盟利益集團(tuán)的戰(zhàn)略以及進(jìn)行成功游說所需的手段、技巧和原則；第五章考察歐盟利益集團(tuán)進(jìn)入和影響歐盟決策的管道和路徑即通過超國家層面的歐盟機(jī)構(gòu)——歐盟委員會、歐盟理事會、歐洲議會和歐洲法院和國家層面的成員國和議會以及通過媒體和社會運(yùn)動的方式影響歐盟決策過程；第六章,介紹了隨著越來越多的利益集團(tuán)在歐盟層面的活動,需對歐盟利益集團(tuán)進(jìn)行規(guī)范化的研究和管理；第七章,以案例的方式分析歐盟利益集團(tuán)對歐盟決策過程的影響,主要選取了歐洲企業(yè)家圓桌會議、歐盟環(huán)保利益集團(tuán)組織和美日外部利益集團(tuán)組織對歐盟決策的作用；第八章,結(jié)論部分提出了利益集團(tuán)的輸入、輸出和解決當(dāng)前“民主赤字”和全民參與的重要性,及對中國提升國家形象和軟實力的借鑒意義。 隨著多層級治理模式的發(fā)展和歐盟層面利益集團(tuán)的增加,關(guān)于多層級治理模式下利益集團(tuán)對歐盟決策過程的作用研究會面臨新的問題新情況,但這也會推動歐盟層面的利益集團(tuán)理論的發(fā)展和學(xué)科的完善。
[Abstract]:The concept of interest group originated from the United States . This concept is developed from the concept of " Group " . Interest groups generally refer to groups that are more formal and organized in order to reach special political ends , which are combined to influence the development of policy procedures . After that , the theory of interest groups has experienced " pluralism " , " elitism " and " post - pluralism " .


The European Union is neither a federal nor a traditional international organization but is forming a multi - level governance model , which makes it necessary to study the European Union ' s interest group .


The development of European Union interest group has its time and space dimension , which is closely related to the reform of EU institutions and the development of EU decision - making mechanism . The European Single European Act ( SEA ) of 1986 in the European Single Market Plan ( SEA ) of 1986 has been established formally . Interest groups are constantly changing along with the multi - level characteristics of the European Union . It seeks to participate in the relevant hyper - national and cross - country policy networks and to enter the decision - making mechanism of the European Union .


In addition , multi - level governance is multi - layered , decentralized , emphasizes cultural , social and economic differences , which will bring greater diversity to the future development of interest groups , and with the increasingly fragmented and refined EU interest group organizations , more opportunities and pipelines for organizations representing different interests can have more opportunities and pipeline access to the EU ' s decision - making system . Justin Greenwood , according to the EU ' s institutional settings and characteristics , divides the pipeline of interest groups into decision - making in the European Union into four areas of ultra - national level , namely , the European Commission , the European Union Council , the European Parliament and the European Court ;
Another pipeline is the EU policy influenced by the " national pipeline " of the governments of the member countries and the national parliaments . Because of the particularity of the EU policy - making system , the success of interest groups at the European Union level requires not only the experience of the United States but also their own methods , strategies , skills and principles . Case analysis of the groups of commercial interest groups and public interest groups is a concrete manifestation .


This paper is divided into eight chapters , the first introduction is mainly to analyze the concept of interest group , interest representative , civil society and out - of - house activities , as well as the current proposal and development of European Union interest group ;
The second chapter is to review the political theory of interest groups , and analyze the types , activities , capital and tactics of interest groups , and compare interest groups with political parties ;
In the third chapter , on the basis of grasping the concept and theory of interest group , the relationship between European Union interest group and EU decision - making mechanism is analyzed in the mode of multi - level governance .
Chapter four focuses on the analysis of the general situation , formation , classification , genesis and development trend of interest groups at the EU level , and then analyzes the strategy of European Union interest group and the means , skills and principles required for successful lobbying ;
Chapter V examines the EU ' s decision - making process of entering and influencing EU decision - making , that is , the decision - making process of the European Union through the EU institutions of the EU , the European Union Council , the European Parliament and the European Court and the national level , as well as by the media and social movements ;
Chapter 6 introduces the standardization research and management of European Union interest group with more and more interest groups ' activities at the EU level ;
In Chapter 7 , the influence of European Union interest group on EU decision - making process is analyzed in a case - by - case way , and the role of European entrepreneur round table , EU environmental interest group organization and American - Japan external interest group organization on EU decision - making are mainly selected .
Chapter 8 , the conclusion part puts forward the input of interest group , outputs and solves the current " democratic deficit " and the importance of the popular participation , and the reference significance to China ' s promotion of national image and soft power .


With the development of multi - level governance model and the increase of European Union - level interest group , the research of interest group on EU decision - making process under multi - level governance model faces new problems , but it will also promote the development of interest group theory at EU level and the improvement of discipline .
【學(xué)位授予單位】：華東師范大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D814.1

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