我国基金会规范模式转型研究

发布时间：2018-01-12 18:31

本文关键词：我国基金会规范模式转型研究　出处：《吉林大学》2014年博士论文　论文类型：学位论文

【摘要】：本文以基金会为研究对象，以中国社会结构变迁为背景，以方法论个体主义为基本进路，综合运用法律社会学与比较分析的方法，反思我国现行基金会规范模式的缺陷及其生成原因，提出我国基金会的应然规范模式，并从内部构造、行政支撑与司法介入等多个角度探索与基金会的发展实践相适应的具体制度。本文的写作目的可分为三个层次：第一层次是为现存的基金会困局提供制度性解决方案；第二层次是为中国团体法制的发展提供新的视角；最后是为中国公民社会的型塑提供本土化经验。本文通过法律文本解读和法律实证分析，对我国基金会法律制度的主要规则构成以及在实践中的运作效果进行剖析，归纳我国的基金会立法为“行政管控型”规范模式，并指出其不但未能实现所欲的规范目的，反而造成基金会实践中的大量失范现象。这一规范模式的形成具有历史的和制度的原因，其不仅肇因于我国基金会的生成情境，而且与基金会的组织构造和组织性质密切相关。基于此，我们不能全然否定行政管控的必要性和重要性，而应当保持管控目的和管控手段的契合，由此，提出行政管控型基金会规范模式需要向法人治理型基金会规范模式转型。法人治理型基金会规范模式具有正当性和可行性，具有契合基金会组织预设的价值与功能。首先，从国际立法趋势来看，法人治理型基金会规范模式具有合规律性；从组织功能预期来看，法人治理型基金会规范模式具有合目的性，因而无论是经验的角度，还是理性的角度，都可证成其正当性。其次，法人治理型基金会规范模式还具有可行性，从基金会自身的发展阶段来看，其已经具备了内部治理的能力；从捐赠者的角度而言，也对基金会法人治理存在需求。再次，法人治理型基金会规范模式体现了自由、平等和效率的价值，同时具有重要的政治、经济和社会功能。因此，无论以客观的支撑条件观之，还是以主观的制度内核观之，我国基金会法律制度均已具备转型的基础。因应法人治理型基金会规范模式的确立，基金会的内部构造需要发生调整。本文通过对域外和我国基金会法人治理经验的总结，归纳出“理事会中心”一元结构模式、“理事会-监事会”二元结构模式以及“评议员会-理事会-监事会”三元结构模式三种具体的制度安排，并通过对照我国的基金会法人治理模式，反思既存的问题及产生之原因。同时，本文关注我国基金会法人治理的实际运行样态，以中国红十字基金会和深圳壹基金公益基金会的改革探索为切入点，以实践反观制度，以制度反思理论，最终提出我国基金会法人治理结构的应然选择。法人治理型基金会规范模式需要与之适应的行政规制策略。在重塑国家和社会关系已成为迫切现实要求的背景下，基金会行政规制策略必然需要发生转向，即从“纵向的隶属关系”转变为“横向的伙伴关系”。基于此，应当遵循行政法上的比例原则，以适当性标准、必要性标准和均衡性标准为根据，一方面优化强制性行政规制措施，将准入规范中的“双重管理体制”转变为“一元管理体制”；将监督规范中的“事前监督”转变为“事后监督”。另一方面改进激励性行政规制措施，建立有效的税收激励机制和公平的财政资助机制。法人治理型基金会规范模式强调司法介入的作用。司法介入基金会法人治理具有必要性，这源于基金会自我治理存在局限、基金会行政监管存在边界，同时立法所欲建立的信息披露制度亦未发挥预期作用。但是，司法介入基金会法人治理必须坚守一定的限度，一方面，应当以司法权的作用范围框定介入的广度；另一方面，应当以司法权与行政权和基金会私法独立性之间的关系确定介入的深度。本文可预期的创新之处首先在于研究进路的设定，而对这一研究进路的遵循也决定了研究主题和研究内容的创新性。具体而言，本文遵循两条具体的研究进路：一是“社会结构变迁与分化”。本文认为，改革开放以来从“单质同一性社会”到“异质多元性社会”的转变的宏观背景是理解一切具体问题的现实语境。改革所导致的广泛的社会流动与利益群体的分化，正是基金会产生的根本原因。因应这一变化的内在张力，面对基金会法律制度的不适应性，才产生了改革的必要性与可能性。因此，本文将社会结构的变迁与分化设置成制度批判与制度构建的基本前提。二是“方法论个人主义”。本文认为，个人构成了认知科学中分析的终极单位，也是各种价值的最终归宿。不考虑有目的的行动者个人的计划和决策，所有的社会现象都不可能得到理解。个体绝不是制度的被动接受者，而是制度的主动创造者，至少是能动的反应者。基于此，本文对基金会法律制度的设计着眼于个人的动机与利益的满足，承认基金会是私人追求公益目的的组织形式。因此在制度构建的过程中，从最大化促进个人实现公益目标的角度出发，认为基金会法律制度应当实现由“他律为主，自治为辅”转向“自治为主，他律为辅”。
[Abstract]:In this paper, the foundation as the research object, to China social structure changes as the background, the methodological individualism as the basic approach and method of comprehensive use of legal sociology and comparative analysis, to reflect China's current foundation defects and their causes of normative pattern, proposed our country foundation should be standard mode, and from the internal structure the specific practice of administrative support system, and judicial intervention in the aspects of exploration and foundation to adapt. The purpose of this paper can be divided into three levels: the first level is the foundation for the existing predicament in system solutions; the second level is to provide a new perspective for the development of Chinese group method; finally is to provide experience for the localization of China civil society and shaping.
In this paper, through the interpretation of legal texts and legal analysis, and in practice the operation effect of the main rules in our legal system of fund analysis, summed up the foundation of legislation for the "administrative control" standard mode, and points out that it not only failed to achieve the desired objective standard, but the cause of foundation practice in a large number of anomie phenomenon. The formation of this standard model of historical and institutional reasons, which not only causes generation of situation in our country foundation, but also closely related to organizational structure and organizational nature foundation. Based on this, we can not completely deny the administrative control of the importance and necessity, and shall keep fit, control objective and control means the proposed administrative control type foundation standard mode need to corporate governance fund will regulate the mode transition.
The corporate governance fund has the legitimacy and feasibility of standard mode, has the value and function with fund default. First of all, from the trend of international legislation, the corporate governance fund will regulate the pattern with regularity; from the organization perspective, corporate governance fund will regulate the mode with purpose, and whether it is the basis of experience, or a rational point of view, can justify its legitimacy. Secondly, the corporate governance fund will regulate the mode also has the feasibility, from the foundation of their own development stage, which has the ability of internal governance; from the donor's perspective, there is demand for the foundation of corporate governance again, the corporate governance foundation specification model embodies the freedom, equality and efficiency value, also has important political, economic and social functions. Therefore, whether to support the objective The legal system of the foundation of China has already had the foundation of the transformation.
The fund will establish standardized corporate governance mode, the internal structure of the fund will need adjustment. Based on the foreign and China foundation of corporate governance experience, summed up the "Board Center" one yuan "mode, the Council and the board of supervisors" two element structure mode and the "council members - Council the board of supervisors" - three yuan structure mode of three kinds of specific institutional arrangements, and through the control of the foundation of corporate governance model, existing problems and reasons of reflection. At the same time, this paper focus on the actual operation state of China's foundation of corporate governance, to reform China Red Cross Foundation and Shenzhen one foundation charity the fund will explore as a starting point, to practice in system, the system finally proposes the choice of reflection theory, the foundation of corporate governance structure.
The corporate governance fund will regulate the administrative regulation strategy and the model needs to adapt. In reshaping the relationship between state and society has become the urgent requirements of the background, foundation of administrative regulation strategy must be changed, that is from the "subordination" into "vertical horizontal partnership". Based on this, should follow the administrative the law of the principle of proportionality, to appropriate standards, necessity and proportionality standard according to the standard, a mandatory administrative measures to optimize the regulation, the norms of the "dual management system" into "one management system"; will supervise the code's "pre supervision" to "supervision". On the other hand, the improvement of administrative measures of incentive regulation, establish an effective tax incentive mechanism and fair financial aid mechanism.
Corporate governance foundation specification model emphasizes judicial intervention. The foundation of judicial intervention in corporate governance is necessary, which originates from the foundation of self governance is limited and the foundation of administrative supervision and legislation to the existence of boundary, the establishment of information disclosure system is not expected to play a role. However, the foundation of judicial intervention in corporate governance must be to certain extent, on the one hand, should be based on the scope of judicial intervention to frame the breadth; on the other hand, should be based on the judicial power and administrative power and the foundation of the relationship between civil law independence to determine the depth of intervention.
The expected innovation first lies in the approach of setting, and follow the route of this research also determines the innovation and research topics. Specifically, the following two specific approaches: one is the change of social structure and differentiation. This paper argues that, since the reform and opening up from the "Elemental the same society" to "macro background of the transformation of heterogeneous society" is the realistic context of understanding all of specific problems. The reform caused extensive differentiation of social mobility and interest groups, is the fundamental reason for the fund will produce. Because of the intrinsic tension should be the change, facing the foundation of legal system not only have the adaptability, necessity and possibility of the reform. Therefore, the basic premise of change and the social structure differentiation is to construct the system of criticism and system. The two is "methodological individualism Yi. "This paper argues that people constitute the ultimate analysis in cognitive science, but also the destiny of all values. The actor's purpose of planning and decision-making, all social phenomena can not be understood. The individual is not the passive recipient system, but the active creator of the system, at least is active reaction. Based on this, this paper design of motivation and interest fund legal system focus on personal satisfaction, that foundation is a private pursuit of the purpose of public welfare organization. So in the process of system construction, from the perspective of promoting the maximization individuals to achieve the objectives of public welfare perspective, that fund legal system should be based by" the heteronomy, autonomy as "to" autonomy and heteronomy supplement ".

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D922.182.3

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