北极治理模式研究

【作者】 孙豫宁；

【导师】 朱立群；

【作者基本信息】 外交学院 ， 国际关系， 2012， 博士

【摘要】 随着全球变暖的加剧，北极成为了国际社会的焦点所在，北极治理也成为了国际社会关注的重要议事日程。北极事务能否得到妥善解决，不仅关系到北极地区的稳定，而且与世界的稳定和发展也具有密切联系。因此，北极治理的研究具有重要的学理价值和现实意义。本文从北极治理的现状出发，试图厘清北极事务的本质，把握北极治理的脉络，揭示北极治理的主要特点，并借此提出了国际公共事务的“自主治理”模式。本文对以往的研究成果进行了简要的梳理，发现现有的北极治理研究大都着眼于北极问题的解决，是基于北极治理缺陷提出的某种设想，并未就北极治理体系进行多层次的分析，且很少对北极治理的实际特点进行归纳。本文对北极治理全球、多边、双边层次的互动实践进行较为全面、客观的梳理，结合北极治理中最重要的行为体——北极国家在本国北极战略、共同宣言、相关文件以及实践中表现出的最新态度与动向，力争将北极治理结构的“实然”特点完整地展现出来。本文通过研究发现，在国际层面上，北极治理存在着某种程度上的制度缺失，并不存在《北极条约》之类的专门针对北极的顶层制度设计，《联合国海洋法公约》也只是为北极治理提供了一个原则性的框架。就多边与双边层面而言，北极国家以北极理事会为平台，就北极治理展开了积极的实践。北极五国通过北冰洋外长会议就北极政策进行协调。北极国家力图通过规则的制定将区域外行为体排除在北极治理的进程之外。在多边的框架下，北极国家内部就相关问题的解决进行了积极的尝试。北极国家间的互动取得了一系列重要的成果。基于以上分析，本文对北极治理的特点进行了归纳，并得出北极治理呈现出“外部排他，内部协商”特征的论断。针对北极治理的特点，本文进一步从规模、利益、权力和规范四个变量角度出发对北极治理模式进行了分析，并发现现有的国际关系区域治理理论无法对其进行很好的解释。在进行可行性分析之后，本文借鉴了政治经济学的相关理论，引入了“自主治理”这一概念，并加入了社会学的内涵，使之能更加符合北极治理的具体特征，对国际公共事务治理提出了新的设想。“自主治理”是指国际事务的相关行为体（主权国家）在没有外部力量介入（或外部作用为零）的情况下对事务的自我治理，是通过自主协商等互动进而实现集体选择的社会实践过程。“自主治理”具有社会性、实践性和过程性三个重要特征。就理论方面而言，本文对北极事务的治理进行了较为深入的探讨与分析，对北极治理体系从全球、多边、双边三个层面进行了梳理，对其特点进行了总结，在一定意义上拓宽了现有北极治理研究的范围，丰富了研究的相关内容。在总结北极治理体系特点的基础上，本文借鉴了经济学的相关理论，提出了国际事务治理的一种新模式——“自主治理”模式。虽然这一模式目前仅是一种设想，其科学性还有待于进一步的验证，但在一定程度上丰富了国际治理的相关理论，并为其他国际事务的处理提供可借鉴的范例。就现实意义而言，本文通过对北极治理的全面梳理与系统分析，对北极治理的特点做出了较为科学的总结，有利于北极事务的良性推动，对中国北极战略的制定具有一定的参考意义，并为类似国际事务的处理提供了一定的借鉴。更多还原

【Abstract】 With the aggravation of global warming, Arctic has become the focus of theinternational society. There is also a growing international appreciation of theimportance of Arctic governance, which is related to the peace and development notonly of the region but also of the world. Starting from the political realities present,this dissertation attempts to examine the essence of Arctic governance, evaluateexisting arrangements, reveal its characteristics and put forward an alternative modelfor international governance “self-governance”.In its literature review, this dissertation finds that general discussions of Arcticgovernance typically center on the solution of the problems and the proposals forArctic governance. However, there is a lack of study that encompasses the multilevelanalysis of existing structure. Focused on the practices of Arctic governance in threedifferent perspectives (global, regional, and bilateral), this dissertation examines thepresent governance system of the Arctic in order to outline its core characteristics.This dissertation makes an analysis in three perspectives, that is, global, regionaland bilateral. In global perspective, there is no comprehensive Arctic regimecomparable in scope and content to the Antarctic Treaty. The United NationsConvention on the Law of the Sea (LOSC) only provides a framework and guidelinefor Arctic. In regional perspective, although the Arctic Council has no regulatoryauthority, it has achieved considerable success in generating policy-relevantknowledge about the Arctic and coordinating the behaviors of the Arctic countries. Inbilateral perspective, the interplay of the Arctic countries has a history of successfulefforts to revolve the disputes. Building on the preceding analysis, it is clear that theArctic governance system is under the concert of the Arctic countries and exclusivefor the out-Arctic states and international organizations.Furthermore, this dissertation examines Arctic governance system from theviewpoints of size, interest, power, and norm. The author finds that none of theexisting theories are effective enough in explaining the Arctic governance. As an application of Public choice theory, the author put forward an alternative model forinternational governance, which is “self-governance”.“Self-governance” refers to thatthe relevant actors exercise common governance over the relevant issue withoutintervention from any authority outside. It is a practice process that actors achievecommon selection through self-organization and equal consultation. The concept ischaracterized by sociality, practicality, and process.This dissertation identifies one possible way to understand the Arctic governancesystem, which, at least for the present author, seems a viable one. The dissertation alsoputs forward an alternative model for international governance and gives the basis forthe future argument.更多还原