全球化下的联合国安全制度改革

【作者】 陈东晓；

【导师】 樊勇明；

【作者基本信息】 复旦大学 ， 国际政治， 2006， 博士

【摘要】 联合国是当今国际社会维持和平、促进发展、推动解决全球问题的重要多边机构，也是组织和实施国际集体行动并提供合法性的主要来源。全球化的深入发展，国际政治中安全问题的内涵和外延的变化，不断推动着联合国安全制度的改革和创新。因此，怎样认识全球化背景下联合国安全制度的改革理念和制度创新的趋势和进程是本文研究的核心问题。本文的中心论点是：国际体系的整体性变迁构成了联合国改革的原动力。一方面，全球化推进了国际体系的历史性演进，全球参与的国家共治将是未来国际体系发展的目标，也日益成为设计国际制度的主要理论范式，规范着联合国改革的方向。另一方面，国际体系中力量格局和利益关系正不断调整。美国力图保持其霸权地位，但其单边主义同样受到限制；一批新兴地区大国作用上升，要求在联合国内分享更大权利，承担重要角色，对联合国安全制度原有的决策机制形成重大冲击。同时，新时期大国合作共同维护国际秩序稳定的意图正在加强，推进国际体系有序演变的主观能动性和客观现实性都在增加。联合国改革进程将代表国际力量发展多极化、国际关系日益民主化的总体趋势。但无论从历史和现实的角度看，改革进程必然是渐进的。联合国安全制度的基本原则和机制设计正在丰富和发展。改革除了继续应对一系列固有的制度性缺陷和挑战之外，国际安全形势的深刻变化要求从法理上扩大联合国应对国际安全威胁的范畴。联合国除了继续关注以国家之间的主权纷争和领土冲突为主的传统安全之外，与发展和人权问题密切联系的跨国性和全球性问题也成为联合国安全制度特别关注的领域，它们包括防止国际恐怖主义的灾难性破坏、大规模杀伤性武器扩散和战乱地区和平重建以及大规模侵犯人权行为引发的地区不稳定，等等。国际安全概念的内涵和外延的扩展，也推动了新一轮国际社会关于更全面理解主权平等原则、不干涉内政原则和集体安全等原则的争鸣。联合国安全制度的机构改革和创新，包括安理会改革，其目的是强化联合国集体行动能力，协调效率和合法性之间的关系，以维护国际和平与安全。但国际社会对机构改革的具体方案的差异客观反映了成员间的力量对比和利益差别。总体上看，机构改革将继续以不均衡的态势向前推进。其中，安理会的改革一方面反映了国际力量格局的持续演变和安全环境不断发展背景下，国际社会要求进一步参与集体安全决策，提高决策机制的代表性和公平性，另一方面也体现了各成员国之间重新争夺决策过程的发言权和规制权的一场较量。联合国维和机制的改革与创新反映了该机制如何适应从传统的维和内涵向国际冲突的管理、预防以及和平重建为中心任务的转型。防扩散与军备控制机制改革说明，在当前国际不扩散形势严峻的背景下，国际社会更应努力通过协商合作，增进多边军控和不扩散机制的权威和实效。联合国反恐机制的创建初见成效，未来联合国反恐机制应当加强对各国反恐能力建设的指导，推动各成员国对恐怖主义的定义和根源形成共识，为国际社会真正实施统一的反恐战略奠定基础。本文在方法上侧重对重要的联合国改革文献的归纳和比较分析，并通过与参与新一轮联合国改革的部分重要人士以及研究人员的访谈，从基本现象出发归纳总结出联合国在安全领域面临的挑战与威胁，深入分析当前国际社会在联合国改革理念层面的矛盾焦点，比较研究各种不同主张、观点以及对整个改革进程的影响程度和范围，以期获得较为均衡的思路和化解分歧的方法，并在此基础上探讨具体的改革路径和政策选择。更多还原

【Abstract】 The United Nations is the most important multilateral international organization in nowadays, which functions as the core international institution to maintain peace, promote development, impel to resolve global issues and also provides the main resources to organize and enforce international collective security actions and its legitimacy. As the emergence of growing number of global issues in international politics, the UN has come up to continuous institutional reform and innovation. This paper picks up the "security" issue as the core topic among the three closely inter-related issues, security, development and human rights, which the UN is facing, studying the idea of the UN security institutions reform, its trend and process of institutional innovation in a new era.The central argument states that the holistic transition of international system constructs the essential driving force for the UN reform. On the one side, globalization promotes the historical transition of international system. The governance with worldwide states participation will be the goal of development of future international system. It gradually becomes the core paradigm to design the international institutions and regulates the direction and objectives of the UN reform as well. On the other side, the structure of the power configuration and the interaction of national interests in international system change as well. A variety of newly emerging regional powers gain a higher status and want to share more power, take more responsibilities and play more important roles in the UN, which deals a great impact on the existing decision-making regime and power layout in the UN. The process of the reform of the UN will represent the general trend of the multi-polarization of international power structure and the democratization of international relationship. In the mean time, the intention of big powers to maintain a stable international order in a cooperative way is also gaining new momentums, providing a more favorable environment than in the past to promote the transition of international system in an orderly way. These factors combined together have helped accumulate positive force driving the UN reform.The profound change of international security situation requires broadening scope of threats to international peace and security, which the UN is authorized to deal with.The security concerns between states are overspreading to a larger sphere concerning human security. In addition to keeping concerned with the traditional security issues of sovereignty disputes and territorial conflicts between states, the UN will list many new issues as new security threats, including preventing the catastrophic destruction of international terrorism, the proliferation of weapons of mass destruction, re-building in conflict inflicted areas and the instability caused by large scale violation of human rights. This calls for enrichment, development and innovation of the fundamental principles and institutional design of UN security institution, requiring more comprehensive understanding of the principles of sovereign equality, non-interference of domestic affairs and collective security, and demand strengthening and innovation of the process of the institutional design to counter those new threats.The institutional reform and innovation, particularly the reform of the UN Security Council with the objective of harnessing the capability of the UN collective action and maintain international peace, development and human rights, are in accordance to the strategy of peaceful development of China. The international society holds disputes on some specific blue prints of the institutional reform, which reflects the difference of power balance and different interests. In general, however, the institutional reform will advance in an imbalance state. China should combine its own short and long term interests, considering the factors at home and abroad fully and continue its principle of a comprehensive and consensus-based UN reform. China needs to analyze deeply and examines thoroughly the possible policy choices of concerned major countries and groups on the reform of the United Nations’ collective security institutions, combining together with the needs embodied in China’s peaceful development strategy. China needs to enhance the policy coordination and cooperation with other UN members, promote institutional innovation, stimulate the organizational dynamics and boost the process of multilateralism and global governance centered on the UN.Methodologically, this paper emphasizes particularly the induction and comparative analysis of the documents about the new round of UN reform. At the same time, based on the talks and interviews with some important people involved in the reform and some leading researchers, this paper analyzes the challenges and threats that the UN is faced in the security field. In order to achieve a relatively balanced idea and work outthe methods to resolve the disputes, this paper makes an in-depth analysis on the conflicts and focuses of the divergent ideas of the UN reform encountered with the international community. With the basis of above research, this paper also discusses the specific ways and policy choices of the UN reform.更多还原