多层次治理与制度理性：欧盟共同贸易政策决策研究

【作者】 仲舒甲；

【导师】 朱立群；

【作者基本信息】 外交学院 ， 国际关系， 2009， 博士

【摘要】 作为不同于主权国家、又不同于一般政府间国际组织的多层次治理政治体,欧盟政策运作最大的特征就是纷繁复杂的制度体系及其对决策过程的作用,这既涉及“行动过程”,又涉及“社会结构”,需要采用多种不同方式解释政策行为,特别是吸收比较政治学和公共管理学关于决策研究的理论框架和分析方法。本文以欧盟共同贸易政策的决策为研究对象,结合欧盟的制度特性和决策的一般理论,尝试对欧盟对外政策决策进行新的理论探讨。在重点梳理国际关系学新自由制度主义的欧盟研究、政治学传统上中观和微观层面关于欧盟决策的三大理论流派(理性选择制度主义、社会学制度主义和历史学制度主义)以及吸收了现实主义传统中权力因素的“融合型”制度理论——制度现实主义的基础上,尝试提出欧盟决策研究中的“制度理性”这一概念,简单定义为“行为体与制度的理性互动影响着决策过程和政策结果”。在“制度理性”中,理性是核心(表现为行为体的偏好——“幅度”和“强度”),制度是条件、是背景、是情境。它扩大了制度的概念,突出强调了“非正式制度”对行为体参与政策决策的塑造作用。与此同时,考虑到在当前的国际政治背景下,任何轻视或忽视制度运行的权力背景或制度框架下的权力因素都是不恰当的,我们的研究将“事项重要性”(偏好的“强度”)作为行为体在特定制度条件下参与集体决策的“内生权力”来源之一,并指出,“事项重要性”是塑造和决定欧盟政策过程中所需政治合法性的要素,决定成员国政府在欧盟决策中活动空间大小,因此在“制度理性”分析框架下成为影响欧盟政策结果的关键变量之一。在建立了理论分析框架之后,论文详细阐述了欧盟共同贸易政策的决策体系,并通过对欧盟参与关贸总协定乌拉圭回合谈判和参与世贸组织基础电信服务协议谈判决策过程的两个案例分析,来检验理论模型的解释力。更多还原

【Abstract】 As a muliti-level governance polity which differs from sovreign states and normal inter-governmental organizations, the most prominent feature of the European Union’s policy-making is related to its complex institutional settings and their impact on the decision-making process. Thus, EU policy-making not only involves an "action process", but also a "social structure", which needs a multi-dimensional angle to investigate, especially with reference to Comparative Politics and Public Administration theories and methodologies. In this thesis, I take the EU’s Common Commercial Policy as research subject and try to make theoretical reflections based upon the EU’s institutional settings and decision-making theories.I try to raise a concept of "Institutional Rationality", after carefully studying three main EU decision-making theories: Neo-Institutionalism fom the IR tradition; Institutionalism tradition from Comparative Politics - Rational Choice Institutionalism, Sociological Institutionalism and Historical Institutionalism; and a enhanced Institutionalism with the Power parameter incorporated, namely Institutional Realism. This notion of "Institutional Rationality" is described as "the rational interaction between actors and institutions affects the decision-making process and determines the policy outcome". In "Institutional Rationality", Rationality is the core (externalized as actors’ references - "scale" and "intensity"), while Institutions are conditions, backgrounds and context. It broardens the concept of "institution" , and emphasizes the role of "informal institutions" in shaping actors behavior in EU decison-making process. At the same time, as in real politics it is not appropriate to neglect the power relations in which the institutions operate or the power parameter under the institutional framework, I will take "Issue salience " (the "intensity" of an actor’s preference) as one source of actors’ endogenous power when taking part in EU collective decision-making. "Issue salience" is supposed to be the factor shaping and detemining the national legitimacy for EU policy outcome, which decides the maneuvre room for EU member states in EU decision-making. For this reason, I take "Issue salience" as a key variable in the Instituional Rationality framework.After building up the theoretical framework, I go on with a chapter on the decision-making system of the EU’s Common Commercial Policy, after which I will present two case studies respectively on EU participation in negotiations of the GATT Uruguay Round and the WTO Basic Communications Service Agreement in order to test the theoretical assumptions.更多还原