无政府性与国际制度有效性的实证研究

【作者】 贾烈英；

【导师】 秦亚青；

【作者基本信息】 外交学院 ， 国际关系， 2005， 博士

【副题名】从欧洲协调到联合国

【摘要】 世界处于无政府状态是西方国际关系理论的基石,以此为起点,各种主流理论都形成了自己的理论体系,对于无政府性能否,以及如何被削弱的问题,各派观点相去甚远。 国际制度的历史源远流长,其形式也多种多样,从战争、均势、外交、规范、机制、国际法到国际组织,仁者见仁,智者见智,大家都承认国际制度是起作用的,但在起多大作用,以及如何起作用方面他们又分道扬镳了。现实主义强调制度的附属性,自由主义突出它的有效性,建构主义着重它的合法性,那么到底国际制度的有效性来自哪里呢? 本文把国际制度的有效性作为一个因变量,通过考察历史上的三个案例,即欧洲协调、国际联盟和联合国,力图找寻影响国际制度有效性的主要的自变量。本文主要围绕着大国权力分配、大国认同与国际制度有效性的关系展开实证性研究。本文的结论是大国实力分配的形式与国际制度的有效性没有必然的因果联系,但进程与结构因素要大体协调。在制度结构与权力结构基本一致的前提下,大国认同与国际制度的有效性是正向相关关系。而国际制度中的规范因素建构了大国间的认同。但国家观念(国内规范)对国际规范又有反作用,他们是相互建构的。 国际制度可分为行为性制度和规范性制度,前者主要影响国家的行为,后者建构国家的认同,制度的性质不同,其效果也不同。 本文认为,国际制度可以削弱无政府性,国际制度的核心是规范,研究规范与权力,规范与认同,规范与国际和平与安全的关系,是非常有价值的学术前沿问题。更多还原

【Abstract】 The assumption that our world is anarchical is the mile-stone of Western IR theory. Major mainstream IR theories evolve on this logical point. They are, however, very different on whether the anarchy could be lessened and how to lessen it.The international institutions have existed very long, and there are many kinds of international institutions, such as war, balance of power, international law and international organizations. Almost all scholars admit international institutions matter, but they differ on the degrees of efficacy. Realism focuses on the subsidiary side of institutions, Liberalism stresses its efficacy, and Constructivism emphasizes its legitimacy. Then, what is the source of the efficacy?I take in my research here the efficacy of international institutions as a dependent variable, and try to find out the independent variable which produces the efficacy. I analyze three cases: the Concert of Europe, the League of Nations and the United Nations. My research focus on the relations between the distribution of powers , collective identity and the efficacy of international institutions.My conclusion is that the distribution of power among great powers, i.e. the structure of the international system, is not the inevitable casual factor as long as the efficacy of international institutions is concerned. However, if there is an appropriate fit between the international structure and the international processes, they can have a strong impact on the institutional efficacy. When the structure and the process are in good coordination, the collective identity has positive casual relations with the efficacy. An essential part of international institutions is international norms which help construct the common identities among big powers; meanwhile national norms help construct the norms at the international level.Since international institutions and international norms reflected by such institutions can reduce the negative effect of international anarchy, it is necessary to make deep research on the relations between norms and power, and between norms and international peace and security.更多还原