导　　师： 陈志敏

学科专业： 030208

授予学位： 博士

作　　者： ;

机构地区： 复旦大学

摘　　要： 自第二次世界大战结束以来,欧洲一体化建设经历了半个多世纪的发展,这一“欧洲工程”为整个欧洲大陆赢得了相当宝贵的持久和平与稳定,逐步恢复并提升了欧洲的国际影响力。整合对外政策工具与资源,实现成员国对外政策的整体协调,进而提升自身国际地位,是欧盟对外政策一体化的重要目标。历时数十年之后,欧盟已经成为国际舞台上一个重要的国际行为体,对国际关系造成了重要影响,共同外交建设在欧洲一体化进程中角色特殊,地位重要。 不可否认欧盟在对外政策一体化领域取得了显著成就,在涉及对外政策的相关机构组建和改革方面获得了显著进展,然而其机构设置和决策模式仍未能使欧盟得以有效应付冷战后和新世纪欧洲及全球范围内出现的纷繁复杂的挑战。在欧盟机构和决策程序的有效性和一致性与包括欧盟成员国在内的各方行为体对其赋予的期望之间存在巨大落差。 近年来欧洲研究学界关于欧盟对外政策一体化建设及欧盟国际行为体属性的研究成果丰硕,特别是对欧盟发展共同外交与安全政策的研究不断增多,其中欧盟推进联盟层面的外交机制建设成为一个非常重要的主题。随着《里约》的生效,欧盟调整对外关系和对外行动领域的机制设计,组建对外行动署以协助高级代表／委员会副主席展开工作,统筹欧盟对外关系的多个重要领域。这一欧盟层面的外交机构组建与整合和外交决策机制调整,是欧盟为应对自身在对外政策领域存在的“能力-期望差距”所做出的最新努力和尝试。 本文以新制度主义有关研究为理论基础,结合社会学制度主义、理性选择制度主义、规范制度主义和历史制度主义的相关理论,在“能力-期望差距”概念的基础之上,发展了“机制-期望差距”模型,认为欧盟对外政策一体化的建设存在着路径依赖现象,同欧盟一体化这一“欧洲工程”一样,主要是以完善机制建设为路径,提高欧盟对外行动的能力,缩小同内外预期的差距。里斯本改革就是遵循这一路径。欧盟对外行动署是在欧盟层面组建用以推进联盟对外政策的外交机构,最主要的政策目标是确保欧盟对外行动的一致性、连贯性和有效性,以解决欧盟在对外关系领域所存在的“机制-期望差距”,即欧盟对外政策机制被预期实现外交政策目标,同其实际未能有效运行最终导致政策目标无法实现之间的差距。 欧盟对外行动署的创建是欧洲自第二次世界大战结束以来政治与安全合作的最新发展阶段,从欧盟面临的外部压力和内部张力两个角度的分析可以得出,欧盟在对外关系领域的改革势在必行。里斯本改革选择以机制建设为主要路径,而机制建设包括机构设计和权能分配两个方面,里斯本改革就是通过进行对外政策机构改革重组、调整对外关系权能分配以及改革决策程序等方案来实现的。 关于欧盟对外行动署的机构设计方面。本文认为里斯本改革之后重组的高级代表制度是对外行动署组建的法律基础,对外行动署拥有“别具一格、自成一体”的法律属性和机构运行的自主性、承担其任务实现其目标所必需的法律能力。在马德里四方会谈达成的妥协基础之上,对外行动署的机构设计实际上最终确定为较小方案,这主要体现在对外行动署的人事安排、部门组成和预算安排三个方面。 关于对外行动署的权能方面。通过对外行动署与欧盟及其执行具体业务的专门部门之间的类比,可以发现对外行动署并没有获得完全独立的法律人格,在欧盟内部的法律地位同欧盟内专业部门存在很大的差别,也不享有独立于欧盟机构的法律地位。在欧盟对外政策决策过程中,对外行动署的权力和地位远远高于欧盟附属机构和欧盟内部管理机构,但是却低于欧盟基本机构。对外行动署的实际权能必须通过其与其他欧盟机构之间的互动最终确定和实现,其中扮演重要角色的欧盟机构,包括欧洲理事会及其主席、欧盟理事会、欧盟委员会、欧洲议会,成员国及其外交部门也起到了重要作用。 本文选取欧盟危机应对能力机制建设和欧盟发展援助与合作政策作为案例,分析对外行动署的运行并做出初步评估,尤其是考察里斯本改革在欧盟对外行动领域的机制调整对其对外政策一体化所起到的影响,并进而分析对外行动署同成员国和委员会之间的机构间关系。本文认为,对外行动署正式运行以来,在实现欧盟对外政策一体化的欧洲化和布鲁塞尔化两个角度取得了一定进展,但是也浮现出一定的问题,主要表现为：机构组建难度重重、决策机制并存、资源和工具存在缺口、对外代表权仍存缺陷、对外政策出现再国家化倾向等五个方面。 对外行动署的创设,是欧盟作为超国家行为体组建不同于传统的外交机构的开创之举,代表了国际舞台上一种崭新类型的外交模式迈出了重要一步。组建对外行动署的试验,为我们认识这个组成国际社会的网络提供了重要的视角：一个强大的超国家行为体在全球展现自己的存在,并追求对外政策的一体化。不论从历史,还是国际关系理论的角度,以及欧洲一体化的视角,欧盟对外行动署的诞生都是一个重大的发展,对欧洲和世界有着重要的蕴涵。 然而,组建一个如此规模的非国家行为体的外交机构是史无前例的。要组建一个能够将欧盟对外关系和对外行动的不同领域有效整合在一起的外交机构,必须经历一个长期的过程。对外行动署需要时间来理顺机构内部组织体系,发展同欧盟其他机构的协调,并赢得欧盟成员国的信任,才能实现里斯本改革的战略目标,即增强欧盟对外行动的一致性、连贯性和有效性,最终巩固并提升欧盟在世界舞台上的地位,塑造欧盟强大的国际行为体的形象。因此,仅仅凭借对外行动署一年多的运行实践,就对其组织和运行做出定论是草率的。 欧盟共同外交建设处于关键的十字路口。如果对外行动署能充分运转,真正加强欧盟外交的一致性、连贯性和有效性,那么它将有可能彻底改变欧盟外交政策的景象,对欧洲一体化的拓展和深入带来积极的推动效应,甚至对国际格局也会产生重大影响。反之,如果对外行动署最终发展成为一个徒有虚名的空转的官僚机构,那么这一开创性的机制试验将彻底成为一场悲剧。 The European integration has undergone dramatic advancement for more than six decades since the ending of the Second World War. This European Project upholds peace and stability in the European Continent for a long time, and has restored and promoted the international influence and status of Europe gradually, which is an important strategic goal for the European foreign policy integration by means of integrating foreign policy instruments and resources to coordinate the member states' foreign policies. After several decades, the European Union has been functioning as an important international actor in the world arena and brought about dramatic impacts upon the international relations. The construction of common foreign policy plays a unique but significant role in the European integration. Despite the fact that the EU has obtained outstanding achievements in terms of the foreign policy integration, and advanced much as regard the set-up and reform of the foreign policy institutions, to some extent, however, the European Union is incapable of tackling with the complex and considerable challenges within Europe and around the globe effectively and efficiently, as a result of its institutional establishment and decision-making procedures. There exists a broad gap between the effectiveness as well as efficiency of the EU foreign policy institutional establishment in addition to decision-making procedures and the expectations upon them from all actors including both the EU per se and other external international actors. In recent years the academia of European studies has obtained abundant achievements in regard to the EU foreign policy integration and the actorness of the EU, especially with a focus upon the Common Foreign and Security Policy. Consequently, the research about the foreign policy mechanism in the EU level becomes a very important field. With the entry into force of the Lisbon Treaty, the EU has adjusted its institutional and decision-making mechanism in terms of foreign policy and diplomatic operations, subsequently, established the European External Action Service to assist the High Representative//Vice President in her function to coordinate the external relations of the EU in different foreign policy fields. The institutional restructuring and foreign policy decision-making procedures in the EU level delineate its maneuver to narrow the "Capabilities-Expectations Gap" in EU foreign policies. The theoretical basis for this dissertation is New Institutionalism, which mainly has four strands, namely sociological institutionalism, rationalist institutionalism, normative institutionalism, historical institutionalism. Starting with a theoretical analysis about the "Capabilities-Expectations Gap", this dissertation develops a "Mechanism-Expectations Gap" model. This model hypothesizes that the EU foreign policy integration concentrates upon the mechanism building to enhance its capabilities in foreign policy actions as an effective way to narrow the gap between its foreign policy and internal as well as external expectations. The Lisbon reform follows this route. The EEAS is diplomatic service of the European Union to carry out its foreign policies in the Union level, with an aim to ensure the coherence, consistency and effectiveness of its external actions. The fundamental target of the Lisbon reform is to tackle with the "Mechanism-Expectations Gap", that is to say, the gap between the foreign policy aims the EU foreign policy mechanism is expected to realize and the fact that it fails to function effectively to achieve that aim. The establishment of the EEAS is the latest development of the European political and security cooperation since the end of the World War Two. We can assume that it's urgent for the EU to reform its mechanism in terms of foreign policy and external action with analyses on the external pressures and internal tensions the EU is faced with. The Lisbon reform chooses mechanism building which consists of institutional design and functional distribution as the route to restructure its foreign policy mechanism. The Lisbon reform reorganizes the foreign policy institutions, adjusts the functions, and reforms the foreign policy decision-making procedures. As for the institutional design of the EEAS. This dissertation argues that the restructured HR//VP is the legal basis for the establishment of the EEAS, and the latter enjoys a sui generis legal nature in addition to functional autonomy and legal capacity necessary to perform its tasks and attain its objective. Based upon a compromise reached in the Madrid Quadrologue, the institutional design of the EEAS followed a minimalist approach, which is reflected through its staff regulation, budget regulation and the institutional components. As for the function and mandate of the EEAS. With comparisons between the EEAS and the EU as well as its professional administrative departments respectively, we can assume the EEAS does not enjoy a completely independent legal personality, differs much from other professional departments in terms of legal status within the European Union, and has no legal status independent from the EU institutions such as the Commission, the Council or the European Parliament. In the process of foreign policy decision-making, the power and status of the EEAS are superior to those affiliated institutions and professional departments within the EU, but inferior to the EU institutions. The actual function and mandate of the EEAS are shaped by its dynamics with other actors in the EU foreign policy, such as the European Council and its president, the Commission and its President, the Council, the European Parliament, as well as the member states and their diplomatic services. This dissertation chooses the EU Crisis Response Capability and Development Aid and Cooperation policy as case studies to analyze the function of the EEAS and makes a preliminary assessment. It makes a review in regard to the impact upon the foreign policy integration resulting from the restructuring of the foreign policy mechanism since the Lisbon reform. This dissertation argues that, on one hand, the Lisbon reform has made much progress in terms of the Europeanization and Brusselization of the EU foreign policy integration since the function of the EEAS, but on the other, certain problems also emerge, such as:a variety of challenges in terms of institutional establishment, the coexistence of supranationalism and intergovernmentalism, shortfalls in coordination, its credibility problem on the international stage, and the combination of Europeanization and renationalization in its diplomacy. The creation of a European External Action Service, as the first diplomatic service of its kind for the EU as a supranational actor, represents a major step towards a new kind of diplomacy in the international arena. The launch of a European Union diplomatic service is akin to adding an important dimension to the dense networks that make up international society:a large supranational body that spans the globe and seeks to speak with one voice. From the perspective of history and International Relations theory, as well as the European integration theory, the advent of the EEAS is a major development with potentially tremendous implications for Europe as well as the world. However, the construction of such a large diplomatic service of a supranational actor is wholly unprecedented. It takes a long time to establish a diplomatic service which is capable of integrating the different areas of external actions and foreign policies. Only if the EEAS has effectively managed its internal organization and intra-institutional relations with other EU institutions and earned confidence from the EU member states, that the EEAS is capable of realizing the strategic aims of the Lisbon reform, which implies to strengthen the coherence, consistency and effectiveness of the EU external actions to facilitate the EU functioning as a capable and important international actor. Therefore, it's too early and hasty to make a final review about the organization and function of the EEAS just according to its performance in the past one and a half years. The EU foreign policy integration is at the critical crossroad. If the EEAS can function effectively and enhance the coherence, consistency, and effectiveness of the European foreign policy, it is likely to dramatically change the vision of the European diplomacy, enhance the development of the European integration, and even bring about significant influences upon the international system. On the contrary, if the EEAS ends up as a complex bureaucratic institution, then this innovative experiment will turn into a tragedy.

关 键 词： 欧洲联盟 欧盟对外行动署 对外政策 高级代表 一体化

分 类 号： [D814.1]

领　　域： [政治法律] [政治法律] [政治法律]