本文選題：歐洲聯(lián)盟 + 歐盟對外行動署��； 參考：《復(fù)旦大學(xué)》2012年博士論文

【摘要】：自第二次世界大戰(zhàn)結(jié)束以來,歐洲一體化建設(shè)經(jīng)歷了半個多世紀(jì)的發(fā)展,這一“歐洲工程”為整個歐洲大陸贏得了相當(dāng)寶貴的持久和平與穩(wěn)定,逐步恢復(fù)并提升了歐洲的國際影響力。整合對外政策工具與資源,實現(xiàn)成員國對外政策的整體協(xié)調(diào),進(jìn)而提升自身國際地位,是歐盟對外政策一體化的重要目標(biāo)。歷時數(shù)十年之后,歐盟已經(jīng)成為國際舞臺上一個重要的國際行為體,對國際關(guān)系造成了重要影響,共同外交建設(shè)在歐洲一體化進(jìn)程中角色特殊,地位重要。 不可否認(rèn)歐盟在對外政策一體化領(lǐng)域取得了顯著成就,在涉及對外政策的相關(guān)機構(gòu)組建和改革方面獲得了顯著進(jìn)展,然而其機構(gòu)設(shè)置和決策模式仍未能使歐盟得以有效應(yīng)付冷戰(zhàn)后和新世紀(jì)歐洲及全球范圍內(nèi)出現(xiàn)的紛繁復(fù)雜的挑戰(zhàn)。在歐盟機構(gòu)和決策程序的有效性和一致性與包括歐盟成員國在內(nèi)的各方行為體對其賦予的期望之間存在巨大落差。 近年來歐洲研究學(xué)界關(guān)于歐盟對外政策一體化建設(shè)及歐盟國際行為體屬性的研究成果豐碩,特別是對歐盟發(fā)展共同外交與安全政策的研究不斷增多,其中歐盟推進(jìn)聯(lián)盟層面的外交機制建設(shè)成為一個非常重要的主題。隨著《里約》的生效,歐盟調(diào)整對外關(guān)系和對外行動領(lǐng)域的機制設(shè)計,組建對外行動署以協(xié)助高級代表／委員會副主席展開工作,統(tǒng)籌歐盟對外關(guān)系的多個重要領(lǐng)域。這一歐盟層面的外交機構(gòu)組建與整合和外交決策機制調(diào)整,是歐盟為應(yīng)對自身在對外政策領(lǐng)域存在的“能力-期望差距”所做出的最新努力和嘗試。 本文以新制度主義有關(guān)研究為理論基礎(chǔ),結(jié)合社會學(xué)制度主義、理性選擇制度主義、規(guī)范制度主義和歷史制度主義的相關(guān)理論,在“能力-期望差距”概念的基礎(chǔ)之上,發(fā)展了“機制-期望差距”模型,認(rèn)為歐盟對外政策一體化的建設(shè)存在著路徑依賴現(xiàn)象,同歐盟一體化這一“歐洲工程”一樣,主要是以完善機制建設(shè)為路徑,提高歐盟對外行動的能力,縮小同內(nèi)外預(yù)期的差距。里斯本改革就是遵循這一路徑。歐盟對外行動署是在歐盟層面組建用以推進(jìn)聯(lián)盟對外政策的外交機構(gòu),最主要的政策目標(biāo)是確保歐盟對外行動的一致性、連貫性和有效性,以解決歐盟在對外關(guān)系領(lǐng)域所存在的“機制-期望差距”,即歐盟對外政策機制被預(yù)期實現(xiàn)外交政策目標(biāo),同其實際未能有效運行最終導(dǎo)致政策目標(biāo)無法實現(xiàn)之間的差距。 歐盟對外行動署的創(chuàng)建是歐洲自第二次世界大戰(zhàn)結(jié)束以來政治與安全合作的最新發(fā)展階段,從歐盟面臨的外部壓力和內(nèi)部張力兩個角度的分析可以得出,歐盟在對外關(guān)系領(lǐng)域的改革勢在必行。里斯本改革選擇以機制建設(shè)為主要路徑,而機制建設(shè)包括機構(gòu)設(shè)計和權(quán)能分配兩個方面,里斯本改革就是通過進(jìn)行對外政策機構(gòu)改革重組、調(diào)整對外關(guān)系權(quán)能分配以及改革決策程序等方案來實現(xiàn)的。 關(guān)于歐盟對外行動署的機構(gòu)設(shè)計方面。本文認(rèn)為里斯本改革之后重組的高級代表制度是對外行動署組建的法律基礎(chǔ),對外行動署擁有“別具一格、自成一體”的法律屬性和機構(gòu)運行的自主性、承擔(dān)其任務(wù)實現(xiàn)其目標(biāo)所必需的法律能力。在馬德里四方會談達(dá)成的妥協(xié)基礎(chǔ)之上,對外行動署的機構(gòu)設(shè)計實際上最終確定為較小方案,這主要體現(xiàn)在對外行動署的人事安排、部門組成和預(yù)算安排三個方面。 關(guān)于對外行動署的權(quán)能方面。通過對外行動署與歐盟及其執(zhí)行具體業(yè)務(wù)的專門部門之間的類比,可以發(fā)現(xiàn)對外行動署并沒有獲得完全獨立的法律人格,在歐盟內(nèi)部的法律地位同歐盟內(nèi)專業(yè)部門存在很大的差別,也不享有獨立于歐盟機構(gòu)的法律地位。在歐盟對外政策決策過程中,對外行動署的權(quán)力和地位遠(yuǎn)遠(yuǎn)高于歐盟附屬機構(gòu)和歐盟內(nèi)部管理機構(gòu),但是卻低于歐盟基本機構(gòu)。對外行動署的實際權(quán)能必須通過其與其他歐盟機構(gòu)之間的互動最終確定和實現(xiàn),其中扮演重要角色的歐盟機構(gòu),包括歐洲理事會及其主席、歐盟理事會、歐盟委員會、歐洲議會,成員國及其外交部門也起到了重要作用。 本文選取歐盟危機應(yīng)對能力機制建設(shè)和歐盟發(fā)展援助與合作政策作為案例,分析對外行動署的運行并做出初步評估,尤其是考察里斯本改革在歐盟對外行動領(lǐng)域的機制調(diào)整對其對外政策一體化所起到的影響,并進(jìn)而分析對外行動署同成員國和委員會之間的機構(gòu)間關(guān)系。本文認(rèn)為,對外行動署正式運行以來,在實現(xiàn)歐盟對外政策一體化的歐洲化和布魯塞爾化兩個角度取得了一定進(jìn)展,但是也浮現(xiàn)出一定的問題,主要表現(xiàn)為：機構(gòu)組建難度重重、決策機制并存、資源和工具存在缺口、對外代表權(quán)仍存缺陷、對外政策出現(xiàn)再國家化傾向等五個方面。 對外行動署的創(chuàng)設(shè),是歐盟作為超國家行為體組建不同于傳統(tǒng)的外交機構(gòu)的開創(chuàng)之舉,代表了國際舞臺上一種嶄新類型的外交模式邁出了重要一步。組建對外行動署的試驗,為我們認(rèn)識這個組成國際社會的網(wǎng)絡(luò)提供了重要的視角：一個強大的超國家行為體在全球展現(xiàn)自己的存在,并追求對外政策的一體化。不論從歷史,還是國際關(guān)系理論的角度,以及歐洲一體化的視角,歐盟對外行動署的誕生都是一個重大的發(fā)展,對歐洲和世界有著重要的蘊涵。 然而,組建一個如此規(guī)模的非國家行為體的外交機構(gòu)是史無前例的。要組建一個能夠?qū)W盟對外關(guān)系和對外行動的不同領(lǐng)域有效整合在一起的外交機構(gòu),必須經(jīng)歷一個長期的過程。對外行動署需要時間來理順機構(gòu)內(nèi)部組織體系,發(fā)展同歐盟其他機構(gòu)的協(xié)調(diào),并贏得歐盟成員國的信任,才能實現(xiàn)里斯本改革的戰(zhàn)略目標(biāo),即增強歐盟對外行動的一致性、連貫性和有效性,最終鞏固并提升歐盟在世界舞臺上的地位,塑造歐盟強大的國際行為體的形象。因此,僅僅憑借對外行動署一年多的運行實踐,就對其組織和運行做出定論是草率的。 歐盟共同外交建設(shè)處于關(guān)鍵的十字路口。如果對外行動署能充分運轉(zhuǎn),真正加強歐盟外交的一致性、連貫性和有效性,那么它將有可能徹底改變歐盟外交政策的景象,對歐洲一體化的拓展和深入帶來積極的推動效應(yīng),甚至對國際格局也會產(chǎn)生重大影響。反之,如果對外行動署最終發(fā)展成為一個徒有虛名的空轉(zhuǎn)的官僚機構(gòu),那么這一開創(chuàng)性的機制試驗將徹底成為一場悲劇。
[Abstract]:Since the end of the Second World War, European integration has experienced more than half a century of development, to win lasting peace and stability in this very precious "European project" for the whole continent, gradually restore and enhance the international influence of the European integration. Foreign policy tools and resources, to achieve the overall coordination of member countries the policy, and enhance its international status, is an important target of EU foreign policy integration. After several decades, the EU has become an important international behavior on the international stage, the international relations made a significant impact, the common foreign construction in the process of European integration special role, an important position.
Can not be denied that the EU has made remarkable achievements in the field of integration of foreign policy, set up the relevant institutions involved in foreign policy reform and achieved significant progress, but the organization and decision model failed to effectively cope with the EU after the cold war and the emergence of new century Europe and worldwide complicated challenges. The behavior of the parties. The validity and consistency of the EU institutions and decision-making procedures and including the EU Member States, for there is a huge gap between its expectations.
In recent years the research results of the European academic research on the construction of the integration of EU foreign policy and the international behavior body attribute rich, especially the study on the development of EU Common Foreign and security policy of the EU is increasing, which promote the construction of diplomatic mechanism alliance level has become a very important topic. With the commencement of < > Rio, mechanism design the adjustment of foreign relations and foreign action areas, the formation of foreign operations department to assist senior vice president / Representative Committee, a number of important areas of EU external relations. The EU level diplomatic organization adjustment and integration and diplomatic decision-making mechanism, the EU is to cope with its foreign policy in the field of "ability - the expectation gap made the new attempt.
Based on the new institutionalism related theory, combined with the sociological institutionalism, rational choice institutionalism, theory of normative institutionalism and historical institutionalism, based on the expectation gap "in the" ability, the mechanism of expectation gap "model of development, believes that the construction of EU foreign policy integration exists the phenomenon of path dependence, with the integration of the" European project ", is mainly to improve the mechanism construction path, improve the ability of the European external action, and reduces with the expected gap. Lisbon reform is to follow this path. The EU external action department is set up at the EU level to foreign institutions to promote the union of foreign policy the most important policy goal is to ensure the consistency of the European external action, coherence and effectiveness, in order to solve the mechanism of EU foreign relations in the field of present in the" Expected gap ", that is, the foreign policy goal of the EU's foreign policy mechanism is expected to achieve the gap between the foreign policy goals and its actual failure to operate effectively, which ultimately leads to the failure of policy goals.
Create the European external action service is the new development stage in Europe since the end of the Second World War and political and security cooperation, it can be concluded from the analysis of two aspects of external pressure and internal tension of facing the European Union, the EU reform imperative in foreign relations field. Lisbon chose to reform mechanism construction as the main path and mechanism construction including mechanism design and power distribution of the two aspects, Lisbon reform is through foreign policy mechanism reform and reorganization, the adjustment of foreign relations power allocation and reform the decision-making procedures and programs to achieve.
On the European external action service mechanism design. This paper believes that the reorganization of Lisbon senior representative system after the reform is the legal basis for foreign operations department set up, foreign operations department has "have a unique style of autonomy legal attribute, and institutions into one" operation, bearing legal capacity bear the tasks necessary to achieve its goals. The basis for a compromise talks in Madrid square, mechanism design and external action Department actually finally identified as small program, which is mainly reflected in the external action department personnel arrangements, departments and budget for the three aspects.
The power of foreign operations department. The special department of foreign operations department and the European Union and the implementation of specific business analogy, can find the external action department did not get completely independent legal personality, legal status in the European Union with the EU in the professional sector there's a big difference, also do not have independent legal status in the EU the mechanism in the decision-making process of EU foreign policy, foreign operations department, power and status is much higher than the EU and EU institutions affiliated to the internal management of institutions, but the basic mechanism. The actual power below the EU external action department must through the interaction between with other EU institutions and finalize the implementation, which plays an important role in the EU institutions the Council of Europe, including its chairman, the Council of the European Union, the European Commission, the European Parliament, members of the Department of foreign affairs and also play an important role Use.
This paper selects the construction of EU crisis response capacity mechanism and EU development assistance and cooperation policy as a case, analysis of external action department operation and make a preliminary assessment, especially the effect of the Lisbon reform mechanism in EU external action areas to adjust its foreign policy integration plays, and further analysis between the external action department with member and the relationship between the Commission institutions. This paper argues that, since the external action Department official operation in the implementation of EU foreign policy integration in Europe and Brussels two angle has made some progress, but also emerged some problems, mainly as follows: the organization of the difficulty, the decision-making mechanism coexist, resources and tools exist gap. External representation still exists defects, foreign policy and national tendency of five aspects.
The creation of external action department, is the European Union as a supranational body set up diplomatic mechanism is different from the traditional initiatory, represents a new type of international diplomatic mode has taken an important step. The test set up foreign operations department, provides an important perspective for our understanding of this part of the international social network: a powerful supranational body to show their presence in the global integration, and the pursuit of foreign policy. Whether from the history or the point of international relation theory, and from the perspective of European integration, the birth of the European external action service is a significant development, has important implications for Europe and the world.
However, the formation of such a non state actors scale of foreign institutions is to set up a There was no parallel in history.. To foreign institutions in different areas of the EU foreign relations and foreign operations together effectively, must go through a long process. The external action department need time to straighten out the internal organization system, coordinated development with other EU institutions, EU Member States and won the trust, in order to achieve the strategic goal of reform in Lisbon, which is to enhance the consistency of the European external action, coherence and effectiveness, finally to consolidate and enhance the EU position on the world stage, shaping the EU International behavior strong body image. Therefore, only by virtue of the operation the practice of foreign operations department, more than a year, the organization and operation of its verdict is sloppy.
The common foreign construction is at a critical crossroads. If the external action department can fully strengthen the real operation, consistency of EU diplomacy, coherence and effectiveness, so it will be possible to completely change the EU foreign policy vision, expand on European integration and further bring positive effect, and will have a significant impact on the the international pattern. On the other hand, if the external action department and eventually become a mere idle bureaucracy, so this groundbreaking mechanism will completely become a tragedy.

【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2012
【分類號】：D814.1

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