欧盟对外行动署制度研究：机构与权能

发布时间：2018-04-14 02:18

本文选题：欧洲联盟 + 欧盟对外行动署　；参考：《复旦大学》2012年博士论文

【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。
[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.

【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D814.1

【参考文献】