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跨越制度边界的互动——国际制度与非成员国关系研究
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摘要
国际制度的出现改变了国际社会的版图,在成员国和非成员国之间树立起了无形的边界。探讨国际制度的社会作用,不仅需要考察它在何种程度上促进制度框架内成员国之间的合作,也需要讨论它在何种程度上推动成员国和非成员国之间跨越制度边界的互动。研究国际制度与非成员国的关系,实际上是把现有研究未予重视的经验事实纳入到理论分析的框架之中,因而具有重要的理论价值。
     为了确立起分析国际制度与非成员国关系的理论框架,本文首先讨论了国际制度对成员国和非成员国社会影响的差异。从国际制度的实际运行来看,一方面,成员国试图扩大制度规则的适用范围,并且会通过纳入新成员的方式提高组织机构的行动能力。另一方面,非成员国也希望通过接触国际制度实现如下目标:对国际制度构成的社会环境作出反应、分享国际制度在推进全球治理中带来的实际利益、以及取得国际社会的认同。当彼此有了交往的需要时,跨越制度边界的互动将成为可能。
     在讨论了跨界互动的起源之后,本文对跨界互动的规则基础进行了讨论。国际制度作为既成事实,不仅改变了国际社会的治理空白状态,也使得既定行为方式取得了一定的社会认可。在这个意义上,制度规则构成了跨界互动的规则基础。然而,国际制度对制度成员和非成员构成了不同社会约束。质言之,国际制度对成员国产生制度框架内的作用,而对非成员国的作用则通常以后者同意承受拘束为前提。因此,有必要分析驱使非成员国同意承受约束的社会因素。这里提出了国际制度和非成员国相互合法化的解释模式,一方面,非成员国在一定程度上接受制度宗旨;另一方面,国际制度也相应地纳入非成员国的重要关切。
     本文进一步指出,国际制度和非成员国的相互合法化,不是谁改变了谁的单向因果链条,而是双方协同演化的过程。在这一过程中,国际制度的“教学”作用固然是重要的一个方面,但是国际制度的“学习”功能也不容忽视。否则,制度先行者和后来者之间的冲突将变得不可调解,进而导致跨界互动的中断甚至终止。本文以六方会谈机制、英国入盟欧共体、印度与核不扩散体制关系为例,对上述机理进行了阐释。
     关于中国全面参与国际制度的提法,本文指出,深化参与已加入国际制度和扩大参与未加入国际制度是两个不同的范畴。处理好中国同未加入国际制度关系,不仅能为中国开辟新的外交场合,而且能带来更高的边际收益。论文就不同事务领域中国未加入国际制度的基本情况进行了考察,同时也结合出口控制领域的有关史实对中国与外部世界的相互合法化作了初步探讨。
     本文得出结论认为,相互合法化的程度对跨界互动的进程,以及跨界互动形成的结构都有重要影响。在国际关系研究中,讨论国际制度的社会作用,不仅要关注它如何推动了成员国之间的合作,还应该探讨它如何促进了非成员国和成员国的相互靠拢,直至非成员国改变身份成为制度成员。
International institutions are created to promote cooperation, with a byproduct of institutional borders distinguishing members with non-members. Social effects of an international institution, therefore, are not only how it affects cooperation among members within the context of institution, but also how it affects the relationship between institutional insiders and outsiders. For this reason, it is theoretically enlightening to analysis how institutions affect social behavior of nonmembers, more or less ignored in current research agenda.
     To begin with, this dissertation seeks to find out how it differs for member states and nonmembers in facing an institution. The author contends that members endeavor to broaden the scope an institution covers and build up institutional capacity to cope with public concern. Whereas, nonmembers initiate outreach activities to react to the social environment an institution creates, take a share of institutional benefit of global governance, and gain sufficient international recognition. When these two sets of individual needs match with each other, it then paves way for two sides to meet and interact with each other.
     Insofar as the rules applicable, the author claims that the institution in being constitutes a foundation based on which interaction unfolds. The institution in being may as well advance certain modes of behavior, making the tabula rasa of international society a thing of past. Yet, an international institution confines and enables nonmembers in different ways from it does to members. While it affects members within the context of the institution, this does not happen without non-members’prior adherence to this institution. Therefore, it is necessary to explain why non-members decide to adhere to the principles embedded in an institution. The author points out that the need for mutual legitimization brings institutional insiders and outsiders together. More often than not, non-members need to adhere to the mission and principles advanced, whereas the institution needs to add concerns of outsiders or newcomers in its rule system.
     The mutual legitimization, however, does not happen accidentally. Here, the logic of who-shapes-whom does not apply, instead, co-evolution between institution and non-members counts. Institution not only teaches, but also learns. The absence of organizational learning makes mutual legitimization difficult if not impossible. The author then takes Six-party talk, UK’s EC entry, and Indian nuclear diplomacy for examples to illustrate above mentioned dynamics.
     Concerning the empirical experience of China, the author points out that comprehensive participation in international society not only requires China to deepen participation in the context of institutions joined in, but also calls for broadened participation in institutions from which China is still absent. Investment in institutions of the latter category means to China a bright diplomatic opportunity and higher marginal return. The author also takes a sketch over institutions China yet to join and concentrates on the field of non-proliferation to evaluate the extent to which China and international society mutually legitimized.
     It concludes that mutual legitimization significantly affects both the process of interaction between institutional insiders and outsiders and the realignment of international society as a result. In the field of international relations, when discussing the social effects of international institutions, besides the question of how institutions shapes members’behavior, the phenomenal hits of institutional insiders and outsiders are also noteworthy.
引文
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    ①参阅[美]奥兰·扬:《世界事务中的治理》,陈玉刚、薄燕译,上海人民出版社2007年版,第49-66页。
    ①樊勇明:《从国际公共产品到区域性公共产品:国际关系理论研究的新增长点》,载“国际关系研究的创新与发展:新理论、新领域、新方法”论文集,上海复旦大学2009,第165-173页。
    ①Madeleine Albright,“Enlarging NATO: Why Bigger Is Better,”in Eugene R. Wittkopf and Christopher M. Jones eds., The Future of American Foreign Policy, Beijing: Peking University Press 2003.
    ②Thomas Wright,“Toward Effective Multilateralism: Why Bigger May Not Be Better,”The Washington Quarterly: 32, 3, 2009, pp.163-180.
    ①《世界人权宣言》序言,引自中国社会科学院法学研究所:《国际人权文件与国际人权机构》,社会科学文献出版社1993年版,第3-4页。
    ②Economic and Social Council- High Commission for Human Rights, Compendium Of International And Regional Standards Against Racism, Racial Discrimination, Xenophobia And Related Intolerance, E/CN.4/2004/WG.21/5, January 13, 2004; James Martin Center for Nonproliferation Studies, Inventory of International Nonproliferation Organizations and Regimes, 2009 edition, Monterey Institute of International Studies, 2009.
    ①[美]罗伯特·基欧汉:《局部全球化世界中的自由主义、权力与治理》,门洪华译,北京大学出版社2004年版;[美]罗伯特·基欧汉:《霸权之后:世界政治经济事务中的合作与纷争》,苏长和等译,上海:世纪出版集团2001年版。
    ①[美]奥兰·扬:《世界事务中的治理》,陈玉刚、薄燕译,上海人民出版社2007年版,第103页。
    ②Abram Chayes and Antonia Handler Chayes,“On Compliance,”International Organization, Vol.47, No.2, (Spring 1993), p.178; Jeffrey T. Checkel,“Why Comply? Social Learning and European Identity Change,”International Organization, Vol.55, No.3, (Summer 2001), p.554.
    ③Jonas Tallberg,“Paths to Compliance: Enforcement, Management, and European Union,”International Organization, Vol.56, No.3, (Summer 2002), pp.609-643.
    ④中华人民共和国外交部:《维也纳条约法公约》,.
    ⑤[英]安托尼·奥斯特:《现代条约法与实践》,江国青译,北京:中国人民出版社2004年版,第201页。
    ①庄贵阳:《气候变化与可持续发展》,载《世界经济与政治》2004年第4期。
    ②Thomas Wright, "On Reforming the International Order: Policy Analysis Brief," Innovative approaches to Peace and Security From The Stanley Foundation, February 2009.
    ③Annette Schnabel,“What Makes Collective Goods a Shared Concern? Re-Constructing the Construction of the Collectiveness of Goods,”Rationality and Society, Vol.18, No.1, (Spring 2006), p.8.
    ④Garrett Hardin,“The Tragedy of Commons,”Science: 162, 13, Dec., 1968.
    ①Peter M. Hass,“Do Regime Matter: Epistemic Community and Mediterranean Pollution Control,”International Organization, Vol.43, No.3, (Summer 1989), pp.377-403.
    ①Thomas Wright, "On Reforming the International Order: Policy Analysis Brief," Innovative approaches to Peace and Security From The Stanley Foundation, February 2009.
    ②Thomas Wright, "On Reforming the International Order: Policy Analysis Brief," Innovative approaches to Peace and Security From The Stanley Foundation, February 2009.
    ③James Lee Ray,“Promise or Peril? Neorealism, Neoliberalism, and the Future of International Politics,”载:[美]凯格利主编:《国际关系理论论争:现实主义和新自由主义的挑战》,北京大学出版社2004年版,第337页。
    ④Seema Gahlaut and Vioctor Zaborsky, "Do Export Control Regimes Have Members They Really Need?" Comparative Strategy, Vol.23, No.1, Jan-Mar 2004, pp.73-94; Richard Cupitt and Igor Khripunov, "New Strategyies For the Nuclear Suppliers Group," Comparative Strategy, Vol.16, No.3, Jul-Sep 1997, pp.305-315.转引自刘宏松:《国际防扩散体系中的非正式机制》,复旦大学博士论文,2007。
    ①Charles A. Goldman and Jonathan D. Pollack,“Engaging China in International Export Control Process: Options for U.S. Policy,”Rand Report, 1997.
    ②马蒂亚斯·科尼格-阿尔基布吉:《绘制全球治理》,载戴维·赫尔德、安东尼·麦克格鲁主编《治理全球化:权力、权威与全球治理》,曹荣湘、龙虎等译,北京:社会科学文献出版社2004年版。
    ③张立平:《意识形态与美国外交政策》,上海人民出版社2006年版,第五章。
    ④[美]奥兰?扬:《世界事务中的治理》,陈玉刚、薄燕译,上海人民出版社2007年版,第1-6页。
    ①S. J. Grossman and O. Hart,“Takeover Bids, The Free-Rider Problem, and The Theory of The Corporation,”Bell Journal of Economics 11, 1980, pp.42-64.
    ②Alastair Iain Johnston,“Treating International Institutions as Social Environments,”International Studies Quarterly, Vol.45, No.3, December 2001.
    ③唐世平:《制度变迁的广义理论》,手稿。
    ①[美]安德鲁·肖特:《社会制度的经济理论》,陆铭、陈钊译,上海财经大学出版社2003年版,第13页。
    ①James G. March and Johan P. Olsen,“The Institutional Dynamics of International Political Orders,”International Organization, Vol.52, No.4, (autumn 1998), pp.943-969.
    ②[英]安托尼·奥斯特:《现代条约法与实践》,江国青译,北京:中国人民出版社2004年版,第203页。
    ③Mark Beeson, Institutions of the Asia-Pacific: ASEAN, APEC and Beyond, London and New York: Routledge, 2009, pp.41-43.
    ④新华网:.
    ①Stephen R. Hurt,“Co-operation and coercion? The Cotonou Agreement between the European Union and ACP States and the End of the Lome Convention,”Third World Quarterly, Vol.24, No.1, (2003), pp.161-176; Tenu Avafia and Dirk Hansohm,“The inclusion of political conditions into trade agreements between the EU and ACP countries: An analysis of the legal and economic implications of Cotonou’s provisions,”Paper prepared for an ECSA-SA conference on The relationship between Africa and the European Union, University of the Western Cape, 22-23 January 2004.
    ②杨逢珉:《<洛美协定>下的欧盟与非加太国家关系》,上海人民出版社2006年版。
    ③John Toye, Order and Justice in International Trade System, in John-ren Chen ed., The Role of International Institutions in Globalization: The Challenge of Reform, Cheltenham: Edward Elgar, 2003, p.71.
    ①Jon C. Pevehouse,“Democratization, Credible Commitments, and Joining International Organizations,”in Daniel W. Drezner, Ed., Locating Proper Authority: The Interaction of International and Domestic Institutions, Ann Arbor: The University of Michigan Press, 2003, p.27.
    ②Marybeth Peterson Ulrich, Democratizing Communist Militaries: The Cases of the Czech and Russian Armed Forces, Ann Arbor: University of Michigan, 1999, p.104.
    ③Andrew P. Cortell and Susan Peterson,“Altered States: Explaining Domestic Institutional Change,”British Journal of Political Science, Vol.29, No.1 (Jan., 1999), pp.177-203; Michael McFaul,“State Power, Institutional Change, and the Politics of Privatization in Russia,”World Politics, Vol.47, No.2 (Jan., 1995), pp.210-243.
    ①[美]赫伯特·金迪斯、萨缪尔·鲍尔斯等:《人类的趋社会性及其研究:一个超越经济学的经济分析》,浙江大学跨学科社会科学研究中心译,上海人民出版社2005年版,第55-56页。
    ②可参阅钱穆:《中国文化史导论》,北京:商务印书馆1994年修订版,第39-44页。
    ③John Carlson,“Challenges to the Nuclear Non-Proliferation Regime: Can the Regime Survive? An Australian Perspective,”Paper presented to the Carnegie Moscow Center, 29 May 2007.
    ④梁西:《国际组织法(总论)》(修订第五版),武汉大学出版社2001年版,第335页。
    ⑤[英]安托尼·奥斯特:《现代条约法与实践》,江国青译,北京:中国人民出版社2004年版,第202页。
    ①John Carlson, Russell Leslie and Annette Berriman,“Strengthening the Nonproliferation Regime,”Paper presented to Annual Meeting of the Institute of Nuclear Materials Management, Phoenix, Arizona, 13-17 July 2003
    ②赵恒:《核不扩散机制:历史与理论》,北京:世界图书出版社2009年版,第215页。
    ①《维也纳条约法公约》,见附录。
    ②[英]安托尼·奥斯特:《现代条约法与实践》,江国青译,北京:中国人民出版社2004年版,第94页。
    ③杨友孙:《欧盟东扩与制度互动:从一个入盟标准说起》,北京:世界图书出版社2008年版。
    ④梁西:《国际组织法(总论)》(修订第五版),武汉大学出版社2001年版,第26-29页。
    ①D. G. Webster, The Dynamics of Atlantic Fisheries Arrangement, Cambridge, Massachusetts, London: The MIT Press, 2009.
    ①Samuel S. Kim,“International Organizations in Chinese Foreign Policy,”Annals of the American Academy of Political and Social Science, Vol. 519, China's Foreign Relations, (Jan., 1992), pp. 140-157.
    ②[法]孟德斯鸠:《论法的精神》(下),北京:商务印书馆2004年版,第3页。
    ①[法]拉哈:《欧洲一体化史:1945-2004》,彭姝祎、陈志瑞译,北京:中国社会科学出版社2005年版,第66页。
    ②参阅马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版。
    ③中华人民共和国外交部:《中国与德国政府发表联合声明》,2004.5.4. .
    ④[加]詹姆斯·怀特:《加拿大和中国同处在新的安全环境中》(演讲摘要),北京,2006年1月20日。.
    ⑤王光亚:《不断完善防扩散机制,促进国际和平与发展——中国的防扩散政策与实践》,《人民日报》2002年10月16日。
    ①可参阅袁易:《中国与导弹建制:国际规范的挑战与遵循》,见《问题与研究》第43卷第3期,民国93年5、6月。
    ②中华人民共和国外交部:《中华人民共和国与欧洲联盟关于防扩散和军备控制问题的联合声明》,2004.12.8. .
    ①[美]詹姆斯·马奇、马丁·舒尔茨、周雪光:《规则的动态演变:成文组织规则的变化》,童根兴译,上海人民出版社2005年版,第158页。
    ①John Toye, Order and Justice in International Trade System, in John-ren Chen ed., The Role of International Institutions in Globalization: The Challenge of Reform, Cheltenham: Edward Elgar, 2003, p.71.
    ②卢新波:《论学习型体制转型:后发国家市场化进程的逻辑》,北京:社会科学文献出版社2007年版,第125页。
    ③.
    ④Christian Reus-smit,“The Constitutional Structure of International Society and the Nature of Fundamental Instituions,”International Organization, Vol.51, No.4, (Autumn 1997), pp.555-589.
    ⑤梁西:《国际组织法(总论)》(修订第五版),武汉大学出版社2001年版,第335页。
    ①参阅[英]安托尼·奥斯特:《现代条约法与实践》,江国青译,北京:中国人民出版社2004年版。
    ②可参阅曾令良:《朝鲜核试验的国际法考量》,载《世界经济与政治》2007年第1期。
    ③另外,朝鲜1974年参加国际原子能机构,后于1994年退出。.
    ④可参阅曾令良:《朝鲜核试验的国际法考量》,载《世界经济与政治》2007年第1期。
    ③James D. Morrow, "The Institutional Features of the Prisoners of War Treaties," International Organization, Vol.55, No.4, (Autumn 2001), pp. 971-991.
    ①James D. Morrow, "The Institutional Features of the Prisoners of War Treaties," International Organization, Vol.55, No.4, (Autumn 2001), p.975.
    ②Jonathan F. Vance, Objects of Concern: Canadian Prisoners of War through the Twentieth Century, Vancouver: UBC Press, 1994. See, James D. Morrow, "The Institutional Features of the Prisoners of War Treaties," International Organization, Vol.55, No.4, (Autumn 2001), p.975.
    ③Peter D. Feaver,“Command and Control in Emerging Nuclear Nations,”International Security, Vol.17, No.3, (Winter, 1992-1993), pp. 160-187; Michael J. Mazarr,“Going Just a Little Nuclear: Nonproliferation Lessons from North Korea,”International Security, Vol.20, No.2, (Autumn, 1995), pp. 92-122; Dan Blumenthal,“Facing a Nuclear North Korea,”Asian Outlook, June–July 2005; John Carlson,“Challenges to the Nuclear Non-Proliferation Regime: Can the Regime Survive? An Australian Perspective,”Paper presented to the Carnegie Moscow Center, 29 May 2007; Hajime Izumi and Katsuhisa Furukawa, Not Going Nuclear: Japan’s Response to North Korea’s Nuclear Test, .
    ①Llewelyn Hughes,“Why Japaan Will Not Go Nuclear (yet): International and Domestic Constraints on the Nuclearization of Japan,”International Security, Vol.31, No.4, (2007), pp.67-96.
    ①唐世平:《制度变迁的广义理论》,手稿。此文回顾了解释制度变迁的两种范式:冲突模式与和谐模式。文章指出它们各自存在的逻辑缺陷并兼容了它们的核心观点,从社会进化的角度解释制度变迁。
    ②张宇燕:《美国宪法的经济学含义》,载《社会科学战线》1996年第4期,第39-46页。
    ③Thomas Wright,“On Reforming the International Order: Policy Analysis Brief,”Innovative approaches to Peace and Security from the Stanley Foundation, February 2009, http://www.stanleyfoundation.org/publications/pab/ WrightPAB209.pdf.
    ④关于合法性问题的专门讨论见,[美]罗伯特·基欧汉:《多边合作的俱乐部模式与民主合法性问题》,载罗伯特·基欧汉著,门洪华译:《局部全球化世界中的自由主义、权力与治理》,北京大学2004年版,第247-275页;Ian Hurd,“Legitimacy and Authority in International Politics,”International Organization, Vol.53, No.2, (Spring 1999), pp.379-408; Michael Zürn,“Global Governance and Legitimacy Problems,”Government and Opposition, Vol.39, Issue 2, 2004, pp.260-287.
    ⑤门洪华:《合法性、有效性与局限性——评估国际机制作用的理论框架》,载《香港社会科学学报》2002年冬季卷(总第二十四期),第137-175页。此文分析了合法性的概念、表现、合法化过程等相关问题。
    ①中华人民共和国外交部:《维也纳条约法公约》,http://www.fmprc.gov.cn/chn/gxh/zlb/tyfg/t83909.htm。
    ①中华人民共和国外交部:《维也纳条约法公约》,http://www.fmprc.gov.cn/chn/gxh/zlb/tyfg/t83909.htm.。
    ②中华人民共和国外交部:《中国参加国际公约情况一览表(1875-2003)》,http://www.fmprc.gov.cn/ chn/pds/ziliao/tytj/tyfg/t4985.htm。
    ③中华人民共和国外交部:《中国代表团在第60届联大一委关于“防止弹道导弹扩散海牙行为准则”决议案( L.22 )的投票后解释性发言》,http://www.fmprc.gov.cn/chn/gxh/zlb/ldzyjh/t271283.htm。
    ④中华人民共和国外交部:《维也纳条约法公约》,http://www.fmprc.gov.cn/chn/gxh/zlb/tyfg/t83909.htm。
    ⑤[美]詹姆斯·马奇、马丁·舒尔茨、周雪光著,童根兴译:《规则的动态演变:成文组织规则的变化》,上海人民出版社2005年版,第158页。
    ①John Toye, Order and Justice in International Trade System, in John-ren Chen,ed., The Role of International Institutions in Globalization: The Challenge of Reform, Cheltenham: Edward Elgar, 2003, p.75.
    ②Frédérique Déjean and Jean-Pascal Gond,“Measuring the Unmeasured: An Institutional Entrepreneur Strategy in an Emerging Industry,”Human Relations, Vol. 57, No. 6, (2004), pp.741-764.
    ③唐贤兴主编:《近现代国际关系史》,上海:复旦大学出版社2002年版,第206页。
    ④John Gerard Ruggie,“Multilateralism: the Anatomy of an Institution,”International Organization, Vol.46, No.3, (Summer, 1992), p.587.
    ①门洪华:《美国霸权之翼——论国际制度的战略价值》,载《开放导报》2005年第5期。
    ②John Toye, Order and Justice in International Trade System, in John-ren Chen ed., The Role of International Institutions in Globalization: The Challenge of Reform, Cheltenham: Edward Elgar, 2003, p.71.
    ③.
    ①刘伟:《从“猴子实验”看制度和民主政治建构背后的逻辑》,载《民主与科学》2005年第1期。
    ②John Toye, Order and Justice in International Trade System, in John-ren Chen ed., The Role of International Institutions in Globalization: The Challenge of Reform, Cheltenham: Edward Elgar, 2003, p.71.
    ③Judith Kelley,“International Actors on the Domestic Scene: Membership Conditionality and Socialization by International Institutions,”International Organization, Vol. 58, No. 3 (Summer 2004), p.454.
    ④.
    ⑤Amy F. Woolf, Arms Control and Nonproliferation: A Catalog of Treaties and Agreements, CRS report RL33865,Updated April 9, 2008, p.32.
    ①莫大华:《国际关系理论的辩论、对话与综合:美国“防止扩散安全提议”国际规范的个案分析》,载《问题与研究》,2006年第45卷第5期,第17-60页。
    ②James Martin Center for Nonproliferation Studies, Inventory of International Nonproliferation Organizations and Regimes, 2009 edition, Monterey Institute of International Studies, pp.540-544.
    ③Jeremy Rabkin,“The Law of the Sea Treaty: A Bad Deal for America,”Comparative Expertise Institute Report 2006 No.3, .
    ①可参阅[美]亚历山大·温特:《国际政治的社会理论》,北京大学出版社2005年影印版,第322页。
    ②克劳德(Inis L. Claude)首先讨论了国际组织使某些个体行为合法化的功能,金淳基(Samuel S. Kim)在谈论中国与联合国关系时用到了相互合法化(mutual legitimization)的概念。分别参见:Inis L. Claude,“Collective Legitimization as a Political Function of the United Nations,”International Organization, Vol.20, No.3, 1966, p.367;Samuel S. Kim, China, the United Nations, and World Order, NJ: Princeton University Press, 1979。
    ③[美]赫伯特·金迪斯、萨缪尔·鲍尔斯等:《人类的趋社会性及其研究:一个超越经济学的经济分析》,浙江大学跨学科社会科学研究中心译,上海人民出版社2005年版,第61-62页。
    ①.
    ②林毅夫:《关于制度变迁的经济学理论:诱致性变迁与强制性变迁》,载[美]诺思、阿尔钦、科斯等:《财产权利与制度变迁:产权学派与新制度学译文集》,上海人民出版社1994年版。
    ①[法]托克维尔:《论美国的民主》,北京:商务印书馆1996年版,第297页。
    ②[美]罗伯特·杰维斯著,李少军等译:《系统效应:政治与社会生活中的复杂性》,上海人民出版社2008年版,第42页。
    ①[美]奥兰·扬:《世界事务中的治理》,陈玉刚、薄燕译,上海人民出版社2007年版,第59-66页。
    ③中华人民共和国外交部:《2003年2月11日外交部发言人在记者招待会上答记者问》,2003年2月11日。
    
    ①中华人民共和国外交部:《落实共同声明起步行动》,2007年2月13日。
    ②中华人民共和国外交部:《落实共同声明第二阶段行动》,2007年10月3日。
    
    ①中华人民共和国外交部:《六方会谈中国代表团团长王毅举行中外记者招待会》,2003年8月29日。
    ②中华人民共和国外交部:《关于六方会谈工作组的概念文件》,2004年6月26日。
    ③中华人民共和国外交部:《第三轮六方会谈主席声明》,2004年6月26日。
    ④中华人民共和国外交部:《第四轮六方会谈共同声明》,2005年9月19日。
    ⑤中华人民共和国外交部:《落实共同声明起步行动》,2007年2月13日。
    ⑥中华人民共和国外交部:《落实共同声明第二阶段行动》,2007年10月3日。
    ①这里借用了学者关于中日关系的表述。可参阅鲁义:《中日相互理解还有多远:关于两国民众相互认识的比较研究》,世界知识出版社2005年版,第42页。
    ②可参阅马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版,第三章之内容,特别见第132、139、149页。
    ①JiríSchneider and Alexandr Vondra,“Ukraine: Near Abroad of the European Union? -Overcoming a Curse of Dual-Periphery,”PASS Policy Paper No. 2,“Ukraine in Europe and the World”Conference, February 20-21, 2004, Kyiv, Ukraine.
    ①Alexander Wendt,“Anarchy is what States Make of it: The Social Construction of Power Politics,”International Organization, Vol.46, No.2, (Spring 1992), pp.391-425.
    ①可参阅马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版。
    ②Avner Cohen and Thomas Graham Jr.,“An NPT for Non Members,”Bulletin of the Atomic Scientists, Vol. 60, No. 3, (May/June 2004), pp.40-44.
    ③转引自刘宏松:《国际防扩散体系中的非正式机制》,复旦大学博士论文,2007,第6页。
    ④Charles A.Goldman and Jonathan D. Pollack,“Engaging China in International Export Control Process: Options for U.S. Policy,”Rand Report, 1997, http://catalogue.nla.gov.au/Record/1547442.
    ⑤《关于防扩散问题的一些看法中国外交部军控司司长沙祖康在美国卡内基研讨会上的发言》,http://www.china-botschaft.de/chn/zt/fksyckgz/zyjhhwj/t129477.htm。
    ①中华人民共和国外交部:《中国与德国政府发表联合声明》, http://www.fmprc.gov.cn/chn/gxh/wzb/zxxx/ t94742.htm。
    ②Shirley A. Kan,“China and Proliferation of Weapons of Mass Destruction and Missiles: Policy Issues,”CRS Report RL31555, http://www.fas.org/asmp/resources/govern/crs-rl31555.pdf, p.42.
    ③.
    ④Daryl G. Kimball,“Achieving Entry Into Force of the CTBT,”Paper presented to "Atlanta Consultation on the Future of the NPT", The Carter Center, Atlanta, GA, Jan. 26-28, 2005; Oliver Meier,“Political Significance of the CTBT and Perspectives of Entry into Force,”Paper presented to Twelve Years of the CTBT: Achievements andPerspectives, July 1-2, 2008, Istanbul, Turkey.
    ①George A. MacLean,“Advancing the Comprehensive (Nuclear) Test Ban Treaty: Capabilities, Implementation, and Entry into Force,”Paper prepared for the International Security Research and Outreach Program, International Security Bureau, Ottawa, October 2002.
    ②Michael Crowley,“The CTBT: lack of progress in the Middle East and South Asia,”Trust & Verify, Issue Number 121, July–September 2005.
    ③Deepti Choubey,“Don’t Wait for the United States”, CTBTO Spectrum, Issue 12, April 2009.
    ①苏长和:《导读:跨国关系与国内政治》,载[美]罗伯特·基欧汉、海伦·米尔纳主编:《国际化与国内政治》,姜鹏、董素华译,北京大学出版社2003年版,第12-14页。
    ②参见:Daniel W. Drezner,“Introduction: The Interaction of International and Domestic Institutions,”in Daniel W. Drezner, ed., Locating the Proper Authorities: The Interaction of Domestic and International Institutions, Ann Arbor: The University of Michigan Press, 2003, pp.3-15.
    ③[美]玛莎·费丽莫:《国际社会中的国家利益》,袁正清译,浙江人民出版社2001年版;Alastair Iain Johnston,“Treating International Institutions as Social Environments,”International Studies Quarterly, Vol.45, No.3, December 2001.关于学习理论的详细综述,可参阅:James Clay Moltz,“Divergent Learning and the Failed Politics of Soviet Economic Reform,”World Politics, Vol. 45, No. 2, (Jan., 1993), pp. 301-325.
    ④Amitav Acharya,“How Ideas Spread: Whose Norms Matter? Norm Localization and Institutional Change in Asian Regionalism,”International Organization, Vol. 58, No. 2, (Spring 2004), pp. 239-275.
    ⑤Kenneth Benoit and Jacqueline Hayden,“Institutional Change and Persistence: The Evolution of Poland'sElectoral System, 1989-2001,”The Journal of Politics, Vol. 66, No. 2 (May, 2004), p.424.
    ①钱穆:《中国历代政治得失》,三联书店2001年版,前言部分。
    ②Russell D. Howard, Albert S. Willner,“China’s Rise and the U.S. Army: Leaning Forward,”Working Paper of Us Military Academy- West Point, NY 10996, May 2002; Larry M. Wortzel,“Trade with China But Avoid Strengthening Its Military,”www.heritage.org/Research/AsiaandthePacific/EM749.cfm; Bates Gill,“Limited Engagement,”Foreign Affairs, July/August 1999; Bates Gill,“Can China's Tolerance Last?”Arms Control Today, January 1, 2002; John J. Mearsheimer,“China's Unpeaceful Rise,”Current History, Vol.105, No. 690 (April 2006), pp.160-162.
    ①Mitchell P. Koza and Arie Y. Lewin,“The Co-Evolution of Strategic Alliances,”Organization Science, Vol. 9, No. 3, Special Issue: Managing Partnerships and Strategic Alliances (May - Jun., 1998), pp. 255-264.
    ③Judith Kelley,“International Actors on the Domestic Scene: Membership Conditionality and Socialization by International Institutions,”International Organization, Vol. 58, No. 3 (Summer 2004), pp. 425-457.
    ①卢新波:《论学习型体制转型:后发国家市场化进程的逻辑》,北京:社会科学文献出版社2007年版,第159页。
    ②Arthur Stein,“Coordination and Collaboration: Regimes in An Anarchic World,”in David A. Baldwin, ed., Neorealism and Neoliberalism: The Contemporary Debate, NY: Columbia University Press, 1993.
    ①[法]拉哈:《欧洲一体化史:1945-2004》,彭姝祎、陈志瑞译,北京:中国社会科学出版社2005年版,第66页。
    ②马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版,第45页。
    ③Andrew K. Rose, 2004.“Do We Really Know That the WTO Increases Trade?”American Economic Review. 94 (March): 98-114.
    
    ①马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版,第109-110页。
    ②马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版,第7页。
    ③马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版,第119页。
    
    ①主要参考马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版。
    ②李世安、刘丽云等著:《欧洲一体化史》(第二版),石家庄:河北人民出版社2006年版,第99-100页。
    ③马瑞映:《疏离与合作:英国与欧共体关系研究》,北京:中国社会科学出版社2007年版,第151页。
    ①李少军:《国际核不扩散体制与中国》,载王逸舟主编:《磨合中的建构:中国与国际组织关系的多视角透视》,北京:中国发展出版社2003年版。
    ②Amy F. Woolf, Arms Control and Nonproliferation: A Catalog of Treaties and Agreements, CRS report RL33865, Updated April 9, 2008; NTI, United Nations Security Council Resolution 1540 Database, .
    ④Thomas Wright, On Reforming the International Order, Policy Analysis Brief, Innovative approaches to Peace and Security From The Stanley Foundation, February 2009.
    ①Deepti Choubey,“Don’t Wait for the United States”, CTBTO Spectrum, Issue 12, April 2009.
    ②Thomas Donnelly and Melissa Wisner,“A Global Partnership between the U.S. and India,”AEI report on Asian Outlook, (August-September), 2005.
    ③.
    ①Indian Ambitions and the Limits of American Influence, .
    ②SIPRI YEARBOOK 2009: Armaments, Disarmament and International Security (Summary), pp.20-21.
    ①中国国家原子能机构:< http://www.caea.gov.cn/n602669/n602674/n602695/n602701/33861.html>.
    ②American Society of International Law,“Congress Approves Authorizing Legislation for India Nuclear Agreement; President Issues Signing Statement,”The American Journal of International Law, Vol.101, No.2, (Apr., 2007), pp. 496-499.关于美国国会批准的过程见.
    ③[印度]拉贾·莫汉,《落实印美核协议》,马文编译,载《东方早报》2005年12月22日。
    ④Daryl G . Kimball,“The Enduring Value of the Comprehensive Nuclear-Test-Ban Treaty and New Prospects for Entry Into Force,”CTBTO Spectrum 11, September 2008.
    ⑤陈刚:《集体行动逻辑与国际合作:<京都议定书>中的选择性激励》,北京:外交学院博士论文,2006。
    ①关于这一问题的系统讨论见王逸舟主编:《磨合中的建构:中国与国际组织关系的多视角透视》,北京:中国发展出版社2003年版;苏长和:《中国与国际制度:一项研究议程》,载《世界经济与政治》2002年第10期; Gerald Chan, China and international Organizations: Participation in Non-governmental Organizations since 1971, Hong Kong, Oxford, New York: Oxford University Press, 1989; Samuel S. Kim,“International Organizations in Chinese Foreign Policy,”Annals of the American Academy of Political and Social Science, Vol.519, China's Foreign Relations, (Jan., 1992), pp.140-157; Stuart Harris and Gary Klintworth eds., China as a Great Power: Myths, Realities and Challenges in the Asia-Pacific Region, New York: St. Martin’s Press, 1995; Weixing Hu, Gerald Chan and Daojiong zha eds., China’s International Relations in the 21st Century: Dynamics of Paradigm Shifts, Lanham, New York, Oxford: University Press of America, 2000; Yong Deng, China’s Struggle for Status: The Realignment of International Relations, Cambridge, New York, Melbourne, Madride, Cape Town, Singapore, Sao Paulo, Delhi: Cambridge University Press, 2008.
    ①Jim Rolfe,“Welcome in Asia: China’s Multilateral Presence,”in Satu P. Limaye ed., Asia’s China Debate, Asia-Pacific Center for Security Studies, Special Assessment December, 2003.
    ②李少军:《国际关系学研究方法》,北京:中国社会科学出版社2008年版,第146页。
    
    ①国家宗教事务局政策法规司编:《国际文书有关宗教条款汇编》北京:宗教文化出版社2008年版。
    ②周江陵:《武装冲突法概论》,南京:东南大学2007年版,第10页。
    ③周江陵:《武装冲突法概论》,南京:东南大学2007年版,第15-16页。
    ①Center for Nonproliferation Studies, Inventory of International Nonproliferation Organizations and Regimes, Last Updated: 1/23/2007.
    ①张明谦:《国际组织与集团的综合研究》,载渠梁、韩德主编:《国际组织与集团研究》,北京:中国社会科学出版社1989年版,第4页。
    ②王正毅:《理解中国转型:战略目标、制度调整与国际力量》,载《世界经济与政治》2005年第6期。
    ③张宇雁:《利益集团与制度非中性》,载《改革》1994年第2期。
    ①王超:《当代中国身份定位的演变对其参与国际合作的影响》,2008年6月,提交给“第三届全国国际关系博士生论坛”的会议论文。
    ②Jing-dong Yuan, Testimony before the U.S.-China Economic and Security Commission: China’s Proliferation and the Impact of Trade Policy on Defense Industries in the United States and China, July 12, 2007, p.2.
    ③苏长和:《中国与国际制度——一项研究议程》,载《世界经济与政治》2002年第10期,第10页。
    ④Charles A. Goldman, Jonathan D. Pollack,“Engaging China in International Export Control Process: Options for U.S. Policy,”Rand Report, 1997, pp.4-11.
    ①Michael Lipson,“The Reincarnation of COCOM: Explaining Post-Cold War Export Controls,”The Non-proliferation Review/Winter, 1999, p.33.
    ②Shirley A. Kan, Congressional Research Service,“China and Proliferation of Weapons of Mass Destruction and Missiles: Policy Issues”, RL31555, Updated on March 6th, 2008, p.49.
    ①Michael Lipson,“The Reincarnation of COCOM: Explaining Post-Cold War Export Controls,”The Non-proliferation Review/ Winter, 1999, p.38.
    ①中国经济信息网:《IDB与中国》,2005年4月19日,
    ②中国经济信息网:《IDB与中国》,2005年4月19日,
    ③Nina Graeger,“Environmental Security?”Journal of Peace Research, Vol.33, No.1, (Feb., 1996), pp.109-116; Keith Krause, Michael C. Williams, Broadening the Agenda of Security Studies: Politics and Methods,”Mershon International Studies Review, Vol.40, No.2, (Oct., 1996), pp.229-254; Johan Eriksson,“Agendas, Threats, and Politics: Securitization in Sweden,”Paper presented at the ECPR Joint Sessions, workshop‘Redefining Security’, Mannheim, March 26-31, 1999.
    ①李文志、蕭文軒:《大湄公河流域爭霸戰:大湄公河經濟合作的推展及其戰略意涵》,载《台湾东南亚学刊》,2005年4月第2卷第1期,第83-125页。
    ②中华人民共和国外交部:《湄公河委员会希望进一步加强与中国合作》,2008年11月18日,.
    ①中国化工机械网:《美呼吁中国加入国际能源署,帮助稳定石油市场》,2008年5月26日。
    ②ZCOM电子杂志:《中国和国际能源署的距离只差4天》,.
    ③Joseph Cirincione, Testimony before the U.S.-China Economic and Security Review Commission, Hearing on China’s Proliferation and the Impact of Trade Policy on Defense Industries in the United States and China, July 12, 2007, pp.2-3.
    ④Shirley A. Kan, Congressional Research Service,“China and Proliferation of Weapons of Mass Destruction and Missiles: Policy Issues”, RL31555, Updated on March 6th, 2008.
    ⑤笔者检索了美国公开的法律文集,没有发现这一条文。(U.S. Government Printing Office, Proliferation and Export Control Provisions of Public Law 106-65, in Selected Defense-related Laws, U.S. Government Printing Office, Washington: 2004, pp.437-445.)据信,这一条文出现在国会研究局的报告中,可能是因为报告作者能够接触到该法令的保密版本(classified version)。
    ⑥.
    ①Shirley A. Kan, Congressional Research Service,“China and Proliferation of Weapons of Mass Destruction and Missiles: Policy Issues”, RL31555, Updated on March 6th, 2008, pp.40-41.
    ②郑永年:《环保经济可助中国赢得国际话语权》,转自《参考消息》2009年12月2日第16版。
    ①曾峻:《公共秩序的制度安排:国家与社会关系的框架及其运用》,上海:学林出版社2005年版,附录《权利-义务对称与当代中国权力关系重组》。
    ②萨缪尔·金(金淳基):《中国与联合国》,载伊丽莎白·埃克诺米、米歇尔·奥克森伯格主编:《中国参与世界》,华宏勋等译,北京:新华出版社2000年版,第79-80页。
    ①中华人民共和国外交部:《中国政府关于促进裁军和防扩散领域的多边主义问题的看法》,2006年5月23日,.
    ②中华人民共和国外交部:《中国的防扩散政策及措施》,2009年7月27日, .
    ①联合国裁军事务部:《联合国裁军年鉴2004》,,第8页。
    ②《关于防扩散问题的一些看法中国外交部军控司司长沙祖康在美国卡内基研讨会上的发言》,2000年11月7日, .
    ③John Toye,“Order and Justice in the International Trade System,”in John-ren Chen ed., The role of international institutions in globalization: The Challenges of Reform, Cheltenham, Massachussets: Edward Elgar Publishing, Inc., 2003, p.66.
    ①Study Group on Enhancing Multilateral Export Controls for US National Security, Final Report, Washington, DC: The Henry L. Stimson Center, April 2001.
    ②U.S. House of Representatives Committee on Armed Services, Selected Defense-Related Laws (Amended through December 31, 2003), Washington: U.S. Government Printing Office, 2004, pp.437-445.
    ③中华人民共和国外交部:《中国的防扩散政策及措施》,2009年7月27日, .
    ①Avery Goldstein,“Great Expectations: Interpreting China’s Arrival,”International Security, Vol.22, No. 3 (Winter, 1997-1998), pp.36-73; Thomas J. Christensen,“Posing Problems without Catching Up, China’s Rise and Challenges for US Security Policy,”International Security, Vol. 25, No.4, (Spring 2001), pp.5-40; David Shambaugh,“China Engages Asia: Reshaping the Regional Order,”International Security, Vol. 29, No.3 (Winter 2004/05), pp.64-99; John J. Mearsheimer,“China's Unpeaceful Rise,”Current History, Vol. 105, No.690 (April 2006), pp.160-162; Thomas J.Christensen,“Fostering Stability or Creating a Monster? The Rise of China and US Policy toward East Asia,”International Security, Vol. 31, No.1 (Summer 2006), pp. 81-126.
    ②Joseph Cirincione, "Testimony before the U.S.-China Economic and Security Review Commission," Hearing on China’s Proliferation and the Impact of Trade Policy on Defense Industries in the United States and China, July 12, 2007, p.3.
    ③Jing-dong Yuan, "Testimony before the U.S.-China Economic and Security Review Commission," Hearing on China’s Proliferation and the Impact of Trade Policy on Defense Industries in the United States and China, July 12, 2007, p.1.
    ④Shirley A. Kan, China and Proliferation of Weapons of Mass Destruction and Missiles: Policy Issues, CRS Report RL31555, Updated on March 6th, 2008.
    ⑤U.S. Department of State, Adherence To And Compliance With Arms Control, Nonproliferation And Disarmament Agreements And Commitments, August 2005, p.38.
    ⑥中华人民共和国外交部:《中国与德国政府发表联合声明》, http://www.fmprc.gov.cn/chn/gxh/wzb/zxxx/ t94742.htm。
    ⑦[加]詹姆斯·怀特:《加拿大和中国同处在新的安全环境中》(演讲摘要),北京,2006年1月20日。.
    ⑧Yong Deng, China’s Struggle for Status: The Realignment of International Relations, Cambridge, New York, Melbourne, Madride, Cape Town, Singapore, Sao Paulo, Delhi: Cambridge University Press, 2008, pp.60-69.
    ①Samuel S. Kim,“International Organizations in Chinese Foreign Policy,”Annals of the American Academy of Political and Social Science, Vol.519, China's Foreign Relations, (Jan., 1992), pp. 140-157.
    ①可参阅张磊:《中国与国际刑事法院:现状与展望》,北京:中国人民公安大学出版社2009年版。关于国际社会建立国际刑事法院的一般说明,可参阅联合国文件:《2001年11月27日加拿大和荷兰常驻联合国代表团给秘书长的普通照会——设立国际刑事法院》,2001年12月1日,A/56/677.
    ①吴展:《关于全面禁止核试验的问题》,载《美国研究》1998年第3期,第7-29页。
    ②何祚庥:《核爆炸和平利用前景广阔》,载《中国科学报》1998年12月27日。
    ①关于该条约文本内容,可参阅张慧勤、东勇挥译:《关于国家与国际组织或国际组织相互间条约的法规维也纳公约》,载《国外环境科学技术》1992年第4期,第1-19页。
    ①卢仁法等:《加入世贸组织后中国税制改革走向》,北京:人民出版社2006年版,第7页。
    ②吴孟真:《从国际规范看中国大陆的环境政策发展及其影响》,< http://www2.nsysu.edu.tw/macs/ 3_activity/2007b/20080603-1.doc>.
    ③新华网:《中华人民共和国香港特别行政区基本法》,.
    ④中华人民共和国外交部:《涉及香港和澳门的条约与法律工作》,http://www.fmprc.gov.cn/chn/pds/ ziliao/tytj/tyfg/t4824.htm>.
    ①当然,陈智宏(Gerald Chan)的系统考察表明,中国台湾地区参加非政府间国际组织的方式,在上世纪七八十年代已经得到较好的模式化解决。Gerald Chan, China and International Organizations: Participation in Non-Governmental Organizations Since 1971, Hong Kong: Oxford University Press, 1989.
    1. [德]柯武刚和史漫飞:《制度经济学》,韩朝华译,商务印书馆,2001年版。
    2. [法]孟德斯鸠:《论法的精神》(下),北京:商务印书馆2004年版。
    3. [加]杰克逊、[丹]索伦森:《国际关系学理论与方法》,吴勇、宋德星译,天津人民出版社2008年版。
    4. [加]詹姆斯·怀特:《加拿大和中国同处在新的安全环境中》(演讲摘要),北京,2006年1月20日。
    5. [美]阿马蒂亚·森:《以自由看待发展》,任赜于真译,北京:中国人民大学出版社2002年版。
    6. [美]安德鲁·肖特:《社会制度的经济理论》,陆铭、陈钊译,上海财经大学出版社2003年版。
    7. [美]奥兰·扬:《世界事务中的治理》,陈玉刚、薄燕译,上海人民出版社2007年版。
    8. [美]达夫特:《组织理论与设计精要》,北京:机械工业出版社2002年影印版。
    9. [美]道格拉斯·诺思:《制度、制度变迁与经济绩效》,杭行译,上海人民出版社2008年版。
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    133.中华人民共和国外交部:《第三轮六方会谈主席声明》,2004年6月26日。
    134.中华人民共和国外交部:《第四轮六方会谈共同声明》,2005年9月19日。
    135.中华人民共和国外交部:《落实共同声明起步行动》,2007年2月13日。
    136.中华人民共和国外交部:《落实共同声明第二阶段行动》,2007年10月3日。
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    145.中华人民共和国外交部:《维也纳条约法公约》,.
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