《欧洲研究》2008年第2期
欧 洲 研 究
2008年第2期 第26卷 总第150期
目 录
| 调研报告 |
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| 中国公众对欧盟及中欧关系看法的调查与初步分析 | 中国社会科学院欧洲研究所课题组 |
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| 欧盟制宪研究专题 |
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| 解读《里斯本条约》 | 戴炳然 |
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| 《里斯本条约》与欧盟共同外交与安全政策 | 金玲 |
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| 浅论英国在欧盟制宪中的地位与作用 ——兼谈欧洲一体化的前景问题 | 叶江 王一 |
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| 欧洲一体化研究 |
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| 对欧盟治理的批判性评价 | 贝娅特·科勒-科赫 |
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| 规范分析视角下的欧盟新型治理模式:“社会对话” | 郑春荣 |
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| 国别与地区 |
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| 英国职业养老金监管体制的发展历程 | 郑秉文 孙守纪 |
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| 书评 |
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| 自由政府间主义的生命力 ——评莫劳夫奇克的《欧洲的选择》 | 赵晨 |
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| 学术动态 |
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| 2007-2008年欧洲形势年会综述 | 宋晓敏 莫伟 |
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内 容 摘 要
中国公众对欧盟及中欧关系看法的调查与初步分析 中国社会科学院欧洲研究所课题组
2007年8-12月，中国社会科学院欧洲研究所课题组在中国社会科学院国情调研项目的资助下对北京、上海、广州、武汉和西安五个城市，运用配额抽样和滚雪球抽样的方法对普通城市居民，政治、经济和教育领域中的涉欧人士，涉欧企业的普通职员以及在校大学生进行了问卷调查。课题组共发放问卷4663份，回收有效问卷3693份。
The Chinese Perception of the EU·2007-A Preliminary Analysis of the Survey on the Chinese Perception of the EU and the Sino-EU Relations The Research Group of the Institute of European Studies of Chinese Academy of Social Sciences
The Research Group of the IES of CASS, funded by the Program “Investigation into China’s National Conditions”, conducted a survey in Beijing, Shanghai, Guangzhou, Wuhan and Xi’an from August to December 2007 among four categories of the Chinese people. A total of 4663 copies of questionnaire were distributed and 3693 recovered. The data processing reveals the following features in the Chinese perception of the EU. Firstly, the Chinese people, most of whom get their knowledge about the EU from the public media, don’t have an adequate understanding of the EU’s operational mechanism. Secondly, they nevertheless give relatively high marks to the degree of friendliness of the Sino-EU relations and are fairly optimistic towards the future of the bilateral relations, with a small number of respondents regarding the EU as a “competitor” and few viewing it as an “enemy”. However, the percentage of those who hold that the EU and China are “friends” is also relatively low and most respondents regard the two as “partners” or “stakeholders”. Thirdly, the respondents’ EU perception varies somewhat depending on their social status, professions and genders, being directly proportional to their knowledge about the EU and to their incomes, which is also the case with their understanding of the US and Japan. Fourthly, the chance of participating into EU-related activities has a direct impact on the respondents’ EU perception. Fifthly, the respondents fully appreciate the importance of the bilateral economic and trade relations, the EU’s transfer of technology to China and have a general agreement on the mutually complementary nature of their relations. But most of them hold that the EU applies a double standard as to China’s full market economy status and see some uncertainties about the EU market.
It is worth noting that the Sino-EU relations were running smmothly when this survey was conducted. As seen from the survey, the Chinese people show a general optimistic attitude toward the future of Sino-EU relations and have few ill feelings about the EU and its Member States . However, generally speaking, this kind of favourable comments and optimistic views, directly related to the long-time postive assessments and reports of Chinese government and public media on the EU and Sino-EU relations, is sill very fragile. Recently, some European institutions and indiviudals have made distorted reports or irresponsible remarks on the Riots in Lhasa , to which the relevant Chinese authories have refuted powerfully. Along with the more extensive reports by the Chinese meida of this matter, the Chinese people’s appraisal towards the EU and Sino-EU relations will change accordingly. In the future, it needs the meticulous care of both sides to maintain the Sino-EU partnership and in particular a realistic and practical approach to seek for mutual understandings and supports.
解读《里斯本条约》 戴炳然
在经历了两年多的“宪法危机”之后，《里斯本条约》的签署是欧盟近年的一个亮点。尽管《里斯本条约》从制宪上退了回来，重新走上了修改条约的老路,但该条约吸纳了宪法条约的精粹，调整了欧盟的体制，拓展了欧盟的活动领域，改善了欧盟的决策机制，完成了欧盟当前急需的一些改革。经历了过去二十年间的几个飞跃，特别是实现了历史上最大的一次扩大，欧洲一体化需要有一段时间进行调整和深化。《里斯本条约》如能获得各国批准生效，将为此过程提供必要的体制保证，从而成为一体化进程中新的里程碑。 关键词：欧盟 欧洲一体化 《里斯本条约》
Understanding the Lisbon Treaty DAI Bingran
After two years’ “constitutional crisis”, the signing of the Lisbon Treaty is undoubtedly a bright spot in the EU’s integration process. The Lisbon Treaty may, compared with the aborted Constitutional Treaty, appear far less imposing, but by incorporating the essence of the latter, it will be able to promote the necessary reforms of the EU institutions, expand the EU’s competences and improve its decision-making mechanism, and, no less importantly, by abandoning the Constitutional Treaty, the EU will have a better chance for being rectified, thus ensuring it of the needed adjustments after the several “big bangs” in the past two decades. In this sense, the Lisbon Treaty will mark a new milestone in the European integration process.
《里斯本条约》与欧盟共同外交与安全政策 金玲
《里斯本条约》对欧盟对外关系领域进行了一系列重大改革，包括设立欧盟常任主席、合并原高级代表与欧盟对外关系专员职位、设置欧洲对外关系行动署、扩大有效多数表决机制的使用范围等，其改革的一个重要目的是提高联盟对外政策的连续性、有效性和一致性，提升欧盟的国际行为体角色。上述改革被普遍乐观地认为会加强欧盟用一个声音说话的能力。但是由于改革并没有改变欧盟对外关系领域内共同外交与安全政策支柱体系下独特的决策特征，加上《里斯本条约》中相关的制度革新仍然具有相当程度的模糊性，因此改革在短时间内会加剧欧盟共同外交与安全政策领域内的期待—能力差距。 关键词：《里斯本条约》 对外关系 共同外交与安全政策 实施困境
The CFSP Dimension of the Lisbon Treaty JIN Ling
The new round of the EU’s institutional reforms, one important aim of which is to promote the EU’s international role by enhancing the consistence, effectiveness and cohesion in its foreign policy, takes place against the background of its “big bang” enlargement. In terms of the EU’s external dimension, the Lisbon Treaty contains a number of profound institutional changes, including the creation of a president of the European Council, a high representative for foreign affairs and security policy combining the duties of the present foreign policy chief and of the External Relations Commissioner, the External Action Services and the broadening of the areas in which the qualified majority voting shall be applied. The Lisbon Treaty is commonly seen as creating conditions for the EU to have its voice heard in the world. However, even with the above institutional changes, the Treaty will nevertheless widen the expectation-capability gap in the near future because the Treaty neither fundamentally changes the unique decision making mechanism in the area of the Common Foreign and Security Policy nor removes all the vague clauses that need further clarification.
浅论英国在欧盟制宪中的地位与作用——兼谈欧洲一体化的前景问题 叶江 王一
英国在欧盟中的重要地位和“疑欧”态度致使其在欧盟制宪过程中具有不容忽视的影响。在整个欧盟制宪过程中，英国既主动参与，又坚持确保英国及其他成员国不能因此而成为欧盟的一个地方单位。通过变换本国批准程序，英国竭力掌握欧盟制宪进程的主动权，并在欧盟制宪危机爆发后，竭力将欧盟的制宪过程导向非宪法化，从而阻遏欧盟超国家联邦化。造成英国如此参与欧盟制宪的主要原因不仅在于其对国家利益的维护和受欧盟国际制度的制约，而且在于它的“疑欧”传统和缺乏欧陆式的宪法文化。英国在欧盟制宪过程中的表现与影响足以说明，欧盟作为一体化程度最高的区域性国际组织不仅不会走向衰落，反之还会不断向前发展。但同时，至少在看得见的未来，欧盟依然会继续保持主权民族国家联盟的性质，而不是走向欧洲合众国。 关键词：英国 欧盟制宪 欧洲一体化 《建立欧洲宪法条约》
The UK’s Role in the Process around the EU Constitutional Treaty and the Future of the European Integration YE Jiang WANG Yi
The important role that the UK plays in the EU and its skeptical attitudes towards Europe have great impacts on the whole process around the EU Constitutional Treaty, in which the British government participated actively and at the same time tried its best to avoid becoming a local unit of the EU. By changing its national ratification procedure for the Constitutional Treaty and taking an active part in the negotiations for the Reform Treaty after the constitutional crisis, the British government took all its efforts in taking a leading role and in directing the process towards a non-constitutional orientation. Such an attitude originates from its intention of maintaining national interests, its skeptical traditions towards Europe and the lack of a constitutional culture common to the Continent, and from the unavoidable influences of the EU as an international organisation. Seen from the behaviors and influences of the UK in the whole process around the Constitutional Treaty, it can be said that the EU, in the foreseeable future, will still be a highly integrated regional organization rather than a federation.
对欧盟治理的批判性评价 〔德〕贝娅特·科勒-科赫 金玲 译
无论是作为政治概念，还是作为社会科学的研究主题，治理在最近几年内获得了突出的地位。对治理的关注已经从制度层面转向政治进程方面，包括设定治理目标以及劝导社会行为体的同意和遵守。随着欧盟的不断扩大以及政治权能的不断增加，人们普遍认为欧盟的治理不能由欧盟的机构独自担当，而应该包括广泛的社会行为体的参与，欧盟的治理应建立在协商而非谈判以及决策基础之上。本文认为，绝大多数情况下，欧盟内部的决策仍然具有以条约为基础的“共同体方法”的烙印。尽管如此，作为对原有治理模式的补充，欧盟已经引进新的治理模式。新的治理模式进一步推动了欧盟决策的分化,提高了专家和行政机构的作用;推动了欧盟权能向下级管理层和准独立机构的进一步下放,激发目标群体的参与。欧盟治理模式的上述转变趋势最明显地体现在“开放式协调”中。“开放式协调”已经扩展到所有成员国不愿意让渡权力、但又希望加强协调的政策领域。本文阐述了欧盟向新治理模式转变的主要特征；并通过对其效率和民主合法性的分析，对新治理模式进行了批判性评价。本文还进一步探讨了利益攸关者以及公民的参与是否等同于民主参与。此外，文章还提请注意分散责任以及在决策过程中更多使用非正式手段的缺陷。文章对于欧盟治理总的评价是：欧盟已经进行调整，以更加灵活的治理方式应对欧盟扩大所带来的复杂性和异质性；通过日益分化的决策工具和决策程序支持欧盟相对平稳的运行。不过，权能在不同的政府层面和众多的功能性领域的分散以及日益增加的行为体参与决策，实现民主责任性变得更加困难。 关键词：欧盟治理 新治理模式 开放式协调 批判性评价
A Critical Appraisal of EU Governance Beate Kohler-Koch
This paper argues that policy making in the EU still most of the time carries the imprint of the Treaty-based “Community method”. Nevertheless, new modes of governance have been introduced which complement the original ones. They have furthered the differentiation of EU policy making, enhanced the role of experts and of the executive, pushed the delegation of power to lower levels of the administration and to quasi-independent bodies, and incited the participation of target groups. This trend is most pronounced in the “open method of coordination” (OMC) which has spread to all those policy fields where the Member States are eager to coordinate their actions but unwilling to transfer the building competence to the EU. The paper gives account of the shift to the new modes of governance and singles out their main characteristics. Furthermore it gives a critical appraisal by looking at efficiency and the democratic legitimacy of the new modes of governance. It explores whether the involvement of stakeholders and citizens lives up to the standards of democratic participation and draws attention to the drawbacks of spreading responsibilities and introducing more informality in the decision-making process. The message of the overall assessment is that the EU has adapted in a flexible manner to the growing complexity and heterogeneity of the enlarged Union . Instruments and procedures of policy making have become more differentiated and supported the relatively smooth operation of the EU. However, the spread of responsibilities to different levels of government, to a multitude of functional areas and the involvement of an increasing number of actors make democratic accountability difficult.
规范分析视角下的欧盟新型治理模式:“社会对话” 郑春荣
上世纪80年代中期，欧洲劳资伙伴在欧盟委员会的积极推动下建立了“社会对话”机制，并通过马约附录中的《社会政策协定》成为欧洲社会政策领域的“共同立法者”。尤其是90年代初欧盟治理转型以来，“社会对话”作为新型治理模式得到普遍推崇。本文选取规范分析的视角，分别从输入和输出合法性这两个纬度，探究“社会对话”的民主合法性及其解决问题的能力；在确证“社会对话”在这两个纬度均存在缺陷的基础上，尝试提出若干改进的思路。 关键词：欧盟治理 劳资伙伴 社会对话 合法性
A Normative Analysis of the New Mode of EU Governance: Social Dialogue ZHENG Chunrong
In the mid 1980s, promoted by the European Commission, the European Social Partners launched the mechanism of “Social Dialogue” and has, by the Agreement on Social Policy annexed to the Protocol on Social Policy of the Maastricht Treaty, become one of the co-legislators of European social policy. Especially since the EU-Governance-Turn in the early 1990s, the “Social Dialogue” as a new mode of EU governance has been highly appraised. This article, from the dimensions of input and output legitimacy respectively, makes a normative analysis of the democratic legitimation of the “Social Dialogue” and its problem-solving ability. After identifying deficits in both dimensions the author makes some suggestions for its redesign and modification.
英国职业养老金监管体制的发展历程 郑秉文 孙守纪
英国职业养老金监管体制的发展过程可以概括为“一个核心、两次转变、三个阶段”。一个核心是指信托制度;两次转变，一是养老金监管从协议退出计划的配套工作转变为独立工作，二是养老金监管从被动反应模式转变为积极主动模式。这两次转变恰好构成了英国职业养老金监管体制的三个发展阶段。在梳理历史的基础上，本文详细分析了英国养老金监管体制每个阶段的主要特征、面临的关键问题以及解决办法。最后，本文指出英国职业养老金监管的实践经验对中国极具借鉴意义。 关键词：英国职业养老金 监管体制 发展历程 信托制度
The Development of Occupational Pension Regulatory System in the UK ZHENG Bingwen SUN Shouji The development of occupational pension regulatory system in the UK has three traits. Firstly, the trust law constitutes the core framework of this system. Secondly, this system has experienced two great changes, which first turns from one of complementary nature to an independent system and then from a passive into an active model. Thirdly, the development of this system is divided into three stages, with the two transformations as the dividing lines. Based on history studies, this article analyzes its characteristics, problems and solutions at each stage. At last, this paper points out the references that China could draw from the practices of British occupational pension regulatory system.
自由政府间主义的生命力——评莫劳夫奇克的《欧洲的选择》 赵晨
欧洲联盟是“人类设计出的最复杂的政体”，分析欧洲一体化需要有力的理论工具。自20世纪90年代以来，安德鲁·莫劳夫奇克是研究欧洲一体化理论绕不开的学者，其代表作《欧洲的选择——社会目标和国家权力：从墨西拿到马斯特里赫特的社会目标和国家权力》[1]（1998）是他的自由政府间主义理论的系统体现，同时也是一部优秀的欧洲一体化史著作。本文是针对《欧洲的选择》一书所作的书评，对自由政府间主义的基本观点、理论框架、继承和突破做了介绍和分析；但同时又并非就书论书，一方面笔者结合欧洲一体化理论20世纪90年代以来的新变化，以自由政府间主义如何应对新理论的挑战为线，概览欧洲一体化理论最新的演变格局；另一方面从方法论的角度阐释了自己对欧洲一体化理论与实践之间关系的看法，认为需要从理论“工具箱”中选取合适的理论，因时、因地解释不同时段、不同问题领域的欧洲一体化现象。 关键词：一体化理论 自由政府间主义 理论工具箱
The Vitality of Liberal Intergovernmentalism: A Review on Andrew Moravcsik’s The Choice for Europe ZHAO Chen
Since the European Union is “the most complex polity that human agency has ever devised”, some penetrating theoretical tools are needed to analyze it. Professor Andrew Moravcsik is an important scholar in the field of European integration theories since the 1990s, whose theory, named Liberal Intergovernmentalism (LI), is intensively elaborated in his representative work, The Choice for Europe: Social Purpose and State Power from Messina to Maastricht, a masterpiece on the history of European integration. After introducing LI’s basic ideas, its theoretical framework, what it inherits from previous theories and its breakthroughs, this paper finally raises some of the author’s personal opinions on the relationship between the theoretical and empirical studies of European integration.