【新刊速递】第46期 | European Journal of International Relation
期刊简介
《国际安全》（International Security）是经过国际和国家安全领域同行评议的顶级学术期刊，其刊发的论文主题广泛，涵盖战争与和平等传统安全问题与环境、人口、人道主义、恐怖主义等时新的安全议题。它成立于1976年，由哈佛大学贝尔弗科学与国际事务中心（Belfer Center for Science and International Affairs at Harvard University）编辑，麻省理工学院出版社（MIT Press）出版，每年四期。2019年影响力因子为5.432，在“国际关系”类别的95种期刊中排名第1位。
本期编委
【编译】缪高意 阮含含 杨帆 郭新靓
【校对】郭新靓 晋玉 朱文菡 宋翔宇
【审核】丁伟航 李雯珲
【排版】李文博
本期目录
1.在欧洲驱逐专制：区域世界主义的案例
Banishing dominance in Europe: The case for regional cosmopolitanism
2.民主合法化的兴起：国际组织为什么讲究民主
The rise of democratic legitimation: why international organizations speak the language of democracy
3.制裁会带来灾难吗？经济制裁、政治体制和技术安全
Do sanctions spell disaster? Economic sanctions, political institutions, and technological safety
4.互动角色理论符合本体安全研究：一项对国际关系研究中社会心理学方法的协同作用的探索
Interactionist role theory meets ontological security studies: an exploration of synergies between socio-psychological approaches to the study of international relations
5.如何挑战国际秩序：俄罗斯在多边安全组织的外交实践
How to challenge an international order: Russian diplomatic practices in multilateral security organisations
6.保护规范集群的责任和预防暴行的挑战：对欧盟缅甸战略的分析
The Responsibility to Protect norm cluster and the challenge of atrocity prevention: an analysis of the European Union’s strategy in Myanmar
7.将难民转变为移民：制度变迁和国际保护政治
Transforming refugees into migrants: institutional change and the politics of international protection
8.发展援助对政治观念的条件性影响：阿富汗东北部的混合方法证据
Conditional effects of development aid on political perceptions: mixed-methods evidence from North-East Afghanistan
01
在欧洲驱逐专制：区域世界主义的案例
【题目】Banishing dominance in Europe: The case for regional cosmopolitanism
【作者】Erik O Eriksen（奥斯陆大学）
【摘要】当欧洲联盟的多层级结构中政治分化日益加剧时，如何避免专制统治？由于民主的缺位，政治分化加剧，作为权力实体的欧盟成为专制统治的例子。本文讨论了在不对称相互依赖、复杂相互依赖和欧洲经济一体化的条件下，什么样的政治框架可以阻止专制。国际法的框架是有缺陷的，正如欧盟与有关非成员国的协定（欧洲经济区协议（EEA）和瑞士）所记载的那样。欧盟的专制是自发产生的，违背了政治自由。另一个是哈贝马斯提出的一个混合构成权（pouvoir constituant mixte）框架。根据这一框架，专制会带来危险，因为国家的主权可能会先于公民的自主权。本文认为领土明确、以权利为基础区域世界主义联邦框架，更具有前景。
How is arbitrary rule–dominance–to be avoided when political differentiation is on the rise in the multilevel constellation that makes up the European Union? The EU is a power-wielding entity, that, due to its democratic deficits, is an instance of arbitrary rule, which differentiation only serves to exacerbate. This article discusses which political framework prevents dominance under conditions of asymmetric and complex interdependence, and economic integration in Europe. Under these conditions, the framework of international law is deficient, as the agreements with the associated non-member–the European Economic Area Agreement (EEA) and Switzerland–document. Here dominance appears to be self-incurred but nevertheless in breach with political freedom. Another is the framework suggested by Jürgen Habermas, of a pouvoir constituant mixte. Also, this framework raises the danger of arbitrary rule, as there is a risk that the autonomy of citizens would be pre-empted by the sovereignty of their states. The article holds the framework of a regional cosmopolitan federation– a rights-based polity with a distinct territorial reach– as more promising
【编译】缪高意
【校对】郭新靓
02
民主合法化的兴起：国际组织为什么讲究民主
【题目】The rise of democratic legitimation: why international organizations speak the language of democracy
【作者】Klaus Dingwerth（圣加仑大学），Henning Schmidtke（德国全球与区域研究院），Tobias Weise（柏林自由大学）
【摘要】为了证明自身的权威性，国际组织（IOs）长期以来一直依赖一种功能性叙述，强调法律专业知识和中立性基础上的问题的解决。如今，国际组织越来越多地通过民主叙事使其权威合法化。然而，并不是所有的国际组织都以同样的程度、方式或随着时间的推移而始终如一地这样做。在这篇文章中，我们从理论和实证角度，全面地解释全球治理中的民主合法性。我们的分析建立在一个新的数据集上。这个数据库衡量了1980年到2011年间的国际组织在多大程度上使用民主叙事来使其权威合法化。本文主要有三个重要发现。第一，我们的数据显示，全球治理中民主合法化逐渐崛起并影响深远。对许多组织来说，这一崛起仍然相对有限；对其他组织来说，民主合法化的叙述成为中心。第二，这种差异主要由两个因素共同导致：（a）公众可见性和抗议构成民主合法化的驱动力；（b）国际组织对这些合法性压力的反应存在路径依赖。一旦组织选择了民主叙述，离开这一路径并转变成其他规范的成本高昂。相比之下，我们的分析并不支持民主合法化跟随国际化权威的脚步的传统观点。
To justify their authority, international organizations (IOs) have long relied on a functional narrative that highlights effective problem-solving based on rational-legal expertise and neutrality. Today, IOs increasingly legitimize their authority in the language of democracy. Yet not all of them do so to the same extent, in the same manner, or consistently over time. In this article, we offer a comprehensive theoretical and empirical account of democratic legitimation in global governance. Our analysis builds on a new dataset, measuring the extent to which global IOs use democratic narratives in legitimizing their authority throughout the period from 1980 to 2011. The central findings are threefold. First, our data reveal a far-reaching rise of democratic legitimation in global governance. For many organizations, this increase remains relatively modest; for others, the democratic legitimation narrative becomes central. Second, this variation is mainly explained by a combination of two factors: (a) public visibility and protest constitute the driving forces of democratic legitimation and (b) IOs’ reaction to these legitimacy pressures unfolds in a path-dependent manner. Once organizations begin to take up democratic narratives, it seems to become costly to leave this path and shift to yet another set of norms. By contrast, the conventional wisdom that democratic legitimation follows in the footsteps of internationalized authority is not supported by our analysis.
【编译】缪高意
【校对】郭新靓
03
【题目】Do sanctions spell disaster？Economic sanctions, political institutions, and technological safety
【作者】Elena V McLean（纽约州立大学布法罗分校），Taehee Whang（延世大学政治科学与国际问题研究院）
【摘要】制裁限制或终止两个或两个以上国家之间的经济往来，直接对被制裁国的公司产生消极影响。我们认为，制裁与经济衰退相似，都会减少受影响国家的经济活动。经济活动减少使得公司使用生产设备的次数减少从而导致事故风险降低。收入减少也迫使公司通过削减成本（包括安全开支）的方式进行调整。因而事故损失会在受到制裁的情况下有所增加。由于政客的职务受到公民更严格的监督（公民更易于罢免政客的职务），民主国家政府更有“通过执行安全法规进行干预”的动机。因此，在都受到制裁的情况下，只有非民主国家的事故损害会增加，而民主国家的事故损害不会受到影响。
Sanctions restrict or terminate economic relations between two or more countries, directly and negatively influencing sanctioned countries’ companies. We argue that sanctions are similar to recessions—both reduce economic activity in affected countries. Less economic activity results in a lower accident risk as companies use their productive facilities less. Reduced revenues also force companies to adjust by cutting costs, which includes spending on safety. Hence, accident damage should increase under sanctions. Governments can intervene by enforcing safety regulations, and their incentives to do so are stronger in democracies, where citizens can more easily remove politicians from office. Therefore, accident damage increases only in nondemocratic countries, while democracies succeed in maintaining technological safety and hence sanctions do not affect accident damage.
【编译】阮含含
【校对】晋玉
04
互动角色理论符合本体安全研究：一项对国际关系研究中社会心理学方法的协同作用的探索
【题目】Interactionist role theory meets ontological security studies: an exploration of synergies between socio-psychological approaches to the study of international relations
【作者】Stephan Klose（布鲁塞尔自由大学欧洲研究所）
【摘要】本文认为，互动角色理论（Interactionist role theory）能有效补充国际关系领域的本体安全文献。具体而言，本文认为互动角色理论的观点至少在两个重要方面补充了本体论安全（ontological security）文献。首先，它可以更好地理解一个国际行为体（提供能力）的本体安全是如何实现其在社会中的“自我认知”能力，通常这二者通过行为体角色的塑造和扮演（以及随后的其他角色的塑造）联系在一起。第二，它强调了反思智能（reflective intelligence）如何使国际行为体解决其“自我”形象与社会角色扮演之间脱节的问题，并形成一种本体修复力（建设性地参与本体安全并从本体安全挑战中恢复的能力）。为了说明这一论点，本文给出一个案例，从互动角色理论的角度，探讨了欧盟的本体论安全如何在其与南部和东部邻国的互动中得到加强、挑战和恢复。
This article argues that interactionist role theory holds much potential for complementing the ontological security literature in the field of International Relations. Concretely, the article argues that an interactionist role theory perspective promises to supplement the ontological security literature in at least two significant respects. First, it allows for a better understanding of how an international actor’s (capacity to provide) ontological security is tied to its ability to realize its ‘self’ in society through the making and playing of roles (and the subsequent casting of others). Second, it emphasizes how reflective intelligence enables an international actor to address destabilizing disconnects between its ‘self’-image and societal role-play, and to develop a measure of ontological resilience (a capacity to constructively engage with – and to recover from – ontological security challenges). To illustrate this argument, the article provides a case study, which explores, from an interactionist role theory perspective, how the European Union’s ontological security has been strengthened, challenged and restored in its interaction with its Southern and Eastern Neighbourhood.
【编译】阮含含
【校对】晋玉
05
【题目】How to challenge an international order: Russian diplomatic practices in multilateral security organisations
【作者】Olivier Schmitt（南丹麦大学战争研究中心）
【摘要】许多政策和学术辩论集中于俄罗斯在何种程度上作为一个修正主义大国挑战“自由世界秩序”。然而对于俄罗斯行为的主要动机，人们几乎没有达成一致意见，一些人将其归因于大国野心未得到满足以及新帝国主义意识形态，另一些人则将其归因于现实的安全顾虑。对这些主张进行判定很重要，因为它们对接触或威慑俄罗斯具有政策意义。本文通过对以实践为基础的国际关系方法的理论贡献，推动了这场辩论，并利用米歇尔·德·塞托对实践的理解分析了俄罗斯在多边安全组织中的外交实践，阐明了外交实践如何有助于推断外交政策动机，这与皮耶·布迪厄提出的特定场域关系主义实践方法相反。从经验上讲，本研究建立在三个多边安全组织（联合国、北约-俄罗斯理事会和欧洲安全与合作组织）的126次访谈和参与观察的基础上。这篇文章表明，至少自2014年以来俄罗斯在这三个组织的外交官一直在捍卫政策并进行阐释，显示出俄罗斯对地位承认更多的兴趣，有时还以安全作为代价。
Many policy and academic debates focus on the extent to which Russia is a revisionist power challenging the ‘liberal world order’. However, there is little agreement on the primary motives explaining the behaviour of Russia, some pointing to her unsatisfied great power ambitions and neo-imperial ideologies, and others to genuine security concerns. Adjudicating those claims is important because of their policy implications for engagement and/or deterrence towards Russia. This article contributes to this debate through a theoretical contribution to practice-based approaches to International Relations. Using De Certeau’s understanding of practices, it analyses Russian diplomatic practices in multilateral security organisations and illustrates how this helps infer foreign policy motives, contrary to the field-specific relationalism of Bourdieu-inspired practice approaches. Empirically, it builds on 126 interviews and participant observation in three multilateral security organisations (the United Nations, the NATO–Russia Council and the Organisation for Security and Cooperation in Europe). The article shows that at least since 2014, Russian diplomats in the three organisations consistently defend policies and use narratives that reveal more interest in status recognition, sometimes at the expense of security concerns.
【编译】杨帆
【校对】朱文菡
06
【题目】The Responsibility to Protect norm cluster and the challenge of atrocity prevention: an analysis of the European Union’s strategy in Myanmar
【作者】Eglantine Staunton（澳大利亚国立大学），Jason Ralph（利兹大学）
【摘要】本文探讨了预防暴行与其他相关但又截然不同的关于保护责任(R2P)规范集群的规范之间的复杂关系，分析了规范集群如何运作以帮助国家和其他行为体恰当地履行其职责，核心是认识到抽象一致的规范可能在实践中发生冲突。基于广泛地分析67份欧盟涉及保护责任的文件与声明，并通过与欧盟外交官的精英访谈，我们发现预防暴行已经被“移接”到欧盟的其他规范性承诺之中（包括解决冲突和促进民主），但没有充分认识到该规范集群的复杂性和将预防暴行置于其他相关规范优先地位的需求。我们提出疑问，即这个框架是否不仅过滤且稀释了预防暴行的规范力量，还明显导致政策未能阻止2017年发生在缅甸的种族灭绝。我们发现，将预防暴行“移接”到相关但不同的规范上，致使欧盟低估了种族灭绝的威胁并错误地相信通过民主过渡能够预防暴行。然而我们也发现，与保护责任的规范框架无关的因素影响了欧盟应对2017年开始的种族灭绝之前发生的暴行的意愿和能力。本文有助于我们理解规范集群尚未阐明的规范含义以及欧盟在保护责任方面的实施情况。
This article investigates the complex relationship between atrocity prevention and other related–yet distinct–norms of the Responsibility to Protect (R2P) norm cluster. It analyses how this cluster operates to help states, and other actors, properly discharge their responsibility. Central to the analysis is the realisation that abstractly aligned norms can clash in practice. Based on an extensive analysis of the 67 European Union (EU) documents and statements referring to R2P, and drawing on elite interviews with EU diplomats, we find that atrocity prevention has been ‘grafted’ onto the EU’s other normative commitments–including conflict resolution and democracy promotion–without sufficient acknowledgement of the cluster’s complexity and the need to prioritise atrocity prevention vis-à-vis these other linked norms. We ask whether this framing not only filtered but also diluted the normative power of atrocity prevention, leading to policies that manifestly failed to prevent the genocide that occurred in Myanmar from 2017. We find that the grafting of atrocity prevention onto related yet distinct norms contributed to an underestimation of the threat of genocide and a misplaced faith in the ability of democratic transition to prevent atrocity. However, we also find that factors unrelated to the normative framing of R2P influenced the EU’s willingness and ability to respond to atrocity crimes that occurred in the lead up to the genocide that began in 2017. The article contributes to our understanding of the as yet unstated normative implication of clustering norms and the EU’s implementation of R2P.
【编译】杨帆
【校对】朱文菡
07
【题目】Transforming refugees into migrants: institutional change and the politics of international protection
【作者】Lama Mourad（卡尔顿大学诺曼·帕特森国际事务学院），Kelsey P Norman（加州大学欧文分校）
【摘要】自2015年难民“危机”以来，对难民和移民的法律类别已经进行了很多区分。本文提出，应考虑国家和国际组织为减少难民寻求保护的法律途径而使用的政策。本文提出了导致移民与难民分歧加深的四种政策“转变”途径：（1）通过转移压力和其他域外做法限制进入领土；（2）通过程序和行政方面的障碍限制寻求庇护和地方融合的机会；（3）使用群体的标准作为排外的基础；（4）将非公约标准纳入移民安置计划。基于历史制度主义方法和大量的经验资料，包括2013年至2016年间在埃及、黎巴嫩、摩洛哥、突尼斯和土耳其进行的田野调查，我们证明了各国正在积极寻求在难民身份界定问题上的控制权，在实践中把难民安置问题与移民问题相混淆，以规避国家责任。
Since the 2015 refugee “crisis”, much has been made of the distinction between the legal category of refugee and migrant. While migration scholars have accounted for the increased blurring of these two categories through explanations of institutional drift and policy layering, we argue that the intentional policies utilized by states and international organizations to minimize legal avenues for refugees to seek protection should also be considered. We identify four practices of policy “conversion” that have also led to the increasingly problematic distinction between migrants and refugees: (1) limiting access to territory through burden-shifting and other practices of extraterritorialization; (2) limiting access to asylum and local integration through procedural and administrative hindrances; (3) the use of group-based criteria as a basis of exclusion; (4) the inclusion of non-Convention criteria within resettlement schemes. Drawing upon a historical institutionalist approach and a wide array of empirical sources—including 3 years of combined primary field research conducted in Egypt, Lebanon, Morocco, Tunisia, and Turkey between 2013 and 2016—we demonstrate that states are actively pursuing a greater degree of control over the selection of refugees, in practice making refugee resettlement closer to another immigration track rather than a unique status that compels state responsibility.
【编译】郭新靓
【校对】宋翔宇
08
【题目】Conditional effects of development aid on political perceptions: mixed-methods evidence from North-East Afghanistan
【作者】Alexander De Juan（德国奥斯纳布吕克大学），Kristóf Gosztonyi（霍夫基金会冲突转换研究团队），Jan Koehler（伦敦SOAS）
【摘要】援助能否在受冲突影响的国家中建立政治信任？本文分析了援助对政治信任的影响，还评估了暴力如何影响这一过程。本文认为，援助可以为构建国家与社会互动的机会。但是，随着暴力行为的增加，与发展相关的互动被与安全相关的互动挤到了边缘。暴力还促进了腐败的援助治理，破坏了援助对公众观念的积极影响。我们使用混合方法研究设计来分析此假设，该设计方法将原始民意调查数据与定性访谈材料相结合，收集了阿富汗东北部252个村庄的信息。本文通过以下四种方法对高度不安全地区的援助和信任进行分析：（a）定量分析，（b）最相似村庄的比较，（c）跨不安全等级的定性调查反应模式的系统比较，（d）访谈材料的深入分析。我们发现暴力对受援国的国家与社会互动的相对相关性和质量产生了负面影响。调查结果表明，国际援助机构应将重点从主要以产出为导向的项目评估、设计和监测转向更强有力的进程导向，最大限度地促进国家与社会的互动，并防止在暴力程度高的地区出现精英捕获的现象。
Can aid create political trust in conflict-affected states? International aid organizations often argue that supporting states in providing basic services can contribute to strengthening state–society relations. Previous studies in international development have indicated that the provision of basic services can indeed improve people’s attitudes towards state institutions. We take this research a step further: in addition to analysing the impact of aid on political trust, we assess how violence influences this effect. We argue that aid can create opportunities for constructive state–society interactions. As violence increases, however, development-related interactions are crowded out by security-related ones. Violence also fosters corrupt aid governance, which undermines the positive effects of aid on public perceptions. We analyse this hypothesis with a mixed-methods research design that combines original opinion survey data with qualitative interview material systematically collected in 252 villages of northeast Afghanistan. Based on a combination of (a) quantitative analyses, (b) a comparison of most-similar villages, (c) a systematic comparison of qualitative survey response patterns across levels of insecurity, and (d) an in-depth analysis of interview material on aid and trust in highly insecure areas, we show that violence negatively impacts the relative relevance as well as the quality of aid-related state–society interactions. These findings indicate that international aid agencies should refocus from mainly output-oriented project appraisal, design, and monitoring to a stronger process orientation that maximizes state–society interaction and prevents elite capture in areas exposed to high levels of violence.
【编译】郭新靓
【校对】宋翔宇
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