基于原则的治理:全球公域治理机制变迁的逻辑  

Principle Based Governance: the Logic of Regime Change in Global Commons Governance

作　　者：陈秋丰 Chen Qiufeng

机构地区：[1]清华大学社会科学学院,北京100084

出　　处：《国际观察》2024年第5期71-97,共27页International Review

基　　金：2021年国家社会科学基金重大项目“百年变局下全球化进路与人类命运共同体构建研究”(项目批准号:21&ZD173);博士后第75批面上资助“中国南极外交叙事与话语博弈研究”(项目批准号:2024MM751584)的阶段性研究成果。

摘　　要：在全球治理中,除了“基于规则的治理”,还有“基于原则的治理”。国际治理原则是全球治理制度体系的重要组成部分。围绕全球治理机制变迁的分析,既有理论对原则的重要性认识存在不足。本文以“原则的演进如何导致治理机制的变迁”为核心问题,探究治理原则演进对全球公域治理机制变迁的影响。本文将全球公域治理原则分为“核心原则”与“一般原则”两种类型,并尝试以原则变化为自变量,搭建原则演变引发全球公域治理机制变迁的分析框架。本文发现,不同类型原则的演变会引发治理机制变迁的不同模式。在国际实践共识变化、认知共同体、大国等因素的推动下,当核心原则出现更替时,会引发全球公域治理的机制革命;当核心原则出现调整或一般原则出现更替时,会引发全球公域治理的机制变革;当一般原则出现调整时,会促进全球公域治理的机制发展;当治理原则能够扩散到新的领域时,会引发新领域的机制扩散。本文选取海洋、南极、太空等全球公域的典型治理原则变化为检验案例,以验证理论框架的合理性。进而,本文通过分析原则与全球治理机制变迁之间的复杂关系,拓展出一项以全球治理中的“原则治理”为中心的理论研究议程。Principles are fundamental components of the global governance system. The existing theoretical frameworks concerning the evolution of global governance mechanisms frequently fail to address these principles' pivotal role adequately. This paper takes “how the evolution of principles leads to changes in governance regime” as the core question, explores the impact of the evolution of governance principles on the changes of global commons regimes. By classifying the principles of global commons governance into two categories — “core principles” and “general principles” — this paper aims to construct an analytical framework that positions changes in principles as an independent variable, thereby elucidating shifts in global commons governance mechanisms. The findings demonstrate that the evolution of different types of principles gives rise to distinctive patterns of change in governance mechanisms. A replacement of core principles driven by shifts in international consensus, cognitive communities, and the actions of major powers can instigate a revolutionary transformation in global commons governance mechanisms. Similarly, adjustments to core principles or replacing general principles can induce reform, while modifications of general principles can facilitate the development of governance mechanisms. Finally, the diffusion of governance principles to new domains can trigger the expansion of mechanisms in those areas. This paper employs typical changes in governance principles across sectors, including the oceans, Antarctica, and outer space, as case studies to validate the theoretical framework. This paper attempts to analyze the complex relationship between principles and changes in global governance regime, aiming to start a project centered on “principled governance”, which is a research agenda focusing on the emergence, evolution and impact of global governance principles.

关 键 词：治理原则 全球公域 国际机制 机制变迁 原则演进 

分 类 号：D81[政治法律—国际关系]