结 语
凯伦·阿尔特在这篇论文中对国际法跨学科研究的回顾颇具个性化和独特性。她不是以旁观者的视角对国际法跨学科研究的六种常见视角进行中立的回顾、介绍和评价,而是结合自身研究历程对国际法跨学科研究的六种常见视角的各自得失进行了总结和反思,并且提醒初学者、研究者、决策者和实践者在理解和应用每一种研究视角时应该注意其各自的盲区。她的回顾具有明显的反省性,她将自身带入了六种视角的回顾与反思之中,结合并比较每一种视角,讲述了自己在研究国际法时的所得所失、所思所想,所以,她的论述和分析具有很强的真切性。她能够自觉地反思自己的学科——国际法研究的政治学视角,既不赞成非语境化的法律形式主义和结构理论(传统的法教义学、法解释学、法律实证主义),也不认为国际法只是政治的反映、政治选择的结果,而是认为国际法文本及其结构和过程在一定条件下具有重要影响,而且国际法还深受其他因素影响。她对于欧美或西方中心主义视角具有自觉且明显的反思,她认为欧美或西方的实践及经验并非放之四海而皆准,而是具有自身的局限性。她的回顾和反思具有开放性,她不是为了简单的批判或者将批判本身作为目的,也不是通过反思回到或固守某种狭隘性,而是希望通过反思进一步思索补救的可能。她的回顾和反思具有极强的现实感,立足于当下民族主义——民粹主义语境下国际法处于十字路口的关键时刻,努力通过回顾和反思来追问和求索她自身何为、国际法跨学科研究何为、国际法何为,并且希望国际法跨学科研究视角的回顾、反思和对话能够有助于我们的世界走出当下的阴霾、走向更可欲的、政治上更具有可持续性的全球主义。
(本文责任编辑:金 晟 蒋昊禹)
International Law from an Interdisciplinary Perspective
Original work by Karen J.Alter
Compiled by Liu Yang
Proofread by Wang Yanzhi Miao Qiuyue
Abstract:In 2019,Karen J.Alter gave a special lecture at LJIL,and published the paper“Visions of international law:an interdisciplinary retrospective”based on her own study on international law.In this paper,Karen J.Alter reviewed,compared and analyzed six common perspectives on international law:The na
ve political science perspective,which sees law as a mere reflection of political choices;the a-contextual legal formalist and structuralist perspective,which emphasizes that legal texts and their structures themselves affect behaviors and consequences;the Western-centric perspective,which emphasizes the universal significance of European and American legal civilizations;the liberal internationalist perspective,which emphasizes principled multilateralism leads to consent-based international arrangements and outcomes;the legal and sociological perspective,which emphasizes local factors and law in action;the international legal and sociological perspective,which emphasizes the structural impact of international factors and international law in action.After reviewing and analyzing the advantages and disadvantages of each perspective’s understanding of international law,Karen J.Alter identified the policy risks in each perspective,and proposed that when understanding the hybridity of international law from multiple perspectives,it is also necessary to understand the implicit presumption in each perspective.
Key Words:global orders;international authority;international law;law and society;paradigms
【注释】
[1]本文编译自Karen J.Alter, Visions of International Law:An Interdisciplinary Ret-rospective, Leiden Journal of International Law ,2020, Vol.33,No.4.
[2]凯伦·阿尔特,西北大学政治学和法学教授,哥本哈根大学法学院iCourts卓越中心永久客座教授。
[3]刘洋,吉林大学博士研究生;王彦志,吉林大学法学院教授;苗秋月,吉林大学博士研究生。
[4]Martii Koskeneniemi和Anne Orford描述了关于主权和国际法的不同观点和有争议且权威的其他观点。See M.Koskenniemi,International Law in the World of Ideas,in Cambridge Companion to International Law,edited by J.Crawford and M.Koskenniemi(eds.),Cambridge University Press,2015;A.Orford,Constituting Order,in Cambridge Companion to International Law,edited by Crawford and Koskenniemi(eds.),Cambridge University Press,2015.
[5]这一观点是幼稚的,因为所有人都承认,有时法律和法律进程显然很重要。尽管如此,政治学者仍然经常选择放弃或忽略这些例子,这表明是权力和利益而不是法律能够影响这种选择。
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[9]历史制度主义认为制度是粘性的,因此,即使政治偏好发生变化,它们依然存在。参见P.Hall,R.Taylor,Political Science and the Three New Institutionalisms,Policy Studies,1996,Vol.44;P.Pierson,The Path to European Integration:A Historical Institutionalist Perspective,Comparative Political Studies,1996,Vol.29;P.Pierson,Politics in Time:History,Institutions and Social Analysis,Princeton University Press,2004。历史制度主义还对关键决策时刻之外如何发生根本性变化进行了概念化,参见W.Streeck,K.A.Thelen,Beyond Continuity:Institutional Change in Advanced Political Economies,Oxford University Press,2005;J.Mahoney and K.A.Thelen,Explaining Institutional Change:Ambiguity,Agency,Power,Cambridge University Press,2010。
[10]F.Kratochwil,Rules,Norms,and Decisions on the Conditions of Practical and Legal Reasoning in International Relations and Domestic Affairs,Cambridge University Press,1989。这种观点借鉴了政治学以外的理论,后来与国际关系的建构主义方法联系在一起。然而,对于许多早期的建构主义者来说,规则仍然被视为政治创造;无论什么东西是规范、规则还是法律,都无关紧要;尤其是国际法,人们并不认为它有那么大的影响力。参见H.Bull,The Anarchical Society:A Study of Order in World Politics,Red Globe Press,1977。
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[12]A.Stone Sweet,Governing with Judges,Oxford University Press,2000;K.J.Alter,L.R.Helfer,E.Hafner Burton,Theorizing the Judicialization of International Relations,International Studies Quarterly,2019,Vol.63;M.Shapiro,A.Stone Sweet,On Law,Politics and Judicialization,Oxford University Press,2002.
[13]在这个框架下,如果代理人(法官或行政人员)偏离太远,委托人将通过修改法律、解雇法官、削减司法预算或撤销法院管辖权来应对。在民粹主义领导人(对他们来说,攻击和破坏法院权力——无论是国内法院还是国际法院——都是他们惯常做法的一部分)崛起之前,推翻或限制国际法院的政治干预很少发生。缺乏政治努力来“纠正”国际司法实践,这导致委托代理理论的支持者认为,法官是在自我审查以避免制裁。参见K.J.Alter,The New Terrain of International Law:Courts,Politics,Rights,Princeton University Press,2014;K.J.Alter,Delegation to International Courts and the Limits of Recontracting Power,in Delegation and Agency in International Organizations,edited by D.Hawkins et al.(eds.),Cambridge University Press,2006。讨论民粹主义和国际法院的兴起,参见E.Voeten,Populism and Backlashes against International Courts,Perspective on Politics,2020,Vol.18,No.2。
[14]D.Bodansky,Legal Realism and Its Discontents,Leiden Journal of International Law,2015,Vol.28;A.Anghie,Imperialism,Sovereignty,and the Making of International Law,Cambridge University Press,2005.
[15]Brown v.Board of Education of Topeka,347 U.S.483(1954).
[16]G.N.Rosenberg,The Hollow Hope:Can Courts Bring About Social Change?,University of Chicago Press,1993.
[17]现在美国的法学院和法院都被政治化了,以至于这一规范的核心价值被大打折扣。美国和欧洲法律意识的不同可能意味着规范的核心价值只存在于那些法律解释的运行不会被政治破坏的地方。
[18]L.L.Fuller,The Morality of Law,Yale University Press,1964.
[19]J.Weiler,The Transformation of Europe,Yale Law Journal,1991,Vol.100.
[20]政治学者仍然很难知道该如何应对那些将法律和法律进程描绘成一场无休止的击剑比赛的法律对抗:论证、反论证,这里得分、那里丢分,赢了一局、输了一盘,比赛获胜、重新开始。政治也如同一场击剑比赛,但社会科学家对此进行了研究。坚持让社会科学家认为法律就是法律人的所作所为是不合理的,也是行不通的。法律和社会学方法为此提供了一条前进的道路。
[21]这就是Brunée和Toope的观点,他们认为“合法律性实践”是一种文化规范,是现代治理的合法化叙述。参见Jutta Brunnée and Stephen J.Toope,Interactional Legal Theory,the International Rule of Law and Global Constitutionalism,in Handbook on Global Constitutionalism,edited by A.F.Lane and A.Wiener(eds.),Edward Elgar Publishing,2017。其他类似观点,参见A.Huneeus,J.A.Couso,R.Sieder,Cultures of Legality:Judicialization and Political Activism in Latin America,Cambridge University Press,2011。
[22]Jean.d Aspremont,International Law as a Belief System,Cambridge University Press,2018;L.Rosen,Law as Culture:An Invitation,Princeton University Press,2006.
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[28]更多关于法律的非语境化理论研究的文献可参见T.Eisenberg,The Origins,Nature,and Promise of Empirical Legal Studies and a Response to Concerns.(Law and Economics Conference to Honor Thomas S.Ulen),University of Illinois Law Review,2011,Vol.2011;M.C.Suchman and E.Mertz,Toward a New Legal Empiricism:Empirical Legal Studies and New Legal Realism,Annual Review of Law and Social Science,2010,Vol.6。更多关于法律和经济增长的信息参见S.M.Teles,The Rise of the Conservative Legal Movement:The Battle for Control of the Law,Princeton University Press,2009;R.A.Posner,The Law and Economics Movement,The American Economic Review,1987,Vol.77。
[29]这种见解的反向工程是委托代理理论支持者的动力所在。
[30]我们在解释为什么安第斯法庭是一个如此形式主义的法律机构时探讨了这一想法。参见K.J.Alter,L.R.Helfer,Transplanting International Courts:The Law and Politics of the Andean Tribunal of Justice,Oxford University Press,2017。
[31]Alter,Helfer,Hafner Burton,Theorizing the Judicialization of International Relations,International Studies Quarterly,2019,Vol.63;C.Epps,The Rights Revolution:Lawyers,Activists and Supreme Courts in Comparative Perspective,University of Chicago Press,1998;T.Risse,S.Ropp,K.Sikkink,The Power of Human Rights:International Norms and Domestic Change,Cambridge University Press,1999.
[32]在方法术语中,形式学者的相关性可能会忽略难以衡量的干预变量,忽略形式制度实现预期结果所需的共同因素。
[33]S.Engle Merry,Rights Talk and the Experience of Law:Implementing Women's Human Rights to Protection from Violence,Human Rights Quarterly,2003,Vol.25;S.Engle Merry,Constructing a Global Law-Violence against Woman and the Human Rights System,Law and Social Inquiry,2003,Vol.28.
[34]Koremenos,The Continent of International Law,Cambridge University Press,2016.(https://www.daowen.com)
[35]参见C.Tilly,Coercion,Capital,European States,Ad 1990-1992,Wiley Blackwell,1992;T.H.Marshall,Citizenship and Social Class,Pluto Press,1992;A.Gerschenkron,Economic Backwardness in Historical Perspective,a Book of Essays,Harvard University Press,1962;M.Weber,Economy and Society,University of California Press,1978;A.Shonfield,Modern Capitalism:The Changing Balance of Public and Private Power,Oxford University Press,1969。
[36]文献非常丰富,可参见L.A.Benton,A.Clulow,Webs of Protection and Interpolity Zones in the Early Modern World,in Protection and Empire:A Global History,edited by L.A.Benton,A.Clulow and B.Attwood(eds.),Cambridge University Press,2018;L.A.Benton,L.Ford,Rage for Order:The British Empire and the Origins of International Law,Harvard University Press,2018,pp.1800-1850。
[37]文献丰富,可参见S.Pahuja,Decolonising International Law:Development,Economic Growth and the Politics of Universality,Cambridge University Press,2011;R.P.Anand,The Influence of History on the Literature of International Law,in The Structure and Process of International Law:Essays in Legal Philosophy,Doctrine,and Theory,edited by R.S.J.Macdonald and D.M.Johnston(eds.),Springer,1983。
[38]战争导致欧洲国家调动资源进行战斗,并使其军队现代化。19世纪中期的欧洲自由主义革命,以及后来的共产主义革命,迫使国王分享权力或将权力下放给更具参与性的机构。殖民主义为不满或被排斥的欧洲人提供了一个出路,让他们找到一个新的地方,在那里他们可以蓬勃发展,这仅仅是因为身为欧洲人和白人的特质为其提供了一种在国外很有价值的有利条件。殖民主义和奴隶制还提供了廉价劳动力和材料,欧洲人可以将这些劳动力和材料转化为高附加值资产,然后再将其出售给殖民地。
[39]Michael Fahkri认为,国际联盟的《国际糖业协定》(1937年)是一倡议,创造了一些概念和机构,这些概念和机构在“二战”后的国际协定中古巴的支持下,这项协议旨在减轻美国市场力量对古巴的影响。参见and the Making of International Trade Law,Cambridge University Pre G.J.Ikenberry,The End of Liberal International Order?,Internationa ol.94。项开创性的多边得到了复制。在M.Fakhri,Sugar ss,2014,p.129;l Affairs,2018,V
[40]J.Ruggie,Multilateralism:The Anatomy of an Institution, in Multilateralism Matters, edited by J.Ruggie(ed.),1993,p.561.
[41]马佐尔(Mazower)对全球治理理念历史的分析支持了这些主张,参见M.Mazower,Governing the World:The History of an Idea,Penguin Books,2013,p.586。
[42]J.Ruggie,International Regimes,Transactions and Change:Embedded Liberalism in the Postwar Economic Order,International Organization,1982,Vol.36.
[43]美国从第二次世界大战中崛起,成为一个异常的主导力量。欧洲和亚洲大部分地区因战争而摧毁,而美国的经济和社会基本上没有受到影响,以至于美国是唯一能够向世界提供关键资源的国家。第一次世界大战、大萧条和第二次世界大战的巨大灾难在很大程度上削弱了人们回归过去的政治愿望。在这个灰烬堆上,第二次世界大战的盟国胜利者可以建立一个新的世界秩序。
[44]讨论这些问题的文献,参见G.J.Ikenberry,After Victory Institutions,Strategic Restraint,and the Rebuilding of Order after Major War,Princeton University Press,2001;G.J.Ikenberry,Why the Liberal World Order Will Survive,Ethics&International Affairs,2018,Vol.32;B.B.Allan,S.Vucetic,T.Hopf,The Distribution of Identity and the Future of International Order:China's Hegemonic Prospects,International Organization,2018,Vol.72;B.Jahn,Liberal Internationalism:Theory,History,Practice,Palgrave Macmillan,2013;M.Doyle,Liberalism and World Politics,American Political Science Review,1986,Vol.80。汤姆·金斯伯格(Tom Ginsburg)设想了威权主义的国际法选择,参见T.Ginsburg,Authoritarian International Law?,American Journal of International Law,2020,Vol.114。
[45]研究表明,国家间战争和战争死亡人数下降的事实无可争议(尽管对这种下降的解释存在争议)。简要数据总结,参见S.Pinker,The Better Angels of Our Nature:The Decline of Violence in History and Its Causes,Allen Lane,2011;B.Russett,Grasping the Democratic Peace,Princeton University Press,1993。
[46]B.Jahn,Liberal Internationalism:Theory,History,Practice,Palgrave Macmillan,2013.
[47]B.G.Garth,J.Sterling,From Legal Realism to Law and Society:Reshaping Law for the Last States of the Social Activist State(Sociolegal Scholarship),Law&Society Review,1998,Vol.32.塔马纳哈看到了法律社会法律研究的许多历史先例,参见B.Z.Tamanaha,A Realistic Theory of Law,Cambridge University Press,2017。但正如加思和斯特林所解释的那样,法律和社会运动的方向不仅仅是社会—法律。
[48]H.Bull,The Anarchical Society:A Study of Order in World Politic,Columbia University Press,1977;H.Bull,A.Watson,The Ex pansion of International Society,Oxford University Press,1984;C.Reus-Smit,The Constitutional Structure of International Society and the Nature of Fundamental Institutions,International Organization,1997,Vol.51.
[49]这个想法直接来自康德。当国际关系学者发现民主国家之间不会相互打仗时,康德的理论获得了新的力量,这一发现已被证明是非常重要的。这一发现引发了广泛的理论研究,试图解释这一强大的社会科学发现。参见M.Doyle,Liberalism and World Politics,American Political Science Review,1986,Vol.80;(Doyle,supra note 51);A.-M.Slaughter,International Law in a World of Liberal States,European Journal of International Law,1995,Vol.6。
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[52]T.C.Halliday,G.C.Shaffer,Transnational Legal Orders,Cambridge University Press,2015,p.3.Halliday和Shaffer来自法律和社会传统,但TLO方法在考虑这一更广泛的行为者方面并不是唯一的,这种方法让人想起McDougal和Laswell研究国际法的方法,以及Koh的跨国法律程序。参见M.S.McDougal,H.D.Lasswell,J.C.Miller,The Interpretation of Agreements and World Public Order;Principles of Content and Procedure,Brill Academic Pub,1967;M.S.McDougal,W.M.Reisman,B.H.Weston,Toward World Order and Human Dignity:Essays in Honor of Myres S.Mcdougal,Free Press,1976;H.H.Koh,Why Do Nations Obey International Law?,Yale Law Journal,1997,Vol.106;H.H.Koh,Transnational Legal Process,Nebraska Law Review,1996,Vol.75。
[53]T.Tyler,Why People Obey the Law,Princeton University Press,2006.
[54]O.Hathaway,S.J.Shapiro,Outcasting:Enforcement in Domestic and International Law,Yale Law Journal,2011,Vol.121.提出类似论点的作者有R.Goodman,D.Jinks,How to Influence States:Socialization and International Human Rights Law,Duke Law Journal,2004,Vol.54;R.Goodman,D.Jinks,Social Mechanisms to Promote International Human Rights:Complementary or Contradictory?in The Persistent Power of Human Rights:From Committment to Compliance,edited by T.Risse,S.Ropp and K.Sikkink(eds.),2013,p.103;B.Simmons,Mobilizing for Human Rights:International Law in Domestic Politics,Cambridge University Press,2009。
[55]K.J.Alter,The New Terrain of International Law:Courts,Politics,Rights,Princeton University Press,2014,p.42.
[56]Y.Ōnuma,International Law in a Transcivilizational World,Cambridge University Press,2017,p.8.
[57]更多参见The Performance of Africa's International Courts,edited by J.Gathii(ed.),Oxford University Press,2020。
[58]这篇文献解释了我们的发现:K.J.Alte,L.R.Helfer,M.R.Madsen,International Court Authority,Oxford University Press,2018,p.435。
[59]G.Shaffer,J.Nedumpara,A.Sinha,State Transformation and the Role of Lawyers:The WTO,India,and Transnational Legal Ordering,Law&Society Review,2015,Vol.49.
[60]Y.Dezalay,B.G.Garth,Global Prescriptions:The Production,Exportation,and Importation of a New Legal Orthodoxy,The University of Michigan Press,2002;Y.Dezalay,B.G.Garth,The Internationalization of Palace Wars:Lawyers,Economists,and the Contest to Transform Latin American States,The University of Chicago Press,2002;M.R.Madsen,The Challenging Authority of the European Court of Human Rights:From Cold War Legal Diplomacy to the Brighton Declaration and Backlash,Law and Contemporary Problems,2016,Vol.79.
[61]系统理论认为系统不仅仅是其各部分的总和。系统实体的一个例子是市场中存在集群异质性(例如,内部可定义的群体),以及不同类型的人进行互动和协作。市场作为一个复合实体存在,但市场有其自身的动力学和逻辑,因此市场结果不是市场空间中行动者偏好的简单总和。市场结果也不是行为的总和,因为市场的规则和条款是由各种社会、法律和经济力量构成的——国家法律、全球法律、全球金融等。今天,没有一组单一的行动者控制全球市场。国际法也是如此。
[62]马克·马佐尔(Mark Mazower)的精彩著作探讨了不同时期的全球助我们了解美国国际秩序与其他视角之间的差异。参见M.Mazower,G World:The History of an Idea,Penguin Books,2013。治理理念,帮overning the
[63]这一变化解释了转向考察权威和合法性如何影响国际关系的原因。参见D.A.Lake,Rightful Rules:Authorit,A Theory of Global Governance,Oxford University Press,2018。
[64]H.Bull,The Anarchical Society:A Study of Order in World Politics,Columbia University Press,1977;H.Bull,A.Watson,The Expansion of International Society,Oxford University Press,1984.
[65]我相信有一些共同的核心价值观,这个想法是在“人类共性”的概念下讨论的。参见C.Antweiler,Our Common Denominator:Human Universals Revisited(translated by D.Kerns),Berghahn Books,2016;D.E.Brown,Human Universals,Temple University Press,1991。
[66]这是汤姆·泰勒(Tom Tyler)考察的问题。参见T.Tyler,Why People Obey the Law,Princeton University Press,2006;T.Tyler,Psychology and Institutional Design,Review of Law and Economics,2008,Vol.4;T.R.Tyler,J.Jackson,Popular Legitimacy and the Exercise of Legal Authority:Motivating Compliance,Cooperation,and Engagement,Psychology,Public Policy,and Law,2014,Vol.20。
[67]M.Koskenniemi,The Gentle Civilizer of Nations:The Rise and Fall of International Law,1870-1960,Cambridge University Press,2001;A.Becker Lorca,Mestizo International Law:A Global Intellectual History 1842-1933,Cambridge University Press,2014;M.R.Madsen,Unpacking Legal Network Power:The Structural Construction of Transnational Legal Expert Networks,in Networked Governance,Transnational Business and the Law,edited by M.Fenwick,S.Van Uytsel and S.Wrbka(eds.),Springer,2013,p.39;M.R.Madsen,A.Vauchez,European Constitutionalism at the Cradle.Law and Lawyers in the Construction of a European Political Order(1920-1960),in Lawyers'Circles Lawyers and European Legal Integration,edited by A.Jettinghoff and H.Schepel(eds.),Elsevier,2005;Y.Dezalay,M.R.Madsen,The Force of Law and Lawyers:Pierre Bourdieu and the Reflexive Sociology of Law,Annual Review of Law and Social Science,2012,Vol.8.
[68]安西娅·罗伯茨(Anthea Roberts)注意到世界各地教授和讨论国际法的方式有多么不同,她提出我们是否可以假定国际法实际上是国际性的。参见A.Roberts,Is International Law International?,Oxford University Press,2017。
[69]这是约翰·鲁杰(John Ruggie)的一句话,参见J.Ruggie,What Makes the World Hang Together?Neo-Utilitarianism and the Social Constructivist Challenge,International Organization,1998,Vol.52。
[70]参见R.Inglehart,P.Norris,Trump and the Populist Authoritarian Parties:The Silent Revolution in Reverse,Perspectives on Politic s,2017,Vol.15。
[71]J.Ruggie,International Regimes,Transactions and Change:Embedded Liberalism in the Postwar Economic Order,International Organization,1982,Vol.36;J.Ruggie,Multilateralism:The Anatomy of an Institution,in Multilateralism Matters:the Theory and Praxis of an Institutional Form,edited by J.Ruggie(ed.),Columbia University Press,1993,pp.561,586.
[72]J.Delisle,China's Approach to International Law:A Historical Perspective,American Society of International Law,2000,Vol.94;A.Hurrell,Beyond the BRICs:Power,Pluralism,and the Future of Global Order,Ethics&International Affairs,2018,Vol.32;S.Tang,China and the Future International Order(s),Ethics&International Affairs,2018,Vol.32.
[73]约翰·伊肯伯里(John Ikenberry)有说服力地提出了这一想法。参见G.J.Ikenberry,Why the Liberal World Order Will Survive,Ethics&International Affairs,2018,Vol.32。
[74]K.J.Alter,S.Meunier,The Politics of International Regime Complexity,Perspective on Politics,2019,Vol.7;K.J.Alter,K.Raustiala,The Rise of International Regime Complexity,The Annual Review of Law and Social Science,2018,Vol.14.
[75]这个短语指的是盲人和大象的寓言,一群盲人试图通过检查一条腿、一根象牙、一只耳朵或一条尾巴来理解大象。在这个寓言中,一位仁慈的先知解释说,每个盲人的真理都是正确的,但它只涉及一部分而不是全部。