从制度到认知共识：全球治理困境的内在根基

中文摘要

全球治理的制度供给日益密集，但"制度空转"、选择性履约与治理赤字并未因此缓解。本文在制度主义与建构主义国际关系理论的观照下提出：制度是共同体建设的外在结构，认知共识是其内在根基。认知共识指不同国家、文明、群体与个体在承认差异的前提下，基于理性分析与反思判断，对人类共同处境、跨国风险、整体利益与集体责任形成的稳定判断体系；它与价值共识、意识形态认同、文化认同、认知共同体和规范内化相区别，可经由共同风险感知、利益关联认知、责任承担意愿与制度遵守稳定性四个维度加以操作化。文章论证了"认知引领制度创新、制度巩固认知内化"的双向循环，剖析了制度共识失败的三重深层原因（权力不对称、激励扭曲、认知碎片化），并在与理性选择、历史与社会学制度主义及建构主义国际关系理论的对话中确立学理基础。本文把全球治理研究从"制度设计"推进到"认知生成"，为理解制度有效运行的微观条件提供了新框架。

Abstract

Global governance has witnessed ever denser institutional supply, yet institutional idling, selective compliance, and governance deficits have not been alleviated. Situated within the dual perspective of institutionalism and constructivist International Relations theory, this paper argues that institutions constitute the external structure of community building, whereas cognitive consensus constitutes its inner foundation. Cognitive consensus refers to a stable and sustainable system of judgments formed by states, civilizations, groups, and individuals, while acknowledging their differences, on the basis of rational analysis and reflective judgment, regarding humanity's shared situation, transnational risks, overall interests, and collective responsibilities. It is distinct from value consensus, ideological identification, cultural identity, epistemic communities, and norm internalization, and can be operationalized along four dimensions: shared perception of common risks, perception of interlinked interests, willingness to assume responsibility, and stability of compliance with institutions. The paper elaborates the two-way cycle in which cognition leads institutional innovation and institutions consolidate cognitive internalization, analyzes three deep causes of failed institutional consensus (power asymmetry, incentive distortion, and cognitive fragmentation), and establishes its theoretical foundations in dialogue with rational-choice, historical, and sociological institutionalism as well as constructivist IR theory. By advancing the study of global governance from institutional design to cognitive generation, the paper offers a new analytical framework for understanding the micro-conditions of effective institutional operation.

关键词：制度供给；制度空转；认知共识；全球治理；国际关系

Keywords: institutional supply; institutional idling; cognitive consensus; global governance; international relations