卢凌宇 王潇茹

内容提要：联合国是维和行动主要的组织者和实施者。冷战结束以来，西方主导的联合国维和的目标由维护和平逐渐转变为战后重建，并开始承担复杂的国家建构任务。一方面，维和给目标国带来了和平，维和人员的日常开支对目标国经济的恢复和发展作出了一定贡献。但是维和任务的速成性和维和经济造成的收入两极分化等因素，都对目标国的经济发展产生了消极影响。另一方面，维和人员的税收豁免权、维和人员与其他社会群体的收入差距以及由此导致的政府部门人才流失和腐败、平行行政部门的出现等都严重削弱了政府对社会的渗透和控制能力。不仅如此，维和人员税收豁免和收入两极分化显著地降低了民众的纳税意愿 ，使得逃税和抗税盛行，提高了征税难度。维和部队对于目标国政府军向民众单方面使用暴力采取的不干涉态度，也强化了社会抗税心理。所以，西方主导的联合国维和行动既缩小了目标国的税基，降低了官僚机构的效能，又打击了民众的纳税意愿，显著地降低了目标国的财政汲取能力。本文对 1980——2015 年 126 个后殖民国家的大样本统计分析表明，无论是短期还是长期，西方主导的联合国维和行动和后殖民目标国的汲取能力都呈显著的负相关关系。

关键词：联合国维和行动  后殖民国家  国家建构  国家能力  汲取能力

Abstract：UN peacekeeping operations (UNPKOs) aim to help conflict-stricken countries create conditions for lasting peace. Among other actors, the United Nations has been playing a principal role in organizing and implementing UNPKOs. Since the end of the Cold War, the goals of UN peacekeeping have gradually shifted from maintaining peace to post-war reconstruction. Accordingly, UNPKOs began to engage in, under certain conditions, complex state-building tasks in those war-torn countries. On the one hand, UNPKOs have brought peace and security to target countries, and their daily expenditure has made certain contributions to local economic recovery and development. However, the economic development of target countries may get hurt by negative factors like the short-term nature of UNPKOs and the polarization of income caused by the peacekeeping economy. On the other hand, target countries’ abilities to infiltrate into and exercise control over society have been severely impaired by the tax exemption to peacekeepers, the widening income gap between peacekeepers and other social groups and the ensuing brain-drain and corruption in governmental agencies, as well as the emergence of parallel administrative authorities. Tax exemptions and income polarization have significantly reduced the willingness of citizens to pay taxes, thus making tax evasion and tax resistance prevalent, and tax collection more difficult. What is worse, the anti-taxation attitude has been intensified by the non-interference policy adopted by UN peacekeepers toward the use of violence against civilians by the government forces of target countries. Therefore, UNPKOs have not only decreased the tax base and reduced the efficiency of bureaucracies in target countries, but also dampened the willingness of their people to pay taxes, which collectively undermine these countries’ financial extractive capacities. The statistical analysis of a large sample of 126 post-colonial countries from 1980 to 2015 indicates that UNPKOs, be they in the short term or in the long run, bear significant and negative correlations with the extractive capacities of post-colonial target countries.

Keywords： UN peacekeeping operations, post-colonial countries, state building,

national capabilities, extractive capacities

本文发表于《国际安全研究》2023年第1期