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朝鲜政权更替和政局动荡风险

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独裁政权的过渡常常伴随着风险,但是朝鲜明显已经有惊无险地完成了政权过渡。金正恩这位年轻的领袖在父亲金正日2011年12月去世之后接班,其间没有遭到来自军方的阻力并且还得到中国的明确支持,也没有任何迹象表明这位年轻领袖自身难以胜任。朝鲜并没有依赖家族元老或部队将军,而是仍旧坚持以领袖为核心,在庆祝朝鲜开国领袖金日成百年诞辰之际展现出了稳定团结的局面。虽然这种国家局面看似真实,但是没有任何迹象表明新领袖正在或是会倾向于采取措施改善朝鲜国民大众的生活或者减少以平壤为中心的区域摩擦。

金日成花费了大量时间精力确保他和儿子金正日政权交接的顺利进行。在金正日1947年被指定为继承人之后,朝鲜政权有20年时间进行准备。相比之下,第二次政权更替则显得仓促,很多分析家甚至认为接任会失败。然而,金正日虽然没有像父亲一样对继任投予很多关注,但多数朝鲜观察家都没意识到其实在金正日去世前十年政权内部就开始了准备工作。很多人猜测一群多半来自军队的权高位重的人物可能会插手:要么政变罢免金正恩,要么将其作为傀儡实施幕后操纵。

这种猜测多半基于错误的推断和对朝鲜意识形态和政治体系的错误理解。其实只有极少数人物有能力密谋并实施政变推翻金氏家族。很多分析家简单地假定老一辈执政精英和金正恩利益相左,但是除了2012年7月15日曾担任过朝鲜人民军总参谋长的军委副委员长李英浩被解职之外,没有明显迹象证明这一点。党内和军方的老一辈官员的利益可以说基本是完全一致的。

由于金正恩的年轻和缺乏经验,常有观点认为有必要由元老代为执政以待其能力成熟可以胜任。有些人认为金正恩无法运用父亲的强大势力,所以权力在不可避免的分散过程中会被转移下放。关键的问题是朝鲜政权是否会沿续个人独裁还是会采取权力分散的领导机制,因为这会影响到一些重要的决策,包括经济改革的可能性以及发展或放弃核武器。

尽管有诸多猜测,但有几个因素证明朝鲜仍在延续权力高度集中的个人独裁统制。朝鲜的长期不安全感,指令性经济,强大的民主集中制传统,复杂的政治体制结构,以及发达的本土意识形态,这一切都会强化对金氏家族的个人崇拜和权力的高度集中。结果显而易见是金正恩的顺利继任,而近期改革的希望极为渺茫。

虽然继任已经完成,但是新领导班子处境维艰。经济贫困形成了对朝鲜政权最严重的长期威胁。简单的改革可以改善资源配置,提高效率和生产力,但这需要推翻已经存在数十年并且奠定了金正恩合法统治地位的政治体制和意识形态。如果想要继续掌权,推翻祖父和父亲的政治遗产肯定不是明智之举。

金正恩年轻,相对有性格魅力,这说明他可以掌权数十年。但是如果改革失败,朝鲜将在国民安全和粮食安全方面付出高昂的代价。朝鲜在国际社会中的持续孤立和“军事第一”的导向使朝鲜政权倾向于继续维持敌对的态度。虽然朝鲜缺乏资源与敌对国家进行常规军备竞赛,然而它却愈发需要依赖包括核武器在内的非对称能力来确保国家安全。

这意味着朝鲜政局的不确定将持续一段时间,而此时中国、俄国和美国这些关键国家又恰逢领导换届和选举。虽然朝鲜民主主义人民共和国(DPRK)的政府似乎感到了阻止其进行新一轮核试验的国际压力。但是随着其他国家转而愈加关注国内政治,朝鲜可能感觉测试更多远程导弹或其它核装置的风险不大。如果朝鲜决心这么做,阻止其行动的可能性几乎为零。唯一可行的策略就是强大有力的威慑和遏制。

金正恩领导下的朝鲜是稳定的。朝鲜目前没有反对权力交接的任何迹象,而改革却阻力重重。然而,朝鲜现行的政治体制不会永远持续下去,目前又很难展望朝鲜的逐步转型以及与韩国的和平统一。于此同时,固守现状不会给百万朝鲜人民带来繁荣,而只会带来进一步的落后和压迫。

首尔/北京/布鲁塞尔,2012年7月25日

Executive Summary

Transitions often present risks to authoritarian regimes, but the succession in North Korea has apparently passed with few problems. With no opposition from the military and China’s clear support, there are no signs to suggest that Kim Jŏng-ŭn, the young leader who replaced his father, Kim Jong-il, following his death in December 2011, is anything but in charge in his own right. Far from creating a regency of older family members or generals, the North Korean system has maintained its focus on a single leader and projected an image of stability and unity as it celebrates the centenary of the birth of its founder, Kim Il-sung. While that image appears to be accurate, there is nothing to suggest that the new leader is or will become inclined to take measures that would either improve the lot of the country’s citizens or reduce the regional frictions that Pyongyang is at the centre of.

Kim Il-sung invested considerable time and effort to ensure the transfer of power to his son, Kim Jong-il. The regime had two decades to prepare after Kim was anointed successor in 1974. In contrast, the second dynastic succession appeared to be rushed, leading many analysts to believe it would fail. However, though Kim Jong-il did not devote as much attention to succession as his father had, most North Korea watchers failed to recognise that the regime began internal preparations about a decade before his death. Many surmised that a committee of powerful figures, probably from the military, would step in and either oust Kim Jŏng-ŭn in a coup d’état or prop him up as a figurehead and rule behind the scenes.

Most of this analysis was based on flawed assumptions and misunderstandings of North Korean ideology and political institutions. Only a small number of individuals would have the capacity to conspire and execute a coup against the Kim family. Many analysts simply assumed the interests of the senior ruling elite and Kim Jŏng-ŭn diverge, but there are no clear signs that they do, despite the dismissal of Vice Marshal Ri Yŏng-ho, the former chief of the General Staff, on 15 July 2012. Arguably, the interests of senior party and military officials remain almost perfectly aligned.

Kim’s youth and inexperience often have been cited as reasons necessitating a regency of senior officials to rule until he is up to the task. Some have argued that he could not wield the extraordinary powers of his father, and therefore power would devolve in an unavoidable decentralisation process. Whether the regime continues as a personalised dictatorship or assumes a decentralised leadership structure matters, because it could affect several important policy decisions, including the possibility of economic reform and the development or abandonment of nuclear weapons.

Despite widespread speculation, several factors support the continuation of an extremely concentrated, one-man dictatorship. Chronic insecurity, a command economy, a strong tradition of democratic centralism, a complex structure of political institutions and a well-developed indigenous ideology all reinforce the Kim family cult and concentration of power. The apparent result is a smooth succession with little prospect for reform in the near future.

Although the succession is complete, the leadership faces difficult dilemmas. The poor economy remains the greatest long-term threat to the regime. Simple reforms could improve resource allocation, efficiency and productivity but would require repudiation of a decades-old system and ideology that form the foundation of Kim Jŏng-ŭn’s political legitimacy. Renouncing his grandfather’s and father’s legacies would not be rational if he wishes to remain in power.

Kim’s youth and relatively charismatic personality suggest he could be in power for decades. But if the regime fails to reform, the costs in terms of human insecurity and food insecurity will remain high. Continued isolation and “military first” orientation would predispose the regime to maintain its confrontational posture. Without the resources to sustain a conventional arms race with its adversaries, however, it would need increasingly to rely upon asymmetric capabilities, including nuclear weapons, for its security.

This indicates a period of uncertainty just as several key countries – China, Russia and the U.S. – face leadership changes or elections. The Democratic People’s Republic of Korea (DPRK) leadership seems to be feeling international pressure aimed at dissuading it from another nuclear test. However, as others increasingly focus on domestic politics, Pyongyang might feel there is little risk in testing more long-range missiles or another nuclear device. If it is strongly motivated to do so, there is probably little that could dissuade it. The only realistic strategy would be robust deterrence and containment.

North Korea under Kim Jŏng-ŭn is stable. There is no sign of any opposition to the dynastic succession, and the barriers to change are tremendous. However, the system is not sustainable forever, and it is difficult to imagine a gradual transformation and peaceful integration with South Korea. Meanwhile, reinforcing the status quo will not bring prosperity, only more backwardness and oppression for millions of North Koreans.

Seoul/Beijing/Brussels, 25 July 2012

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