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系統識別號 U0002-0207201206354700
中文論文名稱 歐洲聯盟授權立法委員會(Comitology)之研究
英文論文名稱 The Study of the Comitology in the European Union
校院名稱 淡江大學
系所名稱(中) 歐洲研究所博士班
系所名稱(英) Graduate Institute of European Studies
學年度 100
學期 2
出版年 101
研究生中文姓名 蔡裕鎮
研究生英文姓名 Yu-Cheng Tsai
學號 894030021
學位類別 博士
語文別 中文
口試日期 2012-06-11
論文頁數 207頁
口試委員 指導教授-鄒忠科
委員-羅致政
委員-郭武平
委員-張福昌
委員-郭秋慶
中文關鍵字 歐洲統合  委員會  授權立法委員會  理性選擇制度主義  制度變遷 
英文關鍵字 European Integration  Committees  Comitology  Institutional Change  Rational Choice Institutionalism 
學科別分類
中文摘要 在歐盟政策進程中,授權立法委員會屬於執行階段的制度工具。由執委會、會員國代表與專家組成,旨在調和歐盟與會員國法律以執行歐盟政策。根據歐盟官方統計,當前歐盟法約有八成是由授權立法委員會訂定,僅有二成是由部長理事會、歐洲議會與其他歐盟機構頒布,顯示授權立法委員會在歐洲統合過程中重要地位。然而授權立法委員會自1960年代創設以降,相關行政與立法權的爭議就不曾間斷過。雖然部長理事會於1987年制定第一個授權立法委員會決定,並相繼於1999與2006年修定決定內容,但爭議仍未平息。然研究發現,在授權立法委員會制度中,歐盟行政與立法權已逐漸朝聯邦主義方向發展,授權立法委員會甚至擁有發展歐盟行政程序法的條件。
本文採用理性選擇制度主義,引用授權-代理途徑、交易成本途徑與分配性協商途徑,對授權立法委員會源起、創設、發展與現況進行分析。研究發現授權立法委員會制度變遷大多起因於外生因素,包含價值觀念改變等治理正當性等因素。而其變遷路徑則以正式制度到非正式制度,再從非正式制度到正式制度變革模式呈現,此模式亦可提供授權立法委員會未來變遷的預測架構。除此之外,研究亦發現會員國於授權立法委員會之權力正在弱化,相對地,執委會則擁有越來越多的行政權。最後,在授權立法委員會制度改革過程中,歐洲議會則逐漸獲得監督權。然而歐洲議會在執行法中未獲監督權則是一大缺失,研究認為次回合授權立法委員會改革中應賦予歐洲議會監督權。以提升歐盟民主治理,進而符合行政機構課責性之制度設計。
英文摘要 In the policy process of the European Union (henceafter EU), the Comitology is a key institution in implementing phase. The Comitology composed of the Commission, representatives of Member States, and experts, aiming for coordinating laws of EU and Member States. According to EU-Lex and The EU’s official online register of EU law, the Comitology has issued almost 80 per cent of EU legislation up to today. It reveals that how important the Comitology is in the European integration.However, the discretion of the Commission in the Comitology rule-making has become the controversial issue since the establishment of the Comitology in 1960s. Although the Council enacted the Comitology Decision in 1987, and altered it in 1999 and in 2006, the controversy has not yet been suppressed so far. Nevertheless, this study argues that the polity of th EU turns towards federation progressively.In the context of the development, the Comitology may be even a pattern for initiating a administrative procedure law.
This study used Rational Choice Institutionalism, comprising principal-agent, transaction costs and distrubitional bargaining theory, as research approaches to analyze the origin, development and current situation of the Comitology. The main finding is that factors bring to the institutional change are exogenous.They includes values, governance legitimacy… etc. And the path of institutional change can be captured by informal-formal-informal-formal rule way. Besides, the power of Member States in the Comitology is weakening. On the contrary, the European Parliament has got more authority to supervise in adopting delegated acts, but has no say in adopting implementing acts today. This study cosiders that in order to reinforce legitimacy and the accountability of EU executive branch, the European Parliament should be confered more right in the next round of the Comitology Decision amendment.
論文目次 目 次

第一章 緒論 1
第一節 研究動機與目的 1
壹、研究動機 1
貮、研究目的 6
第二節 研究方法 7
第三節 文獻評析 9
第四節 研究範圍與限制 18
壹、研究範圍 18
貮、研究限制 19
第五節 研究架構與章節安排 20
壹、研究架構 20
貮、章節安排 22

第二章 理論基礎:理性選擇制度主義的分析途徑 25
第一節 制度與理性選擇制度主義 25
壹、制度定義 25
貮、理性選擇制度主義的發展與應用 28
第二節 授權-代理途徑 30
第三節 交易成本途徑 36
第四節 分配性協商途徑 43
壹、制度變遷的外生因素 44
貮、制度變遷的內生因素 47

第三章 授權立法委員會源起與創設 51
第一節 授權立法委員會制度之沿革 51
壹、推動共同市場-執委會的困境 51
貮、打造授權立法委員會雛型-執委會與理事會之角力戰 54
參、確立授權立法委員會制度模式 56
第二節 執委會行政權之授予與監督 59
壹、授權立法委員會決議方式之爭議 59
貮、空椅危機-執委會擴權初嘗敗績 60
參、盧森堡妥協結果-執委會的被動角色 62
肆、成立關稅同盟-授權立法委員會模式確立 63
伍、對執委會更嚴格之監督 66
第三節 其他共同體機構與授權立法制度之發展 68
壹、歐洲議會 68
貮、歐洲法院 71
一、確定授權立法存在之合法性 71
二、一般立法與授權立法之區分 72
三、法院對執委會行政權授予與制約之解釋 74

第四章 歐盟三大機構在授權立法委員會中的權力競逐 77
第一節 制度改革浪潮 77
壹、費雷斯寇報告 77
貮、三智者報告 78
參、杜基委員會報告 80
第二節 授權立法委員會制度化 81
壹、完成內部市場白皮書 81
貮、單一歐洲法 83
一、偷渡的機構改革 83
二、改革授權立法委員會運作程序 85
參、部長理事會的「第一個授權立法委員會決定」 88
一、執委會提案 88
二、部長理事會之回應-「授權立法委員會決定」 90
三、執委會於三種授權立法委員會程序下之權力分析 93
第三節 三大機構在授權立法委員會中合作模式發展 94
壹、執委會與歐洲議會聯手改革:普蘭-狄洛協議 95
貮、政府間會議-三大機構的角力賽 97
一、執委會之報告 97
二、歐洲聯盟條約之影響 99
參、妥協辦法-三大機構的和解 100
肆、桑蘭-威廉遜協議 102
第四節 部長理事會的「第二個授權立法委員會決定」 104
壹、1996年政府間會議 104
貮、執委會提案 105
參、三大機構角力戰再起 108
肆、通過「第二個授權立法委員會決定」 110
一、授權立法委員會程序之適用標準 110
二、授權立法委員會程序之簡化 112
三、歐洲議會之參與 115
四、其它重要改革 116

第五章 歐盟行政、立法與監督三權分立確立 119
第一節 2000年代初期授權立法委員會相關改革行動 119
壹、蘭費里希程序建立的多層級制度 119
貮、執委會治理白皮書-分權與善治 124
第二節 從歐洲憲法草案到部長理事會的「第三個授權立法委員會決定」 126
壹、歐洲未來大會 126
貮、執委會提案 130
參、歐洲議會之回應 132
肆、歐洲憲法條約 134
伍、「第三個授權立法委員會決定」 136
第三節 里斯本條約下授權立法新世紀 142
壹、里斯本條約建立的新立法型態 142
一、立法性法案 143
二、授權法 144
三、執行法 145
貮、有關授權立法之新規定 146
一、授權法運作規範 146
二、執行法運作規範(新授權立法委員會規則) 147
1、諮詢程序 149
2、審查程序 150

第六章 評估與展望 155
第一節 競爭與合作 155
壹、授權立法委員會回顧 155
貮、歐盟與會員國間的關係-垂直層面 157
參、歐盟機構間的關係-水平層面 161
肆、行政權與立法權之平衡—檢驗授權立法委員會治理之正當性164
第二節 邁向歐盟式的行政程序法 166
壹、資訊交流與公開 167
貮、民主與法治原則 169
參、監督 171
肆、展望 172
一、授權程序之合理安排 173
二、行政課責性之落實 175

第七章 結論與建議 177
第一節 研究發現 177
壹、授權立法委員會制度之非線性發展 177
貮、會員國於授權立法委員會內之權力弱化論爭 179
參、歐洲議會於授權立法委員會改革中逐漸獲得監督權 181
第二節 研究建議 182
壹、對授權立法委員會的研究應以科際整合角度視之 182
貮、授權立法議題對我國政府之啓示 183

參考文獻 185

圖表目次

圖1-1 研究架構圖 20
圖5-1 歐盟金融市場統合運作架構圖 122
圖5-2 監督法規委員會程序運作圖 138
圖5-3 里斯本條約新法案類型 143
圖5-4 里斯本條約下授權法運作圖 148
圖5-5 里斯本條約下諮詢程序運作圖 149
圖5-6 里斯本條約下審查程序運作圖 151

表4-1 第一與第二個授權立法委員會決定比較表 114
表5-1 第一、第二與第三個授權立法委員會決定比較表140
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(一)官方文獻
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(二)書籍與期刊論文
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