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系統識別號 U0002-1807200909102800
中文論文名稱 歐洲聯盟與反大規模毀滅性武器擴散:戰略、政策與貢獻
英文論文名稱 The European Union and WMD Non-Proliferation: Strategy, Policy and Contribution
校院名稱 淡江大學
系所名稱(中) 歐洲研究所碩士班
系所名稱(英) Graduate Institute of European Studies
學年度 97
學期 2
出版年 98
研究生中文姓名 李蘇薇
研究生英文姓名 Su-Wei Lee
學號 695290303
學位類別 碩士
語文別 中文
口試日期 2009-06-24
論文頁數 176頁
口試委員 指導教授-張福昌
委員-鄒忠科
委員-吳萬寶
中文關鍵字 大規模毀滅性武器  歐盟反大規模毀滅性武器擴散戰略  歐盟反擴散政策 
英文關鍵字 WMD  EU Strategy against WMD Proliferation  EU Non-Proliferation Policy 
學科別分類 學科別社會科學區域研究
中文摘要 大規模毀滅性武器(WMD)具有強大的殺傷力,故WMD的擴散是國際安全的一大威脅。911事件後,國際對WMD的擴散更加關注。歐盟身為全球行為者,有義務維持世界的和平與穩定,因此亦重視WMD擴散的議題。2003年歐盟發佈反WMD擴散戰略,把WMD問題列為共同外交與安全政策中優先處理的議題,並具體闡述對抗WMD擴散的政治目標與執行工具。本論文將以制度主義的視野,從以下四個方面來檢視歐盟反WMD擴散的戰略、政策與貢獻:
首先,國際建制是解決擴散危機的基本工具,國家行為受到國際建制的規範。透過與其他國際組織的合作,有利於國際建制的維護與強化;其次,國際管理的制度安排是實踐國際建制的工具,其中出口管制是預防擴散的關鍵之一,歐盟相當尊重國際管理制度的規範。然而,歐盟特殊的結構,使歐盟在實踐國際管理制度時的權威性減弱,尤其是在軍民兩用與武器出口方面;另外,合作是制度存在的要素,行為者透過合作加強國際制度的發展。而且,欲有效解決擴散問題,與第三國合作是有必要的。美國身為國際制度的主導者,故與美國合作特別重要。
最後,除了加強國際制度與國際組織之外,歐盟也注重實際擴散危機的處理。綜合各種因素之考量,俄羅斯與伊朗的擴散危機為歐盟優先處理的對象之二。後冷戰時期,俄羅斯無法妥善地管理龐大的WMD庫存,導致國際社會對這些武器的安全產生擔憂。近年來,伊朗核武問題使國際擴散管理機制面臨考驗。伊朗隱瞞鈾濃縮活動18年之久,以及伊朗總統阿赫馬迪內賈德強硬的態度,很難不把伊朗與核武聯想在一起。本論文欲藉由這兩個案例,分析歐盟在國際擴散議題中所扮演的角色與功能。
本論文發現,歐盟在國際WMD擴散管理中,相當重視國際制度的維持,鼓吹多邊主義,以強化國際安全發展。歐盟扮演著輔助的角色,主要是對相關國家與國際組織提供經濟與技術的支持。然而,歐盟各會員國認知的差異,使歐盟在反擴散行動受到限制,尤其是核武問題。未來,歐盟若能在經濟與貿易的優勢下,再輔以統合的WMD政策,則可對WMD擴散議題發揮更大的影響力。
英文摘要 Weapons of Mass Destruction (WMD) could cause huge devastation and bring death to hundreds of thousands of people, and is therefore one of the most dangerous threats to international security. In the post 9/11 era the international community is now even more focused than before on the issue of WMD proliferation. In 2003, the EU released a strategy on how to deal with proliferation, in which the EU describes its political objectives and instruments to manage this serious crisis. This thesis discusses the EU’s strategy through the theory of Institutionalism.
The international regime establishes the non-proliferation norm through means such as export control, which is one of the EU’s key ways to prevent proliferation. However, the EU as a special political entity weakens its authority in fields of export control of dual-use items and armament. As it is important for the existence of the non-proliferation regime in terms of collective efforts, the EU has to cooperate with third countries to stop the proliferation of WMD. Due to the leadership role of the USA in the international regime, close cooperation with the USA makes the EU’s action against proliferation of WMD more effective.
Russia and Iran are two of the EU’s most urgent issues. Russia lacks the ability to manage its current WMD arsenal due to financial and social problems. With an uranium enrichment programme that has been in existence for over 20 years, the Iran nuclear crisis also challenges the international non-proliferation regime. Considering these two cases, this thesis helps to understand the EU’s role and function in the international non-proliferation activities.
The EU holds that multilateralism is the best way of strengthening international security. In helping either individual countries or the international non-proliferation organization financially and technologically, the EU plays an important supporting role. However, the differing opinion among the EU’s member states on WMD, especially on nuclear proliferation, limits its ability to control proliferation. If the EU wants to be more influential and effective dealing with the WMD proliferation, it needs a more integrated WMD non-proliferation policy.
論文目次 第一章 緒論 1
第一節 研究動機與研究目的 1
一、 研究動機 1
二、 研究目的 3
第二節 問題意識與研究理論 4
一、 問題意識 4
二、 研究理論 14
第三節 研究範圍與研究限制 21
一、 研究範圍 21
二、 研究限制 22
第四節 文獻探討與研究架構 23
一、 文獻探討 23
二、 研究架構 31
第五節 概念界定 34
一、 WMD 34
二、 擴散與不(反)擴散 41
三、 軍民兩用 46
第二章 反擴散法規的探討:國際、歐盟會員國與歐盟 49
第一節 國際反擴散法規 49
一、 WMD反擴散建制 50
二、 國際管制機制 58
第二節 歐盟會員國反擴散法規 64
一、 英國 64
二、 法國 66
三、 德國 68
第三節 歐盟反擴散法規 70
一、 歐洲原子能共同體條約 70
二、 歐盟條約 71
第三章 歐盟反WMD擴散戰略 77
第一節 歐盟反WMD擴散戰略的建構 77
一、 歐盟反WMD擴散戰略的倡議 78
二、 歐盟反WMD擴散戰略的形成 80
第二節 歐盟反WMD擴散戰略的政治目標 82
一、 歐盟反WMD擴散戰略對擴散威脅的評估 82
二、 歐盟反WMD擴散戰略的內涵 86
第三節 歐盟反WMD擴散戰略的執行工具 88
一、 推展有效的多邊主義 89
二、 促進國際與區域環境的穩定 90
三、 加強與美國及其他重要夥伴的合作 92
四、 強化歐盟內部反擴散結構與決策機能 93
第四章 歐盟反擴散政策 97
第一節 歐盟反擴散政策的核心概念─多邊主義 97
一、 歐盟在反核子武器擴散的努力 98
二、 歐盟在反生物與化學武器擴散的努力 104
第二節 歐盟對WMD的控制─出口管制 106
一、 軍民兩用貨品出口管制 107
二、 歐盟武器出口行為準則 111
第三節 歐盟最重要的戰略伙伴─美國 115
一、 歐美反擴散政策的異同 115
二、 歐美的合作 118
第五章 歐盟對國際反擴散的貢獻 123
第一節 俄羅斯WMD議題 123
一、 俄羅斯WMD對歐盟的威脅 124
二、 歐盟與俄羅斯在WMD議題的合作的平臺 130
三、 歐盟針對俄羅斯WMD相關問題的協助計畫 135
第二節 伊朗WMD議題 139
一、 伊朗核子技術發展 139
二、 伊朗核武擴散的危機 141
三、 歐盟與伊朗協商發展 145
第三節 歐盟對國際反擴散的功能探討 152
一、 案例1:俄羅斯 152
二、 案例2:伊朗 155
第六章 結論 159
參考文獻 165

圖目錄
圖 1 1 2009年全球擴散情勢 8
圖 1 2 研究架構圖 32
圖 1 3 WMD的效益 43
圖 3 1 歐盟反WMD擴散戰略圖 81
圖 3 2 2005年飛彈擴散情勢 84
圖 3 3 歐盟反擴散政策決策程序圖 96
圖 4  歐美反擴散合作管道 120
圖 5 1 科拉半島庫爾斯克號潛艇意外示意圖 126
圖 5 2 俄羅斯WMD分佈圖 128
圖 5 3 歐盟協助俄羅斯解決WMD問題途徑 137
圖 5 4 伊朗核子設備分佈圖 142
圖 5 5 歐盟與伊朗協商過程 149
圖 5 6 1945-2010年俄羅斯核武力量 154

表目錄
表 1 1 WMD擴散途徑 5
表 1 2 核生化武器成本與效益 37
表 1 3 生物戰劑種類 38
表 1 4 化學戰劑種類 40
表 2 1 核不擴散條約結構圖 52
表 2 2 國際不擴散的制度安排 60
表 3 1 歐盟與重要夥伴就WMD的互動 92
表 3 2 歐盟負責WMD議題之權責單位 95
表 4 1 歐盟對IAEA的金援項目與受惠國 102
表 4 2 歐盟出口管制清單分類 109
表 4 3 比較法、德、英三國軍備出口管制年度報告體制 114
表 5 1 歐盟參與G8協助俄羅斯WMD問題主要合作項目 154
表 5 2 歐盟在俄羅斯與伊朗WMD問題之功能比較 157

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二、專書
(一) 外文
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Riedel, Philipp: Terrorismus und die Verwendung von Massenvernichtungswaffen, Bonn: Bouvier Verlag, 2007.
Roberts, Brad: Weapons Proliferation in the 1990s, Cambridge: MIT Press, 1995.
Rosenau, James N., et al. (eds.): Governance without Government: Order and Change in World Politics, Cambridge: Cambridge University Press, 1995.
Ruggie, John Gerard (ed.): Multilateralism Matters: The Theory and Praxis of an Institution Form, New York: Columbia University Press, 1993.
Russell, James A./Wirtz, James J.: Globalization and WMD Proliferation: Terrorism, Transnational Networks, and International Security, New York: Routledge, 2008.
Russell, James A.: Proliferation of Weapons of Mass Destruction in the Middle East: Directions and Policy Options in the New Century, New York: Palgrave Macmillan, 2006.
Shaker, Mohammed: The Nuclear Non-Proliferation Treaty: Origin and Implementation 1959-1979, London: Oceana Publications, 1980.
Stadt Osnabrück (ed.): Außenpolitik zwischen Krieg und Frieden: Osnabrücker Jahrbuch Frieden und Wissenschaft 11/04, Göttingen: V&R unipress, 2004.
Steinmo, Sven, et al.: Structuring Politics: Historical Institutionalism in Comparative Analysis, Cambridge: Cambridge University Press, 1992.
Wallace, Helen/Wallace, William: Policy-Making in the European Union, Oxford: Oxford University Press, 2000.
Wilkinson, Paul (ed.): Homeland Security in the UK: Future Preparedness for Terrorist Attack Since 9/11, New York: Routledge, 2007.
Young, Oran R.: International Cooperation: Building Regimes for Natural Resources and the Environment, Ithaca: Cornell University Press, 1989.
(二) 中文
林郁方等譯:國際關係,臺北:正中書局,1983。
徐同慶等:生物恐怖黑名單: 攔截致命的病菌攻擊,臺北:衛生署疾病管制局,2002。
徐錦棟譯:反導彈防禦和21世紀的武器,北京:東方,2004。
殷天爵:拒絕毀滅─大規模毀滅性武器預防與因應,臺北:時英,2005。
翁明賢: 新戰略論,臺北:五南,2007。
張明澍譯:國際政治,臺北:五南,1995。
張福昌:邁向「歐洲聯盟」之路,臺北:三民書局,2002。
陳麗娟:歐洲聯盟法精義,臺北:新學林,2006。
楊永明:國際安全與國際法─國際安全秩序規範與機制的建構與挑戰,臺北:元照,2003。
劉瑞華譯:制度、制度變遷與經濟成就,臺北:時報文化,1994。
鄭啟榮:全球視野下的歐盟共同外交和安全政策,北京:世界知識,2008。
鍾堅:爆心零時─兩岸邁向核武器歷程,臺北:麥田,2004。
三、期刊論文
(一) 外文
Allison, Graham T./Falkenrath, Richard A.: Kampf gegen die Nuklearverbreitung, in: Internationale Politik, Vol. 51, No. 1, 1996, pp. 11-18.
Alvarez-Verdugo, Milagros: Comparing U.S. and E.U. Strategies against Weapons of Mass Destruction: Some Legal Consequences, in: Annual Survey of International & Comparative Law,Vol. 11, 2005, pp. 119-140.
Blacksmith: The World’s Worst Polluted Places: The Top Ten of the Dirty Thirty, New York: Blacksmith Institute, September 2007, pp. 3-68.
Blacksmith: The World’s Worst Polluted Places: The Top Ten, New York: Blacksmith Institute, October 2006, pp. 3-57.
Bøhmer, Nils, et al.: The Arctic Nuclear Challenge, in: Bellona Report 3, June 2001, pp. 1-107.
Braun, Chaim/Chyba, Christopher (eds.): Proliferation Rings: New Challenges to the Nuclear Nonproliferation Regime, in: International Security, Vol. 29, No. 2, 2004, pp. 5-49.
Cirincione, Joseph: Speech: Proliferation Threat and Solutions, in: Notre Dame Journal of Law, Ethics & Public Policy, Vol. 19, No. 1, 2005, pp. 339-346.
Einhorn, Robert/Samore, Gary: Ending Russia’s Assistance to Iran’s Nuclear Bomb, in: Survival, Vol. 44, No. 2, 2002, pp. 51-70.
Feakes, Daniel: The European Union’s Role in CBW and Non-Proliferation, in: The CBW Conventions Bulletin, No. 44, June 1999, pp. 4-9.
Harnisch, Sebastian: Minilateral Cooperation and Transatlantic Coalition-Building: The E3/EU Iran Initiative, in: European Security, Vol. 16, No. 1, 2007, pp. 1-27.
Höhl, Kathrin, et al.: Die Rolle der Europäischen Union in der Abrüstung von russischen Massenvernichtungswaffen: Eine Bestandsaufnahme, in: HSFK-Report, 2002, pp. 1-47.
Lange, Sascha/Thränert, Oliver: The Future of the Ban on Biological Weapons, in: SWP Research Paper 09 (SWP in Berlin), October 2006, pp. 5-32.
Lindstrom, Gustav (ed.): Enforcing Non-Proliferation: The European Union and the 2006 BTWC Review Conference, in: Chaillot Papers 93 (EUISS in Paris), November 2006, pp. 1-133.
Lindstrom, Gustav/Schmitt, Burkard (eds.): Fighting Proliferation: European Perspectives, Chaillot Papers 66 (EUISS in Paris), December 2003, pp. 1-105.
Mandelbaum, Michael: Lessons of the Next Nuclear War, in: Foreign Affairs, Vol. 74, No. 2, March/April, 1995, pp. 22-37.
Martin, Curtis H.: “Good Cop/Bad Cop” as a Model for Nonproliferation Diplomacy towards North Korea and Iran, in: Nonproliferation Review, Vol. 14, No. 1, March 2007, pp. 61-88.
Michel, Quentin: The European Union Dual-use Export Control, in: ESARDA Bulletin, No. 40, December 2008, pp. 41-45.
Milner, Helen: International Theories of Cooperation among Nations: Strength and Weaknesses, in: World Politics, Vol. 44, No. 3, Johns Hopkins University Press, 1992, pp. 466-496.
Moravcsik, Andrew: Taking Preferences Seriously: A Liberal Theory of Internal Politics, in: International Organization, Vol. 51, No. 4, 1997, pp. 513-553.
Müller, Harald: Nukleare Krisen und transatlantischer Dissens: Amerikanische und Europäische Antworten auf aktuelle Probleme der Weiterverbreitung von Kernwaffen, in: HSFK-Report, 2003, pp. 1-33.
Norris, Robert S./Kristensen, Hans M.: Global nuclear stockpiles, 1945-2006, in: Bulletin of the Atomic Scientists, Vol. 62, No. 4, July/August 2006, pp. 64-67.
Portela, Clara: The Role of the EU in the Non-Proliferation of Nuclear Weapons: The Way to Thessaloniki and Beyond, in: PRIF Report No. 65 (PRIF in Frankfurt), December 2003, pp. 1-38.
Roberts, Brad: From Nonproliferation to Antiproliferation, in: International Security, Vol. 18, No. 1, Summer 1993, pp. 139-173.
Rötz, Roland: Russian Gas and European Energy Security, in SWP Research Paper 10 (SWP in Berlin), December 2006, pp.5-21.
Ruggie, John Gerard: International Response to Technology: Concepts and Trends, in: International Organization, Vol. 29, No. 3, 1975, pp. 557-583.
Sagan, Scott D.: Why Do States Build Nuclear Weapons? Three Models in Search of a Bomb, in: International Security, Vol. 21, No. 3, Winter 1996/1997, pp. 54-86.
Sauer, Tom: The “Americanization” of EU Nuclear Non-Proliferation Policy, in: Defense and Security Analysis, Vol. 20, No. 2, June 2004, pp. 113-131.
Schmidt, Fritz: NPT Export Controls and the Zangger Committee, in: The Nonproliferation Review, Vol. 7, No. 3, Fall/Winter 2000, pp. 136-145.
Schneider, Barry R.: Nuclear Proliferation and Counter-Proliferation: Policy Issues and Debates, in: Mershon International Security Studies Review, Vol. 38, No. 2, October 1994, pp. 209-234.
Schröder, Valentin: Die EU und die Nichtverbreitung von Massenvernichtungswaffen: Eine Bestandsaufnahme, in: Diskussionspapier 03 (SWP in Berlin), May 2006, pp. 3-19.
SIPRI: Non-Proliferation, Arms Control and Disarmament, 2004, in: SIPRI Yearsbook 2005: Armaments, Disarament and International Security, New York: Oxford University Press, pp. 529-770.
Tannenwald, Nina: Stigmatizing the Bomb: Origins of the Nuclear Taboo, in: International Security, Vol. 29, No. 4, pp. 5-49.
Tannenwald, Nina: The Nuclear Taboo, in: International Organization, Vol. 53, No. 3, 1999, pp. 433-468.
Thränert, Oliver/Tucker, Jonathan B. (eds.): Freeing the World of Chemical Weapons: The Chemical Weapons Convention at Ten-Year Mark, in: SWP Research Paper 08 (SWP in Berlin), July 2007, pp. 7-33.
Thränert, Oliver: Der Iran und die Verbreitung von ABC-Waffen, in: SWP-Studie 30 (SWP in Berlin), August 2003, pp. 5-36.
Thränert, Oliver: Terror mit Chemischen und Biologischen Waffen: Risikoanalyse und Schutzmöglichkeiten, in: SWP-Studie 14 (SWP in Berlin), April 2002, pp. 5-27.
Trezza, Carlo: The EU between Non-Proliferation and Disarmament, in: ISPI Policy Brief, No. 51, April 2007, pp. 1-4.
(二) 中文
沈玄池:歐洲聯盟共同外交暨安全政策體制與運作方式改革之研究,刊載於:美歐研究,第14卷,第3期,2000,頁263-304。
施澤淵:論伊朗提煉濃縮鈾引發核武危機與未來情勢之研究,刊載於:陸軍學術雙月刊,第43卷,第491期,2007,頁117-131。
胡至沛:新制度主義的檢視與反思,刊載於:中國行政評論,第11卷,第1期,2001,頁145-162。
袁易:對於Alexander Wendt有關國家身分與利益分析之批判:以國際防擴散建制為例,刊載於:歐美季刊,第15卷,第2期,2001,頁265-292。
廖文義:伊朗核武問題與國際政治:大國的態度與作為,刊載於:全球政治評論,第16期,2006,頁101-130。
鄭端耀:國際建制與國際不擴散的關係─理論分析架構的探討,刊載於:美歐季刊,第13卷,第2期,1999,頁107-136。
盧業中:論國際關係理論之新自由制度主義,刊載於:問題與研究,第41卷,第2期,2002,頁43-67。
鍾志明:從歐洲聯盟出口管制體系談對中國之武器禁運,刊載於:全球政治評論,第14期,2006,頁35-62。
四、會議論文
(一) 外文
Anthony, Ian, et al.: The Delivery of EU Non-Proliferation and Disarmament Assistance in Russia, paper presented at the “Conference on Strengthening European Action on WMD Non-Proliferation and Disarmament: How can Community Instruments Contribute?”, by SIPRI, Brussels, December 2005.
Carrigan, Alisa: Addressing a Perpheral Threat: Examining the Problem of Nuclear Human Capital Dissemination, paper presented at the “European Foreign Policy Conference by the King’s College”, London, July 2004.
Cornish, Paul/Anthony, Ian: Assessing Nuclear, Biological, Chemical and Radiological Threat to the European Union, 2005-13, paper presented at the “Conference on Strengthening European Action on WMD Non-Proliferation and Disarmament: How Can Community Instruments Contribute?”, by SIPRI, Brussels, 7-8 December 2005.
Mærli, Morten Bremer, et al.: Nuclear Security: Reinforcing EU Cooperative Threat Reduction Programmes, paper presented at the “Conference on Strengthening European Action on WMD Non-Proliferation and Disarmament: How can Community Instruments Contribute?”, by SIPRI, Brussels, December 2005.
Roffey, Roger: From Bio Threat Reduction to Cooperation in Biological Proliferation Prevention, paper presented at the “Conference on Strengthening European Action on WMD Non-Proliferation and Disarmament: How can Community Instruments Contribute?”, by SIPRI, Brussels, December 2005.
(二) 中文
徐瑞雯:歐盟東擴對俄羅斯與歐俄關係之影響,文章發表於中央研究院歐美研究所歐盟東擴學術研討會,臺北,2008年10月24-25日。
張中勇:從當前恐怖主義發展看現階段生化災害潛在威脅及因應對策,文章發表於國防部化學兵學校生化災害防救學術研討會,臺北,2002年10月。
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