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系統識別號 U0002-2002201206353600
中文論文名稱 歐洲經濟治理下財政監督機制之研究
英文論文名稱 The Study of Fiscal Surveillance Mechanism Under European Economic Governance
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 100
學期 1
出版年 101
研究生中文姓名 陳揆明
研究生英文姓名 Kuei-Ming Chen
學號 698290052
學位類別 碩士
語文別 中文
口試日期 2012-01-06
論文頁數 145頁
口試委員 指導教授-曾秀珍
共同指導教授-林立
委員-黃得豐
委員-郭秋慶
中文關鍵字 歐債危機  財政聯邦主義  政策協調  財政同盟 
英文關鍵字 European debt crisis  fiscal federalism  policy coordination  fiscal union 
學科別分類 學科別社會科學區域研究
中文摘要 歐債危機形成根本因素,可以歸因於EMU的組成結構。1991年簽署的馬斯垂克條約中,歐盟會員國僅願意讓渡貨幣政策主權,雖然會員國政府保有財政政策主權,在缺乏貨幣政策工具協助下,會員國必須進行包含勞力市場、就業等結構改革,提升國內經濟體質。在會員國尚未同意讓渡財政政策主權至歐盟的情形下,僅依靠各國政策協調意願的財政監督機制,無法針對會員國財政進行有效控管與制裁。
面對債信危機帶來的負面衝擊,歐盟唯有建立財政同盟,才能根本解決歐元區內經濟發展歧異的情形,使貨幣同盟得以穩定發展。在當前債信危機下,歐元區的經濟前景受到嚴重的負面影響,迫使歐盟各國領導人正視貨幣同盟缺乏深度經濟整合的問題,便是建立與貨幣同盟相佐的財政同盟,而建立財政同盟也表示會員國需要將部分必要財政主權讓渡至歐盟機構。不論未來歐盟會員國將以何種形式改革,唯有建立財政同盟才能根本解決歐元區目前財政與貨幣政策無法互補的缺陷。
英文摘要 European debt crisis can be resulted from the structure of EMU. In Maastricht Treaty negotiation in 1991, the member states were willing to concede only the sovereignty of monetary policy to EU. Though the member states hold the fiscal sovereignty in their hand, they should undertake structural reform including labor market, employment and etc. to reinforce the economic structure in lacking of monetary instruments. It is undeniable that the without member states’ willing to transfer further fiscal competences to EU, the peer-pressure based fiscal surveillance framework in Eurozone would not be effective.
The only way for EU to deal with the sovereign debt crisis is to establish a fiscal union in which the fiscal transfer mechanism can help those member states in difficulty to pay their debt and engage in structural reform. A effective fiscal union can make the monetary union function smoothly and successfully, thus to secure the stability of Euro. In front of the impact of the crisis, the leaders of EU member states are forced to face the imperfection of EMU structure, to set up a fiscal union means that they have to yield more competences to EU to create a fiscal union on which a well-functioned monetary union should based.
In a nutshell, no matter how the EU member states decide to reform the EMU, only an effective fiscal union can fix up the defect of monetary union without fiscal backup.
論文目次 第一章 緒論 1
第一節 研究動機與目的 1
一、研究動機 1
二、研究目的 3
第二節 研究途徑 5
第三節 文獻回顧 7
第四節 研究範圍與限制 9
第五節 研究架構 10
第二章 經濟治理發展 13
第一節 歐洲整合基礎 14
一、政治整合理論 15
二、經濟整合理論 19
三、整合理論對經濟治理的影響 25
第二節 經濟治理運作架構 27
一、法律基礎 28
二、機構運作 33
第三節 經濟治理的實踐 43
一、經濟治理的涵意 43
二、政策內涵 47
三、經濟治理的特性 57
第三章 歐元區經濟治理 60
第一節 歐元區貨幣統合 60
一、馬斯垂克趨同標準 60
二、穩定成長公約發展 65
三、整合情形 69
第二節 經濟發展差異情形 71
一、影響經濟發展差異因素 72
二、歐元區經濟發展差異成因 74
三、歐元區邊陲國家經濟發展 78
第三節 經濟差異性與經濟治理 83
第四章 歐盟財政政策規範 87
第一節 財政監督機制之運作 87
一、設立原因 88
二、機制設計 88
三、財政規範 90
四、監督機制運作 92
第二節 財政監管機制之發展 99
一、經濟發展差異與結構問題 99
二、財政紀律與結構改革之關係 102
第三節 財政監督機制之挑戰 107
一、歐債危機的反思 107
二、歐盟對於流動性危機的處理 109
三、歐債危機之癥結點 111
四、歐元區的結構問題 112
第五章 檢討評估與未來展望 115
第一節 當前財政監管成效評估 115
第二節 EMU改革 120
第六章 結論 136
參考書目 138

圖表目次
(圖1) 研究途徑……………………………………………………………...……6
(圖2) 研究架構圖……………………………………………………………….12
(圖3) 第二章架構圖……………………………………………………..……...13
(圖4) 經濟治理下機構互動關係……………………………………………….33
(圖5) 經濟治理概念示意圖.......................................................................... …..44
(圖6) 經濟治理特性………………………………….…………………………57
(圖7) 經濟趨同標準與SGP設立因素……………………………………….65
(圖8) 影響經濟發展因素……………………………………………………….72
(圖9) 歐元區經濟發展差異成因……………………………………………….74
(圖10) 歐元區經常帳發展情形(1992-2010 年)………………………………..76
(圖11) 財政監督機制設立原因與內容………………………………………...87
(圖12) 財政監督機制履行……………………………………………………...90
(圖13) 過度赤字程序…………………………………………………………...98
(圖14) 財政規範與結構改革之關係………………………………………….106
(圖15) 歐債危機發展示意圖………………………………………………….107
(表1) 經濟治理主要政策領域………………………………………………….30
(表2) 經濟治理下主要政策內容……………………………………………….49
(表3) 1996 年至2000 年會員國政府公債佔GDP 百分比…………………….71
(表4-1) 總體經濟指標數據…………………………………………………...100
(表4-2) 總體經濟指標數據…………………………………………………...101
(表5) 財政紀律與經濟發展之關係…………………………………………...104
(表6) 歐盟監管機制組成要素………………………………………………...116
(表7) 財政規範評估項目……………………………………………………...117
(表8) SGP 評估準則……………………………………………………………118
(表9) 歐盟財政法則之評估結果……………………………………………...119
(表10) 2011 年12 月高峰會主要國家立場……………………………………129

參考文獻 參考書目
(一)書籍

中文
陳 勁(1999),歐洲聯盟之整合與體制運作,台北,五南出版社
陳麗娟(2008),歐洲共同體法導論,台北,五南出版社

英文
Ayuso-i-Casals Joaquim & Servaas Deroose & Elena Flores & Laurent Moulin (2010), Policy Instruments for Sound Fiscal Policies - Fiscal Rules and Institutions, UK: Palgrave Macmillan

Baldwin Richard & & Daniel Gros & Luc Laeven (2010), Completing the
Eurozone Rescue: What More Needs to be Done?, A VoxEU.org Publication

- Wyplosz chaeles (2006), The Economics of European Integration, UK: McGraw-Hill Education

Dyson Kenneth (2002), European States and the Euro – Europeanization Variation and Convergence, New York: Oxford University Express

- &Lucia QUAGLIA (2010), European Economic Governance and Policies – Commentary on Key Historical and Institutional Documents, Volume I, UK: Oxford Express

Eijffinger Sylvester W. C. & Jakob De HAAN (2000), European Monetary and Fiscal Policy, New York: Oxford University Express Inc

EL AGRAA M. Ali (2007), The European Union – Economics and Policies, New York: Cambridge University Press


Ferreiro Jesus & Giuseppe Fontana & Felipe Serrano (2010), Fiscal Policy in the European Union, UK: Palgrave Macmillan

Garrett Elizabeth & Graddy A. ELIZABETH & Jackson E. HOWELL (2010), Fiscal Challenge – An interdisciplinary Approach to Budget Policy, New York: Cambridge University Express

Hallergerg Mark & Strauch Rainer ROLF & Hagen von JÜRGEN (2010), Fiscal Governance in Europe, New York: Cambridge University Express

Kaiser Wolfram & Antonio Varsori (2010), European Union History Themes and Debates, UK: Palgrave Macmillan

Mathijsen, P S R F. (2007), A Guide to European Union Law, London: Sweet & Maxwell

Nugent Neil (2006), The Governance and Politics of the European Union, Basingstoke, UK: Palgrave Macmillan

Townsend Malcolm (2007), The Euro & Economic and Monetary Union, UK: John Happer Publishing

Ungerer Horst (1997), A Concise History of European Monetary Integration – From EPU to EMU, London: Quorum Books

Verdum Amy (2002), European Integration Theory and Economic and Monetary Union, UK: Rowman & Littlefield Publishers Inc

Wallace Halen & Mark A. POLLACK & Alasdair R. YOUNG (2010), Policy-Making in the European Union, New York: Oxford University Press

(二)期刊
Afxentiou Panos C. (2000), “Convergence, the Maastricht Criteria, and Their Benefits” The Brown Journal of World Affairs, Vol. VII, Issue 1, pp.245-254

Andreas Auer (2005), “The constitutional scheme of federalism”, Journal of European Public Policy, Vol.12, No.3, pp.419-431
Arestis Philip & Malcolm Sawyer (2010), “The Problems of the Economic and Monetary Union: Is There Any Escape?”, The Journal of Economic Analysis, Volume I, Issue I, pp. 1-14

Barysch Katinka & Charles GRANT & Simon TILFORD & Philip WHYTE (2010), ”The new Commission’s economic Philosophy”, Policy Brief, Centre for European Reform (CER), London

Begg Iain (2009), “Fiscal Federalism, Subsidiarity and the EU Budget Review”, Issue 1, Swedish Institute for European Policy Studies (SIEPS), Stockholm

Benz Arthur & Christina ZIMMER (2010), “The EU’s competences: The ‘vertical’ perspective on the multilevel system”, Living Reviews in European Governance, Vol. 5, No.1

Bordo, Michael, Agnieszka Markiewicz, Lars Jonung (2011), “A fiscal union for the euro: Some lessons from history”, No. 17380, NBER Working Paper

Clara Crespo (2010), “New Changes and Old Challenges in the Economic Governance of the Eurozone”, Real Instituto Elcano

de Mello, L. and P. C. Padoan (2010), “Are Global Imbalances Sustainable?: Post-Crisis Scenarios”, No. 795,OECD Economics Department Working Papers, OECD

Dehousse Renaud (2002), “The Open Method of Coordination: A New Policy Paradigm?”, No.3, CEE Les Cahiers européens de Sciences Po, Centre d'études européennes, Paris

Delpla Jacques & Jakob von Weizsäcker (2011), “The blue bond proposal”, No.3, Bruegel Policy Brief, Bruegel, Brussels

Girardi Alessandro & Paolo PAESNI (2008), “Structural Reforms and Fiscal Discipline in Europe”, Working Paper No.102, Istituto Di Studi E Analisi Economica


Governatori Matto (2008). “A Fiscal Federalism Perspective of the Economic Policy Framework in the Euro-Zone”, Working Paper 69, Instituto de Estudios Economicos de Galicia

Groeneveld Johannes & Kees KOEDIJK & Clemens KOOL, "Credibility of European economic convergence (March 1998)," Review of World Economics,
Vol.134 No.1

Haan de Jakob & Helge BERGER & David-Jan JANSEN (2004), “Why has the Stability and Growth Pact Failed,” International Finance, Vol.7 Issue 2

Hochreiter Eduard (2000), “The Current Role of National Central Banks in the Eurosystem”, Atlantic Economic Journal, Vol. 28, No.3

Hall Ben (2000), “European governance and the future of the Commission”, Working Paper, Centre for European Reform, London

Jabko Nicolas (2011), “Which Economic Governance for the European Union? Facing Up to the Problem of Divided Sovereignty”, Report No2, Swedish Institute for European Policy Studies (Sieps), Stockholm

Jacquet Pierre & Jean PISANI-FERRY (2002). “Economic policy co-ordination in the Euro Zone : What has been achieved ? What should be done? “, Center for European Reform, London

Mabbett Deborah & Waltraud SCHELKLE (2007), “Bringing macroeconomics back into the political economy of reform: the Lisbon Agenda and the Fiscal Philosophy” of EMU’, Journal of Common Market Studies, Vol.45 No.1

Marzinotto Benedicta & Andre Sapir & Guntram B. Woff, (2012), “What kind of fiscal union”, No.6, Bruegel Policy Brief, Bruegel, Brussels

Natali David (2010), “The Lisbon Strategy, Europe 2020 and the crisis in Between”, European Social Observatory, No.4

Oates E. Wallace (1999), “An Essay on Fiscal Federalism”, Journal of Economic Literature, Vol.37 No.2
Rossi Vanessa & Rodrigo DELGADO AGUILERA (2010), “No Painless Solution to Greece’s Debt Crisis” International Economics, Programme Paper, Chatham House, UK

Wellink Nout & Bryan CHAPPLE & Philipp MAIER (2002), “The role of national central banks within the European System of Central Banks: The example of De Nederlandsche Bank”, MEB Series, No.13, Monetary and Economic Policy Department, Netherlands Central Banks

(三)書籍中論文
中文:
洪德欽 (2007),「歐洲央行」,收於黃偉峰編《歐盟的組織與運作》台北:五
南圖書出版社

英文:
Henrique Rui & Alves & Oscar AFONSO (2010) “Fiscal Federalism in the European Union: How Far Are we?” in Ferreiro Jesus & Fontana, Giuseppe & Felipe eds., Fiscal Policy in the European Union, UK: Palgrave Macmillan
Mathieu Catherine & Henri STERDYNIAK (2000) “How to Deal with Economic Divergence in the EMU” in Jesus Ferreio, Giuseppe & Felipe Serrano (eds) Fiscal Policy in the European Union, UK: Palgrave Macmillan Ltd

Morris Richard & Hedwig ONGENA & Bernhard WINKLER (2007), “Fiscal Policy” in Mike Artis & Frederick Nixson (eds) The Economic of The European Union, Policy and Analysis, UK: Oxford University Express

(六)網路資料
Ahearne Alan & Birgit SCHMITZ & Jürgen von HAGEN (2007), “Current Account Imbalances in the Euro Area”, HagenSchmitz.pdf>

Balassone Fabrizo & Daniele FRANCO & Stefania ZOTTERI (2002), “Fiscal Rules for Sub-National Governance: What Lessons from EMU Countries?”,


Bukowski I. Sławomir (2011), “The Maastricht Convergence Criteria and Economic Growth in the EMU”,

Dadush Uri & Bennet STANCIL (2010), “Europe Debt Crisis: More than a Fiscal Problem”, Carnegie Endowment for International Peace,

Dadush Uri & Vera EIDALMAN (2010), “Germany: Europe’s Pride or Europe’s Problem”, Carnegie Endowment for International Peace,

Darvas Zsolt, (2011), “The summit of survival”, Bruegel, Brussels
< http://www.bruegel.org/publications/publication-detail/publication/
654-the-summit-of-survival/ >

Grauwe Paul De (2009), “The Politics of Maastricht Convergence Criteria”, VOX

Jamet Jean-Francois & Werner Mussler & Stefaan De Corte, (2012), “EU Economic governance: from French and German views”, The Center for European Studies
< http://www.jf-jamet.eu/upload/eu-economicgovernance.pdf>

Pisani-Ferry Jean (2011), “Eurozone in on the wat to fiscal union”, Bruegel, Brussels, < http://www.bruegel.org/publications/publication-detail/publication/
650-eurozone-is-on-the-way-to-fiscal-union/>

Smaghi lorenzo Bini (2007), “Real and nominal convergence: policy challenges”, European Central Bank, /html/sp071120.en.html>

Tabellini Guido (2011), “EZ rescue: Déjà vu all over again”, VOX
< http://www.voxeu.org/index.php?q=node/7171>

Tilford Simon (2011), “Immediate summit reaction”, Center for European Reform, UK,

Watt Andrew (2010), “European Economic Governance: What reforms are to be expected and what are needed?”, european alternatives

Wolff B. Guntram (December 2011), “A German fiscal union”, Bruegel, Brussels
< http://www.bruegel.org/publications/publication-detail/publication/
653-a-german-fiscal-union/ >

- (November 2011) “Rules and Risk: Structural reform and good fiscal institutions are necessary and help”, Bruegel, Brussels
< http://www.bruegel.org/publications/publication-detail/publication
/638-rules-and-risk-structural-reforms-and-good-fiscal-institutions-are-necessary-and-help/>

Wyplosz Charles (2010) "The Failure of the Lisbon Strategy", VOX,

- (2002) “Europe’s Fiscal Rules Need a Serious Overhaul”
Europes_fiscal_rules.pdf >


(七)歐盟官方文件
執委會公報
COM (2010) 2020 final

執委會報告
Convergence Report 1998, European Economy, No.65, European Commission, Brussels

“Economic Crisis in Europe: Causes, Consequences and Responses”, 2009

Public Finance in EMU 2000

Public Finance in EMU 2010

“The evolution of economic governance in EMU”, Economic Papers No.32,
June 2008
執委會研究報告
Amicorum Liber & Paolo Zamboni GARAVELLI (2005), Legal Aspects of European System of Central Banks, European Central Bank, Frankfurt

Begg Iain (2008), “Economic governance in an enlarged euro area”, Economic Papers 311

Buti Marco, Werner RÖGER & Alessandro TURRINI (2007), “Is Lisbon far from Maastricht? Trade-offs and Complementarities between Fiscal Discipline and Structural Reforms”, European Commission, Brussels
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