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系統識別號 U0002-2002201211225400
中文論文名稱 歐洲聯盟之政治正當性建構
英文論文名稱 The Construction of the Political Legitimacy 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 1
出版年 101
研究生中文姓名 黃英哲
研究生英文姓名 Ying-Che Huang
學號 891030016
學位類別 博士
語文別 中文
口試日期 2012-01-02
論文頁數 289頁
口試委員 指導教授-郭秋慶
委員-郭武平
委員-洪丁福
委員-許智偉
委員-林立
中文關鍵字 政治正當性  歐盟民主  績效正當性  歐洲認同 
英文關鍵字 EU’s Political legitimacy  EU democracy  performance legitimacy  European identity 
學科別分類
中文摘要 歐盟的政治疆界在外部地緣與權力範圍不斷地伸展的同時,在價值上卻逐漸裂解為「菁英的歐洲」與「人民的歐洲」兩大板塊,尋根究底歸結的核心即是「政治正當性」(political legitimacy)問題,這個問題不在於歐盟菁英的擅權,而在於權責不明;不在於菁英的強勢,而在於缺乏人民的制衡,歐盟不僅是為各國政府設立的,更重要的是為歐洲人民而存在的。

歐盟政治正當性問題浮出檯面最大的關鍵,在於歐洲整合從「經濟」共同體轉變為「政治」共同體,自從1993年「馬斯垂克條約」生效以來,歐盟體質的轉變讓原本統治與服從的關係進一步弱化,歷次條約改革的腳步明顯跟不上人民信任崩壞的速度;再加上歐盟擴大,短短十年內迅速從十五國擴編為二十七國,尤其是會員國之間經濟結構與區域高度的異質化,政治正當性「問題」日益蔓延成為「危機」。

本論文認為歐盟的政治正當性概念,從規範(normative)與經驗(empirical)取向涵蓋了民主(Democracy)、績效(Performance)與認同(Identity)三大領域,在建構途徑的階段各有長短期程的優先順次。首先,就績效領域而論,無疑是構成歐盟政治正當性的基礎,歐盟必須在政治、經濟與社會各層級持續透過治理績效,來驗證歐盟存在的價值以及歐洲人民支持的理據;其次,在民主領域方面,「里斯本條約」確立了代議制民主為主、參與式與審議式民主為輔的「歐盟式民主」,而會員國國會勢必扮演更重要的角色;歐洲認同的發展是一個長期的過程,勢必在多層級(multi-level)認同的架構下依附民族認同,以「民族認同+歐洲認同」的形式存在。

歐盟是獨具一格(sui generis)的政體,其政策領域與實體疆界仍不斷改變,因此,歐盟政體的性質決定了其政治正當性的建構途徑,以民族國家為主體的正當性模式非但無法全盤移植,這種轉移也未必對歐盟正當性產生助益,但可以確定的是,歐盟的正當性建構勢必難以脫離民族國家發展經驗鑿斧的痕跡。
英文摘要 As the political territory of EU expands in terms of geography and power, its value is increasingly torn between “Europe des elites” and “Europe des citoyens”, with the upper class and the lower class wanting different kinds of Europe. The reason that the gap of the two classes is widening is complex, the core issue, however, lies in the political legitimacy. The problem is not the authoritarianism of the elite class but rather the ambiguity and confusion of authority and liability, not the aggressiveness of the elite but rather the lack of check and balance from the people. It is easy to forget that EU is not established for European governments but for all Europeans.

The issue of legitimacy arose when the unification of Europe shifts from an economic body to a political body. With the Maastricht Treaty taking effect in 1993, the change of the EU further weakened its governance and its member’s obedience. Amendments of the Treaty have long been outrun by the deterioration of people’s trust. Rapid enlargement of the EU, from fifteen to twenty-seven within ten years, increased the heterogeneity of economic structure and sharpened the regional differences. Political legitimacy deteriorated from an issue to a crisis.

This dissertation argues that the political legitimacy for the EU had adopted the concepts of the normative and the empirical approach to override those of Democracy, Performance, and Identity, with different sets of priority during the forming phases. First, performance was undoubtedly the foundation of political legitimacy for EU, which had to attest to its own value and to win support from the populace with its performance in political, economic, and social strata. Secondly, the Treaty of Lisbon asserted that the form of EU democracy would primarily be a representative democracy with subordinate participative and deliberative democracy. The national parliaments and their important roles in this democracy are not likely to change structurally in the near future. In the end, the Europe identity must rely on the national identity in a multi-level structure of identity, forming a “national-European” identity.

EU, a sui generis and emerging governing body, is still changing its political and physical territory. The character of the EU body decides the formation of its political legitimacy. The mode of legitimacy for the national countries cannot be transplanted to nor does it benefit the EU legitimacy. What can be ascertained is that the construction of legitimacy for EU must be influenced by the developmental experiences of the national countries.
論文目次 目 錄

第一章、導論 1
第一節、研究動機與問題意識 1
第二節、概念界定與研究方法 11
一、概念界定 11
二、研究方法 15
(一)歷史制度研究法的運用 15
(二)政治理論史研究法的配合 16
(三)比較分析研究法的配合 17
第三節、文獻評論 17
一、從傳統整合理論檢視正當性對於歐盟的重要性與其特質 17
二、歐盟正當性的類型與其評估模式的建構 19
三、提供正當性的民主理論途徑 20
第四節、研究範圍與限制 21
第五節、內容架構 23
第二章、歐盟之政治正當性概念論證 27
第一節、政治正當性之理論溯源 27
一、古典希臘與羅馬時代的自然本體觀 28
二、中世紀世俗政權的神學本體觀 32
三、近代社會契約理論的發展與人文本體觀 37
第二節、當代政治正當性理論之經驗主義與規範主義取向…42
一、經驗主義的正當性研究取向:韋伯模式 43
二、規範主義的正當性研究取向:哈伯馬斯模式 48
三、當代政治正當性的概念與建構基礎 53
(一)人民同意 54
(二)價值規範 55
(三)法律體系 55
(四)施政效益 56
第三節、歐盟之政治正當性問題與論辯 57
一、歐盟當前的正當性問題 57
(一)形式正當性問題 58
(二)社會正當性問題 59
(三)調控正當性問題 61
二、歐盟政治正當性的論辯 62
(一)民主赤字不存在,亦無正當性問題 64
(二)民主赤字不存在,正當性問題在於可信度危機 65
(三)正當性問題存在,民主赤字是其中之一 67
三、正當性論辯的後設理論 69
第四節、歐盟多層級治理之政治正當性概念 73
一、歐盟為多層級治理的政體 73
(一)歐盟多層級治理的意義 73
(二)歐盟多層級治理對於歐盟正當性的意義 75
二、歐盟政治正當性的概念 77
(一)基準 78
(二)主體 81
(三)維度 83
第三章、歐盟之民主治理模式與政治正當性 87
第一節、民主政治之理論 88
一、民主的基本概念 88
二、自由主義與共和主義的民主觀 89
第二節、代議制民主 91
一、自由主義代議制民主的理論與發展 91
二、歐盟以代議制民主為民主治理基礎的原因 93
三、歐洲議會途徑 96
(一)規律指標:歐盟條約下歐洲議會的法定位階 97
(二)規範指標:規範環境對歐洲議會的影響 102
(三)認知指標:歐洲議會選舉投票率對歐洲議會的影響 104
四、會員國國會途徑 109
(一)規律指標:歐盟條約下會員國國會的法定位階 110
(二)規範指標:規範環境對會員國國會的影響 114
(三)認知指標:歐盟各會員國對其國會定位的立場 116
五、歐盟代議制民主的評估與其限制 118
第三節、參與式民主 123
一、共和主義參與式民主的理論與發展 124
(一)參與式民主的「復興」 124
(二)參與式民主在歐盟的發展 127
二、歐洲公民對話與諮詢之平台:公民社會 129
(一)歐盟對於公民社會的概念與定位 129
(二)執委會的角色以及與公民社會的關係 133
三、歐盟建制化的諮詢管道:諮詢委員會 135
四、歐洲公民的直接參與:歐洲創制權與公民投票 138
(一)里斯本條約下的歐洲公民創制權 138
(二)公民投票 141
第四節、審議式民主 144
一、審議式民主的理論基礎 146
(一)對競爭性精英民主的反思 146
(二)審議式民主的概念與原則 148
(三)審議式民主與政治正當性的關係 150
二、哈伯馬斯與公共領域 151
三、歐盟審議式民主的實踐與限制 155
第四章、歐盟治理績效之正當性檢證 161
第一節、以績效為主體之正當性的概念 162
一、績效與支持作為正當性的基本條件 162
二、以績效正當性為實質內涵的「寬容共識」 167
第二節、歐盟績效正當性之具體內涵 171
一、歐盟的擴大與政治穩定 172
(一)歐盟自1980年代的區域穩定拓展 173
(二)歐盟自2004年的區域穩定拓展 175
二、歐盟經濟整合與區域的均衡發展 178
(一)歐盟採行的區域金融措施與政策工具 179
(二)歐盟東擴下的金融措施兩難的排除 181
三、「社會歐洲」 183
(一)歐洲社會政策致力公平的社會環境 184
(二)社會歐洲的發展有其侷限性 185
四、歐洲人民的基本安全 187
(一)司法暨內政事務合作的法制化 187
(二)刑事事務的警察與司法合作的拓展 189
五、歐盟總體社會經濟利益的實證檢視 191
第三節、歐洲主權債務危機與政治之正當性 193
一、歐洲主權債務危機的背景 193
二、歐元區主權債務問題的結構因素 198
(一)舉債權濫用導致政府公債與財政赤字的失調 199
(二)財政與貨幣政策的分割弱化宏觀經濟調控 200
(三)歐洲央行獨立性的削弱與正當性 201
(四)歐盟治理的體制性問題 203
第五章、歐洲認同之文化與政治建構 205
第一節、歐洲認同之概念基礎 206
一、以民族國家為主體的認同概念分析 206
(一)民族認同的理論基礎 206
(二)民族認同的本質主義與建構主義 208
二、歐洲認同的概念 211
(一)歐洲認同概念的背景發展 211
(二)歐洲認同的論述 213
三、歐洲認同概念的沿革發展 216
四、歐洲認同的具體內涵 219
(一)跨越國家政治與文化疆界的後民族認同 219
(二)多重身份與層級的認同基礎 220
(三)「認同—正當性」概念特質的複合體 220
(四)由上而下式社會建構的產物 220
第二節、歐洲認同之文化建構 222
一、歐洲文化的同質性 224
(一)共同的精神信仰 224
(二)共同的價值觀念 225
(三)共同的制度規範 226
二、泛歐洲思潮的歷史文化淵源 227
三、歐洲認同的文化建構 229
(一)被發明的傳統? 229
(二)歐盟文化政策的發展 232
四、歐盟文化政策之具體內涵 223
(一)第一期程計畫:萬花筒、亞里安與拉斐爾計畫 224
(二)第二期程計畫:文化2000計畫 235
(三)第三期程計畫:「文化」計畫 235
(四)歐盟文化政策之評估 237
五、歐洲共同記憶的詮釋場域:歐洲博物館 239
(一)歐盟首座官方博物館成立的背景 240
(二)博物館的展示核心:一段屬於歐洲人的集體記憶 241
第三節、歐洲認同之政治建構:歐洲公民身份 243
一、歐洲公民身份之概念界定 243
二、歐洲公民權之沿革發展 246
(一)市場公民身份階段 247
(二)政治公民身份階段 248
(三)基本權利憲章公民階段 250
三、歐洲公民身份的特質 251
(一)偏重權利而少義務的公民權 251
(二)缺乏獨立性與完整性的公民身份 254
第四節、歐洲認同之實證分析 256
一、歐洲公民身份的實質內容實證分析 256
二、歐洲認同與民族認同的發展趨勢實證分析 260
第六章、結論 267
第一節、主要研究心得與發現 269
第二節、後續研究建議 273

參考文獻 275


附表目錄

(表2-1)艾瑞克森與傅桑的正當性矩陣表 71
(表2-2)洛德與麥格奈特的正當化向量表 72
(表2-3)歐盟多層級治理之政治正當性概念 86
(表3-1)歐盟代議制民主:歐洲議會途徑的主要發展取向 98
(表3-2)歐洲議會選舉與歐盟會員國主要大選投票率比較 106
(表3-3)歐盟代議制民主:會員國國會途徑的主要發展取向 111
(表3-4)制度主義分析下歐盟代議制民主「雙軌議會制」之發展比較 120
(表4-1)伊斯頓「系統論」架構下之支持型態 164
(表4-2)歐盟15 國、美國與日本之社會經濟發展指標(1995至2008年) 192
(表4-3)歐盟主要歐債危機相關國家之財政赤字與政府公債一覽 196
(表5-1)歐洲認同之建構途徑一覽 213
(表5-2)歐洲認同與民族/國家認同內涵之比較分析 221
(表5-3)「馬斯垂克條約」簽訂前(1992年)之主要文化政策工具 232
(表5-4)歐洲公民意識:是否自覺為「歐洲人」 264

附圖目錄

(圖3-1)第一屆至第七屆歐洲議會選舉投票率一覽 105
(圖3-2)歐洲民眾對歐洲議會信任度趨勢圖(1999-2010年) 108
(圖3-3)歐洲制憲大會之決議案統計 118
(圖3-4)公民社會組織與歐盟、歐盟公民之關係 133
(圖4-1)2011年歐盟人民認為歐盟、會員國與人民最應關切的議題 172
(圖4-2)希臘與歐元區公共債務之趨勢對比(1999-2010年) 195(圖4-3)歐元區國家之GDP成長率(1970s、1980s、1990s、2001-09年) 199
(圖4-4)歐洲央行之信任度與不信任度之對比(2009年) 202
(圖5-1)歐盟人民對「歐盟的公民」詞組熟悉度之國別分析(2010年) 256
(圖5-2)歐洲人民對「歐盟的公民」詞組熟悉度之國別群組分析 257
(圖5-3)歐洲人民對「歐盟的公民」之權利內容理解程度分析 258
(圖5-4)對「歐盟公民」之權利內容理解程度之受訪者結構分析 259
(圖5-5)歐洲人民最熟知與理解之公民權利內容 260
(圖5-6)民族認同與歐洲認同之關係(1996, 1999, 2002, 2007與2010年) 261
(圖5-7)歐盟27國之民族認同與歐洲認同之關係 263
(圖5-8)歐盟會員國身份的實質效益之民調趨勢 265
(圖5-9)強化歐洲人民對於「歐洲公民」認同感之具體措施 265
參考文獻 參考文獻

中文書目

一、專書
王泰銓,《歐洲聯盟法總論》。台北:臺灣智庫,2008年。
王展鵬,《跨國民主及其限度:歐盟制憲進程研究》。北京:人民出版社,2010年。
王皓昱,《歐洲合眾國—歐洲政治統合理想之實踐》。台北:揚智,1997年。
江宜樺,《自由主義 民族主義與國家認同》。台北:揚智,1998年。
呂亞力,《政治學》。台北:三民,1978年。
岳天明,《政治合法性問題研究:基於多民族國家的政治社會學分析》。北京:中國社會科學,2006年。
周濂,《現代政治的正當性基礎》。北京:三聯:2008年。
施正鋒編,《歐盟的深化與廣化》。台北:前衛,2004年。
吳錫德,《認識新歐洲》。台北:遠流,1990年。
孟樊,《後現代的認同政治》。台北:揚智,2001年。
俞可平編,《治理與善治》。北京:社會科學文獻,2000年。
郭秋永,《當代三大民主理論》。台北:聯經,2001年。
郭秋慶,《歐洲聯盟概論》。台北:五南,1999年。
郭曉東,《重塑價值之維—西方政治合法性理論研究》。上海:華東師範,2007年。
陳思賢,《西洋政治思想史─ 中世紀篇》。台北:五南,2004年。
陳麗娟,《阿姆斯特丹條約解讀》。台北:五南,1999年。
黃瑞祺編,《溝通、批判和實踐:哈伯馬斯八十論集》。台北:允晨文化,2010年。
惠一鳴,《歐洲聯盟發展史》。北京:中國社會科學出版社,2008年。
張生祥,《歐盟的文化政策:多樣性與同質性的地區統一》。北京:中國社會科學,2008年。
談火生,《民主審議與政治合法性》。北京:法律,2007年。
燕繼榮,《政治學十五講》。北京:北京大學,2004年。
薩孟武,《西洋政治思想史》。台北:三民,1998年。

二、期刊論文
王玉葉,「 歐洲聯盟之輔助原則」,《歐美研究》, 第30卷第2期,2000年,頁1-30。
朱貴昌,「歐盟政體的特點與歐盟合法性問題之爭」,《當代世界社會主義問題》第2期,2008年,頁81-91。
伍慧萍,「歐盟治理中的公共領域與市民社會」,《德國研究》,第23卷第3期,2008年,頁4-10。
李綱信,「歐洲主權債信危機之分析」,《經濟研究》,第11期,2011年,頁231-258。
胡佛,「在經驗與規範之間:合法性理論的二元取向及意義」,《學術月刊》,第12期,1999年,頁77-88。
施正鋒, (2004). 「歐洲聯盟整合後的歐洲認同」,《歐盟的深化與廣化》,台北:前衛,2004年,頁167-192。
高奇琦,「歐盟民主赤字的爭論: 國家主義與多元主義的二元分析」,《世界經濟與政治》,第5期,2010年,頁80-101。
郝宇青,「論合法性理論之流變」,《華東師範大學學報》第39卷第5期,2007年,頁67-74。
徐揮彥,「從歐盟文化政策之發展與實踐論文化權之保障:以文化多樣性為中心」,《歐美研究》,第30卷第4期,2008年,頁 671-751。
許國賢,「商議式民主與民主想像」,《政治科學論叢》,第13期,2000年,頁61-92。
陳炳輝,「試析哈貝馬斯的重建性的合法性理論—兼與胡偉同志商榷」,《政治學研究》,第2期,1998年,頁81-87。
陳俊宏,「永續發展與民主:審議式民主理論初探」,《東吳政治學報》,第9期,1998年,頁85-122。
黃英哲,「歐洲聯盟文化政策與歐洲認同」,《國立歷史博物館學報》,第42期,2010年,頁129-155。
張文貞,「公民複決修憲在當代憲政主義上的意涵」,《臺灣民主季刊》,第3卷第2期,2006年,頁 87-117。
張洋培,「歐盟公民權之發展及對台灣之啟示」,《歐盟全球化:危機或挑戰?》,台北:東吳大學, 2006年,頁187-198。
張磊,「歐洲議會與里斯本條約: 動力、變革和挑戰」,《歐洲研究》,第3期,2010年,頁47-70。
盧倩儀,「審議式超國家主義」,《問題與研究》,第43卷第6期,2004年,頁53-71。
鄭春榮,「歐盟委員會與公民社會關係的變遷與反思」,《歐洲研究》,第1期,2009年,頁126-139。
鄭慧,「歐洲深陷主權債務危機的原因及啟示」,《中國金融》, 第17期,2011年,頁43-45。
歐陽承新,「歐債問題與歐元前途」,《國際經濟情勢雙週報》,第1708期,2010年,頁 5-19。
藍玉春,「從建構主義探討形塑中的歐洲認同」,《全球政治評論》第25期,2009年,頁81-116。
蘇宏達,「里斯本條約生效後對歐盟對外行動能力與民主治理機制可能的影響」,《政治科學論叢》第40期,2009年,頁81-126。

三、譯作
王浦劬譯,David Easton著,《政治生活的系統分析》。台北: 桂冠圖書,1992年。
佟心平等譯,Jean-Marc Coicaud著,《合法性與政治》。北京: 中央編譯,2008年。
李少軍等譯,David Held著,《民主的模式》。台北:桂冠圖書,1995年。
—————,George H. Sabine著,《西方政治思想史》。台北:桂冠圖書,1995年。
李金梅譯, Ernest Gellner 著,《國族與國族主義》。台北:聯經,2001年。
李柏光等譯, Robert A. Dahl 著,《論民主》。 台北: 聯經,2002年。
吳叡人譯,Benedict Anderson著,《想像的共同體:民族主義的起源與散布》。台北:時報,1991年。
陳思仁等譯,Eric Hobsbawm,《被發明的傳統》。台北:貓頭鷹,2002年。
曹衛東譯,Jurgen Habermas著,《包容他者》。上海:上海人民,2002年。
曹衛東譯,Jurgen Habermas著,《後民族格局》。台北:聯經,2002年。
劉北成譯,Jurgen Habermas著,《合法化危機》。台北:桂冠圖書,1994年。
劉軍寧譯,Samuel P. Huntington著,《第三波:二十世紀末的民主化浪潮》。台北:五南,2008年。

四、論文
黃英哲,《歐洲整合與會員國國會之互動—以法國國會對歐盟立法之監督為例》,淡江大學歐洲研究所碩士論文,1999年。

五、其他
江宜樺,「公共領域中理性溝通的可能性」,《公共知識份子與現代中國國際學術研討會》, 上海華東師範大學中國現代思想文化研究所,2007年3月。
孫治本,「哈伯馬斯論國家與公民社會」 ,《哈伯馬斯研討會》,中央研究院歐美所,2009年10月。

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