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中文論文名稱 新現實主義下歐盟共同外交及安全政策之發展與前景
英文論文名稱 The Development and Prospect of the Common Foreign and Security Policy of the European Union – A Neo-realist Analysis
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 102
學期 2
出版年 103
研究生中文姓名 沈娟娟
研究生英文姓名 Jiuan-Jiuan Shen
學號 894030047
學位類別 博士
語文別 中文
口試日期 2014-06-09
論文頁數 274頁
口試委員 指導教授-鄒忠科
委員-郭武平
委員-羅致政
委員-鄒忠科
委員-汪毓瑋
委員-張福昌
中文關鍵字 共同外交及安全政策  里斯本條約  歐洲安全  新現實主義  大西洋聯盟 
英文關鍵字 CFSP  Lisbon Treaty  European security  neo-realism  transatlantic alliance 
學科別分類
中文摘要 馬斯垂克條約建立了共同外交及安全政策、將合作擴展至具有軍事意涵的安全議題上、以及後續的共同外交及安全政策相關的條約改革,都必須從特別的安全考量以及全面的政治背景檢視。國際政治環境-包括國際體系結構、跨大西洋兩岸的關係、以及整體的歐洲安全議題等-和歐洲統合運動的進程都對共同外交及安全政策產生相當大的影響。
  本文將採取新現實主義的途徑進行。新現實主義主張國家會試圖透過權力最大化的方式,確保其自身安全。然而如果採取權力最大化的作法會使其反而陷入不安全的風險中,則國家將轉而只追求安全的最大化,同時也不再追求領土占領目標,而改為追求環境型塑的目標。在無政府的自助國際體系裡,強權們有三個主要的政策選項:平衡策略、諉責策略、以及扈從策略。在檢視共同外交及安全政策的歷史、制度、及政治背景之後,本文發現,歐盟會員國在共同外交及安全政策底下的合作比較像是集體進行環境型塑的計劃行動,企圖透過平衡策略、諉責策略、以及扈從策略三者的彈性使用,達到其安全最大化之目的。本文同時也發現,歐盟國家對於共同外交及安全政策的進展相當謹慎,擔心其發展有可能傷害到國家的外交政策自主性與主權,因此抗拒其改革合理化的進行。因此,歐盟會員國阻礙共同外交及安全政策功能最佳化的政治意志,也是何以共同外交及安全政策的進展表現差強人意的重要原因之一。這一點,從本文對於歐盟對外行動部的發展過程以及在第二柱石下的歐盟反恐建制的分析,都可以看到:會員國仍以本國而非歐盟為中心思考歐洲安全問題,而美國和大西洋聯盟這兩個因素從冷戰至今仍左右著共同外交及安全政策的發展方向。
英文摘要 The creation of the Common Foreign and Security Policy in the Maastricht Treaty, the idea of expanding the cooperation to security issues with military meanings and the follow-up treaty reforms on CFSP must be viewed both against the specific security as well as the general political background. The international political environment -including the structure of the international system, the transatlantic relationship and European security issues as a whole- and the progress of European integration both have strong impact on the development of CFSP.
This study will proceed through the lens of neo-realism. Neo-realism claims states will try to assure their security by maximizing power, but if doing so would risk undermining their security, they will only focus on security maximization and pursue milieu goals instead of possession goals. In anarchical self-help system, great powers have three main options: balancing, buckpassing and bandwagoning. After examining the historical, institutional and political background of the CFSP, this study find that EU member states’ cooperation in CFSP is more like a collective attempt at milieu shaping, seeking to maximize their security through the flexible uses of balancing, buckpassing and bandwagoning strategies. This study also find that the member states’ political wills to prevent the CFSP from being best equipped may be an important reason why CFSP has progressed poorly.
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 5
 第二節 研究方法與名詞釋義 6
  一、研究方法 6
  二、名詞釋義 9
 第三節 文獻評析 10
  一、一般性與個案研究的著作 12
  二、歷史發展與制度沿革 13
  三、歐盟的角色/身份問題 14
  四、歐洲化 17
  五、國際關係理論的著作 21
  六、官方文件 23
 第四節 研究範圍與限制 24
  一、研究範圍 24
  一、研究限制 25
第五節 研究架構與章節安排 25
  一、研究架構 26
  二、章節安排 28
第二章 理論基礎:新現實主義的分析途徑 31
 第一節 新現實主義的基本主張 32
  一、渥茲的結構理論 32
  二、新現實主義的核心論點 36
  三、新現實主義與國際安全合作 42
  四、新現實主義的批判 48
 第二節 新現實主義與歐洲研究 53
  一、國際合作問題 58
  二、新現實主義與歐盟外交、安全、防衛政策合作 59
  三、新現實主義途徑研究CFSP 61
第三章 歐盟共同外交及安全政策的發展 59
 第一節  制度基礎的奠立-從EPC到CFSP 59
  一、戰後歐洲安全整合的努力-歐洲防衛共同體計劃 59
  二、歐洲政治合作 62
  三、單一歐洲法 68
第二節 歐洲聯盟條約與CFSP柱石的成立 72
  一、CFSP的目標與會員國之義務 74
  二、CFSP的運作方式與組織 75
  三、CFSP的政策工具 76
  四、CFSP的任務範圍 78
  五、防衛條款 78
 第三節 CFSP的改革-從阿姆斯特丹條約到尼斯條約 79
  一、新挑戰與改革的需求 80
  二、CFSP行政管理與相關組織的調整 83
  三、1996年政府間會議與阿姆斯特丹條約 86
  四、尼斯條約(the Nice Treaty) 93
第四章 里斯本條約後的CFSP 96
 第一節 歐洲憲法條約與里斯本條約的改革 96
  一、歐洲憲法條約 96
  二、里斯本條約的重要改革 98
 第二節 歐盟對外行動部 104
  一、里斯本條約生效前歐盟對外政策管理的問題 105
  二、理事會的「成立歐盟對外行動總部之組織及運轉決定」106
  三、EEAS的職責範圍 107
四、EEAS的組織架構 113
  五、EEAS的行動力評估 118
 第三節 CFSP與歐盟反恐行動 125
  一、CFSP下反恐框架的建立背景 126
  二、CFSP下的反恐框架建設 129
  三、CFSP的反恐安排評析 135
第五章 國際安全議程對CFSP之影響 139
 第一節 國際體系變遷與美國霸權 139
  一、國際結構的極化特徵 140
  二、冷戰的兩極國際體系與歐洲安全問題 141
  三、單極國際體系與美國的新霸權 142
 第二節 後冷戰時代歐洲的新安全問題 153
  一、安全的概念 153
  二、冷戰期間的戰略思維 154
  三、冷戰結束後歐洲安全概念的轉變 155
  四、二十一世紀的新安全威脅與歐洲安全戰略的發展 161
  五、歐盟及其會員國的調適 163
 第三節 大西洋安全框架對CFSP的制約因素 165
一、冷戰期間的跨大西洋關係 166
  二、冷戰結束後的跨大西洋關係變化 167
  三、歐盟與北約關係的調整 168
第六章 歐盟統合進程對CFSP發展之影響 177
 第一節 歐盟的角色/身份與CFSP的目標 177
  一、歐盟的全球治理企劃 178
  二、歐盟的身份問題 179
  三、歐盟的自我認知-有效的國際/全球行為者角色 187
 第二節 歐盟利益與會員國利益 191
  一、國家利益開啟的序幕 193
  二、英國的國家利益考量 195
  三、法國的國家利益考量 197
  四、德國的國家利益與限制 201
  五、國家利益與歐盟計劃 203
 第三節 歐盟制度對CFSP的助益與阻礙 206
 一、制度的作用 206
 二、歐盟制度的阻力與助力 208
 三、歐盟的結構外交政策 212
第七章 評估與展望 217
第一節 CFSP-歐洲的「新」新現實主義 217
  一、新現實主義與歐洲國家的安全合作 217
  二、歐美關係調整 219
  三、歐盟的調適 221
  四、CFSP發展與新現實主義策略 224
 第二節 展望CFSP的前景 227
  一、「益加緊密」(Ever Closer)而非「最緊密的」(Closest)聯盟 227
  二、展望 244
第八章 結論 239
 第一節 研究發現 239
 第二節 研究建議 244
附錄一 CFSP大事年表 247
參考文獻 249
圖表目次
圖1-1 研究架構圖 27
圖4-2-1 EEAS組成結構圖 115
表4-2-1 EEAS管理委員會組織表 116
表4-3 歐盟CFSP下與反恐相關的發展 130
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