從德國聯邦制度論歐洲聯盟整合趨勢

An analysis of EU integration trends of the standpont of German federalism

吳振逢(Tschen-Fong Wu)

指導教授 ： 蔡政文

共同指導教授 ： 許智偉

淡江大學/國際研究學院/歐洲研究所博士班/博士(2010年)

https://doi.org/10.6846/TKU.2010.00159

摘要

學者葛漢（Robert Keohane）認為，1992年簽署的「馬斯垂克條約」（Maastricht Treaty）通過了經濟、貨幣聯盟及歐盟三支柱，使歐洲聯盟進入一個新的階段，歐盟組織正在影響國際社會主要行為者國家的利益。歐洲聯盟未來的發展值得吾人關注，雖然憲法條約批准遭遇困境，但是歐洲聯盟經過50餘年的發展，歐盟機構已經建立穩固的運作機制，究竟歐盟整合趨勢能否順利從邦聯逐漸發展到聯邦，有待進一步觀察與研究。同時，就目前歐盟朝聯邦主義發展似乎與德國聯邦主義比較相似，德國聯邦制度是否影響歐盟整合，值得加以研究。

本論文以聯邦主義特性作為研究途徑，從制度及政策面來探討歐洲聯盟的聯邦主義趨勢，並藉由德國聯邦主義特色，來比較歐盟的運作，以檢證歐盟整合發展趨勢，是否可能為德式方向。在研究方法方面，以歷史研究法、文獻分析法、比較法及因果分析為主，透過歷史資料及文獻的比對、分析，以期作正確的研判與解讀；以比較法探討德國聯邦主義特色與歐盟機制及運作特性之共通點及差異性；並以因果分析檢視歐洲整合相關進程，歸納及分析造成整合進程重要結果的預測變數，提出發現及研究心得。

本論文共有九章，第一章導論、第二章德國聯邦制度的特性及運作、第三章歐洲整合過程的回顧、第四章歐盟制度整合的聯邦主義趨勢、第五章歐盟政策整合的聯邦主義趨勢、第六章歐盟與德國聯邦制度特色之比較、第七章歐盟整合趨勢之德式方向、第八章評估與展望、第九章結論。

經由德國聯邦主義特色相較於歐盟機制及運作特性，發現很清楚及契合的共通處，且在制度面及政策面均可找到德國聯邦制度影響歐洲整合的案例，並藉由德國學者波爾扯（Tanja A. Boerzel）的論述指出，歐盟應如何由德國的實例改善歐盟在效率方面的問題及民主合法性的困境。

歐盟機構的功能與運作，在許多方面與實際運作的聯邦相似，這是歐盟為何經常被觀察者及評論者感到接近歐洲聯邦的例子。但是，一般認為歐盟已經發展到超越國際組織或邦聯形式，不用變成一個聯邦實體。無論如何，很少人期望歐盟發展成一個聯邦意義的真正聯邦國家。

關鍵字

歐盟 ； 歐洲整合 ； 聯邦主義 ； 德國聯邦制度 ； 歐洲聯盟整合趨勢 ； 輔助原則 ； 民主合法性

並列摘要

As Prof. Robert Keohane pointed out, “In 1992, the EC signed the Maastricht Treaty, establishing the European Monetary Union (EMU), and the three pillars of the EU, enabling the European Union to enter a new era. EU organizations’ new functions are changing the interests of the international community’s main actor: i.e. the nation state.” This aspect of the EU’s development deserves to be explored further. Although the EU Constitutional Treaty’s approval procedure has been locked in a stalemate, after 50 years of EU Integration, its Institutions have developed a stable operations mechanism, and the subject of whether the EU can successfully and smoothly transform from a confederation to a federation requires further observation and analysis. In addition, EU Integration trends appear similar to those of German federalism, and the question of whether German federalism has influenced EU Integration deserves to be explored further.

Federalism is the basis of the dissertation’s approach, and the EU’s development trends are explored from the level of system and policy, through the distinctive features of German federalism in comparison with EU institutional operation, to review EU integration trends, in order to discover whether the EU could be following the German route in this respect. The analytical approach includes historical research, information analysis, comparative research and cause explanation, using the analysis and collation of historical materials to ensure accurate conclusions and explanation, and using comparative research to explore the distinctive features of German federalism and the EU’s institutional operations mechanism as well as to examine the similarities and differences. Using causal explanation to review the processes of European integration, we will classify and analyze the independent elements that led to the current situation, and then propose research findings.

The dissertation includes nine chapters: Chapter one is the introduction, chapter two explores the distinctive features and operation of German federalism, chapter three is a review of the processes of European integration, chapter four describes EU federal trends in system integration, chapter five explores the EU’s federal trends in policy integration, chapter six compares the EU’s institutional operations mechanism with the distinctive features and operations of German federalism, chapter seven explores the German experience’s influence on EU integration trends, chapter eight contains an evaluation and outlook on the situation, and chapter nine is the conclusion.

By comparing the EU’s institutional operations mechanisms with the distinctive features of German federalism, one can discover clear similarities, and from the level of system and policy one can also find the influence of German federalism on European integration. In German scholar Prof. Tanja A. Boerzel’s point of view, the EU can learn from the German experience how to improve efficiency and deal with democratic deficit.

The functions and operations of EU institutions are similar in many respects to those of a working federation. These are just a few examples of how and why the EU is often perceived by observers and commentators as approximating to a federal Europe. But, it is also commonly agreed, that the EU has developed into more than an organization or confederation of states, without having become a federal entity, and few expect the EU to develop into a full-fledged federation in the sense of a true federal state.

並列關鍵字

European Union ； European integration ； Federalism ； German federalism ； European integration trends ； Principle of subsidiarity ； Democratic legitimacy

參考文獻

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李毓峰、劉書彬（2007），〈歐洲憲法條約建構下的歐盟政體〉，《人文及社會科學集刊》，19（1）：129-167。

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