影響新功能主義「溢出效果」之條件：歐洲整合（1986-2009）與兩岸關係（1987-2011）的比較分析

The Conditions of Neo-Functional Hypothesis About the Spillover Effect: The Comparative Analysis between European Integration (1986-2009) and the Cross-Strait Relations (1987-2011)

黃錦鐘(Chin-Chung Huang)

指導教授 ： 徐斯勤

國立臺灣大學/社會科學院/政治學研究所/碩士(2011年)

https://doi.org/10.6342/NTU.2011.01204

摘要

回顧這十多年來國內的兩岸關係研究，整合理論（integration theory）一直是最炙手可熱的研究途徑之一，其中又以新功能主義（neo-functionalism）最受到學者青睞，特別是新功能主義對於「溢出效果」（spillover effect）的假設及相關概念最常為國內學者所援引。但是國內研究僅側重溢出效果，缺乏對新功能主義進行深入及通盤性地討論，也忽略了新功能主義另外兩個核心假設：「溢出條件」（spillover conditions）及「政治化」（politicization）的重要性。準確來說，新功能主義的論述是建立在「溢出效果－溢出條件－政治化」的三階段整合論之上。除此之外，國內相關著作也甚少從理論層面試圖解決或是修正新功能主義分析架構的缺失。筆者認為，惟有深入走進理論、深刻了解理論的缺失，並對理論進行反思及補充，才能真正完善兩岸整合研究途徑，這也是本文的研究初衷。

立基於這樣的研究動機上，本文主要的研究目的除了重新檢視新功能主義理論外，也希望進一步完善新功能主義的「比較區域整合研究」架構，而後經由歐洲整合及兩岸關係的案例研究及比較分析，建構一個影響溢出效果的基本通則。本文將新功能主義的研究架構予以適度補充及修正後，提出了「結構條件」、「過程條件」、「外部因素」等三組溢出條件的分析架構，其中分別包括了政治體大小、政治制度、軍事與國家安全威脅；交流與互動頻率、政治菁英的態度與共識、市民社會的認同與民意；國際環境因素、霸權國家的角色與態度等共八個條件。

總結而言，本文有三大研究結果及學術貢獻：第一，本文「推導出溢出條件與歐洲整合及兩岸關係的因果關係」；第二，本文「區分及釐清了溢出條件的權重值」；第三，本文「建構了一個影響溢出效果的基本通則」。而這三項研究發現及成果，也正是新功能主義分析架構及國內相關研究所缺乏的，因此本文研究基本完善了相關新功能主義及兩岸整合研究的不足。

關鍵字

新功能主義 ； 整合理論 ； 歐洲整合 ； 兩岸關係 ； 溢出效果 ； 溢出條件 ； 政治化

並列摘要

Integration theory has been widely used in recent cross-strait relations studies, particularly since Taiwan-Mainland China interactions began in the early 1990s. Most researchers favor the neo-functionalism; they try to propose the functional integration model to resolve the political dispute between Taiwan and Mainland China. Also, they usually quote the “spillover hypothesis” to estimate and predict the future development of cross-strait relations.

The neo-functionalists not only dedicate to provide a more satisfactory explanation to the European integration process but also try to construct an analytic model about the comparative studies of regional integration. Exactly, the main contents and core hypotheses of neo-functionalism are based on “spillover effect－spillover conditions－politicization”, that so called “three steps integration process”. However, the perspectives of neo-functionalism have been criticized. These authors did not clarify the relationships between spillover conditions; nor did they distinguish the priorities among them. Moreover, they neglected the importance of the external factors in regional integration process. As yet we have too few articles in Chinese to be able to discuss the contents of neo-functionalism in depth. Furthermore, the Chinese researchers also failed to offer new approach or analytic structure to revise or improve the perspectives of neo-functionalism.

Based on the above mentioned reflections and criticisms, this article tries to comprehensively retrospect the contents of neo-functionalism and assesses its strengths and weaknesses. Besides, this article also dedicates to improve and complete the analytic structure of neo-functionalism and then establishes a general principle of the “spillover hypothesis” through the comparative studies between European integration and the cross-strait relations. In this article, I suggest a pattern of eight variables (spillover conditions), includes Structural conditions: 1) size of the units, 2) political systems, 3) threats to military and national security; Process conditions: 4) rate of transactions, 5) attitudes and concerns of political elites, 6) identifications and public opinions of civil societies; External factors: 7) international system and great events, 8) roles and attitudes of hegemonic state.

In general, there are three major academic contributions in this article. First, this article not only clarifies the relationships between the spillover conditions and European integration, cross-strait relations but also spells out the relationships between these variables. Second, it distinguishes the priorities and weights among these spillover conditions. Third, this article establishes a general principle of the “spillover hypothesis” as well. In the end, I expect these three research findings could complete the comparative approach about the regional integration of neo-functionalism.

並列關鍵字

Neo-Functionalism ； Integration Theory ； European Integration ； Cross-Strait Relations ； Spillover Effect ； Spillover Conditions ； Politicization

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