【作者】 卢光盛；

【导师】 樊勇明；

【作者基本信息】 复旦大学 ， 国际政治， 2006， 博士

【摘要】 这是一篇用地区主义相关理论来研究东盟地区经济合作的论文。一般认为，地区主义主要是指地理范围毗邻的一组国家之间为了寻求国家和地区利益而开展的政治、经济方面的合作实践，以及由此体现出来的思想与信念。从本质上讲，地区主义是研究地区合作中国家与市场、也即政治权力与市场机制如何彼此作用、相互博弈的理论。传统上，地区主义研究有着政治学和经济学两个主要研究方法，而本文选择的是体现两者交叉的国际政治经济学(IPE)的分析视角，从国家与市场互动的角度来讨论地区主义。在案例上，本文选择东盟的地区经济合作为考察对象；在目标上，本文的主要任务是探讨东盟经济合作的内容、制度、绩效、性质及前景。本文的基本思路及主要内容是：首先，介绍地区主义的基本概念与相关理论，然后提出自己的分析框架，以政治经济互动为核心，建构以国家与市场为主要视角的地区主义分析框架。这里所谓的国家是指以主权与安全为核心的国家政治权力和政治意愿，所谓的市场主要是指在资源配置、商品交换和资本流动中的市场竞争机制。第二，运用这个框架对东盟经济合作这一具体案例进行分析，从内、外两个层面对东盟经济合作的进程及内容进行讨论；第三，从制度与绩效两方面对东盟经济合作的合作形式及作用进行探讨；第四，对东盟经济合作的核心动力进行剖析，分析东盟经济合作的主要特征及内外制约因素，并对东盟经济一体化的发展前景进行展望。论文全文约18万字，除引言及结论部分外共分5章，各章主题及要点如下：第一章题为“地区主义的一般理论”。第一节主要介绍地区主义研究的相关概念，为全文铺垫地区主义研究的一般背景。第二节主要讨论地区主义研究的主要理论、基本逻辑和研究方法。在简要介绍地区主义研究的政治学和经济学两大方法的基础上，本文总结了地区主义研究的几条基本逻辑，认为地区主义研究将遵循折中的方法来进行。第三节将国家与市场这一典型的国际政治经济学分析角度，引入到地区主义的研究当中。本章提出，追求主权与安全的国家以及追求财富与效率的市场，分别对地区主义构成重大影响，国家与市场的互动从根本上制约着地区主义的性质及发展。第二章题为“东盟内部的地区经济合作”。从本章开始，论文分别从内、外两个层次对东盟经济合作进行讨论。第一节主要梳理东盟地区经济合作的历史脉络，为下文分析提供纵向的发展线索。接下来的第二到第四节，论文分别从“内部贸易合作”、“工业、投资与次地区合作”以及“地区金融合作”三个横向角度介绍东盟经济合作的主要内容。第五节主要从国别的角度，讨论了地区经济合作中的东盟6个主要国家(新、泰、马、印尼、菲、越)。第三章题为“东盟对外的地区经济合作”。本章从外部层次讨论了对东盟地区经济合作具有重要影响的外部国家与市场，在内容上主要涉及贸易和投资两大方面。第一节主要分析的是美、日、欧三方，它们对于东盟的地区经济合作有着重大影响。第二节简要讨论了澳大利亚、韩国和印度分别与东盟开展合作的情况，它们是东盟经济合作中相对次要的外部国家。第三节特别讨论的是东盟-中国的地区经济合作，并对东盟-中国和东盟-印度的地区经济合作进行了简要比较。第四节简单讨论了东盟与其他国际经济组织的合作，侧重于亚太经济合作组织以及亚欧会议。第四章题为“东盟经济合作的制度与绩效”。与前两章着重于进程和内容不同，本章的重点在于集中分析东盟经济合作的机制及作用。第一节首先讨论了地区主义与国际制度的密切关联，然后对东盟经济合作进行国际制度的分析。论文认为，东盟经济合作有着一系列的原则、规范、规则与决策程序，它们实际上是经济地区主义的“东盟方式”。对于东盟经济合作的绩效评估，构成了本章的第二节。本节认为，东盟经济合作有着政治与经济的双重作用，既有静态的也有动态的效应。本节重点对东盟地区经济合作所带来的经济效应进行讨论，从地区经济合作与各国经济增长的关系、地区竞争力、内部市场成长与外部市场拓展等方面分析了正面效应。但论文也认为，东盟地区经济合作的作用是有限的，表现在对经济增长的直接推动力有限、未能有效引导产业结构调整、没有形成地区经济整体性以及制度建设还有较大缺陷等方面。第五章题为“东盟经济合作的动力与前景”。本章的前两节分别讨论了国家和市场在东盟经济合作中的地位与作用。论文认为，国家在东盟经济合作中有着主导作用，而市场则有着导向作用，特定的国家与市场条件决定着东盟经济合作的发展及性质。国家层面的牢固主权观、对安全的高度关切、外部大国的重要影响，以及市场层面的经济发展水平普遍较低、内部市场的狭隘、对外部市场的高度依赖，共同制约着东盟经济合作及东南亚地区主义的发展及性质。受其影响，东盟经济一体化发展有着向东盟经济共同体升级、向东亚范围扩展的两个趋势，它们将给东盟经济合作发展带来新的机遇和挑战。更多还原

【Abstract】 This paper is titled ASEAN’s Economic Cooperation: a Regionalism Perspective.Regionalism in this paper is defined as the practice and faith on political and economic cooperation which are carried out by some adjacent nations, with a goal to attain national and/or regional interests. Essentially, regionalism is a theory on the interactions between state and market or political power and market mechanism.There are two traditional approaches to regionalism study, namely, political and economic ones. The author of this paper chooses the International Political Economy (IPE) approach which treats and market as the most important analytical dimensions, to discuss regionalism. In order to analyze the objective, the author choses ASEAN’s economic cooperation as a case study. The main objective is to study the content, institutions, performance and characteristics of ASEAN’s economic cooperation.The contents of this paper include: (a) the key definitions and relevant theories of regionalism, and IPE analytical framework of regionalism; (b) the case study on ASEAN’s economic cooperation, including internal and external perspectives; (c) the international institutions and performance in ASEAN’s economic cooperation; and (d) the dynamics and future of ASEAN’s integration.Besides Introduction and Conclusion, there are 5 chapters in this paper, total 180 thousand Chinese words. The subject and outline of each chapter are as follow:Chapter One is titled The General Theory on Regionalism. In the first section, the author discusses the definitions of region, regionalism, regionalization, regionness and integration. In the second section, the author explores, based on the introduction of the two traditional political and economic approaches, the basic logic on regionalism, and argues that regionalism study needs an eclectic approach. The third section uses the IPE framework to analyze regionalism. The conclusion of this chapter is that the state and market, of which the key interests are defined respectively by security-power and wealth-efficiency, have a great impact on the characteristics and evolution of regionalism.Chapter Two is titled ASEAN Internal Regional Economic Cooperation. From this chapter on, this paper begins to analyze ASEAN’s economic cooperation at internal and external levels for the sake of discussion convenience. This chapter includes 5 sections. The first section is mainly about the historical background and evolution clues of ASEAN’s economic cooperation. The following three sections include internal trade cooperation, industrial cooperation, investment cooperation and sub-regional cooperation, and regional monetary cooperation. The final section makes a special discussion of the 6 key ASEAN member-states, e.g. Singapore, Thailand, Malaysia, Indonesia, Philippine and Viet Nam, in regional economic cooperation.Chapter Three is titled ASEAN’s External Economic Cooperation. Foreign states and markets which have great impact on ASEAN are discussed in this chapter, mainlyfrom the perspectives of trade and investment. Section one is about the United State, Japan and European Union, which are three of the most important partners to ASEAN. Section two makes some discussions on the other important partners, such as Australia, Korea and India. Section three makes a detailed discussion on the economic cooperation between ASEAN and China, with a conclusion that there are both competition and complementarity relationships in this cooperation. In the final part of this section, the author makes a comparative study on the economic cooperation between ASEAN-China and ASEAN-India. The fourth section discusses the economic cooperation between ASEAN and the other regional economic organizations, especially for the Asia-Pacific Economic Cooperation (APEC) and Asia-Europe Meeting (ASEM).Chapter Four is titled ASEAN’s Economic Cooperation: Institutions and Performance. Different from the previous two chapters which are mainly about the contents of regional cooperation, this chapter is to explore the characteristics of this cooperation. Based on the close relations between international regime and regionalism, the author makes a discussion on the regime of ASEAN economic cooperation. There are a series of principles, norms, rules and decision-making procedures in ASEAN’s economic cooperation. These four factors can be named as the ASEAN Way on Regionalism. The discussion on the political and economic performance for this regime is in the second section. The author argues that regional economic cooperation brings positive effect to ASEAN, such as on economic growth, regional competitive ability increasing, regional market development and foreign market access. But there are also some limitations in this economic cooperation, such as its failures to upgrade member states’ industrial structure, and deficiency on regional cohesiveness and institutions building for ASEAN economic cooperation.Chapter Five is titled The Dynamics and Prospect of ASEAN’s Economic Cooperation. In the first two sections, the author argues that ASEAN’s economic cooperation is state-led and market-oriented. The certain conditions of state and market have a decisive impact on ASEAN’s regionalism. In the third section, the author argues that there are two development tendencies for ASEAN’s integration, e.g. from Free Trade Area (FTA) to Economic Community and from Southeast Asia to East Asia, which bring ASEAN both opportunities and challenges.更多还原