【作者】 罗霄；

【导师】 倪世雄；

【作者基本信息】 复旦大学 ， 国际关系， 2008， 博士

【摘要】 2005年5月-6月,《欧盟宪法条约》先后在法国和荷兰的全民公决中遭到否决,欧盟制宪危机爆发,制宪进程自此陷入了长达两年的反思期。2007年12月,欧盟成员国首脑正式签署了《欧盟宪法条约》的修改简化版本——《里斯本条约》,制宪进程重新启动。欧盟制宪危机是欧洲一体化进程中最严重和复杂的一次危机,它是一体化在面临方向性选择阶段中各种矛盾的浓缩体现,是对欧洲一体化发展所面临的制度障碍和未来走向的思考。本文从欧盟制宪危机这一微观事件入手,对欧洲一体化的发展进程进行解读,采取综合研究方法,借助理论分析、历史分析、实证分析、博弈分析工具,将欧盟制宪和欧洲一体化研究置于全球化的宏观背景之下,剖析欧盟制宪受挫的根源要素,分析区域一体化的本质,并对欧洲一体化进程的整体趋势做出分析判断。论文根据2005年《欧盟宪法条约》表决前后欧盟官方民调机构“欧盟晴雨表”发布的相关调查报告,归整出导致欧盟制宪陷入危机的主要因素,对欧盟制宪危机进行多视角探讨。文本层面,通过对欧盟宪法两个版本的解读,本文认为《欧盟宪法条约》的文本本身存在着诸多硬伤,无法解决欧盟积聚已久的成员国间分歧、欧盟内部权力之争等矛盾。虽然《里斯本条约》的出台有助于欧盟东扩后的改革,但其替代条约的性质恰恰反映出欧洲一体化进程仍然交织着政府间主义与超国家主义、经济一体化与政治一体化、社会模式选择等深层次矛盾。经济层面,当前欧盟发展面对成员国经济水平严重的不平衡性,经济实力的失衡造成了诉求的差异,尤其是东扩后成员国间经济利益的冲突有所加剧。由于国家利益与欧洲利益存在着天生的悖论,而在《欧盟宪法条约》的宪政制度框架下,欧盟的任何一项决策过程都很难在追求欧盟整体利益最大化的同时,做到国家利益间的绝对公平,不同的政策和条款总是更倾向于代表和促成某一或某些特定国家及群体的利益,甚至部分损害或潜在损害了其他成员国的利益,这是导致欧盟制宪危机的经济基础。社会层面,欧洲认同的缺失已日益成为欧洲一体化进程中的瓶颈。本文关于欧洲认同和民族认同的实证比较证明了欧洲认同是一个复杂、模糊、难以界定的概念,欧洲认同和民族国家认同的优先级取决于不同的内容,且因国民而异。《欧盟宪法条约》在法国和荷兰被民众否决表明,欧洲一体化未来的发展已很难再以签订条约的方式推进,而是更依赖于成员国民众的认可。鉴于东扩后欧盟成员国国间同质性减少,差异性增大,只要各国在经济和社会模式指标上未能取得较大程度的趋同,即使《里斯本条约》已经通过,其完全实施仍将面临诸多障碍。政治层面,本文基于地缘政治立场,着重分析了欧洲一体化“三驾马车”法国、德国、英国以及美国的地缘政治原则与利益分歧。欧盟制宪危机反映出欧盟已从较稳定的法德核心格局转变为成员国间基于利益的联合格局,成员国围绕三驾马车形成了不同的地缘共同体,欧盟正陷入一种“建设性模糊”,从而对制宪进程起到了离散影响。主权层面,论文运用博弈分析方法,从民族国家的主权让渡层面解读了欧盟制宪,制宪危机验证了欧盟仍停留于政府间的机制阶段,国家利益仍然是成员国考虑的首选因素,一体化只有在满足所有成员国的利益预期条件下才可能顺利推进。就长期而言,欧盟将是一个超国家因素更趋明显、一体化程度更深入的区域性国际组织,而不是一个国际法意义上的联邦国家。论文在对欧盟制宪危机根源多维度探析的基础上,对一体化的阻力因素和动力因素做出了进一步探讨。欧盟制宪危机充分暴露出欧洲一体化进程中存在着忠诚转移难题、主权让渡难题、成员国目标分歧、反全球化思潮、跨国政党政治干扰等诸多障碍,蕴藏着集体与个体的利益冲突、大国与小国的利益冲突、先行者与后来者的利益冲突、精英与民众的利益冲突。本文最后提出,制宪危机并未模糊一体化的方向,欧洲一体化进程不可逆转;面对经济全球化,欧洲一体化进程仍只可能在成员国的掌控下进行深化,推动一体化的基本动力主要在于:一体化磁场效应的有效放大与扩散、民族国家对于超国家调控依赖程度的加深以及国家主权让渡收益的不断增加。更多还原

【Abstract】 The EU Constitutional Treaty was vetoed in the referendum in France and Holland, and thereafter led to the EU Constitution building crisis which was followed by two years of retrospect on that problem. In December 2007 EU members signed the amended and simplified version of The EU Constitutional Treaty—Lisbon Treaty; hence the course of Constitution-making got rebooted. The EU Constitution building crisis, the most serious and complicated case in European Integration process, mirrors various conflicts arising in the phase of orientation option and has evoked reflections on the obstructions and possibilities of European Integration and development.This dissertation analyzes the development of European Integration through the study of the EU Constitution building crisis. Comprehensive methodologies, including theory analysis, history analysis, empirical analysis and game analysis, are employed to explicate the primary factors that have resulted in the setbacks of The EU Constitution making in terms of globalization, and to explain the essence of European Integration as well as its direction of development. The main causes for the Constitution building crisis are illustrated multi-perspectively in the light of the official reports from the Eurobarometer polls before and after The EU Constitutional Treaty referendum in 2005.The textual analysis of the two versions of EU Constitution reveals the flaws and weaknesses in the text itself. The Constitution can’t mitigate and prevent conflicts and struggle for power among EU members. Though Lisbon Treaty can help in the reform after the EU Eastern Enlargement, its nature as a substitute treaty manifests great contradictions between intergovernmentalism and supernationalism, between economic integration and political integration, and in the choice of social mode.From the economic point of view, there lies serious imbalance in the EU members’ economic levels and difference in needs. The conflict of economic interests is getting fiercer after the Eastern Enlargement. Under the framework of The EU Constitutional Treaty, decision-making in most cases tends to represent and protect the interests of certain nations and groups at the sacrifice of other EU members. The inability to achieve absolute justice among nations while seeking the joint interests of the European Union as the first priority is the economic basis for the EU Constitution building crisis.The social perspective presents the lack of recognition in Europe as the choke point in the course of European Integration. The empirical study on European recognition and national recognition proves that European recognition is a complex and ambiguous concept and that the priority of European recognition and national recognition is determined by various factors and differs from nation to nation. The veto on The EU Constitutional Treaty in France and Holland manifests that the future of European Integration cannot count on treaty any more, but on the public recognition of nations members. After the Eastern Enlargement, EU members get more diversified, with their economic and social mode varied; and therefore it’s hard to implement Lisbon Treaty though passed.Based on the theory of geo-politics, this dissertation studies in depth the geo-political principles and distinct interests of France, Germany and Britain—the EU "Troika" as well as the US. The EU Constitution building crisis reflects that the structure of the EU has transformed from the solid Franco-German Axis to unity among EU members grounded on common benefits. With the members establishing diverse GeoCommunities around the Big Three, the EU is getting into "constructive ambiguity" and thus curbs the process of Constitution making.In terms of sovereignty, this dissertation employs the methodology of game analysis and points out that the EU still lingers in intergovernmental mechanisms and that national interest remains the primary concern among EU members. European Integration can hardly get through unless all the expectations from the members are satisfied. In the long term, the EU will be a regional international organization with more obvious supranational elements and deeper integration, rather than a federal state in the sense of International Law.Following the multidimensional study on the roots of the EU Constitution building crisis, this dissertation probes further into the factors of resistance and drive for European Integration in the context of globalization. The crisis exposes the problem of loyalty transfer, sovereignty transfer, anti-globalization trend, and cross-national political intervention. Underlying the crisis are the conflicts between collective and individual, between small nations and big nations, between predecessor and follower, and between elites and mass. In conclusion, this dissertation holds that the drive for European Integration in the tide of globalization includes the magnification and pervasion of the integration magnetic field, the deepening of nation-states’ dependence on supranational manipulation and the increase of sovereignty transfer benefits to nation-states.更多还原