欧盟东扩及其制度互动
摘要
本文以新制度主义政治学为理论支点，以欧盟通过东扩实现制度扩张及中东欧向欧盟制度主动趋同的进程为背景，以东扩引发的制度变迁和制度对撞为研究对象，从分析考察东扩进程对于双方政治权力制度和经济治理制度的双向冲击及正负面影响入手，系统研究了欧盟东扩引发的欧盟制度局部调整与全面改革、及中东欧新成员国国内制度的欧洲化转轨之双重进程，分析总结出东扩制度互动的规律、模式与渠道，并在此基础上构筑了一种解释转型国家与超国家机构之间制度互动的实验性理论模型“锢囚锋理论”，从理论高度上对现实规律进行归纳。
本文认为：通过制度扩张实现“欧洲大一统”理念是欧盟执意东扩的驱动力量和本质意图：制度趋同是中东欧新成员国“回归欧洲”的必由之路。这决定了东扩对于中东欧新成员国是一次重新塑造国内制度、实现全面欧洲化转轨的历史契机；对于欧盟则是一次制度一体化的深化，是一次制度扩张与制度消化能力的考验，也是一次实施全面制度改革的巨大推动。只有东扩给欧盟造成的制度扩张能力挑战和给候选国造成的制度转轨压力才能打破双方原有的制度惰性和路径依赖。通过系统研究两种制度“对撞”给双方政治权力制度与经济治理制度各个子系统造成的巨大冲击力，以及双方相互调整、相互适应、相互趋同的制度变迁过程，本文分析了欧盟与新成员国因应东扩制度变革压力而实施的制度变革举措及其背后主要的驱动力量、互动手段和作用途径，进而构筑起一个实验性的理论框架，为解释欧盟东扩进程中的制度互动现象提供了某种参照系统和比照标准。
本文从制度变迁的角度将欧盟东扩历程划分为“主动靠拢—政府主导阶段”、“强制靠拢—议会主导阶段”和“观念靠拢—民众主导阶段”，并分析了欧盟交替使用激励政策与制约手段双管齐下推动中东欧国内制度欧洲化转轨、中东欧新成员国利用入盟契机参与欧盟未来制度重构、促成制度互动的规律及特点。东扩制度变迁历程证明：无论对欧盟既有制度还是中东欧国内制度而言，东扩都带来了巨大的制度冲击，实施制度变革都是东扩的内在需要。双方的制度差距必将导致制度摩擦加剧，引发制度互动与制度趋同进程；但东扩伊始的短期“制度失范”现象和“负面同化”效应必将在制度互动进程中得到缓解，东扩后的制度趋同与制度创新也将是一个长期渐进、由量变累积至质变的过程。
This dissertation aims to probe into the institutional changes and institutional clashes between the enlarging European Union and the Central & Eastern European Countries (CEECs), as well as to construct a tentative theoretical innovation to account for institutional interactions between them. Supported by political neo-institutionalism and borrowing institutional concepts from Nobel Prize-winner Douglas North, the dissertation is set against a background of the dual process of institutional expansion by the EU and active institutional convergence on the CEECs' own accords. Starting from the positive and negative impacts triggered by EU Enlargement on both the EU's and the CEECs' political, governance and economic institutions, the dissertation carries out a systematic study of the partial adjustments and comprehensive reforms on the part of the EU, as well as of the Europeanized transformation of the domestic institutions in the accession countries. By inducing the rules, modes and channels of institutional
interactions in EU Enlargement, a tentative theoretical innovation named "Occlusion Front Theory" is constructed to provide feasible explanations for institutional interactions between transition countries and supra-national organizations.
The author is of the opinion that, on one hand, the primary intention and motivation behind the EU's eastward enlargement is to achieve the ideology of "Reunification of Europe" through effective institutional expansion; and on the other, to effect a "Return to Europe" through effective institutional convergence on the part of the CEECs. Such motives can explain why, on the one hand, EU enlargement is regarded by the CEECs as a historic chance to re-mould their domestic institutions and to realize full-scale Europeanization; and on the other hand, it is also to EU a serious test of its capacity for institutional expansion (or digestive capabilities), a chance to deepen institutional integration, as well as a big push for implementing a comprehensive institutional reform. In fact, only by exerting adjustment pressures on
both the EU and the CEECs through Enlargement, can they break away from their initial institutional inertia and "Path Dependence". By researching systematically into the Enlargement's tremendous impacts on the sub-systems of both parties' political, governance and economic institutions, as well as into the process of institutional changes, adaptations, adjustments and convergence between them, the dissertation analyzes the institutional reforms of both parties resulting from enlargement as well as the major driving force, approaches and interactive means behind them. On the basis of that, the author constructs an experimental theory in a bid to provide some comparison criterion or system of reference for institutional interactions in the EU Enlargement process.
From the perspectives of institutional change, the dissertation classifies the whole Enlargement process into three distinct stages, evolving from an initial Government-dominated Initiative Close-up Stage to a Parliament-dominated Compulsory Close-up Stage and finally to a Populace-dominated Ideological Close-up Stage. It also probes into the ways in which EU wield both incentive "carrots" and punitive "sticks"' to promote the Europeanization transformation of the CEECs' domestic institutions, as well as the approaches used by the CEECs to participate in shaping future EU institutions and to promote institutional interactions. The process of institutional change during enlargement testifies that, be it the existing institutions of the EU or the domestic institutions of the CEECs, the Eastward Enlargement constitutes enormous institutional impacts on them, and the implementation of institutional reforms is an inherent demand by Enlargement per se. The institutional "deficit" between the two parties is bound t
o bring about increased institutional frictions, to result in institutional interactions and to speed up the process of institutional convergence. However, the transitory phenomena of
本文认为：通过制度扩张实现“欧洲大一统”理念是欧盟执意东扩的驱动力量和本质意图：制度趋同是中东欧新成员国“回归欧洲”的必由之路。这决定了东扩对于中东欧新成员国是一次重新塑造国内制度、实现全面欧洲化转轨的历史契机；对于欧盟则是一次制度一体化的深化，是一次制度扩张与制度消化能力的考验，也是一次实施全面制度改革的巨大推动。只有东扩给欧盟造成的制度扩张能力挑战和给候选国造成的制度转轨压力才能打破双方原有的制度惰性和路径依赖。通过系统研究两种制度“对撞”给双方政治权力制度与经济治理制度各个子系统造成的巨大冲击力，以及双方相互调整、相互适应、相互趋同的制度变迁过程，本文分析了欧盟与新成员国因应东扩制度变革压力而实施的制度变革举措及其背后主要的驱动力量、互动手段和作用途径，进而构筑起一个实验性的理论框架，为解释欧盟东扩进程中的制度互动现象提供了某种参照系统和比照标准。
本文从制度变迁的角度将欧盟东扩历程划分为“主动靠拢—政府主导阶段”、“强制靠拢—议会主导阶段”和“观念靠拢—民众主导阶段”，并分析了欧盟交替使用激励政策与制约手段双管齐下推动中东欧国内制度欧洲化转轨、中东欧新成员国利用入盟契机参与欧盟未来制度重构、促成制度互动的规律及特点。东扩制度变迁历程证明：无论对欧盟既有制度还是中东欧国内制度而言，东扩都带来了巨大的制度冲击，实施制度变革都是东扩的内在需要。双方的制度差距必将导致制度摩擦加剧，引发制度互动与制度趋同进程；但东扩伊始的短期“制度失范”现象和“负面同化”效应必将在制度互动进程中得到缓解，东扩后的制度趋同与制度创新也将是一个长期渐进、由量变累积至质变的过程。
This dissertation aims to probe into the institutional changes and institutional clashes between the enlarging European Union and the Central & Eastern European Countries (CEECs), as well as to construct a tentative theoretical innovation to account for institutional interactions between them. Supported by political neo-institutionalism and borrowing institutional concepts from Nobel Prize-winner Douglas North, the dissertation is set against a background of the dual process of institutional expansion by the EU and active institutional convergence on the CEECs' own accords. Starting from the positive and negative impacts triggered by EU Enlargement on both the EU's and the CEECs' political, governance and economic institutions, the dissertation carries out a systematic study of the partial adjustments and comprehensive reforms on the part of the EU, as well as of the Europeanized transformation of the domestic institutions in the accession countries. By inducing the rules, modes and channels of institutional
interactions in EU Enlargement, a tentative theoretical innovation named "Occlusion Front Theory" is constructed to provide feasible explanations for institutional interactions between transition countries and supra-national organizations.
The author is of the opinion that, on one hand, the primary intention and motivation behind the EU's eastward enlargement is to achieve the ideology of "Reunification of Europe" through effective institutional expansion; and on the other, to effect a "Return to Europe" through effective institutional convergence on the part of the CEECs. Such motives can explain why, on the one hand, EU enlargement is regarded by the CEECs as a historic chance to re-mould their domestic institutions and to realize full-scale Europeanization; and on the other hand, it is also to EU a serious test of its capacity for institutional expansion (or digestive capabilities), a chance to deepen institutional integration, as well as a big push for implementing a comprehensive institutional reform. In fact, only by exerting adjustment pressures on
both the EU and the CEECs through Enlargement, can they break away from their initial institutional inertia and "Path Dependence". By researching systematically into the Enlargement's tremendous impacts on the sub-systems of both parties' political, governance and economic institutions, as well as into the process of institutional changes, adaptations, adjustments and convergence between them, the dissertation analyzes the institutional reforms of both parties resulting from enlargement as well as the major driving force, approaches and interactive means behind them. On the basis of that, the author constructs an experimental theory in a bid to provide some comparison criterion or system of reference for institutional interactions in the EU Enlargement process.
From the perspectives of institutional change, the dissertation classifies the whole Enlargement process into three distinct stages, evolving from an initial Government-dominated Initiative Close-up Stage to a Parliament-dominated Compulsory Close-up Stage and finally to a Populace-dominated Ideological Close-up Stage. It also probes into the ways in which EU wield both incentive "carrots" and punitive "sticks"' to promote the Europeanization transformation of the CEECs' domestic institutions, as well as the approaches used by the CEECs to participate in shaping future EU institutions and to promote institutional interactions. The process of institutional change during enlargement testifies that, be it the existing institutions of the EU or the domestic institutions of the CEECs, the Eastward Enlargement constitutes enormous institutional impacts on them, and the implementation of institutional reforms is an inherent demand by Enlargement per se. The institutional "deficit" between the two parties is bound t
o bring about increased institutional frictions, to result in institutional interactions and to speed up the process of institutional convergence. However, the transitory phenomena of
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4．高歌：《浅谈东欧的“欧洲化”进程》，载《俄罗斯研究》2002年第三期，第77-83页。
5．王崇杰：《匈牙利已基本转入市场经济轨道问题》，载《学术论文》1997年第60期(波匈捷三国经济转轨考察文集)，第17—20页。
6．张征东：《“两扩”后的欧洲地缘政治形势展望》，载新华通讯社：《世界形势研究》，2003年1月第1—2期，第9—12页。
7．张征东：《欧洲“两扩”影响深刻》，载《瞭望》新闻周刊，2003年第二期，第8—9页。
8．张月明，魏晓：《欧盟东扩的前景分析》，载《当代世界社会主义问题》，2000年第一期，第80—86页。
9．郭增麟：《十年变迁话波兰》，载《东欧中亚研究》1999年第六期，第70-78页。
10．李守身：《欧盟东扩与波兰经济》，载《安徽大学学报(社会科学版)》，2002年第二期，第51-54页。
11．孙逊：《论欧盟东扩所面临的困境与挑战》，载《国际论坛》2002年第三期，第40—45页。
12．彭文平：《制度变迁理论的新动向》，载《经济学动向》2000年第七期，第57—60页；
13．裘元伦：《欧洲联合的前景》，载《世界经济》2001年第四期，第7页；
14．郭增麟：《中东欧国家为何追求加入欧盟》，载《当代世界社会主义问题》，2000年第一期，第63-67页；
15．刘辉：《东扩后的欧盟在未来世界格局中的地位》，载《全球经济科技瞭望》1999年第11期，第56-57页。
16．郑春荣：《多视角看欧盟东扩》，载《德国研究》1999年第二期，第23—27页。
17．刘元：《浅析欧盟东扩及其影响》，载《全球经济科技瞭望》1999年第11期，第54-55页。
18．张蕴岭：《欧洲剧变与世界格局》，北京·社会科学文献出版社，1999年版；
19．鲁鹏：《制度与发展关系研究》，北京·人民出版社，2002年版；
20．赵俊杰：《21世纪的欧盟经济发展战略》，北京·中国城市出版社，2002年版；
21．张颖：《中东欧走向市场经济》，北京·社会科学文献出版社，1998年版；
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