周弘Zhou, Hong

 

民族建设、国家转型与欧洲一体化

提要:      文章介绍了罗坎的“中心构成”理论和巴尔托里尼的“系统程序”理论，利用这些理论分析了欧洲民族建设与国家建设这两个不同的历史进程对民族国家领土空间中各种“中心”和“系统”的不同贡献，讨论了这些“中心”和“系统”在欧洲一体化进程中的不同表现形式，进而指出：民族国家中的经济和法律等机制来自于国家建设历程，它们遵照功能性规律向欧盟层面转移；民族国家中的社会文化等机制来自于民族建设历史，它们根据民族性逻辑而滞留在民族国家层面；受到民族和国家两种力量双重推动的经济社会机制则在民族和国家“错位”的情况下被置于肢解的状态，转移的只是其中功能性的部分。欧洲一体化因此表现出一种“犬牙交错的国家转型”进程。

关键词：民族建设、国家建设、国家转型、欧洲一体化

 

Nation Building, State Transformation and European Integration

Abstract : This article introduces Rokkan’s concept of “center formation” and Bartolini’s concept of “system process”, analyzes the contributions made by the process of European nation-building and state-building towards the development of “centers” and “systems” within the territory of the nation state, and discusses the different behaviors of those “centers” and “systems” in the process of European integration. The author concludes that economic and legal institutions inherited from the state-building process shall transform themselves according to functional rules, whereas social and cultural institutions inherited from the nation-building process shall follow the logic of nationality and remain national. During the process of European integration, the social institutions inherited from both nation and state building processes, face dismemberment, under the condition of being squeezed by the dislocated development of nation and state, carrying along only the functional parts. European integration thus reveals a process of “jigsaw pattern state transformation”.

Key words: nation building   state building   state transformation   European Integration

 

 

吴白乙Wu, Baiyi

 

欧盟国际危机管理的转变与理论视角

内容提要:危机管理研究的对象之一是决策中政府内部的组织过程，此类研究将政府看做是由若干组织形成的一种复杂关系网络，而危机决策是这一组织结构相互作用的输出。作者选取同样的视角，将欧盟危机管理活动与其所处的“复杂关系网络”之间的联系作为主题，从冷战后国际危机的诸多变化所带来的行动压力、内部多层次、多元化的利益冲突、反应性的制度变革等方面探讨欧盟危机管理的动力和局限，借助相关的一体化理论框架解释欧盟在内部和外部两个竞争图景之间的理性选择，并对欧盟危机管理的发展趋势及其对中国的含义做出判断。

关键词: 危机管理  欧盟  理论解释

 

The EU Crisis Management in Transformation: Theoretical Critics from A Chinese Perspective

Abstract: The internal mobilizing and organizing process of a government is taken as an important subject for the crisis management studies. It assumes that decision-making in crisis is never an isolated act but an output from the entire government system that is as complex and interactive as a network. This paper adopts this research dimension to look into the EU crisis management regime, examines its contextual dynamics and constrains and analyzes its transformed concepts, norms and behaviours with relevant theories of integration applied. In the ending part, it attempts to reflect on possible trends of such transformation and its implications for China.

Key words: crisis management  EU   theoretical critics

 

裘元伦 Qiu, Yuanlun

 

欧盟50年的存在价值：欧盟对外部世界的影响

 内容提要：人们可以从多种角度考察欧盟存在50年，例如以50年间发生的一些大事为线索，把它写成编年史，或者发展阶段史；以欧盟内部发生的一系列重大变化及其结果，论述其成败得失；以若干人们感兴趣的理论问题作为讨论的主线，研究主权国家与超越主权、国际组织中的民主问题等等；而本文则把主题确定为阐明欧盟在其存在与发展的半个世纪里，它在全球生活中所起的三项主要作用，即欧盟作为一股积极的力量、平衡的力量和“榜样”的力量对外部世界发生的影响。

 

On the Value of Fifty Years’ Existence of the European Union：The Impacts of the European Union on the External World

People can examine the fifty years’ existence of the European Union (EU) from various perspectives, for example, from the perspective of chronology with great events being the clues; or people also can make evaluations on the success and failures of the European Union on the basis of a series of significant internal changes within the EU; using interesting theories as the mainlines of discussion, some other experts may explore certain important issues related to sovereign states and supra-sovereignty, the democracy in the international organizations and so on. While this paper is intended to identify its theme as the three important roles that the EU has been playing in the international arena over the period of EU’s fifty years’ existence and evolution, namely, the impacts that EU has on the external world while it plays its three roles as an active power, the power of balance and the power as a successful example.

 

 

薛彦平 Xue, Yanping

 

欧盟创新模式的同一性与多样性

摘要：这篇工作论文分为两部分，第一部分讨论欧盟成员国国家体系的多样性与同一性，第二部分讨论欧盟成员国创新能力分布的不均衡。由于历史文化的多样性和经济发展水平的不均衡，欧盟成员国国家创新体系的多样化特点十分突出，同样，受到不同的创新体系和创新政策的影响，欧盟成员国的创新能力也高度分散。我们发现，虽然欧盟还没有形成一种统一的创新模式，但与美国和日本相比，欧盟的创新模式却有自己的特点。欧洲的多元文化决定了欧盟内部的多样性，多样性本身是“中性”的，关键是如何利用多样化的创新资源，使多样性转化为一种具体的创新优势。

 

An Analysis on Similarities and Diversities of European Union’s Innovation Systems

Abstract:This paper is divided into two parts. The first part addresses the similarities and diversities in European Union’s innovation systems, focusing on British, French, German, Italian and Spainish experiences. The different cultural heritages and economic developments have deeply influenced national innovation systems, or NIS. In Britain, for example, national innovation system, just like the economy, is highly liberal-oriented. In France and Germany, however, government often keeps stronger impact on the systems. In Germany, the stable inter-firm relationship is an advantage,  while in Britain, the firms are more open to market competition. In the second part, I compare the innovative capacities among EU member countries. Like national innovation systems, innovation incicators in EU-27 member countries are highly diversified, with Nordic countries having the strongest innovation status but new members having been far lagged. The conclusion is the diversity in Europe shall not be regarded simply as a disadvantage and the key is how to make use of these diversities.

 

 

张 凡Zhang, Fan

 

欧洲联盟与拉丁美洲的对话

内容提要：欧盟与拉丁美洲通过区域、次区域和国家间的固定对话机制建立了两大地区间多层次多领域多角色的“战略伙伴”关系。这一被称为“对话”的地区间关系模式是全球力量平衡和国际秩序建构的组成部分，也是地区间政治、经济和文化互动的主要途径和方式，其发展的主要动力来自两大地区内部，但对双方各自的国际定位和内部演变以及两大地区以外的国家具有重要的影响。

关键词    对话  欧洲联盟  拉丁美洲

 

Dialogue between the European Union and Latin America

A “strategic partnership” has been developed since 1990s between the European Union and Latin America, which is only a reflection of the unique form of a far more complicated network of relationships between the two large regions. Europe-Latin America relations, which are duly dubbed “dialogues”, constitute one alternative for the new international order as well as part of the global game of geopolitics. While the main basis of the partnership is political dialogue and a procedural component of a highly institutionalized process has been exercised, economic factors have become increasingly significant in the past years. It is to a great extent that the building-up and strengthening of the relationship have depended upon the internal developments within each region, but exerted important effects upon the two regions’ own international roles and the international affairs by and large.

 

杨解朴 Yang, Xiepu

 

欧盟治理下社会伙伴的角色变化

 

内容提要: 欧盟/共同体层面的制度建设改变了社会伙伴的偏好、兴趣以及思想，将他们吸引到“欧洲社会共同体”中。社会伙伴在欧盟治理的传统模式——共同体方法下，发展社会对话、参与三方会谈并为立法提供咨询；在《马约》签订后，借助社会伙伴程序，社会伙伴享有了直接参与立法的权利；而在欧盟新型治理模式——开放式协调法下社会伙伴又与公民社会一道在欧盟的政策制订、政策实施和政策监督中发挥重要的作用。本文尝试对社会伙伴在标准立法程序、社会伙伴程序以及开放式协调法三种决策机制下的作用进行具体分析，力求从一个侧面反映欧盟治理的特征。

关键词：欧盟治理  社会伙伴  社会对话  开放式协调法

 

Transformation of the Roles of Social Partners through EU Governance

Abstract: The EC/EU institution-building has changed the preferences, interests and ideas of the social partners, and thus attracted them into the “European social policy community”. Under the “Community method”, the traditional mode of EU governance, the social partners developed social dialogues, participated in the Tripartite Conferences and provided consultations for legislation. Along with the signing of the Maastricht Treaty, the social partners at the EU level have gained the rights to participate directly into the legislating procedure recurring to the social partnership procedure. Under the Open Method of Coordination (OMC), the new mode of EU governance, the social partners, together with the civil society, are playing pivotal roles in the formulation, implementation, and overseeing of EU’s policy. This paper intends to make a detailed analysis on the different roles played by the social partners under the three types of decision-making mechanisms, that is, the normal legislating procedure, the social partnership procedure and the OMC, thus trying to illustrate some of the characteristics of EU governance.

 

Key words: EU Governance  Social Partners  Social Dialogue  Open Method of Cooperation (OMC)

 

张浚 Zhang, Jun

 

欧盟的“软力量”：欧盟发挥国际影响的方式

中文摘要：由于欧盟手中还没有能与美国比肩的局势力量；同时欧盟也认识到，在全球化的条件下国家的边界日益开放，国际事务与国内事务交织在一起，单纯依靠局势力量已无法有效地维持世界和地区的持久和平与安全。所以，欧盟着意通过各种“软力量”对外发挥影响，输出观念、规则和制度已成为欧盟对外关系的重要内容。为此，欧盟正积极利用贸易政策、援助政策等政策工具，并尽力通过参与国际性或地区性的多边制度建设来发挥影响。

关键词：欧盟 软力量 贸易政策 发展政策 多边制度建设

 

EU as a “soft power”: how the EU exert influence worldwide

Abstract: For the EU does not have a powerful military force at disposal, meanwhile, it does not view military action as an effective way to meet current global challenges, it prefer to use various “soft powers” in achieving its foreign policy goals. Trade policy and development policy are the most important policy tools for the EU to influence other parts of the world. Meanwhile, the EU makes tremendous efforts to shape multilateral institution-building at regional, inter-regional and global level. The EU is very flexible in using these instruments. For different regions, the EU has different combination of policy tools in order to serve its strategic interests best. Therefore, the EU has a rather “piece-meal” approach to other regions.

Key words: EU  trade policy  development policy  institution-building

 

 

赵晨Zhao, Chen

 

协商还是博弈？——对“欧洲制宪会议”的考察

内容提要：“欧洲制宪会议”上体现出来的诸多协商色彩使它与过去决定欧洲一体化进程的政府间会议有很大的不同。“制宪会议”中的协商与美国费城制宪会议中的区别是，它的范围超过了一国；与此同时，它与国际组织平台上政府间会议上的协商也不同，它有很强的宪政意义。本文对协商的定义进行了梳理，介绍沟通交往理论(Communicative theory)和说辞理论(Rhetoric theory)有关协商和博弈的论述，总结出协商的衡量标准。随后由理论到个案，对“制宪会议”中出现了怎样的协商从组织构成(structure)、气氛(atmosphere)和制度设置(institute setting)三个方面进行详细的描述。在描述过程中笔者同时尝试回答欧洲一体化进程中这种政府间会议博弈向“制宪会议”协商发生形式转变的原因。最后指出“欧洲制宪会议”中协商存在的局限性。

关键词：协商，博弈，欧洲制宪会议，政府间会议

 

Deliberation or Bargaining? An Analysis on the  Convention on the Future of Europe

Abstract:The feature of deliberation demonstrated in the Convention on the Future of Europe made it different from the inter-governmental conferences throughout the European integration process in the past. The difference between the deliberation in the Convention and that of the Federal Convention on Philadelphia Conference in 1787 is that the former goes beyond one country. Meanwhile, different from the inter-governmental conferences in the international organization platform, the Convention is constitutional. The article firstly clarifies the definition of deliberation, introduces deliberation and bargain concept in Communicative theory and Rhetoric theory and generalizes the gauge of deliberation. The article then moves from theory to case study, and gives a detailed account of the deliberation in the Convention in the perspectives of structure, atmosphere and institute setting. The author tries to seek the reason for the transformation from bargain in inter-governmental conferences to deliberation in the Convention during the European integration process. Finally, the author points out the limitation of deliberation in the Convention.

Keywords: deliberation, bargain, Convention on the Future of Europe, intergovernmental conference

 

刘作奎Liu, Zuokui

 

欧盟对巴尔干的冲突调解政策：一种新制度主义的分析

摘要：巴尔干国家内种族对立经历漫长的历史，没有从制度上得以解决。欧盟出台了一系列的工具和制度，最主要的办法是赋予巴尔干国家入盟资格，然后实行各种条件限制，基于哥本哈根标准，让这些国家从事一系列的政治、经济和法律等方面的改革和建设，然后对其成果评估来促进这些国家的进步，最终为建立一个民主国家铺平道路。巴尔干国家内的种族对立群体会在“成为欧盟成员国”还是“维持现状”之间做出利益核算，因为欧盟的框架安排势必会改变对立群体的行为和动机，促使他们权衡服从条件的长远收益和不服从条件的现实收益哪个更大。如果成为欧盟成员国所获得的长远收益小于在旧制度框架内的收益，那么他们则会选择抵制欧盟的国家建设，反之则会服从。如果两者在短时间内难以核算，则国家建设会体现为进展缓慢。

关键词：欧盟 巴尔干国家 成员国资格  利益核算

 

EU’s Conflict Resolution Policy in the Balkans

                ——An Neo-Institutionalist Approach

Abstract：There existed a long history of the ethnic antagonism within the Balkans’ different ethnic groups in each country and failed to solve them institutionally. EU initiated a series of instruments and institutions and the main method is to endow them with EU membership., and then implement all kinds of conditionality which was based on the Copenhagen Criteria, let these countries conduct a set of political, economic and legal reforms and constructions. Through the appraisals to these outcomes, EU tried to facilitate the improvements of the Balkan countries and pave the way for establishing a democratic country in the end. The Balkan countries would make cost-benefit calculations between becoming an EU member and keeping the current status because EU’s framework will surely change the behaviors and motivations within the antagonistic groups and urge them to measure the long-term benefits of obedience and short-term ones of disobedience. If the long-term benefits are less than the short-term ones, then they will resist the EU’s state-building and if more, then will be opposite. If they could not measure between them in the short time, the state-building shows its low speed.

Key Words：EU   Balkan Countries   Membership   Cost-Benefit Calculations

 

 

杨光Yang, Guang

 

欧盟能源安全战略及启示

内容提要：保障能源安全是欧盟和中国面临的一项共同挑战。研究欧盟能源安全战略的发展和实践，可以为中国落实和完善自身的能源安全战略以及开展国际能源合作，带来不少新的启发。欧盟的能源安全战略经历了几个发展阶段，随着形势的发展逐渐完善，从一种维护某种单一能源供应安全的战略，发展成为多重战略目标互动的综合性安全战略。其主要目标是维护能源供应安全，提高能源工业的竞争力和保持能源供应的可持续性。这种战略的基本架构由外部战略和内部战略两个方面组成：面向内部的战略包括替代能源开发战略、提高能源效率战略和统一内部市场的战略；面向外部的战略包括石油储备战略、构建国际供应网络战略和国际对话战略。这种战略的基本特点是：扎实可靠的调查论证基础、成功整合多种战略目标、强有力的国家干预，依法有效地贯彻落实、全面开展对话合作。实践证明，这个战略基本上是一种行之有效的成功战略。中国的能源安全战略与这种战略具有相似之处。它以构筑稳定、经济、清洁的能源体系为主要目标，国内政策包括以煤炭为基础、激励节能、多元发展和保护环境；对外政策包括建设战略石油储备、推动企业“走出去”和开展技术交流。这项研究可以为中国完善其能源安全战略提供重要参考。

关键词：欧盟 能源安全战略 中国

 

EU Energy Security Strategy and its Inspiration

Abstract: The EU energy security strategy has been matured through 3 stages of development since the 1960s. During this process of development and perfection, it has been gradually transformed from a strategy focusing on securing the supply security of a single energy into an more integrated security strategy that is compatible with multiple but inter-acting strategic objectives such as energy security, environmental protection and the construction of the single market. This strategy is composed with an internal dimension and an external dimension.  The former underlines aspects such as development of alternative energies, improvement of energy efficiency and unification of the EU internal market; while the later stresses aspects such as emergency reaction capacity based on the strategic petroleum reserves, construction of reliable international energy supply networks and broad international dialogue. In practice, several key factors have contributed to the success of this strategy, especially policy-making based on sufficient investigation and research, successful integration of different strategic objectives, smooth implementation by mean of law, strong and adequate government intervention, and efficient dialogue and cooperation. China shares similar energy security concerns and adopts similar energy security strategies with EU countries. The Chinese energy security strategy aims at the construction of a stable, economic and clean energy system. The domestic policy emphasizes on developing national resources potential, stimulating energy saving, diversifying energy mix and protecting the environment. The external part of the strategy is based on acquiring the emergency reaction capacity by building strategic petroleum reserves, encouraging Chinese enterprises to invest abroad and intensifying international technological cooperation. Several EU approaches might help to improve China’s energy security strategy, such as enhanced regional cooperation for energy security, transfer of adequate energy technologies, implementation of energy policies by imposing environmental standards, and diversification of tools of governmental intervention.

Key Words：EU  Energy Security Strategy  China

 

范勇鹏Yang Xiepu

 

欧洲认同的形成: 功利选择与制度建构

[内容提要] 对欧洲认同的研究具有重要的意义，否则就无法认识到欧洲一体化的真正面目。本论文要回答的主要问题是：究竟是什么因素决定了欧洲认同的形成？通过对研究文献的梳理，从研究欧洲认同的主流理论视角，即：本质主义、理性选择主义、功能主义、社会-心理学视角、建构主义和制度主义等，可以探查到若干影响到欧洲认同形成的因素。这些因素包括：民族-文化遗产、经济利益、治理效率、社会心理冲突、社会交流和社会学习、以及制度建构。对这6大因素的规范分析可以得知，影响欧洲认同形成的根本性原因是功利选择和制度建构两大因素。本文的实证研究是基于对“欧洲晴雨表”（Eurobarometer）数据库中选取出的若干变量进行的统计分析。分别通过对因变量在时间轴上的交叉表分析、对自变量和因变量之间进行的相关性分析和回归分析，在一定程度上证明了初始的研究假设，得出了本文的结论：功利选择和制度建构是影响欧洲认同形成的两大根本因素；由于一体化发展的历史尚短，很难观察到制度主义因素影响力的上升趋势，但功利主义因素的影响力的确在下降。

[关键词] 欧洲认同  形成  理性选择  新制度主义 Eurobarometer 统计分析

 

The Formation of European Identity: Utilitarian Choice vs. Institutional Construction

[Abstract] This paper aims to answer the question: what on earth affects the formation of European identity? After a thorough review of main approaches which try to explain the formation of European identity, say, essentialist approach, rational choice approach, functionalist approach, group conflict approach, social-constructivist approach, and neo-institutionalist approach, this paper argues that there are six factors affecting the formation of European identity: ethno-cultural heritages, economic benefits, efficiency of function, social-psychological conflicts, social communication and social learning, institutional construction. Among them, economic benefits and institutional construction have most prominent effects. The paper assumes that the benefit factor and the institutional factor are the most important factors affecting the formation of European identity. In the empirical part, the paper makes crosstabulation analysis, correlation analysis, and regression analysis based on the Eurobarometer Trend File Database. The results prove that the benefit factor and institutional factor both have strong relations with the development of European identity. They also indicate the decrease trend of the effect of benefit factor, but fail to show the increasing effect of institutional factor. However, the crosstabulation analyses do prove weakly that the institutional factor has effects on the formation of European identity.

[Key words]  European identity, formation, rational choice, noe-institutionalism, Eurobarometer, statistical analysis

 

 

田德文Tian,Dewen

 

欧洲社会模式现代化：理念与实践

内容提要：“欧洲社会模式”是“欧洲模式”的核心内容，是欧洲与外部世界的主要差异所在。二战结束后，多数西欧国家形成了资本密集-技术密集的外向型经济模式，并在此基础上构建了高社会保障、高社会再分配、强调社会平等与团结、讲求生活质量的“欧洲社会模式”。1980年代以后，全球化进程加速，欧洲以大比例占有全球资本-市场-资源为基础的经济增长模式受到日益强劲的挑战。与此相应，欧洲国家在社会层面上也遇到了结构性失业居高不下、劳动力成本高昂、社会经济动力不足等方面的问题。这些问题对西欧福利国家的生存基础构成了严峻的挑战，欧盟成员国先后开始进行社会政策方面的调整。在成员国实践的基础上，2000年欧盟制定了振兴欧洲经济的“里斯本战略”，试图建立经济增长、就业与社会公正之间新的平衡关系。在随后发布的《社会政策议程》中，欧盟进一步提出，要提出通过实现“欧洲社会模式现代化”，在经济全球化的背景下重新建立公平与效率之间平衡关系。围绕着这个概念，欧盟不仅提出了社会改革的基本理念，而且推出了一整套具有实践性的政策和制度，在联盟层面上正在价值和制度层面上构建一个“福利国家改革的共同体”。

 

European Social Model Modernisation: Ideas and Practices

The European social model is the core of European Model, makes the main difference between the European countries and others in the world.  After the end of Second World War, majority of west European countries developed the export-oriented economy of capital and technology-intensive, and on the basis, set up the social model be characterized as high social security and redistribution, social equality and solidarity, and higher life quality.  Since the 1980s, however, the globalization process increasingly challenged such an economic growth model which based on the large-scale using of global capital-market-resources.  Simultaneously, European countries had to face the social results of the economic change, including the high structural unemployment rate, higher labor costs, and the insufficiency of social economic incentives.  Those problems damaged the existence basis of European welfare state system that the EU member states had to adjust their social policy since the 1990s.  On basis of reform practices in the member states, the EU formulated a Lisbon Strategy in 2000, which targeted to create a new balance among the economic growth, higher and better employment, and social justice in the EU countries.  According to the following published Social Policy Agenda, EU will promote to re-establish the balance between the efficiency and fair under the background of globalization by means of modernising the European social model.  In framework of the concept, EU not only proposed the basic ideas for the welfare state reform on the national level, but also set up relevant practical policy goals and institutions on the EU level, constructed a community for the welfare state reform.

 

 

郭灵凤 Guo, Lingfeng

 

变化中的瑞典文化政策：地方化与欧洲化

内容提要：第二次世界大战之后，瑞典文化政策纳入福利国家体系，瑞典政府不仅为其公民提供经济安全、社会保障，还要资助各级文化团体，保障艺术创作自由，为全体公民提供平等的参与社会文化活动的机会。但是，随着福利国家危机和经济全球化、欧洲一体化的进展，瑞典文化政策正在经历着重大转型，地方化和商业化是两大趋势。本文提出的基本假设是文化政策的变化导致了文化认同的变化。瑞典文化政策的地方化便利了作为跨国行为者的欧盟对瑞典地方文化政策施加影响。在欧盟的文化治理之下，随着欧盟、民族国家和地区这三者关系的变化，地方认同也相应地发生了变化，欧洲大陆的地区开始了欧洲化。本文第一部分分析瑞典文化政策转型的趋势及动因，着重强调欧盟因素在其中的作用。第二部分通过分析瑞典与欧盟文化合作的案例，考察欧盟如何运用各种政策工具实现跨地区、跨部门的文化治理。第三部分在分析文化政策与文化认同关系基础上，考察瑞典与欧盟的文化合作对瑞典的地方文化认同产生了怎样的影响。

关键词：瑞典文化政策     地方化     欧盟     认同构建

 

Changing Swedish Cultural Policy: Regionalisation and Europeanisation

Abstract: After the Second World War, Sweden produced national cultural policy as a part of its general welfare programme. Swedish government seeks to offer the individual citizen not only financial security and social welfare, but also the equal cultural possibilities in society by financing the cultural institutions and artists. But with the crisis of the welfare states, the globalization and the European integration process, the Swedish cultural policy is in the transition towards the regionalisation and commercialization. This paper centers on the hypothesis, which is that changing cultural policy result in the changing cultural identity. The regionalization of Swedish cultural policy facilitates the EU, as a transnational actor, to exert its influence on the regional cultural policy. With the change of the relations between the European Union, nation-states and regions under the EU cultural governance, the regional identity is changing corresponsively, and the regions of European continent become Europeanized. This paper is divided into three parts, and examines the tendency and agents of the transformation of Swedish cultural policy, the cultural cooperation between the EU and Sweden, and the influence of European cultural governance on the Swedish regional identity respectively.

Key words:  Swedish cultural policy,  regionalisation,  EU ,  identity construction

 

 

王建娥Wang, Jiane

 

移民与欧洲认同��政治人类学视野中的欧洲移民及其认同问题

内容提要：近年来，随着移民规模的扩大、移民速度的加快以及伴随移民问题而来的各种社会问题，引起了社会科学工作者的普遍关注，不少学者从经济全球化、劳动力自由流动和文化多样性等角度，讨论移民问题的结构动力、社会影响、未来趋势以及对移入国社会结构的冲击等问题。本文结合欧盟一些相关官方网站公布的数据文献和欧盟一些组织近年来发表的有关移民少数民族状况的调查报告，从政治人类学的视角考察移民与欧洲社会的关系，移民带来的欧洲人口结构和文化构成上的变化，移民在所在国的地位和权利，移民与欧洲公民权，移民和欧洲文化的多样化，移民的文化适应性和与当地社会的一体化，欧洲社会对移民的态度和接受程度，移民和欧洲认同的重建等问题。

 

Immigrants and European identity: a perspective in political anthropology

Abstract: In recent years, the problem of immigration becomes more and more prominent in the European Union. It inspired hot debates from various perspectives. Social scholars try to discuss problems related to immigration, include its structural momentums, social influences, future trends, and effects on the target countries’ social structure. Based on the data from the EU official website and reports issued by some EU organizations, this paper studies such problems as the relations between immigrants and the European society, the transformation of the EU’s population structure and cultural structure caused by immigrants, the status and rights of immigrants in target countries, the relations between immigration and the EU citizenship and the EU’s cultural diversity, immigrants’ cultural adaptability, the attitude of European society towards immigrants, and the relations between immigrants and the formation of European identity, from a political anthropologic perspective.

 

 

马胜利  MA, Shengli

 

内容提要：1991年《马斯特里赫特条约》宣布“建立欧盟公民权”，这标志着欧盟公民权的正式诞生。欧盟公民权是欧洲认同的重要内容和显著标志。欧盟公民权的建设既涉及到欧洲的法律、政治和社会现实，也涉及到它的思想意识，它不仅反映出欧洲一体化的重要进程，也关系到欧盟未来的前途与命运。本文论述了欧盟公民权的产生和内容、欧盟公民权的特点、欧盟公民权建设中存在的问题、欧盟公民权建设的前景。

 

La Citoyenneté européenne et l’Identité européenne

En 1991, le Traité de Maastricht a proclamé la naissance de la citoyenneté européenne. Cette création européenne constitue une partie importante et le symbole significatif de l’identité européenne. La construction de la citoyenneté européenne concerne non seulement les droits et les réalités politique et sociales, mais aussi les idées et la concience. Elle reflète le processus important de l’intégration européenne et joue un rôle non négligeable sur l’avenir de l’Union européenne. Cet article essaie d’analyser la naissance, le contenu, les caractéristiques de la citoyenneté européenne, ses problèmes dans l’application ainsi que son futur développement.

 

 

程卫东Cheng, Weidong

 

法律创新与欧洲一体化

内容提要：欧盟法律体系是在罗马条约基础上发展起来的一种法律体系，在许多方面它突破了传统的国际法理论与实践，它既不同于传统的国际法、也不同于传统的国内法，它是独特的。欧盟法律体系的独特性在于它在许多方面的创新，这些创新既体系在罗马条约的规定上，如欧盟的机构设置、立法体系以及初步裁决机制等，也包括欧洲法院在司法实践中的创新，特别是宪法性原则的创新，如最高效力原则、直接效力原则等。欧盟创新性的法律制度在欧洲一体化中发挥了重要的作用。

 

Legal Innovation and European Integration

EU legal system is a sui generis legal system established on Roman Treaties, which is different from traditional international or national legal system. The EU has made a lot of legal innovations, which are embodied in Roman Treaties, such as the design of EU institutions, the provisions on the EU legislation and the preliminary ruling system, as well as in judicial practice, such as the principle of supremacy and direct effect, etc. The EU’s innovative legal system has played a key role in the European integration.

 

李靖堃Li, Jingkun

 

欧洲经济宪法的发展及其对共同市场的规制：以自由竞争与自由流动为例

内容提要：“经济宪法”概念是德国弗莱堡学派用于整合其秩序自由主义思想的核心工具，它对“欧洲经济宪法”的形成和发展发挥了重要影响。由于欧盟是一个“没有国家的市场”，法律在对市场的规制方面发挥的作用就愈加重要。在欧盟半个多世纪的发展过程中，“欧洲经济宪法”也愈益完善，并以自由竞争与自由流动这两个原则为核心，建构了一系列规范共同市场、成员国与私人经济体之间关系的宪法性原则，从而在保障欧洲市场统一的同时，也有效地实现了保护个人自由等政治目的。

 

The development of the European Economic Constitution and its roles in regulating the Common Market – with the Principles of Free Competition and Free Movements as an example

This paper is aimed at carrying out a comprehensive on the European Economic Constitution and its roles in the regulation of the common market.

As is well-known, in the expansion of the 6-member ECSC into a 27-member European Union, market integration has always been and is still the most important driving force and the deepening of market integration necessarily entails an increased demand for market regulation. However, the EU is “a market without states”. In order to resolve this dilemma, the EC/EU has, from the very start, established an independent and unique legal system, which has already possessed many a characteristic of a constitution. This set of constitutional laws and rules regulating the relationships between market integration and market regulation is thus called European economic constitution.

The “European economic constitution” is composed principally of the related provisions in the basic treaties. Aimed at setting up an “open market economy with free competition”, the basic treaties laid down some basic layers of the European economic constitution, that is, the principles of free movements and free competition, the monetary union and the common commercial policy, and etc., the former two of which can best illustrate the core spirit of the European economic constitution, whose foremost objective is to safeguard the integration of the common market and at the same time, guarantee individuals’ freedom.

The formulation of the European economic constitution and especially of the EU competition law is, to a great extent, influenced by the Ordo-liberal theory of the Freiburg School in Germany. Therefore, after the introduction, this paper in its first part makes an exploration on the main idea on “economic constitution” and others developed by the Freiburg School and its influences on the development of European economic constitution.

In the second part, the author makes an analysis on the connotations and the evolution of the “European economic constitution” from the Treaty of Rome to the failed Treaty Establishing a Constitution for Europe. A comprehensive analysis on the constitutional significance of the principles of the free movements and of free competition is carried out in the third section. Then a conclusion follows.

In sum, the European economic constitution is playing a pivotal role in the European integration. It regulates relatively efficiently the relationships between the common market, the public authorities of the EU and of the Member States and the individuals. By connecting negative with positive integration, it, on the one hand, forbids and eliminates barriers to common market erected by the member states, and on the other hand, regulates the common market by formulating a series of positive policies. As a result, the economic constitution has, in a great degree, not only fulfilled generally the task of maintaining the integration of the common market, but protected the individuals’ freedom, not only in economic but in political sense.  

Finally, it must be pointed out that the European Union is still far from a nation state and the decision-making powers of most of the economic policies still belongs to the member states. Although the European economic constitution has played a very important role in integrating the common market and in regulating the activities of the member states, much still remains to be done to improve it.

 

 

傅聪Fu, Cong

 

试论欧盟环境法律与政策机制的演变

摘要：欧洲一体化从经济领域的一体化发轫到实现三根支柱撑起的欧洲联盟，其中环境政策与法律从无到有，它的发展大致可以划分为形成期、确立期和深化期三个阶段。随着一体化的深入，环境政策从建设共同市场的副产品演变成欧盟实现可持续发展目标的重要工具。通过欧盟基础条约的修订，环境政策和法律的立法依据得到明确；环境政策决策机制不断演变；环境政策法律的实施手段推陈出新。 但是欧盟环境领域的行动也会受到欧盟与成员国分权的影响。另外，在放松管制的背景下，如何实现欧盟可持续发展目标成为欧盟环境政策的中心任务。

关键字：欧盟  环境政策法律  演变

 

On the Evolution of European Union’s Environmental Law and Policy Institutions

Abstract: In the progress of European integration, the development of European Union’s environmental law and policy, from zero to bloom, approximately experienced three stages which are forming period, establishing period and developing period. With the deepening of European integration, environmental policy is no more than a byproduct of common market construction, but has become a significant tool for realizing the European sustainable development. On the occasion of European treaties’ amending, the legal basis of environmental policy become clear,   decision-making mechanism evolves, and implementation measures vary. However, EU’s environmental actions are still constrained by the competence division between the Union and member states. Moreover, under the trend of deregulation, how to realize the sustainable development is also a tough job for the EU.

Key words: European Union   Environmental law and policy   evolution

 

王鹤 Wang, He

 

欧洲经济模式评析---- 从效率与公平的视角

［摘要］

     一、理论背景

对于欧洲经济模式的探讨，无论就其模式本身还是欧洲与美国的比较，理论分析往往立足于公平与效率的评价。一般的观点认为，欧洲模式关注公平，而美国模式强调效率。本文将对两个问题进行研究分析：一是是否存在着一个统一的欧洲经济模式？二是公平与效率是此消彼长的替代关系吗？

二、统一的欧洲经济模式

经过50多年的经济一体化进程，统一市场和经济货币联盟构成了统一的欧洲经济实体，目前在欧盟层面已经形成一个协调的经济政策结构，这些是欧洲经济模式的基础。一般认为，欧洲经济模式是以德国弗莱堡学派的秩序自由主义为理论依据的社会市场经济模式。欧盟的经济模式是欧洲内部若干子模式的结合产物，欧盟国家之间基本的共同之处使得秩序自由主义的原则对欧洲经济一体化产生了较大的影响，在德国模式和欧洲模式之间至少有四点相似的特征，但也存在着某些与秩序自由主义的原则相抵触的领域。

三、欧洲内部模式的比较

本节采用基尼系数和全球竞争力指数对欧盟15国的效率和公平状况进行综合比较，在欧盟内部存在着4个子模式：公平与效率俱佳的北欧国家；公平较好、效率略差的欧洲大陆国家；效率较好、公平较差的盎格鲁撒克逊国家；公平与效率均差的南欧国家。

欧洲经济模式的特征是寻求经济效率和社会公平的均衡发展，是社会市场经济和福利国家市场经济的混合模式。

四、欧洲模式的发展—经济和社会改革的方向

北欧国家提供的经验是优先关注公平，以社会公平促进经济效率的提升。欧盟的里斯本战略旨在通过向知识型经济的转向和对社会福利制度的改革提高生产率和潜在增长率，不是向美国的经济模式靠拢。

五、对中国的借鉴意义：经验与教训

 

European Economic Model – From a View of Efficiency and Equity

Abstract

I. Theory Background

From 1980s to now, most traditional comparison studies of economic models are made between USA and German, or between Anglo-Saxon model and Rhine model. The general idea is that the Anglo-Saxon model put emphasis on efficiency, while the Rhine model paid more attention to equity.

There are two questions for this paper to answer: Is there a single or united European economic model? Is there a trade-off between efficiency and equity?

II. The Single European economic model?

The foundation of the single European economic model is the results of the European economic integration for more than 50 years. The main elements are the single market, the economic and monetary union, and the framework of economic policies which is stability-orientated. They do not only constitute the keystone of European integration but are the European instruments to address the challenge of globalisation.

The European economic model is the combination of many member countries models. The basic theory is the German’s social market economy theory mainly from Freiburg school. The essence of the European economic model is decided by the consensus of almost whole Europeans on social equity, i.e. the generous welfare system.

III. Comparison between the sub-models inside European model

Nordic countries：both higher in efficiency and equity

Continental countries：higher in equity，lower in efficiency

Anglo-Saxon countries：higher in efficiency，lower in equity

Mediterranean countries：both lower in efficiency and equity

The meaning of the situations of Nordic countries and Mediterranean countries is that there is no trade-off between efficiency and equity. There was no clear evidence that the European welfare system was detrimental to growth. For Continental countries and Mediterranean countries, there is no need to get efficiency in sacrifice of equity. They could make reform moving to Nordic sub-model.

VI. The development of the European economic model

The challenge to European economic model is to make reform aimed at greater economic flexibility and better social protection. Combining social security with economic competitiveness is the main task for the development of the European economic model, and this is the object of Lisbon Agenda. Since the Nordic countries are successful in combining efficiency and equity, copying this philosophy to the whole Europe (at least the continental countries) would be possible.

V. What can China learn from Europe—experiences and lessons

 

 

孙彦红Sun, Yanhong

欧盟工业政策：发展历程与新动向

内容提要：欧盟工业政策始于上世纪90年代初，并且在进入新世纪之后明显加快了政策步伐。由于至今尚未有国内学者对其进行过专门、系统的论述，因此，本文旨在从发展线索及近几年新动向的角度梳理欧盟工业政策的整体框架。首先，从基本理念上看，欧盟工业政策始终强调市场导向，强调为制造业发展创造良好的环境，反对部门干预，这是它与传统工业政策的最明显区别。其次，开放性、协调性和辅助性的指导性原则决定了欧盟工业政策始终以横向政策为主，横向政策与各部门的具体结合又形成了富有新内涵的部门政策。再次，从政策工具上看，由于欧盟工业政策要借助于“其他政策和行动”得以实施，从而其行动能力和实施效果必然取决于欧盟在这些政策领域的行动能力。

 

Industrial Policy of the EU: Development and Recent Progress

Abstract: This paper aims to make clear the framework of EU industrial policy by looking at its development and recent progress. Firstly, it argues that EU industrial policy is a market-oriented one aiming to create favorable environment for the competitiveness of manufacturing industry, and to prevent sector intervention; the policy is different from traditional industrial policy evidently. Secondly, it suggests that the open, horizontal and subsidiary industrial policy of the EU is predominantly of a horizontal nature; and sectoral policies with new implications are based on the application of horizontal policies to different sectors. Thirdly, concerning policy instruments, it suggests that, the aim of industrial policy could only be pursued through other policies and actions of the EU according to the Treaty; thereby, EU’s action ability and effects are inevitably determined by the development of those policies and actions.

Key words: industrial policy of the EU; horizontal policy; sectoral policy

 

张敏Zhang,Min

 

欧洲一体化进程中劳动力市场模式的演变机制

内容提要：欧洲的劳动力市场的复杂性体现在二个方面：一是劳动力的市场供需变化受经济政策、劳动力市场法规、社会福利制度等多种因素的制约；二是随着欧洲一体化进程的不断深入，欧洲各种经济政策逐渐得到协调发展，然而进入20世纪90年代初期，欧洲完成统一大市场建设，开始进入经货联盟发展阶段时，欧洲的劳动力市场依然处于分割状态，劳动力市场的一体化程度相对较低，各国普遍出现较高的失业率和低就业率，妇女和年轻人失业问题尤为严重。基于上述原因，从1997年起，欧盟委员会开始制定欧洲就业战略，采用开放治理法（（Open Method of Coordination，OMC)，试图协调成员国劳动力市场政策，迄今为止，这种新的治理模式已经起到了积极的作用。本文试着从分割的劳动力市场模式入手，比较这些模式的迥异性，阐述欧盟层面上的劳动力市场治理模式，探究影响欧洲一体化进程中劳动力市场的演变机制。通过研究发现：欧洲就业战略和新的治理模式对成员国劳动力市场政策的趋同起到了积极的推动作用，在劳动力市场依然存在分割的情况下，不同劳动力市场模式的演变呈现非同步性。成员国在四大就业支柱框架下，推行相同的就业指导原则和具体措施，通过积极的、预防性的劳动力市场政策，逐渐形成了公共就业服务网络，许多成员国开始改革劳动税收和补贴制度，以增加更多的就业。教育和培训制度也逐渐开始适应劳动力市场需求，终身教育的概念已经作为一项政策重点得到了欧洲公民的普遍认同。这种欧盟层面上的劳动力市场欧洲化进程或许是不可逆转的，开放治理方式很有可能演变为协调欧盟层面上其他社会政策的主流模式。

 

The Transformation mechanism of EU Labor market modelin the process of European Integration  

 

EU Labor Market situation is so complex owing to following two features:  Trade-off between the Demand and Supply of labor is greatly influenced by labor market regulation, social security system, and the coordination of EU member states labor market policies still has been in low level. Some of EU member states suffer both low employability and high unemployment rate, especially, for women and youth people. Due to the above-mentioned reasons, since 1997 EU commission began to formulate EU employment strategy under the framework of  new Social-economic governance model—Open Method of Coordination. The positive impact of this action taken by EU has been emerging from various angles such as labor market policy coherence and labor market institutional reform. In conclude, the paper argues that the process of Europeanization of EU member state labor policy maybe will be enhanced on the EU level and OMC Model will become one of main approaches to coordinate social-economic polices in the future.

 

 

程炼Chen, Lian

 

欧盟金融监管：现状、问题与趋势

内容提要：伴随着欧洲经济一体化的进程，沿着《第一银行指令》、《第二银行指令》和《金融服务行动计划》等重要文件给出的路径，欧盟金融监管体系获得了很大发展。在当前的监管体系当中，金融监管的职责主要掌握在各国政府手里，而在欧盟层次更多地只能进行各国间的政策协调，这种制度安排导致了一系列的问题，例如各国的金融监管机构可能将本国的利益放在整个欧盟金融体系的稳定之上，单一银行执照与母国控制原则很容易导致母国和东道国监管部门之间的利益冲突，援助陷入危机的大型国际性金融机构所需要的资金可能超出了其母国的财政能力。随着欧盟金融一体化的加速进行，欧洲金融监管体系也必将做进一步的改革与调整。本文从监管层次、监管模式、机构设置等方面就欧盟金融监管体系的可能发展趋势作了初步的探讨，并且讨论了它对于中国金融监管体制改革的借鉴意义。

 

Financial Regulation and Supervision in the European Union: Problems and Trends

As a part of the European Common Market, EU financial regualtion and supervision system has been developed progressively along the path indicated by the First Banking Directive, the Second Banking Directive, and the Financial Services Action Plan. In the prsent system, financial supervision is in the hands of national governments, and the European Central Bank has a subordinate role in the area of supervision and stability in the European financial area. This institutional arrangement results in a series of problems. With the further integration of European financial markets, the EU financial regualtion and supervision system needs reform. This article describes the historical path of the EU financial regualtion and supervision system and the problems it faces: the national supervisors may put their national economic interests above the stability of the EU financial market; the principle of single banking license and home country control may lead to the conflicts between supervisors of home coutry and those of host coutry; small European countries may not be able to bail-out their large international financial institutions. Then it turns to explore the possible structure of future EU financial regualtion and supervision system from the following aspects: the necessity of an integral financial supervision and regulation system at the level of EU, the choice between sectoral model and functional model for financial supervision and regulation, the allocation of responsibilities among the central bank and other government departments. It concludes that, while the specific structure of future EU financial regualtion and supervision system is a result of public choice, we can expect it to be more integral and involved with more cooperation among EU nations.

With the development of EU financial regualtion and supervision system as a reference, this article also analyzes the reform of China’s financial system. As a result of decentralization of governance in the process of economic transition, local governments got great administrative (judicial) and economic power as well as strong incentive to develop local economy. Althogh central government tries to keep state-owned banking system out of their touch, they can still influence the loan decisions of local subsidaries of state-owned banks for their own sake. Without the cooperation of local administrative authorities, it is impossible to run a financial regualtion and supervision system efficiently. In view of this economic federalism vision, China faces the same problem as the EU in the reform of her financial regualtion and supervision system: she must find a balance point between centralization and decentralization of supervision power. And the experience of the EU may provids some hints in this respect.

 

 

张 宁Zhang, Ning

 

多变环境下的欧盟金融混业集团监管多层治理模式

内容提要：近年来欧盟日益强化的金融混业经营趋势，对其监管提出了更高要求。经济一体化进程中的欧盟金融审慎性监管的突出特征表现为多层治理模式、监管合作与协调以及监管标准的趋同化及和谐化。本文从金融混业集团及监管复杂性出发， 首先回顾了欧盟近年来金融混业的发展概况、主要表现形式；然后总结了混业集团的业务及经济效应；接着重点分析了欧盟金融监管制度框架建设，由此得出研究结论。文章认为，欧盟金融监管模式的多层治理可以理解为三层面上的广义的治理，即，第一层面上为金融机构（以金融混业集团为主体）的法人治理结构与风险自我控制；第二层面为市场力量和容量对金融企业及金融部门的约束；第三层面则为各合格金融监管机构对金融机构及金融市场的审慎性监管。三层面上的治理关系紧密，彼此互动。随着“金融混业集团指令”的采用，微观层面上审慎性监管框架目前在欧盟已初步建立起来，其根本目的在于保持金融市场乃至整个金融体系稳定性，但欧盟金融监管领域仍然存在诸多现实性和潜在障碍，包括经济因素以及非经济因素，例如，金融监管目前在很大程度上仍属于各成员国政府管辖范围，监管主体和监管体制还没有完全统一；各国政府对本国金融业往往有一定支持或采取保护态度；金融混业集团进行的并购并没有完全解决欧盟金融业存在的诸多问题，甚至还产生了一系列副作用，如行业的集中与垄断，失业增加；混业经营和区域一体化使金融监管难度加大、监管成本提高而监管效率未必提高等等。

关键词： 金融混业集团   金融监管   多层治理模式

 

The Regulation and Supervision of Financial Conglomerates in the European Union: A Perspective from the Multi-level Governance Mode in the Variable Environment

In recent years, especially since the launch of the euro, the rapid development of financial conglomerates in the European Union has posed a series of challenges for the competent authorities in Europe. This paper is intended to make preliminary analysis and to try to explore basic questions as regards the present supervisory and regulatory framework in the European Union, whose main characteristics are regarded as multiple-level governance, and all these issues are also of great relevance and importance to China’s financial system and regulatory regime. This paper is structures as follows: The first section gives a brief description of the recent dramatic development of financial conglomerates in the European Union. In the aspects of the main driving forces of the evolution, the paper argues, that against the background of the implementation of the New Basel Capital Accord, the intensifying trends towards financial globalization and integration, the financial conglomerates bring about many new problems and serious challenges. The first question is as regards what are the major benefits that financial conglomerates have brought about to the financial system of the European Union whose primary objective is to safeguard the financial stability and soundness.

The second section is focused on the business features and comprehensive analysis of the positive and negative economic effects of the rising of financial conglomerates in Europe.

Next, the key section of the paper, namely, the third section, attaches great attention to the multiple-level governance of financial regulatory model of the European Union. First, the section begins with the four basic models of financial conglomerates governance, i.e, integrated model, parent-subsidiary model, holding-company model and horizontal model, each of them having their respective advantages and disadvantages. Next, focus is on the basic framework of financial supervision and regulation in the field of European Union. The initial introduction of Lamfallusy Process and its later extension to all the financial sectors including securities, banking and insurance sectors, play a very important role in the restructuring of European harmonized financial supervision and regulation.

The fourth section of the paper is with respect to several issues remaining to be further discusses, one of them being that how to adjust to the new requirements posed by the Basel Capital Accord in terms of capital adequacy, another important issue is as regards the coordination mechanism and information sharing amongst the competent authorities. There still exist a lot of actual and potential hurdles along the way towards the convergence of supervisory criteria, and that is where the real rub is.

The paper concludes by stressing that on the one hand, the building of the financial supervisory and regulatory framework is far away from being completed; while on the other hand, the prospect is hopeful in that in the European Union a long-term goal is constant, namely the stability-targeted financial system enables the authorities to maintain soundness, in particular, accompanied by the involvement of the European Central Bank and member states’ central banks.

Key Words: Financial Conglomerate; Financial Regulation and Supervision; Multi-level Governance Mode

 

 

曹慧Chao, Hui

 

欧盟金融一体化下的金融监管与协调

[提要]  金融一体化在欧盟，尤其是欧元区内过去十年的发展和深入为全球经济带来了前所未有的动力和经验。欧洲经济货币联盟的成立，马斯特里赫特条约的签署，欧元的启用为金融市场，金融机构和个人带来了明显的正面影响。 随着一体化程度的深入，欧元区内金融机构间的竞争亦日趋激烈。同时，经济全球化的因素也导致这些机构在追求经济规模的同时，也在迅速扩大金融服务领域，增加金融产品和创新工具。面对跨国，混业经营的金融集团的涌现，各成员国从九十年代起相应地采取不同程度的金融减规和改革，尽管成员国间签订的各种旨在监管协调的双边或多边协议，但不可避免地，如何从欧盟层面对消除成员国间的监管重叠，减少成本，实施有效监管和维护金融安全亦成为日益重要的问题。本文试着从欧盟金融一体化进程对金融监管的影响（第一部分）入手，阐述欧元区内的金融监管结构（第二部分）及其特点，并进一步探讨现阶段从欧盟层次上进行的金融监管的协调与合作运行机制(第三部分)和未来发展。

 

The Harmonization and Development of Financial Supervisory System along with the EU Integration Process

This paper is focused on the European financial supervisory co-ordination system, which has never been become an important issue as the market integration is growing in the European Union. To understand how the integration process affects the structure of financial supervision, the paper tries to explore the rationale of financial market’s changes, the challenges to supervisory authorities as the phenomenon became globally, and to use comparative method analyzing the characteristics of varied financial supervisory models. To harmonize the supervisory system in the EU level, the Lamfalussy Process was carefully examined to serve its purpose of supporting the European legislative convergence process for supervisory authorities. Furthermore, the paper details the working flow of Lamfalussy process in order to understand how the current coordination arrangement is implemented and its challenges in the future.

Key words: financial supervision, EU supervisory harmonization system, supervisory model, EU financial integration,

 

 

史世伟

欧洲经济一体化与欧盟经济宪法：个制度和演化经济学的分析视角

 

内容提要：从制度和演化经济学的视角来看，经济组织取得成绩一方面来自于市场扩大带来的配置效率，另一方面来自制度发展的“适应效率”。欧洲一体化的进程可以被看作是复杂开放系统的演进。其中，利益偏好不同的行为者选择和执行不同的一体化策略，通过搏弈产生一体化的制度。所谓经济宪法是指规范经济活动的法律和机构安排的总和。作为一个前所未有的政治实体，欧盟已经具备了在经济领域的制宪能力，但欧盟经济宪法不可能完全取代其成员国的经济宪法。欧盟还不得不在辅助原则的基础上同其成员国分权。

关键词：欧洲一体化     欧盟     经济宪法         制度与演化经济学

 

European Economic Integration and Development of EU Economic Constitution. Views from institutional and evolutionary economics

Institutional and evolutionary economics believes that, the successes of economic organizations are owing to the allocation efficiency brought about by market enlargement of the markets brought about, and the “adaptive efficiency” came along with institutional development. European economic integration could be considered as a process of complex evolution, in which actors with different interest preferences choose and implement different integration strategies and, the interactions among them resulted in the emergence of the institutions. Economic constitution can be understood as the totality of laws and institutional arrangements regulating the economic activities. As an entity “sui generis”, EU has already had capabilities to make an economic constitution to some extent. However, such a “constitution” could not substitute the constitutions of EU Member States entirely, and it has to share the competences with the Member States on the principle of subsidiarity.