Luận án Tiến sĩ chuyên ngành Quan hệ quốc tế: Vai trò của ASEAN trong tiến trình hợp tác và liên kết khu vực ở Đông Á

BỘ GIÁO DỤC VÀ ĐÀO TẠO BỘ NGOẠI GIAO HỌC VIỆN NGOẠI GIAO Tơn Thị Ngọc Hương VAI TRỊ CỦA ASEAN TRONG TIẾN TRÌNH HỢP TÁC VÀ LIÊN KẾT KHU VỰC Ở ĐÔNG Á LUẬN ÁN TIẾN SĨ CHUYÊN NGÀNH QUAN HỆ QUỐC TẾ MÃ SỐ: 62 31 02 06 Hà Nội - 2015 BỘ GIÁO DỤC VÀ ĐÀO TẠO BỘ NGOẠI GIAO HỌC VIỆN NGOẠI GIAO Tôn Thị Ngọc Hương VAI TRỊ CỦA ASEAN TRONG TIẾN TRÌNH HỢP TÁC VÀ LIÊN KẾT KHU VỰC Ở ĐÔNG Á Chuyên ngành : Quan hệ quốc tế Mã số : 62 31 02 06 LUẬN ÁN TIẾN SĨ NGÀNH QUAN HỆ QUỐC TẾ NGƯỜI HƯỚNG DẪN KHOA HỌC: GS TS Nguyễn Thái Yên Hương Hà Nội - 2015 LỜI CAM ĐOAN Tơi cam đoan luận án “Vai trị ASEAN tiến trình hợp tác liên kết khu vực Đơng Á” cơng trình nghiên cứu tơi Các nội dung nghiên cứu kết trình bày luận án trung thực chưa công bố Hà Nội, ngày 30 tháng 07 năm 2015 Tác giả luận án Tôn Thị Ngọc Hương LỜI CẢM ƠN Trước hết, tơi xin bày tỏ lịng biết ơn sâu sắc đến GS TS Nguyễn Thái Yên Hươngvề lời bảo, hướng dẫn động viên chân tình sâu sắc tơi suốt q trình viết Luận án Tơi xin chân thành cảm ơn ý kiến đóng góp quý báu có giá trị nhà khoa học qua buổi thảo luận Bộ môn nhà khoa học qua buổi thảo luận Bộ môn Đồng thời xin cảm ơn đến Lãnh đạo đồng nghiệp Vụ ASEAN, Bộ Ngoại giao Đại sứ quán Việt Nam Malaysia tạo điều kiện để tơi vừa hồn thành nhiệm vụ chun mơn giao, vừa thực luận án Tôi xin gửi lời cảm ơn đến Ban giám đốc Học viện Ngoại giao Lãnh đạo Khoa Đào tạo sau Đại học tạo điều kiện thuận lợi cho trình học tập nghiên cứu tơi Lịng tri ân sâu sắc xin gửi đến Bố Mẹ, người thân không ngừng động viên, giúp đỡ, quan tâm, chăm sóc, kể đóng góp ý kiến giúp tơi có nhìn hồn thiện hơn, đầy đủ trình làm luận án Tác giả luận án Tôn Thị Ngọc Hương DANH MỤC CÁC TỪ VIẾT TẮT STT Từ viết tắt AEC ADMM+ ADB AFTA APEC Tên Tiếng Anh Tên Tiếng Việt ASEAN Economic Cộng đồng Kinh tế Community ASEAN ASEAN Defence Ministerial Meeting Plus Hội nghị Bộ trưởng Quốc phòng ASEAN mở rộng The Asian Development Ngân hàng Phát triển Bank châu Á ASEAN Free Trade Area Asia Pacific Economic Cooperation Forum ASEAN Regional Forum ARF ASA ASEM Asia Europe Meeting ASEAN+1 ASEAN plus One 10 ASEAN+3 ASEAN plus Three Association of Southeast Asia Hiệp định Khu vực Mậu dịch Tự đa phương ASEAN Diễn đàn hợp tác kinh tế châu Á – Thái Bình Dương Diễn đàn khu vực ASEAN Hiệp hội Đông Nam Á Hội nghị Á-Âu Hợp tác ASEAN bên đối thoại Hợp tác ASEAN Trung Quốc, Nhật Bản, Hàn Quốc Trung Quốc, Nhật Bản, 11 ASEAN+6 ASEAN Plus Six Hàn Quốc, Ấn Độ, Australia Niu Di-lân 12 ASPAC Asian and Pacific Coucil Comprehensive 13 CEPEA Economic Partnership in East Asia 14 15 CLMV COC Cambodia, Laos, Myanmar, Vietnam DOC Thái Bình Dương Đối tác kinh tế tồn diện Đơng Á Nhóm nước Campuchia, Lào, Myanmar Việt Nam Code of Conduct in the Bộ quy tắc ứng xử South China Sea Biển Đông Declaration of Conduct 16 Hội đồng châu Á of Parties in the South China Sea Tuyên bố Ứng cử bên Biển Đông 17 Eac East Asian community cộng đồng Đông Á 18 EAFTA East Asia Free Trade Khu vực mậu dịch tự Area Đông Á East Asia Summit Hội nghị cấp cao Đông 19 EAS 20 EAEC/EAEG 21 EU European Union Liên minh châu Âu 22 FTA Free Trade Agreement Hiệp định Thương mại East Asian Economic Group/Caucus Á Nhóm kinh tế Đơng Á tự 23 IMF 24 IAI 25 MERCOSUR 26 NATO International Monetary Fund Initiative for ASEAN Sáng kiến Liên kết Integration ASEAN Mercado Comun del Sur RCEP 29 SEATO SEANWFZ Organization Bắc Đại Tây Dương Comprehensive khu vực Khối Hiệp ước Đông Organization Nam Á Southeast Asia Nuclear Weapons Free Zone Hiệp ước Khu vực Đơng Nam Á khơng có vũ khí hạt nhân Treaty of Amity and Hiệp ước thân thiện Cooperation hợp tác TAC 31 TPP Trans Pacific Partnership 32 USD United States dollar ZOPFAN Đối tác kinh tế toàn diện South East Asia Treaty 30 33 Nam Mỹ Hiệp ước Quân Economic Partnership 28 Cộng đồng quốc gia North Atlantic Treaty Regional 27 Qũy Tiền tệ quốc tế Zone of Peace, Freedom and Neutrality Đối tác xun Thái Bình Dương Đồng la Mỹ Tun bố Khu vực Hịa bình, Tự Trung lập MỤC LỤC MỞ ĐẦU CHƯƠNG 1: VẤN ĐỀ LIÊN KẾT KHU VỰC TRONG QUAN HỆ 19 QUỐC TẾ - LÝ THUYẾT VÀ THỰC TIỄN Ở ĐÔNG Á 19 1.1 Lý thuyết liên kết khu vực 19 1.1.1 Khái niệm 19 1.1.2 Các hình thức liên kết kinh tế 21 1.2 Các luận điểm liên kết hợp tác khu vực lý thuyết quan hệ quốc tế 23 1.2.1 Chủ nghĩa tự 23 1.2.2 Chủ nghĩa Kiến tạo 29 1.2.3 Chủ nghĩa khu vực 33 1.3 Lý luận vai trò nước vừa nhỏ quan hệ quốc tế 36 1.4 Thực tiễn hợp tác liên kết khu vực Đông Á từ sau Chiến tranh giới thứ Haiđến 40 1.4.1 Thực tiễn hợp tác khu vực trước 1997 40 1.4.2 Hợp tác liên kết khu vực giai đoạn sau Chiến tranh Lạnh 42 1.4.3 Các khuôn khổ hợp tác ASEAN khởi xướng 43 1.4.4 APEC 45 1.4.5 ASEM 48 1.4.6 Đối tác xuyên Thái Bình Dương (TPP) 49 1.5 Một số đặc điểm chung xu hướng liên kết khu vực Đông Á 50 1.6 Thuận lợi thách thức xu hướng gia tăng liên kết khu vực 52 1.6.1.Thuận lợi 52 1.6.2 Hạn chế thách thức 54 Tiểu kết: 57 CHƯƠNG 2: Q TRÌNH ASEAN TẠO DỰNG VAI TRỊ TRONG 59 LIÊN KẾT KHU VỰC Ở ĐÔNG Á 59 2.1 Chính sách ASEAN liên kết khu vực 59 2.2 Các nhân tố giúp ASEAN phát huy vai trò khu vực 67 2.2.1 Điều kiện khách quan 67 2.2.2 Năng lực ASEAN 69 2.3 Đóng góp ASEAN thúc đẩy liên kết khu vực 74 2.3.1 Củng cố hợp tác nội khối, thúc đẩy liên kết khu vực Đông Nam Á 74 2.3.1.1 Giai đoạn đầu thành lập từ 1967-1999đến hoàn tất mở rộng thành viên 74 2.3.1.2 Đẩy mạnh hợp tác liên kết sau hoàn tất mở rộng thành viên từ 1999-2003 78 2.3.1.3 Xây dựng Cộng đồng ASEAN 81 2.3.2 Mở rộng quan hệ đối ngoại, phát huy vai trị thúc đẩy hợp tác Đơng Á 84 2.3.3 Vai trị tích cực ASEAN thúc đẩy liên kết khu vực Đông Á 85 2.3.3.1 Ý tưởng ban đầu Khối kinh tế Đông Á (EAEC) 85 2.3.3.2Thúc đẩy hình thành phát triển hai chế chuyên biệt hợp tác Đông Á ASEAN+3 EAS 85 2.3.4.Tạo dựng thúc đẩy chế hợp tác an ninh, chuẩn mực ứng xử 93 2.3.5 Vai trị thúc đẩy liên kết kinh tế Đơng Á 95 2.4 Quan điểm cácnước lớn vềvai trò ASEANtrong cấu trúc hợp tác khu vực Đông Á 100 2.5Tác động nước lớn đến vai trò ASEAN 106 2.6 Hạn chế ASEAN thúc đẩy liên kết khu vực 108 Tiểu kết: 110 CHƯƠNG 3: TRIỂN VỌNG VAI TRÒ CỦA ASEAN TRONG LIÊN KẾT VÀ HỢP TÁC ĐƠNG Á – KIẾN NGHỊ CHÍNH SÁCH ĐỐI VỚIVIỆT NAM 113 3.1 Triển vọng vai trò ASEAN tiến trình liên kết hợp tác Đông Á sau 2015 113 3.1.1 Triển vọng hợp tác liên kết Đông Á đến 2025 113 3.1.2 Dự báo vai trò ASEAN 115 3.1.2.1 Các thách thức mà ASEAN phải đối mặt tiến trình liên kết Đông Á 115 3.1.2.2 Triển vọng vai trò ASEAN tiến trình liên kết hợp tác Đông Á sau 2015 118 3.2 Kiến nghị sách Việt Nam 121 3.2.1 Khát quát tham gia Việt Nam ASEAN: 121 3.2.1.1 Quyết định gia nhập ASEAN 121 3.2.1.2 Quá trình tham gia ASEAN từ 1995-2015 124 3.2.1.3 Lợi ích hạn chế Việt Nam tham gia ASEAN 128 3.2.2 Đóng góp Việt Nam thúc đẩy liên kết khu vực Đông Á 131 3.2.3 Kiến nghị sách Việt Nam 136 3.2.3.1 ASEAN tổng thể sách đối ngoại Việt Nam 136 3.2.3.2 Định hướng tham gia liên kết khu vực Đơng Á, thúc đẩy vai trị ASEAN 139 Tiểu kết: 146 KẾT LUẬN 148 DANH MỤC CƠNG TRÌNH ĐÃ CƠNG BỐ CỦA TÁC GIẢ 152 DANH MỤC TÀI LIỆU THAM KHẢO 153 Luan van Luan an Do an 160 73 Bates Gill, Michael Green, 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