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題名 南韓在東亞區域建制中的角色：中等國家推動區域主義之個案研究
South Korea`s Role in Building an East Asian Community: A Middle Power Advancing Regionalism
作者 戈荷西
Jose Guerra Vio
貢獻者 彭慧鸞
Poong, Hwei Luan
戈荷西
Jose Guerra Vio
關鍵詞 Middle Power
Regionalism
East Asia
Northeast Asia
South Korea
Regional Institutionalization
Middle Power
Regionalism
East Asia
Northeast Asia
South Korea
Regional Institutionalization
日期 2013
上傳時間 10-Feb-2014 15:06:57 (UTC+8)
摘要 This dissertation examines South Korea as an emergent middle power in East Asia, and how this is being reflected on its diplomatic behavior in relation to the processes of regionalism. The literature of middle powers suggests that countries such as South Korea can play useful roles to promote cooperation in several specific areas. In East Asia, the need for regional institutionalization became evident since the Asian Financial Crisis (AFC) of 1997-98, yet the attempts of China and Japan for regional leadership are often viewed as problematic. Hence, this research confirmed its main hypothesis which points to South Korea as a capable middle power to lead East Asian regionalism. Thus, in those particular instances where Korea has chosen to display middlepowermanship – as a catalyst, facilitator and/or manager of regionalist projects – the advancement in the processes of regional institutionalization in East Asia was generally observed.
In doing so, this research looked into South Korea’s foreign policy behavior towards East Asian regional processes and towards Northeast Asia as a subregion. Regional institution-building attempts, as well as the creation of regional governance were the main aspects observed; hence this research falls within the theoretical boundaries of international political economy and international relations. Neoliberal theories related to neo-functionalism, institutionalism and especially inter-governmentalism were considered to understand regionalism, while preferring a constructivist point of view to explain the relations among states. A qualitative type of methodology was favored, including interviews with policy-makers and experts, as well as archival research of primary and secondary sources. Ultimately, this study has both practical and theoretical contributions, since the literature on middle powers does not often consider applications to regionalism, a process which is usually advanced and led by great powers. Thus, study conclusions suggest several improved practical understandings of East Asian regionalism in general, recommendations for its continuing advancement and possible future strategies for South Korea’s role in it as the regional middle power.
This dissertation examines South Korea as an emergent middle power in East Asia, and how this is being reflected on its diplomatic behavior in relation to the processes of regionalism. The literature of middle powers suggests that countries such as South Korea can play useful roles to promote cooperation in several specific areas. In East Asia, the need for regional institutionalization became evident since the Asian Financial Crisis (AFC) of 1997-98, yet the attempts of China and Japan for regional leadership are often viewed as problematic. Hence, this research confirmed its main hypothesis which points to South Korea as a capable middle power to lead East Asian regionalism. Thus, in those particular instances where Korea has chosen to display middlepowermanship – as a catalyst, facilitator and/or manager of regionalist projects – the advancement in the processes of regional institutionalization in East Asia was generally observed.
In doing so, this research looked into South Korea’s foreign policy behavior towards East Asian regional processes and towards Northeast Asia as a subregion. Regional institution-building attempts, as well as the creation of regional governance were the main aspects observed; hence this research falls within the theoretical boundaries of international political economy and international relations. Neoliberal theories related to neo-functionalism, institutionalism and especially inter-governmentalism were considered to understand regionalism, while preferring a constructivist point of view to explain the relations among states. A qualitative type of methodology was favored, including interviews with policy-makers and experts, as well as archival research of primary and secondary sources. Ultimately, this study has both practical and theoretical contributions, since the literature on middle powers does not often consider applications to regionalism, a process which is usually advanced and led by great powers. Thus, study conclusions suggest several improved practical understandings of East Asian regionalism in general, recommendations for its continuing advancement and possible future strategies for South Korea’s role in it as the regional middle power.
參考文獻 Books

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Journal Articles

27. Acharya, Amitav. 1997. Ideas, identity and institution-building: from the ‘ASEAN way’ to the ‘Asia-Pacific way’? The Pacific Review, 10(3): 319-346.
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32. Jordaan, Eduard. 2003. The Concept of a Middle Power in International Relation: distinguishing between emerging and traditional Middle Powers. Politikon, 30(2): 165-181.
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34. Kindleberger, Charles P. 1981. Dominance and Leadership in the International Economy: Exploitation, Public Goods, and Free Rides. Symposium in Honour of Hans J. Morgenthau. International Studies Quarterly, (25)2: 242-254.
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38. Malnes, Raino. 1995. Leader and Entrepreneur in International Negotiations: A Conceptual Analysis. European Journal of International Relations, 1(1): 87-112.
39. Park, Sung-Hoon and Jeong Yeon Lee. 2009. APEC at a Crossroads: Challenges and Opportunities. Asian Perspective, 33(2): 97-124.
40. Peng, Dajin. 2004. Invisible Linkages: A Regional Perspective of East Asian Political Economy. International Studies Quarterly, 46(3): 423-447.
41. Qin, Yanqing. 2010. International Society as a Process: Institutions, Identities, and China’s Peaceful Rise. The Chinese Journal of International Politics, 3: 129-153.
42. Ravenhill, John. 1998. Cycles of Middle Power Activism: Constraint and Choice in Australia and Canadian Foreign Policies. Australian Journal of International Affairs, 52(3): 309-327.
43. Riddell-Dixon, Elizabeth. 2005. Canada’s Human Security Agenda: Walking to Talk? International Journal, 60: 1067-92.
44. Robertson, Jeffrey. 2007. South Korea as a Middle Power: Capacity, Behavior, and now Opportunity. International Journal of Korean Unification Studies, 16(1): 151-174.
45. Rozman, Gilbert. 2007. South Korea and the Sino-Japanese Rivalry: a Middle Power`s Options with the East Asia Core Triangle. The Pacific Review, 20(2): 197-220.
46. Samuelson, Paul A. 1954. The Pure Theory of Public Expenditure. The Review of Economics and Statistics, 36(4): 387-389.
47. Soesastro, Hadi. 2006. Regional Integration in East Asia: Achievements and Future Prospects. Asian Economic Policy Review, 1: 215-234.
48. Solis, Mireya and Saori Katada. 2007. Understanding East Asian Cross-Regionalism: An Analytical Framework. Pacific Affairs, East Asian Cross-Regionalism 80(2): 229-258.
49. Stubbs, Richard. 2002. ASEAN Plus Three. Emerging East Asian Regionalism? Asian Survey, 42(3): 440-455.
50. Wendt, Alexander. 1992. Anarchy is what states make of it: The Social Construction of Power Politics. Journal International Organization , 46(2): 391-425.
51. Wendt, Alexander. 1994. Collective Identity Formation and the International State. American Political Science Review, 88: 384-96.
52. Yoshimatsu, Hidetaka. 2005. Political Leadership, Informality, and Regional Integration in East Asia: The Evolution of ASEAN Plus Three. European Journal of East Asian Studies, 4(2): 205-232.
53. Yoshimatsu, Hidetaka. 2010. Understanding Regulatory Governance in Northeast Asia: Environmental and Technological Cooperation among China, Japan and Korea. Asian Journal of Political Science, 18(3): 227-247.
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56. Zhang, Xiaoming. 2006. The Rise of China and a Community Building in East Asia. Asian Perspective, 30(3): 129-148.

Book Chapters

57. Bélanger, Louis and Gordon Mace. 1999. Building Role and Region: Middle States and Regionalism in the Americas. In The Americas In Transition: The Contours of Regionalism, eds. Louis Bélanger and Gordon Mace. Lynne Rienner Publishers, Inc. 1999. Electronic Version (http://www.ciaonet.org/book/mace/index.html): 111-126.
58. Bélanger, Louis and Gordon Mace. 1997. Middle Powers and Regionalism in the Americas: The Cases of Argentina and Mexico. In Niche Diplomacy: Middle Powers After the Cold War, ed. Andrew Cooper. London: Palgrave Macmillan: 164-183.
59. Choo, Jaewoo. 2009. South Korea and East Asian Regionalism, Policies, Norms and Challenges. In Governance and Regionalism in Asia, ed. N. Thomas. London: Routledge: 93-115.
60. Cox, Robert. W. 1996. Social Forces, States, and World Orders: Beyond International Relations Theory (1981). In Approaches to World Order, Robert W. Cox and Timothy J. Sinclair eds. New York: Cambridge University: 85-123.
61. Evans, Paul. 2005. Between Regionalism and Regionalization: Policy Networks and the Nascent East Asian Institutional Identity. In Remapping East Asia, The Construction of a Region, ed. T.J. Pempel. Cornell University Press: 195-215.
62. Hall, Stuart. 2003. Cultural Identity and Diaspora. In Theorizing Diaspora: a reader, eds. Jana Evans Braziel and Anita Mannur. Blackwell: 233-246.
63. Henrikson, Alan. 1997. Middle Powers as Managers: International Mediation within, across and outside Institutions. In Niche Diplomacy: Middle Powers After the Cold War, ed. Andrew Cooper. London: Macmillan: 46-72.
64. Higgott, Richard and Martina Timmermann. 2008. Institutionalizing East Asia: Learning Lessons from Europe on Regionalism, Regionalization, Identity and Leadership. In Institutionalizing Northeast Asia: Regional steps towards Global Governance, eds. Martina Timmermann and Jitsuo Tsuchiyama. United Nations University Press, Tokyo: 43-62.
65. Ikenberry, John and Michael Mastanduno. 2003. Introduction: International Relations Theory and the Search for Regional Stability. In International Relations Theory and the Asia-Pacific. Columbia Univeristy Press. New York: 1-21
66. Keohane, Robert. 1993. Institutional Theory and the Realist Challenge after the Cold War. In Neorealism and Neoliberalism: The Contemporary Debate, ed. David Baldwin. New York: Columbia University Press: 269-300.
67. Keohane, Robert and Joseph Nye. 2000. Introduction. In Governance in a Globalizing World, eds. Joseph Nye and J.D. Donahue. Washington, DC. Brookings: 1-41.
68. Kim, Byung-kook. 2008. Between China, America, and North Korea: South Korea’s Hedging. In China’s Ascent: Power, Security, and the Future of International Politics, ed. Robert S. Ross and Zhu Feng. New York: Cornell University: 191-217.
69. Kim, Heungchong and Yunjong Wang. 2007. Financial integration in East Asia : which role for Korea? In Korea in the new Asia : East Asian integration and the China Factor, ed. Francoise Nicolas. Routledge: 52-68.
70. Kim, Heungchong. 2009. The Political Economy of European Economic and Monetary Union Negotiation and Implication for East Asia. In Towards monetary and financial integration in East Asia, eds. KoŻichi Hamada, Beate Reszat, Ulrich Volz. Edward Elgar Publishing: 41-60.
71. Krasteva, Anna. 2005. The concept of Identities. In Cultural Identity, Pluralism and Globalization, Volume I, ed. John P. Hogan. The Council for Research in Values and Philosophy, Washington D.C.: 94-128.
72. Lee, Sook-Jong. 2008. Korean Perspectives on East Asian Regionalism. In East Asian Multilateralism Prospects for Regional Stability, eds. Kent E. Calder and Francis Fukuyama. The Johns Hopkins University Press, Baltimore: 198- 213.
73. Malamud, Andres. 2003. Presidentialism and Mercosur: A Hidden Cause for a Successful Experience. In Comparative Regional Integration, Theoretical Perspectives. ed. Finn Laursen. The International Political Economy of New Regionalism Series. Ashgate: 53-74
74. Neack, Laura. 1995. Linking State Type with Foreign Policy Behaviour. In Foreign Policy Analysis: Continuity and Change in its Second Generation, eds. Laura Neack, Jeanne A.K. Hey and Patrick J. Haney. Englewood Cliffs. N.J. Prentice-Hall: 215-228.
75. Nossal, Kim and Richard Stubbs. 1997. Mahathir`s Malaysia: An Emerging Middle Power? In Niche Diplomacy: Middle Powers After the Cold War, ed. Andrew Cooper. London: Palgrave Macmillan: 147-163.
76. Oelsner, Andrea. 2003. Two Sides of the Same Coin: Mutual Perceptions and Security Community in the Case of Argentina and Brazil. In Comparative Regional Integration, Theoretical Perspectives. ed. Finn Laursen. The International Political Economy of New Regionalism Series. Ashgate: 185-206
77. Oshimura, Takashi. 2008. The function and dysfunction of identity in an Institutionalizing Process: The case of Northeast Asia. In Institutionalizing Northeast Asia: Regional steps towards Global Governance, eds. Martina Timmermann and Jitsuo Tsuchiyama. United Nations University Press, Tokyo: 118-130.
78. Osterud, Oyvind. 1992. Regional Great Powers. In Regional Great Powers in International Politics, ed. Iver B. Newmann. Basingstoke: St. Martin`s Press: 1-15.
79. Peters, Guy. 1998. Political Institutions, Old and New. In A New Handbook of Political Science, eds., Robert E. Goodin and Hans-Dieter Klingeman. Oxford University Press: 205-219.
80. Rozman, Gilbert. 2008. Northeast Asian Regionalism at a Crossroads: Is an East Asian Community in sight? In Institutionalizing Northeast Asia: Regional steps towards Global Governance, eds. Martina Timmermann and Jitsuo Tsuchiyama. United Nations University Press, Tokyo: 83-97.
81. Timmermann, Martina. 2008. Introduction, Institutionalizing Northeast Asia Challenges and Opportunities. In Institutionalizing Northeast Asia: Regional steps towards Global Governance, eds. Martina Timmermann and Jitsuo Tsuchiyama. United Nations University Press, Tokyo: 1-18.
82. Van Langenhove, Luk and Maria Cristina Macovei. 2009. Regional formations and Global Governance. In World-Regional Social Policy and Global Governance New research and policy agendas in Africa, Asia, Europe and Latin America, eds. Bob Deacon, Maria Cristina Macovei, Luk Van Langenhove and Nicola Yeates. Routledge: 9-26.
83. Verdun, Amy. 2011. The Role of the Benelux in the European Integration Process: Implications for East Asia. In Regionalism, Economic Integration and Security in Asia: A Political Economy Approach, eds. Jehoon Park, T. J. Pempel and Heungchong Kim. Edward Elgar Publishing: 92-101.
84. Yoshimatsu, Hidetaka. 2009. Japan and Regional Governance in East Asia: Expanding Involvement, Stagnated Influence? In Governance and Regionalism in Asia, ed. N. Thomas. London: Routledge: 66-92.

Other Sources

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86. Byun, See-woon. 2011. The China-South Korea-Japan Triangle: The Shape of Things to Come? Asia Pacific Bulletin, East-West Center, Washington. Number 115, June 06.
87. East Asia Study Group Final Report. 2002. Presented at the ASEAN + 3 Summit, Phnom Penh, Cambodia. Official document available online:
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88. East Asia Vision Group Final Report. 2001. "Towards an East Asian Community: A region of Peace, Prosperity and Progress." Handed personally by its ghost writer Lee, Shin-wha.
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描述 博士
國立政治大學
亞太研究英語博士學位學程(IDAS)
98265506
102
資料來源 http://thesis.lib.nccu.edu.tw/record/#G0098265506
資料類型 thesis
dc.contributor.advisor 彭慧鸞zh_TW
dc.contributor.advisor Poong, Hwei Luanen_US
dc.contributor.author (Authors) 戈荷西zh_TW
dc.contributor.author (Authors) Jose Guerra Vioen_US
dc.creator (作者) 戈荷西zh_TW
dc.creator (作者) Jose Guerra Vioen_US
dc.date (日期) 2013en_US
dc.date.accessioned 10-Feb-2014 15:06:57 (UTC+8)-
dc.date.available 10-Feb-2014 15:06:57 (UTC+8)-
dc.date.issued (上傳時間) 10-Feb-2014 15:06:57 (UTC+8)-
dc.identifier (Other Identifiers) G0098265506en_US
dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/63760-
dc.description (描述) 博士zh_TW
dc.description (描述) 國立政治大學zh_TW
dc.description (描述) 亞太研究英語博士學位學程(IDAS)zh_TW
dc.description (描述) 98265506zh_TW
dc.description (描述) 102zh_TW
dc.description.abstract (摘要) This dissertation examines South Korea as an emergent middle power in East Asia, and how this is being reflected on its diplomatic behavior in relation to the processes of regionalism. The literature of middle powers suggests that countries such as South Korea can play useful roles to promote cooperation in several specific areas. In East Asia, the need for regional institutionalization became evident since the Asian Financial Crisis (AFC) of 1997-98, yet the attempts of China and Japan for regional leadership are often viewed as problematic. Hence, this research confirmed its main hypothesis which points to South Korea as a capable middle power to lead East Asian regionalism. Thus, in those particular instances where Korea has chosen to display middlepowermanship – as a catalyst, facilitator and/or manager of regionalist projects – the advancement in the processes of regional institutionalization in East Asia was generally observed.
In doing so, this research looked into South Korea’s foreign policy behavior towards East Asian regional processes and towards Northeast Asia as a subregion. Regional institution-building attempts, as well as the creation of regional governance were the main aspects observed; hence this research falls within the theoretical boundaries of international political economy and international relations. Neoliberal theories related to neo-functionalism, institutionalism and especially inter-governmentalism were considered to understand regionalism, while preferring a constructivist point of view to explain the relations among states. A qualitative type of methodology was favored, including interviews with policy-makers and experts, as well as archival research of primary and secondary sources. Ultimately, this study has both practical and theoretical contributions, since the literature on middle powers does not often consider applications to regionalism, a process which is usually advanced and led by great powers. Thus, study conclusions suggest several improved practical understandings of East Asian regionalism in general, recommendations for its continuing advancement and possible future strategies for South Korea’s role in it as the regional middle power.		zh_TW
dc.description.abstract (摘要) This dissertation examines South Korea as an emergent middle power in East Asia, and how this is being reflected on its diplomatic behavior in relation to the processes of regionalism. The literature of middle powers suggests that countries such as South Korea can play useful roles to promote cooperation in several specific areas. In East Asia, the need for regional institutionalization became evident since the Asian Financial Crisis (AFC) of 1997-98, yet the attempts of China and Japan for regional leadership are often viewed as problematic. Hence, this research confirmed its main hypothesis which points to South Korea as a capable middle power to lead East Asian regionalism. Thus, in those particular instances where Korea has chosen to display middlepowermanship – as a catalyst, facilitator and/or manager of regionalist projects – the advancement in the processes of regional institutionalization in East Asia was generally observed.
In doing so, this research looked into South Korea’s foreign policy behavior towards East Asian regional processes and towards Northeast Asia as a subregion. Regional institution-building attempts, as well as the creation of regional governance were the main aspects observed; hence this research falls within the theoretical boundaries of international political economy and international relations. Neoliberal theories related to neo-functionalism, institutionalism and especially inter-governmentalism were considered to understand regionalism, while preferring a constructivist point of view to explain the relations among states. A qualitative type of methodology was favored, including interviews with policy-makers and experts, as well as archival research of primary and secondary sources. Ultimately, this study has both practical and theoretical contributions, since the literature on middle powers does not often consider applications to regionalism, a process which is usually advanced and led by great powers. Thus, study conclusions suggest several improved practical understandings of East Asian regionalism in general, recommendations for its continuing advancement and possible future strategies for South Korea’s role in it as the regional middle power.		en_US
dc.description.tableofcontents Tables and Figures viii
Abbreviations ix

Chapter I: Point of Departure and Main Perspectives 1
1.1. Introduction: East Asian Institutional Gap 1
1.1.1. The Issue of Regional Leadership and South Korea 3
1.1.2. Outline of Dissertation 6
1.2. Research Point of Departure 8
1.2.1. Research Questions and Variables 12
1.3. Research Contributions 15
1.4. Theoretical Standpoint of this Study 19
1.4.1. The Neoliberal Perspective 19
1.4.2. The Social Constructivist Approach 24
1.5. Regionalism and East Asian Regional Integration 28
1.5.1. East Asian Community: Chasing an Ideal 31
1.6. Expectations of Research 37

Chapter II: Analytical Framework 39
2.1. Regional Institutionalization: Three Embedded Processes 39
2.1.1. Regional Institutions: The Social Venue 41
2.1.2. Regional Governance: The System of Rule 43
2.1.3. Regional Identity: A Bond for the Community 45
2.2. Conceptualizing Middle Powers 49
2.2.1. South Korea as a Middle Power 55
2.2.2. Middlepowermanship: About Leadership, Public Goods and Status 60
2. 3. Middle Powers and Regionalism in the World 68
2.3.1. The European Process: Small Powers Coalition under Great
Powers Leadership 69
2.3.2. Regionalism in the Americas: Great and Middle Powers
Association 74
2.3.3. East Asian Regionalism: Great Powers Awkwardness, Middle
Powers Opportunity 79
2.4. Main Relationship to Observe: Middle Powers in Regionalism 82

Chapter III: Research Design 89
3.1. Operationalization of Variables 89
3.1.1. Explanatory Variable: Middlepowermanship 89
3.1.2. Dependent Variable: Regional Institutionalization 91
3.2. Theoretical Relationship among Variables 94
3.2.1. Building up Theory: Causality and Validity 94
3.2.2. Hypotheses Formulation 98
3.3. Methodology 101
3.3.1. Empirical Setting for Data Collection 102
3.3.2. Research Stages and Methods 105

Chapter IV: Korea and the Nascent Regionalism in East Asia 115
4.1. Seoul’s Early Signs of Leadership 116
4.2. South Korea’s Shift to Modern Regionalism 122
4.2.1. Kim Dae-jung`s Vision: The East Asian Community Foundations 125
4.3. The EAS Formation: Korea and the Sino-Japanese Rivalry 130
4.3.1. Regional Powers` Competition and the Failed EAFTA 134
4.4. East Asian Community in Crisis: The Korean EAVG II Initiative 139
4.5. East Asian Institutional Darwinism and the Complex Positioning
of Korea 144

Chapter V: Korea in the Emerging Institutionalization of Northeast Asia 155
5.1. Precedents for Multilateral Regional Cooperation in NEA 155
5.2. Korea`s Changing Strategy for Regional Cooperation: The Last Two
Administrations 161
5.2.1. Roh Moo-hyun`s Northeast Asian Focus: Bridging, not Balancing 161
5.2.2. Lee Myung-bak`s Broader Strategic Approach: Korea Goes Global 165
5.3. The Emergent Institutionalization of NEA 172
5.3.1. Intergovernmentalism and Functionalism driving NEA
Institutionalization 175
5.4. Korea Advancing Trilateral Institutionalization: The TCS in Seoul 184
5.4.1. Functioning and Activities of the TCS 190
5.5. Trilateral FTA: Korea as Catalyst, Facilitator and Manager 199
5.6. The Bleak Side of Regionalism in NEA 206

Chapter VI: Final Results, Reflections and Recommendations 217
6.1. Lessons from the EU Process 217
6.2. Cracking the Leadership Puzzle: Finding the Missing Piece 222
6.3. Korea as a Middle Power at the Center of East Asian Regionalism 229
6.3.1. Managing the Sino-Japanese Rivalry in NEA 233
6.3.2. Closing the North/South Institutional Gap: Building the East Asian
Community 240
6.4. Obstacles and Recommendations for Korea and East Asia to Advance
Regionalism 249


Conclusions 267

References 271
Books 271
Journal Articles 272
Book Chapters 273
Other Sources 275

Annexes 277
1. Questionnaire used for First Stage of Interviews 277
2. Questionnaire used for Second Stage of Interviews 279
3. List of Interviewees 280
4. Official Documents Employed and Forums Attended 283
5. Relevant Websites Consulted 285		zh_TW
dc.format.extent 1591600 bytes-
dc.format.mimetype application/pdf-
dc.language.iso en_US-
dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0098265506en_US
dc.subject (關鍵詞) Middle Powerzh_TW
dc.subject (關鍵詞) Regionalismzh_TW
dc.subject (關鍵詞) East Asiazh_TW
dc.subject (關鍵詞) Northeast Asiazh_TW
dc.subject (關鍵詞) South Koreazh_TW
dc.subject (關鍵詞) Regional Institutionalizationzh_TW
dc.subject (關鍵詞) Middle Poweren_US
dc.subject (關鍵詞) Regionalismen_US
dc.subject (關鍵詞) East Asiaen_US
dc.subject (關鍵詞) Northeast Asiaen_US
dc.subject (關鍵詞) South Koreaen_US
dc.subject (關鍵詞) Regional Institutionalizationen_US
dc.title (題名) 南韓在東亞區域建制中的角色：中等國家推動區域主義之個案研究zh_TW
dc.title (題名) South Korea`s Role in Building an East Asian Community: A Middle Power Advancing Regionalismen_US
dc.type (資料類型) thesisen
dc.relation.reference (參考文獻) Books

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