学校编码 :10384 分类号密级学号 : UDC 博士学位论文 Ubuntu 特色的地区主义 : 塑造更好的南部非洲发展共同体? Regionalism with Ubuntu features: Shaping a better SADC? KEORAPETSE

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1 学校编码 :10384 分类号密级学号 : UDC 博士学位论文 Ubuntu 特色的地区主义 : 塑造更好的南部非洲发展共同体? Regionalism with Ubuntu features: Shaping a better SADC? KEORAPETSE MMOLOKI GABATLHAOLWE 指导教师姓名 : 庄国土教授李美婷教授专业名称 : 亚太国际关系论文提交日期 : 年 11 月论文答辩时间 : 年 12 月学位授予日期 : 年 12 月答辩委员会主席 : 评阅人 : 2015 年 12 月

2 厦门大学学位论文原创性声明本人呈交的学位论文是本人在导师指导下, 独立完成的研究成果本人在论文写作中参考其他个人或集体已经发表的研究成果, 均在文中以适当方式明确标明, 并符合法律规范和厦门大学研究生学术活动规范 ( 试行 ) 另外, 该学位论文为 ( ) 课题 ( 组 ) 的研究成果, 获得 ( 资助, 在 ( ) 课题 ( 组 ) 经费或实验室的 ) 实验室完成 ( 请在以上括号内填写课题或课题组负责人或实验室名称, 未有此项声明内容的, 可以不作特别声明 ) 声明人 ( 签名 ): 年月日

3 厦门大学学位论文著作权使用声明本人同意厦门大学根据中华人民共和国学位条例暂行实施办法等规定保留和使用此学位论文, 并向主管部门或其指定机构送交学位论文 ( 包括纸质版和电子版 ), 允许学位论文进入厦门大学图书馆及其数据库被查阅借阅本人同意厦门大学将学位论文加入全国博士硕士学位论文共建单位数据库进行检索, 将学位论文的标题和摘要汇编出版, 采用影印缩印或者其它方式合理复制学位论文本学位论文属于 : ( )1. 经厦门大学保密委员会审查核定的保密学位论文, 于年月日解密, 解密后适用上述授权 ( )2. 不保密, 适用上述授权 ( 请在以上相应括号内打或填上相应内容保密学位论文应是已经厦门大学保密委员会审定过的学位论文, 未经厦门大学保密委员会审定的学位论文均为公开学位论文此声明栏不填写的, 默认为公开学位论文, 均适用上述授权 ) 作者签名 : 日期 : 年月日导师签名 : 日期 : 年月日

4 摘要本文的研究领域是以南部非洲地区为例的非洲区域一体化尽管区域机构在非洲政治中的重要性越来越突出, 它们的特征和表现却都没有达到人们的预期本文共分六个章节, 关注并分析和讨论南部非洲发展共同体 ( 南共体 ) 集团的组织机构措施行为特点与现实状况本文的主题是一体化中不可分割的经济政治和社会压力使用新区域主义理论 (NRA) 和 Ubuntu 的概念, 本文探讨在南部非洲发展共同体区域化进程中所遇到的问题挑战与机遇关于南共体内设立的机构, 本文还对其内外部参与者的行为和表现予以观察其中包括强权政治, 政治与经济利益, 主权问题和冲突干预本文采用具有 Ubuntu 特点的方法探讨地区主义, 总体上针对的是南共体如何有效地整合 ; 联盟中的团结合作发展, 这些也是南共体自身的关键目标本文采纳了诸如相互依存性共同人性社会的重要性互联性以及关系构建等重要 Ubuntu 特色论文最后就南部非洲发展共同体的个案经验能否在整个非洲大陆的区域化道路上起到示范作用做出了权衡关键词 :; 南部非洲发展共同体 ; 一体化 ; 非洲联盟 ; 地区主义 : 发展

5 Abstract The study field of this thesis is regional integration in Africa through the example of the Southern African region. Regional institutions while they increasingly feature with prominence in the African politics, their characteristics and performance are not as per expectation. This research work, consisting of six chapters, focuses and gives an analysis and discussion of institutions, actions, behaviors and realities in the Southern African Development Community (SADC) bloc. The key themes are economic, political and social pressures for integration, which are inseparable features. Using the new regionalism theory (NRA) and the concept of Ubuntu, it discusses the problems, challenges and opportunities that the SADC encounters during its regionalization process. The paper also observes the action and behaviors of internal and external actors towards the established institutions in the bloc. They include power politics, political and economic interests, and issues of sovereignty and conflict intervention. The paper develops an approach to regionalism with Ubuntu characteristics, generally on how SADC can effectively integrate; for unity, cooperation and development in the coalition, which are SADC s key goals. The paper uses Ubuntu features such as interdependence, interconnectedness, common humanity, and the importance of community and relationship building. The paper finally weighs on whether the lessons of SADC regional case give an example effort for Africa's regionalization as a whole continent. Keywords; Southern Africa, SADC, integration, African Union (AU), regionalism, development.

6 Contents Chapter 1 Introduction Background Overview of SADC Contextualizing economic performance of Southern Africa Political characteristics of Southern Africa Regional integration as a strategy for development Statement of the problem Research question Motivation Methodology Structure 24 Chapter 2 Literature review Theorizing regionalism Defining key concepts Regionalism: the Old Approach Neo-functionalism Constructivism Intergovernmentalism The Economic theory Regionalism: the New Approach Regionalism and Globalization: the thin lines Concept of Ubuntu Regional integration experiences EU-Europe ASEAN-Asia Regionalism efforts in Africa Does regionalism remain important for Africa? Summary 64 2

7 Chapter 3 Inside SADC integration: Operational frameworks Legal and Institutional Frameworks of SADC The Summit of Heads of State and COM The Secretariat The Tribunal The OPDSC The SADC Parliamentary Forum Integration as a priority: Reforms Strategic Indicative Plan for the Organ (SIPO) SADC integration stages Regional Indicative Strategic Development Plan (RISDP) Free Trade Area (FTA) Customs Union Common Market Monetary Union Economic Union/Single Currency Summary 96 Chapter 4 Inside SADC regionalism: Actions and Behaviours Heterogeneity in the SADC Different Systems in Politics Different Systems in Economics Power Politics Pursuit of National Interests National Rivalry Alliances South Africa's hegemony Sovereignty vs. Interference Cross-Border Movements & Regional (dis) Integration Conflict Intervention The case of Zimbabwe The case of Lesotho Conflict Prevention Complexities of African Solutions for African Problems 124

8 Lack of shared Norms and Values Challenges of Lack of Norms SADC and the influence of International Actors European connections US Approach to relations with Southern Africa Growing presence of China in Africa Effects of Globalization Multiple membership Summary 142 Chapter 5 Regionalism with African Orientation African Oriented integration towards development Development regionalism SADC's potential for regionalism with Ubuntu characteristics Characteristics of Ubuntu Working towards Common humanity Relationship building Interdependence Interconnectedness The Importance of community Indicators of regionalism with Ubuntu characteristics The future of regional integration in Africa Africa is the future of the world? Southern Africa: Potential leader of Africa's effective integration efforts? Summary 164 Chapter 6 Introduction Concluding remarks The Coalition and community are necessary Liberation and Security Regional integration still a long way to go Prospects The African Agenda and the role of SADC 177 4

9 Priority Areas for regional integration Contribution of Study to knowledge Study limitations and suggestions for future research 181 Bibliography 182 Acknowledgements 200

10 List of Tables S.N Item Page number Table 1 SADCC Member Countries Sectoral Responsibilities 6 Table 2 SADC Development 13 Indicators. Table 3 SADC development indicators 14 Table 4 SADC development indicators (continued) 15 Table 5 Differences between new 41 regionalism and Old regionalism Table 6 Recognized and Unrecognized 55 RECs Table 7 SADC legal instruments 71 List of boxes S.N Item Page number Box 1 Competitiveness in the SADC 106 as per the GCI report /Bottom performers Box 2 Competitiveness in the SADC 107 as per the GCI report /Bottom performers Box 3 Overlapping membership 142 6

11 List of Figures S.N Item Page number Fig 1 Founders of SADCC 5 Fig 2 SADC Map 9 Fig 3 Summary of characteristics of 11 SADC Fig 4 regional GDP country share in SADC Fig 5 Stages of formation of 31 regionalization Fig 6 SADC Structure 72 Fig 7 The Secretariat Structure 74 Fig 8 Women representation in 84 SADC member states Fig 9 SADC s 15-year road map 87 Fig 10 Public debt in the SADC 130 Fig 11 Bilateral Goods Trade United 136 States Fig 12 China-Africa Trade; Sources 137 Fig 13 China Africa imports and 138 Exports (USD bn, F) Fig 14 Regional Trading 142 arrangements in Eastern and Southern Africa overlap Fig 15 Proposed Key indicators in regionalism with arrangements 159

12 List of Abbreviations AEC African Economic Community AfDB African Development Bank AFTA African Free Trade Area ASEAN Association of South East Asian Nations AU African Union CES COMESA-EAC-SADC CFTA COM COMESA DRC EAC ECA ECOWAS ESRF EC EU FANR FTA GATT GDP GDPPP ICC ICPs IMF IS ISDSC LDC LPA MFN MIP Continental Free Trade Area Council of Ministers Community of East and Southern Africa Democratic Republic of Congo East African Community Economic Commission for Africa Economic Community of West African States Economic & Social Research Foundation European Community European Union Food, Agriculture & Natural Resources Free Trade Area General Agreement on Tariffs and Trade Gross Domestic Product GDP per capita International Criminal Court International Cooperating Partners International Monetary Fund Infrastructure & Services Inter-State Defense and Security Committee Least Developed Countries Lagos Plan of Action Most Favored Nations Minimum Integration Programme New Partnership for Africa s Development Non-Governmental Organization New Regionalism Approach Organization of African Unity Organization for Economic Co-operation and Development Organ on Politics, Defense, and Security Cooperation Protocol on Politics, the Defense & Security Cooperation NEPAD NGO NRA OAU OECD OPDSC PDS/PPDSC 8

13 PEMMO Principles for Election Management, Monitoring and Observation PVT Private RECs Regional Economic Communities REWC Regional Early Warning Centre RIA Regional Integration Agenda RISDP Regional Indicative Strategic Development Plan RTA Regional Trade Agreement SA South Africa SACU SADC SADCC SADC FTA SADC FTP SADC PF SARPCCO SEAC SHDSP SIPO SNC TFTA TIFI UNECA US/ USA USAID Southern African Customs Union Southern African Development Community Southern African Development Coordination Conference SADC Free Trade Area SADC Free Trade Protocol SADC Parliamentary Forum Southern African Regional Police Chiefs Cooperation Organization SADC Electoral Advisory Council Social and Human Development and Special Programme Strategic Indicative Plan for the Organ SADC National Committees Tripartite Free Trade Agreement Trade, Industry, Finance and Investment United Nation's Economic Commission for Africa United States of America United States Agency for International Development

14 Chapter 1 Introduction Chapter 1 Introduction 1.1 Background Regional integration has become one of the most prominent issues of study within the field of IR (Pelkmans, 2001 and Chryssochoo, 2001). Since the late 1980s and early 1990s, regional integration has again become an attractive policy option in the world. The trend to create regional blocs is notable after Europe accomplished the world s most advanced multinational integrational organization. The European Union (EU) is considered as the most prominent integration case and serves as an outstanding inspiration for other regional organizations with efforts of similar purpose. Soderbaum (1996) and Herman et al. (2011) posit that the relevance of regional integration in Africa is not new. Indeed, history shows that regional integration in the continent has been a process of trial and error in negotiations that were often fraught with political difficulties. In 1963, with the formation of the Organization of African Unity (OAU, which later transformed into the present African Union/AU), Africa threw its hat in efforts to cooperate for the first time. OAU, which sought to unite the African States, was intended to achieve greater unity, economic growth and steer the continents towards peace. Baldwin (1997) and Mengesha (2009) note that there is a renewed interest in Africa concerning the need to work towards a strong regional economic integration (REI) project to promote economic growth. This interest resulted from the end of the cold war and the emergence of powerful trading blocs in other parts of the world. First, at the continental level there is a strong belief that regional integration has the potential to accelerate Africa s development. Secondly, numerous signs are showing that Africa is finally waking up to the reality that sufficient political will and institutional capacity that exists at the national level is crucial for development integration at a regional level. According to the OECD (2010), the desire to integrate African economies on a regional, and ultimately continental, basis is strong. Hatzenberg (2011) points out that the aspiration of African leaders to integrate Africa provided the rationale for the Lagos Plan of Action (LPA). The LPA was an initiative of the OAU, adopted by Heads of State in April Its aim was to increase Africa s self-sufficiency and reduce dependency on Western countries by coming together as 1

15 Regionalism with Ubuntu Characteristics; Shaping a better SADC African countries. About ten years later in 1991, the Abuja Treaty was signed to promote African solidarity and self-reliance. The treaty also promoted industrialization to promote an endogenous development strategy. This treaty came into force in 1994 and envisaged the development of an African Economic Community (AEC). Interestingly, Africa s leaders and partners are, on one hand, increasingly acknowledging the rising and untenable cost of the continent s isolated geography. They also recognize how it is fragmented politically and economically, including the isolation from international markets. On the other hand, it is evident that some countries are basking in the fortunes of historically high oil prices, and many others are struggling with power shortages and economy-crippling blackouts. Many notable continental constraints are due to lack of development; the improvement in productivity or efficiency in human endeavors coupled with a contradictory collection of legal, institutional and regulatory frameworks. These are challenges brought forward by regionalism and globalization. UNECA (2004) notes that the World Trade Organization s rules for the world trade system have increased global competition within the international markets, at the same time raising the stakes for Africa. Crawford and Fiorentino (2005) echo these sentiments. They believe that the slow progress of the recent multilateral WTO trade negotiations (under the Doha Development Round) seem to have further increased the creation and settlement of sub-regional regional economic integration schemes. The above factors have led many pessimists to dismiss African regional integration as a good idea that is not likely to happen. Diouf as quoted in McCarthy (1995) suggests that Africa should look into other theoretical schemes. These can be of the pan-african type (a United States of Africa ) and desist from the neo-colonial type (a customs union). He suggests a replacement with simpler, more productive and cost-effective models of integration. Interestingly, the AU espouses and endorses the traditional model of top-down African regionalism, because it has a strong rhetorical basis, and it is significant politically. As a result, many integration arrangements have been established to further this goal, under the over-arching umbrella of the AU s plan to achieve a common continental market by As a matter of urgency, African leaders now recognize, more than ever, the need to accelerate Africa s integration. The Economic Commission for Africa (ECA) championed regional integration efforts in 1994 and suggested that Africa be divided and grouped into regions for the purpose of economic development. As a result, 2

16 Chapter 1 Introduction countries have committed themselves to various RIAs, and currently there is no country that is not a member of at least one RIA (Alemayehu and Haile, 2008). So, to speed up the regional integration process, African countries have also adopted foreign frameworks and programs. These include the New Partnership for Africa s Development (NePAD), the overarching development framework for the region. The United Nations, its agencies and such global bodies as the G-8 industrial countries recognize all of these programs (UNECA, 2004). This paper uses the case of the Southern African regional bloc, the Southern African Development Community (SADC). After three decades of its formation, the misery of the people of Southern Africa has not diminished. Just a few meaningful projects and policies have been developed within the SADC that have promoted mutual benefit and development (Taylor, 2003 and Tsie, 1996). Also, the record of regional integration remains elusive and unimpressive. Hentz (2005) notes that the SADC program was a prototype of developmental (regional) integration and cooperation. The ever-rising poverty numbers in the region is a damning evidence of SADC s failure to achieve its stated objectives of economic and social development through regional integration and co-operation. This paper notes that development in the modern world is about power while African countries, as individuals do not hold any international power. The lack of power has rendered them incapacitated because only countries that wield power can command the use and re-distribution of resources in the global economy. African countries, powerless as they are cannot achieve much development simply because they have no means with which to attempt development. In line with the circumstances mentioned above, the subject of this study is to analyze and discuss the legal institutions, actions and behaviors in the SADC s regionalism. It also suggests ways to adapt a foreign concept of the NRA to the African setting. The study draws on the assessment of the problems and challenges together with the opportunities that the Southern African concept of Ubuntu can present. Most importantly, the SADC needs to react to its internal needs and demands during its regionalism process. As Hentz (2005) has concluded, the developmental content of the SADC has fallen into disrepute. That SADC has not, so far, succeeded in building even the economic bloc, shows its limitations, either of the treaties themselves or their implementation. It is now important to understand the implications for theory and policy implementation. This paper uses the theory of a new regionalism approach (NRA) together with 3

17 Degree papers are in the Xiamen University Electronic Theses and Dissertations Database. Full texts are available in the following ways: 1. If your library is a CALIS member libraries, please log on and submit requests online, or consult the interlibrary loan department in your library. 2. For users of non-calis member libraries, please mail to etd@xmu.edu.cn for delivery details.

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WTO 10384 X0115018 UDC MBA 2004 5 14 2004 6 1 WTO 2004 2006 7 2 Abstract According to the promise after our country enter into WTO, our country will open the readymade oil retail market in the end of 2004

学校编码 :10384 分类号密级 学号 : UDC 博士学位论文 Ubuntu 特色的地区主义 : 塑造更好的 南部非洲发展共同体? Regionalism with Ubuntu features: Shaping a better SADC? KEORAPETSE

学校编码 :10384 分类号密级学号 : UDC 博士学位论文 Ubuntu 特色的地区主义 : 塑造更好的南部非洲发展共同体? Regionalism with Ubuntu features: Shaping a better SADC? KEORAPETSE